0000894189-20-006766.txt : 20200821 0000894189-20-006766.hdr.sgml : 20200821 20200821152012 ACCESSION NUMBER: 0000894189-20-006766 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200630 FILED AS OF DATE: 20200821 DATE AS OF CHANGE: 20200821 EFFECTIVENESS DATE: 20200821 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TRUST FOR PROFESSIONAL MANAGERS CENTRAL INDEX KEY: 0001141819 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-10401 FILM NUMBER: 201123170 BUSINESS ADDRESS: STREET 1: U.S. BANCORP FUND SERVICES LLC STREET 2: 615 EAST MICHIGAN ST 2ND FLOOR CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 4147655067 MAIL ADDRESS: STREET 1: U.S. BANCORP FUND SERVICES LLC STREET 2: 615 EAST MICHIGAN ST 2ND FLOOR CITY: MILWAUKEE STATE: WI ZIP: 53202 FORMER COMPANY: FORMER CONFORMED NAME: ZODIAC TRUST DATE OF NAME CHANGE: 20010601 0001141819 S000028010 Barrett Growth Fund C000085208 Barrett Growth Fund BGRWX N-PX 1 tpm-barrett_npx.txt ANNUAL REPORT FOR N-PX 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: 811-10401 NAME OF REGISTRANT: Trust for Professional Managers ADDRESS OF PRINCIPAL EXECUTIVE OFFICES: 615 East Michigan Street Milwaukee, WI 53202 NAME AND ADDRESS OF AGENT FOR SERVICE: Jay Fitton U.S. Bancorp Fund Services, LLC 615 East Michigan Street Milwaukee, WI 53202 REGISTRANT'S TELEPHONE NUMBER: 513-629-8104 DATE OF FISCAL YEAR END: 05/31 DATE OF REPORTING PERIOD: 07/01/2019 - 06/30/2020 Barrett Growth Fund -------------------------------------------------------------------------------------------------------------------------- ACCENTURE PLC Agenda Number: 935116118 -------------------------------------------------------------------------------------------------------------------------- Security: G1151C101 Meeting Type: Annual Meeting Date: 30-Jan-2020 Ticker: ACN ISIN: IE00B4BNMY34 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Re-appointment of Director: Jaime Ardila Mgmt For For 1B. Re-appointment of Director: Herbert Hainer Mgmt For For 1C. Re-appointment of Director: Nancy McKinstry Mgmt For For 1D. Re-appointment of Director: Gilles C. Mgmt For For Pelisson 1E. Re-appointment of Director: Paula A. Price Mgmt For For 1F. Re-appointment of Director: Venkata Mgmt For For (Murthy) Renduchintala 1G. Re-appointment of Director: David Rowland Mgmt For For 1H. Re-appointment of Director: Arun Sarin Mgmt For For 1I. Re-appointment of Director: Julie Sweet Mgmt For For 1J. Re-appointment of Director: Frank K. Tang Mgmt For For 1K. Re-appointment of Director: Tracey T. Mgmt For For Travis 2. To approve, in a non-binding vote, the Mgmt For For compensation of our named executive officers. 3. To approve the Amended and Restated Mgmt For For Accenture plc 2010 Share Incentive Plan. 4. 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. 5. To grant the Board of Directors the Mgmt For For authority to issue shares under Irish law. 6. To grant the Board of Directors the Mgmt For For authority to opt-out of pre-emption rights under Irish law. 7. To determine the price range at which Mgmt For For Accenture can re-allot shares that it acquires as treasury shares under Irish law. -------------------------------------------------------------------------------------------------------------------------- ALIBABA GROUP HOLDING LIMITED Agenda Number: 935052302 -------------------------------------------------------------------------------------------------------------------------- Security: 01609W102 Meeting Type: Annual Meeting Date: 15-Jul-2019 Ticker: BABA ISIN: US01609W1027 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Effect an increase in the number of Mgmt For For authorized Ordinary Shares to 32,000,000,000 and effect a one-to-eight share subdivision of the Company's Ordinary Shares. 