N-PX 1 osi-npx_063021.htm ANNUAL REPORT OF PROXY VOTING RECORD

 

 

united states

securities and exchange commission

Washington, D.C. 20549

 

Form N-PX

 

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY

 

Investment Company Act file number: 811-23167

 

OSI ETF Trust

(Exact name of registrant as specified in charter)

 

75 State Street

Suite 100

Boston, MA 02109

(Address of principal executive offices) (Zip code)

 

Connor O’Brien

75 State Street

Suite 100

Boston, MA 02109

(Name and Address of Agent for Service)

 

Registrant’s telephone number, including area code: (617) 855-7670

 

Date of fiscal year end: June 30

 

Date of reporting period: July 1, 2020 to June 30, 2021

 

Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant’s proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.

 

A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, D.C. 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.

 

 

 

 

 

Item 1. Proxy Voting Record

 

There is no proxy voting activity for the following funds, as they did not hold any votable positions during the reporting period as they have not yet commenced operations.

 

O’Shares U.S. Large Cap Quality Growth ETF

O’Shares U.S. Small Cap Quality Growth ETF

 

 

 

 

O’Shares U.S. Quality Dividend ETF

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 1 of 192

 

 

Unassigned

3M COMPANY

Security:

88579Y101

Agenda Number:

935359085

Ticker:

MMM

Meeting Type:

Annual

ISIN:

US88579Y1010

Meeting Date:

11-May-21

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

1A.

Elect the member to the Board of Directors for

Mgmt

For

For

 

a term of one year: Thomas “Tony” K. Brown

 

 

 

 

 

 

 

 

1B.

Elect the member to the Board of Directors for

Mgmt

For

For

 

a term of one year: Pamela J. Craig

 

 

 

 

 

 

 

 

1C.

Elect the member to the Board of Directors for

Mgmt

For

For

 

a term of one year: David B. Dillon

 

 

 

 

 

 

 

 

1D.

Elect the member to the Board of Directors for

Mgmt

For

For

 

a term of one year: Michael L. Eskew

 

 

 

 

 

 

 

 

1E.

Elect the member to the Board of Directors for

Mgmt

For

For

 

a term of one year: James R. Fitterling

 

 

 

 

 

 

 

 

1F.

Elect the member to the Board of Directors for

Mgmt

For

For

 

a term of one year: Herbert L. Henkel

 

 

 

 

 

 

 

 

1G.

Elect the member to the Board of Directors for

Mgmt

For

For

 

a term of one year: Amy E. Hood

 

 

 

 

 

 

 

 

1H.

Elect the member to the Board of Directors for

Mgmt

For

For

 

a term of one year: Muhtar Kent

 

 

 

 

 

 

 

 

1I.

Elect the member to the Board of Directors for

Mgmt

For

For

 

a term of one year: Dambisa F. Moyo

 

 

 

 

 

 

 

 

1J.

Elect the member to the Board of Directors for

Mgmt

For

For

 

a term of one year: Gregory R. Page

 

 

 

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 2 of 192

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

1K.

Elect the member to the Board of Directors for

Mgmt

For

For

 

a term of one year: Michael F. Roman

 

 

 

 

 

 

 

 

1L.

Elect the member to the Board of Directors for

Mgmt

For

For

 

a term of one year: Patricia A. Woertz

 

 

 

 

 

 

 

 

2.

To ratify the appointment of

Mgmt

For

For

 

PricewaterhouseCoopers LLP as 3M’s

 

 

 

 

independent registered public accounting

 

 

 

 

firm.

 

 

 

 

 

 

 

 

3.

Advisory approval of executive compensation.

Mgmt

For

For

 

 

 

 

 

4.

To approve the amendment and restatement

Mgmt

For

For

 

of 3M Company 2016 Long-Term Incentive

 

 

 

 

Plan.

 

 

 

 

 

 

 

 

5.

Shareholder proposal on setting target

Shr

Against

For

 

amounts for CEO compensation.

 

 

 

 

 

 

 

 

6.

Shareholder proposal on transitioning the

Shr

Against

For

 

Company to a public benefit corporation.

 

 

 

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 3 of 192

 

 

Unassigned

ABBOTT LABORATORIES

Security:

002824100

Agenda Number:

935345125

Ticker:

ABT

Meeting Type:

Annual

ISIN:

US0028241000

Meeting Date:

23-Apr-21

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

1.

DIRECTOR

 

 

 

 

 

 

 

 

 

1

R.J. Alpern

Mgmt

For

For

 

 

 

 

 

 

 

2

R.S. Austin

Mgmt

For

For

 

 

 

 

 

 

 

3

S.E. Blount

Mgmt

For

For

 

 

 

 

 

 

 

4

R.B. Ford

Mgmt

For

For

 

 

 

 

 

 

 

5

M.A. Kumbier

Mgmt

For

For

 

 

 

 

 

 

 

6

D.W. McDew

Mgmt

For

For

 

 

 

 

 

 

 

7

N. McKinstry

Mgmt

For

For

 

 

 

 

 

 

 

8

W.A. Osborn

Mgmt

For

For

 

 

 

 

 

 

 

9

M.F. Roman

Mgmt

For

For

 

 

 

 

 

 

 

10

D.J. Starks

Mgmt

For

For

 

 

 

 

 

 

 

11

J.G. Stratton

Mgmt

For

For

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 4 of 192

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

 

12

G.F. Tilton

Mgmt

For

For

 

 

 

 

 

 

 

13

M.D. White

Mgmt

For

For

 

 

 

 

 

2.

Ratification of Ernst & Young LLP as Auditors.

Mgmt

For

For

 

 

 

 

 

3.

Say on Pay - An Advisory Vote to Approve

Mgmt

For

For

 

Executive Compensation.

 

 

 

 

 

 

 

 

4A.

Amendments to the Articles of Incorporation

Mgmt

For

For

 

to Eliminate Statutory Supermajority Voting

 

 

 

 

Standards for: Amendments to the Articles of

 

 

 

 

Incorporation.

 

 

 

 

 

 

 

 

4B.

Amendments to the Articles of Incorporation

Mgmt

For

For

 

to Eliminate Statutory Supermajority Voting

 

 

 

 

Standards for: Approval of Certain

 

 

 

 

Extraordinary Transactions.

 

 

 

 

 

 

 

 

5.

Shareholder Proposal - Lobbying Disclosure.

Shr

Against

For

 

 

 

 

 

6.

Shareholder Proposal - Report on Racial

Shr

Against

For

 

Justice.

 

 

 

 

 

 

 

 

7.

Shareholder Proposal - Independent Board

Shr

Against

For

 

Chairman.

 

 

 

 

 

 

 

 

Investment Company Report 

 

Meeting Date Range:

01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

   Page 5 of 192

 

 

Unassigned

ABBVIE INC.

 

Security:  00287Y109

Agenda Number:   935357891

 

Ticker:  ABBV

Meeting Type:  Annual

 

ISIN:   US00287Y1091

Meeting Date:   07-May-21

 

Prop.#

Proposal

Proposed

by

Proposal vote

For/Against

Management’s

Recommendation

1.

DIRECTOR

 

1         Roxanne S. Austin

Mgmt

For

For

         

 

2         Richard A. Gonzalez

Mgmt

For

For

         

 

3         Rebecca B. Roberts

Mgmt

For

For

         

 

4         Glenn F. Tilton

Mgmt

For

For

 

 

 

 

 

2.

Ratification of Ernst & Young LLP as AbbVie’s

Mgmt

For

For

 

independent registered public accounting firm

 

 

 

 

for 2021.

 

 

 

 

 

 

 

 

3.

Say on Pay-An advisory vote on the approval

Mgmt

For

For

 

of executive compensation.

 

 

 

 

 

 

 

 

4.

Approval of the Amended and Restated 2013

Mgmt

For

For

 

Incentive Stock Program.

 

 

 

 

 

 

 

 

5.

Approval of the Amended and Restated 2013

Mgmt

For

For

 

Employee Stock Purchase Plan for non-U.S.

 

 

 

 

employees.

 

 

 

 

 

 

 

 

6.

Approval of a management proposal

Mgmt

For

For

 

regarding amendment of the certificate of

 

 

 

 

incorporation to eliminate supermajority

 

 

 

 

voting.

 

 

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

   Page 6 of 192

 

 

Prop.#

Proposal

Proposed

by

Proposal vote

For/Against

Management’s

Recommendation

7.

Stockholder Proposal - to Issue an Annual

Shr

Against

For

 

Report on Lobbying.

 

 

 

 

 

 

 

 

8.

Stockholder Proposal - to Adopt a Policy to

Shr

Against

For

 

Require Independent Chairman.

 

 

 

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 7 of 192

 

 

Unassigned 

ACCENTURE PLC

 

Security:    G1151C101

Agenda Number:    935318128

 

Ticker:   ACN

Meeting Type:  Annual

 

ISIN:   IE00B4BNMY34

Meeting Date:   03-Feb-21

 

Prop.#

Proposal

Proposed

by

Proposal vote

For/Against

Management’s

Recommendation

1A.

Appointment of Director: Jaime Ardila

Mgmt

For

For

 

 

 

 

 

1B.

Appointment of Director: Herbert Hainer

Mgmt

For

For

 

 

 

 

 

1C.

Appointment of Director: Nancy McKinstry

Mgmt

For

For

 

 

 

 

 

1D.

Appointment of Director: Beth E. Mooney

Mgmt

For

For

 

 

 

 

 

1E.

Appointment of Director: Gilles C. Pélisson

Mgmt

For

For

 

 

 

 

 

1F.

Appointment of Director: Paula A. Price

Mgmt

For

For

 

 

 

 

 

1G.

Appointment of Director: Venkata (Murthy)

Mgmt

For

For

 

Renduchintala

 

 

 

 

 

 

 

 

1H.

Appointment of Director: David Rowland

Mgmt

For

For

 

 

 

 

 

1I.

Appointment of Director: Arun Sarin

Mgmt

For

For

 

 

 

 

 

1J.

Appointment of Director: Julie Sweet

Mgmt

For

For

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 8 of 192

 

 

Prop.#

Proposal

Proposed

by

Proposal vote

For/Against

Management’s

Recommendation

 

1K.

Appointment of Director: Frank K. Tang

Mgmt

For

For

 

 

 

 

 

1L.

Appointment of Director: Tracey T. Travis

Mgmt

For

For

 

 

 

 

 

2.

To approve, in a non-binding vote, the

Mgmt

For

For

 

compensation of our named executive

 

 

 

 

officers.

 

 

 

 

 

 

 

 

3.

To ratify, in a non-binding vote, the

Mgmt

For

For

 

appointment of KPMG LLP ("KPMG") as

 

 

 

 

independent auditors of Accenture and to

 

 

 

 

authorize, in a binding vote, the Audit

 

 

 

 

Committee of the Board of Directors to

 

 

 

 

determine KPMG’s remuneration.

 

 

 

 

 

 

 

 

4.

To grant the Board of Directors the authority

Mgmt

For

For

 

to issue shares under Irish law.

 

 

 

 

 

 

 

 

5.

To grant the Board of Directors the authority

Mgmt

For

For

 

to opt-out of pre-emption rights under Irish

 

 

 

 

law.

 

 

 

 

 

 

 

 

6.

To determine the price range at which

Mgmt

For

For

 

Accenture can re-allot shares that it acquires

 

 

 

 

as treasury shares under Irish law.

 

 

 

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

   Page 9 of 192

 

 

Unassigned

AMDOCS LIMITED

 

Security:   G02602103

Agenda Number:   935319409

 

Ticker:   DOX

Meeting Type:   Annual

 

ISIN:   GB0022569080

Meeting Date:   29-Jan-21

 

Prop.#

Proposal

Proposed

by

Proposal vote

For/Against

Management’s

Recommendation

1A.

Election of Director: Robert A. Minicucci

Mgmt

For

For

 

 

 

 

 

1B.

Election of Director: Adrian Gardner

Mgmt

For

For

 

 

 

 

 

1C.

Election of Director: James S. Kahan

Mgmt

For

For

 

 

 

 

 

1D.

Election of Director: Rafael de la Vega

Mgmt

For

For

 

 

 

 

 

1E.

Election of Director: Giora Yaron

Mgmt

For

For

 

 

 

 

 

1F.

Election of Director: Eli Gelman

Mgmt

For

For

 

 

 

 

 

1G.

Election of Director: Richard T.C. LeFave

Mgmt

For

For

 

 

 

 

 

1H.

Election of Director: John A. MacDonald

Mgmt

For

For

 

 

 

 

 

1I.

Election of Director: Shuky Sheffer

Mgmt

For

For

 

 

 

 

 

1J.

Election of Director: Yvette Kanouff

Mgmt

For

For

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

   Page 10 of 192

 

 

Prop.#

Proposal

Proposed

by

Proposal vote

For/Against

Management’s

Recommendation

2.

To approve an increase in the dividend rate

Mgmt

For

For

 

under our quarterly cash dividend program

 

 

 

 

from $0.3275 per share to $0.36 per share

 

 

 

 

(Proposal II).

 

 

 

 

 

 

 

 

3.

To approve our Consolidated Financial

Mgmt

For

For

 

Statements for the fiscal year ended

 

 

 

 

September 30, 2020 (Proposal III).

 

 

 

 

 

 

 

 

4.

To ratify and approve the appointment of

Mgmt

For

For

 

Ernst & Young LLP as our independent

 

 

 

 

registered public accounting firm for the fiscal

 

 

 

 

year ending September 30, 2021, and until

 

 

 

 

the next annual general meeting, and

 

 

 

 

authorize the Audit Committee of the Board of

 

 

 

 

Directors to fix the remuneration of such

 

 

 

 

independent registered public accounting firm

 

 

 

 

in accordance with the nature and extent of its

 

 

 

 

services (Proposal IV).

 

 

 

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 11 of 192

 

 

Unassigned

AMGEN INC.

 

Security: 031162100

Agenda Number: 935375382

 

Ticker: AMGN

Meeting Type: Annual

 

ISIN: US0311621009

Meeting Date: 18-May-21

 

Prop.#

Proposal

Proposed

by

Proposal vote

For/Against

Management’s

Recommendation

1A.

Election of Director for a term of office

Mgmt

For

For

 

expiring at the 2022 annual meeting: Dr.

 

 

 

 

Wanda M. Austin

 

 

 

 

 

 

 

 

1B.

Election of Director for a term of office

Mgmt

For

For

 

expiring at the 2022 annual meeting: Mr.

 

 

 

 

Robert A. Bradway

 

 

 

 

 

 

 

 

1C.

Election of Director for a term of office

Mgmt

For

For

 

expiring at the 2022 annual meeting: Dr. Brian

 

 

 

 

J. Druker

 

 

 

 

 

 

 

 

1D.

Election of Director for a term of office

Mgmt

For

For

 

expiring at the 2022 annual meeting: Mr.

 

 

 

 

Robert A. Eckert

 

 

 

 

 

 

 

 

1E.

Election of Director for a term of office

Mgmt

For

For

 

expiring at the 2022 annual meeting: Mr. Greg

 

 

 

 

C. Garland

 

 

 

 

 

 

 

 

1F.

Election of Director for a term of office

Mgmt

For

For

 

expiring at the 2022 annual meeting: Mr.

 

 

 

 

Charles M. Holley, Jr.

 

 

 

 

 

 

 

 

1G.

Election of Director for a term of office

Mgmt

For

For

 

expiring at the 2022 annual meeting: Dr. Tyler

 

 

 

 

Jacks

 

 

 

 

 

 

 

 

1H.

Election of Director for a term of office

Mgmt

For

For

 

expiring at the 2022 annual meeting: Ms.

 

 

 

 

Ellen J. Kullman

 

 

 

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

 Page 12 of 192

 

 

Prop.#

Proposal

Proposed

by

Proposal vote

For/Against

Management’s

Recommendation

1I.

Election of Director for a term of office

Mgmt

For

For

 

expiring at the 2022 annual meeting: Ms. Amy

 

 

 

 

E. Miles

 

 

 

 

 

 

 

 

1J.

Election of Director for a term of office

Mgmt

For

For

 

expiring at the 2022 annual meeting: Dr.

 

 

 

 

Ronald D. Sugar

 

 

 

 

 

 

 

 

1K.

Election of Director for a term of office

Mgmt

For

For

 

expiring at the 2022 annual meeting: Dr. R.

 

 

 

 

Sanders Williams

 

 

 

 

 

 

 

 

2.

Advisory vote to approve our executive

Mgmt

For

For

 

compensation.

 

 

 

 

 

 

 

 

3.

To ratify the selection of Ernst & Young LLP

Mgmt

For

For

 

as our independent registered public

 

 

 

 

accountants for the fiscal year ending

 

 

 

 

December 31, 2021.

 

 

 

 

 

 

 

 

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 13 of 192

 

 

Unassigned

AMPHENOL CORPORATION

Security:

   032095101

Agenda Number:   935397782

Ticker:

  APH

Meeting Type:   Annual

ISIN:

   US0320951017

Meeting Date:   19-May-21

 

Prop.#

Proposal

Proposed

by

Proposal vote

For/Against

Management’s

Recommendation

1.1

Election of Director: Stanley L. Clark

Mgmt

For

For

 

 

 

 

 

1.2

Election of Director: John D. Craig

Mgmt

For

For

 

 

 

 

 

1.3

Election of Director: David P. Falck

Mgmt

For

For

 

 

 

 

 

1.4

Election of Director: Edward G. Jepsen

Mgmt

For

For

 

 

 

 

 

1.5

Election of Director: Rita S. Lane

Mgmt

For

For

 

 

 

 

 

1.6

Election of Director: Robert A. Livingston

Mgmt

For

For

 

 

 

 

 

1.7

Election of Director: Martin H. Loeffler

Mgmt

For

For

 

 

 

 

 

1.8

Election of Director: R. Adam Norwitt

Mgmt

For

For

 

 

 

 

 

1.9

Election of Director: Anne Clarke Wolff

Mgmt

For

For

 

 

 

 

 

2.

Ratify the Selection of Deloitte & Touche LLP

Mgmt

For

For

 

as Independent Public Accountants.

 

 

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 14 of 192

 

 

Prop.#

Proposal

Proposed

by

Proposal vote

For/Against

Management’s

Recommendation

3.

Advisory Vote to Approve Compensation of

Mgmt

For

For

 

Named Executive Officers.

 

 

 

 

 

 

 

 

4.

Ratify and Approve the Amended and

Mgmt

Against

Against

 

Restated 2017 Stock Purchase Option Plan

 

 

 

 

for Key Employees of Amphenol and

 

 

 

 

Subsidiaries.

 

 

 

 

 

 

 

 

5.

Approve an Amendment to the Company’s

Mgmt

For

For

 

Certificate of Incorporation to Increase the

 

 

 

 

Number of Authorized Shares.

 

 

 

 

 

 

 

 

6.

Stockholder Proposal: Improve Our Catch-22

Shr

Against

For

 

Proxy Access.

 

 

 

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 15 of 192

 

 

 Unassigned 

ANALOG DEVICES, INC.

 

 

Security:

032654105

Agenda Number:

935270392

Ticker:

ADI

Meeting Type:

Special

ISIN:

US0326541051

Meeting Date:

08-Oct-20

 

 

 

 

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

1.

To approve the issuance of shares of

common stock, par value $0.16 2/3 per share,

of Analog Devices, Inc. ("Analog Devices") to

the stockholders of Maxim Integrated

Products, Inc. ("Maxim") in connection with

the merger contemplated by the Agreement

and Plan of Merger, dated as of July 12, 2020

(as it may be amended from time to time), by

and among Analog Devices, Magneto Corp.,

a Delaware corporation and wholly-owned

subsidiary of Analog Devices, and Maxim (the

"Analog Devices share issuance proposal").

Mgmt

For

For

 

 

 

 

 

2.

To adjourn the Special Meeting, if necessary

or appropriate, to solicit additional proxies if

there are not sufficient votes at the time of the

Special Meeting to approve the Analog

Devices share issuance proposal or to ensure

that any supplement or amendment to the

accompanying joint proxy

statement/prospectus is timely provided to

Analog Devices shareholders.

Mgmt

For

For

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 16 of 192

 

 

Unassigned 

ANALOG DEVICES, INC.

 

 

Security:

032654105

Agenda Number:

935326252

Ticker:

ADI

Meeting Type:

Annual

ISIN:

US0326541051

Meeting Date:

10-Mar-21

 

 

 

 

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

1A.

Election of Director: Ray Stata

Mgmt

For

For

 

 

 

 

 

1B.

Election of Director: Vincent Roche

Mgmt

For

For

 

 

 

 

 

1C.

Election of Director: James A. Champy

Mgmt

For

For

 

 

 

 

 

1D.

Election of Director: Anantha P.

Chandrakasan

Mgmt

For

For

 

 

 

 

 

1E.

Election of Director: Bruce R. Evans

Mgmt

For

For

 

 

 

 

 

1F.

Election of Director: Edward H. Frank

Mgmt

For

For

 

 

 

 

 

1G.

Election of Director: Laurie H. Glimcher

Mgmt

For

For

 

 

 

 

 

1H.

Election of Director: Karen M. Golz

Mgmt

For

For

 

 

 

 

 

1I.

Election of Director: Mark M. Little

Mgmt

For

For

 

 

 

 

 

1J.

Election of Director: Kenton J. Sicchitano

Mgmt

For

For

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 17 of 192

 

 

 

 

 

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

1K.

Election of Director: Susie Wee

Mgmt

For

For

 

 

 

 

 

2.

Advisory resolution to approve the
compensation of our named executive
officers.

Mgmt

For

For

 

 

 

 

 

3.

Ratification of Ernst & Young LLP as our
independent registered public accounting firm
for fiscal 2021.

Mgmt

For

For

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 18 of 192

 

 

Unassigned

ANTHEM, INC.

 

Security:

036752103

Agenda Number:

935387488

Ticker:

ANTM

Meeting Type:

Annual

ISIN:

US0367521038

Meeting Date:

26-May-21

 

 

 

 

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

1.1

Election of Director: Lewis Hay, III

Mgmt

For

For

 

 

 

 

 

1.2

Election of Director: Antonio F. Neri

Mgmt

For

For

 

 

 

 

 

1.3

Election of Director: Ramiro G. Peru

Mgmt

For

For

 

 

 

 

 

2.

Advisory vote to approve the compensation of
our named executive officers.

Mgmt

For

For

 

 

 

 

 

3.

To ratify the appointment of Ernst & Young
LLP as the independent registered public
accounting firm for 2021.

Mgmt

For

For

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 19 of 192

 

 

Unassigned

AON PLC

 

 

 

Security:

G0403H108

Agenda Number:

935249602

Ticker:

AON

Meeting Type:

Special

ISIN:

IE00BLP1HW54

Meeting Date:

26-Aug-20

 

 

 

 

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

1.

Approve the issuance of the aggregate
scheme consideration pursuant to the
transaction.

Mgmt

For

For

 

 

 

 

 

2.

Approve any motion by the chair of the Aon EGM to adjourn the Aon EGM, or any
adjournments thereof, to another time and
place if necessary or appropriate to solicit
additional proxies if there are insufficient
votes at the time of the Aon EGM to approve
Proposal 1.

Mgmt

For

For

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 20 of 192

 

 

Unassigned

AON PLC

 

 

 

Security:

G0403H108

Agenda Number:

935399041

Ticker:

AON

Meeting Type:

Annual

ISIN:

IE00BLP1HW54

Meeting Date:

02-Jun-21

 

 

 

 

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

1A.

Election of Director: Lester B. Knight

Mgmt

For

For

 

 

 

 

 

1B.

Election of Director: Gregory C. Case

Mgmt

For

For

 

 

 

 

 

1C.

Election of Director: Jin-Yong Cai

Mgmt

For

For

 

 

 

 

 

1D.

Election of Director: Jeffrey C. Campbell

Mgmt

For

For

 

 

 

 

 

1E.

Election of Director: Fulvio Conti

Mgmt

For

For

 

 

 

 

 

1F.

Election of Director: Cheryl A. Francis

Mgmt

For

For

 

 

 

 

 

1G.

Election of Director: J. Michael Losh

Mgmt

For

For

 

 

 

 

 

1H.

Election of Director: Richard B. Myers

Mgmt

For

For

 

 

 

 

 

1I.

Election of Director: Richard C. Notebaert

Mgmt

For

For

 

 

 

 

 

1J.

Election of Director: Gloria Santona

Mgmt

For

For

 

 

 

 

 

1K.

Election of Director: Byron O. Spruell

Mgmt

For

For

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

     29-Jul-2021

 

         

 

 

 

Page 21 of 192

 

 

 

 

 

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

1L.

Election of Director: Carolyn Y. Woo

Mgmt

For

For

 

 

 

 

 

2.

Advisory vote to approve the compensation of
the Company’s named executive officers.

Mgmt

For

For

 

 

 

 

 

3.

Ratify the appointment of Ernst & Young LLP
as the Company’s independent registered
public accounting firm for the fiscal year
ending December 31, 2021.

Mgmt

For

For

 

 

 

 

 

4.

Re-appoint Ernst & Young Chartered
Accountants as the Company’s statutory
auditor under Irish law.

Mgmt

For

For

 

 

 

 

 

5.

Authorize the Board or the Audit Committee of
the Board to determine the remuneration of
Ernst & Young Chartered Accountants, in its
capacity as the Company’s statutory auditor
under Irish law.

Mgmt

For

For

 

 

 

 

 

6.

Amend Article 190 of the Company’s Articles
of Association.

Mgmt

For

For

 

 

 

 

 

7.

Authorize the Board to capitalize certain of
the Company’s non-distributable reserves.

Mgmt

For

For

 

 

 

 

 

8.

Approve the creation of distributable profits by
the reduction and cancellation of the amounts
capitalized pursuant to the authority given
under Proposal 7.

Mgmt

For

For

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 22 of 192

 

 

Unassigned

APPLE INC.

 

 

Security:

037833100

Agenda Number:

935323167

Ticker:

AAPL

Meeting Type:

Annual

ISIN:

US0378331005

Meeting Date:

23-Feb-21

 

 

 

 

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

1A.

Election of Director: James Bell

Mgmt

For

For

 

 

 

 

 

1B.

Election of Director: Tim Cook

Mgmt

For

For

 

 

 

 

 

1C.

Election of Director: Al Gore

Mgmt

For

For

 

 

 

 

 

1D.

Election of Director: Andrea Jung

Mgmt

For

For

 

 

 

 

 

1E.

Election of Director: Art Levinson

Mgmt

For

For

 

 

 

 

 

1F.

Election of Director: Monica Lozano

Mgmt

For

For

 

 

 

 

 

1G.

Election of Director: Ron Sugar

Mgmt

For

For

 

 

 

 

 

1H.

Election of Director: Sue Wagner

Mgmt

For

For

 

 

 

 

 

2.

Ratification of the appointment of Ernst &
Young LLP as Apple’s independent registered
public accounting firm for fiscal 2021.

Mgmt

For

For

 

 

 

 

 

3.

Advisory vote to approve executive
compensation.

Mgmt

For

For

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 23 of 192

 

 

 

 

 

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

 

 

 

 

 

4.

A shareholder proposal entitled "Shareholder
Proxy Access Amendments".

Shr

Against

For

 

 

 

 

 

5.

A shareholder proposal entitled "Shareholder
Proposal to Improve Executive Compensation
Program".

Shr

Against

For

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 24 of 192

 

 

Unassigned

AT&T INC.

 

 

Security:

00206R102

Agenda Number:

935347179

Ticker:

T

Meeting Type:

Annual

ISIN:

US00206R1023

Meeting Date:

30-Apr-21

  

 

 

 

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

1A.

Election of Director: William E. Kennard

Mgmt

For

For

 

 

 

 

 

1B.

Election of Director: Samuel A. Di Piazza, Jr.

Mgmt

For

For

 

 

 

 

 

1C.

Election of Director: Scott T. Ford

Mgmt

For

For

 

 

 

 

 

1D.

Election of Director: Glenn H. Hutchins

Mgmt

For

For

 

 

 

 

 

1E.

Election of Director: Debra L. Lee

Mgmt

For

For

 

 

 

 

 

1F.

Election of Director: Stephen J. Luczo

Mgmt

For

For

 

 

 

 

 

1G.

Election of Director: Michael B. McCallister

Mgmt

For

For

 

 

 

 

 

1H.

Election of Director: Beth E. Mooney

Mgmt

For

For

 

 

 

 

 

1I.

Election of Director: Matthew K. Rose

Mgmt

For

For

 

 

 

 

 

1J.

Election of Director: John T. Stankey

Mgmt

For

For

 

 

 

 

 

1K.

Election of Director: Cynthia B. Taylor

Mgmt

For

For

 

 

 
 

 

Investment Company Report 

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 25 of 192

 

 

 

 

 

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

1L.

Election of Director: Geoffrey Y. Yang

Mgmt

For

For

 

 

 

 

 

2.

Ratification of appointment of independent
auditors.

Mgmt

For

For

 

 

 

 

 

3.

Advisory approval of executive compensation.

Mgmt

For

For

 

 

 

 

 

4.

Stockholder Right to Act by Written Consent.

Shr

Against

For

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 26 of 192

 

 

Unassigned

AUTOMATIC DATA PROCESSING, INC.

Security:

053015103

Agenda Number:

935276130

Ticker:

ADP

Meeting Type:

Annual

ISIN:

US0530151036

Meeting Date:

11-Nov-20

  

 

 

 

 

 

Prop. #

Proposal

Proposed

by

Proposal Vote

For/Against

Management’s

Recommendation

 

 

 

 

 

1A.

Election of Director: Peter Bisson

Mgmt

For

For

 

 

 

 

 

1B.

Election of Director: Richard T. Clark

Mgmt

For

For

 

 

 

 

 

1C.

Election of Director: Linnie M. Haynesworth

Mgmt

For

For

 

 

 

 

 

1D.

Election of Director: John P. Jones

Mgmt

For

For

 

 

 

 

 

1E.

Election of Director: Francine S. Katsoudas

Mgmt

For

For

 

 

 

 

 

1F.

Election of Director: Nazzic S. Keene

Mgmt

For

For

 

 

 

 

 

1G.

Election of Director: Thomas J. Lynch

Mgmt

For

For

 

 

 

 

 

1H.

Election of Director: Scott F. Powers

Mgmt

For

For

 

 

 

 

 

1I.

Election of Director: William J. Ready

Mgmt

For

For

 

 

 

 

 

1J.

Election of Director: Carlos A. Rodriguez

Mgmt

For

For

 

 

 

 

 

1K.

Election of Director: Sandra S. Wijnberg

Mgmt

For

For

 

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

 

 

 

 

 

Page 27 of 192

 

 

 

 

 

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against

Management’s

Recommendation

 

 

 

 

 

2.

Advisory Vote on Executive Compensation.

Mgmt

For

For

 

 

 

 

 

3.

Ratification of the Appointment of Auditors.

Mgmt

For

For

 

 

 

 

 

4.

Stockholder proposal, if properly presented at the meeting, to prepare a Report on Employee Representation on the Board of Directors.

Shr

Against

For

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

 

 

 

 

 

Page 28 of 192

 

 

Unassigned

BROADCOM INC

Security:

11135F101

Agenda Number:

935335768

Ticker:

AVGO

Meeting Type:

Annual

ISIN:

US11135F1012

Meeting Date:

05-Apr-21

  

 

 

 

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against

Management’s

Recommendation

 

 

 

 

 

1A.

Election of Director: Ms. Diane M. Bryant

Mgmt

For

For

 

 

 

 

 

1B.

Election of Director: Ms. Gayla J. Delly

Mgmt

For

For

 

 

 

 

 

1C.

Election of Director: Mr. Raul J. Fernandez

Mgmt

For

For

 

 

 

 

 

1D.

Election of Director: Mr. Eddy W. Hartenstein

Mgmt

For

For

 

 

 

 

 

1E.

Election of Director: Mr. Check Kian Low

Mgmt

For

For

 

 

 

 

 

1F.

Election of Director: Ms. Justine F. Page

Mgmt

For

For

 

 

 

 

 

1G.

Election of Director: Dr. Henry Samueli

Mgmt

For

For

 

 

 

 

 

1H.

Election of Director: Mr. Hock E. Tan

Mgmt

For

For

 

 

 

 

 

1I.

Election of Director: Mr. Harry L. You

Mgmt

For

For

 

 

 

 

 

2.

Ratification of the appointment of Pricewaterhouse-Coopers LLP as Broadcom’s independent registered public accounting firm for the fiscal year ending October 31, 2021.

Mgmt

For

For

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

 

 

 

 

 

Page 29 of 192

 

  

 

 

 

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against

Management’s

Recommendation

 

 

 

 

 

3.

Approval of an amendment and restatement of Broadcom’s 2012 Stock Incentive Plan.

Mgmt

For

For

 

 

 

 

 

4.

Advisory vote to approve compensation of Broadcom’s named executive officers.

Mgmt

For

For

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

 

 

 

 

 

Page 30 of 192

 

 

Unassigned

BROADRIDGE FINANCIAL SOLUTIONS, INC.

Security:

11133T103

Agenda Number:

935279984

Ticker:

BR

Meeting Type:

Annual

ISIN:

US11133T1034

Meeting Date:

19-Nov-20

 

 

 

 

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against

Management’s

Recommendation

 

 

 

 

 

1A.

Election of Director to serve until the 2021 Annual Meeting of Stockholders: Leslie A. Brun

Mgmt

For

For

 

 

 

 

 

1B.

Election of Director to serve until the 2021 Annual Meeting of Stockholders: Pamela L. Carter

Mgmt

For

For

 

 

 

 

 

1C.

Election of Director to serve until the 2021 Annual Meeting of Stockholders: Richard J. Daly

Mgmt

For

For

 

 

 

 

 

1D.

Election of Director to serve until the 2021 Annual Meeting of Stockholders: Robert N. Duelks

Mgmt

For

For

 

 

 

 

 

1E.

Election of Director to serve until the 2021 Annual Meeting of Stockholders: Timothy C. Gokey

Mgmt

For

For

 

 

 

 

 

1F.

Election of Director to serve until the 2021 Annual Meeting of Stockholders: Brett A. Keller

Mgmt

For

For

 

 

 

 

 

1G.

Election of Director to serve until the 2021 Annual Meeting of Stockholders: Maura A. Markus

Mgmt

For

For

 

 

 

 

 

1H.

Election of Director to serve until the 2021 Annual Meeting of Stockholders: Thomas J. Perna

Mgmt

For

For

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

 

 

 

 

 

Page 31 of 192

 

 

 

 

 

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against

Management’s

Recommendation

 

 

 

 

 

1I.

Election of Director to serve until the 2021 Annual Meeting of Stockholders: Alan J. Weber

Mgmt

For

For

 

 

 

 

 

1J.

Election of Director to serve until the 2021 Annual Meeting of Stockholders: Amit K. Zavery

Mgmt

For

For

 

 

 

 

 

2.

Advisory vote to approve the compensation of the Company’s Named Executive Officers (the Say on Pay Vote).

Mgmt

For

For

 

 

 

 

 

3.

To ratify the appointment of Deloitte & Touche LLP as the Company’s independent registered public accountants for the fiscal year ending June 30, 2021.

Mgmt

For

For

 

 

 

 

 

4.

Stockholder Proposal on Political Contributions.

Shr

Against

For

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

 

 

 

 

 

Page 32 of 192

 

 

Unassigned

C.H. ROBINSON WORLDWIDE, INC.

Security:

12541W209

Agenda Number:

935352930

Ticker:

CHRW

Meeting Type:

Annual

ISIN:

US12541W2098

Meeting Date:

06-May-21

 

 

 

 

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against

Management’s

Recommendation

 

 

 

 

 

1A.

Election of Director: Scott P. Anderson

Mgmt

For

For

 

 

 

 

 

1B.

Election of Director: Robert C. Biesterfeld Jr.

Mgmt

For

For

 

 

 

 

 

1C.

Election of Director: Kermit R. Crawford

Mgmt

For

For

 

 

 

 

 

1D.

Election of Director: Wayne M. Fortun

Mgmt

For

For

 

 

 

 

 

1E.

Election of Director: Timothy C. Gokey

Mgmt

For

For

 

 

 

 

 

1F.

Election of Director: Mary J. Steele Guilfoile

Mgmt

For

For

 

 

 

 

 

1G.

Election of Director: Jodee A. Kozlak

Mgmt

For

For

 

 

 

 

 

1H.

Election of Director: Brian P. Short

Mgmt

For

For

 

 

 

 

 

1I.

Election of Director: James B. Stake

Mgmt

For

For

 

 

 

 

 

1J.

Election of Director: Paula C. Tolliver

Mgmt

For

For

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

 

 

 

 

 

Page 33 of 192

 

  

 

 

 

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against

Management’s

Recommendation

 

 

 

 

 

2.

To approve, on an advisory basis, the compensation of our named executive officers.

Mgmt

For

For

 

 

 

 

 

3.

Ratification of the selection of Deloitte & Touche LLP as the company’s independent registered public accounting firm for the fiscal year ending December 31, 2021.

Mgmt

For

For

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

 

 

 

 

 

Page 34 of 192

 

 

Unassigned 

CERNER CORPORATION

Security:

156782104

Agenda Number:

935364822

Ticker:

CERN

Meeting Type:

Annual

ISIN:

US1567821046

Meeting Date:

19-May-21

  

 

 

 

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against

Management’s

Recommendation

 

 

 

 

 

1A.

Election of Class II Director: Mitchell E. Daniels, Jr.

Mgmt

For

For

 

 

 

 

 

1B.

Election of Class II Director: Elder Granger, M.D.

Mgmt

For

For

 

 

 

 

 

1C.

Election of Class II Director: John J. Greisch

Mgmt

For

For

 

 

 

 

 

1D.

Election of Class II Director: Melinda J. Mount

Mgmt

For

For

 

 

 

 

 

2.

Ratification of the appointment of KPMG LLP as the independent registered public accounting firm of Cerner Corporation for 2021.

Mgmt

For

For

 

 

 

 

 

3.

Approval, on an advisory basis, of the compensation of our Named Executive Officers.

Mgmt

For

For

 

 

 

 

 

4.

Shareholder proposal to eliminate supermajority voting, if properly presented at the meeting.

Shr

For

Against

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

 

 

 

 

 

Page 35 of 192

 

 

Unassigned

CHURCH & DWIGHT CO., INC.

Security:

171340102

Agenda Number:

935348753

Ticker:

CHD

Meeting Type:

Annual

ISIN:

US1713401024

Meeting Date:

29-Apr-21

  

 

 

 

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against

Management’s

Recommendation

 

 

 

 

 

1A.

Election of Director for a term of one year: James R. Craigie

Mgmt

For

For

 

 

 

 

 

1B.

Election of Director for a term of one year: Matthew T. Farrell

Mgmt

For

For

 

 

 

 

 

1C.

Election of Director for a term of one year: Bradley C. Irwin

Mgmt

For

For

 

 

 

 

 

1D.

Election of Director for a term of one year: Penry W. Price

Mgmt

For

For

 

 

 

 

 

1E.

Election of Director for a term of one year: Susan G. Saideman

Mgmt

For

For

 

 

 

 

 

1F.

Election of Director for a term of one year: Ravichandra K. Saligram

Mgmt

For

For

 

 

 

 

 

1G.

Election of Director for a term of one year: Robert K. Shearer

Mgmt

For

For

 

 

 

 

 

1H.

Election of Director for a term of one year: Janet S. Vergis

Mgmt

For

For

 

 

 

 

 

1I.

Election of Director for a term of one year: Arthur B. Winkleblack

Mgmt

For

For

 

 

 

 

 

1J.

Election of Director for a term of one year: Laurie J. Yoler

Mgmt

For

For

 

 

 
 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

 

 

 

 

 

Page 36 of 192

 

  

 

 

 

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against

Management’s

Recommendation

 

 

 

 

 

2.

An advisory vote to approve compensation of our named executive officers.

Mgmt

For

For

 

 

 

 

 

3.

Proposal to amend the Company’s Amended and Restated Certificate of Incorporation to remove the requirement for holders of two-thirds of our outstanding stock to fill vacancies on the Board of Directors.

Mgmt

For

For

 

 

 

 

 

4.

Proposal to amend the Company’s Amended and Restated Certificate of Incorporation to remove the requirement to have holders of two-thirds of our outstanding stock approve certain mergers, consolidations or dispositions of substantial assets.

Mgmt

For

For

 

 

 

 

 

5.

Proposal to amend the Company’s Amended and Restated Certificate of Incorporation to remove certain procedural provisions that will no longer be required once the Board is fully declassified.

Mgmt

For

For

 

 

 

 

 

6.

Ratification of the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for 2021.

Mgmt

For

For

 

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 37 of 192  

 

Unassigned

CINTAS CORPORATION
     
Security: 172908105 Agenda Number: 935270126
Ticker: CTAS Meeting Type: Annual
ISIN: US1729081059 Meeting Date: 27-Oct-20
       

 

Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management’s
Recommendation
 
           
1A. Election of Director: Gerald S. Adolph Mgmt For For  
           
1B. Election of Director: John F. Barrett Mgmt For For  
           
1C. Election of Director: Melanie W. Barstad Mgmt For For  
           
1D. Election of Director: Karen L. Carnahan Mgmt For For  
           
1E. Election of Director: Robert E. Coletti Mgmt For For  
           
1F. Election of Director: Scott D. Farmer Mgmt For For  
           
1G. Election of Director: Joseph Scaminace Mgmt For For  
           
1H. Election of Director: Ronald W. Tysoe Mgmt For For  
           
2. To approve, on an advisory basis, named executive officer compensation. Mgmt For For  
           
3. To ratify Ernst & Young LLP as our independent registered public accounting firm for fiscal year 2021. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 38 of 192  

 

Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management’s
Recommendation
 
           
4. A shareholder proposal requesting the Company provide a semiannual report on political contributions, if properly presented at the meeting. Shr Against For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 39 of 192  

 

Unassigned

CISCO SYSTEMS, INC.
     
Security: 17275R102 Agenda Number: 935287498
Ticker: CSCO Meeting Type: Annual
ISIN: US17275R1023 Meeting Date: 10-Dec-20
       

 

Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management’s
Recommendation
 
           
1a. Election of Director: M. Michele Burns Mgmt For For  
           
1b. Election of Director: Wesley G. Bush Mgmt For For  
           
1c. Election of Director: Michael D. Capellas Mgmt For For  
           
1d. Election of Director: Mark Garrett Mgmt For For  
           
1e. Election of Director: Dr. Kristina M. Johnson Mgmt For For  
           
1f. Election of Director: Roderick C. McGeary Mgmt For For  
           
1g. Election of Director: Charles H. Robbins Mgmt For For  
           
1h. Election of Director: Arun Sarin Mgmt For For  
           
1i. Election of Director: Brenton L. Saunders Mgmt For For  
           
1j. Election of Director: Dr. Lisa T. Su Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 40 of 192  

 

Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management’s
Recommendation
 
           
2. Approval of the reincorporation of Cisco from California to Delaware. Mgmt For For  
           
3. Approval of amendment and restatement of the 2005 Stock Incentive Plan. Mgmt For For  
           
4. Approval, on an advisory basis, of executive compensation. Mgmt For For  
           
5. Ratification of PricewaterhouseCoopers LLP as Cisco’s independent registered public accounting firm for fiscal 2021. Mgmt For For  
           
6. Approval to have Cisco’s Board adopt a policy to have an independent Board chairman. Shr Against For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 41 of 192  

 

Unassigned

CITRIX SYSTEMS, INC.
     
Security: 177376100 Agenda Number: 935400666
Ticker: CTXS Meeting Type: Annual
ISIN: US1773761002 Meeting Date: 04-Jun-21
       

 

Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management’s
Recommendation
 
           
1A. Election of Director: Robert M. Calderoni Mgmt For For  
           
1B. Election of Director: Nanci E. Caldwell Mgmt For For  
           
1C. Election of Director: Murray J. Demo Mgmt For For  
           
1D. Election of Director: Ajei S. Gopal Mgmt For For  
           
1E. Election of Director: David J. Henshall Mgmt For For  
           
1F. Election of Director: Thomas E. Hogan Mgmt For For  
           
1G. Election of Director: Moira A. Kilcoyne Mgmt For For  
           
1H. Election of Director: Robert E. Knowling, Jr. Mgmt For For  
           
1I. Election of Director: Peter J. Sacripanti Mgmt For For  
           
1J. Election of Director: J. Donald Sherman Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 42 of 192  

 

Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management’s
Recommendation
 
           
2. Ratification of the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for 2021. Mgmt For For  
           
3. Advisory vote to approve the compensation of the Company’s named executive officers. Mgmt For For  
           
4. Shareholder proposal regarding simple majority voting provisions. Shr For    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 43 of 192  

 

Unassigned

CME GROUP INC.
     
Security: 12572Q105 Agenda Number: 935359340
Ticker: CME Meeting Type: Annual
ISIN: US12572Q1058 Meeting Date: 05-May-21
       

 

Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management’s
Recommendation
 
           
1A. Election of Equity Director: Terrence A. Duffy Mgmt For For  
           
1B. Election of Equity Director: Timothy S Bitsberger. Mgmt For For  
           
1C. Election of Equity Director: Charles P. Carey Mgmt For For  
           
1D. Election of Equity Director: Dennis H. Chookaszian Mgmt For For  
           
1E. Election of Equity Director: Bryan T. Durkin Mgmt For For  
           
1F. Election of Equity Director: Ana Dutra Mgmt For For  
           
1G. Election of Equity Director: Martin J. Gepsman Mgmt For For  
           
1H. Election of Equity Director: Larry G. Gerdes Mgmt For For  
           
1I. Election of Equity Director: Daniel R. Glickman Mgmt For For  
           
1J. Election of Equity Director: Daniel G. Kaye Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 44 of 192  

 

Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management’s
Recommendation
 
           
1K. Election of Equity Director: Phyllis M. Lockett Mgmt For For  
           
1L. Election of Equity Director: Deborah J. Lucas Mgmt For For  
           
1M. Election of Equity Director: Terry L. Savage Mgmt For For  
           
1N. Election of Equity Director: Rahael Seifu Mgmt For For  
           
1O. Election of Equity Director: William R. Shepard Mgmt For For  
           
1P. Election of Equity Director: Howard J. Siegel Mgmt For For  
           
1Q. Election of Equity Director: Dennis A. Suskind Mgmt For For  
           
2. Ratification of the appointment of Ernst & Young as our independent registered public accounting firm for 2021. Mgmt For For  
           
3. Advisory vote on the compensation of our named executive officers. Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 45 of 192  

 

Unassigned

COGNIZANT TECHNOLOGY SOLUTIONS CORP.
     
Security: 192446102 Agenda Number: 935406973
Ticker: CTSH Meeting Type: Annual
ISIN: US1924461023 Meeting Date: 01-Jun-21
       

 

Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management’s
Recommendation
 
           
1A. Election of Director to serve until the 2022 annual meeting: Zein Abdalla Mgmt For For  
           
1B. Election of Director to serve until the 2022 annual meeting: Vinita Bali Mgmt For For  
           
1C. Election of Director to serve until the 2022 annual meeting: Maureen Breakiron-Evans Mgmt For For  
           
1D. Election of Director to serve until the 2022 annual meeting: Archana Deskus Mgmt For For  
           
1E. Election of Director to serve until the 2022 annual meeting: John M. Dineen Mgmt For For  
           
1F. Election of Director to serve until the 2022 annual meeting: Brian Humphries Mgmt For For  
           
1G. Election of Director to serve until the 2022 annual meeting: Leo S. Mackay, Jr. Mgmt For For  
           
1H. Election of Director to serve until the 2022 annual meeting: Michael Patsalos-Fox Mgmt For For  
           
1I. Election of Director to serve until the 2022 annual meeting: Joseph M. Velli Mgmt For For  
           
1J. Election of Director to serve until the 2022 annual meeting: Sandra S. Wijnberg Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 46 of 192  

 

Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management’s
Recommendation
 
           
2. Approve, on an advisory (non-binding) basis, the compensation of the company’s named executive officers. Mgmt For For  
           
3. Ratify the appointment of PricewaterhouseCoopers LLP as the company’s independent registered public accounting firm for the year ending December 31, 2021. Mgmt For For  
           
4. Shareholder proposal requesting that the board of directors take action as necessary to permit shareholder action by written consent. Shr Against For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 47 of 192  

Unassigned

 

COLGATE-PALMOLIVE COMPANY
     
Security: 194162103 Agenda Number: 935355392
Ticker: CL Meeting Type: Annual
ISIN: US1941621039 Meeting Date: 07-May-21
       

 

Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management’s
Recommendation
 
           
1a. Election of Director: John P. Bilbrey Mgmt For For  
           
1b. Election of Director: John T. Cahill Mgmt For For  
           
1c. Election of Director: Lisa M. Edwards Mgmt For For  
           
1d. Election of Director: C. Martin Harris Mgmt For For  
           
1e. Election of Director: Martina Hund-Mejean Mgmt For For  
           
1f. Election of Director: Kimberly A. Nelson Mgmt For For  
           
1g. Election of Director: Lorrie M. Norrington Mgmt For For  
           
1h. Election of Director: Michael B. Polk Mgmt For For  
           
1i. Election of Director: Stephen I. Sadove Mgmt For For  
           
1j. Election of Director: Noel R. Wallace Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 48 of 192  

 

Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management’s
Recommendation
 
           
2. Ratify selection of PricewaterhouseCoopers LLP as Colgate’s independent registered public accounting firm. Mgmt For For  
           
3. Advisory vote on executive compensation. Mgmt For For  
           
4. Stockholder proposal on independent Board Chairman. Shr Against For  
           
5. Stockholder proposal to reduce the ownership threshold to call special stockholder meetings to 10%. Shr For Against  

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 49 of 192  

 

Unassigned

COMCAST CORPORATION  
     
Security: 20030N101 Agenda Number: 935407139
Ticker: CMCSA Meeting Type: Annual
ISIN: US20030N1019 Meeting Date: 02-Jun-21
       

 

         
Prop. # Proposal Proposed    Proposal Vote For/Against
    by   Management's
        Recommendation
         

1. DIRECTOR      
         
  1 Kenneth J. Bacon Mgmt For For
           
  2 Madeline S. Bell Mgmt For For
           
  3 Naomi M. Bergman Mgmt For For
           
  4 Edward D. Breen Mgmt For For
           
  5 Gerald L. Hassell Mgmt For For
           
  6 Jeffrey A. Honickman Mgmt For For
           
  7 Maritza G. Montiel Mgmt For For
           
  8 Asuka Nakahara Mgmt For For
           
  9 David C. Novak Mgmt For For
           
  10 Brian L. Roberts Mgmt For For
           
2. Advisory vote on executive compensation. Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 50 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
3. Ratification of the appointment of our Mgmt For For
  independent auditors.      
         
4. Shareholder Proposal: To conduct Shr For Against
  independent investigation and report on risks      
  posed by failing to prevent sexual      
  harassment.      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 51 of 192  

 

Unassigned

COSTCO WHOLESALE CORPORATION  
     
Security: 22160K105 Agenda Number: 935312796
Ticker: COST Meeting Type: Annual
ISIN: US22160K1051 Meeting Date: 21-Jan-21
     

 

           
Prop. #   Proposal Proposed Proposal Vote For/Against
      by   Management's
          Recommendation
         
1. DIRECTOR      
         
  1 Susan L. Decker Mgmt For For
           
  2 Kenneth D. Denman Mgmt For For
           
  3 Richard A. Galanti Mgmt For For
           
  4 W. Craig Jelinek Mgmt For For
           
  5 Sally Jewell Mgmt For For
           
  6 Charles T. Munger Mgmt For For
           
  7 Jeffrey S. Raikes Mgmt For For
           
2. Ratification of selection of independent Mgmt For For
  auditors.      
         
3. Approval, on an advisory basis, of executive Mgmt For For
  compensation.      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 52 of 192  

 

Unassigned

CSX CORPORATION  
     
Security: 126408103 Agenda Number: 935354390
Ticker: CSX Meeting Type: Annual
ISIN: US1264081035 Meeting Date: 07-May-21
     

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
1A. Election of Director: Donna M. Alvarado Mgmt For For
         
1B. Election of Director: Thomas P. Bostick Mgmt For For
         
1C. Election of Director: James M. Foote Mgmt For For
         
1D. Election of Director: Steven T. Halverson Mgmt For For
         
1E. Election of Director: Paul C. Hilal Mgmt For For
         
1F. Election of Director: David M. Moffett Mgmt For For
         
1G. Election of Director: Linda H. Riefler Mgmt For For
         
1H. Election of Director: Suzanne M. Vautrinot Mgmt For For
         
1I. Election of Director: James L. Wainscott Mgmt For For
         
1J. Election of Director: J. Steven Whisler Mgmt For For
         
1K. Election of Director: John J. Zillmer Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 53 of 192

 

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
2. The ratification of the appointment of Ernst & Mgmt For For
  Young LLP as the Independent Registered      
  Public Accounting Firm for 2021.      
         
3. Advisory (non-binding) resolution to approve Mgmt For For
  compensation for the Company's named      
  executive officers.      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 54 of 192  

 

Unassigned

CUMMINS INC.      
     
Security: 231021106 Agenda Number: 935361662
Ticker: CMI Meeting Type: Annual
ISIN: US2310211063 Meeting Date: 11-May-21
       

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
1) Election of Director: N. Thomas Linebarger Mgmt For For
         
2) Election of Director: Robert J. Bernhard Mgmt For For
         
3) Election of Director: Dr. Franklin R. Chang Mgmt For For
  Diaz      
         
4) Election of Director: Bruno V. Di Leo Allen Mgmt For For
         
5) Election of Director: Stephen B. Dobbs Mgmt For For
         
6) Election of Director: Carla A. Harris Mgmt For For
         
7) Election of Director: Robert K. Herdman Mgmt For For
         
8) Election of Director: Alexis M. Herman Mgmt For For
         
9) Election of Director: Thomas J. Lynch Mgmt For For
         
10) Election of Director: William I. Miller Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 55 of 192  
         

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
11) Election of Director: Georgia R. Nelson Mgmt For For
         
12) Election of Director: Kimberly A. Nelson Mgmt For For
         
13) Election of Director: Karen H. Quintos Mgmt For For
         
14) Advisory vote to approve the compensation of Mgmt For For
  our named executive officers as disclosed in      
  the proxy statement.      
         
15) Proposal to ratify the appointment of Mgmt For For
  PricewaterhouseCoopers LLP as our auditors      
  for 2021.      
         
16) The shareholder proposal regarding Shr Against For
  professional services allowance for our      
  named executive officers.      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 56 of 192  

 

Unassigned

CVS HEALTH CORPORATION  
     
Security: 126650100 Agenda Number: 935366927
Ticker: CVS Meeting Type: Annual
ISIN: US1266501006 Meeting Date: 13-May-21
     

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
1A. Election of Director: Fernando Aguirre Mgmt For For
         
1B. Election of Director: C. David Brown II Mgmt For For
         
1C. Election of Director: Alecia A. DeCoudreaux Mgmt For For
         
1D. Election of Director: Nancy-Ann M. DeParle Mgmt For For
         
1E. Election of Director: David W. Dorman Mgmt For For
         
1F. Election of Director: Roger N. Farah Mgmt For For
         
1G. Election of Director: Anne M. Finucane Mgmt For For
         
1H. Election of Director: Edward J. Ludwig Mgmt For For
         
1I. Election of Director: Karen S. Lynch Mgmt For For
         
1J. Election of Director: Jean-Pierre Millon Mgmt For For
         
1K. Election of Director: Mary L. Schapiro Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 57 of 192  
         

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
1L. Election of Director: William C. Weldon Mgmt For For

 

1M. Election of Director: Tony L. White Mgmt For For
         
2. Ratification of the appointment of our Mgmt For For
  independent registered public accounting firm      
  for 2021.      
         
3. Say on Pay, a proposal to approve, on an Mgmt For For
  advisory basis, the Company's executive      
  compensation.      
         
4. Stockholder proposal for reducing the Shr Against For
  threshold for our stockholder right to act by      
  written consent.      
         
5. Stockholder proposal regarding our Shr Against For
  independent Board Chair.      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 58 of 192  

 

Unassigned

DOLLAR GENERAL CORPORATION  
     
Security: 256677105 Agenda Number: 935374924
Ticker: DG Meeting Type: Annual
ISIN: US2566771059 Meeting Date: 26-May-21
     

 

         
Prop. # Proposal Proposed    Proposal Vote For/Against
    by   Management's
        Recommendation
         

1A. Election of Director: Warren F. Bryant Mgmt For For
         
1B. Election of Director: Michael M. Calbert Mgmt For For
         
1C. Election of Director: Patricia D. Fili-Krushel Mgmt For For
         
1D. Election of Director: Timothy I. McGuire Mgmt For For
         
1E. Election of Director: William C. Rhodes, III Mgmt For For
         
1F. Election of Director: Debra A. Sandler Mgmt For For
         
1G. Election of Director: Ralph E. Santana Mgmt For For
         
1H. Election of Director: Todd J. Vasos Mgmt For For
         
2. To approve, on an advisory (non-binding) Mgmt For For
  basis, the resolution regarding the      
  compensation of Dollar General Corporation's      
  named executive officers as disclosed in the      
  proxy statement.      

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 59 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
3. To ratify the appointment of Ernst & Young Mgmt For For
  LLP as Dollar General Corporation's      
  independent registered public accounting firm      
  for fiscal 2021.      
         
4. To approve the Dollar General Corporation Mgmt For For
  2021 Stock Incentive Plan.      
         
5. To approve an amendment to the amended Mgmt Abstain Against
  and restated charter of Dollar General      
  Corporation to allow shareholders holding      
  25% or more of our common stock to request      
  special meetings of shareholders.      
         
6. To vote on a shareholder proposal regarding Shr For Against
  shareholders' ability to call special meetings      
  of shareholders.      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 60 of 192  

Unassigned

EBAY INC.      
     
Security: 278642103 Agenda Number: 935418790
Ticker: EBAY Meeting Type: Annual
ISIN: US2786421030 Meeting Date: 15-Jun-21
       

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
1A. Election of Director: Anthony J. Bates Mgmt For For
         
1B. Election of Director: Adriane M. Brown Mgmt For For
         
1C. Election of Director: Diana Farrell Mgmt For For
         
1D. Election of Director: Logan D. Green Mgmt For For
         
1E. Election of Director: Bonnie S. Hammer Mgmt For For
         
1F. Election of Director: E. Carol Hayles Mgmt For For
         
1G. Election of Director: Jamie Iannone Mgmt For For
         
1H. Election of Director: Kathleen C. Mitic Mgmt For For
         
1I. Election of Director: Matthew J. Murphy Mgmt For For
         
1J. Election of Director: Paul S. Pressler Mgmt For For
         
1K. Election of Director: Mohak Shroff Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 61 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
1L. Election of Director: Robert H. Swan Mgmt For For
         
1M. Election of Director: Perry M. Traquina Mgmt For For
         
2. Ratification of appointment of independent Mgmt For For
  auditors.      
         
3. Advisory vote to approve named executive Mgmt Against Against
  officer compensation.      
         
4. Executive Compensation, if properly Shr Against For
  presented.      
         
5. Right to Act by Written Consent, if properly Shr For Against
  presented.      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 62 of 192  

 

Unassigned

ELI LILLY AND COMPANY    
     
Security: 532457108 Agenda Number: 935355354
Ticker: LLY Meeting Type: Annual
ISIN: US5324571083 Meeting Date: 03-May-21
       

 

         
Prop. # Proposal Proposed    Proposal Vote For/Against
    by   Management's
        Recommendation
         

1a. Election of Director to serve a three year Mgmt For For
  term: K. Baicker, Ph.D.      
         
1b. Election of Director to serve a three year Mgmt For For
  term: J.E. Fyrwald      
         
1c. Election of Director to serve a three year Mgmt For For
  term: J. Jackson      
         
1d. Election of Director to serve a three year Mgmt For For
  term: G. Sulzberger      
         
1e. Election of Director to serve a three year Mgmt For For
  term: J.P. Tai      
         
2. Approval, on an advisory basis, of the Mgmt For For
  compensation paid to the company's named      
  executive officers.      
         
3. Ratification of the appointment of Ernst & Mgmt For For
  Young LLP as the independent auditor for      
  2021.      
         
4. Approval of amendments to the company's Mgmt For For
  Articles of Incorporation to eliminate the      
  classified board structure.      
         
5. Approval of amendments to the company's Mgmt For For
  Articles of Incorporation to eliminate      
  supermajority voting provisions.      

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 63 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
6. Shareholder proposal to disclose direct and Shr Against For
  indirect lobbying activities and expenditures.      
         
7. Shareholder proposal to amend the bylaws to Shr Against For
  require an independent board chair.      
         
8. Shareholder proposal to implement a bonus Shr For Against
  deferral policy.      
         
9. Shareholder proposal to disclose clawbacks Shr For Against
  on executive incentive compensation due to      
  misconduct.      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 64 of 192  

 

Unassigned

EMERSON ELECTRIC CO.    
     
Security: 291011104 Agenda Number: 935317190
Ticker: EMR Meeting Type: Annual
ISIN: US2910111044 Meeting Date: 02-Feb-21
       

 

         
Prop. # Proposal Proposed    Proposal Vote For/Against
    by   Management's
        Recommendation
         

1. DIRECTOR      
         
  1 M. A. Blinn Mgmt For For
           
  2 A. F. Golden Mgmt For For
           
  3 C. Kendle Mgmt For For
           
  4 J. S. Turley Mgmt For For
           
2. Ratification of KPMG LLP as Independent Mgmt For For
  Registered Public Accounting Firm.      
         
3. Approval, by non-binding advisory vote, of Mgmt For For
  Emerson Electric Co. executive      
  compensation.      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 65 of 192  

 

Unassigned

EXPEDITORS INT'L OF WASHINGTON, INC.    
     
Security: 302130109 Agenda Number: 935356255
Ticker: EXPD Meeting Type: Annual
ISIN: US3021301094 Meeting Date: 04-May-21
       

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
1.1 Election of Director: Robert R. Wright Mgmt For For
         
1.2 Election of Director: Glenn M. Alger Mgmt For For
         
1.3 Election of Director: Robert P. Carlile Mgmt For For
         
1.4 Election of Director: James M. DuBois Mgmt For For
         
1.5 Election of Director: Mark A. Emmert Mgmt For For
         
1.6 Election of Director: Diane H. Gulyas Mgmt For For
         
1.7 Election of Director: Jeffrey S. Musser Mgmt For For
         
1.8 Election of Director: Liane J. Pelletier Mgmt For For
         
2. Advisory Vote to Approve Named Executive Mgmt For For
  Officer Compensation.      
         
3. Ratification of Independent Registered Public Mgmt For For
  Accounting Firm.      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 66 of 192  

 

Unassigned

FASTENAL COMPANY  
     
Security: 311900104 Agenda Number: 935342270
Ticker: FAST Meeting Type: Annual
ISIN: US3119001044 Meeting Date: 24-Apr-21
     

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
1A. Election of Director: Scott A. Satterlee Mgmt For For
         
1B. Election of Director: Michael J. Ancius Mgmt For For
         
1C. Election of Director: Stephen L. Eastman Mgmt For For
         
1D. Election of Director: Daniel L. Florness Mgmt For For
         
1E. Election of Director: Rita J. Heise Mgmt For For
         
1F. Election of Director: Hsenghung Sam Hsu Mgmt For For
         
1G. Election of Director: Daniel L. Johnson Mgmt For For
         
1H. Election of Director: Nicholas J. Lundquist Mgmt For For
         
1I. Election of Director: Reyne K. Wisecup Mgmt For For
         
2. Ratification of the appointment of KPMG LLP Mgmt For For
  as independent registered public accounting      
  firm for the 2021 fiscal year.      

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 67 of 192  
         

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
3. Approval, by non-binding vote, of executive Mgmt For For
  compensation.      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 68 of 192  

 

Unassigned

GARMIN LTD      
     
Security: H2906T109 Agenda Number: 935402507
Ticker: GRMN Meeting Type: Annual
ISIN: CH0114405324 Meeting Date: 04-Jun-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
1. Approval of Garmin's 2020 Annual Report, Mgmt For For
  including the consolidated financial      
  statements of Garmin for the fiscal year      
  ended December 26, 2020 and the statutory      
  financial statements of Garmin for the fiscal      
  year ended December 26, 2020.      
         
2. Approval of the appropriation of available Mgmt For For
  earnings.      
         
3. Approval of the payment of a cash dividend in Mgmt For For
  the aggregate amount of U.S. $2.68 per      
  outstanding share out of Garmin's reserve      
  from capital contribution in four equal      
  installments.      
         
4. Discharge of the members of the Board of Mgmt For For
  Directors and the Executive Management      
  from liability for the fiscal year ended      
  December 26, 2020.      
         
5A. Re-election of Director: Jonathan C. Burrell Mgmt For For
         
5B. Re-election of Director: Joseph J. Hartnett Mgmt For For
         
5C. Re-election of Director: Min H. Kao Mgmt For For
         
5D. Re-election of Director: Catherine A. Lewis Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 69 of 192

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         

5E. Re-election of Director: Charles W. Peffer Mgmt For For
         
5F. Re-election of Director: Clifton A. Pemble Mgmt For For
         
6. Re-election of Min H. Kao as Executive Mgmt Against Against
  Chairman of the Board of Directors.      
         
7A. Re-election of Compensation Committee Mgmt Against Against
  member: Jonathan C. Burrell      
         
7B. Re-election of Compensation Committee Mgmt For For
  member: Joseph J. Hartnett      
         
7C. Re-election of Compensation Committee Mgmt For For
  member: Catherine A. Lewis      
         
7D. Re-election of Compensation Committee Mgmt For For
  member: Charles W. Peffer      
         
8. Re-election of the law firm Wuersch & Gering Mgmt For For
  LLP as independent voting rights      
  representative.      
         
9. Ratification of the appointment of Ernst & Mgmt For For
  Young LLP as Garmin's Independent      
  Registered Public Accounting Firm for the      
  fiscal year ending December 25, 2021 and re-      
  election of Ernst & Young Ltd as Garmin's      
  statutory auditor for another one-year term.      

 

10. Advisory vote on executive compensation. Mgmt For For
         
11. Binding vote to approve Fiscal Year 2022 Mgmt For For
  maximum aggregate compensation for the      
  Executive Management.      

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 70 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
12. Binding vote to approve maximum aggregate Mgmt For For
  compensation for the Board of Directors for      
  the period between the 2021 Annual General      
  Meeting and the 2022 Annual General      
  Meeting.      

 

 

 

 

Investment Company Report 

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 71 of 192  

 

Unassigned 

GENERAL DYNAMICS CORPORATION    
Security: 369550108 Agenda Number: 935359338
Ticker: GD Meeting Type: Annual
ISIN: US3695501086 Meeting Date: 05-May-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: James S. Crown Mgmt For For
         
1B. Election of Director: Rudy F. deLeon Mgmt For For
         
1C. Election of Director: Cecil D. Haney Mgmt For For
         
1D. Election of Director: Mark M. Malcolm Mgmt For For
         
1E. Election of Director: James N. Mattis Mgmt For For
         
1F. Election of Director: Phebe N. Novakovic Mgmt For For
         
1G. Election of Director: C. Howard Nye Mgmt For For
         
1H. Election of Director: Catherine B. Reynolds Mgmt For For
         
1I. Election of Director: Laura J. Schumacher Mgmt For For
         
1J. Election of Director: Robert K. Steel Mgmt For For
         
1K. Election of Director: John G. Stratton Mgmt For For

 

 

 

 

Investment Company Report 

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 72 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1L. Election of Director: Peter A. Wall Mgmt For For
         
2. Advisory Vote on the Selection of Independent Auditors. Mgmt For For
         
3. Advisory Vote to approve Executive Compensation. Mgmt For For
         
4. Shareholder Proposal to reduce the ownership threshold required to call a Special Shareholder meeting. Shr For Against

 

 

 

 

Investment Company Report 

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 73 of 192  

 

Unassigned 

HONEYWELL INTERNATIONAL INC.    
Security: 438516106 Agenda Number: 935374861
Ticker: HON Meeting Type: Annual
ISIN: US4385161066 Meeting Date: 21-May-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Darius Adamczyk Mgmt For For
         
1B. Election of Director: Duncan B. Angove Mgmt For For
         
1C. Election of Director: William S. Ayer Mgmt For For
         
1D. Election of Director: Kevin Burke Mgmt For For
         
1E. Election of Director: D. Scott Davis Mgmt For For
         
1F. Election of Director: Deborah Flint Mgmt For For
         
1G. Election of Director: Judd Gregg Mgmt For For
         
1H. Election of Director: Grace D. Lieblein Mgmt For For
         
1I. Election of Director: Raymond T. Odierno Mgmt For For
         
1J. Election of Director: George Paz Mgmt For For
         
1K. Election of Director: Robin L. Washington Mgmt For For

 

 

 

 

Investment Company Report 

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 74 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
2. Advisory Vote to Approve Executive Compensation. Mgmt For For
         
3. Approval of Independent Accountants. Mgmt For For
         
4. Shareholder Right To Act By Written Consent. Shr Against For

 

 

 

 

Investment Company Report 

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 75 of 192  

 

Unassigned 

HORMEL FOODS CORPORATION    
Security: 440452100 Agenda Number: 935315564
Ticker: HRL Meeting Type: Annual
ISIN: US4404521001 Meeting Date: 26-Jan-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1a. Election of Director: Prama Bhatt Mgmt For For
         
1b. Election of Director: Gary C. Bhojwani Mgmt For For
         
1c. Election of Director: Terrell K. Crews Mgmt For For
         
1d. Election of Director: Stephen M. Lacy Mgmt For For
         
1e. Election of Director: Elsa A. Murano, Ph.D. Mgmt For For
         
1f. Election of Director: Susan K. Nestegard Mgmt For For
         
1g. Election of Director: William A. Newlands Mgmt For For
         
1h. Election of Director: Christopher J. Policinski Mgmt For For
         
1i. Election of Director: Jose Luis Prado Mgmt For For
         
1j. Election of Director: Sally J. Smith Mgmt For For
         
1k. Election of Director: James P. Snee Mgmt For For

 

 

 

 

Investment Company Report 

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 76 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1l. Election of Director: Steven A. White Mgmt For For
         
2. Ratify the appointment by the Audit Committee of the Board of Directors of Ernst & Young LLP as independent registered public accounting firm for the fiscal year ending October 31, 2021. Mgmt For For
         
3. Approve the Named Executive Officer compensation as disclosed in the Company’s 2021 annual meeting proxy statement. Mgmt For For

 

 

 

 

 

Investment Company Report 

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 77 of 192  

 

Unassigned 

IDEX CORPORATION    
Security: 45167R104 Agenda Number: 935361484
Ticker: IEX Meeting Type: Annual
ISIN: US45167R1041 Meeting Date: 12-May-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director for a term of three years: WILLIAM M. COOK Mgmt For For
         
1B. Election of Director for a term of three years: MARK A. BUTHMAN Mgmt For For
         
1C. Election of Director for a term of three years: LAKECIA N. GUNTER Mgmt For For
         
2. Advisory vote to approve named executive officer compensation. Mgmt For For
         
3. Ratification of the appointment of Deloitte & Touche LLP as our independent registered accounting firm for 2021. Mgmt For For

 

 

 

 

Investment Company Report 

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 78 of 192  

 

Unassigned 

ILLINOIS TOOL WORKS INC.    
Security: 452308109 Agenda Number: 935361509
Ticker: ITW Meeting Type: Annual
ISIN: US4523081093 Meeting Date: 07-May-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Daniel J. Brutto Mgmt For For
         
1B. Election of Director: Susan Crown Mgmt For For
         
1C. Election of Director: Darrell L. Ford Mgmt For For
         
1D. Election of Director: James W. Griffith Mgmt For For
         
1E. Election of Director: Jay L. Henderson Mgmt For For
         
1F. Election of Director: Richard H. Lenny Mgmt For For
         
1G. Election of Director: E. Scott Santi Mgmt For For
         
1H. Election of Director: David B. Smith, Jr. Mgmt For For
         
1I. Election of Director: Pamela B. Strobel Mgmt For For
         
1J. Election of Director: Anré D. Williams Mgmt For For

 

 

 

 

Investment Company Report 

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 79 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
2. Ratification of the appointment of Deloitte & Touche LLP as ITW’s independent registered public accounting firm for 2021. Mgmt For For
         
3. Advisory vote to approve compensation of ITW’s named executive officers. Mgmt For For
         
4. A non-binding stockholder proposal, if properly presented at the meeting, to permit stockholders to act by written consent. Shr For Against

 

 

 

 

 

Investment Company Report 

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 80 of 192  

 

Unassigned 

INTEL CORPORATION    
Security: 458140100 Agenda Number: 935369012
Ticker: INTC Meeting Type: Annual
ISIN: US4581401001 Meeting Date: 13-May-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Patrick P. Gelsinger Mgmt For For
         
1B. Election of Director: James J. Goetz Mgmt For For
         
1C. Election of Director: Alyssa Henry Mgmt For For
         
1D. Election of Director: Omar Ishrak Mgmt For For
         
1E. Election of Director: Risa Lavizzo-Mourey Mgmt For For
         
1F. Election of Director: Tsu-Jae King Liu Mgmt For For
         
1G. Election of Director: Gregory D. Smith Mgmt For For
         
1H. Election of Director: Dion J. Weisler Mgmt For For
         
1I. Election of Director: Frank D. Yeary Mgmt For For
         
2. Ratification of selection of Ernst & Young LLP as our independent registered public accounting firm for 2021. Mgmt For For

 

 

 

 

Investment Company Report 

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 81 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
3. Advisory vote to approve executive compensation of our listed officers. Mgmt Against Against
         
4. Stockholder proposal on whether to allow stockholders to act by written consent, if properly presented at the meeting. Shr Against For
         
5. Stockholder proposal requesting a report on median pay gaps across race and gender, if properly presented at the meeting. Shr Against For
         
6. Stockholder proposal requesting a report on whether written policies or unwritten norms at the company reinforce racism in company culture, if properly presented at the meeting. Shr Against For

 

 

 

 

 

Investment Company Report 

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 82 of 192  

 

Unassigned 

INTERNATIONAL BUSINESS MACHINES CORP.    
Security: 459200101 Agenda Number: 935346949
Ticker: IBM Meeting Type: Annual
ISIN: US4592001014 Meeting Date: 27-Apr-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director for one year term: Thomas Buberl Mgmt For For
         
1B. Election of Director for one year term: Michael L. Eskew Mgmt For For
         
1C. Election of Director for one year term: David N. Farr Mgmt For For
         
1D. Election of Director for one year term: Alex Gorsky Mgmt For For
         
1E. Election of Director for one year term: Michelle J. Howard Mgmt For For
         
1F. Election of Director for one year term: Arvind Krishna Mgmt For For
         
1G. Election of Director for one year term: Andrew N. Liveris Mgmt For For
         
1H. Election of Director for one year term: F. William McNabb III Mgmt For For
         
1I. Election of Director for one year term: Martha E. Pollack Mgmt For For
         
1J. Election of Director for one year term: Joseph R. Swedish Mgmt For For

 

 

 

 

Investment Company Report 

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 83 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1K. Election of Director for one year term: Peter R. Voser Mgmt For For
         
1L. Election of Director for one year term: Frederick H. Waddell Mgmt For For
         
2. Ratification of Appointment of Independent Registered Public Accounting Firm. Mgmt For For
         
3. Advisory Vote on Executive Compensation. Mgmt Against Against
         
4. Stockholder Proposal to Have an Independent Board Chairman. Shr Against For
         
5. Stockholder Proposal on the Right to Act by Written Consent. Shr For Against
         
6. Stockholder Proposal Requesting the Company Publish Annually a Report Assessing its Diversity, Equity and Inclusion Efforts. Shr For For

 

 

 

 

 

Investment Company Report 

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 84 of 192  

 

Unassigned 

INTUIT INC.    
Security: 461202103 Agenda Number: 935313217
Ticker: INTU Meeting Type: Annual
ISIN: US4612021034 Meeting Date: 21-Jan-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1a. Election of Director: Eve Burton Mgmt For For
         
1b. Election of Director: Scott D. Cook Mgmt For For
         
1c. Election of Director: Richard L. Dalzell Mgmt For For
         
1d. Election of Director: Sasan K. Goodarzi Mgmt For For
         
1e. Election of Director: Deborah Liu Mgmt For For
         
1f. Election of Director: Tekedra Mawakana Mgmt For For
         
1g. Election of Director: Suzanne Nora Johnson Mgmt For For
         
1h. Election of Director: Dennis D. Powell Mgmt For For
         
1i. Election of Director: Brad D. Smith Mgmt For For
         
1j. Election of Director: Thomas Szkutak Mgmt For For
         
1k. Election of Director: Raul Vazquez Mgmt For For

 

 

 

 

Investment Company Report 

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 85 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1l. Election of Director: Jeff Weiner Mgmt For For
         
2. Advisory vote to approve Intuit’s executive compensation (say-on-pay). Mgmt For For
         
3. Ratification of the selection of Ernst & Young LLP as Intuit’s independent registered public accounting firm for the fiscal year ending July 31, 2021. Mgmt For For

 

 

 

 

 

Investment Company Report 

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 86 of 192  

 

Unassigned 

JACK HENRY & ASSOCIATES, INC.    
Security: 426281101 Agenda Number: 935282006
Ticker: JKHY Meeting Type: Annual
ISIN: US4262811015 Meeting Date: 17-Nov-20

 

           
Prop. # Proposal Proposed Proposal Vote For/Against
      by   Management’s
          Recommendation
           
1. DIRECTOR      
           
  1 M. Flanigan Mgmt For For
           
  2 J. Prim Mgmt For For
           
  3 T. Wilson Mgmt For For
           
  4 J. Fiegel Mgmt For For
           
  5 T. Wimsett Mgmt For For
           
  6 L. Kelly Mgmt For For
           
  7 S. Miyashiro Mgmt For For
           
  8 W. Brown Mgmt For For
           
  9 D. Foss Mgmt For For
           
2. To approve, on an advisory basis, the compensation of our named executive officers. Mgmt For For

 

 

 

 

Investment Company Report 

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 87 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
3. To approve an amendment to our certificate of incorporation to remove a supermajority voting standard for stockholder approval of an acquisition of the company by another person or entity. Mgmt For For
         
4. To ratify the selection of the Company’s independent registered public accounting firm. Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 88 of 192  

 

Unassigned

JOHNSON & JOHNSON
       
Security: 478160104 Agenda Number: 935345214
Ticker: JNJ Meeting Type: Annual
ISIN: US4781601046 Meeting Date: 22-Apr-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director: Mary C. Beckerle Mgmt For For  
           
1B. Election of Director: D. Scott Davis Mgmt For For  
           
1C. Election of Director: Ian E. L. Davis Mgmt For For  
           
1D. Election of Director: Jennifer A. Doudna Mgmt For For  
           
1E. Election of Director: Alex Gorsky Mgmt For For  
           
1F. Election of Director: Marillyn A. Hewson Mgmt For For  
           
1G. Election of Director: Hubert Joly Mgmt For For  
           
1H. Election of Director: Mark B. McClellan Mgmt For For  
           
1I. Election of Director: Anne M. Mulcahy Mgmt For For  
           
1J. Election of Director: Charles Prince Mgmt For For  
           
1K. Election of Director: A. Eugene Washington Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 89 of 192  

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1L. Election of Director: Mark A. Weinberger Mgmt For For  
           
1M. Election of Director: Nadja Y. West Mgmt For For  
           
1N. Election of Director: Ronald A. Williams Mgmt For For  
           
2. Advisory Vote to Approve Named Executive Mgmt Against Against  
  Officer Compensation.        
           
3. Ratification of Appointment of Mgmt For For  
  PricewaterhouseCoopers LLP as the        
  Independent Registered Public Accounting        
  Firm for 2021.        
           
4. Report on Government Financial Support and Shr Against For  
  Access to COVID-19 Vaccines and        
  Therapeutics.        
           
5. Independent Board Chair. Shr Against For  
           
6. Civil Rights Audit. Shr For Against  
           
7. Executive Compensation Bonus Deferral. Shr For Against  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 90 of 192  

 

Unassigned

JPMORGAN CHASE & CO.
       
Security: 46625H100 Agenda Number: 935372285
Ticker: JPM Meeting Type: Annual
ISIN: US46625H1005 Meeting Date: 18-May-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director: Linda B. Bammann Mgmt For For  
           
1B. Election of Director: Stephen B. Burke Mgmt For For  
           
1C. Election of Director: Todd A. Combs Mgmt For For  
           
1D. Election of Director: James S. Crown Mgmt For For  
           
1E. Election of Director: James Dimon Mgmt For For  
           
1F. Election of Director: Timothy P. Flynn Mgmt For For  
           
1G. Election of Director: Mellody Hobson Mgmt For For  
           
1H. Election of Director: Michael A. Neal Mgmt For For  
           
1I. Election of Director: Phebe N. Novakovic Mgmt For For  
           
1J. Election of Director: Virginia M. Rometty Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 91 of 192  

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
2. Advisory resolution to approve executive Mgmt For For  
  compensation.        
           
3. Approval of Amended and Restated Long- Mgmt For For  
  Term Incentive Plan effective May 18, 2021.        
           
4. Ratification of independent registered public Mgmt For For  
  accounting firm.        
           
5. Improve shareholder written consent. Shr For Against  
           
6. Racial equity audit and report. Shr For Against  
           
7. Independent board chairman. Shr Against For  
           
8. Political and electioneering expenditure Shr Against For  
  congruency report.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 92 of 192  

 

Unassigned

KELLOGG COMPANY
       
Security: 487836108 Agenda Number: 935348359
Ticker: K Meeting Type: Annual
ISIN: US4878361082 Meeting Date: 30-Apr-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director (term expires 2024): Mgmt For For  
  Carter Cast        
           
1B. Election of Director (term expires 2024): Zack Mgmt For For  
  Gund        
           
1C. Election of Director (term expires 2024): Don Mgmt For For  
  Knauss        
           
1D. Election of Director (term expires 2024): Mike Schlotman Mgmt For For  
           
2. Advisory resolution to approve executive Mgmt For For  
  compensation.        
           
3. Ratification of the appointment of Mgmt For For  
  PricewaterhouseCoopers LLP as Kellogg’s        
  independent registered public accounting firm        
  for fiscal year 2021.        
           
4. Management proposal to reduce Mgmt For For  
  supermajority vote requirements.        
           
5. Shareowner proposal, if properly presented at Shr For    
  the meeting, to adopt shareowner right to call        
  a special meeting.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 93 of 192  

 

Unassigned

KIMBERLY-CLARK CORPORATION
       
Security: 494368103 Agenda Number: 935343272
Ticker: KMB Meeting Type: Annual
ISIN: US4943681035 Meeting Date: 29-Apr-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director: John W. Culver Mgmt For For  
           
1B. Election of Director: Robert W. Decherd Mgmt For For  
           
1C. Election of Director: Michael D. Hsu Mgmt For For  
           
1D. Election of Director: Mae C. Jemison, M.D. Mgmt For For  
           
1E. Election of Director: S. Todd Maclin Mgmt For For  
           
1F. Election of Director: Sherilyn S. McCoy Mgmt For For  
           
1G. Election of Director: Christa S. Quarles Mgmt For For  
           
1H. Election of Director: Ian C. Read Mgmt For For  
           
1I. Election of Director: Dunia A. Shive Mgmt For For  
           
1J. Election of Director: Mark T. Smucker Mgmt For For  
           
1K. Election of Director: Michael D. White Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 94 of 192  

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
2. Ratification of Auditor. Mgmt For For  
           
3. Advisory Vote to Approve Named Executive Mgmt For For  
  Officer Compensation.        
           
4. Approval of 2021 Equity Participation Plan. Mgmt For For  
           
5. Approval of 2021 Outside Directors’ Mgmt For For  
  Compensation Plan.        
           
6. Reduce Ownership Threshold required to call Mgmt For For  
  a Special Meeting of Stockholders.        
           
7. Stockholder Proposal Regarding Right to Act Shr Against For  
  by Written Consent.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 95 of 192  

 

Unassigned

L3HARRIS TECHNOLOGIES INC.
       
Security: 502431109 Agenda Number: 935345694
Ticker: LHX Meeting Type: Annual
ISIN: US5024311095 Meeting Date: 23-Apr-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director for a Term Expiring at the Mgmt For For  
  2022 Annual Meeting of Shareholders: Sallie        
  B. Bailey        
           
1B. Election of Director for a Term Expiring at the Mgmt For For  
  2022 Annual Meeting of Shareholders:        
  William M. Brown        
           
1C. Election of Director for a Term Expiring at the Mgmt For For  
  2022 Annual Meeting of Shareholders: Peter        
  W. Chiarelli        
           
1D. Election of Director for a Term Expiring at the Mgmt For For  
  2022 Annual Meeting of Shareholders:        
  Thomas A. Corcoran        
           
1E. Election of Director for a Term Expiring at the Mgmt For For  
  2022 Annual Meeting of Shareholders:        
  Thomas A. Dattilo        
           
1F. Election of Director for a Term Expiring at the Mgmt For For  
  2022 Annual Meeting of Shareholders: Roger        
  B. Fradin        
           
1G. Election of Director for a Term Expiring at the Mgmt For For  
  2022 Annual Meeting of Shareholders: Lewis        
  Hay III        
           
1H. Election of Director for a Term Expiring at the Mgmt For For  
  2022 Annual Meeting of Shareholders: Lewis        
  Kramer        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 96 of 192  

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1I. Election of Director for a Term Expiring at the Mgmt For For  
  2022 Annual Meeting of Shareholders:        
  Christopher E. Kubasik        
           
1J. Election of Director for a Term Expiring at the Mgmt For For  
  2022 Annual Meeting of Shareholders: Rita S.        
  Lane        
           
1K. Election of Director for a Term Expiring at the Mgmt For For  
  2022 Annual Meeting of Shareholders: Robert        
  B. Millard        
           
1L. Election of Director for a Term Expiring at the Mgmt For For  
  2022 Annual Meeting of Shareholders: Lloyd        
  W. Newton        
           
2. Approval, in an Advisory Vote, of the Mgmt For For  
  Compensation of Named Executive Officers        
  as Disclosed in the Proxy Statement.        
           
3. Ratification of Appointment of Ernst & Mgmt For For  
  Young LLP as Independent Registered        
  Public Accounting Firm for Fiscal Year 2021.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 97 of 192  

 

Unassigned

LOCKHEED MARTIN CORPORATION
       
Security: 539830109 Agenda Number: 935349933
Ticker: LMT Meeting Type: Annual
ISIN: US5398301094 Meeting Date: 22-Apr-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director: Daniel F. Akerson Mgmt For For  
           
1B. Election of Director: David B. Burritt Mgmt For For  
           
1C. Election of Director: Bruce A. Carlson Mgmt For For  
           
1D. Election of Director: Joseph F. Dunford, Jr. Mgmt For For  
           
1E. Election of Director: James O. Ellis, Jr. Mgmt For For  
           
1F. Election of Director: Thomas J. Falk Mgmt For For  
           
1G. Election of Director: Ilene S. Gordon Mgmt For For  
           
1H. Election of Director: Vicki A. Hollub Mgmt For For  
           
1I. Election of Director: Jeh C. Johnson Mgmt For For  
           
1J. Election of Director: Debra L. Reed-Klages Mgmt For For  
           
1K. Election of Director: James D. Taiclet Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 98 of 192  

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
2. Ratification of Appointment of Ernst & Mgmt For For  
  Young LLP as Independent Auditors for 2021.        
           
3. Advisory Vote to Approve the Compensation Mgmt For For  
  of our Named Executive Officers (Say-on-        
  Pay).        
           
4. Stockholder Proposal to Adopt Stockholder Shr For Against  
  Action By Written Consent.        
           
5. Stockholder Proposal to issue a Report on Shr Against For  
  Human Rights Due Diligence.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 99 of 192  

 

Unassigned

LOWE’S COMPANIES, INC.
       
Security: 548661107 Agenda Number: 935387729
Ticker: LOW Meeting Type: Annual
ISIN: US5486611073 Meeting Date: 28-May-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
      by   Management’s  
          Recommendation  
             
1. DIRECTOR        
             
  1 Raul Alvarez Mgmt For For  
             
  2 David H. Batchelder Mgmt For For  
             
  3 Angela F. Braly Mgmt For For  
             
  4 Sandra B. Cochran Mgmt For For  
             
  5 Laurie Z. Douglas Mgmt For For  
             
  6 Richard W. Dreiling Mgmt For For  
             
  7 Marvin R. Ellison Mgmt For For  
             
  8 Daniel J. Heinrich Mgmt For For  
             
  9 Brian C. Rogers Mgmt For For  
             
  10 Bertram L. Scott Mgmt For For  
             
  11 Mary Beth West Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 100 of 192  

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
2. Advisory vote to approve Lowe’s named Mgmt For For  
  executive officer compensation in fiscal 2020.        
           
3. Ratification of the appointment of Deloitte & Mgmt For For  
  Touche LLP as Lowe’s independent        
  registered public accounting firm for fiscal        
  2021.        
           
4. Shareholder proposal regarding amending the Shr Against For  
  Company’s proxy access bylaw to remove        
  shareholder aggregation limits.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 101 of 192  

 

Unassigned

MARSH & MCLENNAN COMPANIES, INC.
       
Security: 571748102 Agenda Number: 935372817
Ticker: MMC Meeting Type: Annual
ISIN: US5717481023 Meeting Date: 20-May-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director: Anthony K. Anderson Mgmt For For  
           
1B. Election of Director: Oscar Fanjul Mgmt For For  
           
1C. Election of Director: Daniel S. Glaser Mgmt For For  
           
1D. Election of Director: H. Edward Hanway Mgmt For For  
           
1E. Election of Director: Deborah C. Hopkins Mgmt For For  
           
1F. Election of Director: Tamara Ingram Mgmt For For  
           
1G. Election of Director: Jane H. Lute Mgmt For For  
           
1H. Election of Director: Steven A. Mills Mgmt For For  
           
1I. Election of Director: Bruce P. Nolop Mgmt For For  
           
1J. Election of Director: Marc D. Oken Mgmt For For  
           
1K. Election of Director: Morton O. Schapiro Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 102 of 192  

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1L. Election of Director: Lloyd M. Yates Mgmt For For  
           
1M. Election of Director: R. David Yost Mgmt For For  
           
2. Advisory (Nonbinding) Vote to Approve Mgmt For For  
  Named Executive Officer Compensation.        
           
3. Ratification of Selection of Independent Mgmt For For  
  Registered Public Accounting Firm.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 103 of 192  

 

Unassigned

MASTERCARD INCORPORATED
       
Security: 57636Q104 Agenda Number: 935420644
Ticker: MA Meeting Type: Annual
ISIN: US57636Q1040 Meeting Date: 22-Jun-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director: Ajay Banga Mgmt For For  
           
1B. Election of Director: Merit E. Janow Mgmt For For  
           
1C. Election of Director: Richard K. Davis Mgmt For For  
           
1D. Election of Director: Steven J. Freiberg Mgmt For For  
           
1E. Election of Director: Julius Genachowski Mgmt For For  
           
1F. Election of Director: Choon Phong Goh Mgmt For For  
           
1G. Election of Director: Oki Matsumoto Mgmt For For  
           
1H. Election of Director: Michael Miebach Mgmt For For  
           
1I. Election of Director: Youngme Moon Mgmt For For  
           
1J. Election of Director: Rima Qureshi Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 104 of 192  

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1K. Election of Director: José Octavio Reyes Mgmt For For  
  Lagunes        
           
1L. Election of Director: Gabrielle Sulzberger Mgmt For For  
           
1M. Election of Director: Jackson Tai Mgmt For For  
           
1N. Election of Director: Lance Uggla Mgmt For For  
           
2. Advisory approval of Mastercard’s executive Mgmt For For  
  compensation.        
           
3. Ratification of the appointment of Mgmt For For  
  PricewaterhouseCoopers LLP as the        
  independent registered public accounting firm        
  for Mastercard for 2021.        
           
4. Approval of the amendment and restatement Mgmt For For  
  of the Mastercard Incorporated 2006 Long        
  Term Incentive Plan.        
           
5. Approval of the amendment and restatement Mgmt For For  
  of the Mastercard Incorporated 2006 Non-        
  Employee Director Equity Compensation        
  Plan.        
           
6. Approval of amendments to Mastercard’s Mgmt For For  
  Certificate of Incorporation to remove        
  supermajority voting requirements.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 105 of 192  

 

Unassigned

MCDONALD’S CORPORATION
       
Security: 580135101 Agenda Number: 935380395
Ticker: MCD Meeting Type: Annual
ISIN: US5801351017 Meeting Date: 20-May-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director for a one-year term Mgmt For For  
  expiring in 2022: Lloyd Dean        
           
1B. Election of Director for a one-year term Mgmt For For  
  expiring in 2022: Robert Eckert        
           
1C. Election of Director for a one-year term Mgmt For For  
  expiring in 2022: Catherine Engelbert        
           
1D. Election of Director for a one-year term Mgmt For For  
  expiring in 2022: Margaret Georgiadis        
           
1E. Election of Director for a one-year term Mgmt For For  
  expiring in 2022: Enrique Hernandez, Jr.        
           
1F. Election of Director for a one-year term Mgmt For For  
  expiring in 2022: Christopher Kempczinski        
           
1G. Election of Director for a one-year term Mgmt For For  
  expiring in 2022: Richard Lenny        
           
1H. Election of Director for a one-year term Mgmt For For  
  expiring in 2022: John Mulligan        
           
1I. Election of Director for a one-year term Mgmt For For  
  expiring in 2022: Sheila Penrose        
           
1J. Election of Director for a one-year term Mgmt For For  
  expiring in 2022: John Rogers, Jr.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 106 of 192  

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1K. Election of Director for a one-year term Mgmt For For  
  expiring in 2022: Paul Walsh        
           
1L. Election of Director for a one-year term Mgmt For For  
  expiring in 2022: Miles White        
           
2. Advisory vote to approve executive Mgmt For For  
  compensation.        
           
3. Advisory vote to ratify the appointment of Mgmt For For  
  Ernst & Young LLP as independent auditor for        
  2021.        
           
4. Advisory vote on a shareholder proposal Shr Against For  
  requesting a report on sugar and public        
  health, if properly presented.        
           
5. Advisory vote on a shareholder proposal Shr Against For  
  requesting a report on antibiotics and public        
  health costs, if properly presented.        
           
6. Advisory vote on a shareholder proposal Shr For Against  
  requesting the ability for shareholders to act        
  by written consent, if properly presented.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 107 of 192  

 

Unassigned

MEDTRONIC PLC
       
Security: G5960L103 Agenda Number: 935288286
Ticker: MDT Meeting Type: Annual
ISIN: IE00BTN1Y115 Meeting Date: 11-Dec-20

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director: Richard H. Anderson Mgmt For For  
           
1B. Election of Director: Craig Arnold Mgmt For For  
           
1C. Election of Director: Scott C. Donnelly Mgmt For For  
           
1D. Election of Director: Andrea J. Goldsmith, Mgmt For For  
  Ph.D.        
           
1E. Election of Director: Randall J. Hogan, III Mgmt For For  
           
1F. Election of Director: Michael O. Leavitt Mgmt For For  
           
1G. Election of Director: James T. Lenehan Mgmt For For  
           
1H. Election of Director: Kevin E. Lofton Mgmt For For  
           
1I. Election of Director: Geoffrey S. Martha Mgmt For For  
           
1J. Election of Director: Elizabeth G. Nabel, M.D. Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 108 of 192  

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1K. Election of Director: Denise M. O’Leary Mgmt For For  
           
1L. Election of Director: Kendall J. Powell Mgmt For For  
           
2. To ratify, in a non-binding vote, the Mgmt For For  
  appointment of PricewaterhouseCoopers LLP        
  as the Company’s independent auditor for        
  fiscal year 2021 and to authorize, in a binding        
  vote, the Board of Directors, acting through        
  the Audit Committee, to set the auditor’s        
  remuneration.        
           
3. To approve, in a non-binding advisory vote, Mgmt For For  
  named executive officer compensation (a        
  “Say-on-Pay” vote).        
           
4. To renew the Board’s authority to issue Mgmt For For  
  shares.        
           
5. To renew the Board’s authority to opt out of Mgmt For For  
  pre-emption rights.        
           
6. Authorizing the Company and any subsidiary Mgmt For For  
  of the Company to make overseas market        
  purchases of Medtronic ordinary shares.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 109 of 192  

 

Unassigned

MERCK & CO., INC.
       
Security: 58933Y105 Agenda Number: 935381044
Ticker: MRK Meeting Type: Annual
ISIN: US58933Y1055 Meeting Date: 25-May-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director: Leslie A. Brun Mgmt For For  
           
1B. Election of Director: Mary Ellen Coe Mgmt For For  
           
1C. Election of Director: Pamela J. Craig Mgmt For For  
           
1D. Election of Director: Kenneth C. Frazier Mgmt For For  
           
1E. Election of Director: Thomas H. Glocer Mgmt For For  
           
1F. Election of Director: Risa J. Lavizzo-Mourey Mgmt For For  
           
1G. Election of Director: Stephen L. Mayo Mgmt For For  
           
1H. Election of Director: Paul B. Rothman Mgmt For For  
           
1I. Election of Director: Patricia F. Russo Mgmt For For  
           
1J. Election of Director: Christine E. Seidman Mgmt For For  
           
1K. Election of Director: Inge G. Thulin Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 110 of 192  

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1L. Election of Director: Kathy J. Warden Mgmt For For  
           
1M. Election of Director: Peter C. Wendell Mgmt For For  
           
2. Non-binding advisory vote to approve the Mgmt For For  
  compensation of our named executive        
  officers.        
           
3. Ratification of the appointment of the Mgmt For For  
  Company’s independent registered public        
  accounting firm for 2021.        
           
4. Shareholder proposal concerning a Shr Against For  
  shareholder right to act by written consent.        
           
5. Shareholder proposal regarding access to Shr Against For  
  COVID-19 products.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 111 of 192  

 

Unassigned

MICROSOFT CORPORATION
       
Security: 594918104 Agenda Number: 935284478
Ticker: MSFT Meeting Type: Annual
ISIN: US5949181045 Meeting Date: 02-Dec-20

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director: Reid G. Hoffman Mgmt For For  
           
1B. Election of Director: Hugh F. Johnston Mgmt For For  
           
1C. Election of Director: Teri L. List-Stoll Mgmt For For  
           
1D. Election of Director: Satya Nadella Mgmt For For  
           
1E. Election of Director: Sandra E. Peterson Mgmt For For  
           
1F. Election of Director: Penny S. Pritzker Mgmt For For  
           
1G. Election of Director: Charles W. Scharf Mgmt For For  
           
1H. Election of Director: Arne M. Sorenson Mgmt For For  
           
1I. Election of Director: John W. Stanton Mgmt For For  
           
1J. Election of Director: John W. Thompson Mgmt For For  
           
1K. Election of Director: Emma N. Walmsley Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 112 of 192  

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1L. Election of Director: Padmasree Warrior Mgmt For For  
           
2. Advisory vote to approve named executive Mgmt For For  
  officer compensation.        
           
3. Ratification of Deloitte & Touche LLP as our Mgmt For For  
  independent auditor for fiscal year 2021.        
           
4. Shareholder Proposal - Report on Employee Shr Against For  
  Representation on Board of Directors.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 113 of 192  

 

Unassigned

MONDELEZ INTERNATIONAL, INC.    
Security: 609207105 Agenda Number: 935357360
Ticker: MDLZ Meeting Type: Annual
ISIN: US6092071058 Meeting Date: 19-May-21

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Lewis W.K. Booth Mgmt For For
         
1B. Election of Director: Charles E. Bunch Mgmt For For
         
1C. Election of Director: Lois D. Juliber Mgmt For For
         
1D. Election of Director: Peter W. May Mgmt For For
         
1E. Election of Director: Jorge S. Mesquita Mgmt For For
         
1F. Election of Director: Jane H. Nielsen Mgmt For For
         
1G. Election of Director: Fredric G. Reynolds Mgmt For For
         
1H. Election of Director: Christiana S. Shi Mgmt For For
         
1I. Election of Director: Patrick T. Siewert Mgmt For For
         
1J. Election of Director: Michael A. Todman Mgmt For For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 114 of 192  

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1K. Election of Director: Jean-François M. L. van Boxmeer Mgmt For For
         
1L. Election of Director: Dirk Van de Put Mgmt For For
         
2. Advisory Vote to Approve Executive Compensation. Mgmt For For
         
3. Ratification of PricewaterhouseCoopers LLP as Independent Registered Public Accountants for Fiscal Year Ending December 31, 2021. Mgmt For For
         
4. Consider Employee Pay in Setting Chief Executive Officer Pay. Shr Against For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 115 of 192  

 

Unassigned

MOODY’S CORPORATION    
Security: 615369105 Agenda Number: 935344438
Ticker: MCO Meeting Type: Annual
ISIN: US6153691059 Meeting Date: 20-Apr-21

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Jorge A. Bermudez Mgmt For For
         
1B. Election of Director: Thérèse Esperdy Mgmt For For
         
1C. Election of Director: Robert Fauber Mgmt For For
         
1D. Election of Director: Vincent A. Forlenza Mgmt For For
         
1E. Election of Director: Kathryn M. Hill Mgmt For For
         
1F. Election of Director: Lloyd W. Howell, Jr. Mgmt For For
         
1G. Election of Director: Raymond W. McDaniel, Jr. Mgmt For For
         
1H. Election of Director: Leslie F. Seidman Mgmt For For
         
1I. Election of Director: Bruce Van Saun Mgmt For For
         
2. Ratification of the appointment of KPMG LLP as independent registered public accounting firm of the Company for 2021. Mgmt For For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 116 of 192  

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
3. Advisory resolution approving executive compensation. Mgmt For For
         
4. Advisory “Say-on-Climate Plan” resolution approving the Company’s 2020 Decarbonization Plan. Mgmt Abstain Against

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 117 of 192  

 

Unassigned

MOTOROLA SOLUTIONS, INC.    
Security: 620076307 Agenda Number: 935363274
Ticker: MSI Meeting Type: Annual
ISIN: US6200763075 Meeting Date: 18-May-21

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director for One-Year Term: Gregory Q. Brown Mgmt For For
         
1B. Election of Director for One-Year Term: Kenneth D. Denman Mgmt For For
         
1C. Election of Director for One-Year Term: Egon P. Durban Mgmt For For
         
1D. Election of Director for One-Year Term: Clayton M. Jones Mgmt For For
         
1E. Election of Director for One-Year Term: Judy C. Lewent Mgmt For For
         
1F. Election of Director for One-Year Term: Gregory K. Mondre Mgmt For For
         
1G. Election of Director for One-Year Term: Joseph M. Tucci Mgmt For For
         
2. Ratification of the appointment of PricewaterhouseCoopers LLP as the Company’s Independent Registered Public Accounting Firm for 2021. Mgmt For For
         
3. Advisory approval of the Company’s executive compensation. Mgmt For For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 118 of 192  

 

Unassigned

MSCI INC.    
Security: 55354G100 Agenda Number: 935348006
Ticker: MSCI Meeting Type: Annual
ISIN: US55354G1004 Meeting Date: 27-Apr-21

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Henry A. Fernandez Mgmt For For
         
1B. Election of Director: Robert G. Ashe Mgmt For For
         
1C. Election of Director: Wayne Edmunds Mgmt For For
         
1D. Election of Director: Catherine R. Kinney Mgmt For For
         
1E. Election of Director: Jacques P. Perold Mgmt For For
         
1F. Election of Director: Sandy C. Rattray Mgmt For For
         
1G. Election of Director: Linda H. Riefler Mgmt For For
         
1H. Election of Director: Marcus L. Smith Mgmt For For
         
1I. Election of Director: Paula Volent Mgmt For For
         
2. To approve, by non-binding vote, our executive compensation, as described in these proxy materials. Mgmt For For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 119 of 192  

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
         
3. To ratify the appointment of PricewaterhouseCoopers LLP as independent auditor. Mgmt For For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 120 of 192  

 

Unassigned

NEXTERA ENERGY, INC.    
Security: 65339F101 Agenda Number: 935378201
Ticker: NEE Meeting Type: Annual
ISIN: US65339F1012 Meeting Date: 20-May-21

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Sherry S. Barrat Mgmt For For
         
1B. Election of Director: James L. Camaren Mgmt For For
         
1C. Election of Director: Kenneth B. Dunn Mgmt For For
         
1D. Election of Director: Naren K. Gursahaney Mgmt For For
         
1E. Election of Director: Kirk S. Hachigian Mgmt For For
         
1F. Election of Director: Amy B. Lane Mgmt For For
         
1G. Election of Director: David L. Porges Mgmt For For
         
1H. Election of Director: James L. Robo Mgmt For For
         
1I. Election of Director: Rudy E. Schupp Mgmt For For
         
1J. Election of Director: John L. Skolds Mgmt For For
         
1K. Election of Director: Lynn M. Utter Mgmt For For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 121 of 192  

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1L. Election of Director: Darryl L. Wilson Mgmt For For
         
2. Ratification of appointment of Deloitte & Touche LLP as NextEra Energy’s independent registered public accounting firm for 2021. Mgmt For For
         
3. Approval, by non-binding advisory vote, of NextEra Energy’s compensation of its named executive officers as disclosed in the proxy statement. Mgmt For For
         
4. Approval of the NextEra Energy, Inc. 2021 Long Term Incentive Plan. Mgmt For For
         
5. A proposal entitled “Right to Act by Written Consent” to request action by written consent of shareholders. Shr For Against

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 122 of 192  

 

Unassigned

NIKE, INC.    
Security: 654106103 Agenda Number: 935256378
Ticker: NKE Meeting Type: Annual
ISIN: US6541061031 Meeting Date: 17-Sep-20

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1a. Election of Class B Director: Alan B. Graf, Jr. Mgmt For For
         
1b. Election of Class B Director: Peter B. Henry Mgmt For For
         
1c. Election of Class B Director: Michelle A. Peluso Mgmt For For
         
2. To approve executive compensation by an advisory vote. Mgmt Against Against
         
3. To ratify the appointment of PricewaterhouseCoopers LLP as independent registered public accounting firm. Mgmt For For
         
4. To approve the Nike, Inc. Stock Incentive Plan, as amended and restated. Mgmt For For
         
5. To consider a shareholder proposal regarding political contributions disclosure. Shr Against For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 123 of 192  

 

Unassigned

NORFOLK SOUTHERN CORPORATION    
Security: 655844108 Agenda Number: 935363046
Ticker: NSC Meeting Type: Annual
ISIN: US6558441084 Meeting Date: 13-May-21

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1a. Election of Director: Thomas D. Bell, Jr. Mgmt For For
         
1b. Election of Director: Mitchell E. Daniels, Jr. Mgmt For For
         
1c. Election of Director: Marcela E. Donadio Mgmt For For
         
1d. Election of Director: John C. Huffard, Jr. Mgmt For For
         
1e. Election of Director: Christopher T. Jones Mgmt For For
         
1f. Election of Director: Thomas C. Kelleher Mgmt For For
         
1g. Election of Director: Steven F. Leer Mgmt For For
         
1h. Election of Director: Michael D. Lockhart Mgmt For For
         
1i. Election of Director: Amy E. Miles Mgmt For For
         
1j. Election of Director: Claude Mongeau Mgmt For For
         
1k. Election of Director: Jennifer F. Scanlon Mgmt For For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 124 of 192  

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1l. Election of Director: James A. Squires Mgmt For For
         
1m. Election of Director: John R. Thompson Mgmt For For
         
2. Ratification of the appointment of KPMG LLP, independent registered public accounting firm, as Norfolk Southern’s independent auditors for the year ending December 31, 2021. Mgmt For For
         
3. Approval of the advisory resolution on executive compensation, as disclosed in the proxy statement for the 2021 Annual Meeting of Shareholders. Mgmt For For
         
4. Proposal regarding revisions to ownership requirements for proxy access. Shr Against For
         
5. Proposal regarding a report on lobbying activity alignment with Paris Climate Agreement. Shr For Against

 

 

Investment Company Report

 

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      Page 125 of 192  

 

Unassigned

NORTHROP GRUMMAN CORPORATION    
Security: 666807102 Agenda Number: 935386018
Ticker: NOC Meeting Type: Annual
ISIN: US6668071029 Meeting Date: 19-May-21

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Kathy J. Warden Mgmt For For
         
1B. Election of Director: David P. Abney Mgmt For For
         
1C. Election of Director: Marianne C. Brown Mgmt For For
         
1D. Election of Director: Donald E. Felsinger Mgmt For For
         
1E. Election of Director: Ann M. Fudge Mgmt For For
         
1F. Election of Director: William H. Hernandez Mgmt For For
         
1G. Election of Director: Madeleine A. Kleiner Mgmt For For
         
1H. Election of Director: Karl J. Krapek Mgmt For For
         
1I. Election of Director: Gary Roughead Mgmt For For
         
1J. Election of Director: Thomas M. Schoewe Mgmt For For
         
1K. Election of Director: James S. Turley Mgmt For For

 

 

Investment Company Report

 

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      Page 126 of 192  

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1L. Election of Director: Mark A. Welsh III Mgmt For For
         
2. Proposal to approve, on an advisory basis, the compensation of the Company’s Named Executive Officers. Mgmt For For
         
3. Proposal to ratify the appointment of Deloitte & Touche LLP as the Company’s Independent Auditor for fiscal year ending December 31, 2021. Mgmt For For
         
4. Shareholder proposal that the Company assess and report on potential human rights impacts that could result from governments’ use of the Company’s products and services, including in conflict-affected areas. Shr Against For
         
5. Shareholder proposal to move to a 10% ownership threshold for shareholders to request action by written consent. Shr For Against

 

 

Investment Company Report

 

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      Page 127 of 192  

 

Unassigned

ORACLE CORPORATION    
Security: 68389X105 Agenda Number: 935274554
Ticker: ORCL Meeting Type: Annual
ISIN: US68389X1054 Meeting Date: 04-Nov-20

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1. DIRECTOR      
           
  1 Jeffrey S. Berg Mgmt For For
           
  2 Michael J. Boskin Mgmt For For
           
  3 Safra A. Catz Mgmt For For
           
  4 Bruce R. Chizen Mgmt For For
           
  5 George H. Conrades Mgmt For For
           
  6 Lawrence J. Ellison Mgmt For For
           
  7 Rona A. Fairhead Mgmt For For
           
  8 Jeffrey O. Henley Mgmt For For
           
  9 Renee J. James Mgmt For For
           
  10 Charles W. Moorman IV Mgmt For For
           
  11 Leon E. Panetta Mgmt For For

 

 

Investment Company Report

 

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      Page 128 of 192  

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
         
  12 William G. Parrett Mgmt For For
         
  13 Naomi O. Seligman Mgmt For For
         
  14 Vishal Sikka Mgmt For For
         
2. Advisory Vote to Approve Compensation of Named Executive Officers. Mgmt Against Against
         
3. Approve the Oracle Corporation 2020 Equity Incentive Plan. Mgmt For For
         
4. Ratification of Selection of Independent Registered Public Accounting Firm. Mgmt For For
         
5. Stockholder Proposal Regarding Pay Equity Report. Shr For Against
         
6. Stockholder Proposal Regarding Independent Board Chair. Shr Against For

 

 

Investment Company Report

 

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      Page 129 of 192  

 

Unassigned

PACCAR INC    
Security: 693718108 Agenda Number: 935351457
Ticker: PCAR Meeting Type: Annual
ISIN: US6937181088 Meeting Date: 27-Apr-21

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Mark C. Pigott Mgmt For For
         
1B. Election of Director: Dame Alison J. Carnwath Mgmt For For
         
1C. Election of Director: Franklin L. Feder Mgmt For For
         
1D. Election of Director: R. Preston Feight Mgmt For For
         
1E. Election of Director: Beth E. Ford Mgmt For For
         
1F. Election of Director: Kirk S. Hachigian Mgmt For For
         
1G. Election of Director: Roderick C. McGeary Mgmt For For
         
1H. Election of Director: John M. Pigott Mgmt For For
         
1I. Election of Director: Ganesh Ramaswamy Mgmt For For
         
1J. Election of Director: Mark A. Schulz Mgmt For For
         
1K. Election of Director: Gregory M. E. Spierkel Mgmt For For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 130 of 192  

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
2. Stockholder proposal regarding supermajority voting provisions if properly presented at the meeting. Shr For Against

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 131 of 192  

 

Unassigned

PAYCHEX, INC.    
Security: 704326107 Agenda Number: 935267066
Ticker: PAYX Meeting Type: Annual
ISIN: US7043261079 Meeting Date: 15-Oct-20

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: B. Thomas Golisano Mgmt For For
         
1B. Election of Director: Thomas F. Bonadio Mgmt For For
         
1C. Election of Director: Joseph G. Doody Mgmt For For
         
1D. Election of Director: David J.S. Flaschen Mgmt For For
         
1E. Election of Director: Pamela A. Joseph Mgmt For For
         
1F. Election of Director: Martin Mucci Mgmt For For
         
1G. Election of Director: Joseph M. Tucci Mgmt For For
         
1H. Election of Director: Joseph M. Velli Mgmt For For
         
1I. Election of Director: Kara Wilson Mgmt For For
         
2. ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. Mgmt For For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 132 of 192  

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
3. TO APPROVE AND AMEND THE PAYCHEX, INC. 2002 STOCK INCENTIVE PLAN. Mgmt For For
         
4. RATIFICATION OF SELECTION OF PRICEWATERHOUSECOOPERS LLP TO SERVE AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. Mgmt For For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 133 of 192  

 

Unassigned

PEPSICO, INC.    
Security: 713448108 Agenda Number: 935355342
Ticker: PEP Meeting Type: Annual
ISIN: US7134481081 Meeting Date: 05-May-21

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Segun Agbaje Mgmt For For
         
1B. Election of Director: Shona L. Brown Mgmt For For
         
1C. Election of Director: Cesar Conde Mgmt For For
         
1D. Election of Director: Ian Cook Mgmt For For
         
1E. Election of Director: Dina Dublon Mgmt For For
         
1F. Election of Director: Michelle Gass Mgmt For For
         
1G. Election of Director: Ramon L. Laguarta Mgmt For For
         
1H. Election of Director: Dave Lewis Mgmt For For
         
1I. Election of Director: David C. Page Mgmt For For
         
1J. Election of Director: Robert C. Pohlad Mgmt For For
         
1K. Election of Director: Daniel Vasella Mgmt For For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 134 of 192  

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1L. Election of Director: Darren Walker Mgmt For For
         
1M. Election of Director: Alberto Weisser Mgmt For For
         
2. Ratification of the appointment of KPMG LLP as the Company’s independent registered public accounting firm for fiscal year 2021. Mgmt For For
         
3. Advisory approval of the Company’s executive compensation. Mgmt For For
         
4. Shareholder Proposal - Special Shareholder Meeting Vote Threshold. Shr For Against
         
5. Shareholder Proposal - Report on Sugar and Public Health. Shr Against For
         
6. Shareholder Proposal - Report on External Public Health Costs. Shr Against For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 135 of 192  

 

Unassigned

PFIZER INC.    
Security: 717081103 Agenda Number: 935344503
Ticker: PFE Meeting Type: Annual
ISIN: US7170811035 Meeting Date: 22-Apr-21

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Ronald E. Blaylock Mgmt For For
         
1B. Election of Director: Albert Bourla Mgmt For For
         
1C. Election of Director: Susan Desmond-Hellmann Mgmt For For
         
1D. Election of Director: Joseph J. Echevarria Mgmt For For
         
1E. Election of Director: Scott Gottlieb Mgmt For For
         
1F. Election of Director: Helen H. Hobbs Mgmt For For
         
1G. Election of Director: Susan Hockfield Mgmt For For
         
1H. Election of Director: Dan R. Littman Mgmt For For
         
1I. Election of Director: Shantanu Narayen Mgmt For For
         
1J. Election of Director: Suzanne Nora Johnson Mgmt For For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 136 of 192  

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1K. Election of Director: James Quincey Mgmt For For
         
1L. Election of Director: James C. Smith Mgmt For For
         
2. Ratify the selection of KPMG LLP as independent registered public accounting firm for 2021. Mgmt For For
         
3. 2021 advisory approval of executive compensation. Mgmt For For
         
4. Shareholder proposal regarding independent chair policy. Shr Against For
         
5. Shareholder proposal regarding political spending report. Shr Against For
         
6. Shareholder proposal regarding access to COVID-19 products. Shr Against For

 

 

Investment Company Report

 

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      Page 137 of 192  

 

Unassigned

PHILIP MORRIS INTERNATIONAL INC.    
Security: 718172109 Agenda Number: 935359112
Ticker: PM Meeting Type: Annual
ISIN: US7181721090 Meeting Date: 05-May-21

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Brant Bonin Bough Mgmt For For
         
1B. Election of Director: André Calantzopoulos Mgmt For For
         
1C. Election of Director: Michel Combes Mgmt For For
         
1D. Election of Director: Juan José Daboub Mgmt For For
         
1E. Election of Director: Werner Geissler Mgmt For For
         
1F. Election of Director: Lisa A. Hook Mgmt For For
         
1G. Election of Director: Jun Makihara Mgmt For For
         
1H. Election of Director: Kalpana Morparia Mgmt For For
         
1I. Election of Director: Lucio A. Noto Mgmt For For
         
1J. Election of Director: Jacek Olczak Mgmt For For
         
1K. Election of Director: Frederik Paulsen Mgmt For For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 138 of 192  

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1L. Election of Director: Robert B. Polet Mgmt For For
         
1M. Election of Director: Shlomo Yanai Mgmt For For
         
2. Advisory Vote Approving Executive Compensation. Mgmt For For
         
3. Ratification of the Selection of Independent Auditors. Mgmt For For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 139 of 192  

 

Unassigned

ROCKWELL AUTOMATION, INC.    
Security: 773903109 Agenda Number: 935318534
Ticker: ROK Meeting Type: Annual
ISIN: US7739031091 Meeting Date: 02-Feb-21

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
A. DIRECTOR      
           
  1 William P. Gipson Mgmt For For
           
  2 J. Phillip Holloman Mgmt For For
           
  3 Steven R. Kalmanson Mgmt For For
           
  4 Lawrence D. Kingsley Mgmt For For
           
  5 Lisa A. Payne Mgmt For For
           
B. To approve, on an advisory basis, the compensation of the Corporation’s named executive officers. Mgmt For For
           
C. To approve the selection of Deloitte & Touche LLP as the Corporation’s independent registered public accounting firm. Mgmt For For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 140 of 192  

 

Unassigned

S&P GLOBAL INC.    
Security: 78409V104 Agenda Number: 935329816
Ticker: SPGI Meeting Type: Special
ISIN: US78409V1044 Meeting Date: 11-Mar-21

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1. Approval of the S&P Global Share Issuance.To vote on a proposal to approve the issuance of S&P Global Inc. common stock, par value $1.00 per share, to the shareholders of IHS Markit Ltd. in connection with the merger contemplated by Agreement and Plan of Merger dated Nov. 29, 2020, as amended by Amendment No. 1, dated as of January 20, 2021, and as it may further be amended from time to time, by and among S&P Global Inc., Sapphire Subsidiary, Ltd. and IHS Markit Ltd. Mgmt For For

 

 

Investment Company Report

 

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      Page 141 of 192  

 

Unassigned

S&P GLOBAL INC.    
Security: 78409V104 Agenda Number: 935381462
Ticker: SPGI Meeting Type: Annual
ISIN: US78409V1044 Meeting Date: 05-May-21

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1a. Election of Director: Marco Alverà Mgmt For For
         
1b. Election of Director: William J. Amelio Mgmt For For
         
1c. Election of Director: William D. Green Mgmt For For
         
1d. Election of Director: Stephanie C. Hill Mgmt For For
         
1e. Election of Director: Rebecca Jacoby Mgmt For For
         
1f. Election of Director: Monique F. Leroux Mgmt For For
         
1g. Election of Director: Ian P. Livingston Mgmt For For
         
1h. Election of Director: Maria R. Morris Mgmt For For
         
1i. Election of Director: Douglas L. Peterson Mgmt For For
         
1j. Election of Director: Edward B. Rust, Jr. Mgmt For For
         
1k. Election of Director: Kurt L. Schmoke Mgmt For For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 142 of 192  

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1l. Election of Director: Richard E. Thornburgh Mgmt For For
         
2. Approve, on an advisory basis, the executive compensation program for the Company’s named executive officers. Mgmt For For
         
3. Ratify the selection of Ernst & Young LLP as our independent auditor for 2021. Mgmt For For
         
4. Approve, on an advisory basis, the Company’s Greenhouse Gas (GHG) Emissions Reduction Plan. Mgmt Abstain Against
         
5. Shareholder proposal to transition to a Public Benefit Corporation. Shr Against For

 

 

Investment Company Report

 

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      Page 143 of 192  

 

Unassigned

STARBUCKS CORPORATION    
Security: 855244109 Agenda Number: 935326935
Ticker: SBUX Meeting Type: Annual
ISIN: US8552441094 Meeting Date: 17-Mar-21

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Richard E. Allison, Jr. Mgmt For For
         
1B. Election of Director: Rosalind G. Brewer (Withdrawn) Mgmt For For
         
1C. Election of Director: Andrew Campion Mgmt For For
         
1D. Election of Director: Mary N. Dillon Mgmt For For
         
1E. Election of Director: Isabel Ge Mahe Mgmt For For
         
1F. Election of Director: Mellody Hobson Mgmt For For
         
1G. Election of Director: Kevin R. Johnson Mgmt For For
         
1H. Election of Director: Jørgen Vig Knudstorp Mgmt For For
         
1I. Election of Director: Satya Nadella Mgmt For For
         
1J. Election of Director: Joshua Cooper Ramo Mgmt For For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 144 of 192  

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1K. Election of Director: Clara Shih Mgmt For For
         
1L. Election of Director: Javier G. Teruel Mgmt For For
         
2. Advisory resolution to approve our executive officer compensation. Mgmt Against Against
         
3. Ratification of selection of Deloitte & Touche LLP as our independent registered public accounting firm for fiscal 2021. Mgmt For For
         
4. Employee Board Representation. Shr Against For

 

 

Investment Company Report

 

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      Page 145 of 192  

 

Unassigned

STRYKER CORPORATION    
Security: 863667101 Agenda Number: 935359972
Ticker: SYK Meeting Type: Annual
ISIN: US8636671013 Meeting Date: 05-May-21

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
1A) Election of Director: Mary K. Brainerd Mgmt For For
         
1B) Election of Director: Giovanni Caforio, M.D. Mgmt For For
         
1C) Election of Director: Srikant M. Datar, Ph.D. Mgmt For For
         
1D) Election of Director: Allan C. Golston (Lead Independent Director) Mgmt For For
         
1E) Election of Director: Kevin A. Lobo (Chair of the Board and Chief Executive Officer) Mgmt For For
         
1F) Election of Director: Sherilyn S. McCoy Mgmt For For
         
1G) Election of Director: Andrew K. Silvernail Mgmt For For
         
1H) Election of Director: Lisa M. Skeete Tatum Mgmt For For
         
1I) Election of Director: Ronda E. Stryker Mgmt For For
         
1J) Election of Director: Rajeev Suri Mgmt For For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 146 of 192  

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
2. Ratification of Appointment of our Independent Registered Public Accounting Firm. Mgmt For For
         
3. Advisory Vote to Approve Named Executive Officer Compensation. Mgmt For For
         
4. Shareholder Proposal Regarding Workforce Involvement in Corporate Governance. Shr Against For
         
5. Shareholder Proposal Regarding Right to Call Special Meetings Shr For Against

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 147 of 192  

 

Unassigned  

SYSCO CORPORATION  
     
Security: 871829107 Agenda Number: 935276457
Ticker: SYY Meeting Type: Annual
ISIN: US8718291078 Meeting Date: 20-Nov-20
     

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Daniel J. Brutto Mgmt For For
         
1B. Election of Director: John M. Cassaday Mgmt For For
         
1C. Election of Director: Joshua D. Frank Mgmt For For
         
1D. Election of Director: Larry C. Glasscock Mgmt For For
         
1E. Election of Director: Bradley M. Halverson Mgmt For For
         
1F. Election of Director: John M. Hinshaw Mgmt For For
         
1G. Election of Director: Kevin P. Hourican Mgmt For For
         
1H. Election of Director: Hans-Joachim Koerber Mgmt For For
         
1I. Election of Director: Stephanie A. Lundquist Mgmt For For
         
1J. Election of Director: Nelson Peltz Mgmt For For
         
1K. Election of Director: Edward D. Shirley Mgmt For For

 

 

 

 

Investment Company Report 

  

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 148 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         

1L. 

Election of Director: Sheila G. Talton Mgmt For For
         
2. To approve, by advisory vote, the compensation paid to Sysco’s named executive officers, as disclosed in Sysco’s 2020 proxy statement. Mgmt For For
         
3. To ratify the appointment of Ernst & Young LLP as Sysco’s independent registered public accounting firm for fiscal 2021. Mgmt For For

 

 

 

 

Investment Company Report

  

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 149 of 192  

 

Unassigned 

T. ROWE PRICE GROUP, INC.    
Security: 74144T108 Agenda Number: 935357586
Ticker: TROW Meeting Type: Annual
ISIN: US74144T1088 Meeting Date: 11-May-21
       

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Mark S. Bartlett Mgmt For For
         
1B. Election of Director: Mary K. Bush Mgmt For For
         
1C. Election of Director: Dina Dublon Mgmt For For
         
1D. Election of Director: Dr. Freeman A. Mgmt For For
  Hrabowski, III      
         
1E. Election of Director: Robert F. MacLellan Mgmt For For
         
1F. Election of Director: Olympia J. Snowe Mgmt For For
         
1G. Election of Director: Robert J. Stevens Mgmt For For
         
1H. Election of Director: William J. Stromberg Mgmt For For
         
1I. Election of Director: Richard R. Verma Mgmt For For
         
1J. Election of Director: Sandra S. Wijnberg Mgmt For For

 

 

 

  

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 150 of 192  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1K. Election of Director: Alan D. Wilson Mgmt For For
         
2. To approve, by a non-binding advisory vote, the compensation paid by the Company to its Named Executive Officers. Mgmt For For
         
3. Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for 2021. Mgmt For For
         
4. Stockholder proposal for a report on voting by our funds and portfolios on matters related to climate change. Shr Against For

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 151 of 192  

 

Unassigned 

TARGET CORPORATION    
Security: 87612E106 Agenda Number: 935412635
Ticker: TGT Meeting Type: Annual
ISIN: US87612E1064 Meeting Date: 09-Jun-21
     

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Douglas M. Baker, Jr. Mgmt For For
         
1B. Election of Director: George S. Barrett Mgmt For For
         
1C. Election of Director: Brian C. Cornell Mgmt For For
         
1D. Election of Director: Robert L. Edwards Mgmt For For
         
1E. Election of Director: Melanie L. Healey Mgmt For For
         
1F. Election of Director: Donald R. Knauss Mgmt For For
         
1G. Election of Director: Christine A. Leahy Mgmt For For
         
1H. Election of Director: Monica C. Lozano Mgmt For For
         
1I. Election of Director: Mary E. Minnick Mgmt For For
         
1J. Election of Director: Derica W. Rice Mgmt For For
         
1K. Election of Director: Kenneth L. Salazar Mgmt For For

 

 

 

 

Investment Company Report

  

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 152 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         

1L. 

 

Election of Director: Dmitri L. Stockton Mgmt For For

2.

 

 

Company proposal to ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm.

Mgmt For For
         

3.

  

Company proposal to approve, on an advisory basis, our executive compensation (Say on Pay).

Mgmt For For
         
4. Shareholder proposal to amend the proxy access bylaw to remove the shareholder group limit. Shr Against For

 

 

 

 

Investment Company Report

 

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 153 of 192  

 

Unassigned

TEXAS INSTRUMENTS INCORPORATED  
Security: 882508104 Agenda Number: 935341709
Ticker: TXN Meeting Type: Annual
ISIN: US8825081040 Meeting Date: 22-Apr-21
     

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Mark A. Blinn Mgmt For For
         
1B. Election of Director: Todd M. Bluedorn Mgmt For For
         
1C. Election of Director: Janet F. Clark Mgmt For For
         
1D. Election of Director: Carrie S. Cox Mgmt For For
         
1E. Election of Director: Martin S. Craighead Mgmt For For
         
1F. Election of Director: Jean M. Hobby Mgmt For For
         
1G. Election of Director: Michael D. Hsu Mgmt For For
         
1H. Election of Director: Ronald Kirk Mgmt For For
         
1I. Election of Director: Pamela H. Patsley Mgmt For For
         
1J. Election of Director: Robert E. Sanchez Mgmt For For
         
1K. Election of Director: Richard K. Templeton Mgmt For For

 

 

 

  

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 154 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
2. Board proposal regarding advisory approval of the Company’s executive compensation. Mgmt For For
         
3. Board proposal to ratify the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for 2021. Mgmt For For
         
4. Stockholder proposal to permit shareholder action by written consent. Shr For Against

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 155 of 192  

 

Unassigned 

THE ALLSTATE CORPORATION  
Security: 020002101 Agenda Number: 935387402
Ticker: ALL Meeting Type: Annual
ISIN: US0200021014 Meeting Date: 25-May-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Donald E. Brown Mgmt For For
         
1B. Election of Director: Kermit R. Crawford Mgmt For For
         
1C. Election of Director: Michael L. Eskew Mgmt For For
         
1D. Election of Director: Richard T. Hume Mgmt For For
         
1E. Election of Director: Margaret M. Keane Mgmt For For
         
1F. Election of Director: Siddharth N. Mehta Mgmt For For
         
1G. Election of Director: Jacques P. Perold Mgmt For For
         
1H. Election of Director: Andrea Redmond Mgmt For For
         
1I. Election of Director: Gregg M. Sherrill Mgmt For For
         
1J. Election of Director: Judith A. Sprieser Mgmt For For
         
1K. Election of Director: Perry M. Traquina Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 156 of 192  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1L. Election of Director: Thomas J. Wilson Mgmt For For
         
2. Advisory vote to approve the compensation of the named executives. Mgmt For For
         
3. Ratification of the appointment of Deloitte & Touche LLP as Allstate’s independent registered public accountant for 2021. Mgmt For For
         
4. Shareholder proposal to amend proxy access. Shr Against For

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 157 of 192  

 

Unassigned 

THE CLOROX COMPANY  
Security: 189054109 Agenda Number: 935281383
Ticker: CLX Meeting Type: Annual
ISIN: US1890541097 Meeting Date: 18-Nov-20

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Amy Banse Mgmt For For
         
1B. Election of Director: Richard H. Carmona Mgmt For For
         
1C. Election of Director: Benno Dorer Mgmt For For
         
1D. Election of Director: Spencer C. Fleischer Mgmt For For
         
1E. Election of Director: Esther Lee Mgmt For For
         
1F. Election of Director: A.D. David Mackay Mgmt For For
         
1G. Election of Director: Paul Parker Mgmt For For
         
1H. Election of Director: Linda Rendle Mgmt For For
         
1I. Election of Director: Matthew J. Shattock Mgmt For For
         
1J. Election of Director: Kathryn Tesija Mgmt For For
         
1K. Election of Director: Pamela Thomas-Graham Mgmt For For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 158 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1L. Election of Director: Russell Weiner Mgmt For For
         
1M. Election of Director: Christopher J. Williams Mgmt For For
         
2. Advisory Vote to Approve Executive Compensation. Mgmt For For
         
3. Ratification of the Selection of Ernst & Young LLP as the Clorox Company’s Independent Registered Public Accounting Firm. Mgmt For For
         
4. Approval of the Amended and Restated Certificate of Incorporation to Eliminate Supermajority Voting Provision. Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 159 of 192  

 

Unassigned 

THE COCA-COLA COMPANY  
Security: 191216100 Agenda Number: 935342547
Ticker: KO Meeting Type: Annual
ISIN: US1912161007 Meeting Date: 20-Apr-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Herbert A. Allen Mgmt For For
         
1B. Election of Director: Marc Bolland Mgmt For For
         
1C. Election of Director: Ana Botín Mgmt For For
         
1D. Election of Director: Christopher C. Davis Mgmt For For
         
1E. Election of Director: Barry Diller Mgmt For For
         
1F. Election of Director: Helene D. Gayle Mgmt For For
         
1G. Election of Director: Alexis M. Herman Mgmt For For
         
1H. Election of Director: Robert A. Kotick Mgmt For For
         
1I. Election of Director: Maria Elena Lagomasino Mgmt For For
         
1J. Election of Director: James Quincey Mgmt For For
         
1K. Election of Director: Caroline J. Tsay Mgmt For For

 

 

 

 

 

Investment Company Report 

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 160 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1L. Election of Director: David B. Weinberg Mgmt For For
         
2. Advisory vote to approve executive compensation. Mgmt For For
         
3. Ratification of the appointment of Ernst & Young LLP as Independent Auditors. Mgmt For For
         
4. Shareowner proposal on sugar and public health. Shr Against For

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 161 of 192  

 

Unassigned 

THE ESTEE LAUDER COMPANIES INC.  
Security: 518439104 Agenda Number: 935274530
Ticker: EL Meeting Type: Annual
ISIN: US5184391044 Meeting Date: 10-Nov-20

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Class III Director: Charlene Barshefsky Mgmt For For
         
1B. Election of Class III Director: Wei Sun Christianson Mgmt For For
         
1C. Election of Class III Director: Fabrizio Freda Mgmt For For
         
1D. Election of Class III Director: Jane Lauder Mgmt For For
         
1E. Election of Class III Director: Leonard A. Lauder Mgmt For For
         
2. Ratification of appointment of PricewaterhouseCoopers LLP as independent auditors for the 2021 fiscal year. Mgmt For For
         
3. Advisory vote to approve executive compensation. Mgmt Against Against

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 162 of 192  

 

Unassigned 

THE HERSHEY COMPANY  
Security: 427866108 Agenda Number: 935377300
Ticker: HSY Meeting Type: Annual
ISIN: US4278661081 Meeting Date: 17-May-21

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
      by   Management’s
          Recommendation
1. DIRECTOR      
           
  1 P. M. Arway Mgmt For For
           
  2 J. W. Brown Mgmt For For
           
  3 M. G. Buck Mgmt For For
           
  4 V. L. Crawford Mgmt For For
           
  5 R. M. Dutkowsky Mgmt For For
           
  6 M. K. Haben Mgmt For For
           
  7 J. C. Katzman Mgmt For For
           
  8 M. D. Koken Mgmt For For
           
  9 R. M. Malcolm Mgmt For For
           
  10 A. J. Palmer Mgmt For For
           
  11 J. R. Perez Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 163 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
      by   Management’s
          Recommendation
  12 W. L. Schoppert Mgmt For For
           
2. Ratify the appointment of Ernst & Young LLP as independent auditors for 2021. Mgmt For For
         
3. Approve named executive officer compensation on a non-binding advisory basis. Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 164 of 192  

  

Unassigned  

THE HOME DEPOT, INC.    
Security: 437076102 Agenda Number: 935365874
Ticker: HD Meeting Type: Annual
ISIN: US4370761029 Meeting Date: 20-May-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Gerard J. Arpey Mgmt For For
         
1B. Election of Director: Ari Bousbib Mgmt For For
         
1C. Election of Director: Jeffery H. Boyd Mgmt For For
         
1D. Election of Director: Gregory D. Brenneman Mgmt For For
         
1E. Election of Director: J. Frank Brown Mgmt For For
         
1F. Election of Director: Albert P. Carey Mgmt For For
         
1G. Election of Director: Helena B. Foulkes Mgmt For For
         
1H. Election of Director: Linda R. Gooden Mgmt For For
         
1I. Election of Director: Wayne M. Hewett Mgmt For For
         
1J. Election of Director: Manuel Kadre Mgmt For For
         
1K. Election of Director: Stephanie C. Linnartz Mgmt For For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 165 of 192  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1L. Election of Director: Craig A. Menear Mgmt For For
         
2. Ratification of the Appointment of KPMG LLP. Mgmt For For
         
3. Advisory Vote to Approve Executive Compensation (“Say-on-Pay”). Mgmt For For
         
4. Shareholder Proposal Regarding Amendment of Shareholder Written Consent Right. Shr Against For
         
5. Shareholder Proposal Regarding Political Contributions Congruency Analysis. Shr Against For
         
6. Shareholder Proposal Regarding Report on Prison Labor in the Supply Chain. Shr Against For

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 166 of 192  

 

Unassigned 

THE PROCTER & GAMBLE COMPANY  
Security: 742718109 Agenda Number: 935264969
Ticker: PG Meeting Type: Annual
ISIN: US7427181091 Meeting Date: 13-Oct-20

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. ELECTION OF DIRECTOR: Francis S. Blake Mgmt For For
         
1B. ELECTION OF DIRECTOR: Angela F. Braly Mgmt For For
         
1C. ELECTION OF DIRECTOR: Amy L. Chang Mgmt For For
         
1D. ELECTION OF DIRECTOR: Joseph Jimenez Mgmt For For
         
1E. ELECTION OF DIRECTOR: Debra L. Lee Mgmt For For
         
1F. ELECTION OF DIRECTOR: Terry J. Lundgren Mgmt For For
         
1G. ELECTION OF DIRECTOR: Christine M. McCarthy Mgmt For For
         
1H. ELECTION OF DIRECTOR: W. James Mgmt For For
  McNerney, Jr.      
         
1I. ELECTION OF DIRECTOR: Nelson Peltz Mgmt For For
         
1J. ELECTION OF DIRECTOR: David S. Taylor Mgmt For For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 167 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1K. ELECTION OF DIRECTOR: Margaret C. Whitman Mgmt For For
         
1L. ELECTION OF DIRECTOR: Patricia A. Woertz Mgmt For For
         
2. Ratify Appointment of the Independent Registered Public Accounting Firm. Mgmt For For
         
3. Advisory Vote to Approve the Company’s Executive Compensation (the “Say on Pay” vote). Mgmt For For
         
4. Approval of The Procter & Gamble Company International Stock Ownership Plan, As Amended and Restated. Mgmt For For
         
5. Shareholder Proposal - Report on Efforts to Eliminate Deforestation. Shr Against For
         
6. Shareholder Proposal - Annual Report on Shr Against For
  Diversity.      

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 168 of 192  

 

Unassigned 

THE WESTERN UNION COMPANY  
Security: 959802109 Agenda Number: 935371005
Ticker: WU Meeting Type: Annual
ISIN: US9598021098 Meeting Date: 14-May-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1a. Election of Director: Martin I. Cole Mgmt For For
         
1b. Election of Director: Hikmet Ersek Mgmt For For
         
1c. Election of Director: Richard A. Goodman Mgmt For For
         
1d. Election of Director: Betsy D. Holden Mgmt For For
         
1e. Election of Director: Jeffrey A. Joerres Mgmt For For
         
1f. Election of Director: Michael A. Miles, Jr. Mgmt For For
         
1g. Election of Director: Timothy P. Murphy Mgmt For For
         
1h. Election of Director: Joyce A. Phillips Mgmt For For
         
1i. Election of Director: Jan Siegmund Mgmt For For
         
1j. Election of Director: Angela A. Sun Mgmt For For
         
1k. Election of Director: Solomon D. Trujillo Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 169 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
2. Advisory Vote to Approve Executive Compensation Mgmt For For
         
3. Ratification of Selection of Ernst & Young LLP as Independent Registered Public Accounting Firm for 2021 Mgmt For For
         
4. Stockholder Proposal Regarding Stockholder Right to Act by Written Consent Shr Against For

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 170 of 192  

 

Unassigned 

TRANE TECHNOLOGIES PLC  
Security: G8994E103 Agenda Number: 935408927
Ticker: TT Meeting Type: Annual
ISIN: IE00BK9ZQ967 Meeting Date: 03-Jun-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Kirk E. Arnold Mgmt For For
         
1B. Election of Director: Ann C. Berzin Mgmt For For
         
1C. Election of Director: John Bruton Mgmt For For
         
1D. Election of Director: Jared L. Cohon Mgmt For For
         
1E. Election of Director: Gary D. Forsee Mgmt For For
         
1F. Election of Director: Linda P. Hudson Mgmt For For
         
1G. Election of Director: Michael W. Lamach Mgmt For For
         
1H. Election of Director: Myles P. Lee Mgmt For For
         
1I. Election of Director: April Miller Boise Mgmt For For
         
1J. Election of Director: Karen B. Peetz Mgmt For For
         
1K. Election of Director: John P. Surma Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 171 of 192  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1L. Election of Director: Tony L. White Mgmt For For
         
2. Advisory approval of the compensation of the Company’s named executive officers. Mgmt For For
         
3. Approval of the appointment of independent auditors of the Company and authorization of the Audit Committee of the Board of Directors to set the auditors’ remuneration. Mgmt For For
         
4. Approval of the renewal of the Directors’ existing authority to issue shares. Mgmt For For
         
5. Approval of the renewal of the Directors’ existing authority to issue shares for cash without first offering shares to existing shareholders. (Special Resolution) Mgmt For For
         
6. Determination of the price range at which the Company can re-allot shares that it holds as treasury shares. (Special Resolution) Mgmt For For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 172 of 192  

 

Unassigned 

UNION PACIFIC CORPORATION    
Security: 907818108 Agenda Number: 935364947
Ticker: UNP Meeting Type: Annual
ISIN: US9078181081 Meeting Date: 13-May-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Andrew H. Card Jr. Mgmt For For
         
1B. Election of Director: William J. DeLaney Mgmt For For
         
1C. Election of Director: David B. Dillon Mgmt For For
         
1D. Election of Director: Lance M. Fritz Mgmt For For
         
1E. Election of Director: Deborah C. Hopkins Mgmt For For
         
1F. Election of Director: Jane H. Lute Mgmt For For
         
1G. Election of Director: Michael R. McCarthy Mgmt For For
         
1H. Election of Director: Thomas F. McLarty III Mgmt For For
         
1I. Election of Director: Jose H. Villarreal Mgmt For For
         
1J. Election of Director: Christopher J. Williams Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 173 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
2. Ratification of the appointment of Deloitte & Mgmt For For
  Touche LLP as the independent registered      
  public accounting firm of the Company for      
  2021.      
         
3. An advisory vote to approve executive Mgmt For For
  compensation (“Say on Pay”).      
         
4. Adoption of the Union Pacific Corporation Mgmt For For
  2021 Stock Incentive Plan.      
         
5. Adoption of the Union Pacific Corporation Mgmt For For
  2021 Employee Stock Purchase Plan.      
         
6. Shareholder proposal requesting an EEO-1 Shr For Against
  Report Disclosure, if properly presented at the      
  Annual Meeting.      
         
7. Shareholder proposal requesting an Annual Shr For Against
  Diversity and Inclusion Efforts Report, if      
  properly presented at the Annual Meeting.      
         
8. Shareholder proposal requesting an Annual Shr Against For
  Emissions Reduction Plan & annual advisory      
  vote on Emissions Reduction Plan, if properly      
  presented at the Annual Meeting.      

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 174 of 192  

 

Unassigned

UNITED PARCEL SERVICE, INC.    
Security: 911312106 Agenda Number: 935365002
Ticker: UPS Meeting Type: Annual
ISIN: US9113121068 Meeting Date: 13-May-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director to serve until the 2022 Mgmt For For
  Annual Meeting: Carol B. Tomé      
         
1B. Election of Director to serve until the 2022 Mgmt For For
  Annual Meeting: Rodney C. Adkins      
         
1C. Election of Director to serve until the 2022 Mgmt For For
  Annual Meeting: Eva C. Boratto      
         
1D. Election of Director to serve until the 2022 Mgmt For For
  Annual Meeting: Michael J. Burns      
         
1E. Election of Director to serve until the 2022 Mgmt For For
  Annual Meeting: Wayne M. Hewett      
         
1F. Election of Director to serve until the 2022 Mgmt For For
  Annual Meeting: Angela Hwang      
         
1G. Election of Director to serve until the 2022 Mgmt For For
  Annual Meeting: Kate E. Johnson      
         
1H. Election of Director to serve until the 2022 Mgmt For For
  Annual Meeting: William R. Johnson      
         
1I. Election of Director to serve until the 2022 Mgmt For For
  Annual Meeting: Ann M. Livermore      
         
1J. Election of Director to serve until the 2022 Mgmt For For
  Annual Meeting: Franck J. Moison      

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 175 of 192  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1K. Election of Director to serve until the 2022 Mgmt For For
  Annual Meeting: Christiana Smith Shi      
         
1L. Election of Director to serve until the 2022 Mgmt For For
  Annual Meeting: Russell Stokes      
         
1M. Election of Director to serve until the 2022 Mgmt For For
  Annual Meeting: Kevin Warsh      
         
2. To approve on an advisory basis a resolution Mgmt For For
  on UPS executive compensation.      
         
3. To approve the 2021 UPS Omnibus Incentive Mgmt For For
  Compensation Plan.      
         
4. To ratify the appointment of Deloitte & Touche Mgmt For For
  LLP as UPS’s independent registered public      
  accounting firm for the year ending December      
  31, 2021.      
         
5. To prepare an annual report on UPS’s Shr Against For
  lobbying activities.      
         
6. To reduce the voting power of UPS class A Shr For Against
  stock from 10 votes per share to one vote per      
  share.      
         
7. To prepare a report on reducing UPS’s total Shr For Against
  contribution to climate change.      
         
8. To transition UPS to a public benefit Shr Against For
  corporation.      
         
9. To prepare a report assessing UPS’s diversity Shr For Against
  and inclusion efforts.      

 

 

 

 

 

Investment Company Report

 

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 176 of 192  

 

Unassigned

UNITEDHEALTH GROUP INCORPORATED  
Security: 91324P102 Agenda Number: 935414879
Ticker: UNH Meeting Type: Annual
ISIN: US91324P1021 Meeting Date: 07-Jun-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Richard T. Burke Mgmt For For
         
1B. Election of Director: Timothy P. Flynn Mgmt For For
         
1C. Election of Director: Stephen J. Hemsley Mgmt For For
         
1D. Election of Director: Michele J. Hooper Mgmt For For
         
1E. Election of Director: F. William McNabb III Mgmt For For
         
1F. Election of Director: Valerie C. Montgomery Mgmt For For
  Rice, M.D.      
         
1G. Election of Director: John H. Noseworthy, Mgmt For For
  M.D.      
         
1H. Election of Director: Gail R. Wilensky, Ph.D. Mgmt For For
         
1I. Election of Director: Andrew Witty Mgmt For For
         
2. Advisory approval of the Company’s Mgmt For For
  executive compensation.      

  

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 177 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
3. Ratification of the appointment of Deloitte & Mgmt For For
  Touche LLP as the independent registered      
  public accounting firm for the Company for      
  the year ending December 31, 2021.      
         
4. Approval of an amendment to the Mgmt For For
  UnitedHealth Group 1993 Employee Stock      
  Purchase Plan.      
         
5. If properly presented at the 2021 Annual Shr Against For
  Meeting of Shareholders, the shareholder      
  proposal set forth in the proxy statement      
  requesting a reduction of the share ownership      
  threshold for calling a special meeting of      
  shareholders.      

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 178 of 192  

 

Unassigned 

VERIZON COMMUNICATIONS INC.  
Security: 92343V104 Agenda Number: 935364846
Ticker: VZ Meeting Type: Annual
ISIN: US92343V1044 Meeting Date: 13-May-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1a. Election of Director: Shellye L. Archambeau Mgmt For For
         
1b. Election of Director: Roxanne S. Austin Mgmt For For
         
1c. Election of Director: Mark T. Bertolini Mgmt For For
         
1d. Election of Director: Melanie L. Healey Mgmt For For
         
1e. Election of Director: Clarence Otis, Jr. Mgmt For For
         
1f. Election of Director: Daniel H. Schulman Mgmt For For
         
1g. Election of Director: Rodney E. Slater Mgmt For For
         
1h. Election of Director: Hans E. Vestberg Mgmt For For
         
1i. Election of Director: Gregory G. Weaver Mgmt For For
         
2 Advisory Vote to Approve Executive Compensation Mgmt For For
         

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 179 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
3 Ratification of Appointment of Independent Mgmt For For
  Registered Public Accounting Firm      
         
4 Shareholder Action by Written Consent Shr Against For
         
5 Amend Clawback Policy Shr Against For
         
6 Shareholder Ratification of Annual Equity Awards Shr Against For
         

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 180 of 192  

  

Unassigned 

VF CORPORATION    
Security: 918204108 Agenda Number: 935235831
Ticker: VFC Meeting Type: Annual
ISIN: US9182041080 Meeting Date: 28-Jul-20

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
      by   Management’s
          Recommendation
1. DIRECTOR      
           
  1 Richard T. Carucci Mgmt For For
           
  2 Juliana L. Chugg Mgmt For For
           
  3 Benno Dorer Mgmt For For
           
  4 Mark S. Hoplamazian Mgmt For For
           
  5 Laura W. Lang Mgmt For For
           
  6 W. Alan McCollough Mgmt For For
           
  7 W. Rodney McMullen Mgmt For For
           
  8 Clarence Otis, Jr. Mgmt For For
           
  9 Steven E. Rendle Mgmt For For
           
  10 Carol L. Roberts Mgmt For For
           
  11 Matthew J. Shattock Mgmt For For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 181 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
  12 Veronica B. Wu Mgmt For For
         
2. Advisory vote to approve named executive Mgmt Against Against
  officer compensation.      
         
3. Ratification of the selection of Mgmt For For
  PricewaterhouseCoopers LLP as VF’s      
  independent registered public accounting firm      
  for the 2021 fiscal year.      

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 182 of 192  

 

Unassigned 

VISA INC.      
Security: 92826C839 Agenda Number: 935315576
Ticker: V Meeting Type: Annual
ISIN: US92826C8394 Meeting Date: 26-Jan-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Lloyd A. Carney Mgmt For For
         
1B. Election of Director: Mary B. Cranston Mgmt For For
         
1C. Election of Director: Francisco Javier Mgmt For For
  Fernández-Carbajal      
         
1D. Election of Director: Alfred F. Kelly, Jr. Mgmt For For
         
1E. Election of Director: Ramon Laguarta Mgmt For For
         
1F. Election of Director: John F. Lundgren Mgmt For For
         
1G. Election of Director: Robert W. Matschullat Mgmt For For
         
1H. Election of Director: Denise M. Morrison Mgmt For For
         
1I. Election of Director: Suzanne Nora Johnson Mgmt For For
         
1J. Election of Director: Linda J. Rendle Mgmt For For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 183 of 192  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1K. Election of Director: John A. C. Swainson Mgmt For For
         
1L. Election of Director: Maynard G. Webb, Jr. Mgmt For For
         
2. Approval, on an advisory basis, of compensation paid to our named executive officers. Mgmt For For
         
3. Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for the 2021 fiscal year. Mgmt For For
         
4. Approval of the Visa Inc. 2007 Equity Incentive Compensation Plan, as amended and restated. Mgmt For For
         
5. Approval of an amendment to our Certificate of Incorporation to enable the adoption of a special meeting right for Class A common stockholders. Mgmt For For
         
6. To vote on a stockholder proposal requesting stockholders’ right to act by written consent, if properly presented. Shr Against For
         
7. To vote on a stockholder proposal to amend our principles of executive compensation program, if properly presented. Shr Against For

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 184 of 192  

 

Unassigned 

WALMART INC.    
Security: 931142103 Agenda Number: 935404866
Ticker: WMT Meeting Type: Annual
ISIN: US9311421039 Meeting Date: 02-Jun-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Cesar Conde Mgmt For For
         
1B. Election of Director: Timothy P. Flynn Mgmt For For
         
1C. Election of Director: Sarah J. Friar Mgmt For For
         
1D. Election of Director: Carla A. Harris Mgmt For For
         
1E. Election of Director: Thomas W. Horton Mgmt For For
         
1F. Election of Director: Marissa A. Mayer Mgmt For For
         
1G. Election of Director: C. Douglas McMillon Mgmt For For
         
1H. Election of Director: Gregory B. Penner Mgmt For For
         
1I. Election of Director: Steven S Reinemund Mgmt For For
         
1J. Election of Director: Randall L. Stephenson Mgmt For For
         
1K. Election of Director: S. Robson Walton Mgmt For For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 185 of 192  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
1L. Election of Director: Steuart L. Walton Mgmt For For
         
2. Advisory Vote to Approve Named Executive Mgmt Against Against
  Officer Compensation.      
         
3. Ratification of Ernst & Young LLP as Mgmt For For
  Independent Accountants.      
         
4. Report on Refrigerants Released from Shr Against For
  Operations.      
         
5. Report on Lobbying Disclosures. Shr Against For
         
6. Report on Alignment of Racial Justice Goals Shr Against For
  and Starting Wages.      
         
7. Create a Pandemic Workforce Advisory Shr Against For
  Council.      
         
8. Report on Statement of the Purpose of a Shr Against For
  Corporation.      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 186 of 192  

 

Unassigned

WASTE MANAGEMENT, INC.
   
Security: 94106L109 Agenda Number: 935369199
Ticker: WM Meeting Type: Annual
ISIN: US94106L1098 Meeting Date: 11-May-21

   

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
1A. Election of Director: James C. Fish, Jr. Mgmt For For
         
1B. Election of Director: Andrés R. Gluski Mgmt For For
         
1C. Election of Director: Victoria M. Holt Mgmt For For
         
1D. Election of Director: Kathleen M. Mazzarella Mgmt For For
         
1E. Election of Director: Sean E. Menke Mgmt For For
         
1F. Election of Director: William B. Plummer Mgmt For For
         
1G. Election of Director: John C. Pope Mgmt For For
         
1H. Election of Director: Maryrose T. Sylvester Mgmt For For
         
1I. Election of Director: Thomas H. Weidemeyer Mgmt For For
         
2. Ratification of the appointment of Ernst & Mgmt For For
  Young LLP as the independent registered      
  public accounting firm for 2021.      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 187 of 192  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
3. Non-binding, advisory proposal to approve Mgmt For For
  our executive compensation.      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 188 of 192  

  

Unassigned

WEC ENERGY GROUP, INC.
   
Security: 92939U106 Agenda Number: 935346420
Ticker: WEC Meeting Type: Annual
ISIN: US92939U1060 Meeting Date: 06-May-21

  

         
Prop. # Proposal  Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
1A. Election of Director: Curt S. Culver Mgmt For For
         
1B. Election of Director: Danny L. Cunningham Mgmt For For
         
1C. Election of Director: William M. Farrow III Mgmt For For
         
1D. Election of Director: J. Kevin Fletcher Mgmt For For
         
1E. Election of  Director: Cristina A. Garcia-Thomas Mgmt For For
         
1F. Election of Director: Maria C. Green Mgmt For For
         
1G. Election of Director: Gale E. Klappa Mgmt For For
         
1H. Election of Director: Thomas K. Lane Mgmt For For
         
1I. Election of Director: Ulice Payne, Jr. Mgmt For For
         
1J. Election of Director: Mary Ellen Stanek Mgmt For For

  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 189 of 192  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
2. Ratification of Deloitte & Touche LLP as Mgmt For For
  Independent Auditors for 2021.      
         
3. Approval of the Amendment and Restatement Mgmt For For
  of the WEC Energy Group Omnibus Stock      
  Incentive Plan.      
         
4. Advisory Vote to Approve Executive Mgmt For For
  Compensation of the Named Executive      
  Officers.      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 190 of 192  

 

Unassigned  

YUM! BRANDS, INC.    
     
Security: 988498101 Agenda Number: 935373198
Ticker: YUM Meeting Type: Annual
ISIN: US9884981013 Meeting Date: 11-May-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
1A. Election of Director: Paget L. Alves Mgmt For For
         
1B. Election of Director: Keith Barr Mgmt For For
         
1C. Election of Director: Christopher M. Connor Mgmt For For
         
1D. Election of Director: Brian C. Cornell Mgmt For For
         
1E. Election of Director: Tanya L. Domier Mgmt For For
         
1F. Election of Director: David W. Gibbs Mgmt For For
         
1G. Election of Director: Mirian M. Graddick-Weir Mgmt For For
         
1H. Election of Director: Lauren R. Hobart Mgmt For For
         
1I. Election of Director: Thomas C. Nelson Mgmt For For
         
1J. Election of Director: P. Justin Skala Mgmt For For
         
1K. Election of Director: Elane B. Stock Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 191 of 192  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
1L. Election of Director: Annie Young-Scrivner Mgmt For For
         
2. Ratification of Independent Auditors. Mgmt For For
         
3. Advisory Vote on Executive Compensation. Mgmt Against Against

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 192 of 192  

  

Unassigned

ZOETIS INC.      
     
Security: 98978V103 Agenda Number: 935383252
Ticker: ZTS Meeting Type: Annual
ISIN: US98978V1035 Meeting Date: 20-May-21

 

         
Prop. # Proposal Proposed    Proposal Vote For/Against
    by   Management's
        Recommendation
         
1A. Election of Director: Sanjay Khosla Mgmt For For
         
1B. Election of Director: Antoinette R. Mgmt For For
  Leatherberry      
         
1C. Election of Director: Willie M. Reed Mgmt For For
         
1D. Election of Director: Linda Rhodes Mgmt For For
         
2. Advisory vote to approve our executive Mgmt For For
  compensation (Say on Pay).      
         
3. Ratification of appointment of KPMG LLP as Mgmt For For
  our independent registered public accounting      
  firm for 2021.      
         
4. Shareholder proposal regarding simple Shr For Against
  majority vote.      

 

 

 

 

O'Shares U.S. Small-Cap Quality Dividend ETF

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 1 of 157  

  

Unassigned 

A.O. SMITH CORPORATION    
     
Security: 831865209 Agenda Number: 935340529
Ticker: AOS Meeting Type: Annual
ISIN: US8318652091 Meeting Date: 13-Apr-21
       

 

             
Prop. # Proposal Proposed    Proposal Vote For/Against  
      by   Management's  
        Recommendation  
             
1. DIRECTOR          
             
  1 Ronald D. Brown Mgmt For For  
             
  2 Dr. Ilham Kadri Mgmt For For  
             
  3 Idelle K. Wolf Mgmt For For  
             
  4 Gene C. Wulf Mgmt For For  
             
2. Proposal to approve, by nonbinding advisory Mgmt For For  
  vote, the compensation of our named        
  executive officers.        
           
3. Proposal to ratify the appointment of Ernst & Mgmt For For  
  Young LLP as the independent registered        
  public accounting firm of the corporation.        

 

 
 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 2 of 157  

 

Unassigned

 

ALLETE, INC.      
     
Security: 018522300 Agenda Number: 935359477
Ticker: ALE Meeting Type: Annual
ISIN: US0185223007 Meeting Date: 11-May-21
       

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1A. Election of Director: Kathryn W. Dindo Mgmt For For  
           
1B. Election of Director: George G. Goldfarb Mgmt For For  
           
1C. Election of Director: James J. Hoolihan Mgmt For For  
           
1D. Election of Director: Heidi E. Jimmerson Mgmt For For  
           
1E. Election of Director: Madeleine W. Ludlow Mgmt For For  
           
1F. Election of Director: Susan K. Nestegard Mgmt For For  
           
1G. Election of Director: Douglas C. Neve Mgmt For For  
           
1H. Election of Director: Barbara A. Nick Mgmt For For  
           
1I. Election of Director: Bethany M. Owen Mgmt For For  
           
1J. Election of Director: Robert P. Powers Mgmt For For  

 

 
 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 3 of 157  

  

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
2. Advisory vote to approve executive Mgmt For For  
  compensation.        
           
3. Ratification of the selection of Mgmt For For  
  PricewaterhouseCoopers LLP as ALLETE's        
  independent registered public accounting firm        
  for 2021.        

 

 
 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 4 of 157  

 

Unassigned 

AMERICAN STATES WATER COMPANY  
     
Security: 029899101 Agenda Number: 935372843
Ticker: AWR Meeting Type: Annual
ISIN: US0298991011 Meeting Date: 18-May-21
     

 

             
Prop. # Proposal Proposed    Proposal Vote For/Against  
      by   Management's  
          Recommendation  
             
1. DIRECTOR          
             
  1 Ms. Sarah J. Anderson Mgmt For For  
             
  2 Mr. Steven D. Davis Mgmt For For  
             
  3 Ms. Anne M. Holloway Mgmt For For  
             
2. Advisory vote to approve the compensation of Mgmt For For  
  our named executive officers.        
           
3. To ratify the appointment of Mgmt For For  
  PricewaterhouseCoopers LLP as the        
  independent registered public accounting        
  firm.          

 

 
 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 5 of 157  

 

Unassigned 

AMERISAFE, INC.    
     
Security: 03071H100 Agenda Number: 935426595
Ticker: AMSF Meeting Type: Annual
ISIN: US03071H1005 Meeting Date: 11-Jun-21
       

 

             
Prop. # Proposal Proposed    Proposal Vote For/Against  
      by   Management's  
          Recommendation  
             
1. DIRECTOR          
             
  1 Philip A. Garcia Mgmt For For  
             
  2 Millard E. Morris Mgmt For For  
             
  3 Randall E. Roach Mgmt For For  
             
2. To approve, on an advisory basis, our Mgmt For For  
  executive compensation as described in the        
  Proxy Statement.        
           
3. To ratify the appointment of Ernst & Young Mgmt For For  
  LLP as the Company's independent        
  registered public accounting firm for 2021.        

 

 
 

 

Investment Company Report 

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 6 of 157  

  

Unassigned 

ARTISAN PARTNERS ASSET MANAGEMENT INC  
     
Security: 04316A108 Agenda Number: 935397629
Ticker: APAM Meeting Type: Annual
ISIN: US04316A1088 Meeting Date: 02-Jun-21
     

 

             
Prop. # Proposal Proposed    Proposal Vote For/Against  
      by   Management's  
          Recommendation  
             
1. DIRECTOR          
             
  1 Jennifer A. Barbetta Mgmt For For  
             
  2 Matthew R. Barger Mgmt For For  
             
  3 Eric R. Colson Mgmt For For  
             
  4 Tench Coxe Mgmt For For  
             
  5 Stephanie G. DiMarco Mgmt For For  
             
  6 Jeffrey A. Joerres Mgmt For For  
             
  7 Andrew A. Ziegler Mgmt For For  
             
2. Ratification of the Appointment of Mgmt For For  
  PricewaterhouseCoopers LLP as our        
  Independent Registered Public Accounting        
  Firm for the Fiscal Year Ending December 31,        
  2021.          

 

 
 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 7 of 157  

  

Unassigned 

AVISTA CORP.      
     
Security: 05379B107 Agenda Number: 935357435
Ticker: AVA Meeting Type: Annual
ISIN: US05379B1070 Meeting Date: 11-May-21
       

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1A. Election of Director: Kristianne Blake Mgmt For For  
           
1B. Election of Director: Donald C. Burke Mgmt For For  
           
1C. Election of Director: Rebecca A. Klein Mgmt For For  
           
1D. Election of Director: Sena M. Kwawu Mgmt For For  
           
1E. Election of Director: Scott H. Maw Mgmt For For  
           
1F. Election of Director: Scott L. Morris Mgmt For For  
           
1G. Election of Director: Jeffry L. Philipps Mgmt For For  
           
1H. Election of Director: Heidi B. Stanley Mgmt For For  
           
1I. Election of Director: R. John Taylor Mgmt For For  
           
1J. Election of Director: Dennis P. Vermillion Mgmt For For  
           
1K. Election of Director: Janet D. Widmann Mgmt For For  

  

 
 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 8 of 157  

  

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
2. Ratification of the appointment of Deloitte & Mgmt For For  
  Touche LLP as the Company's independent        
  registered public accounting firm for 2021.        
           
3. Advisory (non-binding) vote on executive Mgmt For For  
  compensation.        

 

 
 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 9 of 157  

  

Unassigned 

AVNET, INC.      
     
Security: 053807103 Agenda Number: 935271281
Ticker: AVT Meeting Type: Annual
ISIN: US0538071038 Meeting Date: 17-Nov-20
       

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1A. Election of Director: Rodney C. Adkins Mgmt For For  
           
1B. Election of Director: Carlo Bozotti Mgmt For For  
           
1C. Election of Director: Michael A. Bradley Mgmt For For  
           
1D. Election of Director: Brenda L. Freeman Mgmt For For  
           
1E. Election of Director: Jo Ann Jenkins Mgmt For For  
           
1F. Election of Director: Oleg Khaykin Mgmt For For  
           
1G. Election of Director: James A. Lawrence Mgmt For For  
           
1H. Election of Director: Avid Modjtabai Mgmt For For  
           
1I. Election of Director: Adalio T. Sanchez Mgmt For For  
           
1J. Election of Director: William H. Schumann III Mgmt For For  
           
2. Advisory vote on executive compensation. Mgmt For For  

 

 
 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 10 of 157  

  

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
3. Ratification of appointment of KPMG LLP as Mgmt For For  
  the independent registered public accounting        
  firm for the fiscal year ending July 3, 2021.        

 

 
 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 11 of 157  

 

Unassigned 

AZZ INC.      
     
Security: 002474104 Agenda Number: 935219469
Ticker: AZZ Meeting Type: Annual
ISIN: US0024741045 Meeting Date: 08-Jul-20
       

 

             
Prop. # Proposal Proposed    Proposal Vote For/Against  
      by   Management's  
          Recommendation  
             
1. DIRECTOR          
             
  1 Daniel E. Berce Mgmt For For  
             
  2 Paul Eisman Mgmt For For  
             
  3 Daniel R. Feehan Mgmt For For  
             
  4 Thomas E. Ferguson Mgmt For For  
             
  5 Kevern R. Joyce Mgmt For For  
             
  6 Venita McCellon-Allen Mgmt For For  
             
  7 Ed McGough Mgmt For For  
             
  8 Steven R. Purvis Mgmt For For  
             
2. Approval of advisory vote on AZZ's executive Mgmt For For  
  compensation program.        
           
3. Ratification of appointment of Grant Thornton Mgmt For For  
  LLP to serve as AZZ's independent registered        
  public accounting firm for the fiscal year        
  ending February 28, 2021.        
 
 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 12 of 157  

 

Unassigned 

BADGER METER, INC.    
     
Security: 056525108 Agenda Number: 935355520
Ticker: BMI Meeting Type: Annual
ISIN: US0565251081 Meeting Date: 30-Apr-21
       

  

             
Prop. # Proposal Proposed    Proposal Vote For/Against  
      by   Management's  
          Recommendation  
             
1. DIRECTOR          
             
  1 Todd A. Adams Mgmt For For  
             
  2 Kenneth C. Bockhorst Mgmt For For  
             
  3 Gale E. Klappa Mgmt For For  
             
  4 Gail A. Lione Mgmt For For  
             
  5 James W. McGill Mgmt For For  
             
  6 Tessa M. Myers Mgmt For For  
             
  7 James F. Stern Mgmt For For  
             
  8 Glen E. Tellock Mgmt For For  
             
2. ADVISORY VOTE TO APPROVE Mgmt For For  
  COMPENSATION OF OUR NAMED        
  EXECUTIVE OFFICERS.        
           
3. RATIFICATION OF THE APPOINTMENT OF Mgmt For For  
  ERNST & YOUNG LLP AS INDEPENDENT        
  REGISTERED PUBLIC ACCOUNTANTS        
  FOR 2021.        
 
 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 13 of 157  

  

           
Prop. # Proposal Proposed    Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
4. APPROVE BADGER METER, INC. 2021 Mgmt For For  
  OMNIBUS INCENTIVE PLAN.        
           
5. SHAREHOLDER PROPOSAL REQUESTING Shr For Against  
  A REPORT ON BOARD DIVERSITY.        

 

 
 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 14 of 157  

 

Unassigned 

BIO-TECHNE CORP    
     
Security: 09073M104 Agenda Number: 935270570
Ticker: TECH Meeting Type: Annual
ISIN: US09073M1045 Meeting Date: 29-Oct-20
       

   

           
Prop. # Proposal Proposed    Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1. To set the number of Directors at nine. Mgmt For For  
           
2A. Election of Director: Robert V. Baumgartner Mgmt For For  
           
2B. Election of Director: Julie L. Bushman Mgmt For For  
           
2C. Election of Director: John L. Higgins Mgmt For For  
           
2D. Election of Director: Joseph D. Keegan Mgmt For For  
           
2E. Election of Director: Charles R. Kummeth Mgmt For For  
           
2F. Election of Director: Roeland Nusse Mgmt For For  
           
2G. Election of Director: Alpna Seth Mgmt For For  
           
2H. Election of Director: Randolph Steer Mgmt For For  
           
2I. Election of Director: Rupert Vessey Mgmt For For  

 

 
 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 15 of 157  

  

           
Prop. # Proposal Proposed    Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
3. Cast a non-binding vote on named executive Mgmt For For  
  officer compensation.        
           
4. Approve an amendment and restatement to Mgmt For For  
  the Company's Second Amended and        
  Restated 2010 Equity Incentive Plan to        
  allocate 1,300,000 additional shares to the        
  Plan reserve and to make certain additional        
  amendments.        
           
5. Ratify the appointment of the Company's Mgmt For For  
  independent registered public accounting firm        
  for the 2021 fiscal year.        

 

 
 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date:   29-Jul-2021
      Page 16 of 157

 

Unassigned

BLACK HILLS CORPORATION  
     
Security: 092113109 Agenda Number: 935357497
Ticker: BKH Meeting Type: Annual
ISIN: US0921131092 Meeting Date: 27-Apr-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
      by   Management’s  
          Recommendation  
             
1. DIRECTOR        
             
  1 Linden R. Evans Mgmt For For  
             
  2 Barry M. Granger Mgmt For For  
             
  3 Tony A. Jensen Mgmt For For  
             
  4 Steven R. Mills Mgmt For For  
             
  5 Scott M. Prochazka Mgmt For For  
             
2. Ratification of the appointment of Deloitte & Mgmt For For  
  Touche LLP to serve as Black Hills        
  Corporation's independent registered public        
  accounting firm for 2021.        
             
3. Advisory resolution to approve executive Mgmt For For  
  compensation.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date:   29-Jul-2021
      Page 17 of 157

 

Unassigned 

BOOZ ALLEN HAMILTON HOLDING CORPORATION
       
Security: 099502106 Agenda Number: 935238508
Ticker: BAH Meeting Type: Annual
ISIN: US0995021062 Meeting Date: 29-Jul-20

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1A. Election of Director: Ralph W. Shrader Mgmt For For  
           
1B. Election of Director: Joan Lordi C. Amble Mgmt For For  
           
1C. Election of Director: Michèle A. Flournoy Mgmt For For  
           
2. Ratification of the appointment of Ernst & Mgmt For For  
  Young LLP as the Company's registered        
  independent public accountants for fiscal year        
  2021.        
           
3. Advisory vote to approve the compensation of Mgmt For For  
  the Company's named executive officers.        
           
4. Approval of the adoption of the Fifth Amended Mgmt For For  
  and Restated Certificate of Incorporation to,        
  among other things, eliminate classification of        
  the Board of Directors.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date:   29-Jul-2021
      Page 18 of 157
       

Unassigned 

BORGWARNER INC.
       
Security: 099724106 Agenda Number: 935350190
Ticker: BWA Meeting Type: Annual
ISIN: US0997241064 Meeting Date: 28-Apr-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1A. Election of Director: Nelda J. Connors Mgmt For For  
           
1B. Election of Director: Dennis C. Cuneo Mgmt For For  
           
1C. Election of Director: David S. Haffner Mgmt For For  
           
1D. Election of Director: Michael S. Hanley Mgmt For For  
           
1E. Election of Director: Frederic B. Lissalde Mgmt For For  
           
1F. Election of Director: Paul A. Mascarenas Mgmt For For  
           
1G. Election of Director: Shaun E. McAlmont Mgmt For For  
           
1H. Election of Director: Deborah D. McWhinney Mgmt For For  
           
1I. Election of Director: Alexis P. Michas Mgmt For For  
           
2. Advisory approval of the compensation of our Mgmt For For  
  named executive officers.        

 

 

 

 

Investment Company Report 

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date:   29-Jul-2021
      Page 19 of 157

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
3. Ratify the selection of Mgmt For For  
  PricewaterhouseCoopers LLP as independent        
  registered public accounting firm for the        
  Company for 2021.        
           
4. Stockholder proposal to enable 10% of Shr For Against  
  shares to request a record date to initiate        
  stockholder written consent.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date:   29-Jul-2021
      Page 20 of 157
       

Unassigned

CARTER'S INC.
       
Security: 146229109 Agenda Number: 935393087
Ticker: CRI Meeting Type: Annual
ISIN: US1462291097 Meeting Date: 19-May-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
1A. Election of Director: Hali Borenstein Mgmt For For  
           
1B. Election of Director: Giuseppina Buonfantino Mgmt For For  
           
1C. Election of Director: Michael D. Casey Mgmt For For  
           
1D. Election of Director: A. Bruce Cleverly Mgmt For For  
           
1E. Election of Director: Jevin S. Eagle Mgmt For For  
           
1F. Election of Director: Mark P. Hipp Mgmt For For  
           
1G. Election of Director: William J. Montgoris Mgmt For For  
           
1H. Election of Director: David Pulver Mgmt For For  
           
1I. Election of Director: Gretchen W. Schar Mgmt For For  
           
2. Advisory approval of executive compensation. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date:   29-Jul-2021
      Page 21 of 157

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
3. Ratification of the appointment of Mgmt For For  
  PricewaterhouseCoopers LLP as the        
  Company's independent registered public        
  accounting firm for fiscal 2021.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date:   29-Jul-2021
      Page 22 of 157

Unassigned

CASEY'S GENERAL STORES, INC.
       
Security: 147528103 Agenda Number: 935251289
Ticker: CASY Meeting Type: Annual
ISIN: US1475281036 Meeting Date: 02-Sep-20

  

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1a. Election of Director: H. Lynn Horak Mgmt For For  
           
1b. Election of Director: Diane C. Bridgewater Mgmt For For  
           
1c. Election of Director: David K. Lenhardt Mgmt For For  
           
1d. Election of Director: Darren M. Rebelez Mgmt For For  
           
1e. Election of Director: Larree M. Renda Mgmt For For  
           
1f. Election of Director: Judy A. Schmeling Mgmt For For  
           
1g. Election of Director: Allison M. Wing Mgmt For For  
           
2. To ratify the appointment of KPMG LLP as the Mgmt For For  
  independent registered public accounting firm        
  of the Company for the fiscal year ending        
  April 30, 2021.        
           
3. To hold an advisory vote on our named Mgmt For For  
  executive officer compensation.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date:   29-Jul-2021
      Page 23 of 157
       

 

Unassigned 

CHESAPEAKE UTILITIES CORPORATION
       
Security: 165303108 Agenda Number: 935362842
Ticker: CPK Meeting Type: Annual
ISIN: US1653031088 Meeting Date: 05-May-21

  

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1A. Election of Director for three-years term: Mgmt For For  
  Thomas P. Hill, Jr.        
           
1B. Election of Director for three-years term: Mgmt For For  
  Dennis S. Hudson, III        
           
1C. Election of Director for two-years term: Mgmt For For  
  Calvert A. Morgan, Jr.        
           
2. Cast a non-binding advisory vote to approve Mgmt For For  
  the compensation of the Company's Named        
  Executive Officers.        
           
3. Cast a non-binding advisory vote to ratify the Mgmt For For  
  appointment of the Company's independent        
  registered public accounting firm, Baker Tilly        
  US, LLP.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date:   29-Jul-2021
      Page 24 of 157
       

 

Unassigned

COGENT COMMUNICATIONS HOLDINGS, INC.
       
Security: 19239V302 Agenda Number: 935351483
Ticker: CCOI Meeting Type: Annual
ISIN: US19239V3024 Meeting Date: 28-Apr-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
      by   Management's  
          Recommendation  
             
1. DIRECTOR        
             
  1 Dave Schaeffer Mgmt For For  
             
  2 D. Blake Bath Mgmt For For  
             
  3 Steven D. Brooks Mgmt For For  
             
  4 Lewis H. Ferguson, III Mgmt For For  
             
  5 Carolyn Katz Mgmt For For  
             
  6 Sheryl Kennedy Mgmt For For  
             
  7 Marc Montagner Mgmt For For  
             
2. To ratify the appointment of Ernst & Young Mgmt For For  
  LLP as the independent registered public        
  accountants for the fiscal year ending        
  December 31, 2021.        
             
3. To approve an amendment and restatement Mgmt For For  
  of the Company's 2017 Incentive Award Plan        
  including an increase in the number of shares        
  available for issuance thereunder by 1.2        
  million shares.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date:   29-Jul-2021
      Page 25 of 157

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
4. Non-binding advisory vote to approve named Mgmt For For  
  executive officer compensation.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date:   29-Jul-2021
      Page 26 of 157
       

Unassigned

 

COHEN & STEERS, INC.
       
Security: 19247A100 Agenda Number: 935359124
Ticker: CNS Meeting Type: Annual
ISIN: US19247A1007 Meeting Date: 06-May-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1A. Election of Director: Martin Cohen Mgmt For For  
           
1B. Election of Director: Robert H. Steers Mgmt For For  
           
1C. Election of Director: Joseph M. Harvey Mgmt For For  
           
1D. Election of Director: Reena Aggarwal Mgmt For For  
           
1E. Election of Director: Frank T. Connor Mgmt For For  
           
1F. Election of Director: Peter L. Rhein Mgmt For For  
           
1G. Election of Director: Richard P. Simon Mgmt For For  
           
1H. Election of Director: Dasha Smith Mgmt For For  
           
1I. Election of Director: Edmond D. Villani Mgmt For For  
           
2. Ratification of Deloitte & Touche LLP as the Mgmt For For  
  company's independent registered public        
  accounting firm for fiscal year ending        
  December 31, 2021.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date:   29-Jul-2021
      Page 27 of 157

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
3. Approval, by non-binding vote, of the Mgmt For For  
  compensation of the company's named        
  executive officers.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date:   29-Jul-2021
      Page 28 of 157
       

Unassigned 

CRACKER BARREL OLD COUNTRY STORE, INC.
       
Security: 22410J106 Agenda Number: 935280026
Ticker: CBRL Meeting Type: Contested Annual
ISIN: US22410J1060 Meeting Date: 19-Nov-20

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
      by   Management's  
          Recommendation  
             
1. DIRECTOR        
             
  1 Thomas H. Barr Mgmt For For  
             
  2 Carl T. Berquist Mgmt For For  
             
  3 Sandra B. Cochran Mgmt For For  
             
  4 Meg G. Crofton Mgmt For For  
             
  5 Gilbert R. Dávila Mgmt For For  
             
  6 Norman E. Johnson Mgmt For For  
             
  7 William W. McCarten Mgmt For For  
             
  8 Coleman H. Peterson Mgmt For For  
             
  9 Gisel Ruiz Mgmt For For  
             
  10 Andrea M. Weiss Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date:   29-Jul-2021
      Page 29 of 157
       
           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
2. TO APPROVE, ON AN ADVISORY BASIS, Mgmt Against Against  
  THE COMPENSATION OF THE COMPANY'S        
  NAMED EXECUTIVE OFFICERS.        
           
3. TO APPROVE THE CRACKER BARREL OLD Mgmt For For  
  COUNTRY STORE, INC. 2020 OMNIBUS        
  INCENTIVE PLAN.        
           
4. TO RATIFY THE APPOINTMENT OF Mgmt For For  
  DELOITTE & TOUCHE LLP AS THE        
  COMPANY'S INDEPENDENT REGISTERED        
  PUBLIC ACCOUNTING FIRM FOR THE 2021        
  FISCAL YEAR.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 30 of 157

Unassigned

 

CSG SYSTEMS INTERNATIONAL, INC.
       
Security: 126349109 Agenda Number: 935378124
Ticker: CSGS Meeting Type: Annual
ISIN: US1263491094 Meeting Date: 20-May-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1A. Election of Director: Brian A. Shepherd Mgmt For For  
           
1B. Election of Director: Frank V. Sica Mgmt For For  
           
1C. Election of Director: Silvio Tavares Mgmt For For  
           
1D. Election of Director: Tse Li "Lily" Yang Mgmt For For  
           
2. To approve, on an advisory basis, the Mgmt Against Against  
  compensation of our named executive        
  officers.        
           
3. To ratify the appointment of KPMG LLP as our Mgmt For For  
  independent registered public accounting firm        
  for fiscal 2021.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date:   29-Jul-2021
      Page 31 of 157

Unassigned

 

DESIGNER BRANDS INC.
Security: 250565108 Agenda Number: 935228355
Ticker: DBI Meeting Type: Annual
ISIN: US2505651081 Meeting Date: 14-Jul-20

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1. DIRECTOR        
           
  1 Harvey L. Sonnenberg Mgmt For For  
           
  2 Allan J. Tanenbaum Mgmt For For  
           
2. Ratification of the appointment of Deloitte & Mgmt For For  
  Touche LLP as our independent registered        
  accounting firm for the fiscal year ending        
  January 30, 2021.        
           
3. Advisory, non-binding vote on the Mgmt For For  
  compensation paid to our named executive        
  officers.        
           
4. Approval of the amendment and restatement Mgmt Against Against  
  of the Designer Brands Inc. 2014 Long-Term        
  Incentive Plan.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date:   29-Jul-2021
      Page 32 of 157

 

Unassigned 

DOLBY LABORATORIES, INC.
       
Security: 25659T107 Agenda Number: 935317506
Ticker: DLB Meeting Type: Annual
ISIN: US25659T1079 Meeting Date: 02-Feb-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
      by   Management's  
          Recommendation  
             
1. DIRECTOR        
             
  1 Kevin Yeaman Mgmt For For  
             
  2 Peter Gotcher Mgmt For For  
             
  3 Micheline Chau Mgmt For For  
             
  4 David Dolby Mgmt For For  
             
  5 Simon Segars Mgmt For For  
             
  6 Roger Siboni Mgmt For For  
             
  7 Anjali Sud Mgmt For For  
             
  8 Avadis Tevanian, Jr. Mgmt For For  
             
2. An advisory vote to approve Named Mgmt For For  
  Executive Officer compensation.        
             
3. Ratification of the appointment of KPMG LLP Mgmt For For  
  as the Company's independent registered        
  public accounting firm for the fiscal year        
  ending September 24, 2021.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date:   29-Jul-2021
      Page 33 of 157
       

Unassigned 

DONALDSON COMPANY, INC.
       
Security: 257651109 Agenda Number: 935278994
Ticker: DCI Meeting Type: Annual
ISIN: US2576511099 Meeting Date: 20-Nov-20

  

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1. DIRECTOR        
           
  1 Tod E. Carpenter Mgmt For For  
           
  2 Pilar Cruz Mgmt For For  
           
  3 Ajita G. Rajendra Mgmt For For  
           
2. A non-binding advisory vote on the Mgmt For For  
  compensation of our Named Executive        
  Officers.        
           
3. Ratification of the appointment of Mgmt For For  
  PricewaterhouseCoopers LLP as Donaldson        
  Company, Inc.'s independent registered        
  public accounting firm for the fiscal year        
  ending July 31, 2021.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 34 of 157  

 

Unassigned  

ENCOMPASS HEALTH CORPORATION    
       
Security: 29261A100 Agenda Number: 935360343
Ticker: EHC Meeting Type: Annual
ISIN: US29261A1007 Meeting Date: 06-May-21

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director to serve until 2022 Annual Meeting: Greg D. Carmichael Mgmt For For
         
1B. Election of Director to serve until 2022 Annual Meeting: John W. Chidsey Mgmt For For
         
1C. Election of Director to serve until 2022 Annual Meeting: Donald L. Correll Mgmt For For
         
1D. Election of Director to serve until 2022 Annual Meeting: Yvonne M. Curl Mgmt For For
         
1E. Election of Director to serve until 2022 Annual Meeting: Charles M. Elson Mgmt For For
         
1F. Election of Director to serve until 2022 Annual Meeting: Joan E. Herman Mgmt For For
         
1G. Election of Director to serve until 2022 Annual Meeting: Leo I. Higdon, Jr. Mgmt For For
         
1H. Election of Director to serve until 2022 Annual Meeting: Leslye G. Katz Mgmt For For
         
1I. Election of Director to serve until 2022 Annual Meeting: Patricia A. Maryland Mgmt For For
         
1J. Election of Director to serve until 2022 Annual Meeting: John E. Maupin, Jr. Mgmt For For


 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
   

Page 35 of 157 

 

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1K. Election of Director to serve until 2022 Annual Meeting: Nancy M. Schlichting Mgmt For For
         
1L. Election of Director to serve until 2022 Annual Meeting: L. Edward Shaw, Jr. Mgmt For For
         
1M. Election of Director to serve until 2022 Annual Meeting: Mark J. Tarr Mgmt For For
         
1N. Election of Director to serve until 2022 Annual Meeting: Terrance Williams Mgmt For For
         
2. Ratification of the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for 2021. Mgmt For For
         
3. An advisory vote to approve executive compensation. Mgmt For For


 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 36 of 157  

 

Unassigned 

ERIE INDEMNITY COMPANY
       
Security: 29530P102 Agenda Number: 935345327
Ticker: ERIE Meeting Type: Annual
ISIN: US29530P1021 Meeting Date: 20-Apr-21

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1. Non-Voting agenda Mgmt For  


 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 37 of 157  

Unassigned

 

EVERCORE INC.
Security: 29977A105 Agenda Number: 935424301
Ticker: EVR Meeting Type: Annual
ISIN: US29977A1051 Meeting Date: 17-Jun-21

 

           
Prop. #   Proposal Proposed Proposal Vote For/Against
      by   Management’s
          Recommendation
           

1. DIRECTOR      
           
  1 Roger C. Altman Mgmt For For
           
  2 Richard I. Beattie Mgmt For For
           
  3 Pamela G. Carlton Mgmt For For
           
  4 Ellen V. Futter Mgmt For For
           
  5 Gail B. Harris Mgmt For For
           
  6 Robert B. Millard Mgmt For For
           
  7 Willard J. Overlock Jr Mgmt For For
           
  8 Sir Simon M. Robertson Mgmt For For
           
  9 Ralph L. Schlosstein Mgmt For For
           
  10 John S. Weinberg Mgmt For For
           
  11 William J. Wheeler Mgmt For For


 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 38 of 157  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
  12            Sarah K. Williamson Mgmt For For
         
  13           Kendrick R. Wilson III Mgmt For For
         
2. To approve, on an advisory basis, the executive compensation of our Named Executive Officers. Mgmt For For
         
3. To ratify the selection of Deloitte & Touche LLP as our independent registered public accounting firm for 2021. Mgmt For For


 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 39 of 157  

 

Unassigned 

EXPONENT, INC.
Security: 30214U102 Agenda Number: 935401656
Ticker: EXPO Meeting Type: Annual
ISIN: US30214U1025 Meeting Date: 03-Jun-21

 

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1.1 Election of Director: George H. Brown Mgmt For For
         
1.2 Election of Director: Catherine Ford Corrigan, Ph.D. Mgmt For For
         
1.3 Election of Director: Paul R. Johnston, Ph.D. Mgmt For For
         
1.4 Election of Director: Carol Lindstrom Mgmt For For
         
1.5 Election of Director: Karen A. Richardson Mgmt For For
         
1.6 Election of Director: John B. Shoven, Ph.D. Mgmt For For
         
1.7 Election of Director: Debra L. Zumwalt Mgmt For For
         
2. To ratify the appointment of KPMG LLP, as independent registered public accounting firm for the Company for the fiscal year ending December 31, 2021. Mgmt For For
         
3. To approve, on an advisory basis, the fiscal 2020 compensation of the Company's named executive officers. Mgmt For For


 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 40 of 157  

 

Unassigned 

FIDELITY NATIONAL FINANCIAL, INC.
Security: 31620R303 Agenda Number: 935420896
Ticker: FNF Meeting Type: Annual
ISIN: US31620R3030 Meeting Date: 16-Jun-21

  

           
Prop. # Proposal Proposed Proposal Vote For/Against
      by   Management’s
          Recommendation
           
1. DIRECTOR      
           
  1 Raymond R. Quirk Mgmt For For
           
  2 Sandra D. Morgan Mgmt For For
           
  3 Heather H. Murren Mgmt For For
           
  4 John D. Rood Mgmt For For
           
2. Approval of a non-binding advisory resolution on the compensation paid to our named executive officers. Mgmt For For
           
3. Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the 2021 fiscal year. Mgmt For For


 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 41 of 157  

 

Unassigned 

FIRST AMERICAN FINANCIAL CORPORATION
       
Security: 31847R102 Agenda Number: 935380559
Ticker: FAF Meeting Type: Annual
ISIN: US31847R1023 Meeting Date: 11-May-21

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1. DIRECTOR      
         
  1           Dennis J. Gilmore Mgmt For For
         
  2           Margaret M. McCarthy Mgmt For For
         
  3           Martha B. Wyrsch Mgmt For For
         
2. Advisory vote to approve executive compensation. Mgmt For For
         
3. To ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. Mgmt For For


 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 42 of 157  

 

Unassigned 

FIRSTCASH, INC.
Security: 33767D105 Agenda Number: 935404171
Ticker: FCFS Meeting Type: Annual
ISIN: US33767D1054 Meeting Date: 03-Jun-21

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Rick L. Wessel Mgmt For For
         
1B. Election of Director: James H. Graves Mgmt For For
         
2. Ratification of the selection of RSM US LLP as the independent registered public accounting firm of the Company for the year ending December 31, 2021. Mgmt For For
         
3. Approve, by non-binding vote, the compensation of named executive officers as described in the Proxy Statement. Mgmt For For


 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 43 of 157  

 

Unassigned 

FLIR SYSTEMS, INC.
Security: 302445101 Agenda Number: 935403624
Ticker: FLIR Meeting Type: Special
ISIN: US3024451011 Meeting Date: 13-May-21

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1. To adopt the Agreement and Plan of Merger by and among Teledyne Technologies Incorporated ("Teledyne"), Firework Merger Sub I, Inc. ("Merger Sub I"), Firework Merger Sub II, LLC ("Merger Sub II"), and FLIR Systems, Inc. ("FLIR"), pursuant to which Merger Sub I will merge with and into FLIR, with FLIR surviving, and immediately thereafter FLIR will merge with and into Merger Sub II ("Mergers"), with Merger Sub II surviving and continuing as a wholly owned subsidiary of Teledyne ("FLIR Merger Proposal"). Mgmt For For
         
2. To approve, on a non-binding, advisory basis, the compensation that will or may become payable to FLIR's named executive officers in connection with the Mergers. Mgmt For For
         
3. To approve one or more adjournments of the special meeting of stockholders of FLIR, if necessary or appropriate, to solicit additional proxies if there are insufficient votes to approve the FLIR Merger Proposal at the time of the special meeting. Mgmt For For


 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 44 of 157  

 

Unassigned 

FLOWERS FOODS, INC.
Security: 343498101 Agenda Number: 935383719
Ticker: FLO Meeting Type: Annual
ISIN: US3434981011 Meeting Date: 27-May-21

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director to serve for a term of one year: George E. Deese Mgmt For For
         
1B. Election of Director to serve for a term of one year: Edward J. Casey, Jr. Mgmt For For
         
1C. Election of Director to serve for a term of one year: Thomas C. Chubb, III Mgmt For For
         
1D. Election of Director to serve for a term of one year: Rhonda Gass Mgmt For For
         
1E. Election of Director to serve for a term of one year: Benjamin H. Griswold, IV Mgmt For For
         
1F. Election of Director to serve for a term of one year: Margaret G. Lewis Mgmt For For
         
1G. Election of Director to serve for a term of one year: W. Jameson McFadden Mgmt For For
         
1H. Election of Director to serve for a term of one year: A. Ryals McMullian Mgmt For For
         
1I. Election of Director to serve for a term of one year: James T. Spear Mgmt For For
         
1J. Election of Director to serve for a term of one year: Melvin T. Stith, Ph.D. Mgmt For For


 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 45 of 157  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1K. Election of Director to serve for a term of one year: Terry S. Thomas Mgmt For For
         
1L. Election of Director to serve for a term of one year: C. Martin Wood III Mgmt For For
         
2. To approve by advisory vote the compensation of the company's named executive officers. Mgmt For For
         
3. To ratify the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for Flowers Foods, Inc. for the fiscal year ending January 1, 2022. Mgmt For For
         
4. A shareholder proposal regarding political contribution disclosure, if properly presented at the annual meeting. Shr Against For


 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 46 of 157  

 

Unassigned 

FRANKLIN ELECTRIC CO., INC.
Security: 353514102 Agenda Number: 935359314
Ticker: FELE Meeting Type: Annual
ISIN: US3535141028 Meeting Date: 07-May-21

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Elect the Director for term expiring at the 2024 Annual Meeting of Shareholders: Gregg C. Sengstack Mgmt For For
         
1B. Elect the Director for term expiring at the 2024 Annual Meeting of Shareholders: David M. Wathen Mgmt For For
         
2. Ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the 2021 fiscal year. Mgmt For For
         
3. Approve, on an advisory basis, the executive compensation of the Named Executive Officers as disclosed in the Proxy Statement. Mgmt For For


 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 47 of 157  

 

Unassigned 

GENPACT LIMITED
Security: G3922B107 Agenda Number: 935364024
Ticker: G Meeting Type: Annual
ISIN: BMG3922B1072 Meeting Date: 05-May-21

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: N.V. Tyagarajan Mgmt For For
         
1B. Election of Director: James Madden Mgmt For For
         
1C. Election of Director: Ajay Agrawal Mgmt For For
         
1D. Election of Director: Stacey Cartwright Mgmt For For
         
1E. Election of Director: Laura Conigliaro Mgmt For For
         
1F. Election of Director: Tamara Franklin Mgmt For For
         
1G. Election of Director: Carol Lindstrom Mgmt For For
         
1H. Election of Director: CeCelia Morken Mgmt For For
         
1I. Election of Director: Mark Nunnelly Mgmt For For
         
1J. Election of Director: Brian Stevens Mgmt For For
         
1K. Election of Director: Mark Verdi Mgmt For For


 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 48 of 157  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
2. To approve, on a non-binding, advisory basis, the compensation of our named executive officers. Mgmt For For
         
3. To approve the appointment of KPMG as our independent registered public accounting firm for the fiscal year ending December 31, 2021. Mgmt For For


 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 49 of 157  

 

Unassigned 

GENTEX CORPORATION
Security: 371901109 Agenda Number: 935380028
Ticker: GNTX Meeting Type: Annual
ISIN: US3719011096 Meeting Date: 20-May-21

  

           
Prop. # Proposal Proposed Proposal Vote For/Against
      by   Management’s
          Recommendation
           
1. DIRECTOR      
           
  1 Ms. Leslie Brown Mgmt For For
           
  2 Mr. Steve Downing Mgmt For For
           
  3 Mr. Gary Goode Mgmt For For
           
  4 Mr. James Hollars Mgmt For For
           
  5 Mr. Richard Schaum Mgmt For For
           
  6 Ms. Kathleen Starkoff Mgmt For For
           
  7 Mr. Brian Walker Mgmt For For
           
  8 Mr. James Wallace Mgmt For For
           
  9 Dr. Ling Zang Mgmt For For
           
2. To ratify the appointment of Ernst & Young LLP as the Company's auditors for the fiscal year ending December 31, 2021. Mgmt For For


 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 50 of 157  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
3. To approve, on an advisory basis, compensation of the Company's named executive officers. Mgmt For For


 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 51 of 157  

 

Unassigned 

GRACO INC.
Security: 384109104 Agenda Number: 935344488
Ticker: GGG Meeting Type: Annual
ISIN: US3841091040 Meeting Date: 23-Apr-21

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A) Election of Director: Brett C. Carter Mgmt For For
         
1B) Election of Director: R. William Van Sant Mgmt For For
         
1C) Election of Director: Emily C. White Mgmt For For
         
2. Ratification of appointment of Deloitte & Touche LLP as the Company's independent registered accounting firm. Mgmt For For
         
3. Approval, on an advisory basis, of the compensation paid to our named executive officers as disclosed in the Proxy Statement. Mgmt For For


 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 52 of 157  

 

Unassigned  

GRAHAM HOLDINGS COMPANY
Security: 384637104 Agenda Number: 935367614
Ticker: GHC Meeting Type: Annual
ISIN: US3846371041 Meeting Date: 06-May-21

  

           
Prop. # Proposal Proposed Proposal Vote For/Against
      by   Management’s
          Recommendation
           
1. DIRECTOR      
           
  1 Tony Allen Mgmt For For
           
  2 Christopher C. Davis Mgmt For For
           
  3 Anne M. Mulcahy Mgmt For For


 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 53 of 157  

 

Unassigned 

H&R BLOCK, INC.
Security: 093671105 Agenda Number: 935254223
Ticker: HRB Meeting Type: Annual
ISIN: US0936711052 Meeting Date: 10-Sep-20

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1A. Election of Director: Paul J. Brown Mgmt For For
         
1B. Election of Director: Robert A. Gerard Mgmt For For
         
1C. Election of Director: Anuradha (Anu) Gupta Mgmt For For
         
1D. Election of Director: Richard A. Johnson Mgmt For For
         
1E. Election of Director: Jeffrey J. Jones II Mgmt For For
         
1F. Election of Director: David Baker Lewis Mgmt For For
         
1G. Election of Director: Yolande G. Piazza Mgmt For For
         
1H. Election of Director: Victoria J. Reich Mgmt For For
         
1I. Election of Director: Bruce C. Rohde Mgmt For For
         
1J. Election of Director: Matthew E. Winter Mgmt For For
         
1K. Election of Director: Christianna Wood Mgmt For For


 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 54 of 157  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
2. Ratification of the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending April 30, 2021. Mgmt For For
         
3. Advisory approval of the Company's named executive officer compensation. Mgmt For For


  

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 

  Report Date: 29-Jul-2021
      Page 55 of 157
         

Unassigned 

HANESBRANDS INC.    
Security:   410345102 Agenda Number:   935343474
Ticker:   HBI Meeting Type:   Annual
ISIN:   US4103451021 Meeting Date:   27-Apr-21

 

        For/Against
    Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
         
1A. Election of Director: Cheryl K. Beebe Mgmt For For
         
1B. Election of Director: Stephen B. Bratspies Mgmt For For
         
1C. Election of Director: Geralyn R. Breig Mgmt For For
         
1D. Election of Director: Bobby J. Griffin Mgmt For For
         
1E. Election of Director: James C. Johnson Mgmt For For
         
1F. Election of Director: Franck J. Moison Mgmt For For
         
1G. Election of Director: Robert F. Moran Mgmt For For
         
1H. Election of Director: Ronald L. Nelson Mgmt For For
         
1I. Election of Director: Ann E. Ziegler Mgmt For For
         
2. To ratify the appointment of PricewaterhouseCoopers LLP as Hanesbrands' independent registered public accounting firm for Hanesbrands' 2021 fiscal year. Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 - 30-Jun-2021 

  Report Date: 29-Jul-2021
        Page 56 of 157

 

        For/Against
    Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
         
3. To approve, on an advisory basis, named executive officer compensation as described in the proxy statement for the Annual Meeting. Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 - 30-Jun-2021

  Report Date: 29-Jul-2021
        Page 57 of 157
         

Unassigned 

HAWAIIAN ELECTRIC INDUSTRIES, INC.    
Security:  419870100 Agenda Number:  935361725
Ticker:  HE Meeting Type:  Annual
ISIN:  US4198701009 Meeting Date:  07-May-21

 

        For/Against
    Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
         
1A. Election of Director: Richard J. Dahl Mgmt For For
         
1B. Election of Director: Constance H. Lau Mgmt For For
         
1C. Election of Director: Micah A. Kane Mgmt For For
         
2. Advisory vote to approve the compensation of HEI's named executive officers. Mgmt For For
         
3. Ratification of the appointment of Deloitte & Touche LLP as HEI's independent registered public accountant for 2021. Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 58 of 157
         

Unassigned 

HEALTHCARE SERVICES GROUP, INC.    
Security:  421906108 Agenda Number:  935406036
Ticker:  HCSG Meeting Type:  Annual
ISIN:  US4219061086 Meeting Date:  01-Jun-21

 

        For/Against
      Proposed   Management's
Prop. # Proposal   by Proposal Vote Recommendation
           
1. DIRECTOR      
           
  1 John M. Briggs Mgmt For For
           
  2 Diane S. Casey Mgmt For For
           
  3 Daniela Castagnino Mgmt For For
           
  4 Robert L. Frome Mgmt For For
           
  5 Laura Grant Mgmt For For
           
  6 John J. McFadden Mgmt For For
           
  7 Dino D. Ottaviano Mgmt For For
           
  8 Jude Visconto Mgmt For For
           
  9 Theodore Wahl Mgmt For For
           
2. To approve and ratify the selection of Grant Thornton LLP as the independent registered public accounting firm of the Company for the current fiscal year ending December 31, 2021. Mgmt For For
           

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 59 of 157
         
        For/Against
    Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
         
         
3. To hold an advisory vote to approve the compensation of the named executive officers. Mgmt For For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 60 of 157
         

Unassigned 

HILL-ROM HOLDINGS, INC.    
Security: 431475102 Agenda Number: 935325806
Ticker: HRC Meeting Type: Annual
ISIN: US4314751029 Meeting Date: 10-Mar-21

 

        For/Against
    Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
           
1. DIRECTOR      
           
  1 William G. Dempsey Mgmt For For
           
  2 John P. Groetelaars Mgmt For For
           
  3 Gary L. Ellis Mgmt For For
           
  4 Stacy Enxing Seng Mgmt For For
           
  5 Mary Garrett Mgmt For For
           
  6 James R. Giertz Mgmt For For
           
  7 William H. Kucheman Mgmt For For
           
  8 Gregory J. Moore Mgmt For For
           
  9 Felicia F. Norwood Mgmt For For
           
  10 Nancy M. Schlichting Mgmt For For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 61 of 157
         
        For/Against
    Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
         
2. To approve, on an advisory basis, the Mgmt For For
  compensation of Hill-Rom Holdings, Inc.'s named executive officers.      
         