2.1 Election of Director for a three year term: Mgmt For For DANIEL ZHANG 2.2 Election of Director for a three year term: Mgmt For For CHEE HWA TUNG 2.3 Election of Director for a three year term: Mgmt For For JERRY YANG 2.4 Election of Director for a three year term: Mgmt For For WAN LING MARTELLO 3. Ratify the appointment of Mgmt For For PricewaterhouseCoopers as the independent registered public accounting firm of the Company. -------------------------------------------------------------------------------------------------------------------------- ALPHABET INC. Agenda Number: 935196762 -------------------------------------------------------------------------------------------------------------------------- Security: 02079K305 Meeting Type: Annual Meeting Date: 03-Jun-2020 Ticker: GOOGL ISIN: US02079K3059 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Larry Page Mgmt For For Sergey Brin Mgmt For For Sundar Pichai Mgmt For For John L. Hennessy Mgmt For For Frances H. Arnold Mgmt For For L. John Doerr Mgmt For For Roger W. Ferguson, Jr. Mgmt For For Ann Mather Mgmt For For Alan R. Mulally Mgmt For For K. Ram Shriram Mgmt For For Robin L. Washington Mgmt For For 2. Ratification of the appointment of Ernst & Mgmt For For Young LLP as Alphabet's independent registered public accounting firm for the fiscal year ending December 31, 2020. 3. An amendment to Alphabet's Amended and Mgmt For For Restated 2012 Stock Plan to increase the share reserve by 8,500,000 shares of Class C capital stock. 4. Advisory vote to approve named executive Mgmt For For officer compensation. 5. A stockholder proposal regarding equal Shr Against For shareholder voting, if properly presented at the meeting. 6. A stockholder proposal regarding a report Shr Against For on arbitration of employment-related claims, if properly presented at the meeting. 7. A stockholder proposal regarding the Shr Against For establishment of a human rights risk oversight committee, if properly presented at the meeting. 8. A stockholder proposal regarding Shr Against For non-binding vote on amendment of bylaws, if properly presented at the meeting. 9. A stockholder proposal regarding a report Shr Against For on sustainability metrics, if properly presented at the meeting. 10. A stockholder proposal regarding a report Shr Against For on takedown requests, if properly presented at the meeting. 11. A stockholder proposal regarding majority Shr Against For vote for election of directors, if properly presented at the meeting. 12. A stockholder proposal regarding a report Shr Against For on gender/racial pay equity, if properly presented at the meeting. 13. A stockholder proposal regarding the Shr Against For nomination of human rights and/or civil rights expert to the board, if properly presented at the meeting. 14. A stockholder proposal regarding a report Shr Against For on whistleblower policies and practices, if properly presented at the meeting -------------------------------------------------------------------------------------------------------------------------- AMAZON.COM, INC. Agenda Number: 935186305 -------------------------------------------------------------------------------------------------------------------------- Security: 023135106 Meeting Type: Annual Meeting Date: 27-May-2020 Ticker: AMZN ISIN: US0231351067 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of director: Jeffrey P. Bezos Mgmt For For 1B. Election of director: Rosalind G. Brewer Mgmt For For 1C. Election of director: Jamie S. Gorelick Mgmt For For 1D. Election of director: Daniel P. Mgmt For For Huttenlocher 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. Mgmt For For Rubinstein 1H. Election of director: Thomas O. Ryder Mgmt For For 1I. Election of director: Patricia Q. Mgmt For For Stonesifer 1J. Election of director: Wendell P. Weeks Mgmt For For 2. RATIFICATION OF THE APPOINTMENT OF ERNST & Mgmt For For YOUNG LLP AS INDEPENDENT AUDITORS 3. ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt For For COMPENSATION 4. APPROVAL OF AMENDMENT TO RESTATED Mgmt For For CERTIFICATE OF INCORPORATION TO LOWER STOCK OWNERSHIP THRESHOLD FOR SHAREHOLDERS TO REQUEST A SPECIAL MEETING 5. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr Against For EFFECTS OF FOOD WASTE 6. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr Against For CUSTOMER USE OF CERTAIN TECHNOLOGIES 7. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr Against For POTENTIAL CUSTOMER MISUSE OF CERTAIN TECHNOLOGIES 8. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr Against For EFFORTS TO RESTRICT CERTAIN PRODUCTS 9. SHAREHOLDER PROPOSAL REQUESTING A MANDATORY Shr Against For INDEPENDENT BOARD CHAIR POLICY 10. SHAREHOLDER PROPOSAL REQUESTING AN Shr Against For ALTERNATIVE REPORT ON GENDER/RACIAL PAY 11. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr Against For CERTAIN COMMUNITY IMPACTS 12. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr Against For VIEWPOINT DISCRIMINATION 13. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr Against For PROMOTION DATA 14. SHAREHOLDER PROPOSAL REQUESTING AN Shr Against For ADDITIONAL REDUCTION IN THRESHOLD FOR CALLING SPECIAL SHAREHOLDER MEETINGS 15. SHAREHOLDER PROPOSAL REQUESTING A SPECIFIC Shr Against For SUPPLY CHAIN REPORT FORMAT 16. SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL Shr Against For REPORTING ON LOBBYING -------------------------------------------------------------------------------------------------------------------------- APPLE INC. Agenda Number: 935121563 -------------------------------------------------------------------------------------------------------------------------- Security: 037833100 Meeting Type: Annual Meeting Date: 26-Feb-2020 Ticker: AAPL ISIN: US0378331005 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 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: Ron Sugar Mgmt For For 1G. Election of Director: Sue Wagner Mgmt For For 2. Ratification of the appointment of Ernst & Mgmt For For Young LLP as Apple's independent registered public accounting firm for 2020 3. Advisory vote to approve executive Mgmt For For compensation 4. A shareholder proposal entitled Shr Against For "Shareholder Proxy Access Amendments" 5. A shareholder proposal relating to Shr Against For sustainability and executive compensation 6. A shareholder proposal relating to policies Shr Against For on freedom of expression -------------------------------------------------------------------------------------------------------------------------- BERKSHIRE HATHAWAY INC. Agenda Number: 935144105 -------------------------------------------------------------------------------------------------------------------------- Security: 084670702 Meeting Type: Annual Meeting Date: 02-May-2020 Ticker: BRKB ISIN: US0846707026 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Warren E. Buffett Mgmt For For Charles T. Munger Mgmt For For Gregory E. Abel Mgmt For For Howard G. Buffett Mgmt For For Stephen B. Burke Mgmt For For Kenneth I. Chenault Mgmt For For Susan L. Decker Mgmt For For David S. Gottesman Mgmt For For Charlotte Guyman Mgmt For For Ajit Jain Mgmt For For Thomas S. Murphy Mgmt For For Ronald L. Olson Mgmt For For Walter Scott, Jr. Mgmt For For Meryl B. Witmer Mgmt For For 2. Non-binding resolution to approve the Mgmt For For compensation of the Company's Named Executive Officers, as described in the 2020 Proxy Statement. 3. Non-binding resolution to determine the Mgmt 3 Years For frequency (whether annual, biennial or triennial) with which shareholders of the Company shall be entitled to have an advisory vote on executive compensation. 4. Shareholder proposal regarding diversity. Shr Against For -------------------------------------------------------------------------------------------------------------------------- BLACKBAUD, INC. Agenda Number: 935190049 -------------------------------------------------------------------------------------------------------------------------- Security: 09227Q100 Meeting Type: Annual Meeting Date: 10-Jun-2020 Ticker: BLKB ISIN: US09227Q1004 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Class A Director: Timothy Chou, Mgmt For For Ph.D. 1B. Election of Class A Director: Joyce M. Mgmt For For Nelson 2. ADVISORY VOTE TO APPROVE THE 2019 Mgmt For For COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. 3. RATIFICATION OF THE APPOINTMENT OF Mgmt For For PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2020. -------------------------------------------------------------------------------------------------------------------------- COSTCO WHOLESALE CORPORATION Agenda Number: 935114087 -------------------------------------------------------------------------------------------------------------------------- Security: 22160K105 Meeting Type: Annual Meeting Date: 22-Jan-2020 Ticker: COST ISIN: US22160K1051 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Susan L. Decker Mgmt For For Richard A. Galanti Mgmt For For Sally Jewell Mgmt For For Charles T. Munger Mgmt For For 2. Ratification of selection of independent Mgmt For For auditors. 