3. To ratify the appointment of PricewaterhouseCoopers LLP as Hill-Rom Holdings, Inc.'s independent registered public accounting firm for fiscal year 2021. Mgmt For For
         
4. To approve the 2021 Hill- Rom Holdings, Inc. Stock Incentive Plan. Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 62 of 157
         

Unassigned 

IDACORP, INC.      
Security:  451107106 Agenda Number:  935382882
Ticker:  IDA Meeting Type:  Annual
ISIN:  US4511071064 Meeting Date:  20-May-21

 

        For/Against
      Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
           
1. DIRECTOR      
           
  1 Darrel T. Anderson Mgmt For For
           
  2 Odette C. Bolano Mgmt For For
           
  3 Thomas E. Carlile Mgmt For For
           
  4 Richard J. Dahl Mgmt For For
           
  5 Annette G. Elg Mgmt For For
           
  6 Lisa A. Grow Mgmt For For
           
  7 Ronald W. Jibson Mgmt For For
           
  8 Judith A. Johansen Mgmt For For
           
  9 Dennis L. Johnson Mgmt For For
           
  10 Richard J. Navarro Mgmt For For
           
  11 Mark T. Peters Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 63 of 157

 

        For/Against
    Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
         
2. Advisory resolution to approve executive compensation. Mgmt For For
         
3. Ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for the year ending December 31, 2021. Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 64 of 157
         

Unassigned 

INGREDION INC    
Security:  457187102 Agenda Number:  935373009
Ticker:  INGR Meeting Type:  Annual
ISIN:  US4571871023 Meeting Date:  19-May-21

 

        For/Against
    Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
         
1A. Election of Director for a term of one year: Mgmt For For
  Luis Aranguren- Trellez      
         
1B. Election of Director for a term of one year: Mgmt For For
  David B. Fischer      
         
1C. Election of Director for a term of one year: Mgmt For For
  Paul Hanrahan      
         
1D. Election of Director for a term of one year: Mgmt For For
  Rhonda L. Jordan      
         
1E. Election of Director for a term of one year: Mgmt For For
  Gregory B. Kenny      
         
1F. Election of Director for a term of one year: Mgmt For For
  Barbara A. Klein      
         
1G. Election of Director for a term of one year: Mgmt For For
  Victoria J. Reich      
         
1H. Election of Director for a term of one year: Mgmt For For
  Stephan B. Tanda      
         
1I. Election of Director for a term of one year: Mgmt For For
  Jorge A. Uribe      
         
1J. Election of Director for a term of one year: Mgmt For For
  Dwayne A. Wilson      

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 65 of 157
         
        For/Against
    Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
         
1K. Election of Director for a term of one year: Mgmt For For
  James P. Zallie      
         
2. To approve, by advisory vote, the compensation of the Company's "named executive officers." Mgmt For For
         
3. To ratify the appointment of KPMG LLP as the independent registered public accounting firm of the Company for the fiscal year ending December 31, 2021. Mgmt For For
         
4. To approve an amendment to the Ingredion Incorporated Stock Incentive Plan to increase the number of shares of common stock authorized for issuance under the plan. Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 66 of 157
         

Unassigned 

INTERDIGITAL, INC.    
Security: 45867G101 Agenda Number: 935400755
Ticker: IDCC Meeting Type: Annual
ISIN: US45867G1013 Meeting Date: 02-Jun-21

 

        For/Against
    Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
         
1A. Election of Director: Lawrence (Liren) Chen Mgmt For For
         
1B. Election of Director: Joan H. Gillman Mgmt For For
         
1C. Election of Director: S. Douglas Hutcheson Mgmt For For
         
1D. Election of Director: John A. Kritzmacher Mgmt For For
         
1E. Election of Director: Pierre-Yves Lesaicherre Mgmt For For
         
1F. Election of Director: John D. Markley, Jr. Mgmt For For
         
1G. Election of Director: Jean F. Rankin Mgmt For For
         
2. Approval of the Amendment to the 2017 Equity Incentive Plan to increase the number of shares of stock authorized for issuance under the plan. Mgmt For For
         
3. Advisory resolution to approve executive compensation. Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 67 of 157
         
        For/Against
    Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
         
4. Ratification of PricewaterhouseCoopers LLP as the independent registered public accounting firm of InterDigital, Inc. for the year ending December 31, 2021. Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 68 of 157
         

Unassigned 

ITT INC.      
Security:  45073V108 Agenda Number:  935380357
Ticker:  ITT Meeting Type:  Annual
ISIN:  US45073V1089 Meeting Date:  19-May-21

 

        For/Against
    Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
         
1A. Election of Director: Orlando D. Ashford Mgmt For For
         
1B. Election of Director: Geraud Darnis Mgmt For For
         
1C. Election of Director: Donald DeFosset, Jr. Mgmt For For
         
1D. Election of Director: Nicholas C. Fanandakis Mgmt For For
         
1E. Election of Director: Richard P. Lavin Mgmt For For
         
1F. Election of Director: Mario Longhi Mgmt For For
         
1G. Election of Director: Rebecca A. McDonald Mgmt For For
         
1H. Election of Director: Timothy H. Powers Mgmt For For
         
1I. Election of Director: Luca Savi Mgmt For For
         
1J. Election of Director: Cheryl L. Shavers Mgmt For For
         
1K. Election of Director: Sabrina Soussan Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 69 of 157
         
        For/Against
    Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
         
2. Ratification of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm of the Company for the 2021 fiscal year. Mgmt For For
         
3. Approval of an advisory vote on executive compensation. Mgmt For For
         
4. A shareholder proposal regarding special shareholder meetings. Shr For Against

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 70 of 157
         

Unassigned 

J & J SNACK FOODS CORP.    
Security:  466032109 Agenda Number:  935320490
Ticker:  JJSF Meeting Type:  Annual
ISIN:  US4660321096 Meeting Date:  10-Feb-21

 

        For/Against
      Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
           
1. DIRECTOR      
           
  1 Peter G. Stanley Mgmt For For
           
2. ADVISORY VOTE ON APPROVAL OF THE COMPENSATION OF EXECUTIVES. Mgmt Against Against
           
3. VOTE ON APPROVAL OF THE AMENDED AND RESTATED LONG-TERM INCENTIVE PLAN. Mgmt For For
           

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 71 of 157
         

Unassigned 

JOHN WILEY & SONS, INC.    
Security:  968223206 Agenda Number:  935259778
Ticker:  JWA Meeting Type:  Annual
ISIN:  US9682232064 Meeting Date:  24-Sep-20

 

        For/Against
      Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
           
1. DIRECTOR      
           
  1 Beth Birnbaum Mgmt For For
           
  2 David C. Dobson Mgmt For For
           
  3 Mariana Garavaglia Mgmt For For
           
  4 William Pence Mgmt For For
           
2. Ratification of the appointment of KPMG LLP as independent accountants for the fiscal year ending April 30, 2021. Mgmt For For
           
3. Approval, on an advisory basis, of the compensation of the named executive officers. Mgmt For For
           

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 72 of 157
         

Unassigned 

KEMPER CORPORATION    
Security:  488401100 Agenda Number:  935359148
Ticker:  KMPR Meeting Type:  Annual
ISIN:  US4884011002 Meeting Date:  05-May-21

 

        For/Against
    Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
         
1A. Election of Director: Teresa A. Canida Mgmt For For
         
1B. Election of Director: George N. Cochran Mgmt For For
         
1C. Election of Director: Kathleen M. Cronin Mgmt For For
         
1D. Election of Director: Lacy M. Johnson Mgmt For For
         
1E. Election of Director: Robert J. Joyce Mgmt For For
         
1F. Election of Director: Joseph P. Lacher, Jr. Mgmt For For
         
1G. Election of Director: Gerald Laderman Mgmt For For
         
1H. Election of Director: Stuart B. Parker Mgmt For For
         
1I. Election of Director: Christopher B. Sarofim Mgmt For For
         
1J. Election of Director: David P. Storch Mgmt For For
         
1K. Election of Director: Susan D. Whiting Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 73 of 157
         
        For/Against
    Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
         
2. Advisory vote to ratify the selection of Deloitte & Touche LLP as the Company's independent registered public accountant for 2021. Mgmt For For
         
3. Advisory vote to approve the compensation of the Company's Named Executive Officers. Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 74 of 157
         

Unassigned 

LANCASTER COLONY CORPORATION    
Security:  513847103 Agenda Number:  935284101
Ticker:  LANC Meeting Type:  Annual
ISIN:  US5138471033 Meeting Date:  11-Nov-20

 

        For/Against
      Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
           
1. DIRECTOR      
           
  1 Robert L. Fox Mgmt For For
           
  2 John B. Gerlach, Jr. Mgmt For For
           
  3 Robert P. Ostryniec Mgmt For For
           
2. To approve, by non-binding vote, the compensation of the Corporation's named executive officers. Mgmt For For
           
3. To ratify the selection of Deloitte & Touche, LLP as the Corporation's independent registered public accounting firm for the year ending June 30, 2021. Mgmt For For
           

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 75 of 157
         

Unassigned 

LANDSTAR SYSTEM, INC.    
Security:  515098101 Agenda Number:  935360040
Ticker:  LSTR Meeting Type:  Annual
ISIN:  US5150981018 Meeting Date:  12-May-21

 

        For/Against
    Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
         
1A. Election Of Director: James B. Gattoni Mgmt For For
         
1B. Election Of Director: Anthony J. Orlando Mgmt For For
         
2. Ratification of the appointment of KPMG LLP as the Company's independent registered public accounting firm for fiscal year 2021. Mgmt For For
         
3. Advisory vote to approve executive compensation. Mgmt For For
         

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 76 of 157
         

Unassigned 

LAZARD LTD      
Security: G54050102 Agenda Number: 935350126
Ticker: LAZ Meeting Type: Annual
ISIN: BMG540501027 Meeting Date: 29-Apr-21

 

        For/Against
      Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
           
1. DIRECTOR      
           
  1 Ann-Kristin Achleitner Mgmt For For
           
  2 Andrew M. Alper Mgmt For For
           
  3 Ashish Bhutani Mgmt For For
           
2. Non-binding advisory vote regarding executive compensation. Mgmt For For
           
3. Approval of the Amendment to the Lazard Ltd 2018 Incentive Compensation Plan. Mgmt Against Against
           
4. Ratification of appointment of Deloitte & Touche LLP as Lazard Ltd's independent registered public accounting firm for 2021 and authorization of the Board of Directors, acting by its Audit Committee, to set their remuneration. Mgmt For For
           

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 77 of 157
         

Unassigned 

LEAR CORPORATION    
Security:  521865204 Agenda Number:  935381133
Ticker:  LEA Meeting Type:  Annual
ISIN:  US5218652049 Meeting Date:  20-May-21

 

        For/Against
    Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
         
1A. Election of Director: Mei-Wei Cheng Mgmt For For
         
1B. Election of Director: Jonathan F. Foster Mgmt For For
         
1C. Election of Director: Bradley M. Halverson Mgmt For For
         
1D. Election of Director: Mary Lou Jepsen Mgmt For For
         
1E. Election of Director: Roger A. Krone Mgmt For For
         
1F. Election of Director: Patricia L. Lewis Mgmt For For
         
1G. Election of Director: Kathleen A. Ligocki Mgmt For For
         
1H. Election of Director: Conrad L. Mallett, Jr. Mgmt For For
         
1I. Election of Director: Raymond E. Scott Mgmt For For
         
1J. Election of Director: Gregory C. Smith Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 78 of 157
         
        For/Against
    Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
         
         
2. Ratification of the retention of Ernst & Young LLP as our independent registered public accounting firm for 2021. Mgmt For For
         
3. Approve, in a non-binding advisory vote, Lear Corporation's executive compensation. Mgmt For For
         

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 79 of 157
         

Unassigned 

LEGGETT & PLATT, INCORPORATED    
Security:  524660107 Agenda Number:  935385244
Ticker:  LEG Meeting Type:  Annual
ISIN:  US5246601075 Meeting Date:  25-May-21

 

        For/Against
    Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
         
1A. ELECTION OF DIRECTOR: MARK A. BLINN Mgmt For For
         
1B. ELECTION OF DIRECTOR: ROBERT E. BRUNNER Mgmt For For
         
1C. ELECTION OF DIRECTOR: MARY CAMPBELL Mgmt For For
         
1D. Election of Director: J. Mitchell Dolloff Mgmt For For
         
1E. Election of Director: Manuel A. Fernandez Mgmt For For
         
1F. Election of Director: Karl G. Glassman Mgmt For For
         
1G. Election of Director: Joseph W. McClanathan Mgmt For For
         
1H. Election of Director: Judy C. Odom Mgmt For For
         
1I. Election of Director: Srikanth Padmanabhan Mgmt For For
         
1J. Election of Director: Jai Shah Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 80 of 157
         
        For/Against
    Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
         
1K Election of Director: Phoebe A. Wood Mgmt For For
         
2. Ratification of the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the year ending December 31, 2021.Ratification of the selection of Mgmt For For
         
3. An advisory vote to approve named executive officer compensation as described in the Company's proxy statement. Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 81 of 157
         

Unassigned 

LITTELFUSE, INC.    
Security:  537008104 Agenda Number:  935344337
Ticker:  LFUS Meeting Type:  Annual
ISIN:  US5370081045 Meeting Date:  22-Apr-21

 

        For/Against
    Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
         
1A. Election of Director: Kristina Cerniglia Mgmt For For
         
1B. Election of Director: Tzau-Jin Chung Mgmt For For
         
1C. Election of Director: Cary Fu Mgmt For For
         
1D. Election of Director: Maria Green Mgmt For For
         
1E. Election of Director: Anthony Grillo Mgmt For For
         
1F. Election of Director: David Heinzmann Mgmt For For
         
1G. Election of Director: Gordon Hunter Mgmt For For
         
1H. Election of Director: William Noglows Mgmt For For
         
1I. Election of Director: Nathan Zommer Mgmt For For
         
2. Advisory vote to approve executive compensation. Mgmt For For
         

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021   Report Date: 29-Jul-2021
        Page 82 of 157
         
        For/Against
    Proposed   Management's
Prop. # Proposal by Proposal Vote Recommendation
         
3. Approve and ratify the appointment of Grant Thornton LLP as the Company's independent auditors for 2021. Mgmt For For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 83 of 157  

 

Unassigned 

M.D.C. HOLDINGS, INC.    
       
Security: 552676108 Agenda Number: 935342321
Ticker: MDC Meeting Type: Annual
ISIN: US5526761086 Meeting Date: 26-Apr-21

 

             
Prop. # Proposal   Proposed
by
Proposal Vote For/Against
Management's
Recommendation
 
             
1. DIRECTOR          
             
  1 Raymond T. Baker Mgmt For For  
             
  2 David E. Blackford Mgmt For For  
             
  3 Courtney L. Mizel Mgmt For For  
             
2. To approve an advisory proposal regarding the compensation of the Company's named executive officers (Say on Pay). Mgmt Against Against  
           
3. To approve the M.D.C. Holdings, Inc. 2021 Equity Incentive Plan. Mgmt For For  
           
4. To ratify the selection of Ernst & Young LLP as the Company's independent registered public accounting firm for the 2021 fiscal year. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 84 of 157  

 

Unassigned 

MANTECH INTERNATIONAL CORP.    
     
Security: 564563104 Agenda Number: 935402432
Ticker: MANT Meeting Type: Annual
ISIN: US5645631046 Meeting Date: 21-May-21

 

           
Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management's
Recommendation
 
           
1. DIRECTOR        
             
  1 George J. Pedersen Mgmt For For  
             
  2 Kevin M. Phillips Mgmt For For  
             
  3 Richard L. Armitage Mgmt For For  
             
  4 Mary K. Bush Mgmt For For  
             
  5 Barry G. Campbell Mgmt For For  
             
  6 Richard J. Kerr Mgmt For For  
             
  7 Peter B. LaMontagne Mgmt For For  
             
  8 Kenneth A. Minihan Mgmt For For  
             
2. Ratify the appointment of Deloitte & Touche LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 85 of 157  

 

Unassigned 

MAXIMUS, INC.
     
Security: 577933104 Agenda Number: 935330035
Ticker: MMS Meeting Type: Annual
ISIN: US5779331041 Meeting Date: 16-Mar-21

 

           
Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management's
Recommendation
 
           
1A. Election of Class I Director: John J. Haley Mgmt For For  
           
1B. Election of Class II Director: Jan D. Madsen Mgmt For For  
           
1C. Election of Class III Director: Bruce L. Caswell Mgmt For For  
           
1D. Election of Class III Director: Richard A. Montoni Mgmt For For  
           
1E. Election of Class III Director: Raymond B. Ruddy Mgmt For For  
           
2. The approval of 2021 Omnibus Incentive Plan. Mgmt For For  
           
3. Ratification of the appointment of Ernst & Young LLP as our independent public accountants for our 2021 fiscal year. Mgmt For For  
           
4. Advisory vote to approve the compensation of the Named Executive Officers. Mgmt For For  
           
5. A shareholder proposal pertaining to the disclosure by the Company of certain lobbying expenditures and activities. Shr Against For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 86 of 157  

 

Unassigned 

MDU RESOURCES GROUP, INC.    
     
Security: 552690109 Agenda Number: 935362993
Ticker: MDU Meeting Type: Annual
ISIN: US5526901096 Meeting Date: 11-May-21

 

           
Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management's
Recommendation
 
           
1A. Election of Director: Thomas Everist Mgmt For For  
           
1B. Election of Director: Karen B. Fagg Mgmt For For  
           
1C. Election of Director: David L. Goodin Mgmt For For  
           
1D. Election of Director: Dennis W. Johnson Mgmt For For  
           
1E. Election of Director: Patricia L. Moss Mgmt For For  
           
1F. Election of Director: Dale S. Rosenthal Mgmt For For  
           
1G. Election of Director: Edward A. Ryan Mgmt For For  
           
1H. Election of Director: David M. Sparby Mgmt For For  
           
1I. Election of Director: Chenxi Wang Mgmt For For  
           
2. Advisory Vote to Approve the Compensation Paid to the Company's Named Executive Officers. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 87 of 157  

 

           
Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management's
Recommendation
 
           
3. Ratification of the Appointment of Deloitte & Touche LLP as the Company's Independent Registered Public Accounting Firm for 2021. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 88 of 157  

 

Unassigned 

MGE ENERGY, INC.    
       
Security: 55277P104 Agenda Number: 935369454
Ticker: MGEE Meeting Type: Annual
ISIN: US55277P1049 Meeting Date: 18-May-21

 

           
Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management's
Recommendation
 
           
1. DIRECTOR        
           
  1 Marcia M. Anderson Mgmt For For  
           
  2 Jeffrey M. Keebler Mgmt For For  
           
  3 Gary J. Wolter Mgmt For For  
           
2. Ratification of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for the year 2021. Mgmt For For  
           
3. Advisory Vote: Approval of the compensation of the named executive officers as disclosed in the proxy statement under the heading “Executive Compensation”. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 89 of 157  

 

Unassigned

 

MOELIS & COMPANY    
       
Security: 60786M105 Agenda Number: 935404208
Ticker: MC Meeting Type: Annual
ISIN: US60786M1053 Meeting Date: 03-Jun-21

 

           
Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management's
Recommendation
 
           
1. DIRECTOR        
           
  1 Kenneth Moelis Mgmt For For  
           
  2 Eric Cantor Mgmt For For  
           
  3 John A. Allison IV Mgmt For For  
           
  4 Yolanda Richardson Mgmt For For  
           
  5 Kenneth L. Shropshire Mgmt For For  
           
2. To approve, on an advisory basis, the compensation of our Named Executive Officers. Mgmt For For  
           
3. Proposal to ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 90 of 157  

 

Unassigned 

MONOLITHIC POWER SYSTEMS, INC.    
       
Security: 609839105 Agenda Number: 935418966
Ticker: MPWR Meeting Type: Annual
ISIN: US6098391054 Meeting Date: 10-Jun-21

 

           
Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management's
Recommendation
 
           
1. DIRECTOR        
           
  1 Eugen Elmiger Mgmt For For  
           
  2 Jeff Zhou Mgmt For For  
           
2. Ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. Mgmt For For  
           
3. Approve, on an advisory basis, the 2020 executive compensation. Mgmt Against Against  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 91 of 157  

 

Unassigned 

MORNINGSTAR, INC.    
       
Security: 617700109 Agenda Number: 935361650
Ticker: MORN Meeting Type: Annual
ISIN: US6177001095 Meeting Date: 14-May-21
       

 

           
Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management's
Recommendation
 
           
1A. Election of Director: Joe Mansueto Mgmt For For  
           
1B. Election of Director: Kunal Kapoor Mgmt For For  
           
1C. Election of Director: Robin Diamonte Mgmt For For  
           
1D. Election of Director: Cheryl Francis Mgmt For For  
           
1E. Election of Director: Steve Joynt Mgmt For For  
           
1F. Election of Director: Steve Kaplan Mgmt For For  
           
1G. Election of Director: Gail Landis Mgmt For For  
           
1H. Election of Director: Bill Lyons Mgmt For For  
           
1I. Election of Director: Doniel Sutton Mgmt For For  
           
1J. Election of Director: Caroline Tsay Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 92 of 157  

 

           
Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management's
Recommendation
 
           
2. Approve the Morningstar, Inc. Amended and Restated 2011 Stock Incentive Plan. Mgmt For For  
           
3. Advisory vote to approve executive compensation. Mgmt For For  
           
4. Ratification of the appointment of KPMG LLP as Morningstar's independent registered public accounting firm for 2021. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 93 of 157  

 

Unassigned 

MSA SAFETY INCORPORATED    
       
Security: 553498106 Agenda Number: 935352663
Ticker: MSA Meeting Type: Annual
ISIN: US5534981064 Meeting Date: 19-May-21

 

           
Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management's
Recommendation
 
           
1. DIRECTOR        
           
  1 Sandra Phillips Rogers Mgmt For For  
           
  2 John T. Ryan III Mgmt For For  
           
2. Selection of Ernst & Young LLP as the Company's independent registered public accounting firm. Mgmt For For  
           
3. To provide an advisory vote to approve the executive compensation of the Company's named executive officers. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 94 of 157  

 

Unassigned 

MSC INDUSTRIAL DIRECT CO., INC.    
       
Security: 553530106 Agenda Number: 935317227
Ticker: MSM Meeting Type: Annual
ISIN: US5535301064 Meeting Date: 27-Jan-21

 

           
Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management's
Recommendation
 
           
1. DIRECTOR        
           
  1 Mitchell Jacobson Mgmt Withheld Against  
           
  2 Erik Gershwind Mgmt For For  
           
  3 Louise Goeser Mgmt For For  
           
  4 Michael Kaufmann Mgmt For For  
           
  5 Steven Paladino Mgmt For For  
           
  6 Philip Peller Mgmt For For  
           
  7 Rudina Seseri Mgmt For For  
           
2. To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for fiscal year 2021. Mgmt For For  
           
3. To approve, on an advisory basis, the compensation of our named executive officers. Mgmt For For  
           
4. To approve the amendment and restatement of our associate stock purchase plan. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 95 of 157  

 

Unassigned 

NATIONAL FUEL GAS COMPANY    
       
Security: 636180101 Agenda Number: 935329626
Ticker: NFG Meeting Type: Annual
ISIN: US6361801011 Meeting Date: 11-Mar-21

 

           
Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management's
Recommendation
 
           
1. DIRECTOR        
           
  1 David H. Anderson Mgmt No vote    
           
  2 David P. Bauer Mgmt No vote    
           
  3 Barbara M. Baumann Mgmt No vote    
           
  4 Rebecca Ranich Mgmt No vote    
           
2. Advisory approval of named executive officer compensation Mgmt For For  
           
3. Approval of an amendment of the Restated Certificate of Incorporation to declassify the Board of Directors Mgmt For For  
           
4. Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for fiscal 2021 Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 96 of 157  

 

Unassigned 

NATIONAL GENERAL HOLDINGS CORP.    
       
Security: 636220303 Agenda Number: 935267434
Ticker: NGHC Meeting Type: Special
ISIN: US6362203035 Meeting Date: 30-Sep-20

 

           
Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management's
Recommendation
 
           
1. To adopt the Agreement and Plan of Merger, dated as of July 7, 2020 (as it may be amended from time to time, the "Merger Agreement"), by and among National General Holdings Corp., a Delaware corporation (the "Company"), The Allstate Corporation, a Delaware corporation ("Parent"), and Bluebird Acquisition Corp., a Delaware corporation and an indirect wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which, subject to the satisfaction of customary closing conditions, Merger Sub will be merged with and into the Company (the "Merger"). Mgmt For For  
           
2. To approve, on a non-binding, advisory basis, the compensation payments that will or may be paid or become payable to the Company's named executive officers and that are based on or otherwise relate to the Merger and the agreements and understandings pursuant to which such compensation will or may be paid or become payable. Mgmt For For  
           
3. To approve the adjournment of the special meeting, if necessary or appropriate, including to solicit additional proxies if there are insufficient votes at the time of the special meeting to approve the proposal to adopt the Merger Agreement or in the absence of a quorum. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 97 of 157  

 

Unassigned 

NATIONAL HEALTHCARE CORPORATION    
       
Security: 635906100 Agenda Number: 935385307
Ticker: NHC Meeting Type: Annual
ISIN: US6359061008 Meeting Date: 06-May-21

 

               
Prop. # Proposal     Proposed
by
Proposal Vote For/Against
Management's
Recommendation
 
               
1A. Re-election of director to hold office for a three year term: J. Paul Abernathy Mgmt For For  
               
1B. Re-election of director to hold office for a three year term: Robert G. Adams Mgmt Against Against  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 98 of 157  

 

Unassigned 

NATIONAL INSTRUMENTS CORPORATION    
       
Security: 636518102 Agenda Number: 935359732
Ticker: NATI Meeting Type: Annual
ISIN: US6365181022 Meeting Date: 11-May-21

 

           
Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management's
Recommendation
 
           
1. DIRECTOR        
           
  1 Gayla J. Delly Mgmt For For  
           
  2 Gerhard P. Fettweis Mgmt For For  
           
  3 Duy-Loan T. Le Mgmt For For  
           
2. To approve an advisory (non-binding) proposal concerning National Instruments Corporation's executive compensation program. Mgmt For For  
           
3. To ratify the appointment of Ernst & Young LLP as National Instruments Corporation's independent registered public accounting firm for the fiscal year ending December 31, 2021. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 99 of 157  

 

Unassigned 

NEW JERSEY RESOURCES CORPORATION    
       
Security: 646025106 Agenda Number: 935312760
Ticker: NJR Meeting Type: Annual
ISIN: US6460251068 Meeting Date: 20-Jan-21

 

           
Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management's
Recommendation
 
           
1. DIRECTOR        
           
  1 M. William Howard, Jr.# Mgmt For For  
           
  2 Donald L. Correll* Mgmt For For  
           
  3 J.H. DeGraffenreidt Jr* Mgmt For For  
           
  4 M. Susan Hardwick* Mgmt For For  
           
  5 George R. Zoffinger* Mgmt For For  
           
2. To approve a non-binding advisory resolution approving the compensation of our named executive officers. Mgmt For For  
           
3. To ratify the appointment by the Audit Committee of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending September 30, 2021. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 100 of 157  

 

Unassigned 

NEWS CORP    
       
Security: 65249B109 Agenda Number: 935282323
Ticker: NWSA Meeting Type: Annual
ISIN: US65249B1098 Meeting Date: 18-Nov-20

 

           
Prop. # Proposal Proposed
by
Proposal Vote For/Against
Management's
Recommendation
 
           
1. YOU ARE CORDIALLY INVITED TO ATTEND THE ANNUAL MEETING OF STOCKHOLDERS OF NEWS CORPORATION (THE "COMPANY") TO BE HELD ON WEDNESDAY, NOVEMBER 18, 2020 AT 3:00 PM EST EXCLUSIVELY VIA LIVE WEBCAST. PLEASE USE THE FOLLOWING URL TO ACCESS THE MEETING (WWW.VIRTUALSHAREHOLDERMEETING. COM/NWS2020). Mgmt For    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 101 of 157  

 

Unassigned

NIC INC.
Security: 62914B100 Agenda Number: 935358437
Ticker: EGOV Meeting Type: Special
ISIN: US62914B1008 Meeting Date: 19-Apr-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1. To adopt the Agreement and Plan of Merger, dated as of February 9, 2021, as may be amended from time to time (which we refer to as the “merger agreement”), by and among NIC Inc. (which we refer to as “NIC”), Tyler Technologies Inc. (which we refer to as “Tyler”) and Topos Acquisition, Inc. (which we refer to as “Merger Sub”), pursuant to which Merger Sub will merge with and into NIC (which we refer to as the “merger”), and NIC will continue as the surviving corporation and a wholly-owned subsidiary of Tyler. Mgmt For For  
           
2. To approve, on a non-binding advisory basis, specified compensation that may be paid or become payable to NIC’s named executive officers in connection with the merger and contemplated by the merger agreement. Mgmt For For  
           
3. To approve one or more adjournments of the Special Meeting, if necessary or appropriate, to solicit additional proxies if there are insufficient votes at the time of the Special Meeting to constitute a quorum or to approve the proposal to adopt the merger agreement. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 102 of 157  

 

Unassigned

NORTHWEST NATURAL HOLDING COMPANY
Security: 66765N105 Agenda Number: 935400123
Ticker: NWN Meeting Type: Annual
ISIN: US66765N1054 Meeting Date: 27-May-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
      by   Management’s  
          Recommendation  
             
1. DIRECTOR        
             
  1 Timothy P. Boyle* Mgmt For For  
             
  2 Monica Enand* Mgmt For For  
             
  3 Hon. Dave McCurdy* Mgmt For For  
             
  4 Malia H. Wasson* Mgmt For For  
             
  5 Karen Lee** Mgmt For For  
             
  6 Nathan I. Partain** Mgmt For For  
             
2. Advisory vote to approve Named Executive Officer Compensation. Mgmt For For  
             
3. The ratification of the appointment of PricewaterhouseCoopers LLP as Northwest Natural Holding Company’s independent registered public accountants for the fiscal year 2021. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 103 of 157  

 

Unassigned

NORTHWESTERN CORPORATION
Security: 668074305 Agenda Number: 935340858
Ticker: NWE Meeting Type: Annual
ISIN: US6680743050 Meeting Date: 22-Apr-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
      by   Management’s  
          Recommendation  
             
1. DIRECTOR        
             
  1 Anthony T. Clark Mgmt For For  
             
  2 Dana J. Dykhouse Mgmt For For  
             
  3 Jan R. Horsfall Mgmt For For  
             
  4 Britt E. Ide Mgmt For For  
             
  5 Linda G. Sullivan Mgmt For For  
             
  6 Robert C. Rowe Mgmt For For  
             
  7 Mahvash Yazdi Mgmt For For  
             
  8 Jeffrey W. Yingling Mgmt For For  
             
2. Ratification of Deloitte & Touche LLP as the independent registered public accounting firm for 2021. Mgmt For For  
             
3. Approval of the Equity Compensation Plan. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 104 of 157  

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
4. Advisory vote to approve named executive officer compensation. Mgmt For For  
           
5. Transaction of any other matters and business as may properly come before the annual meeting or any postponement or adjournment of the annual meeting. Mgmt Against Against  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 105 of 157  

 

Unassigned

ONE GAS, INC
Security: 68235P108 Agenda Number: 935388478
Ticker: OGS Meeting Type: Annual
ISIN: US68235P1084 Meeting Date: 27-May-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1.1 Election of Director: Robert B. Evans Mgmt For For  
           
1.2 Election of Director: John W. Gibson Mgmt For For  
           
1.3 Election of Director: Tracy E. Hart Mgmt For For  
           
1.4 Election of Director: Michael G. Hutchinson Mgmt For For  
           
1.5 Election of Director: Pattye L. Moore Mgmt For For  
           
1.6 Election of Director: Pierce H. Norton II Mgmt For For  
           
1.7 Election of Director: Eduardo A. Rodriguez Mgmt For For  
           
1.8 Election of Director: Douglas H. Yaeger Mgmt For For  
           
2. Ratification of the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm of ONE Gas, Inc. for the year ending December 31, 2021. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 106 of 157  

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
3. Amendment and restatement of the ESP Plan to authorize an additional 550,000 shares of ONE Gas, Inc. common stock for issuance under the plan and to introduce new holding requirements and transfer restrictions for plan participants. Mgmt For For  
           
4. Advisory vote to approve the Company’s executive compensation. Mgmt For For  
           
5. Advisory vote to approve the frequency of advisory votes on the Company’s executive compensation. Mgmt 1 Year For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 107 of 157  

 

Unassigned

OTTER TAIL CORPORATION
Security: 689648103 Agenda Number: 935339069
Ticker: OTTR Meeting Type: Annual
ISIN: US6896481032 Meeting Date: 12-Apr-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1. DIRECTOR        
           
  1 Karen M. Bohn Mgmt For For  
           
  2 Charles S. MacFarlane Mgmt For For  
           
  3 Thomas J. Webb Mgmt For For  
           
2. Amend and restate the Articles of Incorporation to increase the maximum number of Directors from nine (9) to eleven (11). Mgmt For For  
           
3. Advisory vote approving the compensation provided to executive officers. Mgmt For For  
           
4. To ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for the year 2021. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 108 of 157  

 

Unassigned

PNM RESOURCES, INC.
Security: 69349H107 Agenda Number: 935324397
Ticker: PNM Meeting Type: Special
ISIN: US69349H1077 Meeting Date: 12-Feb-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1. Approve the Agreement and Plan of Merger, dated as of October 20, 2020, as it may be amended from time to time, or the merger agreement, by and among PNM Resources, Inc. (the Company), Avangrid, Inc. and NM Green Holdings, Inc. Mgmt For For  
           
2. Approve, by non-binding, advisory vote, certain existing compensation arrangements for the Company’s named executive officers in connection with the merger contemplated by the merger agreement. Mgmt For For  
           
3. Approve one or more adjournments of the special meeting, if necessary or appropriate, to solicit additional proxies if there are insufficient votes at the time of the special meeting to approve the merger agreement. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 109 of 157  

 

Unassigned

PNM RESOURCES, INC.
Security: 69349H107 Agenda Number: 935369719
Ticker: PNM Meeting Type: Annual
ISIN: US69349H1077 Meeting Date: 11-May-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director: Vicky A. Bailey Mgmt For For  
           
1B. Election of Director: Norman P. Becker Mgmt For For  
           
1C. Election of Director: Patricia K. Collawn Mgmt For For  
           
1D. Election of Director: E. Renae Conley Mgmt For For  
           
1E. Election of Director: Alan J. Fohrer Mgmt For For  
           
1F. Election of Director: Sidney M. Gutierrez Mgmt For For  
           
1G. Election of Director: James A. Hughes Mgmt For For  
           
1H. Election of Director: Maureen T. Mullarkey Mgmt For For  
           
1I. Election of Director: Donald K. Schwanz Mgmt For For  
           
2. Ratify the appointment of KPMG LLP as our independent registered public accounting firm for 2021. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 110 of 157  

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
3. Approve, on an advisory basis, the compensation of our named executive officers as disclosed in the 2021 proxy statement. Mgmt For For  
           
4. Publish a report on costs and benefits of voluntary climate- related activities. Shr Against For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 111 of 157  

 

Unassigned

PORTLAND GENERAL ELECTRIC CO
Security: 736508847 Agenda Number: 935346963
Ticker: POR Meeting Type: Annual
ISIN: US7365088472 Meeting Date: 28-Apr-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director: Rodney Brown Mgmt For For  
           
1B. Election of Director: Jack Davis Mgmt For For  
           
1C. Election of Director: Kirby Dyess Mgmt For For  
           
1D. Election of Director: Mark Ganz Mgmt For For  
           
1E. Election of Director: Marie Oh Huber Mgmt For For  
           
1F. Election of Director: Kathryn Jackson, PhD Mgmt For For  
           
1G. Election of Director: Michael Lewis Mgmt For For  
           
1H. Election of Director: Michael Millegan Mgmt For For  
           
1I. Election of Director: Neil Nelson Mgmt For For  
           
1J. Election of Director: Lee Pelton, PhD Mgmt For For  
           
1K. Election of Director: Maria Pope Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 112 of 157  

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1L. Election of Director: James Torgerson Mgmt For For  
           
2. To approve, by a non-binding vote, the compensation of the Company’s named executive officers. Mgmt For For  
           
3. To ratify the appointment of Deloitte and Touche LLP as the Company’s independent registered public accounting firm for the fiscal year 2021. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 113 of 157  

 

Unassigned

PREMIER, INC.
Security: 74051N102 Agenda Number: 935285343
Ticker: PINC Meeting Type: Annual
ISIN: US74051N1028 Meeting Date: 04-Dec-20

 

Prop. # Proposal Proposed Proposal Vote For/Against  
      by   Management’s  
          Recommendation  
             
1. DIRECTOR        
             
  1 John T. Bigalke Mgmt For For  
             
  2 Helen M. Boudreau Mgmt For For  
             
  3 Stephen R. D’Arcy Mgmt For For  
             
  4 Marc D. Miller Mgmt For For  
             
2. Ratification of the appointment of Ernst & Young LLP to serve as our independent registered public accounting firm for fiscal year 2021. Mgmt For For  
             
3. Approval, on an advisory basis, of the compensation of our named executive officers as disclosed in the proxy statement for the Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 114 of 157  

 

Unassigned

PROGRESS SOFTWARE CORPORATION
Security: 743312100 Agenda Number: 935409020
Ticker: PRGS Meeting Type: Annual
ISIN: US7433121008 Meeting Date: 18-May-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
      by   Management’s  
          Recommendation  
             
1. DIRECTOR        
             
  1 Paul T. Dacier Mgmt For For  
             
  2 John R. Egan Mgmt For For  
             
  3 Rainer Gawlick Mgmt For For  
             
  4 Yogesh Gupta Mgmt For For  
             
  5 Charles F. Kane Mgmt For For  
             
  6 Samskriti Y. King Mgmt For For  
             
  7 David A. Krall Mgmt For For  
             
  8 Angela T. Tucci Mgmt For For  
             
2. To approve, on an advisory basis, the compensation of Progress Software Corporation’s named executive officers. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 115 of 157  

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
3.

To approve an increase in the number of shares authorized for issuance under the 2008 Stock Option and Incentive Plan, as amended and restated

 

Mgmt Against Against  
           
4. To approve an increase in the number of shares authorized for issuance under the 1991 Employee Stock Purchase Plan, as amended and restated. Mgmt For For  
           
5. To ratify the selection of Deloitte & Touche LLP as our independent registered public accounting firm for fiscal year 2021. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 116 of 157  

 

Unassigned

RADIAN GROUP INC.
Security: 750236101 Agenda Number: 935392819
Ticker: RDN Meeting Type: Annual
ISIN: US7502361014 Meeting Date: 12-May-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director for a one-year term: Herbert Wender Mgmt For For  
           
1B. Election of Director for a one-year term: Brad L. Conner Mgmt For For  
           
1C. Election of Director for a one-year term: Howard B. Culang Mgmt For For  
           
1D. Election of Director for a one-year term: Debra Hess Mgmt For For  
           
1E. Election of Director for a one-year term: Lisa W. Hess Mgmt For For  
           
1F. Election of Director for a one-year term: Lisa Mumford Mgmt For For  
           
1G. Election of Director for a one-year term: Gaetano Muzio Mgmt For For  
           
1H. Election of Director for a one-year term: Gregory V. Serio Mgmt For For  
           
1I. Election of Director for a one-year term: Noel J. Spiegel Mgmt For For  
           
1J. Election of Director for a one-year term: Richard G. Thornberry Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 117 of 157  

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
2. Approval, by an advisory, non-binding vote, of the overall compensation of the Company’s named executive officers. Mgmt For For  
           
3. Approval of the Radian Group Inc. 2021 Equity Compensation Plan. Mgmt For For  
           
4. Ratification of the appointment of Pricewaterhouse Coopers LLP as Radian’s independent registered public accounting firm for the year ending December 31, 2021. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 118 of 157  

 

Unassigned

ROBERT HALF INTERNATIONAL INC.
Security: 770323103 Agenda Number: 935406098
Ticker: RHI Meeting Type: Annual
ISIN: US7703231032 Meeting Date: 19-May-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director: Julia L. Coronado Mgmt For For  
           
1B. Election of Director: Dirk A. Kempthorne Mgmt For For  
           
1C. Election of Director: Harold M. Messmer, Jr. Mgmt For For  
           
1D. Election of Director: Marc H. Morial Mgmt For For  
           
1E. Election of Director: Barbara J. Novogradac Mgmt For For  
           
1F. Election of Director: Robert J. Pace Mgmt For For  
           
1G. Election of Director: Frederick A. Richman Mgmt For For  
           
1H. Election of Director: M. Keith Waddell Mgmt For For  
           
2. Advisory vote to approve executive compensation. Mgmt For For  
           
3. To ratify the appointment of PricewaterhouseCoopers LLP, as the Company’s independent registered public accounting firm for 2021. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 119 of 157  

 

Unassigned

SAFETY INSURANCE GROUP, INC.
Security: 78648T100 Agenda Number: 935373388
Ticker: SAFT Meeting Type: Annual
ISIN: US78648T1007 Meeting Date: 19-May-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Class I Director to serve a three year term expiring in 2024: Peter J. Manning Mgmt For For  
           
1B. Election of Class I Director to serve a three year term expiring in 2024: Mary C. Moran Mgmt For For  
           
2. Ratification of the Appointment of PRICEWATERHOUSECOOPERS LLP. Mgmt For For  
           
3. Advisory Vote on Executive Compensation. Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 120 of 157  

 

Unassigned

SCIENCE APPLICATIONS INTERNATIONAL CORP
Security: 808625107 Agenda Number: 935394837
Ticker: SAIC Meeting Type: Annual
ISIN: US8086251076 Meeting Date: 02-Jun-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Nominee: Robert A. Bedingfield Mgmt For For  
           
1B. Election of Nominee: Carol A. Goode Mgmt For For  
           
1C. Election of Nominee: Garth N. Graham Mgmt For For  
           
1D. Election of Nominee: John J. Hamre Mgmt For For  
           
1E. Election of Nominee: Yvette M. Kanouff Mgmt For For  
           
1F. Election of Nominee: Nazzic S. Keene Mgmt For For  
           
1G. Election of Nominee: Timothy J. Mayopoulos Mgmt For For  
           
1H. Election of Nominee: Katharina G. McFarland Mgmt For For  
           
1I. Election of Nominee: Donna S. Morea Mgmt For For  
           
1J. Election of Nominee: Steven R. Shane Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 121 of 157  

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
2. The approval of a non-binding, advisory vote on executive compensation. Mgmt For For  
           
3. The ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending January 28, 2022. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 122 of 157  

 

Unassigned

SERVICE CORPORATION INTERNATIONAL
Security: 817565104 Agenda Number: 935362804
Ticker: SCI Meeting Type: Annual
ISIN: US8175651046 Meeting Date: 12-May-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
      by   Management’s  
          Recommendation  
             
1. DIRECTOR        
             
  1 Alan R. Buckwalter Mgmt For For  
             
  2 Anthony L. Coelho Mgmt For For  
             
  3 Jakki L. Haussler Mgmt For For  
             
  4 Victor L. Lund Mgmt For For  
             
  5 Clifton H. Morris, Jr. Mgmt For For  
             
  6 Ellen Ochoa Mgmt For For  
             
  7 Thomas L. Ryan Mgmt For For  
             
  8 Sara Martinez Tucker Mgmt For For  
             
  9 W. Blair Waltrip Mgmt For For  
             
  10 Marcus A. Watts Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 123 of 157  

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
2. Ratify the selection of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2021. Mgmt For For  
           
3. To approve, by advisory vote, named executive officer compensation. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 124 of 157

 

Unassigned 

SIMPSON MANUFACTURING CO., INC.
       
Security: 829073105 Agenda Number: 935357384
Ticker: SSD Meeting Type: Annual
ISIN: US8290731053 Meeting Date: 04-May-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1A. Election of Director to hold office until the next Mgmt For For  
  annual meeting: James S. Andrasick        
           
1B. Election of Director to hold office until the next Mgmt For For  
  annual meeting: Jennifer A. Chatman        
           
1C. Election of Director to hold office until the next Mgmt For For  
  annual meeting: Karen Colonias        
           
1D. Election of Director to hold office until the next Mgmt For For  
  annual meeting: Gary M. Cusumano        
           
1E. Election of Director to hold office until the next Mgmt For For  
  annual meeting: Philip E. Donaldson        
           
1F. Election of Director to hold office until the next Mgmt For For  
  annual meeting: Celeste Volz Ford        
           
1G. Election of Director to hold office until the next Mgmt For For  
  annual meeting: Robin G. MacGillivray        
           
2. Approve, on an advisory, non-binding basis, Mgmt For For  
  the compensation of the Company's named        
  executive officers.        
           
3. Ratify the Board of Directors' selection of Mgmt For For  
  Grant Thornton LLP as the Company's        
  independent registered public accounting firm        
  for 2021.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 125 of 157

 

Unassigned 

SNAP-ON INCORPORATED
       
Security: 833034101 Agenda Number: 935351332
Ticker: SNA Meeting Type: Annual
ISIN: US8330341012 Meeting Date: 29-Apr-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1A. Election of Director: David C. Adams Mgmt For For  
           
1B. Election of Director: Karen L. Daniel Mgmt For For  
           
1C. Election of Director: Ruth Ann M. Gillis Mgmt For For  
           
1D. Election of Director: James P. Holden Mgmt For For  
           
1E. Election of Director: Nathan J. Jones Mgmt For For  
           
1F. Election of Director: Henry W. Knueppel Mgmt For For  
           
1G. Election of Director: W. Dudley Lehman Mgmt For For  
           
1H. Election of Director: Nicholas T. Pinchuk Mgmt For For  
           
1I. Election of Director: Gregg M. Sherrill Mgmt For For  
           
1J. Election of Director: Donald J. Stebbins Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 126 of 157

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
2. Proposal to ratify the appointment of Deloitte Mgmt For For  
  & Touche LLP as Snap-on Incorporated's        
  independent registered public accounting firm        
  for fiscal 2021.        
           
3. Advisory vote to approve the compensation of Mgmt For For  
  Snap-on Incorporated's named executive        
  officers, as disclosed in "Compensation        
  Discussion and Analysis" and "Executive        
  Compensation Information" in the Proxy        
  Statement.        
           
4. Proposal to amend and restate the Snap-on Mgmt For For  
  Incorporated 2011 Incentive Stock and        
  Awards Plan.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 127 of 157

 

Unassigned 

SOUTHWEST GAS HOLDINGS, INC.
       
Security: 844895102 Agenda Number: 935363680
Ticker: SWX Meeting Type: Annual
ISIN: US8448951025 Meeting Date: 06-May-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
      by   Management's  
          Recommendation  
             
1. DIRECTOR        
             
  1 Robert L. Boughner Mgmt For For  
             
  2 José A. Cárdenas Mgmt For For  
             
  3 Stephen C. Comer Mgmt For For  
             
  4 John P. Hester Mgmt For For  
             
  5 Jane Lewis-Raymond Mgmt For For  
             
  6 Anne L. Mariucci Mgmt For For  
             
  7 Michael J. Melarkey Mgmt For For  
             
  8 A. Randall Thoman Mgmt For For  
             
  9 Thomas A. Thomas Mgmt For For  
             
  10 Leslie T. Thornton Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 128 of 157

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
2. To APPROVE, on a non-binding, advisory Mgmt For For  
  basis, the Company's Executive        
  Compensation.        
           
3. To RATIFY the selection of Mgmt For For  
  PricewaterhouseCoopers LLP as the        
  independent registered public accounting firm        
  for the Company for fiscal year 2021.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 129 of 157

 

Unassigned 

SPIRE INC.
       
Security: 84857L101 Agenda Number: 935312758
Ticker: SR Meeting Type: Annual
ISIN: US84857L1017 Meeting Date: 28-Jan-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1. DIRECTOR        
           
  1 Mark A. Borer Mgmt For For  
           
  2 Maria V. Fogarty Mgmt For For  
           
  3 Stephen S. Schwartz Mgmt For For  
           
2. Advisory nonbinding approval of resolution to Mgmt For For  
  approve compensation of our named        
  executive officers.        
           
3. Ratify the appointment of Deloitte & Touche Mgmt For For  
  LLP as our independent registered public        
  accountant for the 2021 fiscal year.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 130 of 157

 

Unassigned 

STEELCASE INC.
       
Security: 858155203 Agenda Number: 935229662
Ticker: SCS Meeting Type: Annual
ISIN: US8581552036 Meeting Date: 15-Jul-20

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1A. Election of Director: Lawrence J. Blanford Mgmt For For  
           
1B. Election of Director: Timothy C. E. Brown Mgmt For For  
           
1C. Election of Director: Connie K. Duckworth Mgmt For For  
           
1D. Election of Director: James P. Keane Mgmt For For  
           
1E. Election of Director: Todd P. Kelsey Mgmt For For  
           
1F. Election of Director: Jennifer C. Niemann Mgmt For For  
           
1G. Election of Director: Robert C. Pew III Mgmt For For  
           
1H. Election of Director: Cathy D. Ross Mgmt For For  
           
1I. Election of Director: Catherine C. B. Mgmt For For  
  Schmelter        
           
1J. Election of Director: Peter M. Wege II Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 131 of 157

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1K. Election of Director: Kate Pew Wolters Mgmt For For  
           
2. Advisory vote to approve named executive Mgmt For For  
  officer compensation        
           
3. Ratification of independent registered public Mgmt For For  
  accounting firm        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 132 of 157

 

Unassigned 

STEWART INFORMATION SERVICES CORPORATION    
       
Security: 860372101 Agenda Number: 935387515
Ticker: STC Meeting Type: Annual
ISIN: US8603721015 Meeting Date: 27-May-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
      by   Management's  
          Recommendation  
             
1. DIRECTOR        
             
  1 Thomas G. Apel Mgmt For For  
             
  2 C. Allen Bradley, Jr. Mgmt For For  
             
  3 Robert L. Clarke Mgmt For For  
             
  4 William S. Corey, Jr. Mgmt For For  
             
  5 Frederick H Eppinger Jr Mgmt For For  
             
  6 Deborah J. Matz Mgmt For For  
             
  7 Matthew W. Morris Mgmt For For  
             
  8 Karen R. Pallotta Mgmt For For  
             
  9 Manuel Sánchez Mgmt For For  
             
2. Approval of the compensation of Stewart Mgmt For For  
  Information Services Corporation's named        
  executive officers (Say-on-Pay).        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 133 of 157

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
3. Ratification of the appointment of KPMG LLP Mgmt For For  
  as Stewart Information Services Corporation's        
  independent auditors for 2021.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 134 of 157

 

Unassigned 

TETRA TECH, INC.
       
Security: 88162G103 Agenda Number: 935323941
Ticker: TTEK Meeting Type: Annual
ISIN: US88162G1031 Meeting Date: 24-Feb-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1A. Election of Director: Dan L. Batrack Mgmt For For  
           
1B. Election of Director: Gary R. Birkenbeuel Mgmt For For  
           
1C. Election of Director: Patrick C. Haden Mgmt For For  
           
1D. Election of Director: J. Christopher Lewis Mgmt For For  
           
1E. Election of Director: Joanne M. Maguire Mgmt For For  
           
1F. Election of Director: Kimberly E. Ritrievi Mgmt For For  
           
1G. Election of Director: J. Kenneth Thompson Mgmt For For  
           
1H. Election of Director: Kirsten M. Volpi Mgmt For For  
           
2. To approve, on an advisory basis, the Mgmt For For  
  Company's executive compensation.        
           
3. To ratify the appointment of Mgmt For For  
  PricewaterhouseCoopers LLP as the        
  Company's independent registered public        
  accounting firm for fiscal year 2021.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 135 of 157

 

Unassigned 

THE INTERPUBLIC GROUP OF COMPANIES, INC.  
       
Security: 460690100 Agenda Number: 935395372
Ticker: IPG Meeting Type: Annual
ISIN: US4606901001 Meeting Date: 27-May-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1A. Election of Director: Jocelyn Carter-Miller Mgmt For For  
           
1B. Election of Director: Mary J. Steele Guilfoile Mgmt For For  
           
1C. Election of Director: Dawn Hudson Mgmt For For  
           
1D. Election of Director: Philippe Krakowsky Mgmt For For  
           
1E. Election of Director: Jonathan F. Miller Mgmt For For  
           
1F. Election of Director: Patrick Q. Moore Mgmt For For  
           
1G. Election of Director: Michael I. Roth Mgmt For For  
           
1H. Election of Director: Linda S. Sanford Mgmt For For  
           
1I. Election of Director: David M. Thomas Mgmt For For  
           
1J. Election of Director: E. Lee Wyatt Jr. Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 136 of 157

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
2. Ratification of the appointment of Mgmt For For  
  PricewaterhouseCoopers LLP as Interpublic's        
  independent registered public accounting firm        
  for the year 2021.        
           
3. Advisory vote to approve named executive Mgmt For For  
  officer compensation.        
           
4. Stockholder proposal entitled "Special Shr For Against  
  Stockholder Meetings."        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 137 of 157

 

Unassigned 

THE NEW YORK TIMES COMPANY
       
Security: 650111107 Agenda Number: 935352409
Ticker: NYT Meeting Type: Annual
ISIN: US6501111073 Meeting Date: 28-Apr-21

 

Prop. #   Proposal Proposed Proposal Vote For/Against  
      by   Management's  
          Recommendation  
             
1. DIRECTOR        
             
  1 Amanpal S. Bhutani Mgmt For For  
             
  2 Beth Brooke Mgmt For For  
             
  3 Brian P. McAndrews Mgmt For For  
             
  4 Doreen Toben Mgmt For For  
             
3. Ratification of the selection of Ernst & Young Mgmt For For  
  LLP as auditors for the fiscal year ending        
  December 26, 2021.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 138 of 157

 

Unassigned 

THE TORO COMPANY
       
Security: 891092108 Agenda Number: 935330528
Ticker: TTC Meeting Type: Annual
ISIN: US8910921084 Meeting Date: 16-Mar-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1. DIRECTOR        
           
  1 Janet K. Cooper Mgmt For For  
           
  2 Gary L. Ellis Mgmt For For  
           
  3 Michael G. Vale Mgmt For For  
           
2. Ratification of the selection of KPMG LLP as Mgmt For For  
  our independent registered public accounting        
  firm for our fiscal year ending October 31,        
  2021.        
           
3. Approval of, on an advisory basis, our Mgmt For For  
  executive compensation.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 139 of 157

 

Unassigned 

TOOTSIE ROLL INDUSTRIES, INC.    
       
Security: 890516107 Agenda Number: 935153267
Ticker: TR Meeting Type: Annual
ISIN: US8905161076 Meeting Date: 31-Aug-20

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1. DIRECTOR        
           
  1 Ellen R. Gordon Mgmt For For  
           
  2 Lana Jane Lewis-brent Mgmt For For  
           
  3 Barre A. Seibert Mgmt For For  
           
  4 Paula M. Wardynski Mgmt For For  
           
2. Ratify the appointment of Grant Thornton LLP Mgmt For For  
  as the independent registered public        
  accounting firm for the fiscal year 2020.        
           
3. Approval of non-binding resolution regarding Mgmt Against Against  
  named executive officer compensation for        
  Fiscal 2019.        
           
4. Advisory vote on the frequency of named Mgmt 1 Year Against  
  executive officer compensation advisory        
  votes.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 140 of 157

 

Unassigned 

TOOTSIE ROLL INDUSTRIES, INC.
       
Security: 890516107 Agenda Number: 935360850
Ticker: TR Meeting Type: Annual
ISIN: US8905161076 Meeting Date: 03-May-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
      by   Management's  
          Recommendation  
             
1. DIRECTOR        
             
  1 Ellen R. Gordon Mgmt For For  
             
  2 Virginia L. Gordon Mgmt For For  
             
  3 Lana Jane Lewis-Brent Mgmt For For  
             
  4 Barre A. Seibert Mgmt For For  
             
  5 Paula M. Wardynski Mgmt For For  
             
2. Ratify the appointment of Grant Thornton LLP Mgmt For For  
  as the independent registered public        
  accounting firm for the fiscal year 2021.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 141 of 157

 

Unassigned 

UGI CORPORATION
Security: 902681105 Agenda Number: 935316718
Ticker: UGI Meeting Type: Annual
ISIN: US9026811052 Meeting Date: 29-Jan-21

  

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1A. Election of Director for a term expiring in Mgmt For For  
  2022: Frank S. Hermance, Chair        
           
1B. Election of Director for a term expiring in Mgmt For For  
  2022: M. Shawn Bort        
           
1C. Election of Director for a term expiring in Mgmt For For  
  2022: Theodore A. Dosch        
           
1D. Election of Director for a term expiring in Mgmt For For  
  2022: Alan N. Harris        
           
1E. Election of Director for a term expiring in Mgmt For For  
  2022: Mario Longhi        
           
1F. Election of Director for a term expiring in Mgmt For For  
  2022: William J. Marrazzo        
           
1G. Election of Director for a term expiring in Mgmt For For  
  2022: Cindy J. Miller        
           
1H. Election of Director for a term expiring in Mgmt For For  
  2022: Kelly A. Romano        
           
1I. Election of Director for a term expiring in Mgmt For For  
  2022: James B. Stallings, Jr.        
           
1J. Election of Director for a term expiring in Mgmt For For  
  2022: John L. Walsh        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 142 of 157

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
2. Advisory Vote on Executive Compensation. Mgmt For For  
           
3. Approval of the Company's 2021 Incentive Mgmt For For  
  Award Plan.        
           
4. Ratification of Independent Registered Public Mgmt For For  
  Accounting Firm for 2021.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 143 of 157

Unassigned 

UNIFIRST CORPORATION
Security: 904708104 Agenda Number: 935311667
Ticker: UNF Meeting Type: Annual
ISIN: US9047081040 Meeting Date: 12-Jan-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1. DIRECTOR        
           
  1 Kathleen M. Camilli Mgmt For For  
           
  2 Michael Iandoli Mgmt For For  
           
2. APPROVAL, ON A NON-BINDING, Mgmt For For  
  ADVISORY BASIS, OF THE        
  COMPENSATION OF THE NAMED        
  EXECUTIVE OFFICERS AS MORE FULLY        
  DESCRIBED IN THE PROXY STATEMENT.        
           
3. RATIFICATION OF APPOINTMENT OF Mgmt For For  
  ERNST & YOUNG LLP AS THE COMPANY'S        
  INDEPENDENT REGISTERED PUBLIC        
  ACCOUNTING FIRM FOR THE FISCAL        
  YEAR ENDING AUGUST 28, 2021.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 144 of 157

 

Unassigned 

VECTOR GROUP LTD.
Security: 92240M108 Agenda Number: 935409272
Ticker: VGR Meeting Type: Annual
ISIN: US92240M1080 Meeting Date: 03-Jun-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
      by   Management's  
         

Recommendation

 

 
1. DIRECTOR        
             
  1 Bennett S. LeBow Mgmt For For  
             
  2 Howard M. Lorber Mgmt For For  
             
  3 Richard J. Lampen Mgmt For For  
             
  4 Stanley S. Arkin Mgmt For For  
             
  5 Henry C. Beinstein Mgmt For For  
             
  6 Ronald J. Bernstein Mgmt For For  
             
  7 Paul V. Carlucci Mgmt For For  
             
  8 Jean E. Sharpe Mgmt For For  
             
  9 Barry Watkins Mgmt For For  
             
2. Advisory approval of executive compensation Mgmt For For  
  (say on pay).        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 145 of 157

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
3. Approval of ratification of Deloitte & Touche Mgmt For For  
  LLP as independent registered public        
  accounting firm for the year ending December        
  31, 2021.        
           
4. Advisory approval of a shareholder proposal Shr For Against  
  regarding the adoption of a by-law for        
  directors to be elected by a majority vote.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 146 of 157
       

Unassigned 

VIRTU FINANCIAL INC
Security: 928254101 Agenda Number: 935404525
Ticker: VIRT Meeting Type: Annual
ISIN: US9282541013 Meeting Date: 03-Jun-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1. DIRECTOR        
           
  1 Virginia Gambale Mgmt For For  
           
  2 John D. Nixon Mgmt For For  
           
  3 David J. Urban Mgmt For For  
           
  4 Michael T. Viola Mgmt For For  
           
2. Advisory Vote to Approve Compensation of Mgmt Against Against  
  Named Executive Officers.        
           
3. Proposal to ratify the appointment of Mgmt For For  
  PricewaterhouseCoopers LLP as the        
  Company's independent registered public        
  accounting firm for fiscal year ending        
  December 31, 2021.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 147 of 157
       

Unassigned 

WATSCO, INC.
Security: 942622200 Agenda Number: 935424729
Ticker: WSO Meeting Type: Annual
ISIN: US9426222009 Meeting Date: 07-Jun-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1. DIRECTOR        
           
  1 George P. Sape Mgmt For For  
           
2. To approve the Watsco, Inc. 2021 Incentive Mgmt For For  
  Compensation Plan.        
           
3. To approve the advisory resolution regarding Mgmt Against Against  
  the compensation of our named executive        
  officers.        
           
4. To ratify the appointment of KPMG LLP as our Mgmt For For  
  independent registered public accounting firm        
  for the 2021 fiscal year.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 148 of 157
       

Unassigned 

WATTS WATER TECHNOLOGIES, INC.
Security: 942749102 Agenda Number: 935370281
Ticker: WTS Meeting Type: Annual
ISIN: US9427491025 Meeting Date: 12-May-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
      by   Management's  
          Recommendation  
             
1. DIRECTOR        
             
  1 Christopher L. Conway Mgmt For For  
             
  2 Michael J. Dubose Mgmt For For  
             
  3 David A. Dunbar Mgmt For For  
             
  4 Louise K. Goeser Mgmt For For  
             
  5 Jes Munk Hansen Mgmt For For  
             
  6 W. Craig Kissel Mgmt For For  
             
  7 Joseph T. Noonan Mgmt For For  
             
  8 Robert J. Pagano, Jr. Mgmt For For  
             
  9 Merilee Raines Mgmt For For  
             
  10 Joseph W. Reitmeier Mgmt For For  
             
2. Advisory vote to approve named executive Mgmt For For  
  officer compensation.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 149 of 157

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
3. To ratify the appointment of KPMG LLP as our Mgmt For For  
  independent registered public accounting firm        
  for the fiscal year ending December 31, 2021.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 150 of 157
       

Unassigned 

WD-40 COMPANY
Security: 929236107 Agenda Number: 935288957
Ticker: WDFC Meeting Type: Annual
ISIN: US9292361071 Meeting Date: 08-Dec-20

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1A. Election of Director: Daniel T. Carter Mgmt For For  
           
1B. Election of Director: Melissa Claassen Mgmt For For  
           
1C. Election of Director: Eric P. Etchart Mgmt For For  
           
1D. Election of Director: Lara L. Lee Mgmt For For  
           
1E. Election of Director: Trevor I. Mihalik Mgmt For For  
           
1F. Election of Director: Graciela I. Monteagudo Mgmt For For  
           
1G. Election of Director: David B. Pendarvis Mgmt For For  
           
1H. Election of Director: Garry O. Ridge Mgmt For For  
           
1I. Election of Director: Gregory A. Sandfort Mgmt For For  
           
1J. Election of Director: Anne G. Saunders Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 151 of 157
       
           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
2. To hold an advisory vote to approve executive Mgmt For For  
  compensation.        
           
3. To ratify the appointment of Mgmt For For  
  PricewaterhouseCoopers LLP as the        
  Company's independent registered public        
  accounting firm for fiscal year 2021.        
           
4. Shareholder proposal - policy to include non- Shr Against For  
  management employees as prospective        
  director candidates.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 152 of 157
       

Unassigned 

WEIS MARKETS, INC.
Security: 948849104 Agenda Number: 935353160
Ticker: WMK Meeting Type: Annual
ISIN: US9488491047 Meeting Date: 29-Apr-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1. DIRECTOR        
           
  1 Jonathan H. Weis Mgmt For For  
           
  2 Harold G. Graber Mgmt For For  
           
  3 Dennis G. Hatchell Mgmt For For  
           
  4 Edward J. Lauth III Mgmt For For  
           
  5 Gerrald B. Silverman Mgmt For For  
           
2. Proposal to ratify the appointment of RSM US Mgmt For For  
  LLP as the independent registered public        
  accounting firm of the corporation.        
           
3. Shareholder proposal to amend the Shr For Against  
  Company's articles of incorporation and/or        
  bylaws to provide that directors shall be        
  elected by the affirmative vote of the majority        
  of votes cast at an annual meeting of        
  shareholders in uncontested elections.        
           
4. Shareholder proposal to adopt a policy, and Shr Against For  
  amend the bylaws as necessary, to require        
  the Board Chair to be an independent        
  director.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 153 of 157
       

Unassigned

WHIRLPOOL CORPORATION
Security: 963320106 Agenda Number: 935342307
Ticker: WHR Meeting Type: Annual
ISIN: US9633201069 Meeting Date: 20-Apr-21

  

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1A. Election of Director: Samuel R. Allen Mgmt For For  
           
1B. Election of Director: Marc R. Bitzer Mgmt For For  
           
1C. Election of Director: Greg Creed Mgmt For For  
           
1D. Election of Director: Gary T. DiCamillo Mgmt For For  
           
1E. Election of Director: Diane M. Dietz Mgmt For For  
           
1F. Election of Director: Gerri T. Elliott Mgmt For For  
           
1G. Election of Director: Jennifer A. LaClair Mgmt For For  
           
1H. Election of Director: John D. Liu Mgmt For For  
           
1I. Election of Director: James M. Loree Mgmt For For  
           
1J. Election of Director: Harish Manwani Mgmt For For  
           
1K. Election of Director: Patricia K. Poppe Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 154 of 157
       
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1L. Election of Director: Larry O. Spencer Mgmt For For  
           
1M. Election of Director: Michael D. White Mgmt For For  
           
2. Advisory vote to approve Whirlpool Mgmt For For  
  Corporation's executive compensation.        
           
3. Ratification of the appointment of Ernst & Mgmt For For  
  Young LLP as Whirlpool Corporation's        
  independent registered public accounting firm        
  for 2021.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 155 of 157
       

Unassigned 

WILLIAMS-SONOMA, INC.
Security: 969904101 Agenda Number: 935390308
Ticker: WSM Meeting Type: Annual
ISIN: US9699041011 Meeting Date: 02-Jun-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1.1 Election of Director: Laura Alber Mgmt For For  
           
1.2 Election of Director: Esi Eggleston Bracey Mgmt For For  
           
1.3 Election of Director: Scott Dahnke, Chair Mgmt For For  
           
1.4 Election of Director: Anne Mulcahy Mgmt For For  
           
1.5 Election of Director: William Ready Mgmt For For  
           
1.6 Election of Director: Sabrina Simmons Mgmt For For  
           
1.7 Election of Director: Frits van Paasschen Mgmt For For  
           
2. The amendment of our 2001 Long-Term Mgmt For For  
  Incentive Plan.        
           
3. An advisory vote to approve executive Mgmt Against Against  
  compensation.        
           
4. Ratification of the selection of Deloitte & Mgmt For For  
  Touche LLP as our independent registered        
  public accounting firm for the fiscal year        
  ending January 31, 2022.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 156 of 157
       

Unassigned

XEROX HOLDINGS CORPORATION
Security: 98421M106 Agenda Number: 935383632
Ticker: XRX Meeting Type: Annual
ISIN: US98421M1062 Meeting Date: 20-May-21

  

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
1.1 Election of Director: Keith Cozza Mgmt For For  
           
1.2 Election of Director: Joseph J. Echevarria Mgmt For For  
           
1.3 Election of Director: Cheryl Gordon Krongard Mgmt For For  
           
1.4 Election of Director: Scott Letier Mgmt For For  
           
1.5 Election of Director: Nichelle Maynard-Elliott Mgmt For For  
           
1.6 Election of Director: Steven D. Miller Mgmt For For  
           
1.7 Election of Director: James L. Nelson Mgmt For For  
           
1.8 Election of Director: Margarita Paláu- Mgmt For For  
  Hernández        
           
1.9 Election of Director: Giovanni ("John") Mgmt For For  
  Visentin        
           
2. Ratification of the appointment of Mgmt For For  
  PricewaterhouseCoopers LLP as the        
  Company's independent registered public        
  accounting firm for 2021.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
      Page 157 of 157

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management's  
        Recommendation  
           
3. Approval, on an advisory basis, of the 2020 Mgmt Against Against  
  compensation of our named executive        
  officers.        
           
4. Approval of the Company's amended and Mgmt For For  
  restated Equity Compensation Plan for Non-        
  Employee Directors.        
           
5. Consideration of a shareholder proposal for Shr For Against  
  shareholder action by written consent, if        
  properly presented at the Annual Meeting.        
           
6. Election of Aris Kekedjian as a Director. Mgmt For For  

 

 

 

 

O’Shares Global Internet Giants ETF

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 1 of 153  

 

Unassigned

ACTIVISION BLIZZARD, INC.
Security: 00507V109 Agenda Number: 935427749
Ticker: ATVI Meeting Type: Annual
ISIN: US00507V1098 Meeting Date: 21-Jun-21

   

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director: Reveta Bowers Mgmt For For  
           
1B. Election of Director: Robert Corti Mgmt For For  
           
1C. Election of Director: Hendrik Hartong III Mgmt For For  
           
1D. Election of Director: Brian Kelly Mgmt For For  
           
1E. Election of Director: Robert Kotick Mgmt For For  
           
1F. Election of Director: Barry Meyer Mgmt For For  
           
1G. Election of Director: Robert Morgado Mgmt For For  
           
1H. Election of Director: Peter Nolan Mgmt For For  
           
1I. Election of Director: Dawn Ostroff Mgmt For For  
           
1J. Election of Director: Casey Wasserman Mgmt For For  

  

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 2 of 153  

  

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
2. To provide advisory approval of our executive Mgmt Against Against  
  compensation.        
           
3. To ratify the appointment of Mgmt For For  
  PricewaterhouseCoopers LLP as our        
  independent registered public accounting firm        
  for 2021.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 3 of 153  

 

Unassigned

ADEVINTA ASA
Security: R0000V110 Agenda Number: 714299876
Ticker:   Meeting Type: AGM
ISIN: NO0010844038 Meeting Date: 29-Jun-21

   

           
Prop. # Proposal Proposed    Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting      
  OF BENEFICIAL OWNER INFORMATION        
  FOR ALL VOTED ACCOUNTS. IF AN        
  ACCOUNT HAS MULTIPLE BENEFICIAL        
  OWNERS, YOU WILL NEED TO PROVIDE        
  THE BREAKDOWN OF EACH BENEFICIAL        
  OWNER NAME, ADDRESS AND SHARE        
  POSITION TO YOUR CLIENT SERVICE        
  REPRESENTATIVE. THIS INFORMATION IS        
  REQUIRED IN ORDER FOR YOUR VOTE        
  TO BE LODGED        
           
CMMT IMPORTANT MARKET PROCESSING Non-Voting      
  REQUIREMENT: POWER OF ATTORNEY        
  (POA) REQUIREMENTS VARY BY        
  CUSTODIAN. GLOBAL CUSTODIANS MAY        
  HAVE A POA IN PLACE WHICH WOULD        
  ELIMINATE THE NEED FOR THE        
  INDIVIDUAL BENEFICIAL OWNER POA. IN        
  THE ABSENCE OF THIS ARRANGEMENT,        
  AN INDIVIDUAL BENEFICIAL OWNER POA        
  MAY BE REQUIRED. IF YOU HAVE ANY        
  QUESTIONS PLEASE CONTACT YOUR        
  CLIENT SERVICE REPRESENTATIVE.        
  THANK YOU        
           
CMMT SHARES HELD IN AN OMNIBUS/NOMINEE Non-Voting      
  ACCOUNT NEED TO BE RE-REGISTERED        
  IN THE BENEFICIAL OWNERS NAME TO        
  BE ALLOWED TO VOTE AT MEETINGS.        
  SHARES WILL BE TEMPORARILY        
  TRANSFERRED TO A SEPARATE        
  ACCOUNT IN THE BENEFICIAL OWNER’S        
  NAME ON THE PROXY DEADLINE AND        
  TRANSFERRED BACK TO THE        
  OMNIBUS/NOMINEE ACCOUNT THE DAY        
  AFTER THE MEETING        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 4 of 153  

  

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT PLEASE NOTE THAT SHAREHOLDER Non-Voting      
  DETAILS ARE REQUIRED TO VOTE AT        
  THIS MEETING. IF NO SHAREHOLDER        
  DETAILS ARE PROVIDED, YOUR        
  INSTRUCTION MAY CARRY A        
  HEIGHTENED RISK OF BEING REJECTED.        
  THANK YOU        
           
1 APPROVAL OF THE NOTICE AND AGENDA Mgmt For For  
  OF THE ANNUAL GENERAL METING        
           
2 ELECTION OF CHAIRPERSON FOR THE Mgmt For For  
  MEETING        
           
3 ELECTION OF A PERSON TO COSIGN THE Mgmt For For  
  MINUTES        
           
4 APPROVAL OF THE FINANCIAL Mgmt For For  
  STATEMENTS AND THE BOARD OF        
  DIRECTORS REPORT FOR 2020 FOR        
  ADEVINTA ASA AND THE ADEVINTA        
  GROUP        
           
5 CONSIDERATION OF REPORT FOR Mgmt For For  
  CORPORATE GOVERNANCE        
           
6 APPROVAL OF THE BOARD OF Mgmt For For  
  DIRECTORS DECLARATION OF SALARY        
  AND OTHER REMUNERATIONS        
           
7 APPROVAL OF THE AUDITORS FEE FOR Mgmt For For  
  2020        
           
8.A ELECTION OF MEMBER TO THE BOARD Mgmt For For  
  OF DIRECTORS: ORLA NOONAN        
           
8.B ELECTION OF MEMBER TO THE BOARD Mgmt For For  
  OF DIRECTORS: FERNANDO ABRIL        
  MARTORELL HERNANDEZ        

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 5 of 153  

  

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
8.C ELECTION OF MEMBER TO THE BOARD Mgmt For For  
  OF DIRECTORS: PETER BROOKS        
  JOHNSON        
           
8.D ELECTION OF MEMBER TO THE BOARD Mgmt For For  
  OF DIRECTORS: SOPHIE JAVARY        
           
8.E ELECTION OF MEMBER TO THE BOARD Mgmt For For  
  OF DIRECTORS: KRISTIN SKOGEN LUND        
           
8.F ELECTION OF MEMBER TO THE BOARD Mgmt For For  
  OF DIRECTORS: JULIA JAEKEL        
           
8.G ELECTION OF MEMBER TO THE BOARD Mgmt For For  
  OF DIRECTORS: MICHAEL NILLES        
           
9 APPROVAL OF REMUNERATION TO THE Mgmt For For  
  MEMBERS OF THE BOARD OF        
  DIRECTORS        
           
10.A ELECTION OF MEMBER OF THE Mgmt For For  
           
  NOMINATION COMMITTEE: OLE E. DAHL        
11 APPROVAL OF REMUNERATION TO THE Mgmt For For  
  MEMBERS OF THE NOMINATION        
  COMMITTEE        
           
12 AUTHORISATION TO THE BOARD OF Mgmt For For  
  DIRECTORS TO INCREASE THE SHARE        
  CAPITAL        
           
13 AUTHORISATION TO THE BOARD OF Mgmt For For  
  DIRECTORS TO ISSUE CONVERTIBLE        
  LOANS        
           
14 AUTHORISATION TO THE BOARD OF Mgmt For For  
  DIRECTORS TO BUYBACK THE        
  COMPANY’S SHARES        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 6 of 153  

  

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
15 AMENDMENTS TO THE COMPANY’S Mgmt For For  
  ARTICLES OF ASSOCIATION        
           
CMMT 08 JUNE 2021: PLEASE NOTE THAT IF YOU Non-Voting      
  HOLD CREST DEPOSITORY INTERESTS        
  (CDIS) AND PARTICIPATE AT THIS        
  MEETING, YOU (OR YOUR CREST        
  SPONSORED MEMBER/CUSTODIAN) WILL        
  BE REQUIRED TO INSTRUCT A TRANSFER        
  OF THE RELEVANT CDIS TO THE        
  ESCROW ACCOUNT SPECIFIED IN THE        
  ASSOCIATED CORPORATE EVENT IN THE        
  CREST SYSTEM. THIS TRANSFER WILL        
  NEED TO BE COMPLETED BY THE        
  SPECIFIED CREST SYSTEM DEADLINE.        
  ONCE THIS TRANSFER HAS SETTLED,        
  THE CDIS WILL BE BLOCKED IN THE        
  CREST SYSTEM. THE CDIS WILL BE        
  RELEASED FROM ESCROW AS SOON AS        
  PRACTICABLE ON THE BUSINESS DAY        
  PRIOR TO MEETING DATE UNLESS        
  OTHERWISE SPECIFIED. IN ORDER FOR A        
  VOTE TO BE ACCEPTED, THE VOTED        
  POSITION MUST BE BLOCKED IN THE        
  REQUIRED ESCROW ACCOUNT IN THE        
  CREST SYSTEM. BY VOTING ON THIS        
  MEETING, YOUR CREST SPONSORED        
  MEMBER/CUSTODIAN MAY USE YOUR        
  VOTE INSTRUCTION AS THE        
  AUTHORIZATION TO TAKE THE        
  NECESSARY ACTION WHICH WILL        
  INCLUDE TRANSFERRING YOUR        
  INSTRUCTED POSITION TO ESCROW.        
  PLEASE CONTACT YOUR CREST        
  SPONSORED MEMBER/CUSTODIAN        
  DIRECTLY FOR FURTHER INFORMATION        
  ON THE CUSTODY PROCESS AND        
  WHETHER OR NOT THEY REQUIRE        
  SEPARATE INSTRUCTIONS FROM YOU        
  AND        
           
CMMT 08 JUNE 2021: PLEASE NOTE THAT THIS Non-Voting      
  IS A REVISION DUE TO ADDITION OF        
  COMMENT. IF YOU HAVE ALREADY SENT        
  IN YOUR VOTES, PLEASE DO NOT VOTE        
  AGAIN UNLESS YOU DECIDE TO AMEND        
  YOUR ORIGINAL INSTRUCTIONS. THANK        
  YOU        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 7 of 153  

 

Unassigned

ADOBE INC
Security: 00724F101 Agenda Number: 935343412
Ticker: ADBE Meeting Type: Annual
ISIN: US00724F1012 Meeting Date: 20-Apr-21

   

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director for a term of one year: Mgmt For For  
  Amy Banse        
           
1B. Election of Director for a term of one year: Mgmt For For  
  Melanie Boulden        
           
1C. Election of Director for a term of one year: Mgmt For For  
  Frank Calderoni        
           
1D. Election of Director for a term of one year: Mgmt For For  
  James Daley        
           
1E. Election of Director for a term of one year: Mgmt For For  
  Laura Desmond        
           
1F. Election of Director for a term of one year: Mgmt For For  
  Shantanu Narayen        
           
1G. Election of Director for a term of one year: Mgmt For For  
  Kathleen Oberg        
         
1H. Election of Director for a term of one year: Mgmt For For  
  Dheeraj Pandey        
           
1I. Election of Director for a term of one year: Mgmt For For  
  David Ricks        
           
1J. Election of Director for a term of one year: Mgmt For For  
  Daniel Rosensweig        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 8 of 153  

   

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1K. Election of Director for a term of one year: Mgmt For For  
  John Warnock        
           
2. Approve the Adobe Inc. 2019 Equity Incentive Mgmt For For  
  Plan, as amended, to increase the available        
  share reserve by 6 million shares.        
           
3. Ratify the appointment of KPMG LLP as our Mgmt For For  
  independent registered public accounting firm        
  for our fiscal year ending on December 3,        
  2021.        
           
4. Approve, on an advisory basis, the Mgmt For For  
  compensation of our named executive        
  officers.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 9 of 153  

 

Unassigned

ALIBABA GROUP HOLDING LIMITED
Security: 01609W102 Agenda Number: 935265086
Ticker: BABA Meeting Type: Annual
ISIN: US01609W1027 Meeting Date: 30-Sep-20
       

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1. Amend and restate the Company’s Memorandum and Articles of Association to expressly permit completely virtual shareholders’ meetings and reflect such updates as are detailed in the proxy statement and set forth in Exhibit A thereto. Mgmt For For  
           
2.1 Election of Director: MAGGIE WEI WU (To serve for a three year term or until such director’s successor is elected or appointed and duly qualified). Mgmt For    
           
2.2 Election of Director: KABIR MISRA (To serve for a three year term or until such director’s successor is elected or appointed and duly qualified). Mgmt For For  
           
2.3 Election of Director: WALTER TEH MING KWAUK (To serve for a three year term or until such director’s successor is elected or appointed and duly qualified). Mgmt For For  
           
3. Ratify the appointment of PricewaterhouseCoopers as the independent registered public accounting firm of the Company for the fiscal year ending March 31, 2021. Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 10 of 153  

 

Unassigned

ALPHABET INC.  
     
Security: 02079K305 Agenda Number: 935406264
Ticker: GOOGL Meeting Type: Annual
ISIN: US02079K3059 Meeting Date: 02-Jun-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director: Larry Page Mgmt For For  
           
1B. Election of Director: Sergey Brin Mgmt For For  
           
1C. Election of Director: Sundar Pichai Mgmt For For  
           
1D. Election of Director: John L. Hennessy Mgmt For For  
           
1E. Election of Director: Frances H. Arnold Mgmt For For  
           
1F. Election of Director: L. John Doerr Mgmt For For  
           
1G. Election of Director: Roger W. Ferguson Jr. Mgmt For For  
           
1H. Election of Director: Ann Mather Mgmt For For  
           
1I. Election of Director: Alan R. Mulally Mgmt For For  
           
1J. Election of Director: K. Ram Shriram Mgmt For For  
           
1K. Election of Director: Robin L. Washington Mgmt For

For 

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 11 of 153  

 

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
2. Ratification of the appointment of Ernst & Young LLP as Alphabet’s independent registered public accounting firm for the fiscal year ending December 31, 2021. Mgmt For For  
           
3. Approval of Alphabet’s 2021 Stock Plan. Mgmt For For  
           
4. A stockholder proposal regarding equal shareholder voting, if properly presented at the meeting. Shr For Against  
           
5. A stockholder proposal regarding the nomination of human rights and/or civil rights expert to the board, if properly presented at the meeting. Shr Against For  
           
6. A stockholder proposal regarding a report on sustainability metrics, if properly presented at the meeting. Shr Against For  
           
7. A stockholder proposal regarding a report on takedown requests, if properly presented at the meeting. Shr Against For  
           
8. A stockholder proposal regarding a report on whistleblower policies and practices, if properly presented at the meeting. Shr For Against  
           
9. A stockholder proposal regarding a report on charitable contributions, if properly presented at the meeting. Shr Against For  
           
10. A stockholder proposal regarding a report on risks related to anticompetitive practices, if properly presented at the meeting. Shr Against For  
           

 

Investment Company Report

 

 

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 12 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
11. A stockholder proposal regarding a transition to a public benefit corporation, if properly presented at the meeting. Shr Against For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 13 of 153  

Unassigned

AMAZON.COM, INC.    
Security: 023135106 Agenda Number: 935397592
Ticker: AMZN Meeting Type: Annual
ISIN: US0231351067 Meeting Date: 26-May-21
       

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director: Jeffrey P. Bezos Mgmt For For  
           
1B. Election of Director: Keith B. Alexander Mgmt For For  
           
1C. Election of Director: Jamie S. Gorelick Mgmt For For  
           
1D. Election of Director: Daniel P. Huttenlocher Mgmt For For  
           
1E. Election of Director: Judith A. McGrath Mgmt For For  
           
1F. Election of Director: Indra K. Nooyi Mgmt For For  
           
1G. Election of Director: Jonathan J. Rubinstein Mgmt For For  
           
1H. Election of Director: Thomas O. Ryder Mgmt For For  
           
1I. Election of Director: Patricia Q. Stonesifer Mgmt For For  
           
1J. Election of Director: Wendell P. Weeks Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 14 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
2. RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS. Mgmt For For  
           
3. ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. Mgmt For For  
           
4. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CUSTOMER DUE DILIGENCE. Shr For Against  
           
5. SHAREHOLDER PROPOSAL REQUESTING A MANDATORY INDEPENDENT BOARD CHAIR POLICY. Shr Against For  
           
6. SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL REPORTING ON GENDER/RACIAL PAY. Shr Against For  
           
7. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON PROMOTION DATA. Shr For Against  
           
8. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON PACKAGING MATERIALS. Shr Against For  
           
9. SHAREHOLDER PROPOSAL REQUESTING A DIVERSITY AND EQUITY AUDIT REPORT. Shr For Against  
           
10. SHAREHOLDER PROPOSAL REQUESTING AN ALTERNATIVE DIRECTOR CANDIDATE POLICY. Shr Against For  
           
11. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON COMPETITION STRATEGY AND RISK. Shr For Against  
           

 

 

Investment Company Report

 

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      Page 15 of 153  

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
12. SHAREHOLDER PROPOSAL REQUESTING AN ADDITIONAL REDUCTION IN THRESHOLD FOR CALLING SPECIAL SHAREHOLDER MEETINGS. Shr For Against  
   
           
13. SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL REPORTING ON LOBBYING. Shr Against For  
           
14. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CUSTOMER USE OF CERTAIN TECHNOLOGIES. Shr For Against  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 16 of 153  

 

Unassigned

ATLASSIAN CORPORATION PLC  
Security: G06242104 Agenda Number: 935287513
Ticker: TEAM Meeting Type: Annual
ISIN: GB00BZ09BD16 Meeting Date: 03-Dec-20
     

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1. To receive the Company’s accounts and the reports of the directors and the auditors for the year ended June 30, 2020 (the Annual Report). Mgmt For For  
           
2. To approve the Directors’ Remuneration Report, as set forth in the Annual Report. Mgmt For For  
           
3. To reappoint Ernst & Young LLP as auditor of the Company to hold office until the conclusion of the next annual general meeting of the Company. Mgmt For For  
           
4. To authorize the Audit Committee of the Board of Directors to determine the remuneration of the auditor. Mgmt For For  
           
5. To re-elect Shona L. Brown as a director of the Company. Mgmt For For  
           
6. To re-elect Michael Cannon-Brookes as a director of the Company. Mgmt For For  
           
7. To re-elect Scott Farquhar as a director of the Company. Mgmt For For  
           
8. To re-elect Heather Mirjahangir Fernandez as a director of the Company. Mgmt For For  
           
9. To re-elect Sasan Goodarzi as a director of the Company. Mgmt For For  

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 17 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
10. To re-elect Jay Parikh as a director of the Company. Mgmt For For  
           
11. To re-elect Enrique Salem as a director of the Company. Mgmt For For  
           
12. To re-elect Steven Sordello as a director of the Company. Mgmt For For  
           
13. To re-elect Richard P. Wong as a director of the Company. Mgmt For For  
           
14. To consider and, if thought fit, pass the following as an ordinary resolution: That the Company be generally and unconditionally authorized in accordance with section 693A of the Companies Act 2006 to make off-market purchases (within the meaning of section 693 of the Companies Act 2006) of its own Class A ordinary shares for the purposes of, or pursuant to, an employee share scheme (within the meaning of section 1166 of the Companies Act 2006). Mgmt For For  
           
15. To consider and, if thought fit, pass the following as an ordinary resolution: That the Company be authorized pursuant to section 694 of Companies Act 2006 to repurchase up to a maximum of 65,081 of its own Class A ordinary shares pursuant to, & on terms described in, a Securities Restriction Agreement and produced at meeting (“Securities Restriction Agreement”) & that the terms, & entry into, of Securities Restriction Agreement is hereby approved, ratified & confirmed (authority conferred on Company by this Resolution 15 to expire on December 3, 2025). Mgmt Abstain Against  

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 18 of 153  

 

Unassigned

AVALARA, INC.    
Security: 05338G106 Agenda Number: 935400274
Ticker: AVLR Meeting Type: Annual
ISIN: US05338G1067 Meeting Date: 03-Jun-21
       

 

             
Prop. # Proposal Proposed    Proposal Vote For/Against  
      By   Management’s  
          Recommendation  
1. DIRECTOR        
           
  1 Marion Foote Mgmt For For  
             
  2 Rajeev Singh Mgmt For For  
             
  3 Kathleen Zwickert Mgmt For For  
             
2. Approval on an advisory basis of the compensation of the Company’s named executive officers. Mgmt For For  
           
3. Ratification of the appointment of Deloitte & Touche LLP as the Company’s independent registered public accounting firm for the year ending December 31, 2021. Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 19 of 153  

 

Unassigned

BAIDU, INC.      
Security: 056752108 Agenda Number: 935333168
Ticker: BIDU Meeting Type: Special
ISIN: US0567521085 Meeting Date: 01-Mar-21
       

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1. Change of Authorised Share Capital by One-to-Eighty Subdivision of Shares: By an Ordinary Resolution that each share classified as Class A ordinary shares, Class B ordinary shares and preferred shares of a par value of US$0.00005 each in the share capital of the Company (including authorised issued and unissued class A ordinary shares, class B ordinary shares and preferred shares) be sub-divided into 80 shares of a par value of US$0.000000625 each (the “Subdivision”), such that, following ...(due to space limits, see proxy material for full proposal). Mgmt For For  

 

 

 

Investment Company Report

 

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      Page 20 of 153  

 

Unassigned

BOOKING HOLDINGS INC.  
Security: 09857L108 Agenda Number: 935408434
Ticker: BKNG Meeting Type: Annual
ISIN: US09857L1089 Meeting Date: 03-Jun-21
     

 

         
Prop. # Proposal Proposed    Proposal Vote For/Against  
    by   Management’s  
      Recommendation  
         

 

1. DIRECTOR        
           
  1 Timothy M. Armstrong Mgmt For For  
             
  2 Glenn D. Fogel Mgmt For For  
             
  3 Mirian M. Graddick-Weir Mgmt For For  
             
  4 Wei Hopeman Mgmt For For  
             
  5 Robert J. Mylod, Jr. Mgmt For For  
             
  6 Charles H. Noski Mgmt For For  
             
  7 Nicholas J. Read Mgmt For For  
             
  8 Thomas E. Rothman Mgmt For For  
             
  9 Bob van Dijk Mgmt For For  
             
  10 Lynn M. Vojvodich Mgmt For For  
             
  11 Vanessa A. Wittman Mgmt For For  

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
       
      Page 21 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
2. Advisory vote to approve 2020 executive compensation. Mgmt For For  
           
3. Management proposal to amend the Company’s 1999 Omnibus Plan. Mgmt For For  
           
4. Ratification of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. Mgmt For For  
           
5. Management proposal to amend the Company’s Certificate of Incorporation to allow stockholders the right to act by written consent. Mgmt Abstain Against  
           
6. Stockholder proposal requesting the right of stockholders to act by written consent. Shr For Against  
           
7. Stockholder proposal requesting the Company issue a climate transition report. Shr For Against  
           
8. Stockholder proposal requesting the Company hold an annual advisory stockholder vote on the Company’s climate policies and strategies. Shr Against For  

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
       
      Page 22 of 153  

 

Unassigned

CHEWY, INC.      
Security: 16679L109 Agenda Number: 935228090
Ticker: CHWY Meeting Type: Annual
ISIN: US16679L1098 Meeting Date: 14-Jul-20
       

             
Prop. # Proposal Proposed    Proposal Vote For/Against  
      By   Management’s  
          Recommendation  
1. DIRECTOR        
             
  1 Raymond Svider Mgmt For For  
             
  2 Sharon McCollam Mgmt For For  
             
  3 J.K. Symancyk Mgmt For For  
             
2. To ratify the appointment of Deloitte & Touche LLP as the Company’s independent registered public accounting firm for the fiscal year ending January 31, 2021. Mgmt For For  
           
3. To approve, on a non-binding, advisory basis, the compensation of the Company’s named executive officers. Mgmt Against Against  
           
4 To approve, on a non-binding, advisory basis, the frequency of future votes on named executive officer compensation. Mgmt 1 Year For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 23 of 153  

 

Unassigned 

CLOUDFLARE, INC.    
Security: 18915M107 Agenda Number: 935406062
Ticker: NET Meeting Type: Annual
ISIN: US18915M1071 Meeting Date: 03-Jun-21
       

 

             
Prop. # Proposal Proposed    Proposal Vote For/Against  
      by   Management’s  
          Recommendation  
1. DIRECTOR        
             
  1 Maria Eitel Mgmt For For  
             
  2 Matthew Prince Mgmt For For  
             
  3 Katrin Suder Mgmt For For  
             
2. Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for our fiscal year ending December 31, 2021. Mgmt For For  
           
3. To approve, on an advisory basis, the compensation of our named executive officers. Mgmt For For  
           
4. To approve, on an advisory basis, the frequency of future stockholder advisory votes on the compensation of our named executive officers. Mgmt 1 Year For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 24 of 153  

 

Unassigned

 

COUPA SOFTWARE INCORPORATED  
Security: 22266L106 Agenda Number: 935391639
Ticker: COUP Meeting Type: Annual
ISIN: US22266L1061 Meeting Date: 26-May-21
     

 

             
Prop. # Proposal Proposed Proposal Vote For/Against  
      by   Management’s  
          Recommendation  
1. DIRECTOR        
           
  1 Roger Siboni Mgmt For For  
             
  2 Tayloe Stansbury Mgmt For For  
             
2. Ratify the appointment of Ernst & Young LLP as independent registered public accounting firm for fiscal year ending January 31, 2022. Mgmt For For  
           
3. Advisory (non-binding) vote to approve named executive officer compensation. Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 25 of 153  

 

Unassigned 

CROWDSTRIKE HOLDINGS, INC.  
Security: 22788C105 Agenda Number: 935223735
Ticker: CRWD Meeting Type: Annual
ISIN: US22788C1053 Meeting Date: 06-Jul-20
     

 

             
Prop. # Proposal Proposed Proposal Vote For/Against  
      by   Management’s  
          Recommendation  
1. DIRECTOR        
           
  1 Denis J. O’Leary Mgmt For For  
             
  2 Joseph E. Sexton Mgmt For For  
             
  3 Godfrey R. Sullivan Mgmt For For  
             
2. To ratify the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm of the Company for its fiscal year ending January 31, 2021. Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 26 of 153  

 

Unassigned

CROWDSTRIKE HOLDINGS, INC.  
Security: 22788C105 Agenda Number: 935436003
Ticker: CRWD Meeting Type: Annual
ISIN: US22788C1053 Meeting Date: 30-Jun-21
     

 

             
Prop. # Proposal Proposed Proposal Vote For/Against  
      by   Management’s  
          Recommendation  
1. DIRECTOR        
             
  1 Roxanne S. Austin Mgmt For For  
             
  2 Sameer K. Gandhi Mgmt For For  
             
  3 Gerhard Watzinger Mgmt For For  
             
2. To ratify the selection of PricewaterhouseCoopers LLP as CrowdStrike’s independent registered public accounting firm for its fiscal year ending January 31, 2022. Mgmt For For  
           
3. To approve, on an advisory basis, the compensation of CrowdStrike’s named executive officers. Mgmt Against Against  
           
4. To approve, on an advisory basis, the frequency of future stockholder advisory votes on the compensation of CrowdStrike’s named executive officers. Mgmt 1 Year Against  
           
5. To approve an amendment to CrowdStrike’s 2019 Employee Stock Purchase Plan. Mgmt Against Against  

 

 

 

Investment Company Report

 

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      Page 27 of 153  

 

Unassigned

CTS EVENTIM AG & CO. KGAA  
Security: D1648T108 Agenda Number: 713749147
Ticker: Meeting Type: AGM
ISIN: DE0005470306 Meeting Date: 07-May-21
     

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU Non-Voting      
           
CMMT FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE AVAILABLE AS A LINK UNDER THE ‘MATERIAL URL’ DROPDOWN AT THE TOP OF THE BALLOT. THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN PLACE. FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE Non-Voting      
           
CMMT ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL Non-Voting      

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 28 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER’S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY’S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED ON THE BALLOT ON PROXYEDGE Non-Voting      
           
1 PRESENTATION OF THE FINANCIAL STATEMENTS AND ANNUAL REPORTS: PRESENTATION OF THE FINANCIAL STATEMENTS AND ANNUAL REPORT FOR THE 2020 FINANCIAL YEAR WITH THE REPORT OF THE SUPERVISORY BOARD, THE GROUP FINANCIAL STATEMENTS AND GROUP ANNUAL REPORT AS WELL AS THE REPORT BY THE GENERAL PARTNER PURSUANT TO SECTIONS 289A(1) AND 315A(1) OF THE GERMAN COMMERCIAL CODE Non-Voting      

 

 

 

2 RESOLUTION ON THE APPROVAL OF THE FINANCIAL STATEMENTS FOR THE 2020 FINANCIAL YEAR Mgmt For For  
           
3 RESOLUTION ON THE APPROPRIATION OF THE DISTRIBUTABLE PROFIT: THE DISTRIBUTABLE PROFIT OF EUR 280,717,397.31 SHALL BE APPROPRIATED AS FOLLOWS: THE ENTIRE AMOUNT SHALL BE CARRIED FORWARD Mgmt For For  
           
4 RATIFICATION OF THE ACTS OF THE GENERAL PARTNER Mgmt For For  

 

 

 

Investment Company Report

 

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      Page 29 of 153

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           

 

5 RATIFICATION OF THE ACTS OF THE SUPERVISORY BOARD Mgmt For For  
           
6 APPOINTMENT OF AUDITORS: THE FOLLOWING ACCOUNTANTS SHALL BE APPOINTED AS AUDITORS AND GROUP AUDITORS FOR THE 2021 FINANCIAL YEAR: KPMG AG, HAMBURG Mgmt For For  

 

7 RESOLUTION ON THE AUTHORIZATION TO ACQUIRE OWN SHARES: THE EXISTING AUTHORIZATION GIVEN BY THE SHAREHOLDERS MEETING OF JUNE 19, 2020 TO ACQUIRE OWN SHARES SHALL BE REVOKED. THE GENERAL PARTNER SHALL BE AUTHORIZED TO ACQUIRE OWN SHARES OF UP TO 10 PERCENT OF THE COMPANY’S SHARE CAPITAL, AT PRICES NEITHER MORE THAN 10 PERCENT ABOVE, NOR MORE THAN 20 PERCENT BELOW, THE MARKET PRICE OF THE SHARES, ON OR BEFORE MAY 6, 2026. BESIDES SELLING THE SHARES ON THE STOCK EXCHANGE OR OFFERING THEM TO ALL SHAREHOLDERS, THE GENERAL PARTNER SHALL ALSO BE AUTHORIZED TO USE THE SHARES FOR MERGERS AND ACQUISITIONS, TO OFFER THE SHARES TO EMPLOYEES OF THE COMPANY AND AFFILIATED COMPANIES AS WELL AS TO MANAGERS OF AFFILIATED COMPANIES, TO DISPOSE OF THE SHARES IN A MANNER OTHER THAN THE STOCK EXCHANGE OR A RIGHTS OFFERING IF THEY ARE SOLD AT A PRICE NOT MATERIALLY BELOW THEIR MARKET PRICE, AND TO RETIRE THE SHARES Mgmt For For  
           
8 RESOLUTION ON THE APPROVAL OF THE REMUNERATION SYSTEM FOR THE MEMBERS OF THE BOARD OF MDS THE REMUNERATION SYSTEM FOR THE MEMBERS OF THE BOARD OF MDS, EFFECTIVE FROM JANUARY 1, 2021, SHALL BE APPROVED Mgmt Against Against  

 

 

 

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      Page 30 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
9 RESOLUTION ON THE APPROVAL OF THE REMUNERATION FOR THE MEMBERS OF THE SUPERVISORY BOARD: THE REMUNERATION FOR THE MEMBERS OF THE SUPERVISORY BOARD AS DETERMINED IN SECTION 15 OF THE ARTICLES OF ASSOCIATION SHALL BE CONFIRMED Mgmt For For  
           
10 RESOLUTION ON THE INCREASE OF THE NUMBER OF MEMBERS IN THE SUPERVISORY BOARD AND THE CORRESPONDING AMENDMENT TO THE ARTICLES OF ASSOCIATION SECTION 11(1): THE SUPERVISORY BOARD COMPRISES FOUR MEMBERS Mgmt For For  

 

 

 

11 ELECTION OF PHILIPP WESTERMEYER TO THE SUPERVISORY BOARD Mgmt For For  
           
12 RESOLUTION ON THE AUTHORIZATION TO GRANT SUBSCRIPTION RIGHTS, THE CREATION OF A CONTINGENT CAPITAL 2021, AND THE CORRESPONDING AMENDMENT TO THE ARTICLES OF ASSOCIATION: THE EXISTING AUTHORIZATION GIVEN BY THE SHAREHOLDERS MEETING OF JANUARY 21, 2000 AND THE CONTINGENT CAPITAL 2000/I SHALL BE REVOKED. THE GENERAL PARTNER SHALL BE AUTHORIZED, WITH THE CONSENT OF THE SUPERVISORY BOARD, TO GRANT SUBSCRIPTION RIGHTS FOR UP TO 1,440,000 BEARER NO-PAR SHARES TO MANAGERS OF AFFILIATED COMPANIES AS WELL TO SELECTED EXECUTIVES AND EMPLOYEES OF THE COMPANY AND AFFILIATED COMPANIES, ON OR BEFORE MAY 6, 2026. THE COMPANY’S SHARE CAPITAL SHALL BE INCREASED ACCORDINGLY BY UP TO EUR 1,440,000 THROUGH THE ISSUE OF UP TO 1,440,000 NEW BEARER NO-PAR SHARES, INSOFAR AS SUBSCRIPTION RIGHTS ARE EXERCISED (CONTINGENT CAPITAL 2021) Mgmt For For  

 

 

 

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      Page 31 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT 01 APR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE TEXT OF RESOLUTION 12. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU Non-Voting      

 

 

 

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      Page 32 of 153  

 

Unassigned

DATADOG, INC.    
Security: 23804L103 Agenda Number: 935406644
Ticker: DDOG Meeting Type: Annual
ISIN: US23804L1035 Meeting Date: 10-Jun-21
       

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Class II Director to hold office until Annual Meeting in 2024: Alexis Lê-Quôc Mgmt Abstain Against  

 

 

 

1B. Election of Class II Director to hold office until Annual Meeting in 2024: Michael Callahan Mgmt For For  
           
2. Advisory vote to approve the compensation of our named executive officers. Mgmt For For  
           
3. Advisory vote to recommend the frequency of future advisory votes on the compensation of our named executive officers. Mgmt 1 Year For  
           
4. To ratify the selection by the Audit Committee of our Board of Directors of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. Mgmt For For  

 

 

 

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    Page 33 of 153  

 

Unassigned

 

DELIVERY HERO SE    
Security:   D1T0KZ103 Agenda Number: 714130729
Ticker:   Meeting Type: AGM
ISIN: DE000A2E4K43 Meeting Date: 16-Jun-21
     

 

           
Prop. # Proposal Proposed    Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU Non-Voting      
           
CMMT PLEASE NOTE THAT FOLLOWING THE AMENDMENT TO PARAGRAPH 21 OF THE SECURITIES TRADE ACT ON 9TH JULY 2015 AND THE OVER-RULING OF THE DISTRICT COURT IN COLOGNE JUDGMENT FROM 6TH JUNE 2012 THE VOTING PROCESS HAS NOW CHANGED WITH REGARD TO THE GERMAN REGISTERED SHARES. AS A RESULT, IT IS NOW THE RESPONSIBILITY OF THE END-INVESTOR (I.E. FINAL BENEFICIARY) AND NOT THE INTERMEDIARY TO DISCLOSE RESPECTIVE FINAL BENEFICIARY VOTING RIGHTS THEREFORE THE CUSTODIAN BANK / AGENT IN THE MARKET WILL BE SENDING THE VOTING DIRECTLY TO MARKET AND IT IS THE END INVESTORS RESPONSIBILITY TO ENSURE THE REGISTRATION ELEMENT IS COMPLETE WITH THE ISSUER DIRECTLY, SHOULD THEY HOLD MORE THAN 3 % OF THE TOTAL SHARE CAPITAL Non-Voting      

 

 

 

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      Page 34 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT THE VOTE/REGISTRATION DEADLINE AS DISPLAYED ON PROXYEDGE IS SUBJECT TO CHANGE AND WILL BE UPDATED AS SOON AS BROADRIDGE RECEIVES CONFIRMATION FROM THE SUB CUSTODIANS REGARDING THEIR INSTRUCTION DEADLINE. FOR ANY QUERIES PLEASE CONTACT YOUR CLIENT SERVICES REPRESENTATIVE Non-Voting      
           
CMMT ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL Non-Voting      
           
CMMT FURTHER INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER’S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY’S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED IN THE BALLOT ON PROXYEDGE Non-Voting      

 

 

 

Investment Company Report

 

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      Page 35 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE AVAILABLE AS A LINK UNDER THE ‘MATERIAL URL’ DROPDOWN AT THE TOP OF THE BALLOT. THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN PLACE. FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE Non-Voting      
           
CMMT INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE Non-Voting      
           
1 RECEIVE FINANCIAL STATEMENTS AND STATUTORY REPORTS FOR FISCAL YEAR 2020 Non-Voting      
           
2 APPROVE DISCHARGE OF MANAGEMENT BOARD FOR FISCAL YEAR 2020 Mgmt For For  
           
3.1 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER MARTIN ENDERLE FOR FISCAL YEAR 2020 Mgmt For For  
           
3.2 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER HILARY GOSHER FOR FISCAL YEAR 2020 Mgmt For For  

 

 

 

 

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      Page 36 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
3.3 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER PATRICK KOLEK FOR FISCAL YEAR 2020 Mgmt For For  
           
3.4 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER BJOERN LJUNGBERG FOR FISCAL YEAR 2020 Mgmt For For  
           
3.5 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER VERA STACHOWIAK FOR FISCAL YEAR 2020 Mgmt For For  
           
3.6 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER CHRISTIAN GRAF VON HARDENBERG FOR FISCAL YEAR 2020 Mgmt For For  
           
3.7 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER JEANETTE GORGAS FOR FISCAL YEAR 2020 Mgmt For For  
           
3.8 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER NILS ENGVALL FOR FISCAL YEAR 2020 Mgmt For For  
           
3.9 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER GABRIELLA ARDBO FOR FISCAL YEAR 2020 Mgmt For For  
           
3.10 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER GERALD TAYLOR FOR FISCAL YEAR 2020 Mgmt For For  
           
4 RATIFY KPMG AG AS AUDITORS FOR FISCAL YEAR 2021 Mgmt For For  
           
5 APPROVE REMUNERATION POLICY Mgmt Against Against  

 

 

 

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      Page 37 of 153

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           

 

 

 

 

6 APPROVE REMUNERATION OF SUPERVISORY BOARD Mgmt For For  
           
7 APPROVE CREATION OF EUR 13.7 MILLION POOL OF CAPITAL WITHOUT PREEMPTIVE RIGHTS Mgmt Against Against  
           
8 APPROVE ISSUANCE OF WARRANTS/BONDS WITH WARRANTS ATTACHED/CONVERTIBLE BONDS WITHOUT PREEMPTIVE RIGHTS UP TO AGGREGATE NOMINAL AMOUNT OF EUR 3 BILLION; APPROVE CREATION OF EUR 14 MILLION POOL OF CAPITAL TO GUARANTEE CONVERSION RIGHTS; AMEND 2019 RESOLUTION Mgmt Against Against  

 

 

 

9 APPROVE CREATION OF EUR 6.9 MILLION POOL OF CAPITAL FOR EMPLOYEE STOCK PURCHASE PLAN Mgmt For For  
   
           
10 APPROVE STOCK OPTION PLAN FOR KEY EMPLOYEES; APPROVE CREATION OF EUR 5 MILLION POOL OF CONDITIONAL CAPITAL TO GUARANTEE CONVERSION RIGHTS Mgmt For For  

 

 

 

 

11 AUTHORIZE SHARE REPURCHASE PROGRAM AND REISSUANCE OR CANCELLATION OF REPURCHASED SHARES Mgmt For For  
           
12 AUTHORIZE USE OF FINANCIAL DERIVATIVES WHEN REPURCHASING SHARES Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 38 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT 17 MAY 2021: PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE  ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU Non-Voting      
           
CMMT 17 MAY 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF CDI COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU Non-Voting      

 

 

 

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Unassigned 

DOCUSIGN, INC.    
Security: 256163106 Agenda Number: 935397453
Ticker: DOCU Meeting Type: Annual
ISIN: US2561631068 Meeting Date: 28-May-21

 

             
Prop. # Proposal     Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
             
1. DIRECTOR        
           
  1 Enrique Salem Mgmt For For  
             
  2 Peter Solvik Mgmt For For  
             
  3 Inhi Cho Suh Mgmt For For  
             
  4 Mary Agnes Wilderotter Mgmt For For  
             
2. Ratification of the selection of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for fiscal year ending January 31, 2022. Mgmt For For  
         
3. Approval, on an advisory basis, of our named executive officers’ compensation. Mgmt For For  

 

 

 

Investment Company Report

 

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      Page 40 of 153  

 

Unassigned 

EBAY INC.    
Security: 278642103 Agenda Number: 935418790
Ticker: EBAY Meeting Type: Annual
ISIN: US2786421030 Meeting Date: 15-Jun-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director: Anthony J. Bates Mgmt For For  
           
1B. Election of Director: Adriane M. Brown Mgmt For For  
           
1C. Election of Director: Diana Farrell Mgmt For For  
           
1D. Election of Director: Logan D. Green Mgmt For For  
           
1E. Election of Director: Bonnie S. Hammer Mgmt For For  
           
1F. Election of Director: E. Carol Hayles Mgmt For For  
           
1G. Election of Director: Jamie Iannone Mgmt For For  
           
1H. Election of Director: Kathleen C. Mitic Mgmt For For  
           
1I. Election of Director: Matthew J. Murphy Mgmt For For  
           
1J. Election of Director: Paul S. Pressler Mgmt For For  
           
1K. Election of Director: Mohak Shroff Mgmt For For  

 

 

 

Investment Company Report

 

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      Page 41 of 153  

  

           
           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1L. Election of Director: Robert H. Swan Mgmt For For  
           
1M. Election of Director: Perry M. Traquina Mgmt For For  
           
2. Ratification of appointment of independent auditors. Mgmt For For  
           
3. Advisory vote to approve named executive officer compensation. Mgmt Against Against  
           
4. Executive Compensation, if properly presented. Shr Against For  
           
5. Right to Act by Written Consent, if properly presented. Shr For Against  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 42 of 153  

  

Unassigned 

ELASTIC N.V.    
Security: N14506104 Agenda Number: 935278982
Ticker: ESTC Meeting Type: Annual
ISIN: NL0013056914 Meeting Date: 21-Oct-20

 

           
           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of non-executive Director: Jonathan Chadwick Mgmt For For  
           
1B. Election of non-executive Director: Michelangelo Volpi Mgmt For For  
           
2. Adoption of Dutch Statutory Annual Accounts for fiscal year 2020. Mgmt For For  
           
3. Grant of full discharge of the Company’s executive director from liability with respect to the performance of his duties during fiscal year 2020. Mgmt For For  

 

4. Grant of full discharge of the Company’s non- executive directors from liability with respect to the performance of their duties during fiscal year 2020. Mgmt For For  
           
5. Ratification of the selection of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for fiscal year 2021. Mgmt For For  
           
6. Authorization of the Board of Directors to repurchase shares in the capital of the Company. Mgmt For For  
           
7. Non-binding advisory vote on the frequency of future non-binding advisory votes on the compensation of the Company’s named executive officers. Mgmt 1 Year For  

 

 

 

Investment Company Report

 

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Unassigned 

ETSY, INC.    
Security: 29786A106 Agenda Number: 935412611
Ticker: ETSY Meeting Type: Annual
ISIN: US29786A1060 Meeting Date: 11-Jun-21

 

           
           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Class III Director to serve until our 2024 Annual Meeting: Gary S. Briggs Mgmt For For  
           
1B. Election of Class III Director to serve until our 2024 Annual Meeting: Edith W. Cooper Mgmt For For  
           
1C. Election of Class III Director to serve until our 2024 Annual Meeting: Melissa Reiff Mgmt For For  
           
2. Ratification of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. Mgmt For For  

 

3. Advisory vote to approve executive compensation. Mgmt For For  

 

 

 

Investment Company Report

 

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Unassigned 

FACEBOOK, INC.    
Security: 30303M102 Agenda Number: 935395891
Ticker: FB Meeting Type: Annual
ISIN: US30303M1027 Meeting Date: 26-May-21

 

             
Prop. # Proposal     Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
             
1. DIRECTOR        
           
  1 Peggy Alford Mgmt For For  
             
  2 Marc L. Andreessen Mgmt For For  
             
  3 Andrew W. Houston Mgmt For For  
             
  4 Nancy Killefer Mgmt For For  
             
  5 Robert M. Kimmitt Mgmt For For  
             
  6 Sheryl K. Sandberg Mgmt For For  
             
  7 Peter A. Thiel Mgmt For For  
             
  8 Tracey T. Travis Mgmt For For  
             
  9 Mark Zuckerberg Mgmt For For  
             
2. To ratify the appointment of Ernst & Young LLP as Facebook, Inc.’s independent registered public accounting firm for the fiscal year ending December 31, 2021. Mgmt For For  

 

 

 

Investment Company Report

 

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      Page 45 of 153  

  

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
3. To approve an amendment to the director compensation policy. Mgmt For For  
           
4. A shareholder proposal regarding dual class capital structure. Shr For Against  
           
5. A shareholder proposal regarding an independent chair. Shr Against For  
           
6. A shareholder proposal regarding child exploitation. Shr For Against  
           
7. A shareholder proposal regarding human/civil rights expert on board. Shr For Against  
           
8. A shareholder proposal regarding platform misuse. Shr For Against  
           
9. A shareholder proposal regarding public benefit corporation. Shr Against For  

 

 

 

Investment Company Report

 

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Unassigned 

FORTINET, INC.    
Security: 34959E109 Agenda Number: 935425391
Ticker: FTNT Meeting Type: Annual
ISIN: US34959E1091 Meeting Date: 18-Jun-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1.1 Election of Director to serve for a term of one year until the next annual meeting: Ken Xie Mgmt For For  
           
1.2 Election of Director to serve for a term of one year until the next annual meeting: Michael Xie Mgmt For For  
           
1.3 Election of Director to serve for a term of one year until the next annual meeting: Kelly Ducourty Mgmt For For  
           
1.4 Election of Director to serve for a term of one year until the next annual meeting: Kenneth A. Goldman Mgmt For For  
           
1.5 Election of Director to serve for a term of one year until the next annual meeting: Ming Hsieh Mgmt For For  
           
1.6 Election of Director to serve for a term of one year until the next annual meeting: Jean Hu Mgmt For For  
           
1.7 Election of Director to serve for a term of one year until the next annual meeting: William Neukom Mgmt For For  
           
1.8 Election of Director to serve for a term of one year until the next annual meeting: Judith Sim Mgmt For For  

 

 

 

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      Page 47 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
2. To ratify the appointment of Deloitte & Touche LLP as Fortinet’s independent registered accounting firm for the fiscal year ending December 31, 2021. Mgmt For For  
           
3. Advisory vote to approve named executive officer compensation, as disclosed in the proxy statement. Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 48 of 153  

  

Unassigned 

HELLOFRESH SE    
Security: D3R2MA100 Agenda Number: 713956576
Ticker:   Meeting Type: AGM
ISIN: DE000A161408 Meeting Date: 26-May-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU Non-Voting      
           
CMMT ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL Non-Voting      

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 49 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER’S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY’S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED ON THE BALLOT ON PROXYEDGE Non-Voting      
           
CMMT FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE AVAILABLE AS A LINK UNDER THE ‘MATERIAL URL’ DROPDOWN AT THE TOP OF THE BALLOT. THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN PLACE. FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE Non-Voting      

 

1 RECEIVE FINANCIAL STATEMENTS AND STATUTORY REPORTS FOR FISCAL YEAR 2020 Non-Voting      
           
2 APPROVE ALLOCATION OF INCOME AND OMISSION OF DIVIDENDS Mgmt For For  
           
3 APPROVE DISCHARGE OF MANAGEMENT BOARD FOR FISCAL YEAR 2020 Mgmt For For  
           
4 APPROVE DISCHARGE OF SUPERVISORY BOARD FOR FISCAL YEAR 2020 Mgmt For For  
           
5 RATIFY KPMG AG AS AUDITORS FOR FISCAL YEAR 2021 Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 50 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
6.1 RE-ELECT JOHN RITTENHOUSE TO THE SUPERVISORY BOARD Mgmt For For  
           
6.2 RE-ELECT URSULA RADEKE-PIETSCH TO THE SUPERVISORY BOARD Mgmt For For  
           
6.3 RE-ELECT DEREK ZISSMAN TO THE SUPERVISORY BOARD Mgmt For For  
           
6.4 RE-ELECT SUSANNE SCHROETER CROSSAN TO THE SUPERVISORY BOARD Mgmt For For  
           
6.5 RE-ELECT STEFAN SMALLA TO THE SUPERVISORY BOARD Mgmt For For  
           
7 AMEND CORPORATE PURPOSE Mgmt For For  
           
8 APPROVE REMUNERATION POLICY Mgmt Against Against  
           
9 APPROVE REMUNERATION OF Mgmt For For  
  SUPERVISORY BOARD        
           
10 APPROVE CREATION OF EUR 13.6 MILLION POOL OF CAPITAL WITH PARTIAL EXCLUSION OF PREEMPTIVE RIGHTS Mgmt For For  
           
11 APPROVE ISSUANCE OF WARRANTS/BONDS WITH WARRANTS ATTACHED/CONVERTIBLE BONDS WITHOUT PREEMPTIVE RIGHTS UP TO AGGREGATE NOMINAL AMOUNT OF EUR 1 BILLION APPROVE CREATION OF EUR 17.4 MILLION POOL OF CAPITAL TO GUARANTEE CONVERSION RIGHTS Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 51 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
12 AUTHORIZE SHARE REPURCHASE PROGRAM AND REISSUANCE OR CANCELLATION OF REPURCHASED SHARES Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 52 of 153  

  

Unassigned 

HUBSPOT, INC.    
Security: 443573100 Agenda Number: 935406341
Ticker: HUBS Meeting Type: Annual
ISIN: US4435731009 Meeting Date: 03-Jun-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Class I Director to hold office until the 2024 Annual Meeting: Brian Halligan Mgmt For For  
           
1B. Election of Class I Director to hold office until the 2024 Annual Meeting: Ron Gill Mgmt For For  
           
1C. Election of Class I Director to hold office until the 2024 Annual Meeting: Jill Ward Mgmt For For  
           
2. Ratify the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2021. Mgmt For For  
           
3. Non-binding advisory vote to approve the Mgmt Against Against compensation of the Company’s Named Executive Officers. Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 53 of 153  

  

Unassigned 

IAC/INTERACTIVECORP    
Security: 44891N109 Agenda Number: 935399495
Ticker: IAC Meeting Type: Annual
ISIN: US44891N1090 Meeting Date: 14-May-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1. To approve amendments to the IAC restated certificate of incorporation that will effect the separation of IAC’s Vimeo business from the remaining businesses of IAC through a series of transaction (referred to as the “Spin-off”) by: Reclassifying each share of IAC par value $0.001 common stock into (i) one share of IAC par value $0.0001 common stock and (ii) 1/100th of a share of IAC par value $0.01 Series 1 mandatorily exchangeable preferred stock that will automatically exchange into a number of shares. Mgmt For For  
           
2. To approve amendments to the IAC restated certificate of incorporation pursuant to which, following the Spin-off, IAC would renounce any interest or expectancy in certain corporate opportunities, which generally would have the effect that no officer or director of IAC who is also an officer or director of SpinCo will be liable to IAC or its stockholders for breach of any fiduciary duty by reason of the fact that any such individual directs a corporate opportunity to SpinCo instead of IAC. Mgmt For For  
           
3. To approve one or more adjournments or postponements of the annual meeting, if necessary or appropriate, including to solicit additional proxies if there are not sufficient votes to approve the foregoing proposals. Mgmt For For  
           
4a. Election of Director: Chelsea Clinton Mgmt For For  
           
4b. Election of Director: Barry Diller Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 54 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           

4c. Election of Director: Michael D. Eisner Mgmt For For  
           
4d. Election of Director: Bonnie S. Hammer Mgmt For For  
           
4e. Election of Director: Victor A. Kaufman Mgmt For For  
           
4f. Election of Director: Joseph Levin Mgmt For For  
           
4g. Election of Director: Bryan Lourd (To be voted upon by the holders of Common Stock voting as a separate class) Mgmt For For  
           
4h. Election of Director: Westley Moore Mgmt For For  
           
4i. Election of Director: David Rosenblatt Mgmt For For  
           
4j. Election of Director: Alan G. Spoon (To be voted upon by the holders of Common Stock voting as a separate class) Mgmt For For  
           
4k. Election of Director: Alexander von Furstenberg Mgmt For For  
           
4l. Election of Director: Richard F. Zannino (To be voted upon by the holders of Common Stock voting as a separate class) Mgmt For For  
           
5. To ratify the appointment of Ernst & Young LLP as IAC’s independent registered public accounting firm for the 2021 fiscal year. Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 55 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
6. To hold a non-binding advisory vote on IAC’s executive compensation. Mgmt Against Against  
           
7. To hold a non-binding advisory vote on the frequency of holding the advisory vote on executive compensation in the future. Mgmt 1 Year Against  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 56 of 153  

  

Unassigned 

INTUIT INC.    
Security: 461202103 Agenda Number: 935313217
Ticker: INTU Meeting Type: Annual
ISIN: US4612021034 Meeting Date: 21-Jan-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1a. Election of Director: Eve Burton Mgmt For For  
           
1b. Election of Director: Scott D. Cook Mgmt For For  
           
1c. Election of Director: Richard L. Dalzell Mgmt For For  
           
1d. Election of Director: Sasan K. Goodarzi Mgmt For For  
           
1e. Election of Director: Deborah Liu Mgmt For For  
           
1f. Election of Director: Tekedra Mawakana Mgmt For For  
           
1g. Election of Director: Suzanne Nora Johnson Mgmt For For  
           
1h. Election of Director: Dennis D. Powell Mgmt For For  
           
1i. Election of Director: Brad D. Smith Mgmt For For  
           
1j. Election of Director: Thomas Szkutak Mgmt For For  
           
1k. Election of Director: Raul Vazquez Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 57 of 153  

  

          
Prop. # Proposal Proposed Proposal Vote For/Against 
    by   Management’s 
        Recommendation  
          

1l. Election of Director: Jeff Weiner Mgmt For For  
          
2. Advisory vote to approve Intuit’s executive compensation (say-on-pay). Mgmt For For 
          
3. Ratification of the selection of Ernst & Young LLP as Intuit’s independent registered public accounting firm for the fiscal year ending July 31, 2021. Mgmt For For 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 58 of 153  

  

Unassigned 

JD.COM, INC.    
Security: 47215P106 Agenda Number: 935446016
Ticker: JD Meeting Type: Annual
ISIN: US47215P1066 Meeting Date: 23-Jun-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1. As a special resolution: Resolution No. 1 set out in the Notice of the Annual General Meeting to approve the adoption of the Company’s dual foreign name. Mgmt For For  
           
2. As a special resolution: Resolution No. 2 set out in the Notice of the Annual General Meeting to approve the adoption of the Second Amended and Restated Memorandum of Association and Articles of Association. Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 59 of 153  

  

Unassigned 

JUST EAT TAKEAWAY.COM N.V.    
Security: N4753E105 Agenda Number: 713832118
Ticker:   Meeting Type: AGM
ISIN: NL0012015705 Meeting Date: 12-May-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT PLEASE NOTE THAT BENEFICIAL OWNER DETAILS IS REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU. Non-Voting      
           
CMMT PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU Non-Voting      
           
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 540518 DUE TO RECEIPT OF ADDITIONAL NON-VOTING RESOLUTIONS 2, 3, 4, 5. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU Non-Voting      
           
CMMT INTERMEDIARY CLIENTS ONLY – PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE Non-Voting      

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 60 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           

1. OPENING AND ANNOUNCEMENTS Non-Voting      
           
2. MANAGEMENT REPORT; REMUNERATION REPORT; ANNUAL ACCOUNTS Non-Voting      
           
2a. REPORT OF THE MANAGEMENT BOARD FOR THE FINANCIAL YEAR 2020 Non-Voting      
           
2b. REMUNERATION REPORT Mgmt For For  
           
2c ADOPTION OF THE ANNUAL ACCOUNTS 2020 Mgmt For For  
           
3. DISCHARGE Non-Voting      
           
3a. DISCHARGE OF MEMBERS OF THE MANAGEMENT BOARD FROM LIABILITY FOR THEIR RESPONSIBILITIES IN THE FINANCIAL YEAR 2020 Mgmt For For  
           
3b. DISCHARGE OF MEMBERS OF THE SUPERVISORY BOARD FROM LIABILITY FOR THEIR RESPONSIBILITIES IN THE FINANCIAL YEAR 2020 Mgmt For For  
           
4. REAPPOINTMENT OF MEMBERS OF THE MANAGEMENT BOARD Non-Voting      
           
4a. REAPPOINTMENT OF MR. JITSE GROEN AS CHIEF EXECUTIVE OFFICER AND MEMBER OF THE MANAGEMENT BOARD Mgmt For For  
           
4b. REAPPOINTMENT OF MR. BRENT WISSINK AS CHIEF FINANCIAL OFFICER AND MEMBER OF THE MANAGEMENT BOARD Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 61 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           

4c. REAPPOINTMENT OF MR. JORG GERBIG AS MEMBER OF THE MANAGEMENT BOARD Mgmt For For  
           
4d. REAPPOINTMENT OF MR. MATTHEW MALONEY AS MEMBER OF THE MANAGEMENT BOARD Mgmt For For  
           
5. REAPPOINTMENT OF MEMBERS OF THE SUPERVISORY BOARD Non-Voting      
           
5a. REAPPOINTMENT OF MR. ADRIAAN NUHN AS CHAIRMAN OF THE SUPERVISORY BOARD Mgmt For For  
           
5b. REAPPOINTMENT OF MS. CORINNE VIGREUX AS VICE-CHAIRMAN OF THE SUPERVISORY BOARD Mgmt For For  
           
5c. REAPPOINTMENT OF MR. RON TEERLINK AS MEMBER OF THE SUPERVISORY BOARD Mgmt For For  
           
5d. REAPPOINTMENT OF MS. GWYN BURR AS MEMBER OF THE SUPERVISORY BOARD Mgmt For For  
           
5e. REAPPOINTMENT OF MR. JAMBU PALANIAPPAN AS MEMBER OF THE SUPERVISORY BOARD Mgmt For For  
           
5f. REAPPOINTMENT OF MR. LLOYD FRINK AS MEMBER OF THE SUPERVISORY BOARD Mgmt For For  
           
5g. REAPPOINTMENT OF MR. DAVID FISHER AS MEMBER OF THE SUPERVISORY BOARD Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 62 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
6. REAPPOINTMENT EXTERNAL AUDITOR FOR THE FINANCIAL YEARS 2021 THROUGH 2023: DELOITTE ACCOUNTANTS B.V. Mgmt For For  

 

7. AUTHORISATION OF THE MANAGEMENT Mgmt For For  
  BOARD TO ISSUE SHARES        
           
8. DELEGATION OF THE RIGHT TO EXCLUDE Mgmt For For  
  OR LIMIT PRE-EMPTIVE RIGHTS        
           
9. AUTHORISATION OF THE MANAGEMENT Mgmt For For  
  BOARD TO REPURCHASE SHARES        
           
10. ANY OTHER BUSINESS Non-Voting      
           
11. CLOSING OF THE MEETING Non-Voting      
           
CMMT 05 MAY 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF TEXT IN RESOLUTION 6 DUE TO CHANGE IN NUMBERING FOR RESOLUTION 2c. IF YOU HAVE ALREADY SENT IN YOUR VOTES FOR MID: 548838. PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU Non-Voting      

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 63 of 153  

  

Unassigned 

KINGDEE INTERNATIONAL SOFTWARE GROUP CO LTD  
Security: G52568147 Agenda Number: 713954128
Ticker:   Meeting Type: AGM
ISIN: KYG525681477 Meeting Date: 21-May-21

 

           
           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT 26 APR 2021: PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING ON THE URL LINKS: https://www1.hkexnews.hk/listedco/listconews /sehk/2021/0420/2021042000975.pdf & https://www1.hkexnews.hk/listedco/listconews /sehk/2021/0420/2021042000965.pdf Non-Voting      
           
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’ FOR ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING Non-Voting      
           
1 TO RECEIVE AND ADOPT THE AUDITED CONSOLIDATED ACCOUNTS, THE REPORT OF THE DIRECTORS OF THE COMPANY (THE “DIRECTORS”) AND THE REPORT OF THE AUDITORS OF THE COMPANY FOR THE YEAR ENDED 31 DECEMBER 2020 Mgmt For For  

 

2.A TO RE-ELECT MR. XU SHAO CHUN AS AN Mgmt Against Against  
  EXECUTIVE DIRECTOR        
2.B TO RE-ELECT MS. DONG MING ZHU AS A Mgmt Against Against  
  NON-EXECUTIVE DIRECTOR        
           
2.C TO RE-ELECT MR. MR. ZHOU BO WEN AS Mgmt Against Against  
  A NON-EXECUTIVE DIRECTOR        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 64 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           

2.D TO RE-ELECT MR. MR. NI ZHENG DONG AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR Mgmt For For  
           
3 TO AUTHORIZE THE BOARD OF DIRECTORS (THE “BOARD”) TO FIX THE REMUNERATION OF THE DIRECTORS Mgmt For For  
           
4 REMUNERATION OF THE DIRECTORS TO CONSIDER AND APPROVE THE RE- APPOINTMENT PRICEWATERHOUSECOOPERS, THE RETIRING AUDITORS OF THE COMPANY, AS THE AUDITORS OF THE COMPANY AND TO AUTHORIZE THE BOARD TO FIX THEIR REMUNERATION Mgmt Against Against  

 

5.A TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO ISSUE AND ALLOT ADDITIONAL SHARES NOT EXCEEDING 20% OF THE EXISTING TOTAL NUMBER OF ISSUED SHARES Mgmt Against Against  
           
5.B TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO REPURCHASE THE SHARES NOT EXCEEDING 10% OF THE EXISTING TOTAL NUMBER OF ISSUED SHARES Mgmt For For  
           
5.C CONDITIONAL UPON ORDINARY RESOLUTIONS 5(A) AND 5(B) BEING PASSED, TO EXTEND THE GENERAL MANDATE TO THE DIRECTORS TO ISSUE AND ALLOT ADDITIONAL SHARES BY THE NUMBER OF SHARES REPURCHASED BY THE COMPANY UNDER THE MANDATE REFERRED TO IN ORDINARY RESOLUTION NUMBERED 5(B) ABOVE Mgmt Against Against  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 65 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT 26 APR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. Non-Voting      

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 66 of 153  

  

Unassigned 

LIVE NATION ENTERTAINMENT, INC.    
Security: 538034109 Agenda Number: 935413411
Ticker: LYV Meeting Type: Annual
ISIN: US5380341090 Meeting Date: 10-Jun-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director: Maverick Carter Mgmt For For  
           
1B. Election of Director: Ariel Emanuel Mgmt For For  
           
1C. Election of Director: Ping Fu Mgmt For For  
           
1D. Election of Director: Jeffrey T. Hinson Mgmt For For  
           
1E. Election of Director: Chad Hollingsworth Mgmt For For  
           
1F. Election of Director: James Iovine Mgmt For For  
           
1G. Election of Director: James S. Kahan Mgmt For For  
           
1H. Election of Director: Gregory B. Maffei Mgmt For For  
           
1I. Election of Director: Randall T. Mays Mgmt For For  
           
1J. Election of Director: Michael Rapino Mgmt For For  
           
1K. Election of Director: Mark S. Shapiro Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 67 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1L. Election of Director: Dana Walden Mgmt For For  
           
2. Ratification of the appointment of Ernst & Young LLP as Live Nation Entertainment’s independent registered public accounting firm for the 2021 fiscal year. Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 68 of 153  

 

Unassigned

MATCH GROUP, INC.
Security: 57667L107 Agenda Number: 935411924
Ticker: MTCH Meeting Type: Annual
ISIN: US57667L1070 Meeting Date: 15-Jun-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director: Wendi Murdoch Mgmt For For  
           
1B. Election of Director: Glenn Schiffman Mgmt For For  
           
1C. Election of Director: Pamela S. Seymon Mgmt For For  
           
2. To approve the Match Group, Inc. 2021 Global Employee Stock Purchase Plan. Mgmt For For  
           
3. Ratification of the appointment of Ernst & Young LLP as Match Group, Inc.’s independent registered public accounting firm for 2021. Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 69 of 153  

 

Unassigned

MEITUAN
Security: G59669104 Agenda Number: 714199987
Ticker:   Meeting Type: AGM
ISIN: KYG596691041 Meeting Date: 23-Jun-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT   PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING ON THE URL LINKS: Non-Voting      
  https://www1.hkexnews.hk/listedco/listconews/sehk/2021/0521/2021052100405.pdf AND        
  https://www1.hkexnews.hk/listedco/listconews/sehk/2021/0521/2021052100429.pdf        
           
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’ FOR ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING Non-Voting      
           
1 TO RECEIVE AND ADOPT THE AUDITED CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR ENDED DECEMBER 31, 2020 AND THE REPORTS OF THE DIRECTORS OF THE COMPANY (“DIRECTORS”) AND INDEPENDENT AUDITOR OF THE COMPANY THEREON Mgmt For For  
           
2 TO RE-ELECT MR. WANG HUIWEN AS AN EXECUTIVE DIRECTOR Mgmt Against Against  
           
3 TO RE-ELECT MR. LAU CHI PING MARTIN AS A NON-EXECUTIVE DIRECTOR Mgmt Against Against  
           
4 TO RE-ELECT MR. NEIL NANPENG SHEN AS A NON-EXECUTIVE DIRECTOR Mgmt Against Against  

 

 

 

Investment Company Report

 

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Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
5 TO AUTHORIZE THE BOARD OF DIRECTORS (“BOARD”) TO FIX THE REMUNERATION OF THE DIRECTORS Mgmt For For  
           
6 TO GRANT A GENERAL MANDATE TO THE DIRECTORS, EXERCISABLE ON THEIR BEHALF BY MR. WANG XING, TO ISSUE, ALLOT AND DEAL WITH ADDITIONAL CLASS B SHARES OF THE COMPANY NOT EXCEEDING 20% OF THE TOTAL NUMBER OF ISSUED SHARES OF THE COMPANY AS AT THE DATE OF PASSING OF THIS RESOLUTION Mgmt Against Against  
           
7 TO GRANT A GENERAL MANDATE TO THE DIRECTORS, EXERCISABLE ON THEIR BEHALF BY MR. WANG XING, TO REPURCHASE SHARES OF THE COMPANY NOT EXCEEDING 10% OF THE TOTAL NUMBER OF ISSUED SHARES OF THE COMPANY AS AT THE DATE OF PASSING OF THIS RESOLUTION Mgmt For For  
           
8 TO EXTEND THE GENERAL MANDATE GRANTED TO THE DIRECTORS TO ISSUE, ALLOT AND DEAL WITH ADDITIONAL SHARES IN THE CAPITAL OF THE COMPANY BY THE AGGREGATE NUMBER OF THE SHARES REPURCHASED BY THE COMPANY Mgmt Against Against  
           
9 TO RE-APPOINT PRICEWATERHOUSECOOPERS AS AUDITOR OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AND TO AUTHORIZE THE BOARD TO FIX THEIR REMUNERATION FOR THE YEAR ENDING DECEMBER 31, 2021 Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 71 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
10.A TO APPROVE THE SUBSCRIPTION AGREEMENT (THE “TENCENT SUBSCRIPTION AGREEMENT”) DATED APRIL 19, 2021 AND ENTERED INTO BY THE COMPANY AS ISSUER AND TENCENT MOBILITY LIMITED (“TENCENT”) AS SUBSCRIBER IN RELATION TO THE SUBSCRIPTION OF 11,352,600 NEW SHARES (THE “TENCENT SUBSCRIPTION SHARES”) AT THE SUBSCRIPTION PRICE OF HKD 273.80 PER SHARE Mgmt For For  
           
10.B TO APPROVE THE GRANT OF A SPECIFIC MANDATE TO THE DIRECTORS OF THE COMPANY TO EXERCISE ALL THE POWERS OF THE COMPANY TO ALLOT AND ISSUE THE TENCENT SUBSCRIPTION SHARES, SUBJECT TO AND IN ACCORDANCE WITH THE TERMS AND CONDITIONS SET OUT IN THE TENCENT SUBSCRIPTION AGREEMENT Mgmt For For  
           
10.C TO AUTHORIZE ANY ONE DIRECTOR OF THE COMPANY TO SIGN, EXECUTE, PERFECT AND DELIVER ALL SUCH DOCUMENTS AND DEEDS, AND DO ALL SUCH ACTS, MATTERS AND THINGS AS ARE, IN THE OPINION OF SUCH DIRECTOR OF THE COMPANY, DESIRABLE OR EXPEDIENT TO GIVE EFFECT TO THE TENCENT SUBSCRIPTION AGREEMENT, ALL THE TRANSACTIONS CONTEMPLATED THEREUNDER AND/OR ANY MATTER ANCILLARY OR INCIDENTAL THERETO (INCLUDING WITHOUT LIMITATION THE ALLOTMENT AND ISSUE OF THE TENCENT SUBSCRIPTION SHARES PURSUANT THERETO), TO AGREE TO SUCH VARIATIONS, AMENDMENTS OR WAIVERS TO OR OF ANY OF THE PROVISIONS OF THE TENCENT SUBSCRIPTION AGREEMENT AND ALL DOCUMENTS ANCILLARY OR INCIDENTAL THERETO AS ARE, IN THE OPINION OF SUCH DIRECTOR OF THE COMPANY, NOT OF A MATERIAL NATURE AND IN THE INTEREST OF THE COMPANY, AND TO EFFECT OR IMPLEMENT ANY OTHER MATTER REFERRED TO IN THIS RESOLUTION Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 72 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
11 TO AMEND THE MEMORANDUM AND ARTICLES OF ASSOCIATION TO UPDATE THE NAME OF THE COMPANY FROM “MEITUAN DIANPING” TO “MEITUAN” Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 73 of 153  

 

Unassigned

MEITUAN DIANPING
Security: G59669104 Agenda Number: 713104874
Ticker:   Meeting Type: EGM
ISIN: KYG596691041 Meeting Date: 29-Sep-20

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT   PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING ON THE URL LINKS: Non-Voting      
  https://www1.hkexnews.hk/listedco/listconews/sehk/2020/0911/2020091100448.pdf AND        
  https://www1.hkexnews.hk/listedco/listconews/sehk/2020/0911/2020091100420.pdf        
           
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’ FOR ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING Non-Voting      
           
1.A TO APPROVE, SUBJECT TO AND CONDITIONAL UPON THE APPROVAL OF THE REGISTRAR OF COMPANIES OF THE CAYMAN ISLANDS, THE CHANGE OF THE ENGLISH NAME OF THE COMPANY FROM “MEITUAN DIANPING” TO “MEITUAN” AND THE ADOPTION OF THE CHINESE NAME OF (“AS SPECIFIED”) AS THE DUAL FOREIGN NAME OF THE COMPANY IN PLACE OF ITS EXISTING CHINESE NAME OF (“AS SPECIFIED”) WITH EFFECT FROM THE DATE OF REGISTRATION AS SET OUT IN THE CERTIFICATE OF INCORPORATION ON CHANGE OF NAME ISSUED BY THE REGISTRAR OF COMPANIES OF THE CAYMAN ISLANDS Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 74 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1.B TO AUTHORIZE ANY ONE DIRECTOR OF THE COMPANY ON BEHALF OF THE COMPANY TO DO ALL SUCH ACTS AND THINGS AND EXECUTE AND DELIVER ALL SUCH DOCUMENTS WHICH HE CONSIDERS NECESSARY, DESIRABLE OR EXPEDIENT FOR THE PURPOSE OF, OR IN CONNECTION WITH, THE IMPLEMENTATION OF AND GIVING EFFECT TO RESOLUTION NO. 1(A) ABOVE AND TO ATTEND TO ANY REGISTRATION AND/OR FILING IN THE CAYMAN ISLANDS AND HONG KONG ON BEHALF OF THE COMPANY Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 75 of 153  

 

Unassigned

MERCADOLIBRE, INC.
Security: 58733R102 Agenda Number: 935420858
Ticker: MELI Meeting Type: Annual
ISIN: US58733R1023 Meeting Date: 08-Jun-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1. DIRECTOR        
           
  1 Nicolás Galperin Mgmt For For  
           
  2 Henrique Dubugras Mgmt For For  
           
2. To approve, on an advisory basis, the compensation of our named executive officers for fiscal year 2020. Mgmt For For  
           
3. Ratification of the appointment of Deloitte & Co. S.A. as our independent registered public accounting firm for the fiscal year ending December 31, 2021. Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 76 of 153  

 

Unassigned

MICROSOFT CORPORATION
Security: 594918104 Agenda Number: 935284478
Ticker: MSFT Meeting Type: Annual
ISIN: US5949181045 Meeting Date: 02-Dec-20

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director: Reid G. Hoffman Mgmt For For  
           
1B. Election of Director: Hugh F. Johnston Mgmt For For  
           
1C. Election of Director: Teri L. List-Stoll Mgmt For For  
           
1D. Election of Director: Satya Nadella Mgmt For For  
           
1E. Election of Director: Sandra E. Peterson Mgmt For For  
           
1F. Election of Director: Penny S. Pritzker Mgmt For For  
           
1G. Election of Director: Charles W. Scharf Mgmt For For  
           
1H. Election of Director: Arne M. Sorenson Mgmt For For  
           
1I. Election of Director: John W. Stanton Mgmt For For  
           
1J. Election of Director: John W. Thompson Mgmt For For  
           
1K. Election of Director: Emma N. Walmsley Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 77 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1L. Election of Director: Padmasree Warrior Mgmt For For  
           
2. Advisory vote to approve named executive officer compensation. Mgmt For For  
           
3. Ratification of Deloitte & Touche LLP as our independent auditor for fiscal year 2021. Mgmt For For  
           
4. Shareholder Proposal - Report on Employee Representation on Board of Directors. Shr Against For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 78 of 153  

 

Unassigned

MONGODB, INC.
Security: 60937P106 Agenda Number: 935222632
Ticker: MDB Meeting Type: Annual
ISIN: US60937P1066 Meeting Date: 10-Jul-20

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1. DIRECTOR        
           
  1 Archana Agrawal Mgmt For For  
           
  2 Hope Cochran Mgmt For For  
           
  3 Dwight Merriman Mgmt For For  
           
2. Approval, on a non-binding advisory basis, of the compensation of our named executive officers. Mgmt For For  
           
3. Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending January 31, 2021. Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 79 of 153  

 

Unassigned

MONGODB, INC.
Security: 60937P106 Agenda Number: 935437853
Ticker: MDB Meeting Type: Annual
ISIN: US60937P1066 Meeting Date: 29-Jun-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1. DIRECTOR        
           
  1 Roelof Botha Mgmt For For  
           
  2 Dev Ittycheria Mgmt For For  
           
  3 John McMahon Mgmt For For  
           
2. Approval, on a non-binding advisory basis, of the compensation of our named executive officers. Mgmt For For  
           
3. Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending January 31, 2022. Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 80 of 153  

 

Unassigned

NETEASE, INC.
Security: 64110W102 Agenda Number: 935269452
Ticker: NTES Meeting Type: Annual
ISIN: US64110W1027 Meeting Date: 25-Sep-20

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Re-election of Director: William Lei Ding Mgmt For For  
           
1B. Re-election of Director: Alice Yu-Fen Cheng Mgmt For For  
           
1C. Re-election of Director: Denny Ting Bun Lee Mgmt For For  
           
1D. Re-election of Director: Joseph Tze Kay Tong Mgmt For For  
           
1E. Re-election of Director: Lun Feng Mgmt For For  
           
1F. Re-election of Director: Michael Man Kit Leung Mgmt For For  
           
1G. Re-election of Director: Michael Sui Bau Tong Mgmt For For  
           
2. Ratify the appointment of PricewaterhouseCoopers Zhong Tian LLP and PricewaterhouseCoopers as auditors of NetEase, Inc. for the fiscal year ending December 31, 2020 for U.S. financial reporting and Hong Kong financial reporting purposes, respectively. Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 81 of 153  

 

Unassigned

NETEASE, INC.
Security: 64110W102 Agenda Number: 935447296
Ticker: NTES Meeting Type: Annual
ISIN: US64110W1027 Meeting Date: 23-Jun-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Re-election of Director: William Lei Ding Mgmt For For  
           
1B. Re-election of Director: Alice Yu-Fen Cheng Mgmt For For  
           
1C. Re-election of Director: Denny Ting Bun Lee Mgmt For For  
           
1D. Re-election of Director: Joseph Tze Kay Tong Mgmt For For  
           
1E. Re-election of Director: Lun Feng Mgmt For For  
           
1F. Re-election of Director: Michael Man Kit Leung Mgmt For For  
           
2. Ratify the appointment of PricewaterhouseCoopers Zhong Tian LLP and PricewaterhouseCoopers as auditors of NetEase, Inc. for the fiscal year ending December 31, 2021 for U.S. financial reporting and Hong Kong financial reporting purposes, respectively. Mgmt For For  
           
3. Amend and restate the Company’s Memorandum and Articles of Association to expressly permit completely virtual shareholders’ meetings, change the quorum for shareholders’ meetings and reflect other updates. Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 82 of 153  

 

Unassigned

NETFLIX, INC.
Security: 64110L106 Agenda Number: 935406252
Ticker: NFLX Meeting Type: Annual
ISIN: US64110L1061 Meeting Date: 03-Jun-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Class I Director to hold office until the 2024 Annual Meeting: Richard N. Barton Mgmt For For  
           
1B. Election of Class I Director to hold office until the 2024 Annual Meeting: Rodolphe Belmer Mgmt For For  
           
1C. Election of Class I Director to hold office until the 2024 Annual Meeting: Bradford L. Smith Mgmt For For  
           
1D. Election of Class I Director to hold office until the 2024 Annual Meeting: Anne M. Sweeney Mgmt For For  
           
2. To ratify the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for the year ending December 31, 2021. Mgmt For For  
           
3. Advisory approval of the Company’s executive officer compensation. Mgmt Against Against  
           
4. Stockholder proposal entitled, “Proposal 4 - Political Disclosures,” if properly presented at the meeting. Shr Against For  
           
5. Stockholder proposal entitled, “Proposal 5 - Simple Majority Vote,” if properly presented at the meeting. Shr For Against  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 83 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
6. Stockholder proposal entitled, “Stockholder Proposal to Improve the Executive Compensation Philosophy,” if properly presented at the meeting. Shr Against For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 84 of 153  

 

Unassigned

NEXON CO., LTD.
Security: J4914X104 Agenda Number: 713663068
Ticker:   Meeting Type: AGM
ISIN: JP3758190007 Meeting Date: 25-Mar-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    By   Management’s  
        Recommendation  
           
1.1 Appoint a Director who is not Audit and Supervisory Committee Member Owen Mahoney Mgmt Against Against  
           
1.2 Appoint a Director who is not Audit and Supervisory Committee Member Uemura, Shiro Mgmt Against Against  
           
1.3 Appoint a Director who is not Audit and Supervisory Committee Member Patrick Soderlund Mgmt Against Against  
           
1.4 Appoint a Director who is not Audit and Supervisory Committee Member Kevin Mayer Mgmt For For  
           
2 Approve Details of the Compensation to be received by Directors (Excluding Directors who are Audit and Supervisory Committee Members) Mgmt For For  
           
3 Approve Details of the Compensation to be received by Directors (Excluding Directors who are Audit and Supervisory Committee Members) Mgmt For For  
           
4 Approve Details of the Compensation to be received by Directors who are Audit and Supervisory Committee Members Mgmt For For  
           
5 Approve Issuance of Share Acquisition Rights as Stock Options for Employees, etc. Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 85 of 153  

 

Unassigned

OCADO GROUP PLC
Security: G6718L106 Agenda Number: 713609533
Ticker:   Meeting Type: AGM
ISIN: GB00B3MBS747 Meeting Date: 13-May-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1 TO RECEIVE THE ANNUAL REPORT AND ACCOUNTS Mgmt For For  
           
2 TO APPROVE THE DIRECTORS’ REMUNERATION REPORT Mgmt Against Against  
           
3 TO RE-APPOINT TIM STEINER Mgmt Against Against  
           
4 TO RE-APPOINT NEILL ABRAMS Mgmt Against Against  
           
5 TO RE-APPOINT MARK RICHARDSON Mgmt Against Against  
           
6 TO RE-APPOINT LUKE JENSEN Mgmt Against Against  
           
7 TO RE-APPOINT JORN RAUSING Mgmt Against Against  
           
8 TO RE-APPOINT ANDREW HARRISON Mgmt For For  
           
9 TO RE-APPOINT EMMA LLOYD Mgmt For For  
           
10 TO RE-APPOINT JULIE SOUTHERN Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 86 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
11 TO RE-APPOINT JOHN MARTIN Mgmt For For  
           
12 TO APPOINT MICHAEL SHERMAN Mgmt For For  
           
13 TO APPOINT RICHARD HAYTHORNTHWAITE Mgmt Against Against  
           
14 TO APPOINT STEPHEN DAINTITH Mgmt Against Against  
           
15 TO RE-APPOINT DELOITTE LLP AS AUDITORS Mgmt For For  
           
16 TO AUTHORISE THE DIRECTORS TO DETERMINE THE AUDITORS’ REMUNERATION Mgmt For For  
           
17 AUTHORITY FOR POLITICAL DONATIONS AND POLITICAL EXPENDITURE Mgmt For For  
           
18 AMENDMENT TO THE OCADO EMPLOYEE SHARE PURCHASE PLAN Mgmt For For  
           
19 AUTHORITY TO ALLOT SHARES UP TO ONE-THIRD OF ISSUED SHARE CAPITAL Mgmt For For  
           
20 AUTHORITY TO ALLOT SHARES IN CONNECTION WITH A RIGHTS ISSUE ONLY Mgmt For For  
           
21 GENERAL AUTHORITY TO DISAPPLY PRE-EMPTION RIGHTS Mgmt For For  
           
22 ADDITIONAL AUTHORITY TO DISAPPLY PRE-EMPTION RIGHTS Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 87 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
23 AUTHORITY TO PURCHASE OWN SHARES Mgmt For For  
           
24 NOTICE OF GENERAL MEETINGS Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 88 of 153  

 

Unassigned

OKTA, INC.    
Security: 679295105 Agenda Number: 935426418
Ticker: OKTA Meeting Type: Annual
ISIN: US6792951054 Meeting Date: 17-Jun-21

 

           
Prop. # Proposal Proposal Proposed Vote For/Against  
    by   Management’s  
        Recommendation  
           
1. DIRECTOR        
             
  1 Todd McKinnon Mgmt For For  
             
  2 Michael Stankey Mgmt For For  
           
2. A proposal to ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending January 31, 2022. Mgmt For For  
           
3. To approve, on an advisory non-binding basis, the compensation of our named executive officers. Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 89 of 153  

 

Unassigned

PALANTIR TECHNOLOGIES INC.    
Security: 69608A108 Agenda Number: 935420012
Ticker: PLTR Meeting Type: Annual
ISIN: US69608A1088 Meeting Date: 08-Jun-21

 

           
Prop. # Proposal Proposal Proposed Vote For/Against  
    by   Management’s  
        Recommendation  
           
1. DIRECTOR        
             
  1 Todd McKinnon Mgmt For For  
             
  2 Michael Stankey Mgmt For For  
             
  3 Peter Thiel Mgmt For For  
             
  4 Alexander Moore Mgmt For For  
             
  5 Spencer Rascoff Mgmt For For  
             
  6 Alexandra Schiff Mgmt For For  
             
  7 Lauren Friedman Stat Mgmt For For  
           
2. Advisory vote on frequency of executive compensation votes. Mgmt 1 Year Against  
           
3. Ratification of the appointment of Ernst & Young LLP as Palantir’s independent  registered public accounting firm for 2021. Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 90 of 153  

 

Unassigned

PALO ALTO NETWORKS, INC.    
Security: 697435105 Agenda Number: 935287501
Ticker: PANW Meeting Type: Annual
ISIN: US6974351057 Meeting Date: 09-Dec-20

 

           
Prop. # Proposal Proposal Proposed Vote For/Against  
    by   Management’s  
        Recommendation  
           
1a Election of Class III Director: Nikesh Arora Mgmt Abstain Against  
             
1b. Election of Class III Director: Carl Eschenbach Mgmt Abstain Against  
           
1c. Election of Class III Director: Lorraine Twohill Mgmt Abstain Against  
           
2. To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for our fiscal year ending July 31, 2021. Mgmt For For  
           
3. To approve, on an advisory basis, the compensation of our named executive officers. Mgmt Abstain Against  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 91 of 153  

 

Unassigned

PINDUODUO INC    
Security: 722304102 Agenda Number: 935246959
Ticker: PDD Meeting Type: Annual
ISIN: US7223041028 Meeting Date: 22-Jul-20

 

           
Prop. # Proposal Proposal Proposed Vote For/Against  
    by   Management’s  
        Recommendation  
           
1. As an ordinary resolution: THAT Mr. Zheng Huang be re-elected as a director of the Company. Mgmt For For  
             
2. As an ordinary resolution: THAT Mr. Haifeng Lin be re-elected as a director of the Company. Mgmt For For  
           
3. As an ordinary resolution: THAT Mr. Nanpeng Shen be re-elected as a director of the Company. Mgmt For For  
           
4. As an ordinary resolution: THAT Dr. Qi Lu be re-elected as a director of the Company. Mgmt For For  
           
5. As an ordinary resolution: THAT Mr. George Yong-Boon Yeo be re-elected as a director of the Company. Mgmt For For  
           
6. As an ordinary resolution: THAT Mr. Anthony Kam Ping Leung be re-elected as a director of the Company. Mgmt For For  
           
7. As an ordinary resolution: THAT Mr. Lei Chen be elected as a director of the Company. Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 92 of 153  

 

Unassigned

PINTEREST, INC.    
Security: 72352L106 Agenda Number: 935394938
Ticker: PINS Meeting Type: Annual
ISIN: US72352L1061 Meeting Date: 27-May-21

 

           
Prop. # Proposal Proposal Proposed Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Class II Director to hold office until the 2024 annual meeting: Fredric Reynolds Mgmt For For  
             
1B. Election of Class II Director to hold office until the 2024 annual meeting: Evan Sharp Mgmt For For  
           
1C. Election of Class II Director to hold office until the 2024 annual meeting: Andrea Wishom Mgmt For For  
           
2. Ratify the audit committee’s selection of Ernst & Young LLP as the company’s independent registered public accounting firm for the fiscal year 2021. Mgmt For For  
           
3.

Approve, on an advisory non-binding basis, the compensation of our named executive officers.

 

Mgmt For For  

 

 

 

Investment Company Report

 

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      Page 93 of 153  

 

Unassigned

RINGCENTRAL, INC.    
Security: 76680R206 Agenda Number: 935432207
Ticker: RNG Meeting Type: Annual
ISIN: US76680R2067 Meeting Date: 04-Jun-21

 

           
Prop. # Proposal Proposal Proposed Vote For/Against  
    by   Management’s  
        Recommendation  
           
1. DIRECTOR        
             
  1 Vladimir Shmunis Mgmt For For  
             
  2 Kenneth Goldman Mgmt For For  
             
  3 Michelle McKenna Mgmt For For  
             
  4 Robert Theis Mgmt For For  
             
  5 Allan Thygesen Mgmt For For  
             
  6 Neil Williams Mgmt For For  
             
  7 Mignon Clyburn Mgmt For For  
             
  8 Arne Duncan Mgmt For For  
           
2. Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for the year ending December 31, 2021. Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 94 of 153  

 

           
Prop. # Proposal Proposal Proposed Vote For/Against  
    by   Management’s  
        Recommendation  
           
3. To approve, on an advisory (non-binding) basis, the named executive officers’ compensation, as disclosed in the Proxy Statement. Mgmt Against Against  
             

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 95 of 153  

 

Unassigned

ROKU, INC.    
Security: 77543R102 Agenda Number: 935414932
Ticker: ROKU Meeting Type: Annual
ISIN: US77543R1023 Meeting Date: 10-Jun-21

 

           
Prop. # Proposal Proposal Proposed Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Class I Director to serve until the 2024 annual meeting: Ravi Ahuja Mgmt For For  
             
1B. Election of Class I Director to serve until the 2024 annual meeting: Mai Fyfield Mgmt For For  
           
1C. Election of Class I Director to serve until the 2024 annual meeting: Laurie Simon Hodrick Mgmt For For  
           
2. Advisory vote to approve our named executive officer compensation. Mgmt Against Against  
           
3. To ratify the selection of Deloitte & Touche LLP as our independent registered public accounting firm for the year ending December 31, 2021. Mgmt For For  

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 96 of 153  

 

Unassigned

SALESFORCE.COM, INC.    
Security: 79466L302 Agenda Number: 935416811
Ticker: CRM Meeting Type: Annual
ISIN: US79466L3024 Meeting Date: 10-Jun-21

 

           
Prop. # Proposal Proposal Proposed Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director: Marc Benioff Mgmt For For  
             
1B. Election of Director: Craig Conway Mgmt For For  
           
1C. Election of Director: Parker Harris Mgmt For For  
           
1D. Election of Director: Alan Hassenfeld Mgmt For For  
           
1E. Election of Director: Neelie Kroes Mgmt For For  
           
1F. Election of Director: Colin Powell Mgmt For For  
           
1G. Election of Director: Sanford Robertson Mgmt For For  
           
1H. Election of Director: John V. Roos Mgmt For For  
           
1I. Election of Director: Robin Washington Mgmt For For  
           
1J. Election of Director: Maynard Webb Mgmt For For  
           
1K. Election of Director: Susan Wojcicki Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 97 of 153  

 

           
Prop. # Proposal Proposal Proposed Vote For/Against  
    by   Management’s  
        Recommendation  
           
2. Amendment and restatement of our 2013 Equity Incentive Plan to increase the number of shares reserved for issuance. Mgmt For For  
             
3. Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending January 31, 2022. Mgmt For For  
           
4. An advisory vote to approve the fiscal 2021 compensation of our named executive officers. Mgmt For For  
           
5. A stockholder proposal requesting that the Board of Directors take steps necessary to transition Salesforce to a Public Benefit Corporation, if properly presented at the meeting. Shr Against For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 98 of 153  

 

Unassigned

SAP SE    
Security: D66992104 Agenda Number: 713760329
Ticker:   Meeting Type: AGM
ISIN: DE0007164600 Meeting Date: 12-May-21

 

           
Prop. # Proposal Proposal Proposed Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU Non-Voting      
             
CMMT ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL Non-Voting      

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 99 of 153  

 

           
Prop. # Proposal Proposal Proposed Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER’S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY’S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED ON THE BALLOT ON PROXYEDGE Non-Voting      
             
CMMT FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE AVAILABLE AS A LINK UNDER THE ‘MATERIAL URL’ DROPDOWN AT THE TOP OF THE BALLOT. THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN PLACE. FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE Non-Voting      
           
1 RECEIVE FINANCIAL STATEMENTS AND STATUTORY REPORTS FOR FISCAL YEAR 2020 Non-Voting      
           
2 APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF EUR 1.85 PER SHARE Mgmt For For  
           
3 APPROVE DISCHARGE OF MANAGEMENT BOARD FOR FISCAL YEAR 2020 Mgmt For For  
           
4 APPROVE DISCHARGE OF SUPERVISORY BOARD FOR FISCAL YEAR 2020 Mgmt For For  
           
5 RATIFY KPMG AG AS AUDITORS FOR FISCAL YEAR 2021 Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 100 of 153  

 

           
Prop. # Proposal Proposal Proposed Vote For/Against  
    by   Management’s  
        Recommendation  
           
6.1 ELECT QI LU TO THE SUPERVISORY BOARD Mgmt For For  
             
6.2 ELECT ROUVEN WESTPHAL TO THE SUPERVISORY BOARD Mgmt For For  
           
7 APPROVE ISSUANCE OF WARRANTS/BONDS WITH WARRANTS ATTACHED/CONVERTIBLE BONDS WITHOUT PREEMPTIVE RIGHTS UP TO AGGREGATE NOMINAL AMOUNT OF EUR 10 BILLION APPROVE CREATION OF EUR 100 MILLION POOL OF CAPITAL TO GUARANTEE CONVERSION RIGHTS Mgmt For For  
           
8 AMEND CORPORATE PURPOSE Mgmt For For  
           
9 AMEND ARTICLES RE: PROOF OF ENTITLEMENT Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 101 of 153  

 

Unassigned

SERVICENOW, INC.    
Security: 81762P102 Agenda Number: 935416746
Ticker: NOW Meeting Type: Annual
ISIN: US81762P1021 Meeting Date: 07-Jun-21

 

           
Prop. # Proposal Proposal Proposed Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director: Susan L. Bostrom Mgmt For For  
             
1B. Election of Director: Jonathan C. Chadwick Mgmt For For  
           
1C. Election of Director: Lawrence J. Jackson, Jr. Mgmt For For  
           
1D. Election of Director: Frederic B. Luddy Mgmt For For  
           
1E. Election of Director: Jeffrey A. Miller Mgmt For For  
           
2. To approve, on an advisory basis, the compensation of our Named Executive Officers (“Say-on-Pay”). Mgmt For For  
           
3. To ratify PricewaterhouseCoopers LLP as the independent registered public accounting firm for 2021. Mgmt For For  
           
4. To approve an amendment to our Restated Certificate of Incorporation, as amended, to provide shareholders with the right to call a special meeting. Mgmt For For  
           
5. To approve the 2021 Equity Incentive Plan to replace the 2012 Equity Incentive Plan. Mgmt Against Against  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 102 of 153  

 

           
Prop. # Proposal Proposal Proposed Vote For/Against  
    by   Management’s  
        Recommendation  
           
6. To approve the Amended and Restated 2012 Employee Stock Purchase Plan. Mgmt For For  
             

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 103 of 153  

 

Unassigned

SHOPIFY INC.    
Security: 82509L107 Agenda Number: 935411366
Ticker: SHOP Meeting Type: Annual and Special
ISIN: CA82509L1076 Meeting Date: 26-May-21

 

           
Prop. # Proposal Proposal Proposed Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A Election of Director: Tobias Lütke Mgmt For For  
             
1B Election of Director: Robert Ashe Mgmt For For  
           
1C Election of Director: Gail Goodman Mgmt For For  
           
1D Election of Director: Colleen Johnston Mgmt For For  
           
1E Election of Director: Jeremy Levine Mgmt For For  
           
1F Election of Director: John Phillips Mgmt For For  
           
02 Appointment of the Auditors Resolution approving the re-appointment of PricewaterhouseCoopers LLP as auditors of Shopify Inc. and authorizing the Board of Directors to fix their remuneration. Mgmt For For  
           
03 Approval of Stock Option Plan Resolution approving the second amendment and restatement of Shopify Inc.’s Stock Option Plan and approving all unallocated options under the Stock Option Plan, as amended, all as disclosed in the Management Information Circular for the Meeting. Mgmt Against Against  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 104 of 153  

 

           
Prop. # Proposal Proposal Proposed Vote For/Against  
    by   Management’s  
        Recommendation  
           
04 Approval of Long Term Incentive Plan Resolution approving the second amendment and restatement of Shopify Inc.’s Long Term Incentive Plan and approving all unallocated awards under the Long Term Incentive Plan, as amended, all as disclosed in the Management Information Circular for the Meeting. Mgmt Against Against  
             
05 Advisory Vote on Executive Compensation Non-binding advisory resolution that the shareholders accept Shopify Inc.’s approach to executive compensation as disclosed in the Management Information Circular for the Meeting. Mgmt Against Against  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 105 of 153  

 

Unassigned

SINCH AB    
Security: W835AF166 Agenda Number: 713931536
Ticker:   Meeting Type: AGM
ISIN: SE0007439112 Meeting Date: 18-May-21

 

           
Prop. # Proposal Proposal Proposed Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT AN ABSTAIN VOTE CAN HAVE THE SAME EFFECT AS AN AGAINST VOTE IF THE MEETING REQUIRES APPROVAL FROM THE MAJORITY OF PARTICIPANTS TO PASS A RESOLUTION Non-Voting      
             
CMMT MARKET RULES REQUIRE DISCLOSURE OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED Non-Voting      
           
CMMT IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE Non-Voting      
           
CMMT PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU Non-Voting      

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 106 of 153  

 

           
Prop. # Proposal Proposal Proposed Vote For/Against  
    by   Management’s  
        Recommendation  
           
1 OPEN MEETING Non-Voting      
             
2 ELECT CHAIRMAN OF MEETING Non-Voting      
           
3 DESIGNATE INSPECTOR(S) OF MINUTES OF MEETING Non-Voting      
           
4 PREPARE AND APPROVE LIST OF SHAREHOLDERS Non-Voting      
           
5 APPROVE AGENDA OF MEETING Non-Voting      
           
6 ACKNOWLEDGE PROPER CONVENING OF MEETING Non-Voting      
           
7 RECEIVE FINANCIAL STATEMENTS AND STATUTORY REPORTS Non-Voting      
           
8.A ACCEPT FINANCIAL STATEMENTS AND STATUTORY REPORTS Mgmt For For  
           
8.B APPROVE ALLOCATION OF INCOME AND OMISSION OF DIVIDENDS Mgmt For For  
           
8.C1 APPROVE DISCHARGE OF ERIK FROBERG Mgmt For For  
           
8.C2 APPROVE DISCHARGE OF BRIDGET COSGRAVE Mgmt For For  
           
8.C3 APPROVE DISCHARGE OF RENEE ROBINSON STROMBERG Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 107 of 153  

 

           
Prop. # Proposal Proposal Proposed Vote For/Against  
    by   Management’s  
        Recommendation  
           
8.C4 APPROVE DISCHARGE OF JOHAN STUART Mgmt For For  
             
8.C5 APPROVE DISCHARGE OF BJORN ZETHRAEUS Mgmt For For  
           
8.C6 APPROVE DISCHARGE OF OSCAR WERNER Mgmt For For  
           
8.C7 APPROVE DISCHARGE OF ROBERT GERSTMANN Mgmt For For  
           
9.1 DETERMINE NUMBER OF MEMBERS (6) AND DEPUTY MEMBERS (0) OF BOARD Mgmt For For  
           
9.2 DETERMINE NUMBER OF AUDITORS (1) AND DEPUTY AUDITORS (0) Mgmt For For  
           
10 APPROVE REMUNERATION OF DIRECTORS IN THE AMOUNT OF SEK 1.5 MILLION FOR CHAIRMAN AND SEK 700 ,000 FOR OTHER DIRECTORS APPROVE REMUNERATION FOR COMMITTEE WORK APPROVE REMUNERATION OF AUDITORS Mgmt Against Against  
           
111.1 REELECT ERIK FROBERG AS DIRECTOR Mgmt For For  
           
111.2 REELECT BRIDGET COSGRAVE AS DIRECTOR Mgmt For For  
           
111.3 REELECT RENEE ROBINSON STROMBERG AS DIRECTOR Mgmt For For  
           
111.4 REELECT JOHAN STUART AS DIRECTOR Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 108 of 153  

 

           
Prop. # Proposal Proposal Proposed Vote For/Against  
    by   Management’s  
        Recommendation  
           
111.5 REELECT BJORN ZETHRAEUS AS DIRECTOR Mgmt For For  
             
111.6 ELECT LUCIANA CARVALHO AS NEW DIRECTOR Mgmt For For  
           
11.2 REELECT ERIK FROBERG AS BOARD CHAIRMAN Mgmt Against Against  
           
11.3 RATIFY DELOITTE AS AUDITORS Mgmt For For  
           
12 AUTHORIZE CHAIRMAN OF BOARD AND REPRESENTATIVES OF FOUR OF COMPANY’S LARGEST SHAREHOLDERS TO SERVE ON NOMINATING COMMITTEE Mgmt For For  
           
13 APPROVE REMUNERATION POLICY AND OTHER TERMS OF EMPLOYMENT FOR EXECUTIVE MANAGEMENT Mgmt For For  
           
14 APPROVE REMUNERATION REPORT Mgmt For For  
           
15 APPROVE ISSUANCE OF UP TO 20 PERCENT OF SHARE CAPITAL WITHOUT PREEMPTIVE RIGHTS Mgmt For For  
           
16 APPROVE 10:1 STOCK SPLIT AMEND ARTICLES ACCORDINGLY Mgmt For For  
           
17 APPROVE STOCK OPTION PLAN LTI 2021 FOR KEY EMPLOYEES Mgmt For For  
           
18 CLOSE MEETING Non-Voting      

 

 

 

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Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 109 of 153  

 

           
Prop. # Proposal Proposal Proposed Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU Non-Voting      
             
CMMT INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE Non-Voting      

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 110 of 153  

 

Unassigned

SPLUNK INC.
Security: 848637104 Agenda Number: 935422624
Ticker: SPLK Meeting Type: Annual
ISIN: US8486371045 Meeting Date: 17-Jun-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Class III Director: Sara Baack Mgmt For For  
           
1B. Election of Class III Director: Sean Boyle Mgmt For For  
           
1C. Election of Class III Director: Douglas Merritt Mgmt For For  
           
1D. Election of Class III Director: Graham Smith Mgmt For For  
           
2. To ratify the appointment of Mgmt For For  
  PricewaterhouseCoopers LLP as our        
  independent registered public accounting firm        
  for our fiscal year ending January 31, 2022.        
           
3. To approve, on an advisory basis, the Mgmt Against Against  
  compensation of our named executive        
  officers, as described in the proxy statement.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 111 of 153  

 

Unassigned

SPOTIFY TECHNOLOGY S.A.
Security: L8681T102 Agenda Number: 935346038
Ticker: SPOT Meeting Type: Annual
ISIN: LU1778762911 Meeting Date: 21-Apr-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1. Approve the Company’s annual accounts for Mgmt For For  
  the financial year ended December 31, 2020        
  and the Company’s consolidated financial        
  statements for the financial year ended        
  December 31, 2020.        
           
2. Approve allocation of the Company’s annual Mgmt For For  
  results for the financial year ended December        
  31, 2020.        
           
3. Grant discharge of the liability of the members Mgmt For For  
  of the Board of Directors for, and in        
  connection with, the financial year ended        
  December 31, 2020.        
           
4A. Election of Director: Mr. Daniel Ek (A Director) Mgmt For For  
           
4B. Election of Director: Mr. Martin Lorentzon (A Mgmt For For  
  Director)        
           
4C. Election of Director: Mr. Shishir Samir Mgmt For For  
  Mehrotra (A Director)        
           
4D. Election of Director: Mr. Christopher Marshall Mgmt For For  
  (B Director)        
           
4E. Election of Director: Mr. Barry McCarthy (B Mgmt For For  
  Director)        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 112 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
4F. Election of Director: Ms. Heidi O’Neill (B Mgmt For For  
  Director)        
           
4G. Election of Director: Mr. Ted Sarandos (B Mgmt For For  
  Director)        
           
4H. Election of Director: Mr. Thomas Owen Mgmt For For  
  Staggs (B Director)        
           
4I. Election of Director: Ms. Cristina Mayville Mgmt For For  
  Stenbeck (B Director)        
           
4J. Election of Director: Ms. Mona Sutphen (B Mgmt For For  
  Director)        
           
4K. Election of Director: Ms. Padmasree Warrior Mgmt For For  
  (B Director)        
           
5. Appoint Ernst & Young S.A. (Luxembourg) as Mgmt For For  
  the independent auditor for the period ending        
  at the general meeting approving the annual        
  accounts for the financial year ending on        
  December 31, 2021.        
           
6. Approve the directors’ remuneration for the Mgmt For For  
  year 2021.        
           
7. Authorize the Board to repurchase Mgmt For For  
  10,000,000 shares issued by the Company        
  during a period of five years, for a price that        
  will be determined by the Board within the        
  following limits: at least the par value and at        
  the most the fair market value.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 113 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
8. Authorize and empower each of Mr. Guy Mgmt For For  
  Harles and Mr. Alexandre Gobert to execute        
  and deliver, under their sole signature, on        
  behalf of the Company and with full power of        
  substitution, any documents necessary or        
  useful in connection with the annual filing and        
  registration required by the Luxembourg laws.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 114 of 153  

 

Unassigned 

TEAMVIEWER AG
Security: D8T895100 Agenda Number: 714036058
Ticker:   Meeting Type: AGM
ISIN: DE000A2YN900 Meeting Date: 15-Jun-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT PLEASE NOTE THAT SHAREHOLDER Non-Voting      
  DETAILS ARE REQUIRED TO VOTE AT        
  THIS MEETING. IF NO SHAREHOLDER        
  DETAILS ARE PROVIDED, YOUR        
  INSTRUCTION MAY CARRY A        
  HEIGHTENED RISK OF BEING REJECTED.        
  THANK YOU        
           
           
CMMT ACCORDING TO GERMAN LAW, IN CASE Non-Voting      
  OF SPECIFIC CONFLICTS OF INTEREST IN        
  CONNECTION WITH SPECIFIC ITEMS OF        
  THE AGENDA FOR THE GENERAL        
  MEETING YOU ARE NOT ENTITLED TO        
  EXERCISE YOUR VOTING RIGHTS.        
  FURTHER, YOUR VOTING RIGHT MIGHT        
  BE EXCLUDED WHEN YOUR SHARE IN        
  VOTING RIGHTS HAS REACHED CERTAIN        
  THRESHOLDS AND YOU HAVE NOT        
  COMPLIED WITH ANY OF YOUR        
  MANDATORY VOTING RIGHTS        
  NOTIFICATIONS PURSUANT TO THE        
  GERMAN SECURITIES TRADING ACT        
  (WPHG). FOR QUESTIONS IN THIS        
  REGARD PLEASE CONTACT YOUR        
  CLIENT SERVICE REPRESENTATIVE FOR        
  CLARIFICATION. IF YOU DO NOT HAVE        
  ANY INDICATION REGARDING SUCH        
  CONFLICT OF INTEREST, OR ANOTHER        
  EXCLUSION FROM VOTING, PLEASE        
  SUBMIT YOUR VOTE AS USUAL.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 115 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT INFORMATION ON COUNTER PROPOSALS Non-Voting      
  CAN BE FOUND DIRECTLY ON THE        
  ISSUER’S WEBSITE (PLEASE REFER TO        
  THE MATERIAL URL SECTION OF THE        
  APPLICATION). IF YOU WISH TO ACT ON        
  THESE ITEMS, YOU WILL NEED TO        
  REQUEST A MEETING ATTEND AND VOTE        
  YOUR SHARES DIRECTLY AT THE        
  COMPANY’S MEETING. COUNTER        
  PROPOSALS CANNOT BE REFLECTED ON        
  THE BALLOT ON PROXYEDGE.        
           
           
CMMT FROM 10TH FEBRUARY, BROADRIDGE Non-Voting      
  WILL CODE ALL AGENDAS FOR GERMAN        
  MEETINGS IN ENGLISH ONLY. IF YOU        
  WISH TO SEE THE AGENDA IN GERMAN,        
  THIS WILL BE MADE AVAILABLE AS A LINK        
  UNDER THE ‘MATERIAL URL’ DROPDOWN        
  AT THE TOP OF THE BALLOT. THE        
  GERMAN AGENDAS FOR ANY EXISTING        
  OR PAST MEETINGS WILL REMAIN IN        
  PLACE. FOR FURTHER INFORMATION,        
  PLEASE CONTACT YOUR CLIENT        
  SERVICE REPRESENTATIVE.        
           
           
1 RECEIVE FINANCIAL STATEMENTS AND Non-Voting      
  STATUTORY REPORTS FOR FISCAL YEAR        
  2020        
           
           
2 APPROVE DISCHARGE OF MANAGEMENT Mgmt For For  
  BOARD FOR FISCAL YEAR 2020        
           
           
3 APPROVE DISCHARGE OF SUPERVISORY Mgmt For For  
  BOARD FOR FISCAL YEAR 2020        
           
           
4.1 RATIFY ERNST & YOUNG GMBH AS Mgmt For For  
  AUDITORS FOR FISCAL YEAR 2021        
           
           
4.2 RATIFY ERNST & YOUNG GMBH AS Mgmt For For  
  AUDITORS FOR FISCAL 2022 UNTIL THE        
  NEXT AGM        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 116 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
5 APPROVE REMUNERATION POLICY Mgmt For For  
           
           
6 APPROVE REMUNERATION OF Mgmt For For  
  SUPERVISORY BOARD        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 117 of 153  

 

Unassigned

TENCENT HOLDINGS LTD
Security: G87572163 Agenda Number: 713856310
Ticker:   Meeting Type: AGM
ISIN: KYG875721634 Meeting Date: 20-May-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT PLEASE NOTE THAT THE COMPANY Non-Voting      
  NOTICE AND PROXY FORM ARE        
  AVAILABLE BY CLICKING ON THE URL        
  LINKS:        
  https://www1.hkexnews.hk/listedco/listconews        
  /sehk/2021/0408/2021040802057.pdf AND        
  https://www1.hkexnews.hk/listedco/listconews        
  /sehk/2021/0408/2021040802049.pdf        
           
CMMT PLEASE NOTE THAT SHAREHOLDERS Non-Voting      
  ARE ALLOWED TO VOTE ‘IN FAVOR’ OR        
  ‘AGAINST’ FOR ALL RESOLUTIONS,        
  ABSTAIN IS NOT A VOTING OPTION ON        
  THIS MEETING        
           
1 TO RECEIVE AND CONSIDER THE Mgmt For For  
  AUDITED FINANCIAL STATEMENTS, THE        
  DIRECTORS’ REPORT AND THE        
  INDEPENDENT AUDITOR ’S REPORT FOR        
  THE YEAR ENDED 31 DECEMBER 2020        
           
2 TO DECLARE A FINAL DIVIDEND Mgmt For For  
           
3.A TO RE-ELECT MR YANG SIU SHUN AS Mgmt For For  
  DIRECTOR        
           
3.B TO AUTHORISE THE BOARD OF Mgmt For For  
  DIRECTORS TO FIX THE DIRECTORS’        
  REMUNERATION        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 118 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    By   Management’s  
        Recommendation  
           
4 TO RE-APPOINT AUDITOR AND Mgmt For For  
  AUTHORISE THE BOARD OF DIRECTORS        
  TO FIX THEIR REMUNERATION:        
  PRICEWATERHOUSECOOPERS AS        
  AUDITOR        
           
5 TO GRANT A GENERAL MANDATE TO THE Mgmt Against Against  
  DIRECTORS TO ISSUE NEW SHARES        
           
6 TO GRANT A GENERAL MANDATE TO THE Mgmt For For  
  DIRECTORS TO REPURCHASE SHARES        
           
7 TO EXTEND THE GENERAL MANDATE TO Mgmt Against Against  
  ISSUE NEW SHARES BY ADDING THE        
  NUMBER OF SHARES REPURCHASED        
           
CMMT 12 APR 2021: PLEASE NOTE THAT THIS IS Non-Voting      
  A REVISION DUE TO MODIFICATION OF        
  THE TEXT OF RESOLUTION 4. IF YOU        
  HAVE ALREADY SENT IN YOUR VOTES,        
  PLEASE DO NOT VOTE AGAIN UNLESS        
  YOU DECIDE TO AMEND YOUR ORIGINAL        
  INSTRUCTIONS. THANK YOU        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 119 of 153  

 

Unassigned

TENCENT HOLDINGS LTD
Security: G87572163 Agenda Number: 714010410
Ticker:   Meeting Type: EGM
ISIN: KYG875721634 Meeting Date: 20-May-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT PLEASE NOTE THAT THE COMPANY Non-Voting      
  NOTICE AND PROXY FORM ARE        
  AVAILABLE BY CLICKING ON THE URL        
  LINKS:        
  https://www1.hkexnews.hk/listedco/listconews        
  /sehk/2021/0423/2021042302014.pdf,        
           
CMMT PLEASE NOTE THAT SHAREHOLDERS Non-Voting      
  ARE ALLOWED TO VOTE ‘IN FAVOR’ OR        
  ‘AGAINST’ FOR RESOLUTION 1, ABSTAIN        
  IS NOT A VOTING OPTION ON THIS        
  MEETING        
           
1 TO ADOPT THE SHARE OPTION PLAN OF Mgmt For For  
  CHINA LITERATURE LIMITED        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 120 of 153  

 

Unassigned

THE TRADE DESK, INC.
Security: 88339J105 Agenda Number: 935289745
Ticker: TTD Meeting Type: Special
ISIN: US88339J1051 Meeting Date: 22-Dec-20

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1. The amendment of our certificate of Mgmt For For  
  incorporation to change the events upon        
  which all of our shares of Class B common        
  stock will automatically convert into Class A        
  common stock.        
           
2. The amendment of our certificate of Mgmt For For  
  incorporation to permit stockholders to act by        
  written consent beginning on the first date on        
  which the outstanding shares of Class B        
  common stock represent less than 50% of the        
  Company’s outstanding voting power.        
           
3. The amendment of our certificate of Mgmt For For  
  incorporation to permit stockholders owning at        
  least 20% of our outstanding shares of        
  common stock continuously for one year to        
  request special stockholder meetings.        
           
4. The amendment of our certificate of Mgmt For For  
  incorporation to provide that the holders of        
  our Class A common stock, voting as a single        
  class, will be entitled to elect one director if        
  the total number of directors is eight or fewer        
  or two directors if the total number of directors        
  is nine or greater.        
           
5. The adoption of the Amended and Restated Mgmt For For  
  Bylaws of the Company.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 121 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
6. The approval of one or more adjournments of Mgmt For For  
  the Special Meeting, if necessary, to solicit        
  additional proxies if there are insufficient        
  votes at the time of the Special Meeting to        
  approve any of the proposals to be        
  considered at the meeting.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 122 of 153  

 

Unassigned

THE TRADE DESK, INC.
Security: 88339J105 Agenda Number: 935395271
Ticker: TTD Meeting Type: Annual
ISIN: US88339J1051 Meeting Date: 27-May-21

 

             
Prop. #   Proposal Proposed Proposal Vote For/Against  
      by   Management’s  
          Recommendation  
             
1. DIRECTOR        
             
  1 David R. Pickles Mgmt For For  
             
             
  2 Gokul Rajaram Mgmt For For  
             
             
2. The ratification of the appointment of Mgmt For For  
  PricewaterhouseCoopers LLP (“PwC”) as our        
  independent registered public accounting firm        
  for the fiscal year ending December 31, 2021.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 123 of 153  

 

Unassigned

THG PLC
Security: G47093102 Agenda Number: 714200184
Ticker:   Meeting Type: AGM
ISIN: GB00BMTV7393 Meeting Date: 24-Jun-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1 ACCEPT FINANCIAL STATEMENTS AND Mgmt For For  
  STATUTORY REPORTS        
           
2 APPROVE REMUNERATION REPORT Mgmt For For  
           
3 APPROVE REMUNERATION POLICY Mgmt For For  
           
4 ELECT MATTHEW MOULDING AS Mgmt For For  
  DIRECTOR        
           
5 ELECT JOHN GALLEMORE AS DIRECTOR Mgmt For For  
           
6 ELECT ZILLAH BYNG-THORNE AS Mgmt For For  
  DIRECTOR        
           
7 ELECT DOMINIC MURPHY AS DIRECTOR Mgmt For For  
           
8 ELECT EDWARD KOOPMAN AS DIRECTOR Mgmt For For  
           
9 ELECT IAIN MCDONALD AS DIRECTOR Mgmt For For  
           
10 ELECT DAMIAN SANDERS AS DIRECTOR Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 124 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
11 ELECT TIFFANY HALL AS DIRECTOR Mgmt For For  
           
12 APPOINT ERNST YOUNG LLP AS Mgmt Against Against  
  AUDITORS        
           
13 AUTHORISE THE AUDIT COMMITTEE TO Mgmt For For  
  FIX REMUNERATION OF AUDITORS        
           
14 AUTHORISE ISSUE OF EQUITY Mgmt For For  
           
15 AUTHORISE UK POLITICAL DONATIONS Mgmt For For  
  AND EXPENDITURE        
           
16 AUTHORISE ISSUE OF EQUITY WITHOUT Mgmt For For  
  PRE-EMPTIVE RIGHTS        
           
17 AUTHORISE ISSUE OF EQUITY WITHOUT Mgmt For For  
  PRE-EMPTIVE RIGHTS IN CONNECTION        
  WITH AN ACQUISITION OR OTHER        
  CAPITAL INVESTMENT        
           
18 AUTHORISE MARKET PURCHASE OF Mgmt For For  
  ORDINARY SHARES        
           
19 AUTHORISE THE COMPANY TO CALL Mgmt For For  
  GENERAL MEETING WITH TWO WEEKS’        
  NOTICE        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 125 of 153  

 

Unassigned

TRIPADVISOR, INC.
Security: 896945201 Agenda Number: 935418144
Ticker: TRIP Meeting Type: Annual
ISIN: US8969452015 Meeting Date: 08-Jun-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
      by   Management’s  
          Recommendation  
             
1. DIRECTOR        
             
  1 Gregory B. Maffei Mgmt For For  
             
  2 Stephen Kaufer Mgmt For For  
             
  3 Jay C. Hoag Mgmt Withheld Against  
             
  4 Betsy L. Morgan Mgmt For For  
             
  5 M. Greg O’Hara Mgmt For For  
             
  6 Jeremy Philips Mgmt For For  
             
  7 Albert E. Rosenthaler Mgmt For For  
             
  8 Jane Sun Mgmt For For  
             
  9 Trynka Shineman Blake Mgmt For For  
             
  10 Robert S. Wiesenthal Mgmt For For  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 126 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
2. To ratify the appointment of KPMG LLP as Mgmt For For  
  TripAdvisor, Inc.’s independent registered        
  public accounting firm for the fiscal year        
  ending December 31, 2021.        
           
3. Approval of Amendment to TripAdvisor, Inc. Mgmt Against Against  
  2018 Stock and Annual Incentive Plan.        
           
4. Advisory Vote on Compensation of Named Mgmt For For  
  Executive Officers.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 127 of 153  

 

Unassigned

TWILIO INC.
Security: 90138F102 Agenda Number: 935414716
Ticker: TWLO Meeting Type: Annual
ISIN: US90138F1021 Meeting Date: 16-Jun-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1. DIRECTOR        
           
  1 Jeff Lawson Mgmt For For  
           
  2 Byron Deeter Mgmt For For  
           
  3 Jeffrey Epstein Mgmt For For  
           
2. Ratification of the appointment of KPMG LLP Mgmt For For  
  as the Company’s independent registered        
  public accounting firm for the fiscal year        
  ending December 31, 2021.        
           
3. Approval of, on a non-binding advisory basis, Mgmt Against Against  
  the compensation of the Company’s named        
  executive officers.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 128 of 153  

 

Unassigned

TWITTER, INC.
Security: 90184L102 Agenda Number: 935395120
Ticker: TWTR Meeting Type: Annual
ISIN: US90184L1026 Meeting Date: 24-Jun-21

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1A. Election of Director: Jesse Cohn Mgmt For For  
           
           
1B. Election of Director: Martha Lane Fox Mgmt For For  
           
           
1C. Election of Director: Fei-Fei Li Mgmt For For  
           
           
1D. Election of Director: David Rosenblatt Mgmt For For  
           
           
2. The approval, on an advisory basis, of the Mgmt For For  
  compensation of our named executive officers        
  (“Say-on-Pay”).        
           
           
3. The approval, on an advisory basis, of the Mgmt 1 Year For  
  frequency of future stockholder advisory votes        
  on the compensation of our named executive        
  officers.        
           
           
4. Ratification of the appointment of Mgmt For For  
  PricewaterhouseCoopers LLP as our        
  independent registered public accounting firm        
  for our fiscal year ending December 31, 2021.        
           
           
5. The approval of an amendment to our Mgmt For For  
  amended and restated certificate of        
  incorporation to declassify our board of        
  directors.        

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 129 of 153  

 

           
Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
6. Shareholder proposal no. 6 has been Shr Abstain Against  
  withdrawn        
           
           
7. A stockholder proposal regarding a director Shr For Against  
  candidate with human and/or civil rights        
  expertise, if properly presented at the Annual        
  Meeting.        

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 130 of 153

 

 

Unassigned 

UBISOFT ENTERTAINMENT

Security:

F9396N106

Agenda Number:

712740073

Ticker:

 

Meeting Type:

MIX

ISIN:

FR0000054470

Meeting Date:

02-Jul-20

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

 

CMMT

THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE.

Non-Voting

 

 

 

 

 

 

 

 

 

CMMT

FOLLOWING CHANGES IN THE FORMAT OF PROXY CARDS FOR FRENCH MEETINGS, ABSTAIN IS NOW A VALID VOTING OPTION. FOR ANY ADDITIONAL ITEMS RAISED AT THE MEETING THE VOTING OPTION WILL DEFAULT TO ‘AGAINST’, OR FOR POSITIONS WHERE THE PROXY CARD IS NOT COMPLETED BY BROADRIDGE, TO THE PREFERENCE OF YOUR CUSTODIAN.

Non-Voting

 

 

 

 

 

 

 

 

 

CMMT

17 JUN 2020: PLEASE NOTE THAT IMPORTANT ADDITIONAL MEETING INFORMATION IS AVAILABLE BY CLICKING ON THE MATERIAL URL LINK: https://www.journal-officiel.gouv.fr/balo/document/2020052720020 00-64 AND https://www.journal-officiel.gouv.fr/balo/document/2020061720025 66-73; PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN NUMBERING OF RESOLUTION E.35 AND

Non-Voting

 

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 131 of 153

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

 

 

ADDITION OF URL LINK. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.

 

 

 

 

 

 

 

 

 

 

O.1

APPROVAL OF THE CORPORATE FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 MARCH 2020

Mgmt

For

For

 

 

 

 

 

 

 

O.2

ALLOCATION OF INCOME FOR THE FINANCIAL YEAR ENDED 31 MARCH 2020

Mgmt

For

For

 

 

 

 

 

 

 

O.3

APPROVAL OF THE CONSOLIDATED FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 MARCH 2020

Mgmt

For

For

 

 

 

 

 

 

 

O.4

APPROVAL OF REGULATED AGREEMENTS AND COMMITMENTS

Mgmt

For

For

 

 

 

 

 

 

 

O.5

APPROVAL OF ALL ELEMENTS OF THE COMPENSATION OF CORPORATE OFFICERS REFERRED TO IN ARTICLE L. 225-37-3 OF THE FRENCH COMMERCIAL CODE FOR THE FINANCIAL YEAR ENDED 31 MARCH 2020

Mgmt

For

For

 

 

 

 

 

 

 

O.6

APPROVAL OF THE ELEMENTS OF COMPENSATION AND BENEFITS PAID DURING THE FINANCIAL YEAR ENDED 31 MARCH 2020, OR ALLOCATED IN RESPECT OF SAID FINANCIAL YEAR, TO MR. YVES GUILLEMOT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER

Mgmt

For

For

 

 

 

 

 

 

 

O.7

APPROVAL OF THE ELEMENTS OF COMPENSATION AND BENEFITS PAID DURING THE FINANCIAL YEAR ENDED 31 MARCH 2020, OR ALLOCATED IN RESPECT OF SAID FINANCIAL YEAR, TO MR. CLAUDE GUILLEMOT, DEPUTY CHIEF EXECUTIVE OFFICER

Mgmt

For

For

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 132 of 153

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s

Recommendation

 

O.8

APPROVAL OF THE ELEMENTS OF COMPENSATION AND BENEFITS PAID DURING THE FINANCIAL YEAR ENDED 31 MARCH 2020, OR ALLOCATED IN RESPECT OF SAID FINANCIAL YEAR, TO MR. MICHEL GUILLEMOT, DEPUTY CHIEF EXECUTIVE OFFICER

Mgmt

For

For

 

 

 

 

 

 

 

O.9

APPROVAL OF THE ELEMENTS OF COMPENSATION AND BENEFITS PAID DURING THE FINANCIAL YEAR ENDED 31 MARCH 2020, OR ALLOCATED IN RESPECT OF SAID FINANCIAL YEAR, TO MR. GERARD GUILLEMOT, DEPUTY CHIEF EXECUTIVE OFFICER

Mgmt

For

For

 

 

 

 

 

 

 

O.10

APPROVAL OF THE ELEMENTS OF COMPENSATION AND BENEFITS PAID DURING THE FINANCIAL YEAR ENDED 31 MARCH 2020, OR ALLOCATED IN RESPECT OF SAID FINANCIAL YEAR, TO MR. CHRISTIAN GUILLEMOT, DEPUTY CHIEF EXECUTIVE OFFICER

Mgmt

For

For

 

 

 

 

 

 

 

O.11

APPROVAL OF THE COMPENSATION POLICY APPLICABLE TO THE CHAIRMAN AND CHIEF EXECUTIVE OFFICER

Mgmt

For

For

 

 

 

 

 

 

 

O.12

APPROVAL OF THE COMPENSATION POLICY APPLICABLE TO DEPUTY CHIEF EXECUTIVE OFFICERS

Mgmt

For

For

 

 

 

 

 

 

 

O.13

APPROVAL OF THE COMPENSATION POLICY APPLICABLE TO DIRECTORS

Mgmt

For

For

 

 

 

 

 

 

 

O.14

RENEWAL OF THE TERM OF OFFICE OF MR. YVES GUILLEMOT AS DIRECTOR

Mgmt

Against

Against

 

 

 

 

 

 

 

O.15

RENEWAL OF THE TERM OF OFFICE OF MR. GERARD GUILLEMOT AS DIRECTOR

Mgmt

Against

Against

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 133 of 153

 

 

 

 

 

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

 

O.16

RENEWAL OF THE TERM OF OFFICE OF MRS. FLORENCE NAVINER AS DIRECTOR

Mgmt

For

For

 

 

 

 

 

 

 

O.17

APPOINTMENT OF MR. JOHN PARKES AS A DIRECTOR REPRESENTING EMPLOYEE SHAREHOLDERS, WITH MR. ERIC

Mgmt

Against

Against

 

 

 

 

 

 

 

 

TREMBLAY AS HIS DEPUTY

 

 

 

 

 

 

 

 

 

 

O.18

AUTHORIZATION FOR THE BOARD OF DIRECTORS TO TRADE IN THE COMPANY’S SHARES

Mgmt

For

For

 

 

 

 

 

 

 

E.19

AUTHORIZATION TO THE BOARD OF DIRECTORS IN ORDER TO REDUCE THE SHARE CAPITAL BY CANCELLING TREASURY SHARES HELD BY THE COMPANY

Mgmt

For

For

 

 

 

 

 

 

 

E.20

DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO INCREASE THE SHARE CAPITAL BY CAPITALIZATION OF RESERVES, PROFITS, PREMIUMS OR OTHERS WHOSE CAPITALIZATION WOULD BE ALLOWED

Mgmt

For

For

 

 

 

 

 

 

 

E.21

DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO INCREASE THE SHARE CAPITAL BY ISSUING SHARES OF THE COMPANY AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE COMPANY’S CAPITAL OR THAT OF ONE OF ITS SUBSIDIARIES AND/OR GRANTING ENTITLEMENT TO THE ALLOCATION OF DEBT SECURITIES, WITH RETENTION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT

Mgmt

For

For

 

 

 

 

 

 

 

E.22

DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO INCREASE THE SHARE CAPITAL BY ISSUING SHARES OF THE COMPANY AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE COMPANY’S CAPITAL OR THAT OF ONE OF ITS

Mgmt

For

For

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 134 of 153

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

 

 

SUBSIDIARIES AND/OR GRANTING ENTITLEMENT TO THE ALLOCATION OF DEBT SECURITIES, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, BY MEANS OF A PUBLIC OFFERING, EXCLUDING THE OFFERS REFERRED TO IN SECTION 1DECREE OF ARTICLE L. 411-2 OF THE FRENCH MONETARY AND FINANCIAL CODE

 

 

 

 

 

 

 

 

 

 

E.23

DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO INCREASE THE SHARE CAPITAL BY ISSUING SHARES OF THE COMPANY AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE COMPANY’S CAPITAL OR THAT OF ONE OF ITS SUBSIDIARIES AND/OR GRANTING ENTITLEMENT TO THE ALLOCATION OF DEBT SECURITIES, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, BY WAY OF A PUBLIC OFFERING REFERRED TO IN SECTION 1DECREE OF ARTICLE L. 411-2 OF THE FRENCH MONETARY AND FINANCIAL CODE (FORMERLY “PRIVATE PLACEMENT”

Mgmt

For

For

 

 

 

 

 

 

 

E.24

DELEGATION OF POWERS TO THE BOARD OF DIRECTORS IN ORDER TO ISSUE SHARES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL, IN ORDER TO REMUNERATE CONTRIBUTIONS IN KIND GRANTED TO THE COMPANY, WITHOUT THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHT

Mgmt

For

For

 

 

 

 

 

 

 

E.25

DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO INCREASE THE SHARE CAPITAL BY ISSUING COMMON SHARES AND/OR COMPOSITE TRANSFERABLE SECURITIES, WITH CANCELLATION OF THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHT, FOR THE BENEFIT OF MEMBERS OF (A) COMPANY OR GROUP SAVINGS PLAN(S

Mgmt

For

For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 135 of 153

 

 

Prop. #

Proposal

Proposed by

Proposal Vote

For/Against
Management’s
Recommendation

 

E.26

DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO INCREASE THE SHARE CAPITAL BY ISSUING COMMON SHARES AND/OR COMPOSITE TRANSFERABLE SECURITIES, WITH CANCELLATION OF THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHT, RESERVED FOR EMPLOYEES AND/OR CORPORATE OFFICERS OF CERTAIN SUBSIDIARIES OF THE COMPANY WITHIN THE MEANING OF ARTICLE L. 233-16 OF THE FRENCH COMMERCIAL CODE, WHOSE REGISTERED OFFICE IS LOCATED OUTSIDE FRANCE, EXCLUDING COMPANY OR GROUP SAVINGS PLANS

Mgmt

For

For

 

 

 

 

 

 

 

E.27

DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO INCREASE THE SHARE CAPITAL BY ISSUING COMMON SHARES AND/OR COMPOSITE TRANSFERABLE SECURITIES, WITH CANCELLATION OF THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHT, RESERVED FOR CATEGORIES OF BENEFICIARIES IN THE CONTEXT OF AN EMPLOYEE SHAREHOLDING OFFER

Mgmt

For

For

 

 

 

 

 

 

 

E.28

AUTHORIZATION TO THE BOARD OF DIRECTORS TO GRANT OPTIONS TO SUBSCRIBE FOR AND/OR PURCHASE COMMON SHARES OF THE COMPANY REFERRED TO IN ARTICLES L. 225-177 AND FOLLOWING OF THE FRENCH COMMERCIAL CODE FOR THE BENEFIT OF EMPLOYEES, INCLUDING ALL OR SOME OF THE MEMBERS OF THE EXECUTIVE COMMITTEE OF UBISOFT GROUP REFERRED TO IN SECTION 4.1.2.3 OF THE UNIVERSAL REGISTRATION DOCUMENT, EXCLUDING THE COMPANY’S EXECUTIVE CORPORATE OFFICERS REFERRED TO IN THE TWENTY-NINTH RESOLUTION

Mgmt

For

For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 136 of 153

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

 

E.29

AUTHORIZATION TO THE BOARD OF DIRECTORS TO GRANT OPTIONS TO SUBSCRIBE FOR AND/OR PURCHASE COMMON SHARES OF THE COMPANY REFERRED TO IN ARTICLES L. 225-177 AND FOLLOWING OF THE FRENCH COMMERCIAL CODE FOR THE BENEFIT OF THE COMPANY’S EXECUTIVE CORPORATE OFFICERS.

Mgmt

Against

Against

 

 

 

 

 

 

 

E.29

OVERALL CEILING ON CAPITAL INCREASES

Mgmt

For

For

 

 

 

 

 

 

 

E.30

AMENDMENT TO ARTICLE 8 OF THE COMPANY’S BY-LAWS IN ORDER TO PROVIDE THAT THE TERM OF OFFICE OF DIRECTORS REPRESENTING EMPLOYEES MAY EXCEPTIONALLY BE LESS THAN FOUR YEARS AND TO HARMONIZE THE COMPANY’S SHAREHOLDING RULES FOR EACH CATEGORY OF DIRECTORS AND/OR MAKE ANY OTHER CLARIFICATION BY

REFERENCE TO THE LEGAL AND REGULATORY PROVISIONS APPLICABLE IN THIS REGARD

Mgmt

For

For

 

 

 

 

 

 

 

E.32

AMENDMENT TO ARTICLE 12 OF THE COMPANY’S BY-LAWS IN ORDER TO SET A STATUTORY AGE LIMIT FOR THE PERFORMANCE OF THE FUNCTIONS OF CHIEF EXECUTIVE OFFICER AND DEPUTY CHIEF EXECUTIVE OFFICER IN LINE WITH THE STATUTORY AGE LIMIT FOR DIRECTORS AND THE CHAIRMAN OF THE BOARD OF DIRECTORS, AND TO UPDATE THE DURATION OF SAID FUNCTIONS FOLLOWING THE AMENDMENT TO ARTICLE L. 225-56 OF THE FRENCH COMMERCIAL CODE BY LAW NO. 2001- 420 OF 15 MAY 2001 (“NRE” LAW

Mgmt

For

For

 

 

 

 

 

 

 

E.33

ALIGNMENT OF THE BY-LAWS WITH THE LEGAL AND REGULATORY PROVISIONS IN FORCE

Mgmt

For

For

 


 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

       

 

 

 

Page 137 of 153

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

 

E.34

DELEGATION OF POWERS TO THE BOARD OF DIRECTORS TO AMEND THE BY-LAWS IN ORDER TO BRING THEM INTO COMPLIANCE WITH LEGAL AND REGULATORY PROVISIONS

Mgmt

For

For

 

 

 

 

 

 

 

E.35

POWERS TO CARRY OUT FORMALITIES

Mgmt

For

For

 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

       

 

 

 

Page 138 of 153

 

 

Unassigned

UNITY SOFTWARE INC

 

 

Security:

91332U101

Agenda Number:

935414639

Ticker:

U

Meeting Type:

Annual

ISIN:

US91332U1016

Meeting Date:

17-Jun-21

 

Prop. #

Proposal

Proposed
by
 

Proposal Vote

For/Against
Management’s
Recommendation
 

1.

DIRECTOR

 

 

 

 

 

 

 

 

 

 

 

1

Roelof Botha

Mgmt

For

For

 

 

 

 

 

 

 

 

 

2

David Helgason

Mgmt

For

For

 

 

 

 

 

 

 

 

 

3

John Riccitiello

Mgmt

For

For

 

 

 

 

 

 

 

 

2.

To ratify the selection by the Audit Committee of the Board of Directors of Ernst & Young LLP as our independent registered public accounting firm for the year ending December 31, 2021.

Mgmt

For

For

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

       

 

 

 

Page 139 of 153

 

 

Unassigned

VMWARE, INC.

Security:

 928563402

Agenda Number:

935225993

Ticker:

 VMW

Meeting Type:

Annual

ISIN:

 US9285634021

Meeting Date:

15-Jul-20

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

 

1A.

Election of Director: Anthony Bates

Mgmt

For

For

 

 

 

 

 

 

 

2.

An advisory vote to approve named executive officer compensation, as described in VMware’s Proxy Statement.

Mgmt

Against

Against

 

 

 

 

 

 

 

3.

To ratify the selection by the Audit Committee of VMware’s Board of Directors of PricewaterhouseCoopers LLP as VMware’s independent auditor for the fiscal year ending January 29, 2021.

Mgmt

For

For

 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

       

 

 

 

Page 140 of 153

 

 

Unassigned

WAYFAIR INC

Security:

94419L101

Agenda Number:

935361763

Ticker:

W

Meeting Type:

Annual

ISIN:

US94419L1017

Meeting Date:

11-May-21

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

 

1A.

Election of Director: Niraj Shah   

Mgmt

For

For

 

 

 

 

 

 

 

1B.

Election of Director: Steven Conine

Mgmt

For

For

 

 

 

 

 

 

 

1C.

Election of Director: Michael Choe

Mgmt

For

For

 

 

 

 

 

 

 

1D.

Election of Director: Andrea Jung

Mgmt

For

For

 

 

 

 

 

 

 

1E.

Election of Director: Michael Kumin

Mgmt

For

For

 

 

 

 

 

 

 

1F.

Election of Director: Jeffrey Naylor

Mgmt

For

For

 

 

 

 

 

 

 

1G.

Election of Director: Anke Schäferkordt

Mgmt

For

For

 

 

 

 

 

 

 

1H.

Election of Director: Michael E. Sneed

Mgmt

For

For

 

 

 

 

 

 

 

2.

To ratify the appointment of Ernst & Young LLP as the Corporation’s independent registered public accountants for the fiscal year ending December 31, 2021.

Mgmt

For

For

 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

       

 

 

 

Page 141 of 153

 

 

Unassigned

WIX.COM LTD

Security:

 M98068105

Agenda Number:

 935282157

Ticker:

 WIX

Meeting Type:

 Annual

ISIN:

 IL0011301780

Meeting Date:

 09-Nov-20

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

 

1A.

Re-election of Class I director to serve until the 2023 Annual General Meeting of Shareholders: Deirdre Bigley

Mgmt

For

For

 

 

 

 

 

 

 

1B.

Re-election of Class I director to serve until the 2023 Annual General Meeting of Shareholders: Allon Bloch

Mgmt

For

For

 

 

 

 

 

 

 

2.

To ratify the appointment and compensation of Kost, Forer, Gabbay & Kasierer, a member of Ernst & Young Global, as the Company’s independent registered public accounting firm for the year ending December 31, 2020 and until the next annual general meeting of shareholders.

Mgmt

For

For

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 142 of 153

 

 

Unassigned

  WORKDAY, INC.

Security:

  98138H101

Agenda Number:

  935410477

Ticker:

  WDAY

Meeting Type:

  Annual

ISIN:

  US98138H1014

Meeting Date:

  08-Jun-21

 

           

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

 

by

 

Management’s

 

 

 

 

 

Recommendation

 

 

 

 

 

 

 

1.

DIRECTOR

 

 

 

 

 

 

 

 

 

 

 

1           Aneel Bhusri

Mgmt

For

For

 

 

 

 

 

 

 

 

2           Ann-Marie Campbell

Mgmt

For

For

 

 

 

 

 

 

 

 

3           David A. Duffield

Mgmt

For

For

 

 

 

 

 

 

 

 

4           Lee J. Styslinger III

Mgmt

For

For

 

 

 

 

 

 

 

2.

To ratify the appointment of Ernst & Young LLP as Workday’s independent registered public accounting firm for the fiscal year ending January 31, 2022.

Mgmt

For

For

 

 

 

 

 

 

 

3.

To approve, on an advisory basis, the compensation of our named executive officers as disclosed in the Proxy Statement.

Mgmt

Against

Against

 

 

 

 

 

 

 

4.

To approve, on an advisory basis, the frequency of future advisory votes concerning the compensation of our named executive officers.

Mgmt

1 Year

For

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 143 of 153

 

 

Unassigned

  XERO LTD

Security:

  Q98665104

Agenda Number:

  712933820

Ticker:

 

Meeting Type:

  AGM

ISIN:

  NZXROE0001S2

Meeting Date:

  13-Aug-20

 

           

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

 

by

 

Management’s

 

 

 

 

 

Recommendation

 

 

 

 

 

 

 

1

FIXING THE REMUNERATION OF THE AUDITOR

Mgmt

For

For

 

 

 

 

 

 

 

2

RE-ELECTION OF LEE HATTON

Mgmt

For

For

 

 

 

 

 

 

 

3

RE-ELECTION OF ROD DRURY

Mgmt

For

For

 

 

 

 

 

 

 

4

ELECTION OF MARK CROSS

Mgmt

For

For

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 144 of 153

 

 

Unassigned

  Z HOLDINGS CORPORATION

Security:

  J9894K105

Agenda Number:

  714218143

Ticker:

 

Meeting Type:

  AGM

ISIN:

  JP3933800009

Meeting Date:

  18-Jun-21

 

           

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

 

by

 

Management’s

 

 

 

 

 

Recommendation

 

 

 

 

 

 

 

 

Please reference meeting materials.

Non-Voting

 

 

 

 

 

 

 

 

 

1

Amend Articles to: Establish the Articles Related to Shareholders Meeting held without specifying a venue

Mgmt

For

For

 

 

 

 

 

 

 

2.1

Appoint a Director who is not Audit and Supervisory Committee Member Kawabe, Kentaro

Mgmt

For

For

 

 

 

 

 

 

 

2.2

Appoint a Director who is not Audit and Supervisory Committee Member Idezawa, Takeshi

Mgmt

For

For

 

 

 

 

 

 

 

2.3

Appoint a Director who is not Audit and Supervisory Committee Member Jungho Shin

Mgmt

For

For

 

 

 

 

 

 

 

2.4

Appoint a Director who is not Audit and Supervisory Committee Member Ozawa, Takao

Mgmt

For

For

 

 

 

 

 

 

 

2.5

Appoint a Director who is not Audit and Supervisory Committee Member Masuda, Jun

Mgmt

For

For

 

 

 

 

 

 

 

2.6

Appoint a Director who is not Audit and Supervisory Committee Member Oketani, Taku

Mgmt

For

For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 145 of 153

 

 

           

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

 

by

 

Management’s

 

 

 

 

 

Recommendation

 

 

 

 

 

 

 

3

Appoint a Director who is Audit and Supervisory Committee Member Usumi, Yoshio

Mgmt

For

For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 146 of 153

 

 

Unassigned

  ZALANDO SE

Security:

  D98423102

Agenda Number:

  713856841

Ticker:

 

Meeting Type:

  AGM

ISIN:

  DE000ZAL1111

Meeting Date:

  19-May-21

 

           

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

 

by

 

Management’s

 

 

 

 

 

Recommendation

 

 

 

 

 

 

 

CMMT

PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU

Non-Voting

 

 

 

 

 

 

 

 

 

CMMT

ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL

Non-Voting

 

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 147 of 153

 

 

           

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

 

by

 

Management’s

 

 

 

 

 

Recommendation

 

 

 

 

 

 

 

CMMT

INFORMATION ON COUNTER PROPOSALS

Non-Voting

 

 

 

 

CAN BE FOUND DIRECTLY ON THE

 

 

 

 

 

ISSUER’S WEBSITE (PLEASE REFER TO

 

 

 

 

 

THE MATERIAL URL SECTION OF THE

 

 

 

 

 

APPLICATION). IF YOU WISH TO ACT ON

 

 

 

 

 

THESE ITEMS, YOU WILL NEED TO

 

 

 

 

 

REQUEST A MEETING ATTEND AND VOTE

 

 

 

 

 

YOUR SHARES DIRECTLY AT THE

 

 

 

 

 

COMPANY’S MEETING. COUNTER

 

 

 

 

 

PROPOSALS CANNOT BE REFLECTED ON

 

 

 

 

 

THE BALLOT ON PROXYEDGE

 

 

 

 

 

 

 

 

 

 

CMMT

FROM 10TH FEBRUARY, BROADRIDGE

Non-Voting

 

 

 

 

WILL CODE ALL AGENDAS FOR GERMAN

 

 

 

 

 

MEETINGS IN ENGLISH ONLY. IF YOU

 

 

 

 

 

WISH TO SEE THE AGENDA IN GERMAN,

 

 

 

 

 

THIS WILL BE MADE AVAILABLE AS A LINK

 

 

 

 

 

UNDER THE ‘MATERIAL URL’ DROPDOWN

 

 

 

 

 

AT THE TOP OF THE BALLOT. THE

 

 

 

 

 

GERMAN AGENDAS FOR ANY EXISTING

 

 

 

 

 

OR PAST MEETINGS WILL REMAIN IN

 

 

 

 

 

PLACE. FOR FURTHER INFORMATION,

 

 

 

 

 

PLEASE CONTACT YOUR CLIENT

 

 

 

 

 

SERVICE REPRESENTATIVE

 

 

 

 

 

 

 

 

 

 

1

RECEIVE FINANCIAL STATEMENTS AND

Non-Voting

 

 

 

 

STATUTORY REPORTS FOR FISCAL YEAR

 

 

 

 

 

2020

 

 

 

 

 

 

 

 

 

 

2

APPROVE ALLOCATION OF INCOME AND

Mgmt

For

For

 

 

OMISSION OF DIVIDENDS

 

 

 

 

 

 

 

 

 

 

3

APPROVE DISCHARGE OF MANAGEMENT

Mgmt

For

For

 

 

BOARD FOR FISCAL YEAR 2020

 

 

 

 

 

 

 

 

 

 

4

APPROVE DISCHARGE OF SUPERVISORY

Mgmt

For

For

 

 

BOARD FOR FISCAL YEAR 2020

 

 

 

 

 

 

 

 

 

 

5.1

RATIFY ERNST & YOUNG GMBH AS

Mgmt

For

For

 

 

AUDITORS FOR FISCAL YEAR 2021

 

 

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 148 of 153

 

 

           

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

 

by

 

Management’s

 

 

 

 

 

Recommendation

 

 

 

 

 

 

 

5.2

RATIFY ERNST & YOUNG GMBH AS

Mgmt

For

For

 

 

AUDITORS UNTIL THE 2022 AGM

 

 

 

 

 

 

 

 

 

 

6.1

ELECT KELLY BENNETT TO THE

Mgmt

For

For

 

 

SUPERVISORY BOARD AS

 

 

 

 

 

SHAREHOLDER REPRESENTATIVE

 

 

 

 

 

 

 

 

 

 

6.2

ELECT JENNIFER HYMAN TO THE

Mgmt

For

For

 

 

SUPERVISORY BOARD AS

 

 

 

 

 

SHAREHOLDER REPRESENTATIVE

 

 

 

 

 

 

 

 

 

 

6.3

ELECT NIKLAS OESTBERG TO THE

Mgmt

For

For

 

 

SUPERVISORY BOARD AS

 

 

 

 

 

SHAREHOLDER REPRESENTATIVE

 

 

 

 

 

 

 

 

 

 

6.4

ELECT ANDERS HOLCH POVLSEN TO THE

Mgmt

For

For

 

 

SUPERVISORY BOARD AS

 

 

 

 

 

SHAREHOLDER REPRESENTATIVE

 

 

 

 

 

 

 

 

 

 

6.5

ELECT MARIELLA ROEHM-KOTTMANN TO

Mgmt

For

For

 

 

THE SUPERVISORY BOARD AS

 

 

 

 

 

SHAREHOLDER REPRESENTATIVE

 

 

 

 

 

 

 

 

 

 

6.6

ELECT CRISTINA STENBECK TO THE

Mgmt

Against

Against

 

 

SUPERVISORY BOARD AS

 

 

 

 

 

SHAREHOLDER REPRESENTATIVE

 

 

 

 

 

 

 

 

 

 

7

APPROVE REMUNERATION POLICY

Mgmt

Against

Against

 

 

 

 

 

 

 

8

APPROVE REMUNERATION OF

Mgmt

For

For

 

 

SUPERVISORY BOARD

 

 

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 149 of 153

 

 

Unassigned

ZENDESK, INC.

 

 

 

 

Security:

98936J101

Agenda Number:

935367210

Ticker:

ZEN

Meeting Type:

Annual

ISIN:

US98936J1016

Meeting Date:

18-May-21

 

           

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

 

by

 

Management’s

 

 

 

 

 

Recommendation

 

 

 

 

 

 

 

1A

Election of Class I Director: Archana Agrawal

Mgmt

For

For

 

 

 

 

 

 

 

1B.

Election of Class I Director: Hilarie Koplow-

Mgmt

For

For

 

 

McAdams

 

 

 

 

 

 

 

 

 

 

1C.

Election of Class I Director: Michelle Wilson

Mgmt

For

For

 

 

 

 

 

 

 

2.

To ratify the appointment of Ernst & Young

Mgmt

For

For

 

 

LLP as Zendesk’s independent registered

 

 

 

 

 

public accounting firm for the fiscal year

 

 

 

 

 

ending December 31, 2021.

 

 

 

 

 

 

 

 

 

 

3.

Non-binding advisory vote to approve the

Mgmt

For

For

 

 

compensation of our Named Executive

 

 

 

 

 

Officers.

 

 

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 150 of 153

 

 

Unassigned

ZOOM VIDEO COMMUNICATIONS, INC.

 

 

 

 

Security:

98980L101

Agenda Number:

935412926

Ticker:

ZM

Meeting Type:

Annual

ISIN:

US98980L1017

Meeting Date:

17-Jun-21

 

           

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

 

by

 

Management’s

 

 

 

 

 

Recommendation

 

 

 

 

 

 

 

1.

DIRECTOR

 

 

 

 

 

 

 

 

 

 

 

 

1

Jonathan Chadwick

Mgmt

For

For

 

 

 

 

 

 

 

 

 

2

Kimberly L. Hammonds

Mgmt

For

For

 

 

 

 

 

 

 

 

 

3

Dan Scheinman

Mgmt

For

For

 

 

 

 

 

 

 

2.

Ratify the appointment of KPMG LLP as our

Mgmt

For

For

 

 

independent registered public accounting firm

 

 

 

 

 

for our fiscal year ending January 31, 2022.

 

 

 

 

 

 

 

 

 

 

3.

To approve, on an advisory non-binding basis,

Mgmt

Against

Against

 

 

the compensation of our named executive

 

 

 

 

 

officers as disclosed in our proxy statement.

 

 

 

 

 

 

 

 

 

 

4.

To approve, on an advisory non-binding basis,

Mgmt

1 Year

For

 

 

the frequency of future advisory non-binding

 

 

 

 

 

votes on the compensation of our named

 

 

 

 

 

executive officers.

 

 

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 151 of 153

 

 

Unassigned

ZSCALER, INC.

Security:

98980G102

Agenda Number:

935301705

Ticker:

ZS

Meeting Type:

Annual

ISIN:

US98980G1022

Meeting Date:

06-Jan-21

 

           

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

 

by

 

Management’s

 

 

 

 

 

Recommendation

 

 

 

 

 

 

 

1.

DIRECTOR

 

 

 

 

 

 

 

 

 

 

 

1

Jagtar (“Jay”) Chaudhry

Mgmt

For

For

 

 

 

 

 

 

 

 

 

2

Amit Sinha

Mgmt

For

For

 

 

 

 

 

 

 

 

2.

To ratify the selection of

Mgmt

For

For

 

 

PricewaterhouseCoopers LLP as our

 

 

 

 

 

independent registered public accounting firm

 

 

 

 

 

for fiscal year 2021.

 

 

 

 

 

 

 

 

 

 

3.

To approve on a non-binding, advisory basis,

Mgmt

Against

Against

 

 

the compensation of our named executive

 

 

 

 

 

officers.

 

 

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 152 of 153

 

 

Unassigned

ZYNGA INC.

Security:

98986T108

Agenda Number:

935376017

Ticker:

ZNGA

Meeting Type:

Annual

ISIN:

US98986T1088

Meeting Date:

17-May-21

 

           

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

 

by

 

Management’s

 

 

 

 

 

Recommendation

 

 

 

 

 

 

 

1a.

Election of Director to serve until the next

Mgmt

For

For

 

 

annual meeting: Mark Pincus

 

 

 

 

 

 

 

 

 

 

1b.

Election of Director to serve until the next

Mgmt

For

For

 

 

annual meeting: Frank Gibeau

 

 

 

 

 

 

 

 

 

 

1c.

Election of Director to serve until the next

Mgmt

For

For

 

 

annual meeting: Dr. Regina E. Dugan

 

 

 

 

 

 

 

 

 

 

1d.

Election of Director to serve until the next

Mgmt

For

For

 

 

annual meeting: William “Bing” Gordon

 

 

 

 

 

 

 

 

 

 

1e.

Election of Director to serve until the next

Mgmt

For

For

 

 

annual meeting: Louis J. Lavigne, Jr.

 

 

 

 

 

 

 

 

 

 

1f.

Election of Director to serve until the next

Mgmt

For

For

 

 

annual meeting: Carol G. Mills

 

 

 

 

 

 

 

 

 

 

1g.

Election of Director to serve until the next

Mgmt

For

For

 

 

annual meeting: Janice M. Roberts

 

 

 

 

 

 

 

 

 

 

1h.

Election of Director to serve until the next

Mgmt

For

For

 

 

annual meeting: Ellen F. Siminoff

 

 

 

 

 

 

 

 

 

 

1i.

Election of Director to serve until the next

Mgmt

For

For

 

 

annual meeting: Noel B. Watson

 

 

 

 

 

 

 

 

 

 

2.

To approve, on an advisory basis, the

Mgmt

Against

Against

 

 

compensation of Zynga’s named executive

 

 

 

 

 

officers.

 

 

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 153 of 153

 

 

           

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

 

by

 

Management’s

 

 

 

 

 

Recommendation

 

 

 

 

 

 

 

3.

To ratify the selection of Ernst & Young LLP

Mgmt

For

For

 

 

as the independent registered public

 

 

 

 

 

accounting firm of Zynga for its fiscal year

 

 

 

 

 

ending December 31, 2021.

 

 

 

 

 

 

 

 

 

 

4.

Shareholder proposal to amend the

Shr

For

Against

 

 

shareholding threshold to call a Special

 

 

 

 

 

Meeting.

 

 

 

 

 

 

 

 

O’Shares Europe Quality Dividend ETF

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 1 of 261

 

Unassigned

ABB LTD
   
Security: H0010V101 Agenda Number: 713634031
Ticker: Meeting Type: AGM
ISIN: CH0012221716 Meeting Date: 25-Mar-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT PLEASE NOTE THAT BENEFICIAL OWNER Non-Voting      
  DETAILS ARE REQUIRED FOR THIS        
  MEETING. IF NO BENEFICIAL OWNER        
  DETAILS ARE PROVIDED, YOUR        
  INSTRUCTION MAY BE REJECTED. THANK        
  YOU.        
           
1 APPROVAL OF THE MANAGEMENT Mgmt For For  
  REPORT, THE CONSOLIDATED FINANCIAL        
  STATEMENTS AND THE ANNUAL        
  FINANCIAL STATEMENTS FOR 2020        
           
2 CONSULTATIVE VOTE ON THE 2020 Mgmt For For  
  COMPENSATION REPORT        
           
3 DISCHARGE OF THE BOARD OF Mgmt For For  
  DIRECTORS AND THE PERSONS        
  ENTRUSTED WITH MANAGEMENT        
           
4 APPROPRIATION OF EARNINGS: Mgmt For For  
  DIVIDEND OF CHF 0.80 GROSS PER        
  REGISTERED SHARE        
           
5 CAPITAL REDUCTION THROUGH Mgmt For For  
  CANCELLATION OF SHARES        
  REPURCHASED UNDER THE SHARE        
  BUYBACK PROGRAM        
           
6 RENEWAL OF AUTHORIZED SHARE Mgmt For For  
  CAPITAL        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 2 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
7.1 BINDING VOTE ON THE MAXIMUM Mgmt For For  
  AGGREGATE AMOUNT OF        
  COMPENSATION OF THE BOARD OF        
  DIRECTORS FOR THE NEXT TERM OF        
  OFFICE, I. E. FROM THE 2021 ANNUAL        
  GENERAL MEETING TO THE 2022 ANNUAL        
  GENERAL MEETING        
           
7.2 BINDING VOTE ON THE MAXIMUM Mgmt For For  
  AGGREGATE AMOUNT OF        
  COMPENSATION OF THE EXECUTIVE        
  COMMITTEE FOR THE FOLLOWING        
  FINANCIAL YEAR, I. E. 2022        
           
8.1 REELECT GUNNAR BROCK AS DIRECTOR Mgmt For For  
           
8.2 REELECT DAVID CONSTABLE AS Mgmt For For  
  DIRECTOR        
           
8.3 REELECT FREDERICO CURADO AS Mgmt For For  
  DIRECTOR        
           
8.4 REELECT LARS FOERBERG AS DIRECTOR Mgmt For For  
           
8.5 REELECT JENNIFER XIN-ZHE LI AS Mgmt For For  
  DIRECTOR        
           
8.6 REELECT GERALDINE MATCHETT AS Mgmt For For  
  DIRECTOR        
           
8.7 REELECT DAVID MELINE AS DIRECTOR Mgmt For For  
           
8.8 REELECT SATISH PAI AS DIRECTOR Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 3 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
8.9 REELECT JACOB WALLENBERG AS Mgmt For For  
  DIRECTOR        
           
8.10 REELECT PETER VOSER AS DIRECTOR Mgmt For For  
  AND BOARD CHAIRMAN        
           
9.1 ELECTION TO THE COMPENSATION Mgmt For For  
  COMMITTEE: DAVID CONSTABLE        
           
9.2 ELECTION TO THE COMPENSATION Mgmt For For  
  COMMITTEE: FREDERICO FLEURY        
  CURADO        
           
9.3 ELECTION TO THE COMPENSATION Mgmt For For  
  COMMITTEE: JENNIFER XIN-ZHE LI        
           
10 ELECTION OF THE INDEPENDENT PROXY: Mgmt For For  
  DR. HANS ZEHNDER, ATTORNEY-AT-LAW        
           
11 ELECTION OF THE AUDITOR: KPMG AG, Mgmt For For  
  ZURICH        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 4 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
CMMT PART 2 OF THIS MEETING IS FOR VOTING Non-Voting      
  ON AGENDA AND MEETING ATTENDANCE        
  REQUESTS ONLY. PLEASE ENSURE THAT        
  YOU HAVE FIRST VOTED IN FAVOUR OF        
  THE REGISTRATION OF SHARES IN PART        
  1 OF THE MEETING. IT IS A MARKET        
  REQUIREMENT FOR MEETINGS OF THIS        
  TYPE THAT THE SHARES ARE        
  REGISTERED AND MOVED TO A        
  REGISTERED LOCATION AT THE CSD,        
  AND SPECIFIC POLICIES AT THE        
  INDIVIDUAL SUB-CUSTODIANS MAY VARY.        
  UPON RECEIPT OF THE VOTE        
  INSTRUCTION, IT IS POSSIBLE THAT A        
  MARKER MAY BE PLACED ON YOUR        
  SHARES TO ALLOW FOR        
  RECONCILIATION AND RE-REGISTRATION        
  FOLLOWING A TRADE. THEREFORE        
  WHILST THIS DOES NOT PREVENT THE        
  TRADING OF SHARES, ANY THAT ARE        
  REGISTERED MUST BE FIRST        
  DEREGISTERED IF REQUIRED FOR        
  SETTLEMENT. DEREGISTRATION CAN        
  AFFECT THE VOTING RIGHTS OF THOSE        
  SHARES. IF YOU HAVE CONCERNS        
  REGARDING YOUR ACCOUNTS, PLEASE        
  CONTACT YOUR CLIENT        
  REPRESENTATIVE        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 5 of 261

 

Unassigned

ADMIRAL GROUP PLC
   
Security: G0110T106 Agenda Number: 713724082
   
Ticker: Meeting Type: AGM
   
ISIN: GB00B02J6398 Meeting Date: 30-Apr-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
1 TO RECEIVE THE FINANCIAL Mgmt For For  
  STATEMENTS AND THE REPORTS OF THE        
  DIRECTORS AND THE AUDITORS FOR        
  THE YEAR ENDED 31 DECEMBER 2020        
           
2 TO APPROVE THE DIRECTORS’ Mgmt For For  
  REMUNERATION REPORT (EXCLUDING        
  THE DIRECTORS’ REMUNERATION        
  POLICY) FOR THE FINANCIAL YEAR        
  ENDED 31 DECEMBER 2020        
           
3 TO APPROVE THE DIRECTORS’ Mgmt For For  
  REMUNERATION POLICY FOR THE        
  FINANCIAL YEAR ENDED 31 DECEMBER        
  2020        
           
4 TO DECLARE A FINAL DIVIDEND ON THE Mgmt For For  
  ORDINARY SHARES OF THE COMPANY        
  FOR THE YEAR ENDED 31 DECEMBER        
  2020 OF 86 PENCE PER ORDINARY        
  SHARE, PAYABLE TO ALL ORDINARY        
  SHAREHOLDERS ON THE COMPANY’S        
  REGISTER OF MEMBERS AT THE CLOSE        
  OF BUSINESS ON 7 MAY 2021        
           
5 TO APPOINT JAYAPRAKASA Mgmt For For  
  RANGASWAMI AS A NON-EXECUTIVE        
  DIRECTOR OF THE COMPANY        
           
6 TO APPOINT MILENA MONDINI-DE- Mgmt For For  
  FOCATIIS AS A EXECUTIVE DIRECTOR OF        
  THE COMPANY        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 6 of 261
       

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
7 TO RE-APPOINT GERAINT JONES AS A Mgmt For For  
  EXECUTIVE DIRECTOR OF THE COMPANY        
           
8 TO RE-APPOINT ANNETTE COURT AS A Mgmt For For  
  NON-EXECUTIVE DIRECTOR OF THE        
  COMPANY        
           
9 TO RE-APPOINT JEAN PARK AS A NON- Mgmt For For  
  EXECUTIVE DIRECTOR OF THE COMPANY        
           
10 TO RE-APPOINT GEORGE MANNING Mgmt For For  
  ROUNTREE AS A NON-EXECUTIVE        
  DIRECTOR OF THE COMPANY        
           
11 TO RE-APPOINT OWEN CLARKE AS A Mgmt For For  
  NON-EXECUTIVE DIRECTOR OF THE        
  COMPANY        
           
12 TO RE-APPOINT JUSTINE ROBERTS AS A Mgmt For For  
  NON-EXECUTIVE DIRECTOR OF THE        
  COMPANY        
           
13 TO RE-APPOINT ANDREW CROSSLEY AS Mgmt For For  
  A NON-EXECUTIVE DIRECTOR OF THE        
  COMPANY        
           
14 TO RE-APPOINT MICHAEL BRIERLEY AS A Mgmt For For  
  NON-EXECUTIVE DIRECTOR OF THE        
  COMPANY        
           
15 TO RE-APPOINT KAREN GREEN AS A Mgmt For For  
  NON-EXECUTIVE DIRECTOR OF THE        
  COMPANY        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 7 of 261
       

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
16 TO RE-APPOINT DELOITTE LLP AS THE Mgmt For For  
  AUDITORS OF THE COMPANY FROM THE        
  CONCLUSION OF THIS MEETING UNTIL        
  THE CONCLUSION OF THE NEXT        
  GENERAL MEETING AT WHICH        
  ACCOUNTS ARE LAID        
           
17 TO AUTHORISE THE AUDIT COMMITTEE Mgmt For For  
  (ON BEHALF OF THE BOARD) TO        
  DETERMINE THE REMUNERATION OF THE        
  AUDITORS        
           
18 TO AMEND THE COMPANY’S Mgmt For For  
  DISCRETIONARY FREE SHARE SCHEME        
  RULES BY: (I) REMOVING THE GBP        
  2,000,000 CAP FROM THE ANNUAL AWARD        
  LIMIT; AND (II) REDUCING THE        
  PERCENTAGE CAP ASSOCIATED WITH        
  AWARDS OVER GBP 1,000,000 FROM        
  600% TO 500%        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 8 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
19 TO AUTHORISE THE COMPANY AND ALL Mgmt For For  
  COMPANIES THAT ARE ITS SUBSIDIARIES        
  AT ANY TIME DURING THE PERIOD FOR        
  WHICH THIS RESOLUTION HAS EFFECT        
  FOR THE PURPOSES OF SECTION 366 OF        
  THE COMPANIES ACT 2006 (CA 2006) TO:        
  (I) MAKE POLITICAL DONATIONS TO        
  POLITICAL PARTIES OR INDEPENDENT        
  ELECTION CANDIDATES (AS SUCH        
  TERMS ARE DEFINED IN SECTIONS 363        
  AND 364 OF THE CA 2006), NOT        
  EXCEEDING GBP 100,000 IN AGGREGATE;        
  (II) MAKE POLITICAL DONATIONS TO        
  POLITICAL ORGANISATIONS OTHER THAN        
  POLITICAL PARTIES (AS SUCH TERMS        
  ARE DEFINED IN SECTIONS 363 AND 364        
  OF THE CA 2006), NOT EXCEEDING GBP        
  100,000 IN AGGREGATE; AND (III) TO        
  INCUR POLITICAL EXPENDITURE (AS        
  SUCH TERM IS DEFINED IN SECTION 365        
  OF THE CA 2006), NOT EXCEEDING GBP        
  100,000 IN AGGREGATE, DURING THE        
  PERIOD BEGINNING WITH THE DATE OF        
  THE PASSING OF THIS RESOLUTION AND        
  ENDING ON THE EARLIER OF, THE        
  CONCLUSION OF THE NEXT AGM OF THE        
  COMPANY OR 30 JUNE 2022, UNLESS        
  PREVIOUSLY RENEWED, VARIED OR        
  REVOKED BY THE COMPANY IN GENERAL        
  MEETING, PROVIDED THAT THE        
  MAXIMUM AMOUNTS REFERRED TO IN (I),        
  (II) AND (III) MAY COMPRISE SUMS IN        
  DIFFERENT CURRENCIES WHICH SHALL        
  BE CONVERTED AT SUCH RATE AS THE        
  BOARD MAY IN ITS ABSOLUTE        
  DISCRETION DETERMINE TO BE        
  APPROPRIATE        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 9 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
20 THAT, IN SUBSTITUTION FOR ALL Mgmt For For  
  EXISTING AUTHORITIES, THE DIRECTORS        
  BE GENERALLY AND UNCONDITIONALLY        
  AUTHORISED IN ACCORDANCE WITH        
  SECTION 551 OF THE CA 2006 TO        
  EXERCISE ALL THE POWERS OF THE        
  COMPANY TO ALLOT SHARES IN THE        
  COMPANY OR GRANT RIGHTS TO        
  SUBSCRIBE FOR OR TO CONVERT ANY        
  SECURITY INTO SHARES IN THE        
  COMPANY: (I) UP TO AN AGGREGATE        
  NOMINAL AMOUNT OF GBP 99,007; AND        
  (II) COMPRISING EQUITY SECURITIES (AS        
  DEFINED IN SECTION 560(1) OF THE CA        
  2006) UP TO A FURTHER AGGREGATE        
  NOMINAL AMOUNT OF GBP 99,007 IN        
  CONNECTION WITH AN OFFER BY WAY        
  OF A RIGHTS ISSUE, PROVIDED THAT THE        
  AUTHORITIES CONFERRED BY SUB        
  PARAGRAPHS (I) AND (II) ABOVE SHALL        
  EXPIRE (UNLESS PREVIOUSLY        
  RENEWED, VARIED OR REVOKED BY THE        
  COMPANY IN GENERAL MEETING) AT THE        
  EARLIER OF THE CONCLUSION OF THE        
  NEXT AGM OF THE COMPANY AFTER THE        
  DATE OF THE PASSING OF THIS        
  RESOLUTION OR 30 JUNE 2022, BUT, IN        
  EACH CASE, SO THAT THE COMPANY MAY        
  MAKE OFFERS AND ENTER INTO        
  AGREEMENTS BEFORE THE AUTHORITY        
  EXPIRES WHICH WOULD, OR MIGHT,        
  REQUIRE SHARES TO BE ALLOTTED OR        
  RIGHTS TO SUBSCRIBE FOR OR TO        
  CONVERT ANY SECURITY INTO SHARES        
  TO BE GRANTED AFTER THE AUTHORITY        
  EXPIRES AND THE DIRECTORS MAY        
  ALLOT SHARES OR GRANT SUCH RIGHTS        
  UNDER ANY SUCH OFFER OR        
  AGREEMENT AS IF THE AUTHORITY HAD        
  NOT EXPIRED. REFERENCES IN THIS        
  RESOLUTION 20 TO THE NOMINAL        
  AMOUNT OF RIGHTS TO SUBSCRIBE FOR        
  OR TO CONVERT ANY SECURITY INTO        
  SHARES (INCLUDING WHERE SUCH        
  RIGHTS ARE REFERRED TO AS EQUITY        
  SECURITIES AS DEFINED IN SECTION        
  560(1) OF THE CA 2006) ARE TO THE        
  NOMINAL AMOUNT OF SHARES THAT MAY        
  BE ALLOTTED PURSUANT TO THE        
  RIGHTS. FOR THE PURPOSES OF THIS        
  RESOLUTION 20 "RIGHTS ISSUE" MEANS        
  AN OFFER TO: (A) ORDINARY        
  SHAREHOLDERS IN PROPORTION (AS        
  NEARLY AS MAY BE PRACTICABLE) TO        
  THEIR EXISTING HOLDINGS; AND (B)        
  HOLDERS OF OTHER EQUITY        
  SECURITIES, AS REQUIRED BY THE        
  RIGHTS OF THOSE SECURITIES OR,        
  SUBJECT TO SUCH RIGHTS, AS THE        
  DIRECTORS OTHERWISE CONSIDER        
  NECESSARY, TO SUBSCRIBE FOR        
  FURTHER SECURITIES BY MEANS OF THE        
  ISSUE OF A RENOUNCEABLE LETTER (OR        
  OTHER NEGOTIABLE DOCUMENT) WHICH        
  MAY BE TRADED FOR A PERIOD BEFORE        
  PAYMENT FOR THE SECURITIES IS DUE,        
  INCLUDING AN OFFER TO WHICH THE        
  DIRECTORS MAY IMPOSE ANY LIMITS OR        
  RESTRICTIONS OR MAKE ANY OTHER        
  ARRANGEMENTS WHICH THEY        
  CONSIDER NECESSARY OR        
  APPROPRIATE TO DEAL WITH TREASURY        
  SHARES, FRACTIONAL ENTITLEMENTS,        
  RECORD DATES, LEGAL, REGULATORY        
  OR PRACTICAL PROBLEMS IN, OR UNDER        
  THE LAWS OF, ANY TERRITORY OR ANY        
  OTHER MATTER        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 10 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
21 THAT, IN SUBSTITUTION FOR ALL Mgmt For For  
  EXISTING AUTHORITIES AND SUBJECT TO        
  THE PASSING OF RESOLUTION 20, THE        
  DIRECTORS BE GENERALLY        
  EMPOWERED PURSUANT TO SECTION        
  570 OF THE CA 2006 TO ALLOT EQUITY        
  SECURITIES (AS DEFINED IN SECTION        
  560(1) OF THE CA 2006) FOR CASH        
  PURSUANT TO THE AUTHORITY        
  GRANTED BY RESOLUTION 20 AND/OR        
  PURSUANT TO SECTION 573 OF THE CA        
  2006 TO SELL ORDINARY SHARES HELD        
  BY THE COMPANY AS TREASURY SHARES        
  FOR CASH, IN EACH CASE FREE OF THE        
  RESTRICTION IN SECTION 561 OF THE CA        
  2006, SUCH AUTHORITY TO BE LIMITED:        
  (I) TO THE ALLOTMENT OF EQUITY        
  SECURITIES AND/OR SALE OF TREASURY        
  SHARES FOR CASH IN CONNECTION        
  WITH AN OFFER OF EQUITY SECURITIES        
  (BUT IN THE CASE OF AN ALLOTMENT        
  PURSUANT TO THE AUTHORITY        
  GRANTED BY PARAGRAPH (II) OF        
  RESOLUTION 20, BY WAY OF A RIGHTS        
  ISSUE ONLY): (A) TO ORDINARY        
  SHAREHOLDERS IN PROPORTION (AS        
  NEARLY AS MAY BE PRACTICABLE) TO        
  THEIR EXISTING HOLDINGS; AND (B) TO        
  HOLDERS OF OTHER EQUITY        
  SECURITIES, AS REQUIRED BY THE        
  RIGHTS OF THOSE SECURITIES OR,        
  SUBJECT TO SUCH RIGHTS, AS THE        
  DIRECTORS OTHERWISE CONSIDER        
  NECESSARY, AND SO THAT THE        
  DIRECTORS MAY IMPOSE ANY LIMITS OR        
  RESTRICTIONS OR MAKE ANY OTHER        
  ARRANGEMENTS WHICH THEY        
  CONSIDER NECESSARY OR        
  APPROPRIATE TO DEAL WITH TREASURY        
  SHARES, FRACTIONAL ENTITLEMENTS,        
  RECORD DATES, LEGAL, REGULATORY        
  OR PRACTICAL PROBLEMS IN, OR UNDER        
  THE LAWS OF, ANY TERRITORY OR ANY        
  OTHER MATTER; AND (II) TO THE        
  ALLOTMENT OF EQUITY SECURITIES        
  PURSUANT TO THE AUTHORITY        
  GRANTED BY PARAGRAPH (I) OF        
  RESOLUTION 20 AND/OR SALE OF        
  TREASURY SHARES FOR CASH (IN EACH        
  CASE OTHERWISE THAN IN THE        
  CIRCUMSTANCES SET OUT IN        
  PARAGRAPH (I) OF THIS RESOLUTION 21)        
  UP TO A NOMINAL AMOUNT OF GBP        
  14,851 (CALCULATED, IN THE CASE OF        
  EQUITY SECURITIES WHICH ARE RIGHTS        
  TO SUBSCRIBE FOR, OR TO CONVERT        
  SECURITIES INTO, ORDINARY SHARES        
  BY REFERENCE TO THE AGGREGATE        
  NOMINAL AMOUNT OF RELEVANT        
  SHARES WHICH MAY BE ALLOTTED        
  PURSUANT TO SUCH RIGHTS), SUCH        
  AUTHORITY TO APPLY UNTIL THE        
  EARLIER OF THE CONCLUSION OF THE        
  NEXT AGM OF THE COMPANY OR 30 JUNE        
  2022, UNLESS PREVIOUSLY RENEWED,        
  VARIED OR REVOKED BY THE COMPANY        
  IN GENERAL MEETING BUT, IN EACH        
  CASE, SO THAT THE COMPANY MAY        
  MAKE OFFERS AND ENTER INTO        
  AGREEMENTS BEFORE THE AUTHORITY        
  EXPIRES WHICH WOULD, OR MIGHT,        
  REQUIRE EQUITY SECURITIES TO BE        
  ALLOTTED (AND/OR TREASURY SHARES        
  TO BE SOLD) AFTER THE AUTHORITY        
  EXPIRES AND THE DIRECTORS MAY        
  ALLOT EQUITY SECURITIES (AND/OR        
  SELL TREASURY SHARES) UNDER ANY        
  SUCH OFFER OR AGREEMENT AS IF THE        
  AUTHORITY HAD NOT EXPIRED. FOR THE        
  PURPOSE OF THIS RESOLUTION 21,        
  "RIGHTS ISSUE" HAS THE SAME MEANING        
  AS IN RESOLUTION 20 ABOVE        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 11 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
22 THAT, IN ADDITION TO ANY AUTHORITY Mgmt For For  
  GRANTED UNDER RESOLUTION 21, AND        
  SUBJECT TO THE PASSING OF        
  RESOLUTION 20, THE DIRECTORS BE        
  GENERALLY EMPOWERED PURSUANT TO        
  SECTION 570 OF THE CA 2006 TO ALLOT        
  EQUITY SECURITIES (AS DEFINED IN        
  SECTION 560(1) OF THE CA 2006) FOR        
  CASH PURSUANT TO THE AUTHORITY        
  GRANTED BY RESOLUTION 20 AND/OR        
  PURSUANT TO SECTION 573 OF THE CA        
  2006 TO SELL ORDINARY SHARES HELD        
  BY THE COMPANY AS TREASURY SHARES        
  FOR CASH, IN EACH CASE FREE OF THE        
  RESTRICTION IN SECTION 561 OF THE CA        
  2006, SUCH AUTHORITY TO BE: LIMITED        
  TO THE ALLOTMENT OF EQUITY        
  SECURITIES AND/OR SALE OF TREASURY        
  SHARES FOR CASH UP TO AN        
  AGGREGATE NOMINAL AMOUNT OF GBP        
  14,851 (CALCULATED, IN THE CASE OF        
  EQUITY SECURITIES WHICH ARE RIGHTS        
  TO SUBSCRIBE FOR, OR TO CONVERT        
  SECURITIES INTO, ORDINARY SHARES        
  BY REFERENCE TO THE AGGREGATE        
  NOMINAL AMOUNT OF RELEVANT        
  SHARES WHICH MAY BE ALLOTTED        
  PURSUANT TO SUCH RIGHTS); AND (II)        
  USED ONLY FOR THE PURPOSES OF        
  FINANCING (OR REFINANCING, IF THE        
  AUTHORITY IS TO BE USED WITHIN SIX        
  MONTHS AFTER THE ORIGINAL        
  TRANSACTION) A TRANSACTION WHICH        
  THE DIRECTORS OF THE COMPANY        
  DETERMINE TO BE AN ACQUISITION OR        
  OTHER CAPITAL INVESTMENT OF A KIND        
  CONTEMPLATED BY THE STATEMENT OF        
  PRINCIPLES ON DISAPPLYING PRE-        
  EMPTION RIGHTS MOST RECENTLY        
  PUBLISHED BY THE PRE-EMPTION        
  GROUP PRIOR TO THE DATE OF THIS        
  NOTICE, SUCH AUTHORITY TO APPLY        
  UNTIL THE EARLIER OF THE        
  CONCLUSION OF THE NEXT AGM OF THE        
  COMPANY OR 30 JUNE 2022 UNLESS        
  PREVIOUSLY RENEWED, VARIED OR        
  REVOKED BY THE COMPANY IN GENERAL        
  MEETING BUT, IN EACH CASE, SO THAT        
  THE COMPANY MAY MAKE OFFERS AND        
  ENTER INTO AGREEMENTS BEFORE THE        
  AUTHORITY EXPIRES WHICH WOULD, OR        
  MIGHT, REQUIRE EQUITY SECURITIES TO        
  BE ALLOTTED (AND/OR TREASURY        
  SHARES TO BE SOLD) AFTER THE        
  AUTHORITY EXPIRES AND THE        
  DIRECTORS OF THE COMPANY MAY        
  ALLOT EQUITY SECURITIES (AND/OR        
  SELL TREASURY SHARES) UNDER ANY        
  SUCH OFFER OR AGREEMENT AS IF THE        
  AUTHORITY CONFERRED HEREBY HAD        
  NOT EXPIRED        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 12 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
23 THAT: (I) THE PAYMENT OF 27.7P PER Mgmt For For  
  ORDINARY SHARE BY WAY OF INTERIM        
  DIVIDEND PAID ON 21 OCTOBER 2009        
  (THE 2009 INTERIM DIVIDEND) AND THE        
  APPROPRIATION, FOR THE PURPOSES        
  OF THE PREPARATION OF THE        
  COMPANY’S AUDITED FINANCIAL        
  STATEMENTS FOR THE FINANCIAL YEAR        
  ENDED 31 DECEMBER 2009, OF THE        
  DISTRIBUTABLE PROFITS OF THE        
  COMPANY TO THE PAYMENT OF THE 2009        
  INTERIM DIVIDEND AND THE RESULTING        
  ENTRY FOR THE DISTRIBUTABLE        
  PROFITS OF THE COMPANY IN SUCH        
  FINANCIAL STATEMENTS, BE AND ARE        
  HEREBY AUTHORISED BY REFERENCE        
  TO THE SAME RECORD DATE AS THE        
  ORIGINAL ACCOUNTING ENTRIES FOR        
  THE 2009 INTERIM DIVIDEND; (II) THE        
  PAYMENT OF 32.6P PER ORDINARY        
  SHARE BY WAY OF INTERIM DIVIDEND        
  PAID ON 20 OCTOBER 2010 (THE 2010        
  INTERIM DIVIDEND) AND THE        
  APPROPRIATION, FOR THE PURPOSES        
  OF THE PREPARATION OF THE        
  COMPANY’S AUDITED FINANCIAL        
  STATEMENTS FOR THE FINANCIAL YEAR        
  ENDED 31 DECEMBER 2010, OF THE        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 13 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
  DISTRIBUTABLE PROFITS OF THE        
  COMPANY TO THE PAYMENT OF THE 2010        
  INTERIM DIVIDEND AND THE RESULTING        
  ENTRY FOR THE DISTRIBUTABLE        
  PROFITS OF THE COMPANY IN SUCH        
  FINANCIAL STATEMENTS, BE AND ARE        
  HEREBY AUTHORISED BY REFERENCE        
  TO THE SAME RECORD DATE AS THE        
  ORIGINAL ACCOUNTING ENTRIES FOR        
  THE 2010 INTERIM DIVIDEND; (III) THE        
  PAYMENT OF 91.2P PER ORDINARY        
  SHARE BY WAY OF INTERIM DIVIDEND        
  PAID ON 2 OCTOBER 2020 (THE 2020        
  INTERIM DIVIDEND) AND THE        
  APPROPRIATION OF DISTRIBUTABLE        
  PROFITS OF THE COMPANY (AS SHOWN        
  IN THE INTERIM ACCOUNTS OF THE        
  COMPANY MADE UP TO 11 AUGUST 2020        
  AND FILED WITH THE REGISTRAR OF        
  COMPANIES ON 16 OCTOBER 2020) TO        
  THE PAYMENT OF THE 2020 INTERIM        
  DIVIDEND BE AND IS HEREBY        
  AUTHORISED BY REFERENCE TO THE        
  SAME RECORD DATE AS THE ORIGINAL        
  ACCOUNTING ENTRIES FOR THE 2020        
  INTERIM DIVIDEND; (IV) ANY AND ALL        
  CLAIMS WHICH THE COMPANY HAS OR        
  MAY HAVE ARISING OUT OF OR IN        
  CONNECTION WITH THE PAYMENT OF        
  THE 2009 INTERIM DIVIDEND, THE 2010        
  INTERIM DIVIDEND OR THE 2020 INTERIM        
  DIVIDEND (TOGETHER, THE RELEVANT        
  DISTRIBUTIONS) AGAINST ITS        
  SHAREHOLDERS WHO APPEARED ON        
  THE REGISTER OF SHAREHOLDERS ON        
  THE RELEVANT RECORD DATE FOR EACH        
  RELEVANT DISTRIBUTION (OR THE        
  PERSONAL REPRESENTATIVES AND        
  THEIR SUCCESSORS IN TITLE (AS        
  APPROPRIATE) OF A SHAREHOLDER’S        
  ESTATE IF HE OR SHE IS DECEASED) BE        
  WAIVED AND RELEASED, AND A DEED OF        
  RELEASE IN FAVOUR OF SUCH        
  SHAREHOLDERS (OR THE PERSONAL        
  REPRESENTATIVES AND THEIR        
  SUCCESSORS IN TITLE (AS        
  APPROPRIATE) OF A SHAREHOLDER’S        
  ESTATE IF HE OR SHE IS DECEASED) BE        
  ENTERED INTO BY THE COMPANY IN THE        
  FORM PRODUCED TO THE AGM AND        
  INITIALLED BY THE CHAIR FOR THE        
  PURPOSES OF IDENTIFICATION AND ANY        
  DIRECTOR IN THE PRESENCE OF A        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 14 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
  WITNESS, ANY TWO DIRECTORS OR ANY        
  DIRECTOR AND THE COMPANY        
  SECRETARY BE AUTHORISED TO        
  EXECUTE THE SAME AS A DEED POLL        
  FOR AND ON BEHALF OF THE COMPANY;        
  AND (V) ANY AND ALL CLAIMS WHICH THE        
  COMPANY HAS OR MAY HAVE AGAINST        
  EACH OF ITS DIRECTORS AND EACH OF        
  DAVID STEVENS, MANFRED ALDAG,        
  KEVIN CHIDWICK, HENRY ENGELHARDT,        
  DAVID JACKSON, DAVID JAMES,        
  MARGARET JOHNSON, LUCY KELLAWAY,        
  ALASTAIR LYONS AND JOHN SUSSENS        
  (THE FORMER DIRECTORS) OR THE        
  PERSONAL REPRESENTATIVES AND        
  THEIR SUCCESSORS IN TITLE (AS        
  APPROPRIATE) OF HIS OR HER ESTATE IF        
  SUCH DIRECTOR OR FORMER DIRECTOR        
  IS DECEASED, ARISING OUT OF OR IN        
  CONNECTION WITH THE APPROVAL,        
  DECLARATION OR PAYMENT OF THE        
  RELEVANT DISTRIBUTIONS BE WAIVED        
  AND RELEASED AND THAT A DEED OF        
  RELEASE IN FAVOUR OF EACH OF SUCH        
  DIRECTORS AND FORMER DIRECTORS        
  (OR THE PERSONAL REPRESENTATIVES        
  AND THEIR SUCCESSORS IN TITLE OF        
  HIS OR HER ESTATE IF SUCH DIRECTOR        
  OR FORMER DIRECTOR IS DECEASED),        
  BE ENTERED INTO BY THE COMPANY IN        
  THE FORM PRODUCED TO THE AGM AND        
  INITIALLED BY THE CHAIR FOR        
  PURPOSES OF IDENTIFICATION AND ANY        
  DIRECTOR IN THE PRESENCE OF A        
  WITNESS, ANY TWO DIRECTORS OR ANY        
  DIRECTOR AND THE COMPANY        
  SECRETARY BE AUTHORISED TO        
  EXECUTE THE SAME AS A DEED POLL        
  FOR AND ON BEHALF OF THE COMPANY        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 15 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
24 THAT THE COMPANY BE GENERALLY AND Mgmt For For  
  UNCONDITIONALLY AUTHORISED,        
  PURSUANT TO AND IN ACCORDANCE        
  WITH SECTION 701 OF THE CA 2006, TO        
  MAKE ONE OR MORE MARKET        
  PURCHASES (WITHIN THE MEANING OF        
  SECTION 693(4) OF THE CA 2006) ON THE        
  LONDON STOCK EXCHANGE OF        
  ORDINARY SHARES OF 0.1P IN THE        
  CAPITAL OF THE COMPANY (ORDINARY        
  SHARES) PROVIDED THAT: (I) THE        
  MAXIMUM AGGREGATE NUMBER OF        
  ORDINARY SHARES AUTHORISED TO BE        
  PURCHASED IS 14,851,058        
  (REPRESENTING 5.00 PER CENT. OF THE        
  ISSUED ORDINARY SHARE CAPITAL); (II)        
  THE MINIMUM PRICE (EXCLUDING        
  EXPENSES) WHICH MAY BE PAID FOR AN        
  ORDINARY SHARE IS THE NOMINAL        
  VALUE OF SUCH SHARE; (III) THE        
  MAXIMUM PRICE (EXCLUDING        
  EXPENSES) WHICH MAY BE PAID FOR AN        
  ORDINARY SHARE SHALL BE THE HIGHER        
  OF (1) AN AMOUNT EQUAL TO 105 PER        
  CENT. OF THE AVERAGE OF THE MIDDLE        
  MARKET QUOTATIONS FOR AN ORDINARY        
  SHARE AS DERIVED FROM THE LONDON        
  STOCK EXCHANGE DAILY OFFICIAL LIST        
  FOR THE 5 BUSINESS DAYS IMMEDIATELY        
  PRECEDING THE DAY ON WHICH THAT        
  ORDINARY SHARE IS PURCHASED AND        
  (2) THE HIGHER OF THE PRICE OF THE        
  LAST INDEPENDENT TRADE AND THE        
  HIGHEST CURRENT INDEPENDENT BID        
  FOR AN ORDINARY SHARE ON THE        
  TRADING VENUE WHERE THE PURCHASE        
  IS CARRIED OUT; (IV) THIS AUTHORITY        
  EXPIRES AT THE EARLIER OF THE        
  CONCLUSION OF THE NEXT AGM OF THE        
  COMPANY OR 30 JUNE 2022; AND (V) THE        
  COMPANY MAY MAKE A CONTRACT TO        
  PURCHASE ORDINARY SHARES UNDER        
  THIS AUTHORITY BEFORE THE EXPIRY        
  OF THE AUTHORITY WHICH WILL OR MAY        
  BE EXECUTED WHOLLY OR PARTLY        
  AFTER THE EXPIRY OF THE AUTHORITY        
  AND MAY MAKE A PURCHASE OF        
  ORDINARY SHARES IN PURSUANCE OF        
  ANY SUCH CONTRACT        
           
25 THAT A GENERAL MEETING OTHER THAN Mgmt For For  
  AN ANNUAL GENERAL MEETING MAY BE        
  CALLED ON NOT LESS THAN 14 CLEAR        
  DAYS’ NOTICE        

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 16 of 261

 

Unassigned

ASML HOLDING NV
   
Security: N07059202 Agenda Number: 713687234
Ticker: Meeting Type: AGM
ISIN: NL0010273215 Meeting Date: 29-Apr-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
CMMT PLEASE NOTE THAT BENEFICIAL OWNER Non-Voting      
  DETAILS IS REQUIRED FOR THIS        
  MEETING. IF NO BENEFICIAL OWNER        
  DETAILS IS PROVIDED, YOUR        
  INSTRUCTION MAY BE REJECTED. THANK        
  YOU.        
           
CMMT PLEASE NOTE THAT SHAREHOLDER Non-Voting      
  DETAILS ARE REQUIRED TO VOTE AT        
  THIS MEETING. IF NO SHAREHOLDER        
  DETAILS ARE PROVIDED, YOUR        
  INSTRUCTION MAY CARRY A        
  HEIGHTENED RISK OF BEING REJECTED.        
  THANK YOU        
           
1. OPENING Non-Voting      
           
2. OVERVIEW OF THE COMPANY’S Non-Voting      
  BUSINESS, FINANCIAL SITUATION AND        
  SUSTAINABILITY        
           
3. FINANCIAL STATEMENTS, RESULTS AND Non-Voting      
  DIVIDEND        
           
3.a ADVISORY VOTE ON THE Mgmt For For  
  REMUNERATION REPORT FOR THE        
  BOARD OF MANAGEMENT AND THE        
  SUPERVISORY BOARD FOR THE        
  FINANCIAL YEAR 2020        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 17 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
3.b PROPOSAL TO ADOPT THE FINANCIAL Mgmt For For  
  STATEMENTS OF THE COMPANY FOR THE        
  FINANCIAL YEAR 2020, AS PREPARED IN        
  ACCORDANCE WITH DUTCH LAW        
           
3.c CLARIFICATION OF THE COMPANY’S Non-Voting      
  RESERVES AND DIVIDEND POLICY        
           
3.d PROPOSAL TO ADOPT A DIVIDEND IN Mgmt For For  
  RESPECT OF THE FINANCIAL YEAR 2020:        
  EUR 2.75 PER SHARE        
           
4 DISCHARGE Non-Voting      
           
4.a PROPOSAL TO DISCHARGE THE Mgmt For For  
  MEMBERS OF THE BOARD OF        
  MANAGEMENT FROM LIABILITY FOR        
  THEIR RESPONSIBILITIES IN THE        
  FINANCIAL YEAR 2020        
           
4.b PROPOSAL TO DISCHARGE THE Mgmt For For  
  MEMBERS OF THE SUPERVISORY BOARD        
  FROM LIABILITY FOR THEIR        
  RESPONSIBILITIES IN THE FINANCIAL        
  YEAR 2020        
           
5. PROPOSAL TO APPROVE THE NUMBER Mgmt For For  
  OF SHARES FOR THE BOARD OF        
  MANAGEMENT        
           
6. PROPOSAL TO ADOPT CERTAIN Mgmt For For  
  ADJUSTMENTS TO THE REMUNERATION        
  POLICY FOR THE BOARD OF        
  MANAGEMENT        
           
7. PROPOSAL TO ADOPT CERTAIN Mgmt For For  
  ADJUSTMENTS TO THE REMUNERATION        
  POLICY FOR THE SUPERVISORY BOARD        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 18 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
8. COMPOSITION OF THE BOARD OF Non-Voting      
  MANAGEMENT        
           
9. COMPOSITION OF THE SUPERVISORY Non-Voting      
  BOARD        
           
9.a PROPOSAL TO APPOINT MS. B. CONIX AS Mgmt For For  
  A MEMBER OF THE SUPERVISORY        
  BOARD        
           
9.b COMPOSITION OF THE SUPERVISORY Non-Voting      
  BOARD IN 2022        
           
           
10. PROPOSAL TO APPOINT KPMG Mgmt For For  
  ACCOUNTANTS N.V. AS EXTERNAL        
  AUDITOR FOR THE REPORTING YEAR        
  2022: KPMG Accountants N.V.        
           
11. PROPOSALS TO AUTHORIZE THE BOARD Non-Voting      
  OF MANAGEMENT TO ISSUE ORDINARY        
  SHARES OR GRANT RIGHTS TO        
  SUBSCRIBE FOR ORDINARY SHARES, AS        
  WELL AS TO RESTRICT OR EXCLUDE THE        
  PRE-EMPTION RIGHTS ACCRUING TO        
  SHAREHOLDERS        
           
11.a AUTHORIZATION TO ISSUE ORDINARY Mgmt For For  
  SHARES OR GRANT RIGHTS TO        
  SUBSCRIBE FOR ORDINARY SHARES UP        
  TO 5% FOR GENERAL PURPOSES        
           
11.b AUTHORIZATION OF THE BOARD OF Mgmt For For  
  MANAGEMENT TO RESTRICT OR        
  EXCLUDE PRE-EMPTION RIGHTS IN        
  CONNECTION WITH AGENDA ITEM 11 A)        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 19 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
11.c AUTHORIZATION TO ISSUE ORDINARY Mgmt For For  
  SHARES OR GRANT RIGHTS TO        
  SUBSCRIBE FOR ORDINARY SHARES UP        
  TO 5% IN CONNECTION WITH OR ON THE        
  OCCASION OF MERGERS, ACQUISITIONS        
  AND/OR (STRATEGIC) ALLIANCES        
           
11.d AUTHORIZATION OF THE BOARD OF Mgmt For For  
  MANAGEMENT TO RESTRICT OR        
  EXCLUDE PRE-EMPTION RIGHTS IN        
  CONNECTION WITH AGENDA ITEM 11 C)        
           
12. PROPOSALS TO AUTHORIZE THE BOARD Non-Voting      
  OF MANAGEMENT TO REPURCHASE        
  ORDINARY SHARES UP TO 20% OF THE        
  ISSUED SHARE CAPITAL        
           
12.a AUTHORIZATION TO REPURCHASE Mgmt For For  
  ORDINARY SHARES UP TO 10% OF THE        
  ISSUED SHARE CAPITAL        
           
12.b AUTHORIZATION TO REPURCHASE Mgmt For For  
  ADDITIONAL ORDINARY SHARES UP TO        
  10% OF THE ISSUED SHARE CAPITAL        
           
13. PROPOSAL TO CANCEL ORDINARY Mgmt For For  
  SHARES        
           
14. ANY OTHER BUSINESS Non-Voting      
           
15. CLOSING Non-Voting      
           
CMMT INTERMEDIARY CLIENTS ONLY - PLEASE Non-Voting      
  NOTE THAT IF YOU ARE CLASSIFIED AS        
  AN INTERMEDIARY CLIENT UNDER THE        
  SHAREHOLDER RIGHTS DIRECTIVE II,        
  YOU SHOULD BE PROVIDING THE        
  UNDERLYING SHAREHOLDER        
  INFORMATION AT THE VOTE        
  INSTRUCTION LEVEL. IF YOU ARE        
  UNSURE ON HOW TO PROVIDE THIS        
  LEVEL OF DATA TO BROADRIDGE        
  OUTSIDE OF PROXYEDGE, PLEASE        
  SPEAK TO YOUR DEDICATED CLIENT        
  SERVICE REPRESENTATIVE FOR        
  ASSISTANCE. THANK YOU        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 20 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT 30 MAR 2021: PLEASE NOTE THAT THIS IS Non-Voting      
  A REVISION DUE TO MODIFICATION OF        
  TEXT IN RESOLUTION 3.D, 10 AND        
  CHANGE IN NUMBERING OF ALL        
  RESOLUTIONS.. IF YOU HAVE ALREADY        
  SENT IN YOUR VOTES, PLEASE DO NOT        
  VOTE AGAIN UNLESS YOU DECIDE TO        
  AMEND YOUR ORIGINAL INSTRUCTIONS.        
  THANK YOU.        
           
CMMT 30 MAr 2021: Deletion of comment Non-Voting      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 21 of 261

 

Unassigned

ASTRAZENECA PLC
   
Security: G0593M107 Agenda Number: 713747648
Ticker: Meeting Type: AGM
ISIN: GB0009895292 Meeting Date: 11-May-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
1 TO RECEIVE THE COMPANY’S Mgmt For For  
  ACCOUNTS, THE REPORTS OF THE        
  DIRECTORS AND AUDITOR AND THE        
  STRATEGIC REPORT FOR THE YEAR        
  ENDED 31 DECEMBER 2020        
           
2 TO CONFIRM DIVIDENDS Mgmt For For  
           
3 TO REAPPOINT Mgmt For For  
  PRICEWATERHOUSECOOPERS LLP AS        
  AUDITOR        
           
4 TO AUTHORISE THE DIRECTORS TO Mgmt For For  
  AGREE THE REMUNERATION OF THE        
  AUDITOR        
           
5A TO ELECT OR RE-ELECT THE FOLLOWING Mgmt For For  
  DIRECTORS: LEIF JOHANSSON        
           
5B TO ELECT OR RE-ELECT THE FOLLOWING Mgmt For For  
  DIRECTORS: PASCAL SORIOT        
           
5C TO ELECT OR RE-ELECT THE FOLLOWING Mgmt For For  
  DIRECTORS: MARC DUNOYER        
           
5D TO ELECT OR RE-ELECT THE FOLLOWING Mgmt For For  
  DIRECTORS: PHILIP BROADLEY        
           
5E TO ELECT OR RE-ELECT THE FOLLOWING Mgmt For For  
  DIRECTORS: EUAN ASHLEY        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 22 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
5F TO ELECT OR RE-ELECT THE FOLLOWING Mgmt For For  
  DIRECTORS: MICHEL DEMARE        
           
5G TO ELECT OR RE-ELECT THE FOLLOWING Mgmt For For  
  DIRECTORS: DEBORAH DISANZO        
           
5H TO ELECT OR RE-ELECT THE FOLLOWING Mgmt For For  
  DIRECTORS: DIANA LAYFIELD        
           
5I TO ELECT OR RE-ELECT THE FOLLOWING Mgmt For For  
  DIRECTORS: SHERI MCCOY        
           
5J TO ELECT OR RE-ELECT THE FOLLOWING Mgmt For For  
  DIRECTORS: TONY MOK        
           
5K TO ELECT OR RE-ELECT THE FOLLOWING Mgmt For For  
  DIRECTORS: NAZNEEN RAHMAN        
           
5L TO ELECT OR RE-ELECT THE FOLLOWING Mgmt For For  
  DIRECTORS: MARCUS WALLENBERG        
           
6 TO APPROVE THE ANNUAL REPORT ON Mgmt For For  
  REMUNERATION FOR THE YEAR ENDED        
  31 DECEMBER 2020        
           
7 TO APPROVE THE DIRECTORS’ Mgmt Against Against  
  REMUNERATION POLICY        
           
8 TO AUTHORISE LIMITED POLITICAL Mgmt For For  
  DONATIONS        
           
9 TO AUTHORISE THE DIRECTORS TO Mgmt For For  
  ALLOT SHARES        
           
10 TO AUTHORISE THE DIRECTORS TO Mgmt For For  
  DISAPPLY PRE-EMPTION RIGHTS        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 23 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
11 TO AUTHORISE THE DIRECTORS TO Mgmt For For  
  FURTHER DISAPPLY PRE-EMPTION        
  RIGHTS FOR ACQUISITIONS AND        
  SPECIFIED CAPITAL INVESTMENTS        
           
12 TO AUTHORISE THE COMPANY TO Mgmt For For  
  PURCHASE ITS OWN SHARES        
           
13 TO REDUCE THE NOTICE PERIOD FOR Mgmt For For  
  GENERAL MEETINGS        
           
14 TO AMEND THE RULES OF THE Mgmt For For  
  PERFORMANCE SHARE PLAN 2020        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 24 of 261

 

Unassigned

ASTRAZENECA PLC
   
Security: G0593M107 Agenda Number: 713898495
   
Ticker: Meeting Type: OGM
   
ISIN: GB0009895292 Meeting Date: 11-May-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
1 PROPOSED ACQUISITION BY THE Mgmt For For  
  COMPANY OF ALEXION        
  PHARMACEUTICALS INC        
           
CMMT 23 APR 2021: PLEASE NOTE THAT THE Non-Voting      
  MEETING TYPE CHANGED FROM EGM TO        
  OGM. IF YOU HAVE ALREADY SENT IN        
  YOUR VOTES, PLEASE DO NOT VOTE        
  AGAIN UNLESS YOU DECIDE TO AMEND        
  YOUR ORIGINAL INSTRUCTIONS. THANK        
  YOU        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 25 of 261

 

Unassigned

ATLAS COPCO AB
   
Security: W1R924161 Agenda Number: 713277538
Ticker: Meeting Type: EGM
ISIN: SE0011166610 Meeting Date: 26-Nov-20

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
CMMT AN ABSTAIN VOTE CAN HAVE THE SAME Non-Voting      
  EFFECT AS AN AGAINST VOTE IF THE        
  MEETING REQUIRES APPROVAL FROM        
  THE MAJORITY OF PARTICIPANTS TO        
  PASS A RESOLUTION        
           
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting      
  OF BENEFICIAL OWNER INFORMATION        
  FOR ALL VOTED ACCOUNTS. IF AN        
  ACCOUNT HAS MULTIPLE BENEFICIAL        
  OWNERS, YOU WILL NEED TO PROVIDE        
  THE BREAKDOWN OF EACH BENEFICIAL        
  OWNER NAME, ADDRESS AND SHARE        
  POSITION TO YOUR CLIENT SERVICE        
  REPRESENTATIVE. THIS INFORMATION IS        
  REQUIRED IN ORDER FOR YOUR VOTE        
  TO BE LODGED        
           
CMMT IMPORTANT MARKET PROCESSING Non-Voting      
  REQUIREMENT: A BENEFICIAL OWNER        
  SIGNED POWER OF ATTORNEY (POA) IS        
  REQUIRED IN ORDER TO LODGE AND        
  EXECUTE YOUR VOTING INSTRUCTIONS        
  IN THIS MARKET. ABSENCE OF A POA,        
  MAY CAUSE YOUR INSTRUCTIONS TO BE        
  REJECTED. IF YOU HAVE ANY        
  QUESTIONS, PLEASE CONTACT YOUR        
  CLIENT SERVICE REPRESENTATIVE        
           
CMMT PLEASE NOTE THAT SHAREHOLDER Non-Voting      
  DETAILS ARE REQUIRED TO VOTE AT        
  THIS MEETING. IF NO SHAREHOLDER        
  DETAILS ARE PROVIDED, YOUR        
  INSTRUCTION MAY CARRY A        
  HEIGHTENED RISK OF BEING REJECTED.        
  THANK YOU        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 26 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
1 ELECTION OF CHAIR FOR THE MEETING: Non-Voting      
  HANS STRABERG        
           
2 PREPARATION AND APPROVAL OF THE Non-Voting      
  VOTING LIST        
           
3 APPROVAL OF THE AGENDA Non-Voting      
           
4 ELECTION OF ONE PERSON, THE Non-Voting      
  ADJUSTER, TO APPROVE THE MINUTES        
  TOGETHER WITH THE CHAIR        
           
5 DETERMINATION WHETHER THE Non-Voting      
  MEETING HAS BEEN PROPERLY        
  CONVENED        
           
6 RESOLUTION ON DIVIDEND AND RECORD Mgmt For For  
  DATE: AS A CONSEQUENCE OF THE        
  UNCERTAINTY CAUSED BY COVID-19, IT        
  WAS DECIDED AT ATLAS COPCO’ S AGM        
  ON APRIL 23, 2020, ON A DIVIDEND OF        
  SEK 3.50 PER SHARE        
           
7 RESOLUTION ON AMENDMENT OF THE Mgmt For For  
  ARTICLES OF ASSOCIATION        
           
8 CONCLUSION OF THE MEETING Non-Voting      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 27 of 261

 

Unassigned

ATLAS COPCO AB
   
Security: W1R924161 Agenda Number: 713724931
Ticker: Meeting Type: AGM
ISIN: SE0011166610 Meeting Date: 27-Apr-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
CMMT AN ABSTAIN VOTE CAN HAVE THE SAME Non-Voting      
  EFFECT AS AN AGAINST VOTE IF THE        
  MEETING REQUIRES APPROVAL FROM        
  THE MAJORITY OF PARTICIPANTS TO        
  PASS A RESOLUTION        
           
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting      
  OF BENEFICIAL OWNER INFORMATION        
  FOR ALL VOTED ACCOUNTS. IF AN        
  ACCOUNT HAS MULTIPLE BENEFICIAL        
  OWNERS, YOU WILL NEED TO PROVIDE        
  THE BREAKDOWN OF EACH BENEFICIAL        
  OWNER NAME, ADDRESS AND SHARE        
  POSITION TO YOUR CLIENT SERVICE        
  REPRESENTATIVE. THIS INFORMATION IS        
  REQUIRED IN ORDER FOR YOUR VOTE        
  TO BE LODGED        
           
CMMT IMPORTANT MARKET PROCESSING Non-Voting      
  REQUIREMENT: A BENEFICIAL OWNER        
  SIGNED POWER OF ATTORNEY (POA) IS        
  REQUIRED IN ORDER TO LODGE AND        
  EXECUTE YOUR VOTING INSTRUCTIONS        
  IN THIS MARKET. ABSENCE OF A POA,        
  MAY CAUSE YOUR INSTRUCTIONS TO BE        
  REJECTED. IF YOU HAVE ANY        
  QUESTIONS, PLEASE CONTACT YOUR        
  CLIENT SERVICE REPRESENTATIVE        
           
CMMT PLEASE NOTE THAT SHAREHOLDER Non-Voting      
  DETAILS ARE REQUIRED TO VOTE AT        
  THIS MEETING. IF NO SHAREHOLDER        
  DETAILS ARE PROVIDED, YOUR        
  INSTRUCTION MAY CARRY A        
  HEIGHTENED RISK OF BEING REJECTED.        
  THANK YOU        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 28 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT PLEASE NOTE THAT THIS IS AN Non-Voting      
  AMENDMENT TO MEETING ID 535275 DUE        
  TO RECEIPT OF UPDATED AGENDA. ALL        
  VOTES RECEIVED ON THE PREVIOUS        
  MEETING WILL BE DISREGARDED AND        
  YOU WILL NEED TO REINSTRUCT ON        
  THIS MEETING NOTICE. THANK YOU        
           
CMMT INTERMEDIARY CLIENTS ONLY - PLEASE Non-Voting      
  NOTE THAT IF YOU ARE CLASSIFIED AS        
  AN INTERMEDIARY CLIENT UNDER THE        
  SHAREHOLDER RIGHTS DIRECTIVE II,        
  YOU SHOULD BE PROVIDING THE        
  UNDERLYING SHAREHOLDER        
  INFORMATION AT THE VOTE        
  INSTRUCTION LEVEL. IF YOU ARE        
  UNSURE ON HOW TO PROVIDE THIS        
  LEVEL OF DATA TO BROADRIDGE        
  OUTSIDE OF PROXYEDGE, PLEASE        
  SPEAK TO YOUR DEDICATED CLIENT        
  SERVICE REPRESENTATIVE FOR        
  ASSISTANCE. THANK YOU        
           
1 OPENING OF MEETING; ELECT Non-Voting      
  CHAIRMAN OF MEETING        
           
2 PREPARE AND APPROVE LIST OF Non-Voting      
  SHAREHOLDERS        
           
3 APPROVE AGENDA OF MEETING Non-Voting      
           
4 DESIGNATE INSPECTOR(S) OF MINUTES Non-Voting      
  OF MEETING        
           
5 ACKNOWLEDGE PROPER CONVENING OF Non-Voting      
  MEETING        
           
6 RECEIVE FINANCIAL STATEMENTS AND Non-Voting      
  STATUTORY REPORTS        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 29 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
7.A ACCEPT FINANCIAL STATEMENTS AND Mgmt For For  
  STATUTORY REPORTS        
           
7.B.1 APPROVE DISCHARGE OF STAFFAN Mgmt For For  
  BOHMAN        
           
7.B.2 APPROVE DISCHARGE OF TINA Mgmt For For  
  DONIKOWSKI        
           
7.B.3 APPROVE DISCHARGE OF JOHAN Mgmt For For  
  FORSSELL        
           
7.B.4 APPROVE DISCHARGE OF ANNA Mgmt For For  
  OHLSSON-LEIJON        
           
7.B.5 APPROVE DISCHARGE OF MATS Mgmt For For  
  RAHMSTROM        
           
7.B.6 APPROVE DISCHARGE OF GORDON Mgmt For For  
  RISKE        
           
7.B.7 APPROVE DISCHARGE OF HANS Mgmt For For  
  STRABERG        
           
7.B.8 APPROVE DISCHARGE OF PETER Mgmt For For  
  WALLENBERG JR        
           
7.B.9 APPROVE DISCHARGE OF SABINE NEUSS Mgmt For For  
           
7.B10 APPROVE DISCHARGE OF MIKAEL Mgmt For For  
  BERGSTEDT        
           
7.B11 APPROVE DISCHARGE OF BENNY Mgmt For For  
  LARSSON        

 

 

 

 

Investment Company Report

 

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      Page 30 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
7.B12 APPROVE DISCHARGE OF PRESIDENT Mgmt For For  
  MATS RAHMSTROM        
           
7.C APPROVE ALLOCATION OF INCOME AND Mgmt For For  
  DIVIDENDS OF SEK 7.30 PER SHARE        
           
7.D APPROVE RECORD DATE FOR DIVIDEND Mgmt For For  
  PAYMENT        
           
8.A DETERMINE NUMBER OF MEMBERS (8) Mgmt For For  
  AND DEPUTY MEMBERS OF BOARD (0)        
           
8.B DETERMINE NUMBER OF AUDITORS (1) Mgmt For For  
  AND DEPUTY AUDITORS (0)        
           
9.A ELECTION OF BOARD MEMBERS Non-Voting      
           
9.A.1 REELECT STAFFAN BOHMAN AS Mgmt For For  
  DIRECTOR        
           
9.A.2 REELECT TINA DONIKOWSKI AS Mgmt For For  
  DIRECTOR        
           
9.A.3 REELECT JOHAN FORSSELL AS Mgmt For For  
  DIRECTOR        
           
9.A.4 REELECT ANNA OHLSSON-LEIJON AS Mgmt For For  
  DIRECTOR        
           
9.A.5 REELECT MATS RAHMSTROM AS Mgmt For For  
  DIRECTOR        
           
           
9.A.6 REELECT GORDON RISKE AS DIRECTOR Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 31 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
9.A.7 REELECT HANS STRABERG AS Mgmt For For  
  DIRECTOR        
           
9.A.8 REELECT PETER WALLENBERG JR AS Mgmt For For  
  DIRECTOR        
           
9.B REELECT HANS STRABERG AS BOARD Mgmt For For  
  CHAIRMAN        
           
9.C RATIFY ERNST & YOUNG AS AUDITORS Mgmt For For  
           
10.A APPROVE REMUNERATION OF Mgmt For For  
  DIRECTORS IN THE AMOUNT OF SEK 2.6        
  MILLION TO CHAIR AND SEK 825,000 TO        
  OTHER DIRECTORS; APPROVE        
  REMUNERATION FOR COMMITTEE WORK;        
  APPROVE DELIVERING PART OF        
  REMUNERATION IN FORM OF SYNTHETIC        
  SHARES        
           
10.B APPROVE REMUNERATION OF AUDITORS Mgmt For For  
           
           
11.A APPROVE REMUNERATION REPORT Mgmt For For  
           
11.B APPROVE STOCK OPTION PLAN 2021 FOR Mgmt For For  
  KEY EMPLOYEES        
           
12.A ACQUIRE CLASS A SHARES RELATED TO Mgmt For For  
  PERSONNEL OPTION PLAN FOR 2021        
           
12.B ACQUIRE CLASS A SHARES RELATED TO Mgmt For For  
  REMUNERATION OF DIRECTORS IN THE        
  FORM OF SYNTHETIC SHARES        
           
12.C TRANSFER CLASS A SHARES RELATED Mgmt For For  
  TO PERSONNEL OPTION PLAN FOR 2021        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 32 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
12.D SELL CLASS A SHARES TO COVER COSTS Mgmt For For  
  RELATED TO SYNTHETIC SHARES TO THE        
  BOARD        
           
12.E SELL CLASS A TO COVER COSTS IN Mgmt For For  
  RELATION TO THE PERSONNEL OPTION        
  PLANS FOR 2016, 2017 AND 2018        
           
13 CLOSE MEETING Non-Voting      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 33 of 261

 

Unassigned

BAE SYSTEMS PLC
Security: G06940103 Agenda Number: 713754427
   
Ticker: Meeting Type: AGM
   
ISIN: GB0002634946 Meeting Date: 06-May-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
01 REPORT AND ACCOUNTS Mgmt For For  
           
02 REMUNERATION REPORT Mgmt Against Against  
           
03 FINAL DIVIDEND: 14.3 PENCE PER Mgmt For For  
  ORDINARY SHARE        
           
           
04 RE-ELECT THOMAS ARSENEAULT Mgmt For For  
           
           
05 RE-ELECT SIR ROGER CARR Mgmt For For  
           
           
06 RE-ELECT DAME ELIZABETH CORLEY Mgmt For For  
           
           
07 RE-ELECT BRADLEY GREVE Mgmt For For  
           
           
08 RE-ELECT JANE GRIFFITHS Mgmt For For  
           
           
09 RE-ELECT CHRISTOPHER GRIGG Mgmt For For  
           
           
10 RE-ELECT STEPHEN PEARCE Mgmt For For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 34 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
11 RE-ELECT NICOLE PIASECKI Mgmt For For  
           
12 RE-ELECT IAN TYLER Mgmt For For  
           
13 RE-ELECT CHARLES WOODBURN Mgmt For For  
           
14 ELECT NICHOLAS ANDERSON Mgmt For For  
           
15 ELECT DAME CAROLYN FAIRBAIRN Mgmt For For  
           
16 RE-APPOINTMENT OF AUDITORS: Mgmt For For  
  DELOITTE LLP        
           
17 REMUNERATION OF AUDITORS Mgmt For For  
           
18 POLITICAL DONATIONS UP TO SPECIFIED Mgmt For For  
  LIMITS        
           
19 AUTHORITY TO ALLOT NEW SHARES Mgmt For For  
           
20 DISAPPLICATION OF PRE-EMPTION Mgmt For For  
  RIGHTS        
           
21 PURCHASE OWN SHARES Mgmt For For  
           
22 NOTICE OF GENERAL MEETINGS Mgmt For For  
           
23 AMEND ARTICLES OF ASSOCIATION Mgmt For

 For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 35 of 261

 

Unassigned

BRITISH AMERICAN TOBACCO PLC
   
Security: G1510J102 Agenda Number: 713831320
Ticker: Meeting Type: AGM
ISIN: GB0002875804 Meeting Date: 28-Apr-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT PLEASE NOTE THAT THIS IS AN Non-Voting      
  AMENDMENT TO MEETING ID 532482 DUE        
  TO RECEIPT OF DELETION FOR        
  RESOLUTION NUMBER 9. ALL VOTES        
  RECEIVED ON THE PREVIOUS MEETING        
  WILL BE DISREGARDED IF VOTE        
  DEADLINE EXTENSIONS ARE GRANTED.        
  THEREFORE PLEASE REINSTRUCT ON        
  THIS MEETING NOTICE ON THE NEW JOB.        
  IF HOWEVER VOTE DEADLINE        
  EXTENSIONS ARE NOT GRANTED IN THE        
  MARKET, THIS MEETING WILL BE CLOSED        
  AND YOUR VOTE INTENTIONS ON THE        
  ORIGINAL MEETING WILL BE APPLICABLE.        
  PLEASE ENSURE VOTING IS SUBMITTED        
  PRIOR TO CUTOFF ON THE ORIGINAL        
  MEETING, AND AS SOON AS POSSIBLE        
  ON THIS NEW AMENDED MEETING.        
  THANK YOU        
           
           
1 RECEIPT OF THE 2020 ANNUAL REPORT Mgmt For For  
  AND ACCOUNTS        
           
           
2 APPROVAL OF THE 2020 DIRECTORS’ Mgmt Against Against  
  REMUNERATION REPORT        
           
           
3 REAPPOINTMENT OF THE AUDITORS: Mgmt For For  
  KPMG LLP        
           
           
4 AUTHORITY FOR THE AUDIT COMMITTEE Mgmt For For  
  TO AGREE THE AUDITORS’        
  REMUNERATION        
           
           
5 RE-ELECTION OF LUC JOBIN AS A Mgmt For For  
  DIRECTOR (A, N)        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 -  30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 36 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
6 RE-ELECTION OF JACK BOWLES AS A Mgmt For For  
  DIRECTOR        
           
7 RE-ELECTION OF TADEU MARROCO AS A Mgmt For For  
  DIRECTOR        
           
8 RE-ELECTION OF SUE FARR AS A Mgmt For For  
  DIRECTOR        
           
9 RE-ELECTION OF JEREMY FOWDEN AS A Non-Voting      
  DIRECTOR (A, N)        
           
10 RE-ELECTION OF DR MARION HELMES AS Mgmt For For  
  A DIRECTOR (N, R)        
           
11 RE-ELECTION OF HOLLY KELLER Mgmt For For  
  KOEPPEL AS A DIRECTOR (A, N)        
           
12 RE-ELECTION OF SAVIO KWAN AS A Mgmt For For  
  DIRECTOR (N, R)        
           
13 RE-ELECTION OF DIMITRI Mgmt For For  
  PANAYOTOPOULOS AS A DIRECTOR (N, R)        
           
14 ELECTION OF KAREN GUERRA AS A Mgmt For For  
  DIRECTOR (N, R) WHO HAS BEEN        
  APPOINTED SINCE THE LAST ANNUAL        
  GENERAL MEETING        
           
15 ELECTION OF DARRELL THOMAS AS A Mgmt For For  
  DIRECTOR (A, N), WHO HAS BEEN        
  APPOINTED SINCE THE LAST ANNUAL        
  GENERAL MEETING        
           
16 RENEWAL OF THE DIRECTORS’ Mgmt For For  
  AUTHORITY TO ALLOT SHARES        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 37 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
17 RENEWAL OF THE DIRECTORS’ Mgmt For For  
  AUTHORITY TO DISAPPLY PRE-EMPTION        
  RIGHTS        
           
18 AUTHORITY FOR THE COMPANY TO Mgmt For For  
  PURCHASE ITS OWN SHARES        
           
19 AUTHORITY TO MAKE DONATIONS TO Mgmt For For  
  POLITICAL ORGANISATIONS AND TO        
  INCUR POLITICAL EXPENDITURE        
           
20 NOTICE PERIOD FOR GENERAL Mgmt For For  
  MEETINGS        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 38 of 261

 

Unassigned

CARLSBERG AS
   
Security: K36628137 Agenda Number: 713606563
Ticker: Meeting Type: AGM
ISIN: DK0010181759 Meeting Date: 15-Mar-21

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT IN THE MAJORITY OF MEETINGS THE Non-Voting      
  VOTES ARE CAST WITH THE REGISTRAR        
  WHO WILL FOLLOW CLIENT        
  INSTRUCTIONS. IN A SMALL        
  PERCENTAGE OF MEETINGS THERE IS        
  NO REGISTRAR AND CLIENTS VOTES        
  MAY BE CAST BY THE CHAIRMAN OF THE        
  BOARD OR A BOARD MEMBER AS PROXY.        
  CLIENTS CAN ONLY EXPECT THEM TO        
  ACCEPT PRO-MANAGEMENT VOTES. THE        
  ONLY WAY TO GUARANTEE THAT ABSTAIN        
  AND/OR AGAINST VOTES ARE        
  REPRESENTED AT THE MEETING IS TO        
  SEND YOUR OWN REPRESENTATIVE OR        
  ATTEND THE MEETING IN PERSON. THE        
  SUB CUSTODIAN BANKS OFFER        
  REPRESENTATION SERVICES FOR AN        
  ADDED FEE IF REQUESTED. THANK YOU        
           
CMMT PLEASE BE ADVISED THAT SPLIT AND Non-Voting      
  PARTIAL VOTING IS NOT AUTHORISED        
  FOR A BENEFICIAL OWNER IN THE        
  DANISH MARKET. PLEASE CONTACT        
  YOUR GLOBAL CUSTODIAN FOR        
  FURTHER INFORMATION        
           
CMMT IMPORTANT MARKET PROCESSING Non-Voting      
  REQUIREMENT: A BENEFICIAL OWNER        
  SIGNED POWER OF ATTORNEY (POA) IS        
  REQUIRED IN ORDER TO LODGE AND        
  EXECUTE YOUR VOTING INSTRUCTIONS        
  IN THIS MARKET. ABSENCE OF A POA,        
  MAY CAUSE YOUR INSTRUCTIONS TO BE        
  REJECTED. IF YOU HAVE ANY        
  QUESTIONS, PLEASE CONTACT YOUR        
  CLIENT SERVICE REPRESENTATIVE        


 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 39 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT PLEASE NOTE THAT SHAREHOLDER Non-Voting      
  DETAILS ARE REQUIRED TO VOTE AT        
  THIS MEETING. IF NO SHAREHOLDER        
  DETAILS ARE PROVIDED, YOUR        
  INSTRUCTION MAY CARRY A        
  HEIGHTENED RISK OF BEING REJECTED.        
  THANK YOU        
           
CMMT INTERMEDIARY CLIENTS ONLY - PLEASE Non-Voting      
  NOTE THAT IF YOU ARE CLASSIFIED AS        
  AN INTERMEDIARY CLIENT UNDER THE        
  SHAREHOLDER RIGHTS DIRECTIVE II,        
  YOU SHOULD BE PROVIDING THE        
  UNDERLYING SHAREHOLDER        
  INFORMATION AT THE VOTE        
  INSTRUCTION LEVEL. IF YOU ARE        
  UNSURE ON HOW TO PROVIDE THIS        
  LEVEL OF DATA TO BROADRIDGE        
  OUTSIDE OF PROXYEDGE, PLEASE        
  SPEAK TO YOUR DEDICATED CLIENT        
  SERVICE REPRESENTATIVE FOR        
  ASSISTANCE. THANK YOU        
           
CMMT PLEASE NOTE THAT SHAREHOLDERS Non-Voting      
  ARE ALLOWED TO VOTE ’IN FAVOR’ OR        
  ’ABSTAIN’ ONLY FOR RESOLUTION        
  NUMBERS 6.A TO 6.J AND 7. THANK YOU        
           
1. REPORT ON THE ACTIVITIES OF THE Non-Voting      
  COMPANY IN THE PAST YEAR        
           
2. PRESENTATION OF THE AUDITED Mgmt For For  
  ANNUAL REPORT FOR APPROVAL AND        
  RESOLUTION TO DISCHARGE THE        
  SUPERVISORY BOARD AND THE        
  EXECUTIVE BOARD FROM LIABILITY        
           
3. PROPOSAL FOR DISTRIBUTION OF THE Mgmt For For  
  PROFIT FOR THE YEAR, INCLUDING        
  DECLARATION OF DIVIDENDS: THE        
  SUPERVISORY BOARD PROPOSES A        
  DIVIDEND OF DKK 22 PER SHARE        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 40 of 261

 

Prop. # Proposal PropCMMTosed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
4. PRESENTATION OF AN ADVISORY VOTE Mgmt For For  
  ON THE REMUNERATION REPORT 2020        
           
5A. PROPOSAL FROM THE SUPERVISORY Mgmt For For  
  BOARD: APPROVAL OF THE        
  SUPERVISORY BOARD’S REMUNERATION        
  FOR 2021        
           
5B. PROPOSAL FROM THE SUPERVISORY Mgmt For For  
  BOARD: PROPOSAL TO REDUCE THE        
  COMPANY’S SHARE CAPITAL FOR THE        
  PURPOSE OF CANCELLING TREASURY        
  SHARES        
           
5C. PROPOSAL FROM THE SUPERVISORY Mgmt For For  
  BOARD: PROPOSAL TO AMEND THE        
  COMPANY’S ARTICLES OF ASSOCIATION        
  (AUTHORIZATION TO THE SUPERVISORY        
  BOARD TO ASSEMBLE GENERAL        
  MEETINGS AS FULLY VIRTUAL GENERAL        
  MEETINGS)        
           
5D. PLEASE NOTE THAT THIS RESOLUTION IS Shr For For  
  A SHAREHOLDER PROPOSAL: PROPOSAL        
  FROM THE SHAREHOLDERS        
  AKADEMIKERPENSION AND LD FONDE:        
  PROPOSAL TO COMPLETE AND PUBLISH        
  A TAX TRANSPARENCY FEASIBILITY        
  ASSESSMENT        
           
6.a RE-ELECTION OF MEMBER TO THE Mgmt Abstain Against  
  SUPERVISORY BOARD: FLEMMING        
  BESENBACHER        
           
6.b RE-ELECTION OF MEMBER TO THE Mgmt For For  
  SUPERVISORY BOARD: LARS        
  FRUERGAARD JORGENSEN        
           
6.c RE-ELECTION OF MEMBER TO THE Mgmt For For  
  SUPERVISORY BOARD: CARL BACHE        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 41 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
6.d RE-ELECTION OF MEMBER TO THE Mgmt For For  
  SUPERVISORY BOARD: MAGDI BATATO        
           
6.e RE-ELECTION OF MEMBER TO THE Mgmt For For  
  SUPERVISORY BOARD: LILIAN FOSSUM        
  BINER        
           
6.f RE-ELECTION OF MEMBER TO THE Mgmt For For  
  SUPERVISORY BOARD: RICHARD        
  BURROWS        
           
6.g RE-ELECTION OF MEMBER TO THE Mgmt For For  
  SUPERVISORY BOARD: SOREN-PETER        
  FUCHS OLESEN        
           
6.h RE-ELECTION OF MEMBER TO THE Mgmt For For  
  SUPERVISORY BOARD: MAJKEN SCHULTZ        
           
6.i RE-ELECTION OF MEMBER TO THE Mgmt For For  
  SUPERVISORY BOARD: LARS STEMMERIK        
           
6.j ELECTION OF MEMBER TO THE Mgmt For For  
  SUPERVISORY BOARD: HENRIK POULSEN        
           
7. RE-ELECTION OF THE AUDITOR Mgmt For For  
  PRICEWATERHOUSECOOPERS        
  STATSAUTORISERET        
  REVISIONSPARTNERSELSKAB (PWC)        

 

 

 

  

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 42 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT PLEASE NOTE THAT IF YOU HOLD CREST Non-Voting      
  DEPOSITORY INTERESTS (CDIs) AND        
  PARTICIPATE AT THIS MEETING, YOU (OR        
  YOUR CREST SPONSORED        
  MEMBER/CUSTODIAN) WILL BE        
  REQUIRED TO INSTRUCT A TRANSFER OF        
  THE RELEVANT CDIs TO THE ESCROW        
  ACCOUNT SPECIFIED IN THE        
  ASSOCIATED CORPORATE EVENT IN THE        
  CREST SYSTEM. THIS TRANSFER WILL        
  NEED TO BE COMPLETED BY THE        
  SPECIFIED CREST SYSTEM DEADLINE.        
  ONCE THIS TRANSFER HAS SETTLED,        
           
  THE CDIs WILL BE BLOCKED IN THE        
  CREST SYSTEM. THE CDIs WILL BE        
  RELEASED FROM ESCROW AS SOON AS        
  PRACTICABLE ON THE BUSINESS DAY        
  PRIOR TO MEETING DATE UNLESS        
  OTHERWISE SPECIFIED. IN ORDER FOR A        
  VOTE TO BE ACCEPTED, THE VOTED        
  POSITION MUST BE BLOCKED IN THE        
  REQUIRED ESCROW ACCOUNT IN THE        
  CREST SYSTEM. BY VOTING ON THIS        
  MEETING, YOUR CREST SPONSORED        
  MEMBER/CUSTODIAN MAY USE YOUR        
  VOTE INSTRUCTION AS THE        
  AUTHORIZATION TO TAKE THE        
  NECESSARY ACTION WHICH WILL        
  INCLUDE TRANSFERRING YOUR        
  INSTRUCTED POSITION TO ESCROW.        
  PLEASE CONTACT YOUR CREST        
  SPONSORED MEMBER/CUSTODIAN        
  DIRECTLY FOR FURTHER INFORMATION        
  ON THE CUSTODY PROCESS AND        
  WHETHER OR NOT THEY REQUIRE        
  SEPARATE INSTRUCTIONS FROM YOU        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 43 of 261

 

Unassigned

COLOPLAST A/S
   
Security: K16018192 Agenda Number: 713354102
Ticker: Meeting Type: AGM
ISIN: DK0060448595 Meeting Date: 03-Dec-20

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT IN THE MAJORITY OF MEETINGS THE Non-Voting      
  VOTES ARE CAST WITH THE REGISTRAR        
  WHO WILL FOLLOW CLIENT        
  INSTRUCTIONS. IN A SMALL        
  PERCENTAGE OF MEETINGS THERE IS        
  NO REGISTRAR AND CLIENTS VOTES        
  MAY BE CAST BY THE CHAIRMAN OF THE        
  BOARD OR A BOARD MEMBER AS PROXY.        
  CLIENTS CAN ONLY EXPECT THEM TO        
  ACCEPT PRO-MANAGEMENT VOTES. THE        
  ONLY WAY TO GUARANTEE THAT ABSTAIN        
  AND/OR AGAINST VOTES ARE        
  REPRESENTED AT THE MEETING IS TO        
  SEND YOUR OWN REPRESENTATIVE OR        
  ATTEND THE MEETING IN PERSON. THE        
  SUB CUSTODIAN BANKS OFFER        
  REPRESENTATION SERVICES FOR AN        
  ADDED FEE IF REQUESTED. THANK YOU        
           
CMMT PLEASE BE ADVISED THAT SPLIT AND Non-Voting      
  PARTIAL VOTING IS NOT AUTHORISED        
  FOR A BENEFICIAL OWNER IN THE        
  DANISH MARKET. PLEASE CONTACT        
  YOUR GLOBAL CUSTODIAN FOR        
  FURTHER INFORMATION.        
           
CMMT IMPORTANT MARKET PROCESSING Non-Voting      
  REQUIREMENT: A BENEFICIAL OWNER        
  SIGNED POWER OF ATTORNEY (POA) IS        
  REQUIRED IN ORDER TO LODGE AND        
  EXECUTE YOUR VOTING INSTRUCTIONS        
  IN THIS MARKET. ABSENCE OF A POA,        
  MAY CAUSE YOUR INSTRUCTIONS TO BE        
  REJECTED. IF YOU HAVE ANY        
  QUESTIONS, PLEASE CONTACT YOUR        
  CLIENT SERVICE REPRESENTATIVE        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 44 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT PLEASE NOTE THAT SHAREHOLDER Non-Voting      
  DETAILS ARE REQUIRED TO VOTE AT        
  THIS MEETING. IF NO SHAREHOLDER        
  DETAILS ARE PROVIDED, YOUR        
  INSTRUCTION MAY CARRY A        
  HEIGHTENED RISK OF BEING REJECTED.        
  THANK YOU        
           
1 REPORT BY THE BOARD OF DIRECTORS Non-Voting      
  ON THE ACTIVITIES OF THE COMPANY        
  DURING THE PAST FINANCIAL YEAR        
           
2 PRESENTATION AND APPROVAL OF THE Mgmt For For  
  AUDITED ANNUAL REPORT        
           
3 RESOLUTION ON THE DISTRIBUTION OF Mgmt For For  
  PROFIT IN ACCORDANCE WITH THE        
  APPROVED ANNUAL REPORT        
           
4 PRESENTATION AND APPROVAL OF THE Mgmt For For  
  REMUNERATION REPORT        
           
5 APPROVAL OF THE BOARD OF Mgmt For For  
  DIRECTORS’ REMUNERATION FOR THE        
  CURRENT FINANCIAL YEAR        
           
6.1 PROPOSAL BY THE BOARD OF Mgmt For For  
  DIRECTORS: UPDATE OF REMUNERATION        
  POLICY        
           
6.2.1 PROPOSAL BY THE BOARD OF Mgmt For For  
  DIRECTORS: AMENDMENT OF ARTICLE 2        
  OF THE ARTICLES OF ASSOCIATION -        
  OBJECT        
           
6.2.2 PROPOSAL BY THE BOARD OF Mgmt For For  
  DIRECTORS: ADOPTION OF NEW ARTICLE        
  11 OF THE ARTICLES OF ASSOCIATION -        
  ELECTRONIC GENERAL MEETING        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 45 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
6.3 PLEASE NOTE THAT THIS RESOLUTION IS Shr For For  
  A SHAREHOLDER PROPOSAL: PROPOSAL        
  BY THE SHAREHOLDER: FOR THE BOARD        
  OF DIRECTORS TO COMPLETE AN        
  ASSESSMENT OF THE VIABILITY OF        
  COLOPLAST TO PUBLISH CORPORATE        
  COUNTRY-BY-COUNTRY TAX REPORTING        
  IN LINE WITH THE GLOBAL REPORTING        
  INITIATIVE’S STANDARD (GRI 207: TAX        
  2019) STARTING FROM FINANCIAL YEAR        
  2021/22. THE FINDINGS OF THE        
  ASSESSMENT SHOULD BE MADE PUBLIC        
  BEFORE THE AGM IN 2021        
           
CMMT PLEASE NOTE THAT SHAREHOLDERS Non-Voting      
  ARE ALLOWED TO VOTE ’IN FAVOR’ OR        
  ’ABSTAIN’ ONLY FOR RESOLUTION        
  NUMBERS 7.1 TO 7.6 AND 8. THANK YOU        
           
7.1 ELECTION OF MEMBER TO THE BOARD Mgmt For For  
  OF DIRECTORS. THE BOARD OF        
  DIRECTORS PROPOSES ELECTION OF        
  THE FOLLOWING MEMBER: LARS SOREN        
  RASMUSSEN        
           
7.2 ELECTION OF MEMBER TO THE BOARD Mgmt For For  
  OF DIRECTORS. THE BOARD OF        
  DIRECTORS PROPOSES ELECTION OF        
  THE FOLLOWING MEMBER: NIELS PETER        
  LOUIS-HANSEN        
           
7.3 ELECTION OF MEMBER TO THE BOARD Mgmt For For  
  OF DIRECTORS. THE BOARD OF        
  DIRECTORS PROPOSES ELECTION OF        
  THE FOLLOWING MEMBER: BIRGITTE        
  NIELSEN        
           
7.4 ELECTION OF MEMBER TO THE BOARD Mgmt For For  
  OF DIRECTORS. THE BOARD OF        
  DIRECTORS PROPOSES ELECTION OF        
  THE FOLLOWING MEMBER: CARSTEN        
  HELLMANN        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 46 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
7.5 ELECTION OF MEMBER TO THE BOARD Mgmt For For  
  OF DIRECTORS. THE BOARD OF        
  DIRECTORS PROPOSES ELECTION OF        
  THE FOLLOWING MEMBER: JETTE        
  NYGAARD-ANDERSEN        
           
7.6 ELECTION OF MEMBER TO THE BOARD Mgmt For For  
  OF DIRECTORS. THE BOARD OF        
  DIRECTORS PROPOSES ELECTION OF        
  THE FOLLOWING MEMBER: MARIANNE        
  WIINHOLT        
           
8 ELECTION OF AUDITORS. THE BOARD OF Mgmt For For  
  DIRECTORS PROPOSES THE RE-        
  ELECTION OF        
  PRICEWATERHOUSECOOPERS        
  STATSAUTORISERET        
  REVISIONSPARTNERSELSKAB AS THE        
  COMPANY’S AUDITORS        
           
9 ANY OTHER BUSINESS Non-Voting      

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 47 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
CMMT 11 NOV 2020: PLEASE NOTE THAT IF YOU Non-Voting      
  HOLD CREST DEPOSITORY INTERESTS        
  (CDIS) AND PARTICIPATE AT THIS        
  MEETING, YOU (OR YOUR CREST        
  SPONSORED MEMBER/CUSTODIAN) WILL        
  BE REQUIRED TO INSTRUCT A TRANSFER        
  OF THE RELEVANT CDIS TO THE        
  ESCROW ACCOUNT SPECIFIED IN THE        
  ASSOCIATED CORPORATE EVENT IN THE        
  CREST SYSTEM. THIS TRANSFER WILL        
  NEED TO BE COMPLETED BY THE        
  SPECIFIED CREST SYSTEM DEADLINE.        
  ONCE THIS TRANSFER HAS SETTLED,        
  THE CDIS WILL BE BLOCKED IN THE        
  CREST SYSTEM. THE CDIS WILL BE        
  RELEASED FROM ESCROW AS SOON AS        
  PRACTICABLE ON THE BUSINESS DAY        
  PRIOR TO MEETING DATE UNLESS        
  OTHERWISE SPECIFIED. IN ORDER FOR A        
  VOTE TO BE ACCEPTED, THE VOTED        
  POSITION MUST BE BLOCKED IN THE        
  REQUIRED ESCROW ACCOUNT IN THE        
  CREST SYSTEM. BY VOTING ON THIS        
  MEETING, YOUR CREST SPONSORED        
  MEMBER/CUSTODIAN MAY USE YOUR        
           
  VOTE INSTRUCTION AS THE        
  AUTHORIZATION TO TAKE THE        
  NECESSARY ACTION WHICH WILL        
  INCLUDE TRANSFERRING YOUR        
  INSTRUCTED POSITION TO ESCROW.        
  PLEASE CONTACT YOUR CREST        
  SPONSORED MEMBER/CUSTODIAN        
  DIRECTLY FOR FURTHER INFORMATION        
  ON THE CUSTODY PROCESS AND        
  WHETHER OR NOT THEY REQUIRE        
  SEPARATE INSTRUCTIONS FROM YOU        
           
CMMT 11 NOV 2020: PLEASE NOTE THAT THIS IS Non-Voting      
  A REVISION DUE TO ADDITION OF        
  COMMENT. IF YOU HAVE ALREADY SENT        
  IN YOUR VOTES, PLEASE DO NOT VOTE        
  AGAIN UNLESS YOU DECIDE TO AMEND        
  YOUR ORIGINAL INSTRUCTIONS. THANK        
  YOU.        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 48 of 261

Unassigned

COMPAGNIE FINANCIERE RICHEMONT SA
   
Security: H25662182 Agenda Number: 713030396
Ticker: Meeting Type: AGM
ISIN: CH0210483332 Meeting Date: 09-Sep-20

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
CMMT PART 2 OF THIS MEETING IS FOR VOTING Non-Voting      
  ON AGENDA AND MEETING ATTENDANCE        
  REQUESTS ONLY. PLEASE ENSURE THAT        
  YOU HAVE FIRST VOTED IN FAVOUR OF        
  THE REGISTRATION OF SHARES IN PART        
  1 OF THE MEETING. IT IS A MARKET        
  REQUIREMENT FOR MEETINGS OF THIS        
  TYPE THAT THE SHARES ARE        
  REGISTERED AND MOVED TO A        
  REGISTERED LOCATION AT THE CSD,        
  AND SPECIFIC POLICIES AT THE        
  INDIVIDUAL SUB-CUSTODIANS MAY VARY.        
  UPON RECEIPT OF THE VOTE        
  INSTRUCTION, IT IS POSSIBLE THAT A        
  MARKER MAY BE PLACED ON YOUR        
  SHARES TO ALLOW FOR        
  RECONCILIATION AND RE-REGISTRATION        
  FOLLOWING A TRADE. THEREFORE        
  WHILST THIS DOES NOT PREVENT THE        
  TRADING OF SHARES, ANY THAT ARE        
  REGISTERED MUST BE FIRST        
  DEREGISTERED IF REQUIRED FOR        
  SETTLEMENT. DEREGISTRATION CAN        
  AFFECT THE VOTING RIGHTS OF THOSE        
  SHARES. IF YOU HAVE CONCERNS        
  REGARDING YOUR ACCOUNTS, PLEASE        
  CONTACT YOUR CLIENT        
  REPRESENTATIVE        
           
1 ACCEPT FINANCIAL STATEMENTS AND Mgmt For For  
  STATUTORY REPORTS        
           
2 APPROVE ALLOCATION OF INCOME AND Mgmt For For  
  DIVIDENDS OF CHF 1.00 PER        
  REGISTERED A SHARE AND CHF 0.10 PER        
  REGISTERED B SHARE        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 49 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
3 APPROVE CREATION OF CHF 24.2 Mgmt For For  
  MILLION POOL OF CONDITIONAL CAPITAL        
  TO COVER EXERCISE OF WARRANTS        
           
4 APPROVE DISCHARGE OF BOARD AND Mgmt For For  
  SENIOR MANAGEMENT        
           
5.1 REELECT JOHANN RUPERT AS DIRECTOR Mgmt For For  
  AND BOARD CHAIRMAN        
           
5.2 REELECT JOSUA MALHERBE AS Mgmt For For  
  DIRECTOR        
           
5.3 REELECT NIKESH ARORA AS DIRECTOR Mgmt For For  
           
5.4 REELECT NICOLAS BOS AS DIRECTOR Mgmt For For  
           
5.5 REELECT CLAY BRENDISH AS DIRECTOR Mgmt For For  
           
5.6 REELECT JEAN-BLAISE ECKERT AS Mgmt For For  
  DIRECTOR        
           
5.7 REELECT BURKHART GRUND AS Mgmt For For  
  DIRECTOR        
           
5.8 REELECT KEYU JIN AS DIRECTOR Mgmt For For  
           
5.9 REELECT JEROME LAMBERT AS Mgmt For For  
  DIRECTOR        
           
5.10 REELECT RUGGERO MAGNONI AS Mgmt For For  
  DIRECTOR        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 50 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
5.11 REELECT JEFF MOSS AS DIRECTOR Mgmt For For  
           
5.12 REELECT VESNA NEVISTIC AS DIRECTOR Mgmt For For  
           
           
5.13 REELECT GUILLAUME PICTET AS Mgmt For For  
  DIRECTOR        
           
5.14 REELECT ALAN QUASHA AS DIRECTOR Mgmt For For  
           
5.15 REELECT MARIA RAMOS AS DIRECTOR Mgmt For For  
           
5.16 REELECT ANTON RUPERT AS DIRECTOR Mgmt For For  
           
5.17 REELECT JAN RUPERT AS DIRECTOR Mgmt For For  
           
5.18 REELECT GARY SAAGE AS DIRECTOR Mgmt For For  
           
5.19 REELECT CYRILLE VIGNERON AS Mgmt For For  
  DIRECTOR        
           
5.20 ELECT WENDY LUHABE AS DIRECTOR Mgmt For For  
           
6.1 REAPPOINT CLAY BRENDISH AS MEMBER Mgmt For For  
  OF THE COMPENSATION COMMITTEE        
           
6.2 REPPOINT KEYU JIN AS MEMBER OF THE Mgmt For For  
  COMPENSATION COMMITTEE        

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 - 30-Jun-2021 Report Date:       29-Jul-2021
      Page 51 of 261

  

           

Prop. #

Proposal

Proposed 

Proposal Vote

For/Against

 

 

 

by

 

Management’s

 

 

 

 

 

Recommendation

 

           

6.3

REAPPOINT GUILLAUME PICTET AS MEMBER OF THE COMPENSATION COMMITTEE

Mgmt

For

For

 

 

 

 

 

 

 

6.4

REAPPOINT MARIA RAMOS AS MEMBER OF THE COMPENSATION COMMITTEE

Mgmt

For

For

 

 

 

 

 

 

 

7

RATIFY PRICEWATERHOUSECOOPERS SA AS AUDITORS

Mgmt

For

For

 

 

 

 

 

 

 

8

DESIGNATE ETUDE GAMPERT DEMIERRE MORENO AS INDEPENDENT PROXY

Mgmt

For

For

 

 

 

 

 

 

 

9.1

APPROVE REMUNERATION OF DIRECTORS IN THE AMOUNT OF CHF 6.7 MILLION

Mgmt

For

For

 

 

 

 

 

 

 

9.2

APPROVE FIXED REMUNERATION OF EXECUTIVE COMMITTEE IN THE AMOUNT OF CHF 15.8 MILLION

Mgmt

For

For

 

 

 

 

 

 

 

9.3

APPROVE VARIABLE REMUNERATION OF EXECUTIVE COMMITTEE IN THE AMOUNT OF CHF 38.3 MILLION

Mgmt

For

For

 

 

 

 

 

 

 

CMMT

PLEASE NOTE THAT BENEFICIAL OWNER DETAILS ARE REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU.

Non-Voting

 

 

 

 

 

 

 

 

 

 Investment Company Report

 

Meeting Date Range:  01-Jul-2020 - 30-Jun-2021 Report Date:       29-Jul-2021
      Page 52 of 261

 

Unassigned

COMPAGNIE FINANCIERE RICHEMONT SA

Security: H25662182

Agenda Number: 713248979

Ticker:

Meeting Type: EGM

ISIN: CH0210483332

Meeting Date: 17-Nov-20

 

           

Prop. #

Proposal

Proposed 

Proposal Vote

For/Against

 

 

 

by

 

Management’s

 

 

 

 

 

Recommendation

 

           

CMMT

PLEASE NOTE THAT BENEFICIAL OWNER DETAILS ARE REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU.

Non-Voting

 

 

 

 

 

 

 

 

 

CMMT

PART 2 OF THIS MEETING IS FOR VOTING ON AGENDA AND MEETING ATTENDANCE REQUESTS ONLY. PLEASE ENSURE THAT YOU HAVE FIRST VOTED IN FAVOUR OF THE REGISTRATION OF SHARES IN PART 1 OF THE MEETING. IT IS A MARKET REQUIREMENT FOR MEETINGS OF THIS TYPE THAT THE SHARES ARE REGISTERED AND MOVED TO A REGISTERED LOCATION AT THE CSD, AND SPECIFIC POLICIES AT THE INDIVIDUAL SUB-CUSTODIANS MAY VARY. UPON RECEIPT OF THE VOTE INSTRUCTION, IT IS POSSIBLE THAT A MARKER MAY BE PLACED ON YOUR SHARES TO ALLOW FOR RECONCILIATION AND RE-REGISTRATION FOLLOWING A TRADE. THEREFORE WHILST THIS DOES NOT PREVENT THE TRADING OF SHARES, ANY THAT ARE REGISTERED MUST BE FIRST DEREGISTERED IF REQUIRED FOR SETTLEMENT. DEREGISTRATION CAN AFFECT THE VOTING RIGHTS OF THOSE SHARES. IF YOU HAVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE

Non-Voting

 

 

 

 

 

 

 

 

 

1

APPROVE CREATION OF CHF 24.2 MILLION POOL OF CAPITAL WITHOUT PREEMPTIVE RIGHTS

Mgmt

For

For

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 - 30-Jun-2021  Report Date:       29-Jul-2021
      Page 53 of 261

 

           

Prop. #

Proposal

Proposed 

Proposal Vote

For/Against

 

 

 

by

 

Management’s

 

 

 

 

 

Recommendation

 

           

CMMT

27 OCT 2020: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN RECORD DATE FROM 03 NOV 2020 TO 09 NOV 2020. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.

Non-Voting

 

 

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 - 30-Jun-2021  Report Date:       29-Jul-2021
      Page 53 of 261

 

Unassigned

COMPASS GROUP PLC
   
Security: G23296208 Agenda Number: 713451021
Ticker: Meeting Type: AGM
ISIN: GB00BD6K4575 Meeting Date: 04-Feb-21

 

           

Prop. #

Proposal

Proposed 

Proposal Vote

For/Against

 

 

 

by

 

Management’s

 

 

 

 

 

Recommendation

 
           

1

RECEIVE AND ADOPT THE DIRECTORS’ ANNUAL REPORT AND ACCOUNTS AND THE AUDITOR’S REPORT THEREON

Mgmt

For

For

 

 

 

 

 

 

 

2

RECEIVE AND ADOPT THE REMUNERATION POLICY

Mgmt

For

For

 

 

 

 

 

 

 

3

RECEIVE AND ADOPT THE DIRECTORS’ REMUNERATION REPORT

Mgmt

For

For

 

 

 

 

 

 

 

4

ELECT IAN MEAKINS AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

 

 

5

RE-ELECT DOMINIC BLAKEMORE AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

 

 

6

RE-ELECT GARY GREEN AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

 

 

7

RE-ELECT KAREN WITTS AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

 

 

8

RE-ELECT CAROL ARROWSMITH AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

 

 

9

RE-ELECT JOHN BASON AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

 

 

10

RE-ELECT STEFAN BOMHARD AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 - 30-Jun-2021 Report Date:       29-Jul-2021
      Page 55 of 261

 

           

Prop. #

Proposal

Proposed 

Proposal Vote

For/Against

 

 

 

by

 

Management’s

 

 

 

 

 

Recommendation

 

           

11

RE-ELECT JOHN BRYANT AS A DIRECTOR 

Mgmt

For

For

 

 

 

 

 

 

 

12

RE-ELECT ANNE-FRANCOISE NESMES AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

 

 

13

RE-ELECT NELSON SILVA AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

 

 

14

RE-ELECT IREENA VITTAL AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

 

 

15

REAPPOINT KPMG LLP AS AUDITOR

Mgmt

For

For

 

 

 

 

 

 

 

16

AUTHORISE THE AUDIT COMMITTEE TO AGREE THE AUDITOR’S REMUNERATION

Mgmt

For

For

 

 

 

 

 

 

 

17

DONATIONS TO POLITICAL ORGANISATIONS

Mgmt

For

For

 

 

 

 

 

 

 

18

AUTHORITY TO ALLOT SHARES

Mgmt

For

For

 

 

 

 

 

 

 

19

AUTHORITY TO ALLOT SHARES FOR CASH

Mgmt

For

For

 

 

 

 

 

 

 

20

ADDITIONAL AUTHORITY TO ALLOT SHARES FOR CASH IN LIMITED CIRCUMSTANCES

Mgmt

For

For

 

 

 

 

 

 

 

21

AUTHORITY TO PURCHASE SHARES

Mgmt

For

For

 

 

 

 

 

 

 

22

ADOPTION OF ARTICLES OF ASSOCIATION

Mgmt

For

For

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 - 30-Jun-2021 Report Date:       29-Jul-2021
      Page 56 of 261

 

           
Prop. # Proposal Proposed  Proposal Vote For/Against  
    by   Management’s  
        Recommendation  
           
23 REDUCE GENERAL MEETING NOTICE Mgmt For For  
  PERIODS: TO AUTHORISE THE        
  DIRECTORS TO CALL A GENERAL        
  MEETING OF THE COMPANY, OTHER        
  THAN AN ANNUAL GENERAL MEETING,        
  ON NOT LESS THAN 14 CLEAR WORKING        
  DAYS' NOTICE, PROVIDED THAT THIS        
  AUTHORITY SHALL EXPIRE AT THE        
  CONCLUSION OF THE NEXT ANNUAL        
  GENERAL MEETING OF THE COMPANY        
  AFTER THE DATE OF THE PASSING OF        
  THIS RESOLUTION        
           
CMMT 16 DEC 2020: PLEASE NOTE THAT THIS IS Non-Voting      
  A REVISION DUE TO MODIFICATION OF        
  THE TEXT OF RESOLUTION 23. IF YOU        
  HAVE ALREADY SENT IN YOUR VOTES,        
  PLEASE DO NOT VOTE AGAIN UNLESS        
  YOU DECIDE TO AMEND YOUR ORIGINAL        
  INSTRUCTIONS. THANK YOU        

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

Page 57 of 261

 

 

Unassigned

DANONE SA

Security: 

 F12033134

Agenda Number:

713755657

Ticker:

 

Meeting Type:

MIX

ISIN: 

 FR0000120644

Meeting Date:

29-Apr-21

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

CMMT

THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE.

Non-Voting

 

 

         

CMMT

FOLLOWING CHANGES IN THE FORMAT OF PROXY CARDS FOR FRENCH MEETINGS, ABSTAIN IS NOW A VALID VOTING OPTION. FOR ANY ADDITIONAL ITEMS RAISED AT THE MEETING THE VOTING OPTION WILL DEFAULT TO ‘AGAINST’, OR FOR POSITIONS WHERE THE PROXY CARD IS NOT COMPLETED BY BROADRIDGE, TO THE PREFERENCE OF YOUR CUSTODIAN.

Non-Voting

 

 

         

CMMT

PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU

Non-Voting

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

Page 58 of 261

 

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

CMMT

PLEASE NOTE THAT DUE TO THE CURRENT COVID19 CRISIS AND IN ACCORDANCE WITH THE PROVISIONS ADOPTED BY THE FRENCH GOVERNMENT UNDER LAW NO. 2020- 1379 OF NOVEMBER 14, 2020, EXTENDED AND MODIFIED BY LAW NO 2020-1614 OF DECEMBER 18, 2020 THE GENERAL MEETING WILL TAKE PLACE BEHIND CLOSED DOORS WITHOUT THE PHYSICAL PRESENCE OF THE SHAREHOLDERS. TO COMPLY WITH THESE LAWS, PLEASE DO NOT SUBMIT ANY REQUESTS TO ATTEND THE MEETING IN PERSON. SHOULD THIS SITUATION CHANGE, THE COMPANY ENCOURAGES ALL SHAREHOLDERS TO REGULARLY CONSULT THE COMPANY WEBSITE

Non-Voting

 

 

         

CMMT

14 APR 2021: PLEASE NOTE THAT IMPORTANT ADDITIONAL MEETING INFORMATION IS AVAILABLE BY CLICKING ON THE MATERIAL URL LINK: https://www.journal- officiel.gouv.fr/balo/document/2021041421009 17-45 AND PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF COMMENT AND CHANGE IN NUMBERING OF ALL RESOLUTIONS AND CHANGE IN TEXT OF COMMENT AND RECEIPT OF UPDATED BALO. IF YOU HAVE ALREADY SENT IN YOUR VOTES TO MID 541236, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS

Non-Voting

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

Page 59 of 261

 

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

CMMT

PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE  CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU AND PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU

Non-Voting

 

 

         

CMMT

07 APR 2021: PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 535348 DUE TO RECEIPT OF ADDITIONAL RESOLUTIONS 27 AND 28. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED IF VOTE DEADLINE EXTENSIONS ARE GRANTED. THEREFORE PLEASE REINSTRUCT ON THIS MEETING NOTICE ON THE NEW JOB. IF HOWEVER VOTE DEADLINE EXTENSIONS ARE NOT GRANTED IN THE MARKET, THIS MEETING WILL BE CLOSED AND YOUR VOTE INTENTIONS ON THE ORIGINAL MEETING WILL BE APPLICABLE. PLEASE ENSURE VOTING IS SUBMITTED PRIOR TO CUTOFF ON THE ORIGINAL MEETING, AND AS SOON AS POSSIBLE ON THIS NEW AMENDED MEETING. THANK YOU.

Non-Voting

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

Page 60 of 261

 

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
         
1 APPROVAL OF THE CORPORATE Mgmt For For
  FINANCIAL STATEMENTS FOR THE      
  FINANCIAL YEAR ENDED 31 DECEMBER      
  2020      
         
         
2 APPROVAL OF THE CONSOLIDATED Mgmt For For
  FINANCIAL STATEMENTS FOR THE      
  FINANCIAL YEAR ENDED 31 DECEMBER      
  2020      
         
         
3 ALLOCATION OF INCOME FOR THE Mgmt For For
  FINANCIAL YEAR ENDED 31 DECEMBER      
  2020 AND SETTING OF THE DIVIDEND AT      
  1.94 EUROS PER SHARE      
         
         
4 RENEWAL OF THE TERM OF OFFICE OF Mgmt For For
  MR. GUIDO BARILLA AS DIRECTOR      
         
         
5 RENEWAL OF THE TERM OF OFFICE OF Mgmt For For
  MRS. CECILE CABANIS AS DIRECTOR      
         
         
6 RENEWAL OF THE TERM OF OFFICE OF Mgmt For For
  MR. MICHEL LANDEL AS DIRECTOR      
  PURSUANT TO PARAGRAPH 2 OF      
  ARTICLE 15-II OF THE BY-LAWS      
         
         
7 RENEWAL OF THE TERM OF OFFICE OF Mgmt For For
  MRS. SERPIL TIMURAY AS DIRECTOR      
         
         
8 RATIFICATION OF THE CO-OPTATION OF Mgmt For For
  MR. GILLES SCHNEPP AS DIRECTOR, AS      
  A REPLACEMENT FOR MR. GREGG L.      
  ENGLES, WHO RESIGNED      
         
         
9 APPROVAL OF THE AGREEMENTS Mgmt For For
  SUBJECT TO THE PROVISIONS OF      
  ARTICLES L.225-38 AND FOLLOWING OF      
  THE FRENCH COMMERCIAL CODE      
  CONCLUDED BY THE COMPANY WITH      
  THE SICAV DANONE COMMUNITIES      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

Page 61 of 261

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

10

APPROVAL OF THE INFORMATION RELATING TO THE REMUNERATION OF CORPORATE OFFICERS MENTIONED IN SECTION I OF ARTICLE L.22-10-9 OF THE FRENCH COMMERCIAL CODE FOR THE FINANCIAL YEAR 2020

Mgmt

For

For

 

 

 

 

 

11

APPROVAL OF THE COMPENSATION ELEMENTS PAID DURING OR AWARDED IN RESPECT OF THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 TO MR. EMMANUEL FABER, CHAIRMAN AND CHIEF EXECUTIVE OFFICER

Mgmt

For

For

 

12

APPROVAL OF THE REMUNERATION POLICY FOR EXECUTIVE CORPORATE OFFICERS FOR THE FINANCIAL YEAR 2021

Mgmt

For

For

 

 

 

 

 

13

SETTING OF THE OVERALL ANNUAL REMUNERATION AMOUNT OF DIRECTORS

Mgmt

For

For

 

 

 

 

 

14

APPROVAL OF THE REMUNERATION POLICY FOR THE DIRECTORS FOR THE FINANCIAL YEAR 2021

Mgmt

For

For

 

 

 

 

 

15

AUTHORIZATION TO BE GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO PURCHASE, RETAIN OR TRANSFER SHARES OF THE COMPANY

Mgmt

For

For

 

 

 

 

 

16

DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO ISSUE COMMON SHARES AND TRANSFERABLE SECURITIES, WITH RETENTION OF THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHT

Mgmt

For

For

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

Page 62 of 261

 

 

Prop. #

Proposal

Proposed
by

 Proposal Vote

For/Against
Management’s
Recommendation

17

DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO ISSUE COMMON SHARES AND TRANSFERABLE SECURITIES, WITH CANCELLATION OF THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHT, BUT WITH THE OBLIGATION TO GRANT A PRIORITY RIGHT

Mgmt

For

For

 

 

 

 

 

18

DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN CASE OF A CAPITAL INCREASE WITH CANCELLATION OF THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHT, IN ORDER TO INCREASE THE NUMBER OF SECURITIES TO BE ISSUED

Mgmt

For

For

 

 

 

 

 

19

DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO ISSUE COMMON SHARES AND TRANSFERABLE SECURITIES, WITHOUT THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHT, IN THE EVENT OF A PUBLIC EXCHANGE OFFER INITIATED BY THE COMPANY

Mgmt

For

For

 

 

 

 

 

20

DELEGATION OF POWERS TO THE BOARD OF DIRECTORS IN ORDER TO ISSUE COMMON SHARES AND TRANSFERABLE SECURITIES, WITHOUT THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHT, TO REMUNERATE CONTRIBUTIONS IN KIND GRANTED TO THE COMPANY AND CONSTITUTED OF EQUITY SECURITIES OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL

Mgmt

For

For

 

 

 

 

 

21

DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO INCREASE THE COMPANY’S CAPITAL BY INCORPORATION OF RESERVES, PROFITS, PREMIUMS OR OTHER AMOUNTS WHOSE CAPITALISATION WOULD BE ALLOWED

Mgmt

 

For

 

For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

Page 63 of 261

 

 

Prop. #

Proposal

Proposed
by

 Proposal Vote

For/Against
Management’s
Recommendation

22

DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO ISSUE COMMON SHARES AND TRANSFERABLE SECURITIES RESERVED FOR EMPLOYEES WHO ARE MEMBERS OF A COMPANY SAVINGS PLAN AND/OR FOR TRANSFERS OF RESERVED SECURITIES, WITHOUT THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHT

Mgmt

For

For

 

 

 

 

 

23

DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO ISSUE COMMON SHARES AND TRANSFERABLE SECURITIES, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, RESERVED FOR CATEGORIES OF BENEFICIARIES CONSISTING OF EMPLOYEES WORKING IN FOREIGN COMPANIES OF THE DANONE GROUP, OR IN A SITUATION OF INTERNATIONAL MOBILITY, IN THE CONTEXT OF EMPLOYEE SHAREHOLDING OPERATIONS

Mgmt

For

For

 

 

 

 

 

24

AUTHORIZATION GRANTED TO THE BOARD OF DIRECTORS TO PROCEED WITH ALLOCATIONS OF EXISTING SHARES OR SHARES TO BE ISSUED OF THE COMPANY, WITHOUT THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHT

Mgmt

For

For

 

 

 

 

 

25

AUTHORIZATION GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO REDUCE THE CAPITAL BY CANCELLING SHARES

Mgmt

For

For

 

 

 

 

 

26

POWERS TO CARRY OUT FORMALITIES

Mgmt

For

For

 

 

 

 

 

27

APPROVAL OF THE COMPENSATION POLICY FOR EXECUTIVE CORPORATE OFFICERS ON AN INTERIM BASIS FOR THE FINANCIAL YEAR 2021

Mgmt

For

For

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

Page 64 of 261

 

 

Prop. #

Proposal

Proposed
by

 Proposal Vote

For/Against
Management’s
Recommendation

28

 

 

 

 

 

 

APPROVAL OF THE ELEMENTS OF COMPENSATION PAID DURING OR AWARDED IN RESPECT OF THE FINANCIAL YEAR 2021 TO MR. EMMANUEL FABER, CHAIRMAN AND CHIEF EXECUTIVE OFFICER, UNTIL HIS DEPARTURE

Mgmt

 

 

 

 

 

 

For

 

 

 

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

Page 65 of 261

 

 

Unassigned 

DEUTSCHE POST AG
Security:  D19225107 Agenda Number:  713717823
Ticker:   Meeting Type:  AGM
ISIN:  DE0005552004 Meeting Date:  06-May-21

  

Prop. #

Proposal

Proposed
by

 Proposal Vote

For/Against
Management’s
Recommendation

CMMT

PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU

Non-Voting

 

 

 

 

 

 

 

CMMT

FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE AVAILABLE AS A LINK UNDER THE ’MATERIAL URL’ DROPDOWN AT THE TOP OF THE BALLOT. THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN PLACE. FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE

Non-Voting

 

 

 

 

 

 

 

CMMT

PLEASE NOTE THAT FOLLOWING THE AMENDMENT TO PARAGRAPH 21 OF THE SECURITIES TRADE ACT ON 9TH JULY 2015 AND THE OVER-RULING OF THE DISTRICT COURT IN COLOGNE JUDGMENT FROM 6TH JUNE 2012 THE VOTING PROCESS HAS NOW CHANGED WITH REGARD TO THE GERMAN REGISTERED SHARES. AS A RESULT, IT IS NOW THE RESPONSIBILITY OF THE END-INVESTOR (I.E. FINAL BENEFICIARY) AND NOT THE INTERMEDIARY TO DISCLOSE RESPECTIVE FINAL BENEFICIARY VOTING RIGHTS THEREFORE THE CUSTODIAN BANK / AGENT IN THE MARKET WILL BE SENDING THE VOTING DIRECTLY TO MARKET AND IT IS THE END INVESTORS  RESPONSIBILITY TO ENSURE THE REGISTRATION ELEMENT IS COMPLETE WITH THE ISSUER DIRECTLY, SHOULD THEY HOLD MORE THAN 3 % OF THE TOTAL SHARE CAPITAL

Non-Voting

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

Page 66 of 261

 

 

Prop. #

Proposal

Proposed
by

 Proposal Vote

For/Against
Management’s
Recommendation

CMMT

 

 

THE VOTE/REGISTRATION DEADLINE AS DISPLAYED ON PROXYEDGE IS SUBJECT TO CHANGE AND WILL BE UPDATED AS SOON AS BROADRIDGE RECEIVES CONFIRMATION FROM THE SUB CUSTODIANS REGARDING THEIR INSTRUCTION DEADLINE. FOR ANY QUERIES PLEASE CONTACT YOUR CLIENT SERVICES REPRESENTATIVE

Non-Voting

 




 

 

 

 

 

CMMT

ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL

Non-Voting

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

Page 67 of 261

 

 

Prop. #

Proposal

Proposed
by

 Proposal Vote

For/Against
Management’s
Recommendation

CMMT

FURTHER INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER’S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY’S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED IN THE BALLOT ON PROXYEDGE

Non-Voting 

 

 

 

 

 

 

 

1

RECEIVE FINANCIAL STATEMENTS AND STATUTORY REPORTS FOR FISCAL YEAR 2020

Non-Voting

 

 

 

 

 

 

 

2

APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF EUR 1.35 PER SHARE

Mgmt

For

For

 

 

 

 

 

3

APPROVE DISCHARGE OF MANAGEMENT BOARD FOR FISCAL YEAR 2020

Mgmt

For

For

 

 

 

 

 

4

APPROVE DISCHARGE OF SUPERVISORY BOARD FOR FISCAL YEAR 2020

Mgmt

For

For

 

 

 

 

 

5

RATIFY PRICEWATERHOUSECOOPERS GMBH AS AUDITORS FOR FISCAL YEAR 2021

Mgmt

For

For

 

 

 

 

 

6.1

ELECT INGRID DELTENRE TO THE SUPERVISORY BOARD

Mgmt

For

For

 

 

 

 

 

6.2

ELECT KATJA WINDT TO THE SUPERVISORY BOARD

Mgmt

For

For

 

 

 

 

 

6.3

ELECT NIKOLAUS VON BOMHARD TO THE SUPERVISORY BOARD

Mgmt

For

For

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

    29-Jul-2021

       

 

 

 

Page 68 of 261

 

           

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

 

by

 

Management’s

 

 

 

 

 

Recommendation

 

       

 

 

7

APPROVE CREATION OF EUR 130 MILLION POOL OF CAPITAL WITHOUT PREEMPTIVE RIGHTS

Mgmt

For

For

 

 

 

 

 

 

 

8

AUTHORIZE SHARE REPURCHASE PROGRAM AND REISSUANCE OR CANCELLATION OF REPURCHASED SHARES

Mgmt

For

For

 

 

 

 

 

 

 

9

AUTHORIZE USE OF FINANCIAL DERIVATIVES WHEN REPURCHASING SHARES

Mgmt

For

For

 

 

 

 

 

 

 

10

APPROVE REMUNERATION POLICY

Mgmt

For

For

 

 

 

 

 

 

 

11

APPROVE REMUNERATION OF SUPERVISORY BOARD

Mgmt

For

For

 

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

     29-Jul-2021

       

 

 

 

Page 69 of 261

 

           

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

 

by

 

Management’s

 

 

 

 

 

Recommendation

 

       

 

 

CMMT

07 APR 2021: PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU

Non-Voting

 

 

 

 

 

 

 

 

 

CMMT

07 APR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU

Non-Voting

 

 

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

     29-Jul-2021

       

 

 

 

Page 70 of 261

 

Unassigned

  DEUTSCHE TELEKOM AG

Security:  D2035M136

Agenda Number: 713657762

Ticker:

Meeting Type: AGM

ISIN: DE0005557508

Meeting Date: 01-Apr-21

 

           

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

 

by

 

Management’s

 

 

 

 

 

Recommendation

 

       

 

 

CMMT

PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU

Non-Voting

 

 

 

 

 

 

 

 

 

CMMT

FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE AVAILABLE AS A LINK UNDER THE ’MATERIAL URL’ DROPDOWN AT THE TOP OF THE BALLOT. THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN PLACE. FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE

Non-Voting

 

 

 

 

 

 

 

 

 

CMMT

PLEASE NOTE THAT FOLLOWING THE AMENDMENT TO PARAGRAPH 21 OF THE SECURITIES TRADE ACT ON 9TH JULY 2015 AND THE OVER-RULING OF THE DISTRICT COURT IN COLOGNE JUDGMENT FROM 6TH JUNE 2012 THE VOTING PROCESS HAS NOW CHANGED WITH REGARD TO THE GERMAN REGISTERED SHARES. AS A RESULT, IT IS NOW THE RESPONSIBILITY OF THE END- INVESTOR (I.E. FINAL BENEFICIARY) AND NOT THE INTERMEDIARY TO DISCLOSE RESPECTIVE FINAL BENEFICIARY VOTING RIGHTS THEREFORE THE CUSTODIAN BANK / AGENT IN THE MARKET WILL BE SENDING THE VOTING DIRECTLY TO MARKET AND IT IS THE END INVESTORS RESPONSIBILITY TO ENSURE THE REGISTRATION ELEMENT IS COMPLETE WITH THE ISSUER DIRECTLY, SHOULD THEY HOLD MORE THAN 3 % OF THE TOTAL SHARE CAPITAL

Non-Voting

 

 

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

     29-Jul-2021

       

 

 

 

Page 71 of 261

 

           

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

 

by

 

Management’s

 

 

 

 

 

Recommendation

 

       

 

 

CMMT

THE VOTE/REGISTRATION DEADLINE AS DISPLAYED ON PROXYEDGE IS SUBJECT TO CHANGE AND WILL BE UPDATED AS SOON AS BROADRIDGE RECEIVES CONFIRMATION FROM THE SUB CUSTODIANS REGARDING THEIR INSTRUCTION DEADLINE. FOR ANY QUERIES PLEASE CONTACT YOUR CLIENT SERVICES REPRESENTATIVE

Non-Voting

 

 

 

 

 

 

 

 

 

CMMT

ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL

Non-Voting

 

 

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

     29-Jul-2021

       

 

 

 

Page 72 of 261

 

           

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

 

by

 

Management’s

 

 

 

 

 

Recommendation

 

       

 

 

CMMT

FURTHER INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER’S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY’S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED IN THE BALLOT ON PROXYEDGE

Non-Voting

 

 

 

 

 

 

 

 

 

1

RECEIVE FINANCIAL STATEMENTS AND STATUTORY REPORTS FOR FISCAL YEAR 2020

Non-Voting

 

 

 

 

 

 

 

 

 

2

APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF EUR 0.60 PER SHARE

Mgmt

For

For

 

 

 

 

 

 

 

3

APPROVE DISCHARGE OF MANAGEMENT BOARD FOR FISCAL YEAR 2020

Mgmt

For

For

 

 

 

 

 

 

 

4

APPROVE DISCHARGE OF SUPERVISORY BOARD FOR FISCAL YEAR 2020

Mgmt

For

For

 

 

 

 

 

 

 

5.1

RATIFY PRICEWATERHOUSECOOPERS GMBH AS AUDITORS FOR FISCAL YEAR 2021

Mgmt

For

For

 

 

 

 

 

 

 

5.2

RATIFY PRICEWATERHOUSECOOPERS GMBH AS AUDITORS FOR THE 2021 INTERIM FINANCIAL STATEMENTS

Mgmt

For

For

 

 

 

 

 

 

 

5.3

RATIFY PRICEWATERHOUSECOOPERS GMBH AS AUDITORS FOR THE FIRST QUARTER OF FISCAL YEAR 2021

Mgmt

For

For

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 73 of 261

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

5.4

RATIFY PRICEWATERHOUSECOOPERS GMBH AS AUDITORS FOR THE THIRD QUARTER OF FISCAL YEAR 2021 AND FIRST QUARTER OF FISCAL YEAR 2022

Mgmt

For

For

 

 

 

 

 

6

ELECT HELGA JUNG TO THE SUPERVISORY BOARD

Mgmt

For

For

 

 

 

 

 

7

AUTHORIZE SHARE REPURCHASE PROGRAM AND REISSUANCE OR CANCELLATION OF REPURCHASED SHARES

Mgmt

For

For

 

 

 

 

 

8

AUTHORIZE USE OF FINANCIAL DERIVATIVES WHEN REPURCHASING SHARES

Mgmt

For

For

 

 

 

 

 

9

APPROVE REMUNERATION POLICY

Mgmt

For

For

 

 

 

 

 

10

APPROVE REMUNERATION OF SUPERVISORY BOARD

Mgmt

For

For

 

 

 

 

 

11

PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: SHAREHOLDER PROPOSAL SUBMITTED BY DEUTSCHE SCHUTZVEREINIGUNG FUER WERTPAPIERBESITZ E.V. (DSW): AMEND ARTICLES RE: SHAREHOLDERS’ RIGHT TO PARTICIPATION DURING THE VIRTUAL MEETING

Shr

For

Against

 

 

 

 

 

CMMT

PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 522716 DUE TO RECEIPT OF ADDITIONAL RESOLUTION 11. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU

Non-Voting

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 74 of 261

 

 

 

 

 

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

 

 

 

 

 

CMMT

PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU

Non-Voting

 

 

 

 

 

 

 

CMMT

16 MAR 2021: INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS

Non-Voting

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 75 of 261

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

 

 

 

 

 

CMMT

16 MAR 2021: INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE

Non-Voting

 

 

 

 

 

 

 

CMMT

16 MAR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU

Non-Voting

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 76 of 261

 

 

Unassigned

DIAGEO PLC
Security:  G42089113 Agenda Number: 713039407
Ticker:   Meeting Type:  AGM
ISIN:  GB0002374006 Meeting Date:  28-Sep-20

 

Prop. #

Proposal

Proposed

by

Proposal Vote

For/Against

Management’s

Recommendation

1

REPORT AND ACCOUNTS 2020

Mgmt

For

For

 

 

 

 

 

2

DIRECTORS’ REMUNERATION REPORT 2020

Mgmt

For

For

 

 

 

 

 

3

DIRECTORS’ REMUNERATION POLICY 2020

Mgmt

For

For

 

 

 

 

 

4

DECLARATION OF FINAL DIVIDEND

Mgmt

For

For

 

 

 

 

 

5

ELECTION OF MELISSA BETHELL AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

6

RE-ELECTION OF JAVIER FERRAN AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

7

RE-ELECTION OF SUSAN KILSBY AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

8

RE-ELECTION OF LADY MENDELSOHN AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

9

RE-ELECTION OF IVAN MENEZES AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

10

RE-ELECTION OF KATHRYN MIKELLS AS A DIRECTOR

Mgmt

For

For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 77 of 261

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

11

RE-ELECTION OF ALAN STEWART AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

12

RE-APPOINTMENT OF AUDITOR: PRICEWATERHOUSECOOPERS LLP

Mgmt

For

For

 

 

 

 

 

13

REMUNERATION OF AUDITOR

Mgmt

For

For

 

 

 

 

 

14

AUTHORITY TO MAKE POLITICAL DONATIONS AND/OR TO INCUR POLITICAL EXPENDITURE

Mgmt

For

For

 

 

 

 

 

15

AUTHORITY TO ALLOT SHARES

Mgmt

For

For

 

 

 

 

 

16

AMENDMENT OF THE DIAGEO 2001 SHARE INCENTIVE PLAN

Mgmt

For

For

 

 

 

 

 

17

ADOPTION OF THE DIAGEO 2020 SHARESAVE PLAN

Mgmt

For

For

 

 

 

 

 

18

ADOPTION OF THE DIAGEO DEFERRED BONUS SHARE PLAN

Mgmt

For

For

 

 

 

 

 

19

AUTHORITY TO ESTABLISH INTERNATIONAL SHARE PLANS

Mgmt

For

For

 

 

 

 

 

20

DISAPPLICATION OF PRE-EMPTION RIGHTS

Mgmt

For

For

 

 

 

 

 

21

AUTHORITY TO PURCHASE OWN ORDINARY SHARES

Mgmt

For

For

 

 

 

 

 

22

REDUCED NOTICE OF A GENERAL MEETING OTHER THAN AN AGM

Mgmt

For

For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 78 of 261

 

 

 

 

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

23

APPROVAL AND ADOPTION OF NEW ARTICLES OF ASSOCIATION

Mgmt

For

For

 

 

 

 

 

24

2019 SHARE BUY-BACKS AND EMPLOYEE BENEFIT AND SHARE OWNERSHIP TRUST TRANSACTIONS

Mgmt

For

For

 

 

 

 

 

CMMT

28 AUG 2020: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF TEXT IN RESOLUTION 12. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.

Non-Voting

 

 

 

 

 

 

Investment Company Report  

 

Meeting Date Range:  

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

       

 

 

 

Page 79 of 261

 

 

Unassigned

ELISA CORPORATION    
Security: X1949T102 Agenda Number: 713575578
Ticker:   Meeting Type: AGM
ISIN: FI0009007884 Meeting Date: 08-Apr-21

 

Prop. #

Proposal

Proposed
by
Proposal Vote

For/Against
Management’s

Recommendation

CMMT MARKET RULES REQUIRE DISCLOSURE OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED Non-Voting    
         
CMMT A POA IS NEEDED TO APPOINT OWN REPRESENTATIVE BUT IS NOT NEEDED IF A FINNISH SUB/BANK IS APPOINTED EXCEPT IF THE SHAREHOLDER IS FINNISH THEN A POA WOULD STILL BE REQUIRED Non-Voting    
         
CMMT PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU Non-Voting    
         
1 OPENING OF THE MEETING Non-Voting    
         
2 CALLING THE MEETING TO ORDER: JUKKA LAITASALO Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 80 of 261

 

 

 

 

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

3

ELECTION OF PERSONS TO SCRUTINIZE THE MINUTES AND TO SUPERVISE THE COUNTING OF VOTES: ANNE VAINIO

Non-Voting

 

 

 

 

 

 

 

4

RECORDING THE LEGALITY OF THE MEETING

Non-Voting

 

 

 

 

 

 

 

5

RECORDING THE ATTENDANCE AT THE MEETING AND ADOPTION OF THE LIST OF VOTES

Non-Voting

 

 

 

 

 

 

 

6

PRESENTATION OF THE FINANCIAL STATEMENTS, THE REPORT OF THE BOARD OF DIRECTORS AND THE AUDITOR’S REPORT FOR THE YEAR 2020

Non-Voting

 

 

 

 

 

 

 

7

ADOPTION OF THE FINANCIAL STATEMENTS

Mgmt

For

For

 

 

 

 

 

8

RESOLUTION ON THE USE OF THE PROFIT SHOWN ON THE BALANCE SHEET AND THE PAYMENT OF DIVIDEND: EUR 1.95 PER SHARE

Mgmt

For

For

 

 

 

 

 

9

RESOLUTION ON THE DISCHARGE OF THE MEMBERS OF THE BOARD OF DIRECTORS AND THE CEO FROM LIABILITY

Mgmt

For

For

 

 

 

 

 

10

REMUNERATION REPORT

Mgmt

For

For

 

 

 

 

 

CMMT

PLEASE NOTE THAT RESOLUTIONS 11 TO 13 ARE PROPOSED BY SHAREHOLDERS’ NOMINATION BOARD AND BOARD DOES NOT MAKE ANY RECOMMENDATION ON THESE PROPOSALS. THE STANDING INSTRUCTIONS ARE DISABLED FOR THIS MEETING

Non-Voting

 

 

 

 

 

 


Investment Company Report

 

Meeting Date Range: 

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 81 of 261

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

11

RESOLUTION ON THE REMUNERATION OF THE MEMBERS OF THE BOARD OF DIRECTORS AND ON THE GROUNDS FOR REIMBURSEMENT OF EXPENSES

Mgmt

For

 

 

 

 

 

 

12

RESOLUTION ON THE NUMBER OF MEMBERS OF THE BOARD OF DIRECTORS: THE SHAREHOLDERS’ NOMINATION BOARD PROPOSES TO THE GENERAL MEETING THAT THE NUMBER OF MEMBERS OF THE BOARD OF DIRECTORS WOULD BE EIGHT (SEVEN MEMBERS IN 2020)

Mgmt

For

 

 

 

 

 

 

13

ELECTION OF MEMBERS OF THE BOARD Mgmt For OF DIRECTORS: THE SHAREHOLDERS’ NOMINATION BOARD PROPOSES TO THE GENERAL MEETING THAT MS CLARISSE BERGGARDH, MR KIM IGNATIUS, MR TOPI MANNER, MS EVA-LOTTA SJOSTEDT, MS SEIJA TURUNEN, MR ANSSI VANJOKI AND MR ANTTI VASARA BE RE-ELECTED AS MEMBERS OF THE BOARD. THE SHAREHOLDERS’ NOMINATION BOARD FURTHER PROPOSES THAT MR MAHER CHEBBO IS ELECTED AS A NEW MEMBER OF THE BOARD. THE SHAREHOLDERS’ NOMINATION BOARD PROPOSES TO THE GENERAL MEETING THAT MR ANSSI VANJOKI BE ELECTED AS THE CHAIR OF THE BOARD AND MS CLARISSE BERGGARDH BE ELECTED AS THE DEPUTY CHAIR

Mgmt 

For 

 

 

 

 

 

 

14

RESOLUTION ON THE REMUNERATION OF THE AUDITOR AND ON THE GROUNDS FOR REIMBURSEMENT OF TRAVEL EXPENSES

Mgmt

For

For

 

 

 

 

 

15

ELECTION OF AUDITOR: THE BOARD OF DIRECTORS PROPOSES, ON THE RECOMMENDATION OF THE BOARD’S AUDIT COMMITTEE, TO THE GENERAL MEETING THAT KPMG OY AB, AUTHORIZED PUBLIC ACCOUNTANTS ORGANIZATION, BE RE-ELECTED AS THE COMPANY’S AUDITOR FOR THE FINANCIAL PERIOD 2021. KPMG OY AB HAS INFORMED THE COMPANY THAT THE AUDITOR WITH PRINCIPAL RESPONSIBILITY WOULD BE MR TONI AALTONEN, AUTHORIZED PUBLIC ACCOUNTANT

Mgmt

For

For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 82 of 261

 

 

 

 

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

16

AUTHORIZING THE BOARD OF DIRECTORS TO DECIDE ON THE REPURCHASE OF THE COMPANY’S OWN SHARES

Mgmt

For

For

 

 

 

 

 

17

AUTHORIZING THE BOARD OF DIRECTORS TO DECIDE ON THE ISSUANCE OF SHARES AS WELL AS THE ISSUANCE OF SPECIAL RIGHTS ENTITLING TO SHARES

Mgmt

For

For

 

 

 

 

 

18

CLOSING OF THE MEETING

Non-Voting

 

 

 

 

 

 

 

CMMT

02 FEB 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU

Non-Voting

 

 

 

 

 

 

 

CMMT

02 FEB 2021: INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE

Non-Voting

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 83 of 261

 

 

Unassigned 

FERGUSON PLC    
Security: G3421J106 Agenda Number: 712909045
Ticker:   Meeting Type: OGM
ISIN: JE00BJVNSS43 Meeting Date: 29-Jul-20

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

1

TO ADOPT NEW ARTICLES OF ASSOCIATION OF THE COMPANY

Mgmt

For

For

 

 

 

 

 

Investment Company Report    

 

Meeting Date Range: 

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 84 of 261

 

 

Unassigned

GEBERIT AG    
Security: H2942E124 Agenda Number: 713679491
Ticker:   Meeting Type: OGM
ISIN: CH0030170408 Meeting Date: 14-Apr-21

 

Prop. #

Proposal

Proposed
 by

Proposal Vote

For/Against
Management’s
Recommendation

CMMT

PLEASE NOTE THAT BENEFICIAL OWNER DETAILS ARE REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU.

Non-Voting

 

 

 

 

 

 

 

CMMT

PART 2 OF THIS MEETING IS FOR VOTING ON AGENDA AND MEETING ATTENDANCE REQUESTS ONLY. PLEASE ENSURE THAT YOU HAVE FIRST VOTED IN FAVOUR OF THE REGISTRATION OF SHARES IN PART 1 OF THE MEETING. IT IS A MARKET REQUIREMENT FOR MEETINGS OF THIS TYPE THAT THE SHARES ARE REGISTERED AND MOVED TO A REGISTERED LOCATION AT THE CSD, AND SPECIFIC POLICIES AT THE INDIVIDUAL SUB-CUSTODIANS MAY VARY. UPON RECEIPT OF THE VOTE INSTRUCTION, IT IS POSSIBLE THAT A MARKER MAY BE PLACED ON YOUR SHARES TO ALLOW FOR RECONCILIATION AND RE-REGISTRATION FOLLOWING A TRADE. THEREFORE WHILST THIS DOES NOT PREVENT THE TRADING OF SHARES, ANY THAT ARE REGISTERED MUST BE FIRST DEREGISTERED IF REQUIRED FOR SETTLEMENT. DEREGISTRATION CAN AFFECT THE VOTING RIGHTS OF THOSE SHARES. IF YOU HAVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE

Non-Voting

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 85 of 261

 

 

 

 

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

1

APPROVAL OF THE BUSINESS AND FINANCIAL REVIEW, THE FINANCIAL STATEMENTS AND THE CONSOLIDATED FINANCIAL STATEMENTS FOR 2020, ACCEPTANCE OF THE AUDITORS’ REPORTS

Mgmt

For

For

 

 

 

 

 

2

RESOLUTION ON THE APPROPRIATION OF AVAILABLE EARNINGS: CHF 11.40 PER SHARE

Mgmt

For

For

 

 

 

 

 

3

FORMAL APPROVAL OF THE ACTIONS OF THE BOARD OF DIRECTORS

Mgmt

For

For

 

 

 

 

 

4.1.1

RE-ELECTION OF ALBERT M. BAEHNY AS A MEMBER OF THE BOARD OF DIRECTORS AND AS CHAIRMAN OF THE BOARD OF DIRECTORS

Mgmt

For

For

 

 

 

 

 

4.1.2

RE-ELECTION OF FELIX R. EHRAT: THE BOARD OF DIRECTORS PROPOSES THAT FELIX R. EHRAT BE RE-ELECTED AS A MEMBER OF THE BOARD OF DIRECTORS UNTIL THE CLOSING OF THE NEXT ORDINARY GENERAL MEETING

Mgmt

For

For

 

 

 

 

 

4.1.3

RE-ELECTION OF WERNER KARLEN: THE BOARD OF DIRECTORS PROPOSES THAT WERNER KARLEN BE RE-ELECTED AS A MEMBER OF THE BOARD OF DIRECTORS UNTIL THE CLOSING OF THE NEXT ORDINARY GENERAL MEETING

Mgmt

For

For

 

 

 

 

 

4.1.4

RE-ELECTION OF BERNADETTE KOCH: THE BOARD OF DIRECTORS PROPOSES THAT BERNADETTE KOCH BE RE- ELECTED AS A MEMBER OF THE BOARD OF DIRECTORS UNTIL THE CLOSING OF THE NEXT ORDINARY GENERAL MEETING

Mgmt

For

For

 

 

 

 

Investment Company Report

 

 Meeting Date Range:

  01-Jul-2020 - 30-Jun-2021

 Report Date:

29-Jul-2021

 

         

 

 

 

Page 86 of 261

 

 

Prop. #

Proposal

Proposed
by

Proposal Vote

For/Against
Management’s
Recommendation

4.1.5

RE-ELECTION OF EUNICE ZEHNDER-LAI: THE BOARD OF DIRECTORS PROPOSES THAT EUNICE ZEHNDER-LAI BE RE- ELECTED AS A MEMBER OF THE BOARD OF DIRECTORS UNTIL THE CLOSING OF THE NEXT ORDINARY GENERAL MEETING

Mgmt

For

For

 

 

 

 

 

4.1.6

ELECTION OF THOMAS BACHMANN: THE BOARD OF DIRECTORS PROPOSES THAT THOMAS BACHMANN BE ELECTED AS A MEMBER OF THE BOARD OF DIRECTORS UNTIL THE CLOSING OF THE NEXT ORDINARY GENERAL MEETING

Mgmt

For

For

 

 

 

 

 

4.2.1

RE-ELECTION OF WERNER KARLEN: THE BOARD OF DIRECTORS PROPOSES THAT WERNER KARLEN BE RE-ELECTED AS A MEMBER OF THE COMPENSATION COMMITTEE UNTIL THE CLOSING OF THE NEXT ORDINARY GENERAL MEETING

Mgmt

For

For

 

 

 

 

 

4.2.2

RE-ELECTION OF EUNICE ZEHNDER-LAI: THE BOARD OF DIRECTORS PROPOSES THAT EUNICE ZEHNDER-LAI BE RE- ELECTED AS A MEMBER OF THE COMPENSATION COMMITTEE UNTIL THE CLOSING OF THE NEXT ORDINARY GENERAL MEETING. IF EUNICE ZEHNDER-LAI IS RE-ELECTED AS A MEMBER OF THE COMPENSATION COMMITTEE, THE BOARD OF DIRECTORS INTENDS TO APPOINT HER AS CHAIRWOMAN OF THE COMPENSATION COMMITTEE

Mgmt

For

For

 

 

 

 

 

4.2.3

ELECTION OF THOMAS BACHMANN: THE BOARD OF DIRECTORS PROPOSES THAT THOMAS BACHMANN BE ELECTED AS A MEMBER OF THE COMPENSATION COMMITTEE UNTIL THE CLOSING OF THE NEXT ORDINARY GENERAL MEETING

Mgmt

For

For

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 87 of 261

 

 

Prop. # Proposal Proposed
by
Proposal Vote

For/Against
Management’s

Recommendation

5 RE-ELECTION OF THE INDEPENDENT PROXY: THE BOARD OF DIRECTORS PROPOSES THAT THE LAWYER’S OFFICE HBA RECHTSANWALTE AG, ZURICH, REPRESENTED BY ROGER MULLER, LAWYER, BE RE-ELECTED AS THE INDEPENDENT PROXY UNTIL THE CLOSING OF THE NEXT ORDINARY GENERAL MEETING Mgmt For For
         
6 RE-APPOINTMENT OF THE AUDITORS: THE BOARD OF DIRECTORS PROPOSES THAT PRICEWATERHOUSECOOPERS AG BE RE-APPOINTED AS AUDITORS FOR THE 2021 BUSINESS YEAR Mgmt For For
         
7.1 CONSULTATIVE VOTE ON THE 2020 REMUNERATION REPORT      
         
7.2 APPROVAL OF THE MAXIMUM AGGREGATE REMUNERATION AMOUNT FOR THE MEMBERS OF THE BOARD OF DIRECTORS FOR THE PERIOD UNTIL THE NEXT ORDINARY GENERAL MEETING      
         
7.3 APPROVAL OF THE MAXIMUM AGGREGATE REMUNERATION AMOUNT FOR THE MEMBERS OF THE GROUP EXECUTIVE BOARD FOR THE BUSINESS YEAR 2022 Mgmt For For
         
8 REDUCTION IN CAPITAL: REDUCTION IN THE SHARE CAPITAL BY CANCELLING 1,167,094 OF THE COMPANY’S SHARES THAT WERE ACQUIRED AS PART OF THE SHARE BUYBACK PROGRAMME ANNOUNCED ON 6 JUNE 2017 AND CONCLUDED ON 30 APRIL 2020 AS WELL AS THE SHARE BUYBACK PROGRAMME STARTED ON 17 SEPTEMBER 2020, NOT CONCLUDED YET Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021

 

Report Date:

29-Jul-2021

       

 

 

 

 

Page 88 of 261

Unassigned

GLAXOSMITHKLINE PLC

Security:

 G3910J112

Agenda Number:

 713744488

Ticker:

 

Meeting Type:

 AGM

ISIN:

 GB0009252882

Meeting Date:

 05-May-21

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

1

TO RECEIVE AND ADOPT THE 2020 ANNUAL REPORT

Mgmt

For

For

 

 

 

 

 

2

TO APPROVE THE ANNUAL REPORT ON REMUNERATION

Mgmt

For

For

 

 

 

 

 

3

TO RE-ELECT SIR JONATHAN SYMONDS AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

4

TO RE-ELECT EMMA WALMSLEY AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

5

TO RE-ELECT CHARLES BANCROFT AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

6

TO RE-ELECT VINDI BANGA AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

7

TO RE-ELECT DR HAL BARRON AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

8

TO RE-ELECT DR VIVIENNE COX AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

9

TO RE-ELECT LYNN ELSENHANS AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

10

TO RE-ELECT DR LAURIE GLIMCHER AS A DIRECTOR

Mgmt

For

For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021

 

 Report Date:

29-Jul-2021

       

 

 

 

 

Page 89 of 261

 

Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
11 TO RE-ELECT DR JESSE GOODMAN AS A DIRECTOR Mgmt For For
         
12 TO RE-ELECT IAIN MACKAY AS A DIRECTOR Mgmt For For
         
13 TO RE-ELECT URS ROHNER AS A DIRECTOR Mgmt For For
         
14 TO RE-APPOINT THE AUDITOR: DELOITTE LLP Mgmt For For
         
15 TO DETERMINE REMUNERATION OF THE AUDITOR Mgmt For For
         
16 TO AUTHORISE THE COMPANY AND ITS SUBSIDIARIES TO MAKE DONATIONS TO POLITICAL ORGANISATIONS AND INCUR POLITICAL EXPENDITURE Mgmt For For
         
17 TO AUTHORISE ALLOTMENT OF SHARES Mgmt For For
         
18 TO DISAPPLY PRE-EMPTION RIGHTS - GENERAL POWER Mgmt For For
         
19 TO DISAPPLY PRE-EMPTION RIGHTS - IN CONNECTION WITH AN ACQUISITION OR SPECIFIED CAPITAL INVESTMENT Mgmt For For
         
20 TO AUTHORISE THE COMPANY TO PURCHASE ITS OWN SHARES Mgmt For For
         
21 TO AUTHORISE EXEMPTION FROM STATEMENT OF NAME OF SENIOR STATUTORY AUDITOR Mgmt For For
         

  

 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

       

 

 

 

Page 90 of 261

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

22 TO AUTHORISE REDUCED NOTICE OF A GENERAL MEETING OTHER THAN AN AGM Mgmt For For

  

 

 

 

Investment Company Report

 

Meeting Date Range:01-Jul-2020 - 30-Jun-2021

 

Report Date:

29-Jul-2021

       

 

 

 

 

Page 91 of 261

 

Unassigned

HENKEL AG & CO. KGAA

Security: 

 D3207M102

Agenda Number:

 713657736

Ticker:

 

Meeting Type:

 AGM

ISIN:

 DE0006048408

Meeting Date:

 16-Apr-21

 

Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU Non-Voting    
         
CMMT ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL. Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

       

 

 

 

Page 92 of 261

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

CMMT INFORMATION ON COUNTER PROPOSALS Non-Voting    
  CAN BE FOUND DIRECTLY ON THE      
  ISSUER'S WEBSITE (PLEASE REFER TO      
  THE MATERIAL URL SECTION OF THE      
  APPLICATION). IF YOU WISH TO ACT ON      
  THESE ITEMS, YOU WILL NEED TO      
  REQUEST A MEETING ATTEND AND VOTE      
  YOUR SHARES DIRECTLY AT THE      
  COMPANY'S MEETING. COUNTER      
  PROPOSALS CANNOT BE REFLECTED ON      
  THE BALLOT ON PROXYEDGE.      
         
         
CMMT FROM 10TH FEBRUARY, BROADRIDGE Non-Voting    
  WILL CODE ALL AGENDAS FOR GERMAN      
  MEETINGS IN ENGLISH ONLY. IF YOU      
  WISH TO SEE THE AGENDA IN GERMAN,      
  THIS WILL BE MADE AVAILABLE AS A LINK      
  UNDER THE 'MATERIAL URL' DROPDOWN      
  AT THE TOP OF THE BALLOT. THE      
  GERMAN AGENDAS FOR ANY EXISTING      
  OR PAST MEETINGS WILL REMAIN IN      
  PLACE. FOR FURTHER INFORMATION,      
  PLEASE CONTACT YOUR CLIENT      
  SERVICE REPRESENTATIVE.      
         
         
1 ACCEPT FINANCIAL STATEMENTS AND Mgmt For For
  STATUTORY REPORTS      
         
         
2 APPROVE ALLOCATION OF INCOME AND Mgmt For For
  DIVIDENDS OF EUR 1.83 PER ORDINARY      
  SHARE AND EUR 1.85 PER PREFERRED      
  SHARE      
         
         
3 APPROVE DISCHARGE OF PERSONALLY Mgmt For For
  LIABLE PARTNER FOR FISCAL YEAR 2020      
         
         
4 APPROVE DISCHARGE OF SUPERVISORY Mgmt For For
  BOARD FOR FISCAL YEAR 2020      
         
         
5 APPROVE DISCHARGE OF Mgmt For For
  SHAREHOLDERS' COMMITTEE FOR      
  FISCAL YEAR 2020      

 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

       

 

 

 

Page 93 of 261

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

6 RATIFY PRICEWATERHOUSECOOPERS GMBH AS AUDITORS FOR FISCAL YEAR 2021 Mgmt For For
         
7 ELECT JAMES ROWAN TO THE SHAREHOLDERS’ COMMITTEE Mgmt For For
         
8 APPROVE REMUNERATION POLICY Mgmt For For
         
9 AMEND ARTICLES RE: REMUNERATION OF SUPERVISORY BOARD AND SHAREHOLDERS’ COMMITTEE Mgmt For For
         
10 APPROVE REMUNERATION OF SUPERVISORY BOARD AND SHAREHOLDERS’ COMMITTEE Mgmt For For
         
11 AMEND ARTICLES RE: ELECTRONIC PARTICIPATION IN THE GENERAL MEETING Mgmt For For
         
CMMT 25 MAR 2021: INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE Non-Voting    

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

       

 

 

 

Page 94 of 261

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

CMMT 25 MAR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU Non-Voting    

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

       

 

 

 

 Page 95 of 261

 

 

Unassigned

IBERDROLA SA

 Security:

 E6165F166

 Agenda Number:

 714171030

 Ticker:

 

 Meeting Type:

 OGM

 ISIN:

ES0144580Y14

 Meeting Date:

18-Jun-21

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

CMMT

PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU

Non-Voting

 

 

 

 

 

 

 

CMMT

DELETION OF COMMENT

 

 

 

 

 

 

 

 

 

 

 

 

 

1

ANNUAL FINANCIAL STATEMENTS 2020

Mgmt

For

For

 

 

 

 

 

2

DIRECTORS’ REPORTS 2020

Mgmt

For

For

 

 

 

 

 

3

STATEMENT OF NON-FINANCIAL

Mgmt

For

For

 

 

 

 

 

4

INFORMATION 2020

 

 

 

 

CORPORATE MANAGEMENT AND

Mgmt

For

For

 

ACTIVITIES OF THE BOARD OF

 

 

 

 

DIRECTORS IN 2020

 

 

 

 

 

 

 

 

5

AMENDMENT OF THE PREAMBLE AND OF

Mgmt

For

For

 

ARTICLES 1, 4, 8, 9, 12, 14, 15, 17, 19, 21,

 

 

 

 

23, 24, 27, 30, 31, 32, 33, 35, 36, 37, 38, 42,

 

 

 

 

43, 44, 45, 46, 47 AND 49 OF THE BY-LAWS

 

 

 

 

TO UPDATE THE NAME OF THE

 

 

 

 

GOVERNANCE AND SUSTAINABILITY

 

 

 

 

SYSTEM AND MAKE OTHER TECHNICAL

 

 

 

 

IMPROVEMENTS

 

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 - 30-Jun-202

Report Date:

29-Jul-2021

 

       

 

 

 

Page 96 of 261

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

6 AMENDMENT OF ARTICLE 10 OF THE BY- LAWS IN ORDER TO REFLECT THE AMOUNT OF SHARE CAPITAL RESULTING FROM THE REDUCTION THEREIN BY MEANS OF THE RETIREMENT OF A MAXIMUM OF 178,156,000 OWN SHARES (2.776% OF THE SHARE CAPITAL) Mgmt For For

 

 

 

 

 

7

AMENDMENT OF ARTICLES 12, 17, 28, 33, 39, 40 AND 41 OF THE BY-LAWS TO CONFORM THE TEXT THEREOF TO THE NEW LEGAL PROVISIONS AS REGARDS THE ENCOURAGEMENT OF LONG-TERM SHAREHOLDER ENGAGEMENT

Mgmt

For

For

 

 

 

 

 

8

AMENDMENT OF ARTICLES 18, 19, 20, 22, 23, 24, 26 AND 27 OF THE BY-LAWS TO REGULATE REMOTE ATTENDANCE AT THE GENERAL SHAREHOLDERS’ MEETING

Mgmt

For

For

 

 

 

 

 

9

AMENDMENT OF ARTICLE 32 OF THE BY- LAWS TO INCLUDE THE APPROVAL OF A CLIMATE ACTION PLAN

Mgmt

For

For

 

 

 

 

 

10

AMENDMENT OF ARTICLES 35 AND 36 OF THE BY-LAWS TO UPDATE THE RULES ON THE WAYS OF HOLDING MEETINGS OF THE BOARD OF DIRECTORS AND OF ITS COMMITTEES

Mgmt

For

For

 

 

 

 

 

 11

AMENDMENT OF ARTICLES 53 AND 54 OF THE BY-LAWS AND ADDITION OF SIX NEW ARTICLES NUMBERED FROM 55 TO 60, REORGANISING THE CHAPTERS OF TITLE V, TO ESTABLISH THE REGULATIONS FOR THE PREPARATION, VERIFICATION AND APPROVAL OF THE ANNUAL FINANCIAL AND NON-FINANCIAL INFORMATION

Mgmt

For

For

 

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

       

 

 

 

Page 97 of 261

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

12 AMENDMENT OF ARTICLES 55 AND 56 OF THE BY-LAWS, WHICH WILL BECOME ARTICLES 61 AND 62, TO MAKE TECHNICAL IMPROVEMENTS AND GROUP THEM WITHIN A NEW TITLE VI Mgmt For For
         
13 AMENDMENT OF ARTICLES 4, 6, 7, 8, 9, 19, 20, 28, 29, 30, 38, 39, 40 AND 41 OF THE REGULATIONS FOR THE GENERAL SHAREHOLDERS’ MEETING IN ORDER TO UPDATE THE NAME OF THE GOVERNANCE AND SUSTAINABILITY SYSTEM AND TO MAKE OTHER TECHNICAL IMPROVEMENTS Mgmt For For
         
14 AMENDMENT OF ARTICLES 9 AND 20 OF THE REGULATIONS FOR THE GENERAL SHAREHOLDERS’ MEETING TO CONFORM THE TEXT THEREOF TO THE NEW LEGAL PROVISIONS AS REGARDS THE ENCOURAGEMENT OF LONG-TERM SHAREHOLDER ENGAGEMENT Mgmt For For
         
15 AMENDMENT OF ARTICLES 11, 14, 18, 19, 21, 22, 23, 24, 25, 26, 29, 31, 33, 34, 35, 36, 40 AND 43 OF THE REGULATIONS FOR THE GENERAL SHAREHOLDERS’ MEETING AND ADDITION OF A NEW ARTICLE 37 TO ESTABLISH THE RULES FOR REMOTE ATTENDANCE, AND NUMBERING OF THE ARTICLES Mgmt For For
         
16 DIRECTOR REMUNERATION POLICY Mgmt For For
         
17 ALLOCATION OF PROFITS/LOSSES AND DISTRIBUTION OF 2020 DIVIDENDS, THE SUPPLEMENTARY PAYMENT OF WHICH WILL BE MADE WITHIN THE FRAMEWORK OF THE "IBERDROLA RETRIBUCION FLEXIBLE" OPTIONAL DIVIDEND SYSTEM Mgmt For For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

Page 98 of 261

 

 

Prop. #

Proposal

Proposed
by

 Proposal Vote

For/Against
Management’s
Recommendation

18

FIRST INCREASE IN CAPITAL BY MEANS OF A SCRIP ISSUE AT A MAXIMUM REFERENCE MARKET VALUE OF 1,725 MILLION EUROS IN ORDER TO IMPLEMENT THE “IBERDROLA RETRIBUCION FLEXIBLE” OPTIONAL DIVIDEND SYSTEM

Mgmt

For

For

 

 

 

 

 

19

SECOND INCREASE IN CAPITAL BY MEANS OF A SCRIP ISSUE AT A MAXIMUM REFERENCE MARKET VALUE OF 1,250 MILLION EUROS IN ORDER TO IMPLEMENT THE “IBERDROLA RETRIBUCION FLEXIBLE” OPTIONAL DIVIDEND SYSTEM

Mgmt

For

For

 

20

RE-ELECTION OF MR JUAN MANUEL GONZALEZ SERNA AS INDEPENDENT DIRECTOR

Mgmt

For

For

 

 

 

 

 

21

RE-ELECTION OF MR FRANCISCO MARTINEZ CORCOLES AS EXECUTIVE DIRECTOR

Mgmt

For

For

 

 

 

 

 

22

RATIFICATION AND RE-ELECTION OF MR ANGEL JESUS ACEBES PANIAGUA AS INDEPENDENT DIRECTOR

Mgmt

For

For

 

 

 

 

 

23

SETTING OF THE NUMBER OF MEMBERS OF THE BOARD OF DIRECTORS AT FOURTEEN

Mgmt

For

For

 

 

 

 

 

24

AUTHORISATION TO ISSUE SIMPLE DEBENTURES OR BONDS AND OTHER FIXED-INCOME SECURITIES, NOT EXCHANGEABLE FOR OR CONVERTIBLE INTO SHARES, WITH A LIMIT OF 6,000 MILLION EUROS FOR PROMISSORY NOTES AND 30,000 MILLION EUROS FOR OTHER FIXED-INCOME SECURITIES, AS WELL AS TO GUARANTEE ISSUES OF SUBSIDIARIES

Mgmt

For

For

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

Page 99 of 261

 

 

Prop. #

Proposal

Proposed
by

 Proposal Vote

For/Against
Management’s
Recommendation

25

DELEGATION OF POWERS TO FORMALISE AND TO CONVERT THE RESOLUTIONS ADOPTED INTO A PUBLIC INSTRUMENT

Mgmt

For

For

 

 

 

 

 

26

ANNUAL DIRECTOR REMUNERATION REPORT 2020

Mgmt

For

For

 

 

 

 

 

27

CLIMATE ACTION POLICY

Mgmt

For

For

 

 

 

 

 

CMMT

24 MAY 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO POSTPONEMENT OF THE MEETING DATE FROM SECOND CALL DATE FROM 17 JUNE 2021 TO 18 JUNE 2021. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU

Non-Voting

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

Page 100 of 261

 

 

Unassigned

INDUSTRIA DE DISENO TEXTIL S.A.    
Security: E6282J125 Agenda Number: 712823613
Ticker:   Meeting Type: OGM
ISIN: ES0148396007 Meeting Date: 14-Jul-20

 

Prop. #

Proposal

Proposed
by

 Proposal Vote

For/Against
Management’s
Recommendation

1

REVIEW AND APPROVAL, WHERE APPROPRIATE, OF THE ANNUAL ACCOUNTS (BALANCE SHEET, INCOME STATEMENT, STATEMENT OF CHANGES IN EQUITY, STATEMENT OF CASH FLOWS AND NOTES TO THE ACCOUNTS) AND DIRECTORS’ REPORT OF INDUSTRIA DE DISENO TEXTIL, SOCIEDAD ANONIMA, (INDITEX, S.A.) FOR FINANCIAL YEAR 2019, ENDED 31 JANUARY 2020

Mgmt

For

For

 

 

 

 

 

2

REVIEW AND APPROVAL, WHERE APPROPRIATE, OF THE CONSOLIDATED ANNUAL ACCOUNTS (CONSOLIDATED BALANCE SHEET, CONSOLIDATED INCOME STATEMENT, CONSOLIDATED STATEMENT OF COMPREHENSIVE INCOME, CONSOLIDATED STATEMENT OF CHANGES IN EQUITY, CONSOLIDATED STATEMENT OF CASH FLOWS AND NOTES TO THE CONSOLIDATED ACCOUNTS) AND CONSOLIDATED DIRECTORS’ REPORT OF THE CONSOLIDATED GROUP (INDITEX GROUP) FOR FINANCIAL YEAR 2019, ENDED 31 JANUARY 2020, AND OF THE MANAGEMENT OF THE COMPANY

Mgmt

For

For

 

 

 

 

 

3

REVIEW AND APPROVAL, WHERE APPROPRIATE, OF THE STATEMENT ON NON-FINANCIAL INFORMATION (ACT 11/2018 OF 28 DECEMBER ON MANDATORY DISCLOSURE OF NON-FINANCIAL INFORMATION)

Mgmt

For

For

 

 

 

 

 

4

DISTRIBUTION OF THE INCOME OR LOSS OF THE FINANCIAL YEAR

Mgmt

For

For

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

Page 101 of 261

 

 

Prop. #

Proposal

Proposed
by

 Proposal Vote

For/Against
Management’s
Recommendation

5

DECLARATION OF A DIVIDEND IN THE GROSS AMOUNT OF EUR 0.35 PER SHARE CHARGED TO UNRESTRICTED RESERVES

Mgmt

For

For

 

6.A

RE-ELECTION OF PONTEGADEA INVERSIONES, S.L. (REPRESENTED BY MS FLORA PEREZ MARCOTE) TO THE BOARD OF DIRECTORS AS NON- EXECUTIVE PROPRIETARY DIRECTOR

Mgmt

For

For

 

 

 

 

 

6.B

RE-ELECTION OF BNS. DENISE PATRICIA KINGSMILL TO THE BOARD OF DIRECTORS AS NON-EXECUTIVE INDEPENDENT DIRECTOR

Mgmt

For

For

 

 

 

 

 

6.C

RATIFICATION AND APPOINTMENT OF MS ANNE LANGE TO THE BOARD OF DIRECTORS AS NON-EXECUTIVE INDEPENDENT DIRECTOR

Mgmt

For

For

 

 

 

 

 

7

RE-ELECTION OF DELOITTE, S.L. AS STATUTORY AUDITOR OF THE COMPANY AND ITS GROUP FOR FINANCIAL YEAR 2020

Mgmt

For

For

 

 

 

 

 

8.A

AMENDMENT OF THE ARTICLES OF ASSOCIATION IN ORDER TO EXPRESSLY PROVIDE FOR THE POSSIBILITY OF REMOTE ATTENDANCE AT THE ANNUAL GENERAL MEETING VIA: APPROVAL OF THE AMENDMENT OF ARTICLE 16 (“ELIGIBILITY TO ATTEND THE GENERAL MEETINGS OF SHAREHOLDERS. RIGHT TO VOTE”) AND ARTICLE 17 (“REPRESENTATION AT THE GENERAL MEETING OF SHAREHOLDERS”) IN PART I (“GENERAL MEETING OF SHAREHOLDERS”) OF CHAPTER III (“GOVERNING BODIES OF THE COMPANY”)

Mgmt

For

For

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

Page 102 of 261

 

 

Prop. #

Proposal

Proposed
by

 Proposal Vote

For/Against
Management’s
Recommendation

8.B

AMENDMENT OF THE ARTICLES OF ASSOCIATION IN ORDER TO EXPRESSLY PROVIDE FOR THE POSSIBILITY OF REMOTE ATTENDANCE AT THE ANNUAL GENERAL MEETING VIA: APPROVAL OF THE REVISED TEXT OF THE ARTICLES OF ASSOCIATION

Mgmt

For

For

 

9.A

AMENDMENT OF THE REGULATIONS OF THE GENERAL MEETING OF SHAREHOLDERS IN ORDER TO INCLUDE THE APPROVAL OF THE STATEMENT ON NON-FINANCIAL INFORMATION AMONG THE POWERS OF THE GENERAL MEETING OF SHAREHOLDERS AND TO EXPRESSLY PROVIDE FOR THE POSSIBILITY OF REMOTE ATTENDANCE AT ANNUAL GENERAL MEETING VIA: APPROVAL OF THE AMENDMENT OF ARTICLE 6 (“POWERS OF THE GENERAL MEETING OF SHAREHOLDERS”) IN CHAPTER II (“THE GENERAL MEETING OF SHAREHOLDERS”)

Mgmt

For

For

 

 

 

 

 

9.B

AMENDMENT OF THE REGULATIONS OF THE GENERAL MEETING OF SHAREHOLDERS IN ORDER TO INCLUDE THE APPROVAL OF THE STATEMENT ON NON-FINANCIAL INFORMATION AMONG THE POWERS OF THE GENERAL MEETING OF SHAREHOLDERS AND TO EXPRESSLY PROVIDE FOR THE POSSIBILITY OF REMOTE ATTENDANCE AT ANNUAL GENERAL MEETING VIA: APPROVAL OF THE ADDITION OF ARTICLE 11BIS (“REMOTE ATTENDANCE”) IN PART I (“ATTENDANCE AND PROXIES”) AND THE AMENDMENT OF ARTICLE 12 (“PROXY REPRESENTATION AT THE GENERAL MEETING OF SHAREHOLDERS”) IN PART I (“ATTENDANCE AND PROXIES”), ARTICLE 19 (“QUORUM”) IN PART II (“THE GENERAL MEETING OF SHAREHOLDERS”) AND ARTICLE 20 (“REQUEST BY SHAREHOLDERS TO TAKE THE FLOOR. IDENTIFICATION”) IN PART III (“USE OF THE FLOOR BY SHAREHOLDERS”), ALL OF THEM IN CHAPTER IV (“HOLDING OF THE GENERAL MEETING OF SHAREHOLDERS”)

Mgmt

For

For

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

Page 103 of 261

 

 

Prop. #

Proposal

Proposed
by

 Proposal Vote

For/Against
Management’s
Recommendation

9.C

AMENDMENT OF THE REGULATIONS OF THE GENERAL MEETING OF SHAREHOLDERS IN ORDER TO INCLUDE THE APPROVAL OF THE STATEMENT ON NON-FINANCIAL INFORMATION AMONG THE POWERS OF THE GENERAL MEETING OF SHAREHOLDERS AND TO EXPRESSLY PROVIDE FOR THE POSSIBILITY OF REMOTE ATTENDANCE AT ANNUAL GENERAL MEETING VIA: APPROVAL OF THE REVISED TEXT OF THE REGULATIONS OF THE GENERAL MEETING OF SHAREHOLDERS

Mgmt

For

For

 

 

 

 

 

10

ADVISORY VOTE (SAY ON PAY) OF THE ANNUAL REPORT ON THE REMUNERATION OF DIRECTORS

Mgmt

For

For

 

 

 

 

 

11

GRANTING OF POWERS TO IMPLEMENT RESOLUTIONS

Mgmt

For

For

 

 

 

 

 

12

REPORTING TO THE ANNUAL GENERAL MEETING ON THE AMENDMENT OF THE BOARD OF DIRECTORS’ REGULATIONS

Mgmt

For

For

 

 

 

 

 

CMMT

PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM, THERE WILL BE A SECOND CALL ON 15 JUL 2020. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU

Non-Voting

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

Page 104 of 261

 

 

Prop. #

Proposal

Proposed
by

 Proposal Vote

For/Against
Management’s
Recommendation

CMMT

PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 432741 DUE TO SPLITTING OF RESOLUTION 9. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU

Non-Voting

 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

Page 105 of 261

 

 

Unassigned

INVESTOR AB    
Security: W48102128 Agenda Number: 713838209
Ticker:   Meeting Type: AGM
ISIN: SE0000107419 Meeting Date: 05-May-21

 

Prop. #

Proposal

Proposed
by

 Proposal Vote

For/Against
Management’s
Recommendation

CMMT

AN ABSTAIN VOTE CAN HAVE THE SAME EFFECT AS AN AGAINST VOTE IF THE MEETING REQUIRES APPROVAL FROM THE MAJORITY OF PARTICIPANTS TO PASS A RESOLUTION

Non-Voting

 

 

 

 

 

 

 

CMMT

MARKET RULES REQUIRE DISCLOSURE OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED

Non-Voting

 

 

 

 

 

 

 

CMMT

IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE

Non-Voting

 

 

 

 

 

 

 

CMMT

PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU

Non-Voting

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

Page 106 of 261

 

 

Prop. #

Proposal

Proposed
by

 Proposal Vote

For/Against
Management’s
Recommendation

CMMT

PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU

Non-Voting

 

 

 

 

 

 

 

CMMT

INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE

Non-Voting

 

 

 

 

Investment Company Report

 

Meeting Date Range:  01-Jul-2020 -  30-Jun-2021

Report Date:

29-Jul-2021

 

 

 

 

Page 107 of 261

 

 

Prop. #

Proposal

Proposed
by

 Proposal Vote

For/Against
Management’s
Recommendation

CMMT

PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 517906 DUE TO RECEIPT OF UPDATED AGENDA. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU

Non-Voting

 

 

 

 

 

 

 

1

ELECTION OF THE CHAIR OF THE MEETING: EVA HAGG

Non-Voting

 

 

 

 

 

 

 

2.A

ELECTION OF ONE OR TWO PERSONS TO ATTEST TO THE ACCURACY OF THE MINUTES: MARIANNE NILSSON, SWEDBANK ROBUR FONDER

Non-Voting

 

 

 

 

 

 

 

2.B

ELECTION OF ONE OR TWO PERSONS TO Non-Voting ATTEST TO THE ACCURACY OF THE MINUTES: OSSIAN EKDAHL, FORSTA AP-FONDEN (AP1)

Non-Voting

 

 

 

 

 

 

 

3

DRAWING UP AND APPROVAL OF THE VOTING LIST

Non-Voting

 

 

 

 

 

 

 

4

APPROVAL OF THE AGENDA

Non-Voting

 

 

 

 

 

 

 

5

DETERMINATION OF WHETHER THE MEETING HAS BEEN DULY CONVENED

Non-Voting

 

 

 

 

 

Investment Company Report 

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
    Page 108 of 261  

  

         
Prop. # Proposal

Proposed

by

Proposal Vote

For/Against

Management’s

Recommendation

         
6 PRESENTATION OF THE PARENT COMPANY’S ANNUAL REPORT AND THE AUDITORS’ REPORT, AS WELL AS OF THE CONSOLIDATED FINANCIAL STATEMENTS AND THE AUDITORS’ REPORT FOR THE INVESTOR GROUP Non-Voting    
         
7 RESOLUTIONS REGARDING ADOPTION OF THE INCOME STATEMENT AND THE BALANCE SHEET FOR THE PARENT COMPANY, AS WELL AS OF THE CONSOLIDATED INCOME STATEMENT AND THE CONSOLIDATED BALANCE SHEET FOR THE INVESTOR GROUP Mgmt For For
         
8 PRESENTATION OF THE BOARD OF DIRECTORS’ REMUNERATION REPORT FOR APPROVAL Mgmt For For
         
9.A RESOLUTION REGARDING DISCHARGE FROM LIABILITY OF THE MEMBER OF THE BOARD OF DIRECTORS AND THE PRESIDENT: GUNNAR BROCK Mgmt For For
         
9.B RESOLUTION REGARDING DISCHARGE FROM LIABILITY OF THE MEMBER OF THE BOARD OF DIRECTORS AND THE PRESIDENT: JOHAN FORSSELL Mgmt For For
         
9.C RESOLUTION REGARDING DISCHARGE FROM LIABILITY OF THE MEMBER OF THE BOARD OF DIRECTORS AND THE PRESIDENT: MAGDALENA GERGER Mgmt For For
         
9.D RESOLUTION REGARDING DISCHARGE FROM LIABILITY OF THE MEMBER OF THE BOARD OF DIRECTORS AND THE PRESIDENT: TOM JOHNSTONE, CBE Mgmt For For

 

 

 

 

Investment Company Report 

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
    Page 109 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
9.E RESOLUTION REGARDING DISCHARGE FROM LIABILITY OF THE MEMBER OF THE BOARD OF DIRECTORS AND THE PRESIDENT: SARA MAZUR Mgmt For For
         
9.F RESOLUTION REGARDING DISCHARGE FROM LIABILITY OF THE MEMBER OF THE BOARD OF DIRECTORS AND THE PRESIDENT: GRACE REKSTEN SKAUGEN Mgmt For For
         
9.G RESOLUTION REGARDING DISCHARGE FROM LIABILITY OF THE MEMBER OF THE BOARD OF DIRECTORS AND THE PRESIDENT: HANS STRABERG Mgmt For For
         
9.H RESOLUTION REGARDING DISCHARGE FROM LIABILITY OF THE MEMBER OF THE BOARD OF DIRECTORS AND THE PRESIDENT: LENA TRESCHOW TORELL Mgmt For For
         
9.I RESOLUTION REGARDING DISCHARGE FROM LIABILITY OF THE MEMBER OF THE BOARD OF DIRECTORS AND THE PRESIDENT: JACOB WALLENBERG Mgmt For For
         
9.J RESOLUTION REGARDING DISCHARGE FROM LIABILITY OF THE MEMBER OF THE BOARD OF DIRECTORS AND THE PRESIDENT: MARCUS WALLENBERG Mgmt For For
         
10 RESOLUTION REGARDING DISPOSITION OF INVESTOR’S EARNINGS IN ACCORDANCE WITH THE APPROVED BALANCE SHEET AND DETERMINATION OF RECORD DATE FOR DIVIDENDS: THE BOARD OF DIRECTORS PROPOSES A DIVIDEND TO THE SHAREHOLDERS OF SEK 14.00 PER SHARE TO BE PAID IN TWO INSTALLMENTS. AT THE FIRST INSTALLMENT SEK 10.00 PER SHARE IS PAID WITH THE RECORD DATE FRIDAY, MAY 7, 2021. AT THE SECOND INSTALLMENT SEK 4.00 PER SHARE IS PAID (OR SEK 1.00 PER SHARE AFTER IMPLEMENTATION OF THE SHARE SPLIT 4:1 PROPOSED BY THE BOARD OF DIRECTORS TO THE ANNUAL GENERAL MEETING) WITH THE RECORD DATE MONDAY, NOVEMBER 8, 2021. SHOULD THE MEETING DECIDE IN FAVOR OF THE PROPOSAL, PAYMENT OF THE DIVIDEND IS EXPECTED TO BE MADE BY EUROCLEAR SWEDEN AB ON WEDNESDAY, MAY 12, 2021 AND ON THURSDAY, NOVEMBER 11, 2021 Mgmt For For

 

 

 

 

Investment Company Report 

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
    Page 110 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
11.A DECISION ON THE NUMBER OF MEMBERS AND DEPUTY MEMBERS OF THE BOARD OF DIRECTORS WHO SHALL BE APPOINTED BY THE MEETING: ELEVEN MEMBERS OF THE BOARD OF DIRECTORS AND NO DEPUTY MEMBERS OF THE BOARD OF DIRECTORS Mgmt For For
         
11.B DECISION ON THE NUMBER OF AUDITORS AND DEPUTY AUDITORS WHO SHALL BE APPOINTED BY THE MEETING: ONE REGISTERED AUDITING COMPANY Mgmt For For
         
12.A DECISION ON THE COMPENSATION THAT SHALL BE PAID TO THE BOARD OF DIRECTOR Mgmt For For
         
12.B DECISION ON THE COMPENSATION THAT SHALL BE PAID TO THE AUDITORS Mgmt For For
         
13.A ELECTION OF MEMBER AND DEPUTY MEMBER OF THE BOARD OF DIRECTORS: PROPOSAL FROM THE NOMINATION COMMITTEE: GUNNAR BROCK, RE-ELECTION Mgmt For For
         
13.B ELECTION OF MEMBER AND DEPUTY MEMBER OF THE BOARD OF DIRECTORS: PROPOSAL FROM THE NOMINATION COMMITTEE: JOHAN FORSSELL, RE-ELECTION Mgmt For For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
    Page 111 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
13.C ELECTION OF MEMBER AND DEPUTY MEMBER OF THE BOARD OF DIRECTORS: PROPOSAL FROM THE NOMINATION COMMITTEE: MAGDALENA GERGER, RE-ELECTION Mgmt For For
         
13.D ELECTION OF MEMBER AND DEPUTY MEMBER OF THE BOARD OF DIRECTORS: PROPOSAL FROM THE NOMINATION COMMITTEE: TOM JOHNSTONE, CBE, RE-ELECTION Mgmt For For
         
13.E ELECTION OF MEMBER AND DEPUTY MEMBER OF THE BOARD OF DIRECTORS: PROPOSAL FROM THE NOMINATION COMMITTEE: SARA MAZUR, RE-ELECTION Mgmt For For
         
13.F ELECTION OF MEMBER AND DEPUTY MEMBER OF THE BOARD OF DIRECTORS: PROPOSAL FROM THE NOMINATION COMMITTEE: GRACE REKSTEN SKAUGEN, RE-ELECTION Mgmt For For
         
13.G ELECTION OF MEMBER AND DEPUTY MEMBER OF THE BOARD OF DIRECTORS: PROPOSAL FROM THE NOMINATION COMMITTEE: HANS STRABERG, RE-ELECTION Mgmt For For
         
13.H ELECTION OF MEMBER AND DEPUTY MEMBER OF THE BOARD OF DIRECTORS: PROPOSAL FROM THE NOMINATION COMMITTEE: JACOB WALLENBERG, RE-ELECTION Mgmt For For
         
13.I ELECTION OF MEMBER AND DEPUTY MEMBER OF THE BOARD OF DIRECTORS: PROPOSAL FROM THE NOMINATION COMMITTEE: MARCUS WALLENBERG, RE-ELECTION Mgmt For For

 

 

 

 

 

Investment Company Report 

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
    Page 112 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
13.J ELECTION OF MEMBER AND DEPUTY MEMBER OF THE BOARD OF DIRECTORS: PROPOSAL FROM THE NOMINATION COMMITTEE: ISABELLE KOCHER, NEW ELECTION Mgmt For For
         
13.K ELECTION OF MEMBER AND DEPUTY MEMBER OF THE BOARD OF DIRECTORS: PROPOSAL FROM THE NOMINATION COMMITTEE: SVEN NYMAN, NEW ELECTION Mgmt For For
         
14 ELECTION OF CHAIR OF THE BOARD OF DIRECTORS. PROPOSAL FROM THE NOMINATION COMMITTEE: JACOB WALLENBERG IS PROPOSED TO BE RE-ELECTED AS CHAIR OF THE BOARD OF DIRECTORS Mgmt For For
         
15 ELECTION OF AUDITORS AND DEPUTY AUDITORS: THE REGISTERED AUDITING COMPANY DELOITTE AB IS PROPOSED TO BE RE-ELECTED AS AUDITOR FOR THE PERIOD UNTIL THE END OF THE ANNUAL GENERAL MEETING 2022. DELOITTE AB HAS INFORMED THAT, SUBJECT TO THE APPROVAL OF THE PROPOSAL FROM THE NOMINATION COMMITTEE REGARDING AUDITOR, THE AUTHORIZED PUBLIC ACCOUNTANT JONAS STAHLBERG WILL CONTINUE AS THE AUDITOR IN CHARGE FOR THE AUDIT. THE NOMINATION COMMITTEE’S PROPOSAL IS CONSISTENT WITH THE AUDIT AND RISK COMMITTEE’S RECOMMENDATION Mgmt For For
         
16.A PROPOSAL FOR RESOLUTION ON A LONG-TERM VARIABLE REMUNERATION PROGRAM FOR EMPLOYEES WITHIN INVESTOR, EXCLUDING PATRICIA INDUSTRIES Mgmt For For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
    Page 113 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
16.B PROPOSAL FOR RESOLUTION ON A LONG-TERM VARIABLE REMUNERATION PROGRAM FOR EMPLOYEES WITHIN PATRICIA INDUSTRIES Mgmt For For
         
17.A PROPOSAL FOR RESOLUTION ON PURCHASE AND TRANSFER OF OWN SHARES IN ORDER TO GIVE THE BOARD OF DIRECTORS WIDER FREEDOM OF ACTION IN THE WORK WITH THE COMPANY’S CAPITAL STRUCTURE, IN ORDER TO ENABLE TRANSFER OF OWN SHARES ACCORDING TO 17B, AND IN ORDER TO SECURE THE COSTS CONNECTED TO THE LONG-TERM VARIABLE REMUNERATION PROGRAM ACCORDING TO 16A AND THE ALLOCATION OF SYNTHETIC SHARES AS PART OF THE COMPENSATION TO THE BOARD OF DIRECTORS Mgmt For For
         
17.B PROPOSAL FOR RESOLUTION ON TRANSFER OF OWN SHARES IN ORDER TO ENABLE THE COMPANY TO TRANSFER OWN SHARES TO EMPLOYEES WHO PARTICIPATE IN THE LONG-TERM VARIABLE REMUNERATION PROGRAM 2021 ACCORDING TO 16A Mgmt For For
         
18 PROPOSAL FOR RESOLUTION ON SHARE SPLIT AND AMENDMENT TO THE ARTICLES OF ASSOCIATION Mgmt For For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
    Page 114 of 261  

  

Unassigned 

KESKO CORP    
Security: X44874109 Agenda Number: 713690546
Ticker:   Meeting Type: AGM
ISIN: FI0009000202 Meeting Date: 12-Apr-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT MARKET RULES REQUIRE DISCLOSURE OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED Non-Voting    
         
CMMT A POA IS NEEDED TO APPOINT OWN REPRESENTATIVE BUT IS NOT NEEDED IF A FINNISH SUB/BANK IS APPOINTED EXCEPT IF THE SHAREHOLDER IS FINNISH THEN A POA WOULD STILL BE REQUIRED Non-Voting    
         
CMMT PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU Non-Voting    
         
1 OPENING OF THE MEETING Non-Voting    
         
2 CALLING THE MEETING TO ORDER Non-Voting    
         
3 ELECTION OF PERSON TO CONFIRM THE MINUTES AND TO SUPERVISE THE COUNTING OF VOTES Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
    Page 115 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
4 RECORDING THE LEGALITY OF THE MEETING Non-Voting    
         
5 RECORDING ATTENDANCE AT THE MEETING AND ADOPTION OF THE LIST OF VOTES Non-Voting    
         
6 REVIEW BY THE PRESIDENT AND CEO Non-Voting    
         
7 PRESENTATION OF THE 2020 FINANCIAL STATEMENTS, THE REPORT BY THE BOARD OF DIRECTORS AND THE AUDITOR’S REPORT Non-Voting    
         
8 ADOPTION OF THE FINANCIAL STATEMENTS Mgmt For For
         
9 USE OF THE PROFIT SHOWN ON THE BALANCE SHEET AND RESOLUTION ON THE PAYMENT OF DIVIDEND: THE BOARD PROPOSES THAT A DIVIDEND OF EURO 0.75 PER SHARE BE PAID FOR THE YEAR 2020 BASED ON THE ADOPTED BALANCE SHEET ON SHARES HELD OUTSIDE THE COMPANY AT THE DATE OF DIVIDEND DISTRIBUTION. THE REMAINING DISTRIBUTABLE ASSETS WILL REMAIN IN EQUITY. THE BOARD PROPOSES THAT THE DIVIDEND BE PAID IN TWO INSTALMENTS. THE FIRST INSTALMENT, EURO 0.38 PER SHARE, IS TO BE PAID TO SHAREHOLDERS REGISTERED IN THE COMPANY’S REGISTER OF SHAREHOLDERS KEPT BY EUROCLEAR FINLAND LTD ON THE FIRST DIVIDEND INSTALMENT PAYMENT RECORD DATE 14 APRIL 2021. THE BOARD PROPOSES THAT THE FIRST DIVIDEND INSTALMENT PAY DATE BE 21 APRIL 2021. THE SECOND INSTALMENT, EURO 0.37 PER SHARE, IS TO BE PAID TO SHAREHOLDERS REGISTERED IN THE COMPANY’S REGISTER OF SHAREHOLDERS KEPT BY EUROCLEAR FINLAND LTD ON THE SECOND DIVIDEND INSTALMENT PAYMENT RECORD DATE 1 OCTOBER 2021. THE BOARD PROPOSES THAT THE SECOND DIVIDEND INSTALMENT PAY DATE BE 8 OCTOBER 2021. THE BOARD PROPOSES THAT IT BE AUTHORISED TO DECIDE, IF NECESSARY, ON A NEW DIVIDEND~|~USE OF THE PROFIT SHOWN ON THE BALANCE SHEET AND RESOLUTION ON THE PAYMENT OF DIVIDEND Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
    Page 116 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
10 RESOLUTION ON DISCHARGING THE BOARD MEMBERS AND THE MANAGING DIRECTOR FROM LIABILITY FOR THE FINANCIAL YEAR 1 JAN - 31 DEC 2020 Mgmt For For
         
11 REVIEWING THE REMUNERATION REPORT FOR GOVERNING BODIES Mgmt For For
         
         
CMMT PLEASE NOTE THAT RESOLUTIONS 12 TO 14 ARE PROPOSED BY SHAREHOLDERS’ NOMINATION COMMITTEE AND BOARD DOES NOT MAKE ANY RECOMMENDATION ON THESE PROPOSALS. THE STANDING INSTRUCTIONS ARE DISABLED FOR THIS MEETING Non-Voting    
         
12 RESOLUTION ON THE BOARD MEMBERS’ REMUNERATION AND THE BASIS FOR REIMBURSEMENT OF THEIR EXPENSES Mgmt For  
         
13 RESOLUTION ON THE NUMBER OF BOARD MEMBERS: SEVEN Mgmt For  
         
14 ELECTION OF BOARD MEMBERS: THE SHAREHOLDERS’ NOMINATION COMMITTEE PROPOSES THAT THE FOLLOWING MEMBERS BE ELECTED TO THE COMPANY’S BOARD OF DIRECTORS FOR THE THREE-YEAR TERM OF OFFICE THAT WILL END, AS DETERMINED IN THE COMPANY’S ARTICLES OF ASSOCIATION, AT THE CLOSE OF THE 2024 ANNUAL GENERAL MEETING. THE COMMITTEE PROPOSES THE RE-ELECTION OF ESA KIISKINEN, RETAILER, BUSINESS COLLEGE GRADUATE: PETER FAGERN S, MASTER OF LAWS: JANNICA FAGERHOLM, M.SC. ECONOMICS: PIIA KARHU, DOCTOR OF SCIENCE, ECONOMICS AND BUSINESS ADMINISTRATION: AND TONI POKELA, RETAILER, EMBA. THE COMMITTEE PROPOSES THAT TIMO RITAKALLIO, DOCTOR OF SCIENCE (TECHNOLOGY), LL.M., MBA, AND JUSSI PER L, RETAILER, BUSINESS COLLEGE GRADUATE, BE ELECTED AS NEW BOARD MEMBERS Mgmt For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
    Page 117 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
15 RESOLUTION ON THE AUDITOR’S FEE AND THE BASIS FOR REIMBURSEMENT OF EXPENSES Mgmt For For
         
16 ELECTION OF THE AUDITOR: THE BOARD PROPOSES TO THE GENERAL MEETING, AT THE RECOMMENDATION OF THE BOARD’S AUDIT COMMITTEE, THAT THE FIRM OF AUTHORISED PUBLIC ACCOUNTANTS DELOITTE OY BE ELECTED AS THE COMPANY’S AUDITOR FOR THE FINANCIAL YEAR 2021. IF DELOITTE OY IS ELECTED AS KESKO’S AUDITOR, THE FIRM HAS ANNOUNCED THAT APA JUKKA VATTULAINEN WILL BE THE AUDITOR WITH PRINCIPAL RESPONSIBILITY Mgmt For For
         
17 PROPOSAL BY THE BOARD OF DIRECTORS FOR ITS AUTHORISATION TO DECIDE ON THE ISSUANCE OF SHARES Mgmt For For
         
18 DONATIONS FOR CHARITABLE PURPOSES Mgmt For For
         
19 CLOSING OF THE MEETING Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
    Page 118 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE Non-Voting    

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 119 of 261  

 

Unassigned 

 

KONE OYJ    
Security: X4551T105 Agenda Number: 713575516
Ticker:   Meeting Type: AGM
ISIN: FI0009013403 Meeting Date: 02-Mar-21

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
CMMT

MARKET RULES REQUIRE DISCLOSURE OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED

Non-Voting    
         
CMMT

A POA IS NEEDED TO APPOINT OWN REPRESENTATIVE BUT IS NOT NEEDED IF A FINNISH SUB/BANK IS APPOINTED EXCEPT IF THE SHAREHOLDER IS FINNISH THEN A POA WOULD STILL BE REQUIRED.

Non-Voting    
         
CMMT

PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED.

THANK YOU

Non-Voting    
         
1 OPENING OF THE MEETING Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 120 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
2 CALLING THE MEETING TO ORDER: ATTORNEY MERJA KIVELA WILL SERVE AS CHAIRPERSON OF THE MEETING. IN THE EVENT MERJA KIVELA IS PREVENTED FROM SERVING AS THE CHAIRPERSON FOR A WEIGHTY REASON, THE BOARD OF DIRECTORS WILL APPOINT THE PERSON THEY DEEM THE MOST SUITABLE TO SERVE AS THE CHAIRPERSON Non-Voting    
         
3 ELECTION OF PERSON TO SCRUTINIZE THE MINUTES AND TO SUPERVISE THE COUNTING OF VOTES: THE COMPANY'S LEGAL COUNSEL HETA RONKKO WILL SCRUTINIZE THE MINUTES AND SUPERVISE THE COUNTING OF THE VOTES. IN THE EVENT HETA RONKKO IS PREVENTED FROM SCRUTINIZING THE MINUTES AND SUPERVISING THE COUNTING OF THE VOTES FOR A WEIGHTY REASON, THE BOARD OF DIRECTORS WILL APPOINT THE PERSON THEY DEEM THE MOST SUITABLE TO SCRUTINIZE THE MINUTES AND SUPERVISE THE COUNTING OF THE VOTES Non-Voting    
         
4 RECORDING THE LEGALITY OF THE MEETING Non-Voting    
         
5 RECORDING THE ATTENDANCE AT THE MEETING AND ADOPTION OF THE LIST OF VOTES Non-Voting    
     
6 PRESENTATION OF THE ANNUAL ACCOUNTS, THE REPORT OF THE BOARD OF DIRECTORS AND THE AUDITOR’S REPORT FOR THE YEAR 2020 Non-Voting    
         
7 ADOPTION OF THE ANNUAL ACCOUNTS Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 121 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
8 RESOLUTION ON THE USE OF THE PROFIT SHOWN ON THE BALANCE SHEET AND THE PAYMENT OF DIVIDENDS: THE BOARD OF DIRECTORS PROPOSES THAT FOR THE FINANCIAL YEAR 2020 A DIVIDEND OF EUR 1.7475 IS PAID FOR EACH CLASS A SHARE AND A DIVIDEND OF EUR 1.75 IS PAID FOR EACH CLASS B SHARE. FURTHER, THE BOARD PROPOSES THAT AN EXTRA DIVIDEND OF EUR 0.4975 IS PAID FOR EACH CLASS A SHARE AND AN EXTRA DIVIDEND OF EUR 0.50 IS PAID FOR EACH CLASS B SHARE Mgmt For For
       
9 RESOLUTION ON THE DISCHARGE OF THE MEMBERS OF THE BOARD OF DIRECTORS AND THE PRESIDENT AND CEO FROM LIABILITY FOR THE FINANCIAL YEAR 2020 Mgmt For For
       
10 CONSIDERATION OF THE REMUNERATION REPORT FOR GOVERNING BODIES Mgmt For For
       
CMMT PLEASE NOTE THAT RESOLUTIONS 11 TO 13 ARE PROPOSED BY NOMINATION AND COMPENSATION COMMITTEE AND BOARD DOES NOT MAKE ANY RECOMMENDATION ON THESE PROPOSALS. THE STANDING INSTRUCTIONS ARE DISABLED FOR THIS MEETING Non-Voting    
       
11 RESOLUTION ON THE REMUNERATION OF THE MEMBERS OF THE BOARD OF DIRECTORS Mgmt Against  
       
12 RESOLUTION ON THE NUMBER OF MEMBERS OF THE BOARD OF DIRECTORS: THE NOMINATION AND COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS PROPOSES TO THE GENERAL MEETING THAT EIGHT BOARD MEMBERS ARE ELECTED Mgmt For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 122 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
13 ELECTION OF MEMBERS OF THE BOARDOF DIRECTORS: THE NOMINATION AND COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS PROPOSES TO THE GENERAL MEETING THAT MATTI ALAHUHTA, SUSAN DUINHOVEN, ANTTI HERLIN, IIRIS HERLIN, JUSSI HERLIN, RAVI KANT AND JUHANI KASKEALA ARE RE-ELECTED TO THE BOARD OF DIRECTORS AND JENNIFER XIN-ZHE LI IS ELECTED AS A NEW MEMBER TO THE BOARD OF DIRECTORS Mgmt Against  
         
14 RESOLUTION ON THE REMUNERATION OF THE AUDITORS Mgmt For For
         
15 RESOLUTION ON THE NUMBER OF AUDITORS: IN THE BEGINNING OF 2020, KONE FINALIZED THE MANDATORY AUDIT FIRM SELECTION PROCEDURE CONCERNING THE AUDIT FOR THE FINANCIAL YEAR 2021. CONSEQUENTLY, AUDIT FIRM ERNST & YOUNG OY WAS ELECTED AS THE AUDITOR OF THE COMPANY FOR THE FINANCIAL YEAR 2021 ALREADY IN THE GENERAL MEETING 2020 AND IN THE SAME CONTEXT ALSO THE NUMBER OF AUDITORS FOR THE FINANCIAL YEAR 2021 WAS RESOLVED. THEREFORE, THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS NOW PROPOSES TO THE GENERAL MEETING THAT ONE AUDITOR IS ELECTED FOR THE COMPANY FOR A TERM ENDING AT THE CONCLUSION OF THE FOLLOWING ANNUAL GENERAL MEETING Mgmt For For
         
16 ELECTION OF AUDITORS: IN THE BEGINNING OF 2020, KONE FINALIZED THE MANDATORY AUDIT FIRM SELECTION PROCEDURE CONCERNING THE AUDIT FOR THE FINANCIAL YEAR 2021. CONSEQUENTLY, AUDIT FIRM ERNST & YOUNG OY WAS ELECTED AS THE AUDITOR OF THE COMPANY FOR THE FINANCIAL YEAR 2021 ALREADY IN THE GENERAL MEETING 2020. THEREFORE, THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS NOW PROPOSES TO THE GENERAL MEETING THAT AUDIT FIRM ERNST & YOUNG OY BE ELECTED AS THE AUDITOR OF THE COMPANY FOR A TERM ENDING AT THE CONCLUSION OF THE FOLLOWING ANNUAL GENERAL MEETING Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 123 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
17 AUTHORIZING THE BOARD OF DIRECTORS TO DECIDE ON THE REPURCHASE OF THE COMPANY’S OWN SHARES Mgmt For For
         
18 AUTHORIZING THE BOARD OF DIRECTORS TO DECIDE ON THE ISSUANCE OF SHARES AS WELL AS THE ISSUANCE OF OPTIONS AND OTHER SPECIAL RIGHTS ENTITLING TO SHARES Mgmt For For
         
19 CLOSING OF THE MEETING Non-Voting    
         
CMMT 02 FEB 2021: INTERMEDIARY CLIENTSONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE Non-Voting    
         
CMMT 02 FEB 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 124 of 261  

 

Unassigned 

 

KONINKLIJKE AHOLD DELHAIZE N.V.    
Security: N0074E105 Agenda Number: 713650718
Ticker:   Meeting Type: AGM
ISIN: NL0011794037 Meeting Date: 14-Apr-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT PLEASE NOTE THAT BENEFICIAL OWNER DETAILS IS REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU. Non-Voting    
         
CMMT PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU Non-Voting    
         
1. OPENING Non-Voting    
         
2. REPORT OF THE MANAGEMENT BOARD FOR THE FINANCIAL YEAR 2020 Non-Voting    
         
3. EXPLANATION OF POLICY ON ADDITIONS TO RESERVES AND DIVIDENDS Non-Voting    
         
4. PROPOSAL TO ADOPT THE 2020 FINANCIAL STATEMENTS Mgmt For For
         
5. PROPOSAL TO DETERMINE THE DIVIDEND OVER FINANCIAL YEAR 2020 Mgmt For For
         
6. REMUNERATION REPORT Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 125 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
7. PROPOSAL FOR DISCHARGE OF LIABILITIES OF THE MEMBERS OF THE MANAGEMENT BOARD Mgmt For For
         
8. PROPOSAL FOR DISCHARGE OF LIABILITIES OF THE MEMBERS OF THE SUPERVISORY BOARD Mgmt For For
         
9. PROPOSAL TO APPOINT JAN ZIJDERVELD AS A NEW MEMBER OF THE SUPERVISORY BOARD Mgmt For For
         
10. PROPOSAL TO APPOINT BALA SUBRAMANIAN AS NEW MEMBER OF THE SUPERVISORY BOARD Mgmt For For
         
11. PROPOSAL TO RE-APPOINT PRICEWATERHOUSECOOPERS ACCOUNTANTS N.V. AS EXTERNAL AUDITOR FOR FINANCIAL YEAR 2021 Mgmt For For
         
12. AUTHORIZATION TO ISSUE SHARES Mgmt For For
         
13. AUTHORIZATION TO RESTRICT OR EXCLUDE PRE-EMPTIVE RIGHTS Mgmt For For
         
14. AUTHORIZATION TO ACQUIRE COMMON SHARES Mgmt For For
         
15. CANCELLATION OF SHARES Mgmt For For
         
16. CLOSING Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 126 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT INTERMEDIARY CLIENTS ONLY - PLEASENOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 127 of 261  

 

Unassigned

 

KONINKLIJKE KPN NV    
Security: N4297B146 Agenda Number: 713650706
Ticker:   Meeting Type: AGM
ISIN: NL0000009082 Meeting Date: 14-Apr-21

 

         
Prop. # Proposal Proposal Proposed Vote For/Against
    by   Management’s
        Recommendation
         
CMMT PLEASE NOTE THAT BENEFICIAL OWNER DETAILS IS REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU. Non-Voting    
         
CMMT PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU Non-Voting    
         
CMMT INTERMEDIARY CLIENTS ONLY – PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE Non-Voting    
         
1. OPENING AND ANNOUNCEMENTS Non-Voting    
         
2. REPORT BY THE BOARD OF MANAGEMENT FOR THE FISCAL YEAR 2020 Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 128 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
3. PROPOSAL TO ADOPT THE FINANCIAL STATEMENTS FOR THE FISCAL YEAR 2020 Mgmt For For
         
4. REMUNERATION REPORT IN THE FISCAL YEAR 2020 (ADVISORY VOTE) Mgmt For For
         
5. EXPLANATION OF THE FINANCIAL AND DIVIDEND POLICY Non-Voting    
         
6. PROPOSAL TO DETERMINE THE DIVIDEND OVER THE FISCAL YEAR 2020: EUR 13.00 PER SHARE Mgmt For For
         
7. PROPOSAL TO DISCHARGE THE MEMBERS OF THE BOARD OF MANAGEMENT FROM LIABILITY Mgmt For For
         
8. PROPOSAL TO DISCHARGE THE MEMBERS OF THE SUPERVISORY BOARD FROM LIABILITY Mgmt For For
         
9. PROPOSAL TO APPOINT THE EXTERNAL AUDITOR FOR THE FISCAL YEAR 2022: ERNST AND YOUNG ACCOUNTANTS LLP Mgmt For For
         
10. OPPORTUNITY TO MAKE RECOMMENDATIONS FOR THE APPOINTMENT OF MEMBERS OF THE SUPERVISORY BOARD Non-Voting    
         
11. PROPOSAL TO APPOINT MR. E.J.C. OVERBEEK AS MEMBER OF THE SUPERVISORY BOARD Mgmt For For
         
12. PROPOSAL TO APPOINT MR. G.J.A. VAN DE AAST AS MEMBER OF THE SUPERVISORY BOARD Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 129 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
13. ANNOUNCEMENT CONCERNING VACANCIES IN THE SUPERVISORY BOARD ARISING IN 2022 Non-Voting    
         
14. PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO RESOLVE THAT THE COMPANY MAY ACQUIRE ITS OWN SHARES Mgmt For For
         
15. PROPOSAL TO REDUCE THE CAPITAL BY CANCELLING OWN SHARES Mgmt For For
         
16. PROPOSAL TO DESIGNATE THE BOARD OF MANAGEMENT AS THE COMPETENT BODY TO ISSUE ORDINARY SHARES Mgmt For For
         
17. PROPOSAL TO DESIGNATE THE BOARD OF MANAGEMENT AS THE COMPETENT BODY TO RESTRICT OR EXCLUDE PRE-EMPTIVE RIGHTS UPON ISSUING ORDINARY SHARES Mgmt For For
         
18. ANY OTHER BUSINESS Non-Voting    
         
19. VOTING RESULTS AND CLOSURE OF THE MEETING Non-Voting    
         
CMMT 26 MAR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE TEXT OF RESOLUTIONS 9 AND 6. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 130 of 261  

 

Unassigned 

L'OREAL S.A.    
Security: F58149133 Agenda Number: 713687551
Ticker:   Meeting Type: MIX
ISIN: FR0000120321 Meeting Date: 20-Apr-21

 

         
Prop. # Proposal Proposed    Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE. Non-Voting    
         
CMMT FOLLOWING CHANGES IN THE FORMAT OF PROXY CARDS FOR FRENCH MEETINGS, ABSTAIN IS NOW A VALID VOTING OPTION. FOR ANY ADDITIONAL ITEMS RAISED AT THE MEETING THE VOTING OPTION WILL DEFAULT TO ’AGAINST’, OR FOR POSITIONS WHERE THE PROXY CARD IS NOT COMPLETED BY BROADRIDGE, TO THE PREFERENCE OF YOUR CUSTODIAN. Non-Voting    
         

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 131 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT 16 MAR 2021: PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU AND INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE AND PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIs) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIs TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIs WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIs WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 132 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT PLEASE NOTE THAT DUE TO THE CURRENT COVID19 CRISIS AND IN ACCORDANCE WITH THE PROVISIONS ADOPTED BY THE FRENCH GOVERNMENT UNDER LAW NO. 2020- 1379 OF NOVEMBER 14, 2020, EXTENDED AND MODIFIED BY LAW NO 2020-1614 OF DECEMBER 18, 2020 THE GENERAL MEETING WILL TAKE PLACE BEHIND CLOSED DOORS WITHOUT THE PHYSICAL PRESENCE OF THE SHAREHOLDERS. TO COMPLY WITH THESE LAWS, PLEASE DO NOT SUBMIT ANY REQUESTS TO ATTEND THE MEETING IN PERSON. SHOULD THIS SITUATION CHANGE, THE COMPANY ENCOURAGES ALL SHAREHOLDERS TO REGULARLY CONSULT THE COMPANY WEBSITE Non-Voting    
         
CMMT 08 APR 2021: PLEASE NOTE THAT IMPORTANT ADDITIONAL MEETING INFORMATION IS AVAILABLE BY CLICKING ON THE MATERIAL URL LINK: https://www.journal- officiel.gouv.fr/balo/document/2021033121006 46-39 AND PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF UPDATED BALO LINK AND CHANGE IN NUMBERING OF ALL RESOLUTIONS. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU Non-Voting    
         
1 APPROVE FINANCIAL STATEMENTS AND STATUTORY REPORTS Mgmt For For
         
2 APPROVE CONSOLIDATED FINANCIAL STATEMENTS AND STATUTORY REPORTS Mgmt For For
         
3 APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF EUR 4 PER SHARE AND AN EXTRA OF EUR 0.40 PER SHARE TO LONG TERM REGISTERED SHARES Mgmt For For
         
4 ELECT NICOLAS HIERONIMUS AS DIRECTOR Mgmt Against Against
         
5 ELECT ALEXANDRE RICARD AS DIRECTOR Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 133 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
6 RE-ELECT FRANCOISE BETTENCOURT MEYERS AS DIRECTOR Mgmt Against Against
         
7 RE-ELECT PAUL BULCKE AS DIRECTOR Mgmt Against Against
         
8 RE-ELECT VIRGINIE MORGON AS DIRECTOR Mgmt For For
         
9 APPROVE COMPENSATION REPORT OF CORPORATE OFFICERS Mgmt For For
         
10 APPROVE COMPENSATION OF JEAN- PAUL AGON, CHAIRMAN AND CEO Mgmt For For
         
11 APPROVE REMUNERATION POLICY OF DIRECTORS Mgmt For For
         
12 APPROVE REMUNERATION POLICY OF JEAN-PAUL AGON, CHAIRMAN AND CEO UNTIL APRIL 30, 2021 Mgmt For For
         
13 APPROVE REMUNERATION POLICY OF NICOLAS HIERONIMUS, CEO SINCE MAY 1, 2021 Mgmt For For
         
14 APPROVE REMUNERATION POLICY OF JEAN-PAUL AGON, CHAIRMAN OF THE BOARD SINCE MAY 1, 2021 Mgmt For For
         
15 APPROVE AMENDMENT OF EMPLOYMENT CONTRACT OF NICOLAS HIERONIMUS,CEO SINCE MAY 1, 2021 Mgmt For For
         
16 AUTHORIZE REPURCHASE OF UP TO 10 PERCENT OF ISSUED SHARE CAPITAL Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 134 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
17 AUTHORIZE ISSUANCE OF EQUITY OR EQUITY-LINKED SECURITIES WITH PREEMPTIVE RIGHTS UP A MAXIMUM NOMINAL SHARE CAPITAL VALUE OF EUR 156,764,042.40 Mgmt For For
         
18 AUTHORIZE CAPITALIZATION OF RESERVES FOR BONUS ISSUE OR INCREASE IN PAR VALUE Mgmt For For
         
19 AUTHORIZE CAPITAL INCREASE OF UP TO 2 PERCENT OF ISSUED CAPITAL FOR CONTRIBUTIONS IN KIND Mgmt For For
         
20 AUTHORIZE CAPITAL ISSUANCES FOR USE IN EMPLOYEE STOCK PURCHASE PLANS Mgmt For For
         
21 AUTHORIZE CAPITAL ISSUANCES FOR USE IN EMPLOYEE STOCK PURCHASE PLANS RESERVED FOR EMPLOYEES OF INTERNATIONAL SUBSIDIARIES Mgmt For For
         
22 AMEND ARTICLE 7 OF BYLAWS RE: WRITTEN CONSULTATION Mgmt For For
         
23 AUTHORIZE FILING OF REQUIRED DOCUMENTS/OTHER FORMALITIES Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 135 of 261  

 

Unassigned 

LEGRAND SA    
Security: F56196185 Agenda Number: 713911976
Ticker:   Meeting Type: MIX
ISIN: FR0010307819 Meeting Date: 26-May-21

 

         
Prop. # Proposal Proposed    Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE. Non-Voting    
         
CMMT FOLLOWING CHANGES IN THE FORMAT OF PROXY CARDS FOR FRENCH MEETINGS, ABSTAIN IS NOW A VALID VOTING OPTION. FOR ANY ADDITIONAL ITEMS RAISED AT THE MEETING THE VOTING OPTION WILL DEFAULT TO ’AGAINST’, OR FOR POSITIONS WHERE THE PROXY CARD IS NOT COMPLETED BY BROADRIDGE, TO THE PREFERENCE OF YOUR CUSTODIAN. Non-Voting    
         
CMMT 16 APR 2021: PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU AND PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 136 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
         
CMMT PLEASE NOTE THAT DUE TO THE CURRENT COVID19 CRISIS AND IN ACCORDANCE WITH THE PROVISIONS ADOPTED BY THE FRENCH GOVERNMENT UNDER LAW NO. 2020- 1379 OF NOVEMBER 14, 2020, EXTENDED AND MODIFIED BY LAW NO 2020-1614 OF DECEMBER 18, 2020 THE GENERAL MEETING WILL TAKE PLACE BEHIND CLOSED DOORS WITHOUT THE PHYSICAL PRESENCE OF THE SHAREHOLDERS. TO COMPLY WITH THESE LAWS, PLEASE DO NOT SUBMIT ANY REQUESTS TO ATTEND THE MEETING IN PERSON. SHOULD THIS SITUATION CHANGE, THE COMPANY ENCOURAGES ALL SHAREHOLDERS TO REGULARLY CONSULT THE COMPANY WEBSITE Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 137 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1 THE SHAREHOLDERS’ MEETING, AFTER HAVING REVIEWED THE REPORTS OF THE BOARD OF DIRECTORS AND THE AUDITORS, APPROVES THE COMPANY’S FINANCIAL STATEMENTS FOR THE FISCAL YEAR THAT ENDED IN 2020, AS PRESENTED TO THE MEETING, SHOWING EARNINGS AMOUNTING TO EUR 427,487,360.64. THE SHAREHOLDERS’ MEETING APPROVES THE NON DEDUCTIBLE EXPENSES AND CHARGES AMOUNTING TO EUR 46,734.00 AND THEIR CORRESPONDING TAX OF EUR 14,966.00 Mgmt For For
         
2 THE SHAREHOLDERS’ MEETING, AFTER HAVING REVIEWED THE REPORTS OF THE BOARD OF DIRECTORS AND THE AUDITORS, APPROVES THE CONSOLIDATED FINANCIAL STATEMENTS FOR SAID FINANCIAL YEAR, AS PRESENTED TO THE MEETING, SHOWING NET EARNINGS (GROUP SHARE) AMOUNTING TO EUR 681,200,000.00 Mgmt For For
         
3 THE SHAREHOLDERS’ MEETINGRESOLVES TO ALLOCATE THE EARNINGS AS FOLLOWS: ORIGIN: EARNINGS: EUR 427,487,360.64 LEGAL RESERVE: EUR (68,647.20) RETAINED EARNINGS: EUR 90,255,385.25 INTERIM DISTRIBUTABLE INCOME: EUR 517,674,098.69 UNAVAILABLE RESERVES FOR TREASURY SHARES: EUR (5,158,756.43) DISTRIBUTABLE INCOME: EUR 512,515,342.26 ALLOCATION: DIVIDENDS: EUR 379,597,721.38 (BASED ON THE SHARES COMPOSING THE SHARE CAPITAL AS OF THE 31ST OF DECEMBER 2020) RETAINED EARNINGS: EUR 132,917,620.88 FOLLOWING THIS ALLOCATION, THE UNAVAILABLE RESERVES FOR TREASURY SHARES WILL SHOW A NEW BALANCE OF EUR 8,615,006.54. THE SHAREHOLDERS WILL BE GRANTED A DIVIDEND OF EUR 1.42 PER SHARE, THAT WILL BE ELIGIBLE TO THE 40 PER CENT DEDUCTION PROVIDED BY THE FRENCH GENERAL TAX CODE. THIS DIVIDEND WILL BE PAID ON THE 1ST OF JUNE 2021. AS REQUIRED BY LAW, IT IS REMINDED THAT, FOR THE LAST THREE FINANCIAL YEARS, THE DIVIDENDS WERE PAID AS FOLLOWS: EUR 1.26 PER SHARE FOR FISCAL YEAR 2017 EUR 1.34 PER SHARE FOR FISCAL YEARS 2018 AND 2019 Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 138 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
         
4 THE SHAREHOLDERS’ MEETING APPROVES THE INFORMATION MENTIONED IN THE ARTICLE L.22-10-9 I OF THE FRENCH COMMERCIAL CODE Mgmt For For
         
5 THE SHAREHOLDERS’ MEETING APPROVES THE FIXED, VARIABLE AND ONE-OFF COMPONENTS OF THE TOTAL COMPENSATION AS WELL AS THE BENEFITS OR PERKS OF ANY KIND PAID AND AWARDED TO MR GILLES SCHNEPP AS CHAIRMAN OF THE BOARD OF DIRECTORS UNTIL THE 30TH OF JUNE 2020 FOR THE 2020 FINANCIAL YEAR Mgmt For For
         
6 THE SHAREHOLDERS’ MEETING APPROVES THE FIXED, VARIABLE AND ONE-OFF COMPONENTS OF THE TOTAL COMPENSATION AS WELL AS THE BENEFITS OR PERKS OF ANY KIND PAID AND AWARDED TO MRS ANGELES GARCIA-POVEDA AS CHAIRWOMAN OF THE BOARD OF DIRECTORS FROM THE 1ST OF JULY 2020 FOR THE 2020 FINANCIAL YEAR Mgmt For For
         
7 THE SHAREHOLDERS’ MEETING APPROVES THE FIXED, VARIABLE AND ONE-OFF COMPONENTS OF THE TOTAL COMPENSATION AS WELL AS THE BENEFITS OR PERKS OF ANY KIND PAID AND AWARDED TO MR BENOIT COQUART AS MANAGING DIRECTOR FOR THE 2020 FINANCIAL YEAR Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 139 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
8 THE SHAREHOLDERS’ MEETING APPROVES THE POLICY OF THE COMPENSATION APPLICABLE TO THE CHAIRMAN OF THE BOARD OF DIRECTORS Mgmt For For
         
THE SHAREHOLDERS’ MEETING APPROVES THE POLICY OF THE COMPENSATION APPLICABLE TO THE MANAGING DIRECTOR Mgmt For For
         
10  THE SHAREHOLDERS’ MEETING APPROVES THE POLICY OF THE COMPENSATION APPLICABLE TO THE MEMBERS OF THE BOARD OF DIRECTORS Mgmt For For
         
11 THE SHAREHOLDERS’ MEETING RENEWS THE APPOINTMENT OF MRS ANNALISA LOUSTAU ELIA AS A DIRECTOR FOR A 3- YEAR PERIOD, I.E. UNTIL THE SHAREHOLDERS’ MEETING CALLED TO RULE ON THE FINANCIAL STATEMENTS FOR THE 2023 FISCAL YEAR Mgmt For For
         
12 THE SHAREHOLDERS’ MEETING APPOINTS AS A DIRECTOR, MR JEAN- MARC CHERY FOR A 3-YEAR PERIOD, I.E. UNTIL THE SHAREHOLDERS’ MEETING CALLED TO RULE ON THE FINANCIAL STATEMENTS FOR THE 2023 FISCAL YEAR Mgmt For For
         
13 THE SHAREHOLDERS’ MEETING AUTHORIZES THE BOARD OF DIRECTORS TO BUY BACK THE COMPANY’S SHARES, SUBJECT TO THE CONDITIONS DESCRIBED BELOW: MAXIMUM PURCHASE PRICE: EUR 120.00, MAXIMUM NUMBER OF SHARES TO BE ACQUIRED: 10 PER CENT OF THE SHARE CAPITAL, MAXIMUM FUNDS INVESTED IN THE SHARE BUYBACKS: EUR 1,000,000,000.00. THIS AUTHORIZATION IS GIVEN FOR AN 18-MONTH PERIOD. THIS DELEGATION OF POWERS SUPERSEDES ANY AND ALL EARLIER DELEGATIONS TO THE SAME EFFECT. THE SHAREHOLDERS’ MEETING DELEGATES ALL POWERS TO THE BOARD OF DIRECTORS TO TAKE ALL NECESSARY MEASURES AND ACCOMPLISH ALL NECESSARY FORMALITIES Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 140 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
14 THE SHAREHOLDERS’ MEETING GRANTS ALL POWERS TO THE BOARD OF DIRECTORS TO REDUCE THE SHARE CAPITAL, ON ONE OR MORE OCCASIONS AND AT ITS SOLE DISCRETION, BY CANCELLING ALL OR PART OF THE SHARES HELD BY THE COMPANY IN CONNECTION WITH THE STOCK REPURCHASE PLAN, UP TO A MAXIMUM OF 10 PER CENT OF THE SHARE CAPITAL OVER A 24-MONTH PERIOD. THIS AUTHORIZATION IS GIVEN FOR AN 18- MONTH PERIOD. THIS DELEGATION OF POWERS SUPERSEDES ANY AND ALL EARLIER DELEGATIONS TO THE SAME EFFECT. THE SHAREHOLDERS’ MEETING DELEGATES ALL POWERS TO THE BOARD OF DIRECTORS TO TAKE ALL NECESSARY MEASURES AND ACCOMPLISH ALL NECESSARY FORMALITIES Mgmt For For
         
15 THE SHAREHOLDERS’ MEETING AUTHORIZES THE BOARD OF DIRECTORS TO GRANT, FOR FREE, ON ONE OR MORE OCCASIONS, EXISTING OR TO BE ISSUED COMPANY’S SHARES, IN FAVOUR OF BENEFICIARIES TO BE CHOSEN AMONG THE EMPLOYEES AND OR THE CORPORATE OFFICERS OF THE COMPANY AND RELATED COMPANIES. THEY MAY NOT REPRESENT MORE THAN 1.5 PER CENT OF THE SHARE CAPITAL, AMONG WHICH THE SHARES GRANTED TO THE CORPORATE OFFICERS OF THE COMPANY MAY NOT REPRESENT MORE THAN 10 PER CENT OF THE TOTAL NUMBER OF SHARES GRANTED FOR FREE. THIS AUTHORIZATION IS GIVEN FOR A 38-MONTH PERIOD. THIS DELEGATION OF POWERS SUPERSEDES ANY AND ALL EARLIER DELEGATIONS TO THE SAME EFFECT. THE SHAREHOLDERS’ MEETING DELEGATES ALL POWERS TO THE BOARD OF DIRECTORS TO TAKE ALL NECESSARY MEASURES AND ACCOMPLISH ALL NECESSARY FORMALITIES Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 141 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
16 THE SHAREHOLDERS’ MEETING DECIDES TO AMEND ARTICLE NR 12.4 : ’VOTING RIGHT’ OF THE BYLAWS Mgmt For For
         
17 THE SHAREHOLDERS’ MEETING GRANTS FULL POWERS TO THE BEARER OF AN ORIGINAL, A COPY OR EXTRACT OF THE MINUTES OF THIS MEETING TO CARRY OUT ALL FILINGS, PUBLICATIONS AND OTHER FORMALITIES PRESCRIBED BY LAW Mgmt For For
         
CMMT 05 MAY 2021: PLEASE NOTE THAT IMPORTANT ADDITIONAL MEETING INFORMATION IS AVAILABLE BY CLICKING ON THE MATERIAL URL LINK: https://www.journal- officiel.gouv.fr/balo/document/2021041421008 42-45 AND https://www.journal- officiel.gouv.fr/balo/document/2021050521013 75-54 AND PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF COMMENT AND DUE TO RECEIPT OF UPDATED BALO LINK. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU Non-Voting    
         

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 142 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT INTERMEDIARY CLIENTS ONLY – PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE Non-Voting    

 

 

 

 

  

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 143 of 261  

 

Unassigned

 

LVMH MOET HENNESSY LOUIS VUITTON SE
Security: F58485115 Agenda Number: 713673110
Ticker:   Meeting Type: MIX
ISIN: FR0000121014 Meeting Date: 15-Apr-21

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT THE FOLLOWING APPLIES TO Non-Voting    
  SHAREHOLDERS THAT DO NOT HOLD      
  SHARES DIRECTLY WITH A FRENCH      
  CUSTODIAN: PROXY CARDS: VOTING      
  INSTRUCTIONS WILL BE FORWARDED TO      
  THE GLOBAL CUSTODIANS ON THE VOTE      
  DEADLINE DATE. IN CAPACITY AS      
  REGISTERED INTERMEDIARY, THE      
  GLOBAL CUSTODIANS WILL SIGN THE      
  PROXY CARDS AND FORWARD THEM TO      
  THE LOCAL CUSTODIAN. IF YOU      
  REQUEST MORE INFORMATION, PLEASE      
  CONTACT YOUR CLIENT      
  REPRESENTATIVE.      
         
CMMT FOLLOWING CHANGES IN THE FORMAT Non-Voting    
  OF PROXY CARDS FOR FRENCH      
  MEETINGS, ABSTAIN IS NOW A VALID      
  VOTING OPTION. FOR ANY ADDITIONAL      
  ITEMS RAISED AT THE MEETING THE      
  VOTING OPTION WILL DEFAULT TO      
  ‘AGAINST’, OR FOR POSITIONS WHERE      
  THE PROXY CARD IS NOT COMPLETED      
  BY BROADRIDGE, TO THE PREFERENCE      
  OF YOUR CUSTODIAN.      

 

 

 

  

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021
       
      Page 144 of 261

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT 12 MAR 2021: PLEASE NOTE THAT IF YOU Non-Voting    
  HOLD CREST DEPOSITORY INTERESTS      
  (CDIs) AND PARTICIPATE AT THIS      
  MEETING, YOU (OR YOUR CREST      
  SPONSORED MEMBER/CUSTODIAN) WILL      
  BE REQUIRED TO INSTRUCT A TRANSFER      
  OF THE RELEVANT CDIs TO THE ESCROW      
  ACCOUNT SPECIFIED IN THE      
  ASSOCIATED CORPORATE EVENT IN THE      
  CREST SYSTEM. THIS TRANSFER WILL      
  NEED TO BE COMPLETED BY THE      
  SPECIFIED CREST SYSTEM DEADLINE.      
  ONCE THIS TRANSFER HAS SETTLED,      
  THE CDIs WILL BE BLOCKED IN THE      
  CREST SYSTEM. THE CDIs WILL BE      

  

RELEASED FROM ESCROW AS SOON AS      
  PRACTICABLE ON THE BUSINESS DAY      
  PRIOR TO MEETING DATE UNLESS      
  OTHERWISE SPECIFIED. IN ORDER FOR A      
  VOTE TO BE ACCEPTED, THE VOTED      
  POSITION MUST BE BLOCKED IN THE      
  REQUIRED ESCROW ACCOUNT IN THE      
  CREST SYSTEM. BY VOTING ON THIS      
  MEETING, YOUR CREST SPONSORED      
  MEMBER/CUSTODIAN MAY USE YOUR      
  VOTE INSTRUCTION AS THE      
  AUTHORIZATION TO TAKE THE      
  NECESSARY ACTION WHICH WILL      
  INCLUDE TRANSFERRING YOUR      
  INSTRUCTED POSITION TO ESCROW.      
  PLEASE CONTACT YOUR CREST      
  SPONSORED MEMBER/CUSTODIAN      
  DIRECTLY FOR FURTHER INFORMATION      
  ON THE CUSTODY PROCESS AND      
  WHETHER OR NOT THEY REQUIRE      
  SEPARATE INSTRUCTIONS FROM YOU      
  AND PLEASE NOTE THAT SHAREHOLDER      
  DETAILS ARE REQUIRED TO VOTE AT      
  THIS MEETING. IF NO SHAREHOLDER      
  DETAILS ARE PROVIDED, YOUR      
  INSTRUCTION MAY CARRY A      
  HEIGHTENED RISK OF BEING REJECTED.      
  THANK YOU AND INTERMEDIARY      
  CLIENTS ONLY - PLEASE NOTE THAT IF      
  YOU ARE CLASSIFIED AS AN      
  INTERMEDIARY CLIENT UNDER THE      
  SHAREHOLDER RIGHTS DIRECTIVE II,      
  YOU SHOULD BE PROVIDING THE      
  UNDERLYING SHAREHOLDER      
  INFORMATION AT THE VOTE      
  INSTRUCTION LEVEL. IF YOU ARE      
  UNSURE ON HOW TO PROVIDE THIS      
  LEVEL OF DATA TO BROADRIDGE      
  OUTSIDE OF PROXYEDGE, PLEASE      
  SPEAK TO YOUR DEDICATED CLIENT      
  SERVICE REPRESENTATIVE FOR      
  ASSISTANCE      
         
CMMT PLEASE NOTE THAT DUE TO THE Non-Voting    
  CURRENT COVID19 CRISIS AND IN      
  ACCORDANCE WITH THE PROVISIONS      
  ADOPTED BY THE FRENCH      
  GOVERNMENT UNDER LAW NO. 2020-      
  1379 OF NOVEMBER 14, 2020, EXTENDED      
  AND MODIFIED BY LAW NO 2020-1614 OF      
  DECEMBER 18, 2020 THE GENERAL      
  MEETING WILL TAKE PLACE BEHIND      
  CLOSED DOORS WITHOUT THE      
  PHYSICAL PRESENCE OF THE      
  SHAREHOLDERS. TO COMPLY WITH      
  THESE LAWS, PLEASE DO NOT SUBMIT      
  ANY REQUESTS TO ATTEND THE      
  MEETING IN PERSON. SHOULD THIS      
  SITUATION CHANGE, THE COMPANY      
  ENCOURAGES ALL SHAREHOLDERS TO      
  REGULARLY CONSULT THE COMPANY      
  WEBSITE      

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 145 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT 08 APR 2021: PLEASE NOTE THAT THIS IS Non-Voting    
  A REVISION DUE TO MODIFICATION OF      
  TEXT OF COMMENT AND CHANGE IN      
  NUMBERING OF RESOLUTIONS. IF YOU      
  HAVE ALREADY SENT IN YOUR VOTES,      
  PLEASE DO NOT VOTE AGAIN UNLESS      
  YOU DECIDE TO AMEND YOUR ORIGINAL      
  INSTRUCTIONS. THANK YOU AND PLEASE      
  NOTE THAT IMPORTANT ADDITIONAL      
  MEETING INFORMATION IS AVAILABLE BY      
  CLICKING ON THE MATERIAL URL LINK:      
  https://www.journal-      
  officiel.gouv.fr/balo/document/2021031021004      
  15-30      
         
1 APPROVAL OF THE CORPORATE Mgmt For For
  FINANCIAL STATEMENT FOR THE      
  FINANCIAL YEAR ENDED 31 DECEMBER      
  2020      
         
2 APPROVAL OF THE CONSOLIDATED Mgmt For For
  FINANCIAL STATEMENT FOR THE      
  FINANCIAL YEAR ENDED 31 DECEMBER      
  2020      
         
3 ALLOCATION OF INCOME FOR THE Mgmt For For
  FINANCIAL YEAR AND SETTING OF THE      
  DIVIDEND      
         
4 APPROVAL OF REGULATED Mgmt For For
  AGREEMENTS REFERRED TO IN ARTICLE      
  L. 225-38 OF THE FRENCH COMMERCIAL      
  CODE      

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 146 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
5 RENEWAL OF THE TERM OF OFFICE OF Mgmt For For
  MR. ANTOINE ARNAULT AS DIRECTOR      
         
6 RENEWAL OF THE TERM OF OFFICE OF Mgmt For For
  MR. NICOLAS BAZIRE AS DIRECTOR      
         
7 RENEWAL OF THE TERM OF OFFICE OF Mgmt For For
  MR. CHARLES DE CROISSET AS      
  DIRECTOR      
         
8 RENEWAL OF THE TERM OF OFFICE OF Mgmt For For
  MR. YVES-THIBAULT DE SILGUY AS      
  DIRECTOR      
         
9 APPOINTMENT OF MR. M. OLIVIER LENEL Mgmt For For
  AS DEPUTY STATUTORY AUDITOR, AS A      
  REPLACEMENT FOR MR. PHILIPPE      
  CASTAGNAC WHO RESIGNED      
         
10 APPROVAL OF THE CHANGES MADE FOR Mgmt For For
  THE FINANCIAL YEAR 2020 TO THE      
  DIRECTORS’ COMPENSATION POLICY      
         
11 APPROVAL OF THE CHANGES MADE FOR Mgmt Against Against
  THE YEAR 2020 TO THE COMPENSATION      
  POLICY FOR THE CHAIRMAN AND CHIEF      
  EXECUTIVE OFFICER AND THE DEPUTY      
  CHIEF EXECUTIVE OFFICER      
         
12 APPROVAL OF THE INFORMATION Mgmt Against Against
  REFERRED TO IN ARTICLE L. 22-10-9 I OF      
  THE FRENCH COMMERCIAL CODE      
         
13 APPROVAL OF THE COMPENSATION Mgmt Against Against
  ELEMENTS PAID DURING THE FINANCIAL      
  YEAR 2020 OR GRANTED FOR THE SAME      
  FINANCIAL YEAR TO MR. BERNARD      
  ARNAULT, CHAIRMAN AND CHIEF      
  EXECUTIVE OFFICER      

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 147 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
14 APPROVAL OF THE COMPENSATION Mgmt Against Against
  ELEMENTS PAID DURING THE FINANCIAL      
  YEAR 2020 OR GRANTED FOR THE SAME      
  FINANCIAL YEAR TO MR. ANTONIO      
  BELLONI, DEPUTY CHIEF EXECUTIVE      
  OFFICER      
         
15 APPROVAL OF THE COMPENSATION Mgmt For For
  POLICY OF DIRECTORS      
         
16 APPROVAL OF THE COMPENSATION Mgmt Against Against
  POLICY OF THE CHAIRMAN AND CHIEF      
  EXECUTIVE OFFICER      
         
17 APPROVAL OF THE COMPENSATION Mgmt Against Against
  POLICY OF THE DEPUTY CHIEF      
  EXECUTIVE OFFICER      
         
18 AUTHORIZATION FOR THE BOARD OF Mgmt For For
  DIRECTORS, FOR A PERIOD OF 18      
  MONTHS, TO TRADE IN THE COMPANY’S      
  SHARES FOR A MAXIMUM PURCHASE      
  PRICE OF 700 EUROS PER SHARE, I.E. A      
  MAXIMUM AGGREGATE AMOUNT OF 35.3      
  BILLION EUROS      
         
19 AUTHORIZATION TO THE BOARD OF Mgmt For For
  DIRECTORS, FOR A PERIOD OF 18      
  MONTHS, TO REDUCE THE SHARE      
  CAPITAL BY CANCELLING SHARES HELD      
  BY THE COMPANY FOLLOWING THE      
  REPURCHASE OF ITS OWN SHARES      
         
20 DELEGATION OF AUTHORITY TO THE Mgmt For For
  BOARD OF DIRECTORS, FOR A PERIOD      
  OF TWENTY-SIX MONTHS, TO INCREASE      
  THE CAPITAL BY INCORPORATING      
  PROFITS, RESERVES, PREMIUMS OR      
  OTHERS      

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 148 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
21 DELEGATION OF AUTHORITY TO THE Mgmt For For
  BOARD OF DIRECTORS, FOR A PERIOD      
  OF TWENTY-SIX MONTHS, TO ISSUE      
  COMMON SHARES, AND/OR EQUITY      
  SECURITIES GRANTING ACCESS TO      
  OTHER EQUITY SECURITIES OR      
  GRANTING ENTITLEMENT TO THE      
  ALLOTMENT OF DEBT SECURITIES,      
  AND/OR TRANSFERABLE SECURITIES      
  GRANTING ACCESS TO EQUITY      
  SECURITIES TO BE ISSUED WITH      
  RETENTION OF THE PRE-EMPTIVE      
  SUBSCRIPTION RIGHTS      
         
22 DELEGATION OF AUTHORITY TO THE Mgmt Against Against
  BOARD OF DIRECTORS, FOR A PERIOD      
  OF TWENTY-SIX MONTHS, TO ISSUE, BY      
  WAY OF A PUBLIC OFFERING, COMMON      
  SHARES, AND/OR EQUITY SECURITIES      
  GRANTING ACCESS TO OTHER EQUITY      
  SECURITIES OR GRANTING      
  ENTITLEMENT TO THE ALLOTMENT OF      
  DEBT SECURITIES, AND/OR      
  TRANSFERABLE SECURITIES GRANTING      
  ACCESS TO EQUITY SECURITIES TO BE      
  ISSUED, WITH CANCELLATION OF THE      
  PRE-EMPTIVE SUBSCRIPTION RIGHT      
  WITH A PRIORITY RIGHT OPTION      
         
23 DELEGATION OF AUTHORITY TO THE Mgmt Against Against
  BOARD OF DIRECTORS, FOR A PERIOD      
  OF TWENTY-SIX MONTHS, TO ISSUE      
  COMMON SHARES, AND/OR EQUITY      
  SECURITIES GRANTING ACCESS TO      
  OTHER EQUITY SECURITIES OR      
  GRANTING ENTITLEMENT TO THE      
  ALLOTMENT OF DEBT SECURITIES,      
  AND/OR TRANSFERABLE SECURITIES      
  GRANTING ACCESS TO EQUITY      
  SECURITIES TO BE ISSUED, WITH      
  CANCELLATION OF THE PRE-EMPTIVE      
  SUBSCRIPTION RIGHT, FOR THE BENEFIT      
  OF QUALIFIED INVESTORS OR A LIMITED      
  CIRCLE OF INVESTORS      

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 149 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
      Recommendation
         
24 DELEGATION OF AUTHORITY TO THE Mgmt Against Against
  BOARD OF DIRECTORS, FOR A PERIOD      
  OF TWENTY-SIX MONTHS, TO INCREASE      
  THE NUMBER OF SHARES TO BE ISSUED      
  IN THE EVENT OF A CAPITAL INCREASE      
  WITH RETENTION OR CANCELLATION OF      
  THE SHAREHOLDERS’ PRE-EMPTIVE      
  RIGHT OF SUBSCRIPTION IN THE      
  CONTEXT OF OVER-ALLOTMENT      
  OPTIONS IN THE EVENT OF      
  SUBSCRIPTIONS EXCEEDING THE      
  NUMBER OF SECURITIES PROPOSED      
         
25 DELEGATION OF AUTHORITY TO THE Mgmt Against Against
  BOARD OF DIRECTORS, FOR A PERIOD      
  OF TWENTY-SIX MONTHS, TO ISSUE      
  SHARES AND/OR EQUITY SECURITIES      
  GRANTING ACCESS TO OTHER EQUITY      
  SECURITIES OR TO THE ALLOCATION OF      
  DEBT SECURITIES AS REMUNERATION      
  OF SECURITIES CONTRIBUTED TO ANY      
  PUBLIC EXCHANGE OFFER INITIATED BY      
  THE COMPANY      
         
26 DELEGATION OF POWERS TO THE Mgmt Against Against
  BOARD OF DIRECTORS, FOR A PERIOD      
  OF TWENTY-SIX MONTHS, TO ISSUE,      
  WITHIN THE LIMIT OF 10% OF THE SHARE      
  CAPITAL, COMMON SHARES OR EQUITY      
  SECURITIES GRANTING ACCESS TO      
  OTHER EQUITY SECURITIES OF THE      
  COMPANY OR GRANTING ENTITLEMENT      
  TO THE ALLOCATION OF DEBT      
  SECURITIES AS REMUNERATION FOR      
  CONTRIBUTIONS IN KIND OF EQUITY      
  SECURITIES OR TRANSFERABLE      
  SECURITIES GRANTING ACCESS TO THE      
  CAPITAL, GRANTED TO THE COMPANY      

 

 

 

 

Investment Company Report

 

Meeting Date Range:    01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 150 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
27 AUTHORIZATION FOR THE BOARD OF Mgmt Against Against
  DIRECTORS, FOR A PERIOD OF 26      
  MONTHS, TO GRANT SHARE      
  SUBSCRIPTION OPTIONS WITH      
  CANCELLATION OF THE SHAREHOLDERS’      
  PRE-EMPTIVE SUBSCRIPTION RIGHTS,      
  OR SHARE PURCHASE OPTIONS TO      
  EMPLOYEES AND/OR EXECUTIVE      
  OFFICERS OF THE COMPANY AND      
  RELATED ENTITIES, WITHIN THE LIMIT OF      
  1% OF THE CAPITAL      
         
28 DELEGATION OF AUTHORITY TO THE Mgmt For For
  BOARD OF DIRECTORS, FOR A PERIOD      
  OF TWENTY-SIX MONTHS, TO ISSUE      
  SHARES AND/OR TRANSFERABLE      
  SECURITIES GRANTING ACCESS TO THE      
  CAPITAL OF THE COMPANY, WITH      
  CANCELLATION OF THE SHAREHOLDERS’      
  PRE-EMPTIVE SUBSCRIPTION RIGHTS,      
  FOR THE BENEFIT OF THE MEMBERS OF      
  THE GROUP’S COMPANY SAVINGS      
  PLAN(S), WITHIN THE LIMIT OF 1% OF      
  THE SHARE CAPITAL      
         
29 SETTING OF THE OVERALL CEILING FOR Mgmt For For
  IMMEDIATE OR FUTURE CAPITAL      
  INCREASES DECIDED BY VIRTUE OF      
  DELEGATIONS OF AUTHORITY      
         
30 AMENDMENT TO ARTICLE 22 OF THE BY- Mgmt For For
  LAWS CONCERNING THE STATUTORY      
  AUDITORS      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 151 of 261  

 

Unassigned 

 

LVMH MOET HENNESSY LOUIS VUITTON SE    
Security: F58485115 Agenda Number: 713972330
Ticker:   Meeting Type: OGM
ISIN: FR0000121014 Meeting Date: 28-May-21

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT THE FOLLOWING APPLIES TO Non-Voting    
  SHAREHOLDERS THAT DO NOT HOLD      
  SHARES DIRECTLY WITH A FRENCH      
  CUSTODIAN: PROXY CARDS: VOTING      
  INSTRUCTIONS WILL BE FORWARDED TO      
  THE GLOBAL CUSTODIANS ON THE VOTE      
  DEADLINE DATE. IN CAPACITY AS      
  REGISTERED INTERMEDIARY, THE      
  GLOBAL CUSTODIANS WILL SIGN THE      
  PROXY CARDS AND FORWARD THEM TO      
  THE LOCAL CUSTODIAN. IF YOU      
  REQUEST MORE INFORMATION, PLEASE      
  CONTACT YOUR CLIENT      
  REPRESENTATIVE.      
         
CMMT FOLLOWING CHANGES IN THE FORMAT Non-Voting    
  OF PROXY CARDS FOR FRENCH      
  MEETINGS, ABSTAIN IS NOW A VALID      
  VOTING OPTION. FOR ANY ADDITIONAL      
  ITEMS RAISED AT THE MEETING THE      
  VOTING OPTION WILL DEFAULT TO      
  ‘AGAINST’, OR FOR POSITIONS WHERE      
  THE PROXY CARD IS NOT COMPLETED      
  BY BROADRIDGE, TO THE PREFERENCE      
  OF YOUR CUSTODIAN.      

 

 

 

   

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 152 of 261  

   

       
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT 07 MAY 2021: PLEASE NOTE THAT Non-Voting    
  IMPORTANT ADDITIONAL MEETING      
  INFORMATION IS AVAILABLE BY CLICKING      
  ON THE MATERIAL URL LINK:      
  https://www.journal-      
  officiel.gouv.fr/balo/document/2021042121010      
  36-48 AND https://www.journal-      
  officiel.gouv.fr/balo/document/2021050721014      
  11-55 AND PLEASE NOTE THAT THE      
  MEETING TYPE CHANGED FROM EGM TO      
  OGM AND ADDITTION OF CDI COMMENT      
  AND CHANGE IN RECORD DATE FROM 26      
  MAY 2021 TO 25 MAY 2021 AND ADDITION      
  OF BALO LINK. IF YOU HAVE ALREADY      
  SENT IN YOUR VOTES, PLEASE DO NOT      
  VOTE AGAIN UNLESS YOU DECIDE TO      
  AMEND YOUR ORIGINAL INSTRUCTIONS.      
  THANK YOU AND PLEASE NOTE THAT      
  SHAREHOLDER DETAILS ARE REQUIRED      
  TO VOTE AT THIS MEETING. IF NO      
  SHAREHOLDER DETAILS ARE PROVIDED,      
  YOUR INSTRUCTION MAY CARRY A      
  HEIGHTENED RISK OF BEING REJECTED.      
  THANK YOU AND PLEASE NOTE THAT IF      
  YOU HOLD CREST DEPOSITORY      
  INTERESTS (CDIS) AND PARTICIPATE AT      
  THIS MEETING, YOU (OR YOUR CREST      
  SPONSORED MEMBER/CUSTODIAN) WILL      
  BE REQUIRED TO INSTRUCT A TRANSFER      
  OF THE RELEVANT CDIS TO THE      
  ESCROW ACCOUNT SPECIFIED IN THE      
  ASSOCIATED CORPORATE EVENT IN THE      
  CREST SYSTEM. THIS TRANSFER WILL      
  NEED TO BE COMPLETED BY THE      
  SPECIFIED CREST SYSTEM DEADLINE.      
  ONCE THIS TRANSFER HAS SETTLED,      
  THE CDIS WILL BE BLOCKED IN THE      
  CREST SYSTEM. THE CDIS WILL BE      
  RELEASED FROM ESCROW AS SOON AS      
  PRACTICABLE ON THE BUSINESS DAY      
  PRIOR TO MEETING DATE UNLESS      
  OTHERWISE SPECIFIED. IN ORDER FOR A      
  VOTE TO BE ACCEPTED, THE VOTED      
  POSITION MUST BE BLOCKED IN THE      
  REQUIRED ESCROW ACCOUNT IN THE      
  CREST SYSTEM. BY VOTING ON THIS      
  MEETING, YOUR CREST SPONSORED      
  MEMBER/CUSTODIAN MAY USE YOUR      
  VOTE INSTRUCTION AS THE      
  AUTHORIZATION TO TAKE THE      
  NECESSARY ACTION WHICH WILL      
  INCLUDE TRANSFERRING YOUR      
  INSTRUCTED POSITION TO ESCROW.      
  PLEASE CONTACT YOUR CREST      
  SPONSORED MEMBER/CUSTODIAN      
  DIRECTLY FOR FURTHER INFORMATION      
  ON THE CUSTODY PROCESS AND      
  WHETHER OR NOT THEY REQUIRE      
  SEPARATE INSTRUCTIONS FROM YOU      
  AND      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 153 of 261  

   

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT PLEASE NOTE THAT DUE TO THE Non-Voting    
  CURRENT COVID19 CRISIS AND IN      
  ACCORDANCE WITH THE PROVISIONS      
  ADOPTED BY THE FRENCH      
  GOVERNMENT UNDER LAW NO. 2020-      
  1379 OF NOVEMBER 14, 2020, EXTENDED      
  AND MODIFIED BY LAW NO 2020-1614 OF      
  DECEMBER 18, 2020 THE GENERAL      
  MEETING WILL TAKE PLACE BEHIND      
  CLOSED DOORS WITHOUT THE      
  PHYSICAL PRESENCE OF THE      
  SHAREHOLDERS. TO COMPLY WITH      
  THESE LAWS, PLEASE DO NOT SUBMIT      
  ANY REQUESTS TO ATTEND THE      
  MEETING IN PERSON. SHOULD THIS      
  SITUATION CHANGE, THE COMPANY      
  ENCOURAGES ALL SHAREHOLDERS TO      
  REGULARLY CONSULT THE COMPANY      
  WEBSITE      
         
1 AUTHORIZE REPURCHASE OF UP TO 10 Mgmt For For
  PERCENT OF ISSUED SHARE CAPITAL      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 154 of 261  

 

Unassigned

 

MERCK KGAA    
Security: D5357W103 Agenda Number: 713679251
Ticker:   Meeting Type: AGM
ISIN: DE0006599905 Meeting Date: 23-Apr-21

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT PLEASE NOTE THAT SHAREHOLDER Non-Voting    
  DETAILS ARE REQUIRED TO VOTE AT      
  THIS MEETING. IF NO SHAREHOLDER      
  DETAILS ARE PROVIDED, YOUR      
  INSTRUCTION MAY CARRY A      
  HEIGHTENED RISK OF BEING REJECTED.      
  THANK YOU      
         
CMMT FROM 10TH FEBRUARY, BROADRIDGE Non-Voting    
  WILL CODE ALL AGENDAS FOR GERMAN      
  MEETINGS IN ENGLISH ONLY. IF YOU      
  WISH TO SEE THE AGENDA IN GERMAN,      
  THIS WILL BE MADE AVAILABLE AS A LINK      
  UNDER THE ’MATERIAL URL’ DROPDOWN      
  AT THE TOP OF THE BALLOT. THE      
  GERMAN AGENDAS FOR ANY EXISTING      
  OR PAST MEETINGS WILL REMAIN IN      
  PLACE. FOR FURTHER INFORMATION,      
  PLEASE CONTACT YOUR CLIENT      
  SERVICE REPRESENTATIVE      
         
CMMT ACCORDING TO GERMAN LAW, IN CASE Non-Voting    
  OF SPECIFIC CONFLICTS OF INTEREST IN      
  CONNECTION WITH SPECIFIC ITEMS OF      
  THE AGENDA FOR THE GENERAL      
  MEETING YOU ARE NOT ENTITLED TO      
  EXERCISE YOUR VOTING RIGHTS.      
  FURTHER, YOUR VOTING RIGHT MIGHT      
  BE EXCLUDED WHEN YOUR SHARE IN      
  VOTING RIGHTS HAS REACHED CERTAIN      
  THRESHOLDS AND YOU HAVE NOT      
  COMPLIED WITH ANY OF YOUR      
  MANDATORY VOTING RIGHTS      
  NOTIFICATIONS PURSUANT TO THE      
  GERMAN SECURITIES TRADING ACT      
  (WPHG). FOR QUESTIONS IN THIS      
  REGARD PLEASE CONTACT YOUR      
  CLIENT SERVICE REPRESENTATIVE FOR      
  CLARIFICATION. IF YOU DO NOT HAVE      
  ANY INDICATION REGARDING SUCH      
  CONFLICT OF INTEREST, OR ANOTHER      
  EXCLUSION FROM VOTING, PLEASE      
  SUBMIT YOUR VOTE AS USUAL      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 155 of 261  

   

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT INFORMATION ON COUNTER PROPOSALS Non-Voting    
  CAN BE FOUND DIRECTLY ON THE      
  ISSUER’S WEBSITE (PLEASE REFER TO      
  THE MATERIAL URL SECTION OF THE      
 

APPLICATION). IF YOU WISH TO ACT ON

     
  THESE ITEMS, YOU WILL NEED TO      
  REQUEST A MEETING ATTEND AND VOTE      
 

YOUR SHARES DIRECTLY AT THE

     
 

COMPANY’S MEETING. COUNTER

     
  PROPOSALS CANNOT BE REFLECTED ON      
  THE BALLOT ON PROXYEDGE      
         
1 RECEIVE FINANCIAL STATEMENTS AND Non-Voting    
  STATUTORY REPORTS FOR FISCAL YEAR      
  2020      
         
2 ACCEPT FINANCIAL STATEMENTS AND Mgmt For For
  STATUTORY REPORTS FOR FISCAL YEAR      
  2020      
         
3 APPROVE ALLOCATION OF INCOME AND Mgmt For For
  DIVIDENDS OF EUR 1.40 PER SHARE      
         
4 APPROVE DISCHARGE OF EXECUTIVE Mgmt For For
  BOARD FISCAL YEAR 2020      
         
5 APPROVE DISCHARGE OF SUPERVISORY Mgmt For For
  BOARD FOR FISCAL YEAR 2020      
         
6 RATIFY KPMG AG AS AUDITORS FOR Mgmt For For
  FISCAL YEAR 2021      

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 156 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
7 AMEND ARTICLES RE: SUPERVISORY Mgmt For For
  BOARD APPROVAL OF TRANSACTIONS      
  WITH RELATED PARTIES      
         
8 APPROVE REMUNERATION POLICY Mgmt For For
         
9 APPROVE REMUNERATION OF Mgmt For For
  SUPERVISORY BOARD      
         
10 APPROVE ELEVEN AFFILIATION Mgmt For For
  AGREEMENTS      
         
CMMT INTERMEDIARY CLIENTS ONLY - PLEASE Non-Voting    
  NOTE THAT IF YOU ARE CLASSIFIED AS      
  AN INTERMEDIARY CLIENT UNDER THE      
  SHAREHOLDER RIGHTS DIRECTIVE II,      
  YOU SHOULD BE PROVIDING THE      
  UNDERLYING SHAREHOLDER      
  INFORMATION AT THE VOTE      
  INSTRUCTION LEVEL. IF YOU ARE      
  UNSURE ON HOW TO PROVIDE THIS      
  LEVEL OF DATA TO BROADRIDGE      
  OUTSIDE OF PROXYEDGE, PLEASE      
  SPEAK TO YOUR DEDICATED CLIENT      
  SERVICE REPRESENTATIVE FOR      
  ASSISTANCE      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 157 of 261  

 

Unassigned 

 

NESTLE S.A.    
Security: H57312649 Agenda Number: 713713469
Ticker:   Meeting Type: AGM
ISIN: CH0038863350 Meeting Date: 15-Apr-21

  

         
Prop. # Proposal Proposed    Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT PLEASE NOTE THAT THIS IS AN Non-Voting    
  AMENDMENT TO MEETING ID 508495 DUE      
  TO RECEIPT OF CHANGE IN VOTING      
  STAUS FOR RESOLUTON 8. ALL VOTES      
  RECEIVED ON THE PREVIOUS MEETING      
  WILL BE DISREGARDED IF VOTE      
  DEADLINE EXTENSIONS ARE GRANTED.      
  THEREFORE PLEASE REINSTRUCT ON      
  THIS MEETING NOTICE ON THE NEW JOB.      
  IF HOWEVER VOTE DEADLINE      
  EXTENSIONS ARE NOT GRANTED IN THE      
  MARKET, THIS MEETING WILL BE CLOSED      
  AND YOUR VOTE INTENTIONS ON THE      
  ORIGINAL MEETING WILL BE APPLICABLE.      
  PLEASE ENSURE VOTING IS SUBMITTED      
  PRIOR TO CUTOFF ON THE ORIGINAL      
  MEETING, AND AS SOON AS POSSIBLE      
  ON THIS NEW AMENDED MEETING.      
  THANK YOU      
         
CMMT PLEASE NOTE THAT BENEFICIAL OWNER Non-Voting    
  DETAILS ARE REQUIRED FOR THIS      
  MEETING. IF NO BENEFICIAL OWNER      
  DETAILS ARE PROVIDED, YOUR      
  INSTRUCTION MAY BE REJECTED. THANK      
  YOU.      
         
CMMT PART 2 OF THIS MEETING IS FOR VOTING Non-Voting    
  ON AGENDA AND MEETING ATTENDANCE      
  REQUESTS ONLY. PLEASE ENSURE THAT      
  YOU HAVE FIRST VOTED IN FAVOUR OF      
  THE REGISTRATION OF SHARES IN PART      
  1 OF THE MEETING. IT IS A MARKET      
  REQUIREMENT FOR MEETINGS OF THIS      
  TYPE THAT THE SHARES ARE      
  REGISTERED AND MOVED TO A      
  REGISTERED LOCATION AT THE CSD,      
  AND SPECIFIC POLICIES AT THE      
  INDIVIDUAL SUB-CUSTODIANS MAY VARY.      
  UPON RECEIPT OF THE VOTE      
  INSTRUCTION, IT IS POSSIBLE THAT A      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 158 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
  MARKER MAY BE PLACED ON YOUR      
  SHARES TO ALLOW FOR      
  RECONCILIATION AND RE-REGISTRATION      
  FOLLOWING A TRADE. THEREFORE      
  WHILST THIS DOES NOT PREVENT THE      
  TRADING OF SHARES, ANY THAT ARE      
  REGISTERED MUST BE FIRST      
  DEREGISTERED IF REQUIRED FOR      
  SETTLEMENT. DEREGISTRATION CAN      
  AFFECT THE VOTING RIGHTS OF THOSE      
  SHARES. IF YOU HAVE CONCERNS      
  REGARDING YOUR ACCOUNTS, PLEASE      
  CONTACT YOUR CLIENT      
  REPRESENTATIVE      
         
1.1 APPROVAL OF THE ANNUAL REVIEW, THE Mgmt For For
  FINANCIAL STATEMENTS OF NESTLE S.A.      
  AND THE CONSOLIDATED FINANCIAL      
  STATEMENTS OF THE NESTLE GROUP      
  FOR 2020      
         
1.2 ACCEPTANCE OF THE COMPENSATION Mgmt For For
  REPORT 2020 (ADVISORY VOTE)      
         
2 DISCHARGE TO THE MEMBERS OF THE Mgmt For For
  BOARD OF DIRECTORS AND OF THE      
  MANAGEMENT      
         
3 APPROPRIATION OF PROFIT RESULTING Mgmt For For
  FROM THE BALANCE SHEET OF NESTLE      
  S.A. (PROPOSED DIVIDEND) FOR THE      
  FINANCIAL YEAR 2020      
         
4.1.1 RE-ELECTION AS MEMBER AND Mgmt For For
  CHAIRMAN OF THE BOARD OF      
  DIRECTORS: PAUL BULCKE      
         
4.1.2 RE-ELECTION AS MEMBER OF THE Mgmt For For
  BOARD OF DIRECTORS: ULF MARK      
  SCHNEIDER      

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 159 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
4.1.3 RE-ELECTION AS MEMBER OF THE Mgmt For For
  BOARD OF DIRECTORS: HENRI DE      
  CASTRIES      
         
4.1.4 RE-ELECTION AS MEMBER OF THE Mgmt For For
  BOARD OF DIRECTORS: RENATO      
  FASSBIND      
         
4.1.5 RE-ELECTION AS MEMBER OF THE Mgmt For For
  BOARD OF DIRECTORS: PABLO ISLA      
         
4.1.6 RE-ELECTION AS MEMBER OF THE Mgmt For For
  BOARD OF DIRECTORS: ANN M.      
  VENEMAN      
         
4.1.7 RE-ELECTION AS MEMBER OF THE Mgmt For For
  BOARD OF DIRECTORS: EVA CHENG      
         
4.1.8 RE-ELECTION AS MEMBER OF THE Mgmt For For
  BOARD OF DIRECTORS: PATRICK      
  AEBISCHER      
         
4.1.9 RE-ELECTION AS MEMBER OF THE Mgmt For For
  BOARD OF DIRECTORS: KASPER      
  RORSTED      
         
4.110 RE-ELECTION AS MEMBER OF THE Mgmt For For
  BOARD OF DIRECTORS: KIMBERLY A.      
  ROSS      
         
4.111 RE-ELECTION AS MEMBER OF THE Mgmt For For
  BOARD OF DIRECTORS: DICK BOER      
         
4.112 RE-ELECTION AS MEMBER OF THE Mgmt For For
  BOARD OF DIRECTORS: DINESH PALIWAL      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 160 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
4.113 RE-ELECTION AS MEMBER OF THE Mgmt For For
  BOARD OF DIRECTORS: HANNE JIMENEZ      
  DE MORA      
         
4.2 ELECTION TO THE BOARD OF Mgmt For For
  DIRECTORS: LINDIWE MAJELE SIBANDA      
         
4.3.1 ELECTION AS MEMBER OF THE Mgmt For For
  COMPENSATION COMMITTEE: PABLO      
  ISLA      
         
4.3.2 ELECTION AS MEMBER OF THE Mgmt For For
  COMPENSATION COMMITTEE: PATRICK      
  AEBISCHER      
         
4.3.3 ELECTION AS MEMBER OF THE Mgmt For For
  COMPENSATION COMMITTEE: DICK BOER      
         
4.3.4 ELECTION AS MEMBER OF THE Mgmt For For
  COMPENSATION COMMITTEE: KASPER      
  RORSTED      
         
4.4 ELECTION OF THE STATUTORY Mgmt For For
  AUDITORS: ERNST AND YOUNG LTD,      
  LAUSANNE BRANCH      
         
4.5 ELECTION OF THE INDEPENDENT Mgmt For For
  REPRESENTATIVE: HARTMANN DREYER,      
  ATTORNEYS-AT-LAW      
         
5.1 APPROVAL OF THE COMPENSATION OF Mgmt For For
  THE BOARD OF DIRECTORS      
         
5.2 APPROVAL OF THE COMPENSATION OF Mgmt For For
  THE EXECUTIVE BOARD      
         
6 CAPITAL REDUCTION (BY CANCELLATION Mgmt For For
  OF SHARES)      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 161 of 261  

   

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
7 SUPPORT OF NESTLE’S CLIMATE Mgmt For For
  ROADMAP (ADVISORY VOTE)      
         
8 IN THE EVENT OF ANY YET UNKNOWN Shr Against For
  NEW OR MODIFIED PROPOSAL BY A      
  SHAREHOLDER DURING THE GENERAL      
  MEETING, I INSTRUCT THE INDEPENDENT      
  REPRESENTATIVE TO VOTE AS      
  FOLLOWS: (YES = VOTE IN FAVOR OF      
  ANY SUCH YET UNKNOWN PROPOSAL,      
  NO = VOTE AGAINST ANY SUCH YET      
  UNKNOWN PROPOSAL, ABSTAIN =      
  ABSTAIN FROM VOTING) - THE BOARD OF      
  DIRECTORS RECOMMENDS TO VOTE NO      
  ON ANY SUCH YET UNKNOWN PROPOSAL      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 162 of 261  

 

Unassigned

 

NOVARTIS AG    
Security: H5820Q150 Agenda Number: 713572988
Ticker:   Meeting Type: AGM
ISIN: CH0012005267 Meeting Date: 02-Mar-21

   

         
Prop. # Proposal Proposed    Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT PLEASE NOTE THAT BENEFICIAL OWNER Non-Voting    
  DETAILS ARE REQUIRED FOR THIS      
  MEETING. IF NO BENEFICIAL OWNER      
  DETAILS ARE PROVIDED, YOUR      
  INSTRUCTION MAY BE REJECTED. THANK      
  YOU      
         
CMMT PART 2 OF THIS MEETING IS FOR VOTING Non-Voting    
  ON AGENDA AND MEETING ATTENDANCE      
  REQUESTS ONLY. PLEASE ENSURE THAT      
  YOU HAVE FIRST VOTED IN FAVOUR OF      
  THE REGISTRATION OF SHARES IN PART      
  1 OF THE MEETING. IT IS A MARKET      
  REQUIREMENT FOR MEETINGS OF THIS      
  TYPE THAT THE SHARES ARE      
  REGISTERED AND MOVED TO A      
  REGISTERED LOCATION AT THE CSD,      
  AND SPECIFIC POLICIES AT THE      
  INDIVIDUAL SUB-CUSTODIANS MAY VARY.      
  UPON RECEIPT OF THE VOTE      
  INSTRUCTION, IT IS POSSIBLE THAT A      
  MARKER MAY BE PLACED ON YOUR      
  SHARES TO ALLOW FOR      
  RECONCILIATION AND RE-REGISTRATION      
  FOLLOWING A TRADE. THEREFORE      
  WHILST THIS DOES NOT PREVENT THE      
  TRADING OF SHARES, ANY THAT ARE      
  REGISTERED MUST BE FIRST      
  DEREGISTERED IF REQUIRED FOR      
  SETTLEMENT. DEREGISTRATION CAN      
  AFFECT THE VOTING RIGHTS OF THOSE      
  SHARES. IF YOU HAVE CONCERNS      
  REGARDING YOUR ACCOUNTS, PLEASE      
  CONTACT YOUR CLIENT      
  REPRESENTATIVE      

  

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 163 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1 APPROVAL OF THE OPERATING AND Mgmt For For
  FINANCIAL REVIEW OF NOVARTIS AG,      
  THE FINANCIAL STATEMENTS OF      
  NOVARTIS AG AND THE GROUP      
  CONSOLIDATED FINANCIAL STATEMENTS      
  FOR THE 2020 FINANCIAL YEAR      
         
2 DISCHARGE FROM LIABILITY OF THE Mgmt For For
  MEMBERS OF THE BOARD OF      
  DIRECTORS AND THE EXECUTIVE      
  COMMITTEE      
         
3 APPROPRIATION OF AVAILABLE Mgmt For For
  EARNINGS OF NOVARTIS AG AS PER      
  BALANCE SHEET AND DECLARATION OF      
  DIVIDEND FOR 2020      
         
4 REDUCTION OF SHARE CAPITAL Mgmt For For
         
5 FURTHER SHARE REPURCHASES Mgmt For For
         
6.1 VOTE ON COMPENSATION FOR THE Mgmt For For
  MEMBERS OF THE BOARD OF      
  DIRECTORS AND THE EXECUTIVE      
  COMMITTEE: BINDING VOTE ON THE      
  MAXIMUM AGGREGATE AMOUNT OF      
  COMPENSATION FOR THE BOARD OF      
  DIRECTORS FROM THE 2021 ANNUAL      
  GENERAL MEETING TO THE 2022 ANNUAL      
  GENERAL MEETING      
         
6.2 VOTE ON COMPENSATION FOR THE Mgmt For For
  MEMBERS OF THE BOARD OF      
  DIRECTORS AND THE EXECUTIVE      
  COMMITTEE: BINDING VOTE ON THE      
  MAXIMUM AGGREGATE AMOUNT OF      
  COMPENSATION FOR THE EXECUTIVE      
  COMMITTEE FOR THE FINANCIAL YEAR      
  2022      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 164 of 261  

   

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
6.3 VOTE ON COMPENSATION FOR THE Mgmt For For
  MEMBERS OF THE BOARD OF      
  DIRECTORS AND THE EXECUTIVE      
  COMMITTEE: ADVISORY VOTE ON THE      
  2020 COMPENSATION REPORT      
         
7.1 RE-ELECTION OF JOERG REINHARDT AS Mgmt For For
  MEMBER AND CHAIRMAN OF THE BOARD      
  OF DIRECTORS      
         
7.2 RE-ELECTION OF NANCY C. ANDREWS AS Mgmt For For
  MEMBER OF THE BOARD OF DIRECTORS      
         
7.3 RE-ELECTION OF TON BUECHNER AS Mgmt For For
  MEMBER OF THE BOARD OF DIRECTORS      
         
7.4 RE-ELECTION OF PATRICE BULA AS Mgmt For For
  MEMBER OF THE BOARD OF DIRECTORS      
         
7.5 RE-ELECTION OF ELIZABETH DOHERTY Mgmt For For
  AS MEMBER OF THE BOARD OF      
  DIRECTORS      
         
7.6 RE-ELECTION OF ANN FUDGE AS Mgmt For For
  MEMBER OF THE BOARD OF DIRECTORS      
         
7.7 RE-ELECTION OF BRIDGETTE HELLER AS Mgmt For For
  MEMBER OF THE BOARD OF DIRECTORS      
         
7.8 RE-ELECTION OF FRANS VAN HOUTEN AS Mgmt For For
  MEMBER OF THE BOARD OF DIRECTORS      
         
7.9 RE-ELECTION OF SIMON MORONEY AS Mgmt For For
  MEMBER OF THE BOARD OF DIRECTORS      
         
7.10 RE-ELECTION OF ANDREAS VON PLANTA Mgmt For For
  AS MEMBER OF THE BOARD OF      
  DIRECTORS      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 165 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
7.11 RE-ELECTION OF CHARLES L. SAWYERS Mgmt For For
  AS MEMBER OF THE BOARD OF      
  DIRECTORS      
         
7.12 RE-ELECTION OF ENRICO VANNI AS Mgmt For For
  MEMBER OF THE BOARD OF DIRECTORS      
         
7.13 RE-ELECTION OF WILLIAM T. WINTERS AS Mgmt For For
  MEMBER OF THE BOARD OF DIRECTORS      
         
8.1 RE-ELECTION OF PATRICE BULA TO THE Mgmt For For
  COMPENSATION COMMITTEE      
         
8.2 RE-ELECTION OF BRIDGETTE HELLER TO Mgmt For For
  THE COMPENSATION COMMITTEE      
         
8.3 RE-ELECTION OF ENRICO VANNI TO THE Mgmt For For
  COMPENSATION COMMITTEE      
         
8.4 RE-ELECTION OF WILLIAM T. WINTERS TO Mgmt For For
  THE COMPENSATION COMMITTEE      
         
8.5 ELECTION OF SIMON MORONEY AS NEW Mgmt For For
  MEMBER OF THE COMPENSATION      
  COMMITTEE      
         
9 RE-ELECTION OF THE STATUTORY Mgmt For For
  AUDITOR: THE BOARD OF DIRECTORS      
  PROPOSES THE RE-ELECTION OF      
  PRICEWATERHOUSECOOPERS AG AS      
  AUDITOR FOR THE FINANCIAL YEAR      
  STARTING ON JANUARY 1, 2021      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
         
      Page 166 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
10 RE-ELECTION OF THE INDEPENDENT Mgmt For For
  PROXY: THE BOARD OF DIRECTORS      
  PROPOSES THE RE-ELECTION OF LIC.      
  IUR. PETER ANDREAS ZAHN, ATTORNEY      
  AT LAW, BASEL, AS INDEPENDENT PROXY      
  UNTIL THE END OF THE NEXT ANNUAL      
  GENERAL MEETING      
         
11 AMENDMENT TO ARTICLE 20 PARAGRAPH Mgmt For For
  3 OF THE ARTICLES OF INCORPORATION      
         
B GENERAL INSTRUCTIONS IN CASE OF Mgmt Against Against
  ALTERNATIVE MOTIONS UNDER THE      
  AGENDA ITEMS PUBLISHED IN THE      
  INVITATION TO THE ANNUAL GENERAL      
  MEETING, AND/OR OF MOTIONS      
  RELATING TO ADDITIONAL AGENDA      
  ITEMS ACCORDING TO ARTICLE 700      
  PARAGRAPH 3 OF THE SWISS CODE OF      
  OBLIGATIONS. I/WE INSTRUCT THE      
  INDEPENDENT PROXY TO VOTE AS      
  FOLLOWS: (FOR = ACCORDING TO THE      
  MOTION OF THE BOARD OF DIRECTORS,      
  AGAINST = AGAINST ALTERNATIVE      
  AND/OR ADDITIONAL MOTIONS, ABSTAIN      
  = ABSTAIN FROM VOTING)      

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 167 of 261

 

 

Unassigned

NOVO NORDISK A/S

Security:

  K72807132

Agenda Number:

  713620563

Ticker:

 

Meeting Type:

  AGM

ISIN:

  DK0060534915

Meeting Date:

  25-Mar-21

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

CMMT

IN THE MAJORITY OF MEETINGS THE VOTES ARE CAST WITH THE REGISTRAR WHO WILL FOLLOW CLIENT INSTRUCTIONS. IN A SMALL PERCENTAGE OF MEETINGS THERE IS NO REGISTRAR AND CLIENTS VOTES MAY BE CAST BY THE CHAIRMAN OF THE BOARD OR A BOARD MEMBER AS PROXY. CLIENTS CAN ONLY EXPECT THEM TO ACCEPT PRO-MANAGEMENT VOTES. THE ONLY WAY TO GUARANTEE THAT ABSTAIN AND/OR AGAINST VOTES ARE REPRESENTED AT THE MEETING IS TO SEND YOUR OWN REPRESENTATIVE OR ATTEND THE MEETING IN PERSON. THE SUB CUSTODIAN BANKS OFFER REPRESENTATION SERVICES FOR AN ADDED FEE IF REQUESTED. THANK YOU

Non-Voting

 

 

 

 

 

 

 

CMMT

PLEASE BE ADVISED THAT SPLIT AND PARTIAL VOTING IS NOT AUTHORISED FOR A BENEFICIAL OWNER IN THE DANISH MARKET. PLEASE CONTACT YOUR GLOBAL CUSTODIAN FOR FURTHER INFORMATION.

Non-Voting

 

 

 

 

 

 

 

CMMT

IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE

Non-Voting

 

 

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 168 of 261

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

CMMT

PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU

Non-Voting

 

 

 

 

 

 

 

1

THE BOARD OF DIRECTORS’ ORAL REPORT ON THE COMPANY’S ACTIVITIES IN THE PAST FINANCIAL YEAR

Non-Voting

 

 

 

 

 

 

 

2

PRESENTATION AND ADOPTION OF THE AUDITED ANNUAL REPORT 2020

Mgmt

For

For

 

 

 

 

 

3

RESOLUTION TO DISTRIBUTE THE PROFIT ACCORDING TO THE ADOPTED ANNUAL REPORT 2020

Mgmt

For

For

 

 

 

 

 

4

PRESENTATION AND ADVISORY VOTE ON THE REMUNERATION REPORT 2020

Mgmt

For

For

 

 

 

 

 

5.1

APPROVAL OF THE REMUNERATION OF THE BOARD OF DIRECTORS: APPROVAL OF THE REMUNERATION OF THE BOARD OF DIRECTORS FOR 2020

Mgmt

For

For

 

 

 

 

 

5.2

APPROVAL OF THE REMUNERATION OF THE BOARD OF DIRECTORS: APPROVAL OF THE REMUNERATION LEVEL FOR 2021

Mgmt

For

For

 

 

 

 

 

6.1

ELECTION OF HELGE LUND AS CHAIR

Mgmt

For

For

 

 

 

 

 

6.2

ELECTION OF JEPPE CHRISTIANSEN AS VICE-CHAIR

Mgmt

For

For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 169 of 261

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

6.3.A

ELECTION OF OTHER MEMBER TO THE BOARD OF DIRECTORS: LAURENCE DEBROUX

Mgmt

For

For

 

 

 

 

 

6.3.B

ELECTION OF OTHER MEMBER TO THE BOARD OF DIRECTORS: ANDREAS FIBIG

Mgmt

For

For

 

 

 

 

 

6.3.C

ELECTION OF OTHER MEMBER TO THE BOARD OF DIRECTORS: SYLVIE GREGOIRE

Mgmt

For

For

 

 

 

 

 

6.3.D

ELECTION OF OTHER MEMBER TO THE BOARD OF DIRECTORS: KASIM KUTAY

Mgmt

For

For

 

 

 

 

 

6.3.E

ELECTION OF OTHER MEMBER TO THE BOARD OF DIRECTORS: MARTIN MACKAY

Mgmt

For

For

 

 

 

 

 

6.3.F

ELECTION OF OTHER MEMBER TO THE BOARD OF DIRECTORS: HENRIK POULSEN

Mgmt

For

For

 

 

 

 

 

7

APPOINTMENT OF AUDITOR: DELOITTE STATSAUTORISERET REVISIONSPARTNERSELSKAB

Mgmt

For

For

 

 

 

 

 

8.1

REDUCTION OF THE COMPANY’S B SHARE CAPITAL BY NOMINALLY DKK 8,000,000 BY CANCELLATION OF B SHARES

Mgmt

For

For

 

 

 

 

 

8.2

AUTHORISATION TO THE BOARD OF DIRECTORS TO ALLOW THE COMPANY TO REPURCHASE OWN SHARES

Mgmt

For

For

 

 

 

 

 

8.3.A

AUTHORISATION TO THE BOARD OF DIRECTORS TO INCREASE THE COMPANY’S SHARE CAPITAL: CANCELLATION OF ARTICLE 5.3 OF THE ARTICLES OF ASSOCIATION

Mgmt

For

For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 170 of 261

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

8.3.B

AUTHORISATION TO THE BOARD OF DIRECTORS TO INCREASE THE COMPANY’S SHARE CAPITAL: EXTENSION OF AUTHORISATION TO THE BOARD OF DIRECTORS TO INCREASE THE COMPANY’S SHARE CAPITA

Mgmt

For

For

 

 

 

 

 

8.4.A

INDEMNIFICATION OF THE BOARD OF DIRECTORS AND EXECUTIVE MANAGEMENT: INDEMNIFICATION OF MEMBERS OF THE BOARD OF DIRECTORS

Mgmt

For

For

 

 

 

 

 

8.4.B

INDEMNIFICATION OF THE BOARD OF DIRECTORS AND EXECUTIVE MANAGEMENT: INDEMNIFICATION OF MEMBERS OF EXECUTIVE MANAGEMENT

Mgmt

For

For

 

 

 

 

 

8.5

AMENDMENTS TO THE REMUNERATION POLICY

Mgmt

For

For

 

 

 

 

 

8.6.A

AMENDMENT OF THE ARTICLES OF ASSOCIATION: VIRTUAL GENERAL MEETINGS

Mgmt

For

For

 

 

 

 

 

8.6.B

AMENDMENT OF THE ARTICLES OF ASSOCIATION: LANGUAGE IN DOCUMENTS PREPARED FOR GENERAL MEETINGS

Mgmt

For

For

 

 

 

 

 

8.6.C

AMENDMENT OF THE ARTICLES OF ASSOCIATION: DIFFERENTIATION OF VOTES

Mgmt

For

For

 

 

 

 

 

8.7.A

PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: PROPOSAL FROM THE SHAREHOLDER KRITISKE AKTIONAERER ON MAKING A PLAN FOR CHANGED OWNERSHIP

Shr

Against

For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 171 of 261

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

9

ANY OTHER BUSINESS

Non-Voting

 

 

 

 

 

 

 

CMMT

PLEASE NOTE THAT SHAREHOLDERS  ARE ALLOWED TO VOTE ’IN FAVOR’ OR ’ABSTAIN’ ONLY FOR RESOLUTION NUMBERS 6.1 TO 6.2, 6.3.A TO 6.3.F AND 7. THANK YOU

Non-Voting

 

 

 

 

 

 

 

CMMT

INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE

Non-Voting

 

 

 

 

 

 

 

CMMT

24 FEB 2021: PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU

Non-Voting

 

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 172 of 261

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

CMMT

24 FEB 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU

Non-Voting

 

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 173 of 261

 

 

Unassigned

PARTNERS GROUP HOLDING AG

Security:

  H6120A101

Agenda Number:

  713977518

Ticker:

 

Meeting Type:

  AGM

ISIN:

  CH0024608827

Meeting Date:

  12-May-21

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

CMMT

PLEASE NOTE THAT BENEFICIAL OWNER DETAILS ARE REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU.

Non-Voting

 

 

 

 

 

 

 

CMMT

PART 2 OF THIS MEETING IS FOR VOTING ON AGENDA AND MEETING ATTENDANCE REQUESTS ONLY. PLEASE ENSURE THAT YOU HAVE FIRST VOTED IN FAVOUR OF THE REGISTRATION OF SHARES IN PART 1 OF THE MEETING. IT IS A MARKET REQUIREMENT FOR MEETINGS OF THIS TYPE THAT THE SHARES ARE REGISTERED AND MOVED TO A REGISTERED LOCATION AT THE CSD, AND SPECIFIC POLICIES AT THE INDIVIDUAL SUB-CUSTODIANS MAY VARY. UPON RECEIPT OF THE VOTE INSTRUCTION, IT IS POSSIBLE THAT A MARKER MAY BE PLACED ON YOUR SHARES TO ALLOW FOR RECONCILIATION AND RE-REGISTRATION FOLLOWING A TRADE. THEREFORE WHILST THIS DOES NOT PREVENT THE TRADING OF SHARES, ANY THAT ARE REGISTERED MUST BE FIRST DEREGISTERED IF REQUIRED FOR SETTLEMENT. DEREGISTRATION CAN AFFECT THE VOTING RIGHTS OF THOSE SHARES. IF YOU HAVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE

Non-Voting

 

 

 

 

 

 

 

1

ACCEPT FINANCIAL STATEMENTS AND STATUTORY REPORTS

Mgmt

For

For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 174 of 261

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

2

APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF CHF 27.50 PER SHARE

Mgmt

For

For

 

 

 

 

 

3

APPROVE DISCHARGE OF BOARD AND SENIOR MANAGEMENT

Mgmt

For

For

 

 

 

 

 

4

AMEND ARTICLES RE EXTERNAL MANDATES FOR MEMBERS OF THE BOARD OF DIRECTORS AND EXECUTIVE COMMITTEE

Mgmt

For

For

 

 

 

 

 

5

APPROVE REMUNERATION REPORT

Mgmt

For

For

 

 

 

 

 

6.1

APPROVE SHORT-TERM REMUNERATION OF DIRECTORS IN THE AMOUNT OF CHF 3 MILLION

Mgmt

For

For

 

 

 

 

 

6.2

APPROVE LONG-TERM REMUNERATION OF DIRECTORS IN THE AMOUNT OF CHF 3.8 MILLION

Mgmt

For

For

 

 

 

 

 

6.3

APPROVE TECHNICAL NON-FINANCIAL REMUNERATION OF DIRECTORS IN THE AMOUNT OF CHF 10.1 MILLION

Mgmt

For

For

 

 

 

 

 

6.4

APPROVE SHORT-TERM REMUNERATION OF EXECUTIVE COMMITTEE IN THE AMOUNT OF CHF 9 MILLION FOR FISCAL YEAR 2021

Mgmt

For

For

 

 

 

 

 

6.5

APPROVE SHORT-TERM REMUNERATION OF EXECUTIVE COMMITTEE IN THE AMOUNT OF CHF 9 MILLION FOR FISCAL YEAR 2022

Mgmt

For

For

 

 

 

 

 

6.6

APPROVE LONG-TERM REMUNERATION OF EXECUTIVE COMMITTEE IN THE AMOUNT OF CHF 15.1 MILLION

Mgmt

For

For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 175 of 261

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

6.7

APPROVE TECHNICAL NON-FINANCIAL REMUNERATION OF EXECUTIVE COMMITTEE IN THE AMOUNT OF CHF 60,000

Mgmt

For

For

 

 

 

 

 

7.1.1

ELECT STEFFEN MEISTER AS DIRECTOR AND AS BOARD CHAIRMAN

Mgmt

For

For

 

 

 

 

 

7.1.2

ELECT MARCEL ERNI AS DIRECTOR

Mgmt

For

For

 

 

 

 

 

 

 

 

 

 

7.1.3

ELECT ALFRED GANTNER AS DIRECTOR

Mgmt

For

For

 

 

 

 

 

7.1.4

ELECT LISA HOOK AS DIRECTOR

Mgmt

For

For

 

 

 

 

 

7.1.5

ELECT JOSEPH LANDY AS DIRECTOR

Mgmt

For

For

 

 

 

 

 

7.1.6

ELECT GRACE DEL ROSARIO-CASTANO AS DIRECTOR

Mgmt

For

For

 

 

 

 

 

7.1.7

ELECT MARTIN STROBEL AS DIRECTOR

Mgmt

For

For

 

 

 

 

 

7.1.8

ELECT URS WIETLISBACH AS DIRECTOR

Mgmt

For

For

 

 

 

 

 

7.2.1

APPOINT GRACE DEL ROSARIO-CASTANO AS MEMBER OF THE NOMINATION AND COMPENSATION COMMITTEE

Mgmt

For

For

 

 

 

 

 

7.2.2

APPOINT LISA HOOK AS MEMBER OF THE NOMINATION AND COMPENSATION COMMITTEE

Mgmt

For

For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 176 of 261

 

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

7.2.3

APPOINT MARTIN STROBEL AS MEMBER OF THE NOMINATION AND COMPENSATION COMMITTEE

Mgmt

For

For

 

 

 

 

 

7.3

DESIGNATE HOTZ GOLDMANN AS INDEPENDENT PROXY

Mgmt

For

For

 

 

 

 

 

7.4

RATIFY KPMG AG AS AUDITORS

Mgmt

For

For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range:

01-Jul-2020 - 30-Jun-2021

Report Date:

29-Jul-2021

 

         

 

 

 

Page 177 of 261

 

 

Unassigned

PERNOD RICARD SA

Security:

  F72027109

Agenda Number:

  713260583

Ticker:

 

Meeting Type:

  MIX

ISIN:

  FR0000120693

Meeting Date:

  27-Nov-20

 

Prop. #

Proposal

Proposed

Proposal Vote

For/Against

 

 

by

 

Management’s

 

 

 

 

Recommendation

 

 

 

 

 

CMMT

THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE.

Non-Voting

 

 

 

 

 

 

 

CMMT

FOLLOWING CHANGES IN THE FORMAT OF PROXY CARDS FOR FRENCH MEETINGS, ABSTAIN IS NOW A VALID VOTING OPTION. FOR ANY ADDITIONAL ITEMS RAISED AT THE MEETING THE VOTING OPTION WILL DEFAULT TO ’AGAINST’, OR FOR POSITIONS WHERE THE PROXY CARD IS NOT COMPLETED BY BROADRIDGE, TO THE PREFERENCE OF YOUR CUSTODIAN.

Non-Voting

 

 

 

 

 

 

 

CMMT

PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU

Non-Voting

 

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
    Page 178 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT 09 NOV 2020: PLEASE NOTE THAT IMPORTANT ADDITIONAL MEETING INFORMATION IS AVAILABLE BY CLICKING ON THE MATERIAL URL LINK: https://www.journal-officiel.gouv.fr/balo/document/2020102320043 01-128 AND https://www.journal-officiel.gouv.fr/balo/document/2020110920044 73-135; PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF URL LINK IN COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU Non-Voting    
         
1 MODIFICATION OF ARTICLES 35 AND 36 OF THE BYLAWS ON THE INCLUSION OF ABSTENTION, BLANK AND NULL VOTES FOR THE CALCULATION OF THE MAJORITY AT GENERAL MEETINGS IN ACCORDANCE WITH THE SOILIHI LAW Mgmt For For
         
2 APPROVAL OF THE CORPORATE FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 30 JUNE 2020 - ACKNOWLEDGEMENT OF THE TOTAL AMOUNT OF EXPENSES AND CHARGES REFERRED TO IN PARAGRAPH 4 OF ARTICLE 39 OF THE FRENCH GENERAL TAX CODE Mgmt For For
         
3 APPROVAL OF THE CONSOLIDATED FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 30 JUNE 2020 Mgmt For For
         
ALLOCATION OF INCOME FOR THE FINANCIAL YEAR ENDED 30 JUNE 2020 AND SETTING OF THE DIVIDEND Mgmt For For
         
5 RENEWAL OF THE TERM OF OFFICE OF MR. ALEXANDRE RICARD AS DIRECTOR Mgmt Against Against

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
    Page 179 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
6 RENEWAL OF THE TERM OF OFFICE OF MR. CESAR GIRON AS DIRECTOR Mgmt Against Against
         
7 RENEWAL OF THE TERM OF OFFICE OF MR. WOLFGANG COLBERG AS DIRECTOR Mgmt Against Against
         
8 APPOINTMENT OF MRS. VIRGINIE FAUVEL AS DIRECTOR Mgmt For For
         
9 SETTING OF THE ANNUAL AMOUNT OF COMPENSATION ALLOCATED TO MEMBERS OF THE BOARD OF DIRECTORS Mgmt For For
         
10 APPROVAL OF THE COMPENSATION ELEMENTS PAID OR ALLOCATED DURING THE FINANCIAL YEAR 2019/20 TO MR. ALEXANDRE RICARD, CHAIRMAN AND CHIEF EXECUTIVE OFFICER Mgmt For For
         
11 APPROVAL OF THE COMPENSATION ELEMENTS PAID OR ALLOCATED DURING THE FINANCIAL YEAR 2019/20 TO THE CORPORATE OFFICERS Mgmt For For
         
12 APPROVAL OF THE ELEMENTS OF THE COMPENSATION POLICY APPLICABLE TO MR. ALEXANDRE RICARD, CHAIRMAN AND CHIEF EXECUTIVE OFFICER Mgmt For For
         
13 APPROVAL OF THE ELEMENTS OF THE COMPENSATION POLICY APPLICABLE TO CORPORATE OFFICERS Mgmt For For
         
14 APPROVAL OF THE REGULATED AGREEMENTS REFERRED TO IN ARTICLES L. 225-38 AND FOLLOWING OF THE FRENCH COMMERCIAL CODE Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
    Page 180 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
15 AUTHORIZATION TO BE GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO TRADE IN THE COMPANY’S SHARES Mgmt For For
         
16 RATIFICATION OF THE DECISION OF THE BOARD OF DIRECTORS TO TRANSFER THE REGISTERED OFFICE OF THE COMPANY AND OF THE AMENDMENT TO ARTICLE 4 “REGISTERED OFFICE” OF THE BYLAWS RELATING THERETO Mgmt For For
         
17 DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS TO DECIDE TO INCREASE THE SHARE CAPITAL WITHIN THE LIMIT OF 2% OF THE SHARE CAPITAL BY ISSUING SHARES OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL, RESERVED FOR MEMBERS OF COMPANY SAVINGS PLANS WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT IN FAVOUR OF THE LATTER Mgmt For For
         
18 DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS TO DECIDE TO INCREASE THE SHARE CAPITAL WITHIN THE LIMIT OF 2% OF THE SHARE CAPITAL BY ISSUING SHARES OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL IN FAVOUR OF CATEGORY S OF DESIGNATED BENEFICIARIES WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT FOR THE BENEFIT OF THE LATTER Mgmt For For
         
19 AMENDMENT TO ARTICLE 21 OF THE BYLAWS “MEETINGS” IN ORDER TO INTRODUCE THE POSSIBILITY FOR THE BOARD OF DIRECTORS TO TAKE DECISIONS BY WRITTEN CONSULTATION UNDER THE CONDITIONS SET BY LAW SOILIHI LAW Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
    Page 181 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
20 MODIFICATION OF ARTICLES 25 “REMUNERATION OF BOARD MEMBERS”, 28 “CENSORS” AND 35 “ORDINARY GENERAL MEETINGS” OF THE BYLAWS IN ORDER TO REPLACE THE TERM “ATTENDANCE FEES” BY THAT OF “REMUNERATION” IN ACCORDANCE WITH THE PACTE LAW Mgmt For For
         
21 POWERS TO CARRY OUT ALL LEGAL FORMALITIES Mgmt For For
         
         
CMMT 29 OCT 2020: PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (“CDIs”) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIs TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIs WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIs WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU. Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
    Page 182 of 261  

 

Unassigned 

RELX PLC    
Security: G7493L105 Agenda Number: 713657293
Ticker:   Meeting Type: AGM
ISIN: GB00B2B0DG97 Meeting Date: 22-Apr-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1 RECEIVE THE 2020 ANNUAL REPORT Mgmt For For
         
2 APPROVE ANNUAL REMUNERATION REPORT Mgmt For For
         
3 DECLARATION OF 2020 FINAL DIVIDEND: 33.4P PER SHARE Mgmt For For
         
4 RE-APPOINTMENT OF AUDITORS: ERNST & YOUNG LLP Mgmt For For
         
5 AUDITORS’ REMUNERATION Mgmt For For
         
6 ELECT PAUL WALKER AS A DIRECTOR Mgmt For For
         
7 ELECT JUNE FELIX AS A DIRECTOR Mgmt For For
         
8 RE-ELECT ERIK ENGSTROM AS A DIRECTOR Mgmt For For
         
9 RE-ELECT WOLFHART HAUSER AS A DIRECTOR Mgmt For For
         
10 RE-ELECT CHARLOTTE HOGG AS A DIRECTOR Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
    Page 183 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
11 RE-ELECT MARIKE VAN LIER LELS AS A DIRECTOR Mgmt For For
         
12 RE-ELECT NICK LUFF AS A DIRECTOR Mgmt For For
         
13 RE-ELECT ROBERT MACLEOD AS A DIRECTOR Mgmt For For
         
14 RE-ELECT LINDA SANFORD AS A DIRECTOR Mgmt For For
         
15 RE-ELECT ANDREW SUKAWATY AS A DIRECTOR Mgmt For For
         
16 RE-ELECT SUZANNE WOOD AS A DIRECTOR Mgmt For For
         
17 AUTHORITY TO ALLOT SHARES Mgmt For For
         
18 DISAPPLICATION OF PRE-EMPTION RIGHTS Mgmt For For
         
19 ADDITIONAL DISAPPLICATION OF PRE-EMPTION RIGHTS Mgmt For For
         
20 AUTHORITY TO PURCHASE OWN SHARES Mgmt For For
         
21 NOTICE PERIOD FOR GENERAL MEETINGS Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
    Page 184 of 261  

 

Unassigned 

SAGE GROUP PLC    
Security: G7771K142 Agenda Number: 713447212
Ticker:   Meeting Type: AGM
ISIN: GB00B8C3BL03 Meeting Date: 04-Feb-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1 TO RECEIVE THE ANNUAL REPORT AND ACCOUNTS OF THE COMPANY TOGETHER WITH THE REPORTS OF THE DIRECTORS AND OF THE COMPANY’S AUDITORS FOR THE FINANCIAL YEAR ENDED 30 SEPTEMBER 2020 Mgmt For For
         
2 TO APPROVE THE DIRECTORS’ REMUNERATION REPORT FOR THE FINANCIAL YEAR ENDED 30 SEPTEMBER 2020, SET OUT ON PAGES 120 TO 148 OF THE FY20 ANNUAL REPORT AND ACCOUNTS (EXCLUDING THE PART SUMMARISING THE DIRECTORS’ REMUNERATION POLICY, WHICH IS ON PAGES 128 TO 132) Mgmt For For
         
3 TO DECLARE A FINAL DIVIDEND RECOMMENDED BY THE DIRECTORS OF 11.32 PENCE PER ORDINARY SHARE FOR THE FINANCIAL YEAR ENDED 30 SEPTEMBER 2020 TO BE PAID ON 11 FEBRUARY 2021 TO MEMBERS WHOSE NAMES APPEAR ON THE REGISTER OF MEMBERS AT THE CLOSE OF BUSINESS ON 15 JANUARY 2021 Mgmt For For
         
4 THAT SANGEETA ANAND BE ELECTED AS A DIRECTOR OF THE COMPANY Mgmt For For
         
5 THAT IRANA WASTI BE ELECTED AS A DIRECTOR OF THE COMPANY Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
    Page 185 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
6 THAT SIR DONALD BRYDON BE RE-ELECTED AS A DIRECTOR OF THE COMPANY Mgmt For For
         
7 THAT DR JOHN BATES BE RE-ELECTED AS A DIRECTOR OF THE COMPANY Mgmt For For
         
8 THAT JONATHAN BEWES BE RE-ELECTED AS A DIRECTOR OF THE COMPANY Mgmt For For
         
9 THAT ANNETTE COURT BE RE-ELECTED AS A DIRECTOR OF THE COMPANY Mgmt For For
         
10 THAT DRUMMOND HALL BE RE-ELECTED AS A DIRECTOR OF THE COMPANY Mgmt For For
         
11 THAT STEVE HARE BE RE-ELECTED AS A DIRECTOR OF THE COMPANY Mgmt For For
         
12 THAT JONATHAN HOWELL BE RE-ELECTED AS A DIRECTOR OF THE COMPANY Mgmt For For
         
13 TO RE-APPOINT ERNST & YOUNG LLP AS AUDITORS TO THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT GENERAL MEETING AT WHICH ACCOUNTS ARE LAID BEFORE THE COMPANY Mgmt For For
         
14 THAT THE AUDIT AND RISK COMMITTEE OF THE BOARD BE AUTHORISED TO DETERMINE AND AGREE THE REMUNERATION OF THE AUDITORS TO THE COMPANY Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
    Page 186 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
15 THAT, IN ACCORDANCE WITH SECTION 366 OF THE COMPANIES ACT 2006, THE COMPANY AND ALL COMPANIES THAT ARE SUBSIDIARIES OF THE COMPANY AT ANY TIME DURING THE PERIOD FOR WHICH THIS RESOLUTION HAS EFFECT ARE AUTHORISED TO: (A) MAKE POLITICAL DONATIONS TO POLITICAL PARTIES OR INDEPENDENT ELECTION CANDIDATES NOT EXCEEDING GBP 100,000 IN TOTAL; (B) MAKE POLITICAL DONATIONS TO POLITICAL ORGANISATIONS OTHER THAN POLITICAL PARTIES NOT EXCEEDING GBP 100,000 IN TOTAL; AND (C) INCUR POLITICAL EXPENDITURE NOT EXCEEDING GBP 100,000 IN TOTAL, PROVIDED THAT THE AGGREGATE AMOUNT OF ANY SUCH DONATIONS AND EXPENDITURE SHALL NOT EXCEED GBP 100,000 IN TOTAL, DURING THE PERIOD BEGINNING WITH THE DATE OF THE PASSING OF THIS RESOLUTION AND ENDING AT THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AFTER THE PASSING OF THIS RESOLUTION OR, IF EARLIER, AT THE CLOSE OF BUSINESS ON 31 MARCH 2022. FOR THE PURPOSE OF THIS RESOLUTION THE TERMS “POLITICAL DONATIONS”, “POLITICAL PARTIES”, “INDEPENDENT ELECTION CANDIDATES”, “POLITICAL ORGANISATIONS” AND “POLITICAL EXPENDITURE” HAVE THE MEANINGS SET OUT IN SECTIONS 363 TO 365 OF THE COMPANIES ACT 2006 Mgmt For For
         
16 THAT THE EXISTING THE SAGE GROUP PLC 2019 RESTRICTED SHARE PLAN (“RSP”) AND THE SAGE GROUP PLC 2015 PERFORMANCE SHARE PLAN (“PSP”) (TOGETHER, THE “DISCRETIONARY SHARE PLANS”) BE AMENDED TO INCLUDE THE ADOPTION OF A FRENCH APPENDIX (UNDER THE RSP) / SCHEDULE (UNDER THE PSP) (THE “FRENCH APPENDIX” AND “FRENCH SCHEDULE” RESPECTIVELY) WHICH ARE BASED ON THE TERMS OF THE RELEVANT DISCRETIONARY SHARE PLAN SAVE WHERE MODIFIED, IN ORDER TO FALL WITHIN THE SCOPE OF THE “LOI MACRON” AND BENEFIT FROM THE APPLICABLE TAX ADVANTAGES, AND/OR TO TAKE ACCOUNT OF LOCAL LAWS IN FRANCE, AND ARE HEREBY ADOPTED BY THE COMPANY, AND THE DIRECTORS BE AND ARE HEREBY AUTHORISED TO DO ALL SUCH ACTS AND THINGS NECESSARY TO GIVE EFFECT TO THE SAME Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
         
    Page 187 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
17 THAT: (A) THE DIRECTORS BE AND ARE HEREBY GENERALLY AND UNCONDITIONALLY AUTHORISED IN ACCORDANCE WITH ARTICLE 7 OF THE COMPANY’S ARTICLES OF ASSOCIATION AND SECTION 551 OF THE COMPANIES ACT 2006 TO EXERCISE ALL THE POWERS OF THE COMPANY TO ALLOT SHARES IN THE COMPANY OR GRANT RIGHTS TO SUBSCRIBE FOR, OR CONVERT ANY SECURITY INTO, SHARES IN THE COMPANY: (I) UP TO A MAXIMUM NOMINAL AMOUNT OF GBP 3,830,707.75 (SUCH AMOUNT TO BE REDUCED BY THE NOMINAL AMOUNT OF ANY EQUITY SECURITIES (AS DEFINED IN ARTICLE 8 OF THE COMPANY’S ARTICLES OF ASSOCIATION) ALLOTTED UNDER PARAGRAPH (II) BELOW IN EXCESS OF GBP 3,830,707.75); AND (II) COMPRISING EQUITY SECURITIES (AS DEFINED IN ARTICLE 8 OF THE COMPANY’S ARTICLES OF ASSOCIATION) UP TO A MAXIMUM NOMINAL AMOUNT OF GBP 7,661,415.50 (SUCH AMOUNT TO BE REDUCED BY ANY SHARES ALLOTTED OR RIGHTS GRANTED UNDER PARAGRAPH (I) ABOVE) IN CONNECTION WITH AN OFFER BY WAY OF A RIGHTS ISSUE (AS DEFINED IN ARTICLE 8 OF THE COMPANY’S ARTICLES OF ASSOCIATION); (B) THIS AUTHORITY SHALL EXPIRE AT THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AFTER THE PASSING OF THIS RESOLUTION, OR, IF EARLIER, AT THE CLOSE OF BUSINESS ON 31 MARCH 2022; AND (C) ALL PREVIOUS UNUTILISED AUTHORITIES UNDER SECTION 551 OF THE COMPANIES ACT 2006 SHALL CEASE TO HAVE EFFECT (SAVE TO THE EXTENT THAT THE SAME ARE EXERCISABLE PURSUANT TO SECTION 551(7) OF THE COMPANIES ACT 2006 BY REASON OF ANY OFFER OR AGREEMENT MADE PRIOR TO THE DATE OF THIS RESOLUTION WHICH WOULD OR MIGHT REQUIRE SHARES TO BE ALLOTTED OR RIGHTS TO BE GRANTED ON OR AFTER THAT DATE) Mgmt For For

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 188 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
18 THAT: (A) IN ACCORDANCE WITH ARTICLE 8 OF THE COMPANY’S ARTICLES OF ASSOCIATION, THE DIRECTORS BE GIVEN POWER TO ALLOT EQUITY SECURITIES FOR CASH AS IF SECTION 561 OF THE COMPANIES ACT 2006 DID NOT APPLY; (B) THE POWER UNDER PARAGRAPH (A) ABOVE (OTHER THAN IN CONNECTION WITH A RIGHTS ISSUE, AS DEFINED IN ARTICLE 8 OF THE COMPANY’S ARTICLES OF ASSOCIATION) SHALL BE LIMITED TO THE ALLOTMENT OF EQUITY SECURITIES HAVING A NOMINAL AMOUNT NOT EXCEEDING IN AGGREGATE GBP 575,181.34; (C) THIS AUTHORITY SHALL EXPIRE AT THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AFTER THE PASSING OF THIS RESOLUTION OR, IF EARLIER, AT THE CLOSE OF BUSINESS ON 31 MARCH 2022 Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 189 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
19 THAT: (A) IN ADDITION TO ANY AUTHORITY GRANTED UNDER RESOLUTION 18, THE DIRECTORS BE AUTHORISED: (I) SUBJECT TO THE PASSING OF RESOLUTION 17, TO ALLOT EQUITY SECURITIES (AS DEFINED IN SECTION 560 OF THE COMPANIES ACT 2006) FOR CASH PURSUANT TO THE AUTHORITY CONFERRED ON THEM BY THAT RESOLUTION UNDER SECTION 551 OF THAT ACT; AND (II) TO ALLOT EQUITY SECURITIES AS DEFINED IN SECTION 560(3) OF THAT ACT (SALE OF TREASURY SHARES) FOR CASH, IN EITHER CASE AS IF SECTION 561 OF THAT ACT DID NOT APPLY TO THE ALLOTMENT OR SALE, BUT THIS POWER SHALL BE: (A) LIMITED TO THE ALLOTMENT OF EQUITY SECURITIES UP TO A MAXIMUM NOMINAL AMOUNT OF GBP 575,181.34; AND (B) USED ONLY FOR THE PURPOSES OF FINANCING (OR REFINANCING, IF THE AUTHORITY IS TO BE USED WITHIN SIX MONTHS AFTER THE ORIGINAL TRANSACTION) A TRANSACTION WHICH THE BOARD OF THE COMPANY DETERMINES TO BE AN ACQUISITION OR OTHER CAPITAL INVESTMENT OF A KIND CONTEMPLATED BY THE STATEMENT OF PRINCIPLES ON DISAPPLYING PRE-EMPTION RIGHTS MOST RECENTLY PUBLISHED BY THE PRE-EMPTION GROUP PRIOR TO THE DATE OF THIS DOCUMENT; (B) THIS POWER SHALL EXPIRE AT THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AFTER THE PASSING OF THIS RESOLUTION OR, IF EARLIER, AT THE CLOSE OF BUSINESS ON 31 MARCH 2022; AND (C) THE COMPANY MAY, BEFORE THIS POWER EXPIRES, MAKE AN OFFER OR ENTER INTO AN AGREEMENT, WHICH WOULD OR MIGHT REQUIRE EQUITY SECURITIES TO BE ALLOTTED AFTER IT EXPIRES, AND THE DIRECTORS MAY ALLOT EQUITY SECURITIES IN PURSUANCE OF SUCH OFFER OR AGREEMENT AS IF THIS POWER HAD NOT EXPIRED Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 190 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
20 THAT IN ACCORDANCE WITH SECTION 701 OF THE COMPANIES ACT 2006, THE COMPANY BE AND IS HEREBY GRANTED GENERAL AND UNCONDITIONAL AUTHORITY TO MAKE ONE OR MORE MARKET PURCHASES (WITHIN THE MEANING OF SECTION 693 OF THE COMPANIES ACT 2006) OF ORDINARY SHARES IN THE CAPITAL OF THE COMPANY ON SUCH TERMS AND IN SUCH MANNER AS THE DIRECTORS SHALL DETERMINE PROVIDED THAT: (A) THE MAXIMUM NUMBER OF ORDINARY SHARES WHICH MAY BE ACQUIRED PURSUANT TO THIS AUTHORITY IS 109,355,465 ORDINARY SHARES IN THE CAPITAL OF THE COMPANY; (B) THE MINIMUM PRICE WHICH MAY BE PAID FOR EACH SUCH ORDINARY SHARE (EXCLUSIVE OF ALL EXPENSES) IS ITS NOMINAL VALUE; (C) THE MAXIMUM PRICE WHICH MAY BE PAID FOR EACH SUCH ORDINARY SHARE (EXCLUSIVE OF ALL EXPENSES) SHALL NOT BE MORE THAN THE HIGHER OF: (I) AN AMOUNT EQUAL TO 105% OF THE AVERAGE OF THE MIDDLE MARKET PRICES SHOWN IN THE QUOTATIONS FOR THE ORDINARY SHARES IN THE LONDON STOCK EXCHANGE DAILY OFFICIAL LIST FOR THE FIVE BUSINESS DAYS IMMEDIATELY PRECEDING THE DAY ON WHICH THAT ORDINARY SHARE IS PURCHASED; AND (II) AN AMOUNT EQUAL TO THE HIGHER OF THE PRICE OF THE LAST INDEPENDENT TRADE OF AN ORDINARY SHARE AND THE HIGHEST CURRENT INDEPENDENT BID FOR AN ORDINARY SHARE ON THE TRADING VENUE WHERE THE PURCHASE IS CARRIED OUT; (D) THIS AUTHORITY SHALL EXPIRE AT THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AFTER THE PASSING OF THIS RESOLUTION, OR, IF EARLIER, AT THE CLOSE OF BUSINESS ON 31 MARCH 2022 UNLESS RENEWED BEFORE THAT TIME; AND (E) THE COMPANY MAY MAKE A CONTRACT OR CONTRACTS TO PURCHASE ORDINARY SHARES UNDER THIS AUTHORITY BEFORE ITS EXPIRY WHICH WILL BE OR MAY BE EXECUTED WHOLLY OR PARTLY AFTER EXPIRY OF THIS AUTHORITY AND MAY MAKE A PURCHASE OF ORDINARY SHARES IN PURSUANCE OF SUCH CONTRACT Mgmt For For
         
21 THAT A GENERAL MEETING (OTHER THAN AN ANNUAL GENERAL MEETING) MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS’ NOTICE Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 191 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
22 THAT WITH EFFECT FROM THE CONCLUSION OF THE ANNUAL GENERAL MEETING, THE ARTICLES OF ASSOCIATION PRODUCED TO THE MEETING AND FOR THE PURPOSE OF IDENTIFICATION INITIALLED BY THE CHAIRMAN OF THE MEETING BE ADOPTED AS THE ARTICLES OF ASSOCIATION OF THE COMPANY IN SUBSTITUTION FOR, AND TO THE EXCLUSION OF, THE EXISTING ARTICLES OF ASSOCIATION Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 192 of 261  

 

Unassigned 

SANOFI SA    
Security: F5548N101 Agenda Number: 713892962
Ticker:   Meeting Type: MIX
ISIN: FR0000120578 Meeting Date: 30-Apr-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE. Non-Voting    
         
CMMT FOLLOWING CHANGES IN THE FORMAT OF PROXY CARDS FOR FRENCH MEETINGS, ABSTAIN IS NOW A VALID VOTING OPTION. FOR ANY ADDITIONAL ITEMS RAISED AT THE MEETING THE VOTING OPTION WILL DEFAULT TO ‘AGAINST’, OR FOR POSITIONS WHERE THE PROXY CARD IS NOT COMPLETED BY BROADRIDGE, TO THE PREFERENCE OF YOUR CUSTODIAN. Non-Voting    
         
CMMT PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 193 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT PLEASE NOTE THAT DUE TO THE CURRENT COVID19 CRISIS AND IN ACCORDANCE WITH THE PROVISIONS ADOPTED BY THE FRENCH GOVERNMENT UNDER LAW NO. 2020-1379 OF NOVEMBER 14, 2020, EXTENDED AND MODIFIED BY LAW NO 2020-1614 OF DECEMBER 18, 2020 THE GENERAL MEETING WILL TAKE PLACE BEHIND CLOSED DOORS WITHOUT THE PHYSICAL PRESENCE OF THE SHAREHOLDERS. TO COMPLY WITH THESE LAWS, PLEASE DO NOT SUBMIT ANY REQUESTS TO ATTEND THE MEETING IN PERSON. SHOULD THIS SITUATION CHANGE, THE COMPANY ENCOURAGES ALL SHAREHOLDERS TO REGULARLY CONSULT THE COMPANY WEBSITE Non-Voting    
         
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 553318 DUE TO RECEIPT OF DELETION OF RESOLUTION 7. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED IF VOTE DEADLINE EXTENSIONS ARE GRANTED. THEREFORE PLEASE REINSTRUCT ON THIS MEETING NOTICE ON THE NEW JOB. IF HOWEVER VOTE DEADLINE EXTENSIONS ARE NOT GRANTED IN THE MARKET, THIS MEETING WILL BE CLOSED AND YOUR VOTE INTENTIONS ON THE ORIGINAL MEETING WILL BE APPLICABLE. PLEASE ENSURE VOTING IS SUBMITTED PRIOR TO CUTOFF ON THE ORIGINAL MEETING, AND AS SOON AS POSSIBLE ON THIS NEW AMENDED MEETING. THANK YOU. Non-Voting    
         
CMMT PLEASE NOTE THAT IMPORTANT ADDITIONAL MEETING INFORMATION IS AVAILABLE BY CLICKING ON THE MATERIAL URL LINK: https://www.journal-officiel.gouv.fr/balo/document/2021041221008 99-44 Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 194 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE Non-Voting    
         
1 APPROVAL OF THE CORPORATE FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 Mgmt For For
         
2 APPROVAL OF THE CONSOLIDATED FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 Mgmt For For
         
3 ALLOCATION OF INCOME FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 AND SETTING OF THE DIVIDEND Mgmt For For
         
4 RATIFICATION OF THE CO-OPTATION OF MR. GILLES SCHNEPP AS DIRECTOR Mgmt For For
         
5 RENEWAL OF THE TERM OF OFFICE OF MRS. FABIENNE LECORVAISIER AS DIRECTOR Mgmt For For
         
6 RENEWAL OF THE TERM OF OFFICE OF MRS. MELANIE LEE AS DIRECTOR Mgmt For For
         
7 APPOINTMENT OF MRS. BARBARA LAVERNOS AS DIRECTOR Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 195 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
8 APPROVAL OF THE COMPENSATION REPORT FOR CORPORATE OFFICERS ISSUED PURSUANT TO ARTICLE L. 22-10-9 OF THE FRENCH COMMERCIAL CODE Mgmt For For
         
9 APPROVAL OF THE COMPENSATION ELEMENTS PAID DURING OR AWARDED FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 TO MR. SERGE WEINBERG, CHAIRMAN OF THE BOARD OF DIRECTORS Mgmt For For
         
10 APPROVAL OF THE COMPENSATION ELEMENTS PAID DURING OR AWARDED FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 TO MR. PAUL HUDSON, CHIEF EXECUTIVE OFFICER Mgmt For For
         
11 APPROVAL OF THE COMPENSATION POLICY FOR DIRECTORS Mgmt For For
         
12 APPROVAL OF THE COMPENSATION POLICY FOR THE CHAIRMAN OF THE BOARD OF DIRECTORS Mgmt For For
         
13 APPROVAL OF THE COMPENSATION POLICY FOR THE CHIEF EXECUTIVE OFFICER Mgmt For For
         
14 AUTHORISATION TO BE GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO TRADE IN THE COMPANY’S SHARES (TO BE USED OUTSIDE OF PUBLIC OFFERING PERIODS) Mgmt For For
         
15 AUTHORISATION TO BE GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO REDUCE THE SHARE CAPITAL BY CANCELLING TREASURY SHARES Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 196 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
16 DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS TO DECIDE ON THE ISSUE, WITH RETENTION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, OF SHARES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL OF THE COMPANY, OF ANY SUBSIDIARY AND/OR OF ANY OTHER COMPANY (TO BE USED OUTSIDE OF PUBLIC OFFERING PERIODS) Mgmt For For
         
17 DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS TO DECIDE ON THE ISSUE, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, OF SHARES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL OF THE COMPANY, OF ANY SUBSIDIARY AND/OR OF ANY OTHER COMPANY, BY WAY OF A PUBLIC OFFERING OTHER THAN THAT MENTIONED IN ARTICLE L. 411-2-1DECREE OF THE FRENCH MONETARY AND FINANCIAL CODE (TO BE USED OUTSIDE OF PUBLIC OFFERING PERIODS) Mgmt For For
         
18 DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS TO DECIDE ON THE ISSUE, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, OF SHARES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL OF THE COMPANY, OF ANY SUBSIDIARY AND/OR OF ANY OTHER COMPANY, WITHIN THE CONTEXT OF AN OFFER REFERRED TO IN ARTICLE L. 411-2 1DECREE OF THE FRENCH MONETARY AND FINANCIAL CODE (OFFER RESERVED FOR A RESTRICTED CIRCLE OF INVESTORS) ( TO BE USED OUTSIDE OF PUBLIC OFFERING PERIODS) Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 197 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
19 DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS TO DECIDE ON THE ISSUE OF DEBT SECURITIES GRANTING ACCESS TO THE CAPITAL OF SUBSIDIARIES OF THE COMPANY AND/OR OF ANY OTHER COMPANY) (TO BE USED OUTSIDE OF PUBLIC OFFERING PERIODS) Mgmt For For
         
20 DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO INCREASE THE NUMBER OF SECURITIES TO BE ISSUED IN THE EVENT OF AN ISSUE OF COMMON SHARES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL OF THE COMPANY, OF ANY SUBSIDIARY AND/OR OF ANY OTHER COMPANY WITH OR WITHOUT THE PRE-EMPTIVE SUBSCRIPTION RIGHT) (TO BE USED OUTSIDE OF PUBLIC OFFERING PERIODS) Mgmt For For
         
21 DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO ISSUE, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, SHARES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL OF THE COMPANY, OF ONE OF ITS SUBSIDIARIES AND/OR OF ANOTHER COMPANY IN CONSIDERATION OF CONTRIBUTIONS IN KIND) (TO BE USED OUTSIDE OF PUBLIC OFFERING PERIODS) Mgmt For For
         
22 DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO DECIDE TO INCREASE THE SHARE CAPITAL BY CAPITALISATION OF PREMIUMS, RESERVES, PROFITS OR OTHERS) (TO BE USED OUTSIDE OF PUBLIC OFFERING PERIODS) Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 198 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
23 DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS TO DECIDE ON THE ISSUE OF SHARES OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE COMPANY’S CAPITAL RESERVED FOR MEMBERS OF SAVINGS PLANS, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT IN FAVOUR OF THE LATTER Mgmt For For
         
24 AUTHORISATION GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO PROCEED WITH FREE ALLOCATIONS OF EXISTING SHARES OR SHARES TO BE ISSUED FOR THE BENEFIT OF EMPLOYEES AND CORPORATE OFFICERS OF THE GROUP OR SOME OF THEM Mgmt For For
         
25 AMENDMENT OF ARTICLE 13 OF THE BY-LAWS IN ORDER TO ALLOW THE BOARD OF DIRECTORS TO TAKE DECISIONS BY WRITTEN CONSULTATION Mgmt For For
         
26 AMENDMENT TO ARTICLE 14 AND ARTICLE 17 OF THE BY-LAWS IN ORDER TO ALIGN THEIR CONTENT WITH THE PACTE LAW Mgmt For For
         
27 POWERS TO CARRY OUT FORMALITIES Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 199 of 261  

 

Unassigned 

SAP SE    
Security: D66992104 Agenda Number: 713760329
Ticker:   Meeting Type: AGM
ISIN: DE0007164600 Meeting Date: 12-May-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU Non-Voting    
         
CMMT ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 200 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER’S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY’S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED ON THE BALLOT ON PROXYEDGE Non-Voting    
         
CMMT FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE AVAILABLE AS A LINK UNDER THE ‘MATERIAL URL’ DROPDOWN AT THE TOP OF THE BALLOT. THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN PLACE. FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE Non-Voting    
         
1 RECEIVE FINANCIAL STATEMENTS AND STATUTORY REPORTS FOR FISCAL YEAR 2020 Non-Voting    
         
2 APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF EUR 1.85 PER SHARE Mgmt For For
         
3 APPROVE DISCHARGE OF MANAGEMENT BOARD FOR FISCAL YEAR 2020 Mgmt For For
         
4 APPROVE DISCHARGE OF SUPERVISORY BOARD FOR FISCAL YEAR 2020 Mgmt For For
         
5 RATIFY KPMG AG AS AUDITORS FOR FISCAL YEAR 2021 Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 201 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
6.1 ELECT QI LU TO THE SUPERVISORY BOARD Mgmt For For
         
6.2 ELECT ROUVEN WESTPHAL TO THE SUPERVISORY BOARD Mgmt For For
         
7 APPROVE ISSUANCE OF WARRANTS/BONDS WITH WARRANTS ATTACHED/CONVERTIBLE BONDS WITHOUT PREEMPTIVE RIGHTS UP TO AGGREGATE NOMINAL AMOUNT OF EUR 10 BILLION APPROVE CREATION OF EUR 100 MILLION POOL OF CAPITAL TO GUARANTEE CONVERSION RIGHTS Mgmt For For
         
8 AMEND CORPORATE PURPOSE Mgmt For For
         
9 AMEND ARTICLES RE: PROOF OF ENTITLEMENT Mgmt For For

 

 

 

 

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Unassigned 

SCHNEIDER ELECTRIC SE    
Security: F86921107 Agenda Number: 713726264
Ticker:   Meeting Type: MIX
ISIN: FR0000121972 Meeting Date: 28-Apr-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE. Non-Voting    
         
CMMT FOLLOWING CHANGES IN THE FORMAT OF PROXY CARDS FOR FRENCH MEETINGS, ABSTAIN IS NOW A VALID VOTING OPTION. FOR ANY ADDITIONAL ITEMS RAISED AT THE MEETING THE VOTING OPTION WILL DEFAULT TO ‘AGAINST’, OR FOR POSITIONS WHERE THE PROXY CARD IS NOT COMPLETED BY BROADRIDGE, TO THE PREFERENCE OF YOUR CUSTODIAN. Non-Voting    

 

 

 

 

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      Page 203 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU AND PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU Non-Voting    
         
CMMT PLEASE NOTE THAT DUE TO THE CURRENT COVID19 CRISIS AND IN ACCORDANCE WITH THE PROVISIONS ADOPTED BY THE FRENCH GOVERNMENT UNDER LAW NO. 2020-1379 OF NOVEMBER 14, 2020, EXTENDED AND MODIFIED BY LAW NO 2020-1614 OF DECEMBER 18, 2020 THE GENERAL MEETING WILL TAKE PLACE BEHIND CLOSED DOORS WITHOUT THE PHYSICAL PRESENCE OF THE SHAREHOLDERS. TO COMPLY WITH THESE LAWS, PLEASE DO NOT SUBMIT ANY REQUESTS TO ATTEND THE MEETING IN PERSON. SHOULD THIS SITUATION CHANGE, THE COMPANY ENCOURAGES ALL SHAREHOLDERS TO REGULARLY CONSULT THE COMPANY WEBSITE Non-Voting    

 

 

 

 

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      Page 204 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT 05 APR 2021: PLEASE NOTE THAT IMPORTANT ADDITIONAL MEETING INFORMATION IS AVAILABLE BY CLICKING ON THE MATERIAL URL LINK: https://www.journal-officiel.gouv.fr/balo/document/2021032221006 14-35 AND PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN NUMBERING FOR ALL RESOLUTIONS. IF YOU HAVE ALREADY SENT IN YOUR VOTES FOR MID:536913, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU Non-Voting    
         
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 535333 DUE TO RECEIPT OF CHANGE IN VOTING STATUS FOR RESOLUTIONS 11, 12 AND 14. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU. Non-Voting    
         
1 APPROVAL OF THE CORPORATE FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR 2020 Mgmt For For
         
2 APPROVAL OF THE CONSOLIDATED FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR 2020 Mgmt For For
         
3 ALLOCATION OF INCOME FOR THE FINANCIAL YEAR AND SETTING OF THE DIVIDEND Mgmt For For
         
4 APPROVAL OF THE REGULATED AGREEMENTS REFERRED TO IN ARTICLE L. 225-38 AND FOLLOWING OF THE Mgmt For For
  FRENCH COMMERCIAL CODE      

 

 

 

 

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Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
5 APPROVAL OF THE INFORMATION RELATING TO THE COMPENSATION OF CORPORATE OFFICERS PAID DURING OR ALLOCATED IN RESPECT OF THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 MENTIONED IN ARTICLE L. 22-10-9 OF THE FRENCH COMMERCIAL CODE Mgmt For For
         
6 APPROVAL OF THE ELEMENTS MAKING UP THE TOTAL COMPENSATION AND BENEFITS OF ANY KIND PAID DURING THE FINANCIAL YEAR 2020 OR ALLOCATED IN RESPECT OF THE SAME FINANCIAL YEAR TO MR. JEAN PASCAL TRICOIRE, CHAIRMAN AND CHIEF EXECUTIVE OFFICER Mgmt For For
         
7 APPROVAL OF THE COMPENSATION POLICY FOR THE CHAIRMAN AND CHIEF EXECUTIVE OFFICER Mgmt For For
         
8 APPROVAL OF THE COMPENSATION POLICY FOR THE MEMBERS OF THE BOARD OF DIRECTORS Mgmt For For
         
9 RENEWAL OF THE TERM OF OFFICE OF MR. JEAN-PASCAL TRICOIRE AS DIRECTOR Mgmt For For
         
10 APPOINTMENT OF MRS. ANNA OHLSSON-LEIJON AS DIRECTOR Mgmt For For
         
11 PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: APPOINTMENT OF MR. THIERRY JACQUET AS DIRECTOR REPRESENTING EMPLOYEE SHAREHOLDERS Shr For Against

 

 

 

 

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      Page 206 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
12 PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: APPOINTMENT OF MRS. ZENNIA CSIKOS AS DIRECTOR REPRESENTING EMPLOYEE SHAREHOLDERS Shr For Against
         
13 RENEWAL OF THE TERM OF OFFICE OF MRS. XIAOYUN MA AS DIRECTOR REPRESENTING EMPLOYEE SHAREHOLDERS Mgmt For For
         
14 PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: APPOINTMENT OF MRS. MALENE KVIST KRISTENSEN AS DIRECTOR REPRESENTING EMPLOYEE SHAREHOLDERS Shr For Against
         
15 AUTHORIZATION FOR THE BOARD OF DIRECTORS FOR THE COMPANY TO PURCHASE ITS OWN SHARES Mgmt For For
         
16 DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY ISSUING COMMON SHARES OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL OF THE COMPANY Mgmt For For
         
17 DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY ISSUING COMMON SHARES OR ANY TRANSFERABLE SECURITY GRANTING ACCESS TO THE CAPITAL OF THE COMPANY WITHOUT SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHTS BY WAY OF A PUBLIC OFFERING OTHER THAN THAT REFERRED TO IN ARTICLE L. 411-2 1DECREE OF THE FRENCH MONETARY AND FINANCIAL CODE Mgmt For For

 

 

 

 

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Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 207 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
18 DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY ISSUING COMMON SHARES OR ANY TRANSFERABLE SECURITY GRANTING ACCESS TO THE CAPITAL OF THE COMPANY WITHOUT SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHTS, AS PART OF AN OFFER REFERRED TO IN ARTICLE L. 411-2-1DECREE OF THE FRENCH MONETARY AND FINANCIAL CODE Mgmt For For
         
19 DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO INCREASE THE NUMBER OF SHARES TO BE ISSUED IN THE EVENT OF A CAPITAL INCREASE WITH RETENTION OR CANCELLATION OF THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHTS Mgmt For For
         
20 DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY ISSUING COMMON SHARES OR ANY TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL OF THE COMPANY WITHOUT SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHTS IN ORDER TO REMUNERATE CONTRIBUTIONS IN KIND Mgmt For For
         
21 DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY INCORPORATING PREMIUMS, RESERVES, PROFITS OR OTHERS Mgmt For For
         
22 DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO PROCEED WITH CAPITAL INCREASES RESERVED FOR MEMBERS OF A COMPANY SAVINGS PLAN WITHOUT SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHTS Mgmt For For

 

 

 

 

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      Page 208 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
23 DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO PROCEED WITH CAPITAL INCREASES RESERVED FOR EMPLOYEES OF CERTAIN FOREIGN GROUP COMPANIES, DIRECTLY OR THROUGH INTERVENING ENTITIES, IN ORDER TO OFFER THEM BENEFITS COMPARABLE TO THOSE OFFERED TO MEMBERS OF A COMPANY SAVINGS PLAN, WITHOUT SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHTS Mgmt For For
         
24 AUTHORIZATION FOR THE BOARD OF DIRECTORS TO CANCEL COMPANY SHARES PURCHASED UNDER SHARE BUYBACK PROGRAMS Mgmt For For
         
25 AMENDMENT TO ARTICLE 13 OF THE BYLAWS TO CORRECT A MATERIAL ERROR Mgmt For For
         
26 POWERS TO CARRY OUT FORMALITIES Mgmt For For
         
CMMT INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE Non-Voting    

 

 

 

 

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      Page 209 of 261  

 

Unassigned

SGS SA    
Security: H7485A108 Agenda Number: 713641810
Ticker:   Meeting Type: AGM
ISIN: CH0002497458 Meeting Date: 23-Mar-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT PLEASE NOTE THAT BENEFICIAL OWNER DETAILS ARE REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU. Non-Voting    
         
CMMT PART 2 OF THIS MEETING IS FOR VOTING ON AGENDA AND MEETING ATTENDANCE REQUESTS ONLY. PLEASE ENSURE THAT YOU HAVE FIRST VOTED IN FAVOUR OF THE REGISTRATION OF SHARES IN PART 1 OF THE MEETING. IT IS A MARKET REQUIREMENT FOR MEETINGS OF THIS TYPE THAT THE SHARES ARE REGISTERED AND MOVED TO A REGISTERED LOCATION AT THE CSD, AND SPECIFIC POLICIES AT THE INDIVIDUAL SUB-CUSTODIANS MAY VARY. UPON RECEIPT OF THE VOTE INSTRUCTION, IT IS POSSIBLE THAT A MARKER MAY BE PLACED ON YOUR SHARES TO ALLOW FOR RECONCILIATION AND RE-REGISTRATION FOLLOWING A TRADE. THEREFORE WHILST THIS DOES NOT PREVENT THE TRADING OF SHARES, ANY THAT ARE REGISTERED MUST BE FIRST DEREGISTERED IF REQUIRED FOR SETTLEMENT. DEREGISTRATION CAN AFFECT THE VOTING RIGHTS OF THOSE SHARES. IF YOU HAVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE Non-Voting    

 

 

 

 

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Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 210 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1.1 ANNUAL REPORT, FINANCIAL STATEMENTS OF SGS SA AND CONSOLIDATED FINANCIAL STATEMENTS OF THE SGS GROUP FOR 2020 Mgmt For For
         
1.2 ADVISORY VOTE ON THE 2020 REMUNERATION REPORT Mgmt For For
         
2 RELEASE OF THE BOARD OF DIRECTORS AND OF THE MANAGEMENT Mgmt For For
         
3 APPROPRIATION OF PROFIT Mgmt For For
         
4.1.1 RE-ELECTION AND ELECTION TO THE BOARD OF DIRECTOR: MR. CALVIN GRIEDER Mgmt For For
         
4.1.2 RE-ELECTION AND ELECTION TO THE BOARD OF DIRECTOR: MR. SAMI ATIYA Mgmt For For
         
4.1.3 RE-ELECTION AND ELECTION TO THE BOARD OF DIRECTOR: MR. PAUL DESMARAIS, JR Mgmt For For
         
4.1.4 RE-ELECTION AND ELECTION TO THE BOARD OF DIRECTOR: MR. IAN GALLIENNE Mgmt For For
         
4.1.5 RE-ELECTION AND ELECTION TO THE BOARD OF DIRECTOR: MR. SHELBY R. DU PASQUIER Mgmt For For
         
4.1.6 RE-ELECTION AND ELECTION TO THE BOARD OF DIRECTOR: MS. KORY SORENSON Mgmt For For
         

 

 

 

 

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      Page 211 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
4.1.7 RE-ELECTION AND ELECTION TO THE BOARD OF DIRECTOR: MR. TOBIAS HARTMANN Mgmt For For
         
4.1.8 RE-ELECTION AND ELECTION TO THE BOARD OF DIRECTOR: MS. JANET S. VERGIS (NEW) Mgmt For For
         
4.2.1 ELECTION OF MR. CALVIN GRIEDER AS CHAIRMAN OF THE BOARD OF DIRECTORS Mgmt For For
         
4.3.1 ELECTION TO THE REMUNERATION COMMITTEE: MR. IAN GALLIENNE Mgmt For For
         
4.3.2 ELECTION TO THE REMUNERATION COMMITTEE: MR. SHELBY R. DU PASQUIER Mgmt For For
         
4.3.3 ELECTION TO THE REMUNERATION COMMITTEE: MS. KORY SORENSEN Mgmt For For
         
4.4 ELECTION OF THE STATUTORY AUDITORS: PRICEWATERHOUSECOOPERS SA, GENEVA Mgmt For For
         
4.5 ELECTION OF THE INDEPENDENT PROXY: JEANDIN + DEFACQZ, GENEVA Mgmt For For
         
5.1 REMUNERATION MATTERS: REMUNERATION OF THE BOARD OF DIRECTORS UNTIL THE 2022 ANNUAL GENERAL MEETING Mgmt For For
         
5.2 REMUNERATION MATTERS: FIXED REMUNERATION OF SENIOR MANAGEMENT FOR THE FISCAL YEAR 2022 Mgmt For For

 

 

 

 

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Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 212 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
5.3

REMUNERATION MATTERS: ANNUAL VARIABLE REMUNERATION OF SENIOR MANAGEMENT FOR THE FISCAL YEAR 2020

Mgmt For For
         
5.4

REMUNERATION MATTERS: LONG TERM INCENTIVE PLAN TO BE ISSUED IN 2021

Mgmt For For
         
6 REDUCTION OF SHARE CAPITAL Mgmt For For
         
7 AUTHORIZED SHARE CAPITAL Mgmt For For

 

 

 

 

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      Page 213 of 261  

 

Unassigned

SIEMENS AG    
Security: D69671218 Agenda Number: 712718228
Ticker:   Meeting Type: EGM
ISIN: DE0007236101 Meeting Date: 09-Jul-20

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE AVAILABLE AS A LINK UNDER THE ‘MATERIAL URL’ DROPDOWN AT THE TOP OF THE BALLOT. THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN PLACE. FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE Non-Voting    
         
CMMT PLEASE NOTE THAT FOLLOWING THE AMENDMENT TO PARAGRAPH 21 OF THE SECURITIES TRADE ACT ON 9TH JULY 2015 AND THE OVER-RULING OF THE DISTRICT COURT IN COLOGNE JUDGMENT FROM 6TH JUNE 2012 THE VOTING PROCESS HAS NOW CHANGED WITH REGARD TO THE GERMAN REGISTERED SHARES. AS A RESULT, IT IS NOW THE RESPONSIBILITY OF THE END-INVESTOR (I.E. FINAL BENEFICIARY) AND NOT THE INTERMEDIARY TO DISCLOSE RESPECTIVE FINAL BENEFICIARY VOTING RIGHTS THEREFORE THE CUSTODIAN BANK / AGENT IN THE MARKET WILL BE SENDING THE VOTING DIRECTLY TO MARKET AND IT IS THE END INVESTORS RESPONSIBILITY TO ENSURE THE REGISTRATION ELEMENT IS COMPLETE WITH THE ISSUER DIRECTLY, SHOULD THEY HOLD MORE THAN 3 % OF THE TOTAL SHARE CAPITAL Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 214 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT THE VOTE/REGISTRATION DEADLINE AS DISPLAYED ON PROXYEDGE IS SUBJECT TO CHANGE AND WILL BE UPDATED AS SOON AS BROADRIDGE RECEIVES CONFIRMATION FROM THE SUB CUSTODIANS REGARDING THEIR INSTRUCTION DEADLINE. FOR ANY QUERIES PLEASE CONTACT YOUR CLIENT SERVICES REPRESENTATIVE Non-Voting    
         
CMMT ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL Non-Voting    
         
CMMT FURTHER INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER’S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY’S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED IN THE BALLOT ON PROXYEDGE Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
      Page 215 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
1 TO RESOLVE ON THE APPROVAL OF THE SPIN-OFF AND TRANSFER AGREEMENT BETWEEN SIEMENS AG AND SIEMENS ENERGY AG, MUNICH, DATED MAY 22, 2020 Mgmt For For

 

 

 

 

 

Investment Company Report

 

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    Page 216 of 261  

 

 

Unassigned

 

SIEMENS AG      
Security:   D69671218 Agenda Number: 713501131
Ticker:   Meeting Type: AGM
ISIN: DE0007236101 Meeting Date: 03-Feb-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU Non-Voting    
         
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 502455 DUE TO ADDITION OF RESOLUTION 10. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED IF VOTE DEADLINE EXTENSIONS ARE GRANTED. THEREFORE PLEASE REINSTRUCT ON THIS MEETING NOTICE ON THE NEW JOB. IF HOWEVER VOTE DEADLINE EXTENSIONS ARE NOT GRANTED IN THE MARKET, THIS MEETING WILL BE CLOSED AND YOUR VOTE INTENTIONS ON THE ORIGINAL MEETING WILL BE APPLICABLE. PLEASE ENSURE VOTING IS SUBMITTED PRIOR TO CUTOFF ON THE ORIGINAL MEETING, AND AS SOON AS POSSIBLE ON THIS NEW AMENDED MEETING. THANK YOU Non-Voting    
         
CMMT FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE AVAILABLE AS A LINK UNDER THE 'MATERIAL URL' DROPDOWN AT THE TOP OF THE BALLOT. THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN PLACE. FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 217 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT PLEASE NOTE THAT FOLLOWING THE AMENDMENT TO PARAGRAPH 21 OF THE SECURITIES TRADE ACT ON 9TH JULY 2015 AND THE OVER-RULING OF THE DISTRICT COURT IN COLOGNE JUDGMENT FROM 6TH JUNE 2012 THE VOTING PROCESS HAS NOW CHANGED WITH REGARD TO THE GERMAN REGISTERED SHARES. AS A RESULT, IT IS NOW THE RESPONSIBILITY OF THE END- INVESTOR (I.E. FINAL BENEFICIARY) AND NOT THE INTERMEDIARY TO DISCLOSE RESPECTIVE FINAL BENEFICIARY VOTING RIGHTS THEREFORE THE CUSTODIAN BANK / AGENT IN THE MARKET WILL BE SENDING THE VOTING DIRECTLY TO MARKET AND IT IS THE END INVESTORS RESPONSIBILITY TO ENSURE THE REGISTRATION ELEMENT IS COMPLETE WITH THE ISSUER DIRECTLY, SHOULD THEY HOLD MORE THAN 3 % OF THE TOTAL SHARE CAPITAL Non-Voting    
         
CMMT THE VOTE/REGISTRATION DEADLINE AS DISPLAYED ON PROXYEDGE IS SUBJECT TO CHANGE AND WILL BE UPDATED AS SOON AS BROADRIDGE RECEIVES CONFIRMATION FROM THE SUB CUSTODIANS REGARDING THEIR INSTRUCTION DEADLINE. FOR ANY QUERIES PLEASE CONTACT YOUR CLIENT SERVICES REPRESENTATIVE Non-Voting    
         
CMMT ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL Non-Voting    

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 218 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT FURTHER INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER'S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY'S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED IN THE BALLOT ON PROXYEDGE Non-Voting    
         
CMMT PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU Non-Voting    

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 219 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
CMMT INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE. THANK YOU Non-Voting    
         
1 RECEIVE FINANCIAL STATEMENTS AND STATUTORY REPORTS FOR FISCAL 2019/20 Non-Voting    
         
2 APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF EUR 3.50 PER SHARE Mgmt For For
         
3.1 APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER JOE KAESER FOR FISCAL 2019/20 Mgmt For For
         
3.2 APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER ROLAND BUSCH FOR FISCAL 2019/20 Mgmt For For
         
3.3 APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER LISA DAVIS (UNTIL FEB. 29, 2020) FOR FISCAL 2019/20 Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 220 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
3.4 APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER KLAUS HELMRICH FOR FISCAL 2019/20 Mgmt For For
         
3.5 APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER JANINA KUGEL (UNTIL JAN. 31, 2020) FOR FISCAL 2019/20 Mgmt For For
         
3.6 APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER CEDRIK NEIKE FOR FISCAL 2019/20 Mgmt For For
         
3.7 APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER MICHAEL SEN (UNTIL MARCH 31, 2020) FOR FISCAL 2019/20 Mgmt For For
         
3.8 APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER RALF THOMAS FOR FISCAL 2019/20 Mgmt For For
         
4.1 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER JIM SNABE FOR FISCAL 2019/20 Mgmt For For
         
4.2 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER BIRGIT STEINBORN FOR FISCAL 2019/20 Mgmt For For
         
4.3 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER WERNER WENNING FOR FISCAL 2019/20 Mgmt For For
         
4.4 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER WERNER BRANDT FOR FISCAL 2019/20 Mgmt For For
         
4.5 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER MICHAEL DIEKMANN FOR FISCAL 2019/20 Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 221 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
4.6 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER ANDREA FEHRMANN FOR FISCAL 2019/20 Mgmt For For
         
4.7 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER BETTINA HALLER FOR FISCAL 2019/20 Mgmt For For
         
4.8 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER ROBERT KENSBOCK (UNTIL SEP. 25, 2020) FOR FISCAL 2019/20 Mgmt For For
         
4.9 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER HARALD KERN FOR FISCAL 2019/20 Mgmt For For
         
4.10 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER JUERGEN KERNER FOR FISCAL 2019/20 Mgmt For For
         
4.11 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER NICOLA LEIBINGER- KAMMUELLER FOR FISCAL 2019/20 Mgmt For For
         
4.12 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER BENOIT POTIER FOR FISCAL 2019/20 Mgmt For For
         
4.13 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER HAGEN REIMER FOR FISCAL 2019/20 Mgmt For For
         
4.14 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER NORBERT REITHOFER FOR FISCAL 2019/20 Mgmt For For
         
4.15 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER NEMAT SHAFIK FOR FISCAL 2019/20 Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 222 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
4.16 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER NATHALIE VON SIEMENS FOR FISCAL 2019/20 Mgmt For For
         
4.17 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER MICHAEL SIGMUND FOR FISCAL 2019/20 Mgmt For For
         
4.18 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER DOROTHEA SIMON FOR FISCAL 2019/20 Mgmt For For
         
4.19 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER MATTHIAS ZACHERT FOR FISCAL 2019/20 Mgmt For For
         
4.20 APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER GUNNAR ZUKUNFT FOR FISCAL 2019/20 Mgmt For For
         
5 RATIFY ERNST YOUNG GMBH AS AUDITORS FOR FISCAL 2020/21 Mgmt For For
         
6.1 ELECT GRAZIA VITTADINI TO THE SUPERVISORY BOARD Mgmt For For
         
6.2 ELECT KASPER RORSTED TO THE SUPERVISORY BOARD Mgmt For For
         
6.3 REELECT JIM SNABE TO THE SUPERVISORY BOARD Mgmt For For
         
7 APPROVE REMUNERATION OF SUPERVISORY BOARD Mgmt For For
         
8 APPROVE CREATION OF EUR 90 MILLION POOL OF CAPITAL FOR EMPLOYEE STOCK PURCHASE PLAN Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 223 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management’s
        Recommendation
         
9 AMEND AFFILIATION AGREEMENT WITH SIEMENS BANK GMBH Mgmt For For
         
10 PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: AMENDMENT TO THE ARTICLES OF ASSOCIATION OF SIEMENS AG Shr For Against

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 224 of 261  

 

Unassigned 

SSE PLC      
     
Security: G8842P102 Agenda Number: 712927928
Ticker:   Meeting Type: AGM
ISIN: GB0007908733 Meeting Date: 12-Aug-20
       

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
1 RECEIVE THE REPORT AND ACCOUNTS Mgmt For For
         
2 APPROVE THE 2020 REMUNERATION REPORT Mgmt For For
         
3 DECLARE A FINAL DIVIDEND Mgmt For For
         
4 RE-APPOINT GREGOR ALEXANDER Mgmt For For
         
5 RE-APPOINT SUE BRUCE Mgmt For For
         
6 RE-APPOINT TONY COCKER Mgmt For For
         
7 RE-APPOINT CRAWFORD GILLIES Mgmt For For
         
8 RE-APPOINT RICHARD GILLINGWATER Mgmt For For
         
9 RE-APPOINT PETER LYNAS Mgmt For For
         
10 RE-APPOINT HELEN MAHY Mgmt For For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 225 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
11 RE-APPOINT ALISTAIR PHILLIPS-DAVIES Mgmt For For
         
12 RE-APPOINT MARTIN PIBWORTH Mgmt For For
         
13 RE-APPOINT MELANIE SMITH Mgmt For For
         
14 APPOINT ANGELA STRANK Mgmt For For
         
15 RE-APPOINT ERNST AND YOUNG LLP AS AUDITOR Mgmt For For
         
16 AUTHORISE THE AUDIT COMMITTEE TO AGREE THE AUDITOR'S REMUNERATION Mgmt For For
         
17 AUTHORISE THE DIRECTORS TO ALLOT SHARES Mgmt For For
         
18 TO DISAPPLY PRE-EMPTION RIGHTS Mgmt For For
         
19 TO EMPOWER THE COMPANY TO PURCHASE ITS OWN ORDINARY SHARES Mgmt For For
         
20 TO APPROVE 14 DAYS' NOTICE OF GENERAL MEETINGS Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 226 of 261  

 

Unassigned

SWEDISH MATCH AB  
Security: W92277115 Agenda Number: 713666242
Ticker:   Meeting Type: AGM
ISIN: SE0000310336 Meeting Date: 13-Apr-21
       
       
         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 526921 DUE TO CHANGE IN VOTING STATUS FOR RESOLUTION 6. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU Non-Voting    
         
CMMT INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE Non-Voting    
         
CMMT AN ABSTAIN VOTE CAN HAVE THE SAME EFFECT AS AN AGAINST VOTE IF THE MEETING REQUIRES APPROVAL FROM THE MAJORITY OF PARTICIPANTS TO PASS A RESOLUTION Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 227 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
CMMT MARKET RULES REQUIRE DISCLOSURE OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED Non-Voting    
         
CMMT IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE Non-Voting    
         
CMMT PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU Non-Voting    
         
1 ELECTION OF THE CHAIRMAN OF THE MEETING Non-Voting    
         
2 PREPARATION AND APPROVAL OF THE VOTING LIST Non-Voting    
         
3 ELECTION OF TWO PERSONS TO VERIFY THE MINUTES: PETER LUNDKVIST AND FILIPPA GERSTADT Non-Voting    
         
4 DETERMINATION OF WHETHER THE MEETING HAS BEEN DULY CONVENED Non-Voting    

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 228 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
5 APPROVAL OF THE AGENDA Non-Voting    
         
6 RESOLUTION ON THE REMUNERATION REPORT Mgmt For For
         
7 RESOLUTION ON ADOPTION OF THE INCOME STATEMENT AND BALANCE SHEET AND OF THE CONSOLIDATED INCOME STATEMENT AND CONSOLIDATED BALANCE SHEET Mgmt For For
         
8 RESOLUTION REGARDING ALLOCATION OF THE COMPANY'S PROFIT IN ACCORDANCE WITH THE ADOPTED BALANCE SHEET AND RESOLUTION ON A RECORD DAY FOR DIVIDEND Mgmt For For
         
9.A RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE BOARD MEMBER FOR 2020: CHARLES A. BLIXT Mgmt For For
         
9.B RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE BOARD MEMBER FOR 2020: ANDREW CRIPPS Mgmt For For
         
9.C RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE BOARD MEMBER FOR 2020: JACQUELINE HOOGERBRUGGE Mgmt For For
         
9.D RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE BOARD MEMBER FOR 2020: CONNY CARLSSON Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 229 of 261  

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
9.E RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE BOARD MEMBER FOR 2020: ALEXANDER LACIK Mgmt For For
         
9.F RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE BOARD MEMBER FOR 2020: PAULINE LINDWALL Mgmt For For
         
9.G RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE BOARD MEMBER FOR 2020: WENCHE ROLFSEN Mgmt For For
         
9.H RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE BOARD MEMBER FOR 2020: JOAKIM WESTH Mgmt For For
         
9.I RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE BOARD MEMBER FOR 2020: PATRIK ENGELBREKTSSON Mgmt For For
         
9.J RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE BOARD MEMBER FOR 2020: PAR-OLA OLAUSSON Mgmt For For
         
9.K RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE BOARD MEMBER FOR 2020: DRAGAN POPOVIC Mgmt For For
         
9.L RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE PRESIDENT FOR 2020: LARS DAHLGREN (AS THE PRESIDENT) Mgmt For For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 230 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
10 RESOLUTION REGARDING THE NUMBER OF MEMBERS OF THE BOARD OF DIRECTORS TO BE ELECTED BY THE MEETING: EIGHT Mgmt For For
         
CMMT PLEASE NOTE THAT RESOLUTIONS 11 TO 14 ARE PROPOSED BY NOMINATING COMMITTEE AND BOARD DOES NOT MAKE ANY RECOMMENDATION ON THESE PROPOSALS. THE STANDING INSTRUCTIONS ARE DISABLED FOR THIS MEETING Non-Voting    
         
11 RESOLUTION REGARDING REMUNERATION TO THE MEMBERS OF THE BOARD OF DIRECTORS Mgmt For  
         
12.A RE- ELECTION OF BOARD MEMBER: CHARLES A. BLIXT Mgmt For  
         
12.B RE- ELECTION OF BOARD MEMBER: ANDREW CRIPPS Mgmt For  
         
12.C RE- ELECTION OF BOARD MEMBER: JACQUELINE HOOGERBRUGGE Mgmt For  
         
12.D RE- ELECTION OF BOARD MEMBER: CONNY CARLSSON Mgmt For  
         
12.E RE- ELECTION OF BOARD MEMBER: ALEXANDER LACIK Mgmt For  
         
12.F RE- ELECTION OF BOARD MEMBER: PAULINE LINDWALL Mgmt For  
         
12.G RE- ELECTION OF BOARD MEMBER: WENCHE ROLFSEN Mgmt For  

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 231 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
12.H RE- ELECTION OF BOARD MEMBER: JOAKIM WESTH Mgmt For  
         
12.I RE-ELECTION OF THE CHAIRMAN OF THE BOARD: CONNY KARLSSON Mgmt For  
         
12.J RE-ELECTION OF THE DEPUTY CHAIRMAN OF THE BOARD: ANDREW CRIPPS Mgmt For  
         
13 RESOLUTION REGARDING THE NUMBER OF AUDITORS Mgmt For  
         
14 RESOLUTION REGARDING REMUNERATION TO THE AUDITOR Mgmt For  
         
15 ELECTION OF AUDITOR: THE NOMINATING COMMITTEE PROPOSES THAT THE NUMBER OF AUDITORS SHALL BE ONE WITH NO DEPUTY AUDITOR AND THAT THE AUDITOR COMPANY DELOITTE AB SHALL BE ELECTED AS AUDITOR FOR THE PERIOD AS OF THE END OF THE ANNUAL GENERAL MEETING 2021 UNTIL THE END OF THE ANNUAL GENERAL MEETING 2022 Mgmt For For
         
16.A RESOLUTION REGARDING: THE REDUCTION OF THE SHARE CAPITAL BY MEANS OF WITHDRAWAL OF REPURCHASED SHARES Mgmt For For
         
16.B RESOLUTION REGARDING: BONUS ISSUE Mgmt For For
         
17 RESOLUTION REGARDING AUTHORIZATION OF THE BOARD OF DIRECTORS TO RESOLVE ON ACQUISITIONS OF SHARES IN THE COMPANY Mgmt For For

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 232 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
18 RESOLUTION REGARDING AUTHORIZATION OF THE BOARD OF DIRECTORS TO RESOLVE ON TRANSFER OF SHARES IN THE COMPANY Mgmt For For
         
19 RESOLUTION REGARDING AUTHORIZATION OF THE BOARD OF DIRECTORS TO ISSUE NEW SHARES Mgmt For For
         
20.A RESOLUTION ON: AMENDMENT OF THE ARTICLES OF ASSOCIATION Mgmt For For
         
20.B RESOLUTION ON: A SPLIT OF THE COMPANY'S SHARES (SHARE SPLIT) Mgmt For For
         
21 RESOLUTION ON AMENDMENT OF THE ARTICLES OF ASSOCIATION Mgmt For For

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 233 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
CMMT PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU Non-Voting    

  

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 234 of 261  

 

Unassigned

SWISSCOM AG      
Security:   H8398N104 Agenda Number: 713621969
Ticker:   Meeting Type: OGM
ISIN: CH0008742519 Meeting Date: 31-Mar-21

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
CMMT PLEASE NOTE THAT BENEFICIAL OWNER DETAILS ARE REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU. Non-Voting      
           
CMMT PART 2 OF THIS MEETING IS FOR VOTING ON AGENDA AND MEETING ATTENDANCE REQUESTS ONLY. PLEASE ENSURE THAT YOU HAVE FIRST VOTED IN FAVOUR OF THE REGISTRATION OF SHARES IN PART 1 OF THE MEETING. IT IS A MARKET REQUIREMENT FOR MEETINGS OF THIS TYPE THAT THE SHARES ARE REGISTERED AND MOVED TO A REGISTERED LOCATION AT THE CSD, AND SPECIFIC POLICIES AT THE INDIVIDUAL SUB-CUSTODIANS MAY VARY. UPON RECEIPT OF THE VOTE INSTRUCTION, IT IS POSSIBLE THAT A MARKER MAY BE PLACED ON YOUR SHARES TO ALLOW FOR RECONCILIATION AND RE-REGISTRATION FOLLOWING A TRADE. THEREFORE WHILST THIS DOES NOT PREVENT THE TRADING OF SHARES, ANY THAT ARE REGISTERED MUST BE FIRST DEREGISTERED IF REQUIRED FOR SETTLEMENT. DEREGISTRATION CAN AFFECT THE VOTING RIGHTS OF THOSE SHARES. IF YOU HAVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE Non-Voting      

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 235 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
1.1 APPROVAL OF THE MANAGEMENT REPORT, THE CONSOLIDATED FINANCIAL STATEMENTS AND THE FINANCIAL STATEMENTS OF SWISSCOM LTD FOR THE FINANCIAL YEAR 2020 Mgmt For For

 

 

1.2 CONSULTATIVE VOTE ON THE REMUNERATION REPORT 2020 Mgmt Against Against
         
2 APPROPRIATION OF THE RETAINED EARNINGS 2020 AND DECLARATION OF DIVIDEND: THE BOARD OF DIRECTORS PROPOSES TO THE SHAREHOLDERS' MEETING A DIVIDEND OF CHF 22 GROSS PER SHARE (PRIOR YEAR: CHF 22). THE TOTAL DIVIDEND OF APPROX. CHF 1,140 MILLION IS BASED ON A PORTFOLIO OF 51,800,516 SHARES WITH A DIVIDEND ENTITLEMENT (AS OF 31 DECEMBER 2020). SUBJECT TO THE APPROVAL OF THE PROPOSAL BY THE SHAREHOLDERS' MEETING, AFTER DEDUCTING FEDERAL WITHHOLDING TAX OF 35%, A NET DIVIDEND OF CHF 14.30 PER SHARE WILL BE PAID OUT ON 8 APRIL 2021. THE LAST TRADING DAY WITH ENTITLEMENT TO RECEIVE A DIVIDEND IS 1 APRIL 2021. AS OF 6 APRIL 2021, THE SHARES WILL BE TRADED EX DIVIDEND Mgmt For For
         
3 DISCHARGE OF THE MEMBERS OF THE BOARD OF DIRECTORS AND THE GROUP EXECUTIVE BOARD Mgmt For For
         
4.1 RE-ELECTION OF ROLAND ABT TO THE BOARD OF DIRECTORS Mgmt For For
         
4.2 RE-ELECTION OF ALAIN CARRUPT TO THE BOARD OF DIRECTORS Mgmt For For
         
4.3 ELECTION OF GUUS DEKKERS TO THE BOARD OF DIRECTORS Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 236 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
4.4 RE-ELECTION OF FRANK ESSER TO THE BOARD OF DIRECTORS Mgmt For For
         
4.5 RE-ELECTION OF BARBARA FREI TO THE BOARD OF DIRECTORS Mgmt For For
         
4.6 RE-ELECTION OF SANDRA LATHION- ZWEIFEL TO THE BOARD OF DIRECTORS Mgmt For For
         
4.7 RE-ELECTION OF ANNA MOSSBERG TO THE BOARD OF DIRECTORS Mgmt For For
         
4.8 RE-ELECTION OF MICHAEL RECHSTEINER TO THE BOARD OF DIRECTORS Mgmt For For
         
4.9 ELECTION OF MICHAEL RECHSTEINER AS CHAIRMAN TO THE BOARD OF DIRECTORS Mgmt For For
         
5.1 RE-ELECTION OF ROLAND ABT TO THE COMPENSATION COMMITTEE Mgmt For For
         
5.2 RE-ELECTION OF FRANK ESSER TO THE COMPENSATION COMMITTEE Mgmt For For
         
5.3 RE-ELECTION OF BARBARA FREI TO THE COMPENSATION COMMITTEE Mgmt For For
         
5.4 ELECTION OF MICHAEL RECHSTEINER TO THE COMPENSATION COMMITTEE Mgmt For For
         
5.5 RE-ELECTION OF RENZO SIMONI TO THE COMPENSATION COMMITTEE Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 237 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
6.1 APPROVAL OF THE TOTAL REMUNERATION OF THE MEMBERS OF THE BOARD OF DIRECTORS FOR 2022 Mgmt For For
         
6.2 APPROVAL OF THE TOTAL REMUNERATION OF THE MEMBERS OF THE GROUP EXECUTIVE BOARD FOR 2022 Mgmt For For
         
7 RE-ELECTION OF THE INDEPENDENT PROXY: THE BOARD OF DIRECTORS PROPOSES THAT THE LAW FIRM REBER RECHTSANWALTE, ZURICH, BE RE- ELECTED AS INDEPENDENT PROXY FOR THE PERIOD OF TIME UNTIL THE CONCLUSION OF THE NEXT ORDINARY SHAREHOLDERS' MEETING Mgmt For For
         
8 RE-ELECTION OF THE STATUTORY AUDITORS: THE BOARD OF DIRECTORS PROPOSES THAT PRICEWATERHOUSECOOPERS AG, ZURICH, BE RE-ELECTED AS STATUTORY AUDITORS FOR THE 2021 FINANCIAL YEAR Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 238 of 261  

 

Unassigned

UNILEVER PLC      
Security:   G92087165 Agenda Number: 713023341
Ticker:   Meeting Type: CRT
ISIN: GB00B10RZP78 Meeting Date: 12-Oct-20

    

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
CMMT PLEASE NOTE THAT ABSTAIN IS NOT A VALID VOTE OPTION FOR THIS MEETING TYPE. PLEASE CHOOSE BETWEEN "FOR" AND "AGAINST" ONLY. SHOULD YOU CHOOSE TO VOTE ABSTAIN FOR THIS MEETING THEN YOUR VOTE WILL BE DISREGARDED BY THE ISSUER OR ISSUERS AGENT Non-Voting    
         
1 APPROVAL OF CROSS-BORDER MERGER Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 239 of 261  

 

Unassigned

UNILEVER PLC      
Security:   G92087165 Agenda Number: 713023339
Ticker:   Meeting Type: OGM
ISIN: GB00B10RZP78 Meeting Date: 12-Oct-20

     

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
1 THE SPECIAL RESOLUTION IS TO APPROVE: (I) THE CROSS-BORDER MERGER, INCLUDING ALL SUCH STEPS AS ARE NECESSARY TO BE TAKEN FOR THE PURPOSE OF EFFECTING THE CROSS-BORDER MERGER; AND (II) THE AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION. THE SPECIAL RESOLUTION IS SET OUT IN FULL IN THE NOTICE OF GENERAL MEETING CONTAINED IN SCHEDULE 2 OF THE CIRCULAR Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 240 of 261  

 

Unassigned

UNILEVER PLC      
Security:   G92087165 Agenda Number: 713716972
Ticker:   Meeting Type: AGM
ISIN: GB00B10RZP78 Meeting Date: 05-May-21

      

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
1. ACCEPT FINANCIAL STATEMENTS AND STATUTORY REPORTS Mgmt For For
         
2. APPROVE REMUNERATION REPORT Mgmt For For
         
3. APPROVE REMUNERATION POLICY Mgmt For For
         
4. APPROVE CLIMATE TRANSITION ACTION PLAN Mgmt For For
         
5. RE-ELECT NILS ANDERSEN AS DIRECTOR Mgmt For For
         
6. RE-ELECT LAURA CHA AS DIRECTOR Mgmt For For
         
7. RE-ELECT DR JUDITH HARTMANN AS DIRECTOR Mgmt For For
         
8. RE-ELECT ALAN JOPE AS DIRECTOR Mgmt For For
         
9. RE-ELECT ANDREA JUNG AS DIRECTOR Mgmt For For
         
10. RE-ELECT SUSAN KILSBY AS DIRECTOR Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 241 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
11. RE-ELECT STRIVE MASIYIWA AS DIRECTOR Mgmt For For
         
12. RE-ELECT YOUNGME MOON AS DIRECTOR Mgmt For For
         
13. RE-ELECT GRAEME PITKETHLY AS DIRECTOR Mgmt For For
         
14. RE-ELECT JOHN RISHTON AS DIRECTOR Mgmt For For
         
15. RE-ELECT FEIKE SIJBESMA AS DIRECTOR Mgmt For For
         
16. REAPPOINT KPMG LLP AS AUDITORS Mgmt For For
         
17. AUTHORISE BOARD TO FIX REMUNERATION OF AUDITORS Mgmt For For
         
18. AUTHORISE EU POLITICAL DONATIONS AND EXPENDITURE Mgmt For For
         
19. APPROVE SHARES PLAN Mgmt For For
         
20. AUTHORISE ISSUE OF EQUITY Mgmt For For
         
21. AUTHORISE ISSUE OF EQUITY WITHOUT PRE-EMPTIVE RIGHTS Mgmt For For
         
22. AUTHORISE ISSUE OF EQUITY WITHOUT PRE-EMPTIVE RIGHTS IN CONNECTION WITH AN ACQUISITION OR OTHER CAPITAL INVESTMENT Mgmt For For

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 242 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
23. AUTHORISE MARKET PURCHASE OF ORDINARY SHARES Mgmt For For
         
24. AUTHORISE THE COMPANY TO CALL GENERAL MEETING WITH TWO WEEKS' NOTICE Mgmt For For
         
25. ADOPT NEW ARTICLES OF ASSOCIATION Mgmt For For
         
26. APPROVE REDUCTION OF THE SHARE PREMIUM ACCOUNT Mgmt For For
         
CMMT 23 APR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO DUE CHANGE IN NUMBERING FOR ALL RESOLUTIONS. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. Non-Voting    

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 243 of 261  

 

Unassigned

VIVENDI SE      
Security:   F97982106 Agenda Number: 713615980
Ticker:   Meeting Type: EGM
ISIN: FR0000127771 Meeting Date: 29-Mar-21

 

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
CMMT THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE. Non-Voting    
         
CMMT FOLLOWING CHANGES IN THE FORMAT OF PROXY CARDS FOR FRENCH MEETINGS, ABSTAIN IS NOW A VALID VOTING OPTION. FOR ANY ADDITIONAL ITEMS RAISED AT THE MEETING THE VOTING OPTION WILL DEFAULT TO 'AGAINST', OR FOR POSITIONS WHERE THE PROXY CARD IS NOT COMPLETED BY BROADRIDGE, TO THE PREFERENCE OF YOUR CUSTODIAN. Non-Voting    

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 244 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
CMMT  24 FEB 2021: PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU AND PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU Non-Voting     
         
CMMT PLEASE NOTE THAT DUE TO THE CURRENT COVID19 CRISIS AND IN ACCORDANCE WITH THE PROVISIONS ADOPTED BY THE FRENCH GOVERNMENT UNDER LAW NO. 2020- 1379 OF NOVEMBER 14, 2020, EXTENDED AND MODIFIED BY LAW NO 2020-1614 OF DECEMBER 18, 2020 THE GENERAL MEETING WILL TAKE PLACE BEHIND CLOSED DOORS WITHOUT THE PHYSICAL PRESENCE OF THE SHAREHOLDERS. TO COMPLY WITH THESE LAWS, PLEASE DO NOT SUBMIT ANY REQUESTS TO ATTEND THE MEETING IN PERSON. SHOULD THIS SITUATION CHANGE, THE COMPANY ENCOURAGES ALL SHAREHOLDERS TO REGULARLY CONSULT THE COMPANY WEBSITE Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020  -  30-Jun-2021 Report Date: 29-Jul-2021  
    Page 245 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
CMMT 10 MAR 2021: PLEASE NOTE THAT IMPORTANT ADDITIONAL MEETING INFORMATION IS AVAILABLE BY CLICKING ON THE MATERIAL URL LINK: https://www.journal-officiel.gouv.fr/balo/document/2021031021004 88-30 AND PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN URL LINK. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU Non-Voting    

 

 

1 AMENDMENT TO ARTICLE 20 OF THE BY- LAWS - ALLOCATION AND DISTRIBUTION OF INCOME Mgmt For For
         
2 POWERS TO CARRY OUT FORMALITIES Mgmt For For
         
CMMT INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE. THANK YOU Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 246 of 261  

 

Unassigned

VIVENDI SE
Security: F97982106 Agenda Number: 714164934
Ticker:   Meeting Type: MIX
ISIN: FR0000127771 Meeting Date: 22-Jun-21

   

         
Prop. # Proposal Proposed    Proposal Vote For/Against
    by   Management's
        Recommendation
         
CMMT THE FOLLOWING APPLIES TO Non-Voting    
  SHAREHOLDERS THAT DO NOT HOLD      
  SHARES DIRECTLY WITH A FRENCH      
  CUSTODIAN: PROXY CARDS: VOTING      
  INSTRUCTIONS WILL BE FORWARDED TO      
  THE GLOBAL CUSTODIANS ON THE VOTE      
  DEADLINE DATE. IN CAPACITY AS      
  REGISTERED INTERMEDIARY, THE      
  GLOBAL CUSTODIANS WILL SIGN THE      
  PROXY CARDS AND FORWARD THEM TO      
  THE LOCAL CUSTODIAN. IF YOU      
  REQUEST MORE INFORMATION, PLEASE      
  CONTACT YOUR CLIENT      
  REPRESENTATIVE.      
         
CMMT FOLLOWING CHANGES IN THE FORMAT Non-Voting    
  OF PROXY CARDS FOR FRENCH      
  MEETINGS, ABSTAIN IS NOW A VALID      
  VOTING OPTION. FOR ANY ADDITIONAL      
  ITEMS RAISED AT THE MEETING THE      
  VOTING OPTION WILL DEFAULT TO      
  'AGAINST', OR FOR POSITIONS WHERE      
  THE PROXY CARD IS NOT COMPLETED      
  BY BROADRIDGE, TO THE PREFERENCE      
  OF YOUR CUSTODIAN.      
         
CMMT PLEASE NOTE THAT SHAREHOLDER Non-Voting    
  DETAILS ARE REQUIRED TO VOTE AT      
  THIS MEETING. IF NO SHAREHOLDER      
  DETAILS ARE PROVIDED, YOUR      
  INSTRUCTION MAY CARRY A      
  HEIGHTENED RISK OF BEING REJECTED.      
  THANK YOU      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 247 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
CMMT PLEASE NOTE THAT DUE TO THE Non-Voting    
  CURRENT COVID19 CRISIS AND IN      
  ACCORDANCE WITH THE PROVISIONS      
  ADOPTED BY THE FRENCH      
  GOVERNMENT UNDER LAW NO. 2020-      
  1379 OF NOVEMBER 14, 2020, EXTENDED      
  AND MODIFIED BY LAW NO 2020-1614 OF      
  DECEMBER 18, 2020 THE GENERAL      
  MEETING WILL TAKE PLACE BEHIND      
  CLOSED DOORS WITHOUT THE      
  PHYSICAL PRESENCE OF THE      
  SHAREHOLDERS. TO COMPLY WITH      
  THESE LAWS, PLEASE DO NOT SUBMIT      
  ANY REQUESTS TO ATTEND THE      
  MEETING IN PERSON. SHOULD THIS      
  SITUATION CHANGE, THE COMPANY      
  ENCOURAGES ALL SHAREHOLDERS TO      
  REGULARLY CONSULT THE COMPANY      
  WEBSITE      
         
CMMT PLEASE NOTE THAT IMPORTANT Non-Voting    
  ADDITIONAL MEETING INFORMATION IS      
  AVAILABLE BY CLICKING ON THE      
  MATERIAL URL LINK: https://www.journal-      
  officiel.gouv.fr/balo/document/2021051221016      
  84-57 AND https://www.journal-      
  officiel.gouv.fr/balo/document/2021060421023      
  85-67      
         
1 THE SHAREHOLDERS' MEETING, AFTER Mgmt For For
  HAVING REVIEWED THE REPORTS OF      
  THE EXECUTIVE COMMITTEE AND THE      
  AUDITORS, APPROVES THE COMPANY'S      
  FINANCIAL STATEMENTS FOR THE      
  FISCAL YEAR THAT ENDED IN 2020, AS      
  PRESENTED TO THE MEETING, SHOWING      
  NET EARNINGS AMOUNTING TO EUR      
  3,009,370,168.18      
         
2 THE SHAREHOLDERS' MEETING, AFTER Mgmt For For
  HAVING REVIEWED THE REPORTS OF      
  THE EXECUTIVE COMMITTEE AND THE      
  AUDITORS, APPROVES THE      
  CONSOLIDATED FINANCIAL STATEMENTS      
  FOR SAID FINANCIAL YEAR, AS      
  PRESENTED TO THE MEETING      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 248 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
3 THE SHAREHOLDERS' MEETING, AFTER Mgmt For For
  REVIEWING THE SPECIAL REPORT OF      
  THE AUDITORS ON AGREEMENTS      
  GOVERNED BY ARTICLE L.225-88 OF THE      
  FRENCH COMMERCIAL CODE, APPROVES      
  SAID REPORT AND THE AGREEMENT      
  AUTHORIZED SINCE THE CLOSING OF      
  THE 2020 FISCAL YEAR AS REFERRED TO      
  THEREIN, AND TAKES NOTICE THAT NO      
  NEW AGREEMENT HAS BEEN      
  AUTHORIZED FOR SAID FISCAL YEAR      
  AND THAT NO AGREEMENT PREVIOUSLY      
  ENTERED INTO REMAINED IN FORCE      
  DURING SAID FISCAL YEAR      
         
4 THE SHAREHOLDERS' MEETING Mgmt For For
  APPROVES THE RECOMMENDATIONS OF      
  THE EXECUTIVE COMMITTEE AND      
  RESOLVES TO ALLOCATE THE EARNINGS      
  AS FOLLOWS: ORIGIN: EARNINGS: EUR      
  3,009,370,168.18 RETAINED EARNINGS:      
  EUR 2,955,604,551.07 DISTRIBUTABLE      
  INCOME: EUR 5,964,974,719.25      
  ALLOCATION: DIVIDENDS: EUR      
  651,333,876.60 RETAINED EARNINGS: EUR      
  5,313,640,842.65 THE SHAREHOLDERS      
  WILL BE GRANTED AN ORDINARY      
  DIVIDEND OF EUR 0.60 PER SHARE, THAT      
  WILL BE ELIGIBLE TO THE 40 PER CENT      
  DEDUCTION PROVIDED BY THE FRENCH      
  GENERAL TAX CODE. THIS DIVIDEND      
  WILL BE PAID FROM THE 25TH OF JUNE      
  2021. AS REQUIRED BY LAW, IT IS      
  REMINDED THAT, FOR THE LAST THREE      
  FINANCIAL YEARS, THE DIVIDENDS WERE      
  PAID AS FOLLOWS: EUR 0.45 PER SHARE      
  FOR FISCAL YEAR 2017 EUR 0.50 PER      
  SHARE FOR FISCAL YEAR 2018 EUR 0.60      
  PER SHARE FOR FISCAL YEAR 2019      
  RESULTS APPROPRIATION      

 

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 249 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
5 THE SHAREHOLDERS' MEETING ISSUES A Mgmt For For
  FAVOURABLE OPINION ON THE      
  PROPOSED EXCEPTIONAL DISTRIBUTION      
  OF CONTRIBUTIONS IN KIND OF A      
  MAJORITY OF THE SHARE CAPITAL OF      
  THE UNIVERSAL MUSIC GROUP N.V.      
  COMPANY TO THE SHAREHOLDERS OF      
  THE VIVENDI SE COMPANY, AS      
  REFERRED TO IN RESOLUTION 6      
         
6 THE SHAREHOLDERS' MEETING DECIDES Mgmt For For
  TO EXCEPTIONALLY GRANT 1,086,266,883      
  SHARES OF THE UNIVERSAL MUSIC      
  GROUP N.V. COMPANY, AT THE RATE OF 1      
  SHARE OF THE UNIVERSAL MUSIC      
  GROUP N.V. COMPANY FOR 1 SHARE OF      
  THE VIVENDI SE COMPANY,      
  CORRESPONDING TO A VALUE OF EUR      
  19,800,000,000.00 THAT WILL BE      
  CHARGED ON THE RETAINED EARNINGS      
  ACCOUNT FOR THE AMOUNT OF EUR      
  5,313,640,842.65 (THIS LATTER AMOUNT      
  CORRESPONDING TO THE 2020      
  EARNINGS AMOUNTING TO EUR      
  3,009,370,168.18 DIMINISHED BY THE      
  ORDINARY DIVIDEND AMOUNTING TO      
  EUR 651,333,876.60, I.E. EUR      
  2,358,036,291.58, ADDED WITH THE      
  PREVIOUS RETAINED EARNINGS      
  AMOUNTING TO EUR 2,955,604,551.07) TO      
  BE PAID ON THE 29TH OF SEPTEMBER      
  2021, TO THE BENEFIT OF THE      
  SHAREHOLDERS OF THE VIVENDI SE      
  COMPANY WHOSE SHARES ARE      
  REGISTERED BY THE 28TH OF      
  SEPTEMBER 2021. THE AMOUNT OF THE      
  DOWN PAYMENT AMOUNTING TO EUR      
  14,486,359,157.35 WILL BE CHARGED ON      
  THE RESULTS APPROPRIATION OF THE      
  2021 FISCAL YEAR. ALL POWERS TO THE      
  EXECUTIVE COMMITTEE TO ACCOMPLISH      
  ALL NECESSARY FORMALITIES      
         
7 THE SHAREHOLDERS' MEETING Mgmt Against Against
  APPROVES THE INFORMATION      
  MENTIONED IN THE ARTICLE L.22-10-9 I      
  OF THE FRENCH COMMERCIAL CODE      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 250 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
      Recommendation
         
8 THE SHAREHOLDERS' MEETING Mgmt Against Against
  APPROVES THE COMPONENTS OF THE      
  TOTAL COMPENSATION AS WELL AS THE      
  BENEFITS OR PERKS OF ANY KIND PAID      
  AND AWARDED TO MR YANNICK      
  BOLLORE AS CHAIRMAN OF THE      
  SUPERVISORY BOARD FOR THE 2020      
  FINANCIAL YEAR      
         
9 THE SHAREHOLDERS' MEETING Mgmt Against Against
  APPROVES THE COMPONENTS OF THE      
  TOTAL COMPENSATION AS WELL AS THE      
  BENEFITS OR PERKS OF ANY KIND PAID      
  AND AWARDED TO MR ARNAUD DE      
  PUYFONTAINE AS CHAIRMAN OF THE      
  EXECUTIVE COMMITTEE FOR THE 2020      
  FINANCIAL YEAR      
         
10 THE SHAREHOLDERS' MEETING Mgmt Against Against
  APPROVES THE COMPONENTS OF THE      
  TOTAL COMPENSATION AS WELL AS THE      
  BENEFITS OR PERKS OF ANY KIND PAID      
  AND AWARDED TO MR GILLES ALIX AS      
  MEMBER OF THE EXECUTIVE      
  COMMITTEE FOR THE 2020 FINANCIAL      
  YEAR      
         
11 THE SHAREHOLDERS' MEETING Mgmt Against Against
  APPROVES THE COMPONENTS OF THE      
  TOTAL COMPENSATION AS WELL AS THE      
  BENEFITS OR PERKS OF ANY KIND PAID      
  AND AWARDED TO MR CEDRIC DE      
  BAILLIENCOURT AS MEMBER OF THE      
  EXECUTIVE COMMITTEE FOR THE 2020      
  FINANCIAL YEAR      
         
12 THE SHAREHOLDERS' MEETING Mgmt Against Against
  APPROVES THE COMPONENTS OF THE      
  TOTAL COMPENSATION AS WELL AS THE      
  BENEFITS OR PERKS OF ANY KIND PAID      
  AND AWARDED TO MR FREDERIC CREPIN      
  AS MEMBER OF THE EXECUTIVE      
  COMMITTEE FOR THE 2020 FINANCIAL      
  YEAR      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 251 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
13 THE SHAREHOLDERS' MEETING Mgmt Against Against
  APPROVES THE COMPONENTS OF THE      
  TOTAL COMPENSATION AS WELL AS THE      
  BENEFITS OR PERKS OF ANY KIND PAID      
  AND AWARDED TO MR SIMON GILLHAM      
  AS MEMBER OF THE EXECUTIVE      
  COMMITTEE FOR THE 2020 FINANCIAL      
  YEAR      
         
14 THE SHAREHOLDERS' MEETING Mgmt Against Against
  APPROVES THE COMPONENTS OF THE      
  TOTAL COMPENSATION AS WELL AS THE      
  BENEFITS OR PERKS OF ANY KIND PAID      
  AND AWARDED TO MR HERVE PHILIPPE      
  AS MEMBER OF THE EXECUTIVE      
  COMMITTEE FOR THE 2020 FINANCIAL      
  YEAR      
         
15 THE SHAREHOLDERS' MEETING Mgmt Against Against
  APPROVES THE COMPONENTS OF THE      
  TOTAL COMPENSATION AS WELL AS THE      
  BENEFITS OR PERKS OF ANY KIND PAID      
  AND AWARDED TO MR STEPHANE      
  ROUSSEL AS MEMBER OF THE      
  EXECUTIVE COMMITTEE FOR THE 2020      
  FINANCIAL YEAR      
         
16 THE SHAREHOLDERS' MEETING Mgmt Against Against
  APPROVES THE POLICY OF THE      
  COMPENSATION APPLICABLE TO THE      
  MEMBERS OF THE SUPERVISORY BOARD      
  AND ITS CHAIRMAN FOR THE 2021      
  FISCAL YEAR      
         
17 THE SHAREHOLDERS' MEETING Mgmt Against Against
  APPROVES THE POLICY OF THE      
  COMPENSATION APPLICABLE TO THE      
  CHAIRMAN OF THE EXECUTIVE      
  COMMITTEE FOR THE 2021 FISCAL YEAR      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 252 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
18 THE SHAREHOLDERS' MEETING Mgmt Against Against
  APPROVES THE POLICY OF THE      
  COMPENSATION APPLICABLE TO THE      
  MEMBERS OF THE EXECUTIVE      
         
  COMMITTEE FOR THE 2021 FISCAL YEAR      
19 THE SHAREHOLDERS' MEETING RENEWS Mgmt For For
  THE APPOINTMENT OF MRS VERONIQUE      
  DRIOT-ARGENTIN AS A MEMBER OF THE      
  SUPERVISORY BOARD FOR A 4-YEAR      
  PERIOD, I.E. UNTIL THE SHAREHOLDERS'      
  MEETING CALLED TO RULE ON THE      
  FINANCIAL STATEMENTS FOR THE 2024      
  FISCAL YEAR      
         
20 THE SHAREHOLDERS' MEETING RENEWS Mgmt For For
  THE APPOINTMENT OF MRS SANDRINE      
  LE BIHAN AS A MEMBER OF THE      
  SUPERVISORY BOARD REPRESENTING      
  THE EMPLOYEE SHAREHOLDERS FOR A      
  4-YEAR PERIOD, I.E. UNTIL THE      
  SHAREHOLDERS' MEETING CALLED TO      
  RULE ON THE FINANCIAL STATEMENTS      
  FOR THE 2024 FISCAL YEAR      
         
21 THE SHAREHOLDERS' MEETING Mgmt For For
  AUTHORIZES THE EXECUTIVE      
  COMMITTEE TO BUY BACK THE      
  COMPANY'S EQUITIES, SUBJECT TO THE      
  CONDITIONS DESCRIBED BELOW:      
  MAXIMUM PURCHASE PRICE: EUR 29.00,      
  MAXIMUM NUMBER OF EQUITIES TO BE      
  ACQUIRED: 10 PER CENT OF THE SHARE      
  CAPITAL. THIS AUTHORIZATION IS GIVEN      
  FOR AN 18-MONTH PERIOD. THIS      
  AUTHORIZATION SUPERSEDES THE      
  FRACTION UNUSED OF THE      
  AUTHORIZATION GRANTED BY THE      
  SHAREHOLDERS' MEETING OF THE 20TH      
  OF APRIL 2020 IN ITS RESOLUTION      
  NUMBER 6. THE SHAREHOLDERS'      
  MEETING DELEGATES ALL POWERS TO      
  THE EXECUTIVE COMMITTEE TO TAKE      
  ALL NECESSARY MEASURES AND      
  ACCOMPLISH ALL NECESSARY      
  FORMALITIES      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 253 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
22 THE SHAREHOLDERS' MEETING GRANTS Mgmt For For
  ALL POWERS TO THE EXECUTIVE      
  COMMITTEE TO REDUCE THE SHARE      
  CAPITAL, ON ONE OR MORE OCCASIONS      
  AND AT ITS SOLE DISCRETION, BY      
  CANCELLING ALL OR PART OF THE      
  SHARES HELD BY THE COMPANY IN      
  CONNECTION WITH THE STOCK      
  REPURCHASE PLAN, UP TO A MAXIMUM      
  OF 10 PER CENT OF THE SHARE CAPITAL      
  OVER A 24-MONTH PERIOD. THIS      
  AUTHORIZATION IS GIVEN FOR AN 18-      
  MONTH PERIOD. THIS AUTHORIZATION      
  SUPERSEDES THE FRACTION UNUSED      
  OF THE AUTHORIZATION GRANTED BY      
  THE SHAREHOLDERS' MEETING OF THE      
  20TH OF APRIL 2020 IN ITS RESOLUTION      
  NUMBER 7. THE SHAREHOLDERS'      
  MEETING DELEGATES ALL POWERS TO      
  THE EXECUTIVE COMMITTEE TO TAKE      
  ALL NECESSARY MEASURES AND      
  ACCOMPLISH ALL NECESSARY      
  FORMALITIES      
         
23 THE SHAREHOLDERS' MEETING Mgmt Against Against
  AUTHORIZES THE EXECUTIVE      
  COMMITTEE, EXCEPT DURING THE      
  PERIOD OF A PUBLIC OFFER ON THE      
  COMPANY'S EQUITIES, TO REPURCHASE      
  A MAXIMUM NUMBER OF 592,997,810      
  COMPANY'S SHARES, WITHIN THE LIMIT      
  OF 50 PER CENT OF THE SHARE CAPITAL,      
  TO BE OFFERED TO ALL THE      
  SHAREHOLDERS, WITH A VIEW TO      
  CANCELLING THEM AND REDUCING THE      
  SHARE CAPITAL BY A MAXIMUM NOMINAL      
  AMOUNT OF EUR 3,261,487,955.00. THE      
  MAXIMUM PURCHASE PRICE PER SHARE      
  IN THE CONTEXT OF THIS PUBLIC SHARE      
  BUYBACK OFFERING IS SET AT EUR      
  29.00, CORRESPONDING TO A MAXIMUM      
  AMOUNT OF EUR 17,196,936,490.00. THIS      
  AUTHORIZATION IS GIVEN FOR AN 18-      
  MONTH PERIOD. THE SHAREHOLDERS'      
  MEETING DELEGATES ALL POWERS TO      
  THE EXECUTIVE COMMITTEE TO TAKE      
  ALL NECESSARY MEASURES AND      
  ACCOMPLISH ALL NECESSARY      
  FORMALITIES      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 254 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
24 THE SHAREHOLDERS' MEETING Mgmt For For
  DELEGATES TO THE EXECUTIVE      
  COMMITTEE THE NECESSARY POWERS      
  TO INCREASE THE CAPITAL, ON ONE OR      
  MORE OCCASIONS, IN FRANCE OR      
  ABROAD, BY A MAXIMUM NOMINAL      
  AMOUNT OF EUR 655,000,000.00, BY      
  ISSUANCE OF COMPANY'S ORDINARY      
  SHARES AND ANY SECURITIES GIVING      
  ACCESS TO COMPANY'S EQUITY      
  SECURITIES, WITH PREFERENTIAL      
  SUBSCRIPTION RIGHTS MAINTAINED.      
  THIS AUTHORIZATION IS GIVEN FOR A 26-      
  MONTH PERIOD. THIS AUTHORIZATION      
  SUPERSEDES THE FRACTION UNUSED      
  OF THE AUTHORIZATION GRANTED BY      
  THE SHAREHOLDERS' MEETING OF THE      
  15TH OF APRIL 2019 IN ITS RESOLUTION      
  NUMBER 30      
         
25 THE SHAREHOLDERS' MEETING Mgmt For For
  DELEGATES TO THE EXECUTIVE      
  COMMITTEE ALL POWERS IN ORDER TO      
  INCREASE THE SHARE CAPITAL, IN ONE      
  OR MORE OCCASIONS AND AT ITS SOLE      
  DISCRETION, UP TO A MAXIMUM      
  NOMINAL AMOUNT OF EUR      
  327,500,000.00, BY WAY OF CAPITALIZING      
  RESERVES, PROFITS, PREMIUMS OR      
  OTHER MEANS, PROVIDED THAT SUCH      
  CAPITALIZATION IS ALLOWED BY LAW      
  AND UNDER THE BYLAWS, BY ISSUING      
  FREE SHARES OR RAISING THE PAR      
  VALUE OF EXISTING SHARES. THIS      
  AMOUNT SHALL COUNT AGAINST THE      
  AMOUNT SET FORTH IN RESOLUTION 24.      
  THIS AUTHORIZATION IS GIVEN FOR A 26-      
  MONTH PERIOD. THIS AUTHORIZATION      
  SUPERSEDES THE FRACTION UNUSED      
  OF THE AUTHORIZATION GRANTED BY      
  THE SHAREHOLDERS' MEETING OF THE      
  15TH OF APRIL 2019 IN ITS RESOLUTION      
  NUMBER 31      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 255 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
26 THE SHAREHOLDERS' MEETING Mgmt For For
  DELEGATES ALL POWERS TO THE      
  EXECUTIVE COMMITTEE TO INCREASE      
  THE SHARE CAPITAL, UP TO 5 PER CENT      
  OF THE SHARE CAPITAL, IN      
  CONSIDERATION FOR THE      
  CONTRIBUTIONS IN KIND GRANTED TO      
  THE COMPANY AND COMPOSED OF      
  EQUITY SECURITIES OR SECURITIES      
  GIVING ACCESS TO THE SHARE CAPITAL,      
  WITH CANCELLATION OF PREFERENTIAL      
  SUBSCRIPTION RIGHTS. THIS AMOUNT      
  SHALL COUNT AGAINST THE AMOUNT      
  SET FORTH IN RESOLUTION 24. THIS      
  AUTHORIZATION IS GIVEN FOR A 26-      
  MONTH PERIOD. THE SHAREHOLDERS'      
  MEETING DELEGATES ALL POWERS TO      
  THE EXECUTIVE COMMITTEE TO TAKE      
  ALL NECESSARY MEASURES AND      
  ACCOMPLISH ALL NECESSARY      
  FORMALITIES      
         
27 THE SHAREHOLDERS' MEETING Mgmt Against Against
  AUTHORIZES THE EXECUTIVE      
  COMMITTEE TO GRANT, ON ONE OR      
  MORE OCCASIONS, (I) FREE EXISTING      
  OR TO BE ISSUED COMPANY'S SHARES,      
  IN FAVOUR OF THE EMPLOYEES OF THE      
  COMPANY OR RELATED COMPANIES (II)      
  EXISTING OR TO BE ISSUED COMPANY'S      
  PERFORMANCE SHARES IN FAVOUR OF      
  THE EMPLOYEES AND THE CORPORATE      
  OFFICERS OF THE COMPANY OR      
  RELATED COMPANIES, WITH      
  CANCELLATION OF PREFERENTIAL      
  SUBSCRIPTION RIGHTS. THEY MAY NOT      
  REPRESENT MORE THAN 1 PER CENT OF      
  THE SHARE CAPITAL, AMONG WHICH THE      
  PERFORMANCE SHARES GRANTED      
  YEARLY TO THE MEMBERS OF THE      
  EXECUTIVE COMMITTEE MAY NOT      
  REPRESENT MORE THAN 0.035 PER      
  CENT OF THE SHARE CAPITAL. THIS      
  AUTHORIZATION IS GIVEN FOR A 38-      
  MONTH PERIOD. THIS AUTHORIZATION      
  SUPERSEDES THE FRACTION UNUSED      
  OF THE AUTHORIZATION GRANTED BY      
  THE SHAREHOLDERS' MEETING OF THE      
  19TH OF APRIL 2018 IN ITS RESOLUTION      
  NUMBER 27. THE SHAREHOLDERS'      
  MEETING DELEGATES ALL POWERS TO      
  THE EXECUTIVE COMMITTEE TO TAKE      
  ALL NECESSARY MEASURES AND      
  ACCOMPLISH ALL NECESSARY      
  FORMALITIES      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 256 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
28 THE SHAREHOLDERS' MEETING Mgmt For For
  AUTHORIZES THE EXECUTIVE      
  COMMITTEE TO INCREASE THE SHARE      
  CAPITAL, ON ONE OR MORE OCCASIONS,      
  AT ITS SOLE DISCRETION, IN FAVOUR OF      
  THE MEMBERS OF A COMPANY SAVINGS      
  PLAN OF THE COMPANY AND FRENCH OR      
  FOREIGN RELATED COMPANIES, BY      
  ISSUANCE OF SHARES AND ANY OTHER      
  SECURITIES GIVING ACCESS TO THE      
  COMPANY'S SHARE CAPITAL, WITH      
  CANCELLATION OF PREFERENTIAL      
  SUBSCRIPTION RIGHTS. THIS      
  DELEGATION IS GIVEN FOR A 26-MONTH      
  PERIOD AND FOR A NOMINAL AMOUNT      
  THAT SHALL NOT EXCEED 1 PER CENT      
  OF THE SHARE CAPITAL (INCLUDING THE      
  SHARE CAPITAL INCREASE MENTIONED      
  IN RESOLUTION 27). THIS AMOUNT SHALL      
  COUNT AGAINST THE OVERALL VALUE      
  SET FORTH AT EUR 655,000,000.00 IN      
  RESOLUTION NUMBER 24. THIS      
  AUTHORIZATION SUPERSEDES THE      
  FRACTION UNUSED OF THE      
  AUTHORIZATION GRANTED BY THE      
  SHAREHOLDERS' MEETING OF THE 15TH      
  OF APRIL 2019 IN ITS RESOLUTION      
  NUMBER 32. THE SHAREHOLDERS'      
  MEETING DELEGATES ALL POWERS TO      
  THE EXECUTIVE COMMITTEE TO TAKE      
  ALL NECESSARY MEASURES AND      
  ACCOMPLISH ALL NECESSARY      
  FORMALITIES      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 257 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
29 THE SHAREHOLDERS' MEETING Mgmt For For
  AUTHORIZES THE EXECUTIVE      
  COMMITTEE TO INCREASE THE SHARE      
  CAPITAL UP TO 1 PER CENT OF THE      
  SHARE CAPITAL IN FAVOUR OF (A)      
  EMPLOYEES, CORPORATE OFFICERS OF      
  RELATED COMPANIES OF THE VIVENDI      
  GROUP WITH THEIR HEAD OFFICE      
  ABROAD; (B) UCITS, EMPLOYEE      
  SHAREHOLDING INVESTED IN      
  COMPANY'S EQUITIES WHOSE      
  SHAREHOLDERS ARE COMPOSED OF      
  THE PERSONS IN (A); (C) ANY FINANCIAL      
  INSTITUTION SETTING UP A      
  STRUCTURED SHAREHOLDING SCHEME      
  FOR EMPLOYEES OF FRENCH      
  COMPANIES OF THE VIVENDI GROUP      
  WITHIN THE USE OF RESOLUTION 27, OR      
  OFFERING THE SUBSCRIPTION OF      
  SHARES TO PERSONS IN (A) NOT      
  BENEFITING FROM THE SHAREHOLDING      
  SCHEME MENTIONED ABOVE OR TO THE      
  EXTENT THAT THE SUBSCRIPTION OF      
  COMPANY'S SHARES BY THAT FINANCIAL      
  INSTITUTION WOULD ALLOW PERSONS      
  IN (A) TO BENEFIT FROM SHAREHOLDING      
  OR SAVINGS SCHEMES, BY ISSUANCE OF      
  SHARES OR ANY OTHER SECURITIES      
  GIVING ACCESS TO THE SHARE CAPITAL,      
  WITH CANCELLATION OF PREFERENTIAL      
  SUBSCRIPTION RIGHTS. 18 MONTHS,      
  SUPERSEDING THE AUTHORIZATION 33      
  GRANTED ON APRIL 15, 2019      
         
30 THE SHAREHOLDERS' MEETING GRANTS Mgmt For For
  FULL POWERS TO THE BEARER OF AN      
  ORIGINAL, A COPY OR EXTRACT OF THE      
  MINUTES OF THIS MEETING TO CARRY      
  OUT ALL FILINGS, PUBLICATIONS AND      
  OTHER FORMALITIES PRESCRIBED BY      
  LAW      
         
CMMT INTERMEDIARY CLIENTS ONLY - PLEASE Non-Voting    
  NOTE THAT IF YOU ARE CLASSIFIED AS      
  AN INTERMEDIARY CLIENT UNDER THE      
  SHAREHOLDER RIGHTS DIRECTIVE II,      
  YOU SHOULD BE PROVIDING THE      
  UNDERLYING SHAREHOLDER      
  INFORMATION AT THE VOTE      
  INSTRUCTION LEVEL. IF YOU ARE      
  UNSURE ON HOW TO PROVIDE THIS      
  LEVEL OF DATA TO BROADRIDGE      
  OUTSIDE OF PROXYEDGE, PLEASE      
  SPEAK TO YOUR DEDICATED CLIENT      
  SERVICE REPRESENTATIVE FOR      
  ASSISTANCE      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 258 of 261  

 

Unassigned

WOLTERS KLUWER N.V.
Security: N9643A197 Agenda Number: 713679174
Ticker:   Meeting Type: AGM
ISIN: NL0000395903 Meeting Date: 22-Apr-21

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
CMMT PLEASE NOTE THAT BENEFICIAL OWNER Non-Voting    
  DETAILS IS REQUIRED FOR THIS      
  MEETING. IF NO BENEFICIAL OWNER      
  DETAILS IS PROVIDED, YOUR      
  INSTRUCTION MAY BE REJECTED. THANK      
  YOU.      
CMMT PLEASE NOTE THAT SHAREHOLDER Non-Voting    
  DETAILS ARE REQUIRED TO VOTE AT      
  THIS MEETING. IF NO SHAREHOLDER      
  DETAILS ARE PROVIDED, YOUR      
  INSTRUCTION MAY CARRY A      
  HEIGHTENED RISK OF BEING REJECTED.      
  THANK YOU      
CMMT PLEASE NOTE THAT THIS IS AN Non-Voting    
  AMENDMENT TO MEETING ID 528968 DUE      
  TO RECEIPT OF UPDATED AGENDA. ALL      
  VOTES RECEIVED ON THE PREVIOUS      
  MEETING WILL BE DISREGARDED AND      
  YOU WILL NEED TO REINSTRUCT ON      
  THIS MEETING NOTICE. THANK YOU      
         
1. OPENING Non-Voting    
         
2. 2020 ANNUAL REPORT Non-Voting    
         
2.a. REPORT OF THE EXECUTIVE BOARD FOR 2020 Non-Voting    
         
2.b. REPORT OF THE SUPERVISORY BOARD FOR 2020 Non-Voting    

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 259 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
2.c. ADVISORY VOTE ON THE Mgmt For For
  REMUNERATION REPORT AS INCLUDED      
  IN THE 2020 ANNUAL REPORT      
         
3. 2020 FINANCIAL STATEMENTS AND Non-Voting    
  DIVIDEND      
         
3.a. PROPOSAL TO ADOPT THE FINANCIAL Mgmt For For
  STATEMENTS FOR 2020 AS INCLUDED IN      
  THE 2020 ANNUAL REPORT      
         
3.b. EXPLANATION OF DIVIDEND POLICY Non-Voting    
         
3.c. PROPOSAL TO DISTRIBUTE A TOTAL Mgmt For For
  DIVIDEND OF 1.36 PER ORDINARY      
  SHARE, RESULTING IN A FINAL DIVIDEND      
  OF 0.89 PER ORDINARY SHARE      
         
4. RELEASE OF THE MEMBERS OF THE Non-Voting    
  EXECUTIVE BOARD AND THE      
  SUPERVISORY BOARD FROM LIABILITY      
  FOR THE EXERCISE OF THEIR      
  RESPECTIVE DUTIES      
         
4.a. PROPOSAL TO RELEASE THE MEMBERS Mgmt For For
  OF THE EXECUTIVE BOARD FOR THE      
  EXERCISE OF THEIR DUTIES      
         
4.b. PROPOSAL TO RELEASE THE MEMBERS Mgmt For For
  OF THE SUPERVISORY BOARD FOR THE      
  EXERCISE OF THEIR DUTIES      
         
5. COMPOSITION SUPERVISORY BOARD Non-Voting    
         
5.a. PROPOSAL TO REAPPOINT MR. FRANS Mgmt For For
  CREMERS AS MEMBER OF THE      
  SUPERVISORY BOARD      

 

 

 

 

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 260 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
5.b. PROPOSAL TO REAPPOINT MS. ANN Mgmt For For
  ZIEGLER AS MEMBER OF THE      
  SUPERVISORY BOARD      
         
6. PROPOSAL TO REAPPOINT MR. KEVIN Mgmt For For
  ENTRICKEN AS MEMBER OF THE      
  EXECUTIVE BOARD      
         
7. PROPOSAL TO ADOPT THE Mgmt For For
  REMUNERATION POLICY FOR THE      
  MEMBERS OF THE EXECUTIVE BOARD      
         
8. PROPOSAL TO EXTEND THE AUTHORITY Non-Voting    
  OF THE EXECUTIVE BOARD      
         
8.a. TO ISSUE SHARES AND/OR GRANT Mgmt For For
  RIGHTS TO SUBSCRIBE FOR SHARES      
         
8.b. TO RESTRICT OR EXCLUDE STATUTORY Mgmt For For
  PRE-EMPTION RIGHTS      
         
9. PROPOSAL TO AUTHORIZE THE Mgmt For For
  EXECUTIVE BOARD TO ACQUIRE SHARES      
  IN THE COMPANY      
         
10. PROPOSAL TO CANCEL SHARES Mgmt For For
         
11. ANY OTHER BUSINESS Non-Voting    
         
12. CLOSING Non-Voting    

 

 

 

      

Investment Company Report

 

Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 Report Date: 29-Jul-2021  
      Page 261 of 261  

  

         
Prop. # Proposal Proposed Proposal Vote For/Against
    by   Management's
        Recommendation
         
CMMT INTERMEDIARY CLIENTS ONLY - PLEASE Non-Voting    
  NOTE THAT IF YOU ARE CLASSIFIED AS      
  AN INTERMEDIARY CLIENT UNDER THE      
  SHAREHOLDER RIGHTS DIRECTIVE II,      
  YOU SHOULD BE PROVIDING THE      
  UNDERLYING SHAREHOLDER      
  INFORMATION AT THE VOTE      
  INSTRUCTION LEVEL. IF YOU ARE      
  UNSURE ON HOW TO PROVIDE THIS      
  LEVEL OF DATA TO BROADRIDGE      
  OUTSIDE OF PROXYEDGE, PLEASE      
  SPEAK TO YOUR DEDICATED CLIENT      
  SERVICE REPRESENTATIVE FOR      
  ASSISTANCE      

 

 

 

 

 

 

SIGNATURES

 

 

Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

OSI ETF Trust

 

By: /s/ Kevin Beadles
  Kevin Beadles
  President

 

Date: August 13, 2021