3. Approval, on an advisory basis, of Mgmt For For executive compensation. 4. Approval to amend Articles of Incorporation Mgmt For For to permit removal of directors without cause. 5. Shareholder proposal regarding a director Shr Against For skills matrix and disclosure of director ideological perspectives. -------------------------------------------------------------------------------------------------------------------------- DANAHER CORPORATION Agenda Number: 935150615 -------------------------------------------------------------------------------------------------------------------------- Security: 235851102 Meeting Type: Annual Meeting Date: 05-May-2020 Ticker: DHR ISIN: US2358511028 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Linda Hefner Filler Mgmt For For 1B. Election of Director: Thomas P. Joyce, Jr. Mgmt For For 1C. Election of Director: Teri List-Stoll Mgmt For For 1D. Election of Director: Walter G. Lohr, Jr. Mgmt For For 1E. Election of Director: Jessica L. Mega, MD, Mgmt For For MPH 1F. Election of Director: Pardis C. Sabeti, MD, Mgmt For For D. Phil. 1G. Election of Director: Mitchell P. Rales Mgmt For For 1H. Election of Director: Steven M. Rales Mgmt For For 1I. Election of Director: John T. Schwieters Mgmt For For 1J. Election of Director: Alan G. Spoon Mgmt For For 1K. Election of Director: Raymond C. Stevens, Mgmt For For Ph.D. 1L. Election of Director: Elias A. Zerhouni, MD Mgmt For For 2. To ratify the selection of Ernst & Young Mgmt For For LLP as Danaher's independent registered public accounting firm for the year ending December 31, 2020 3. To approve on an advisory basis the Mgmt For For Company's named executive officer compensation 4. To act upon a shareholder proposal Shr Against For requesting that Danaher amend its governing documents to reduce the percentage of shares required for shareholders to call a special meeting of shareholders from 25% to 10% -------------------------------------------------------------------------------------------------------------------------- DUNKIN' BRANDS GROUP, INC. Agenda Number: 935161517 -------------------------------------------------------------------------------------------------------------------------- Security: 265504100 Meeting Type: Annual Meeting Date: 13-May-2020 Ticker: DNKN ISIN: US2655041000 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Linda Boff Mgmt For For 1B. Election of Director: Irene Chang Britt Mgmt For For 1C. Election of Director: Michael Hines Mgmt For For 2. To approve, on an advisory basis, the Mgmt For For compensation paid by Dunkin' Brands to its named executive officers. 3. To ratify the appointment of KPMG LLP as Mgmt For For Dunkin' Brands independent registered public accounting firm for the current fiscal year ending December 26, 2020. -------------------------------------------------------------------------------------------------------------------------- ECOLAB INC. Agenda Number: 935147795 -------------------------------------------------------------------------------------------------------------------------- Security: 278865100 Meeting Type: Annual Meeting Date: 07-May-2020 Ticker: ECL ISIN: US2788651006 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Douglas M. Baker, Jr. Mgmt For For 1B. Election of Director: Shari L. Ballard Mgmt For For 1C. Election of Director: Barbara J. Beck Mgmt For For 1D. Election of Director: Jeffrey M. Ettinger Mgmt For For 1E. Election of Director: Arthur J. Higgins Mgmt For For 1F. Election of Director: Michael Larson Mgmt For For 1G. Election of Director: David W. MacLennan Mgmt For For 1H. Election of Director: Tracy B. McKibben Mgmt For For 1I. Election of Director: Lionel L. Nowell, III Mgmt For For 1J. Election of Director: Victoria J. Reich Mgmt For For 1K. Election of Director: Suzanne M. Vautrinot Mgmt For For 1L. Election of Director: John J. Zillmer Mgmt For For 2. Ratify the appointment of Mgmt For For PricewaterhouseCoopers LLP as independent registered public accounting firm for the current year ending December 31, 2020. 3. Advisory vote to approve the compensation Mgmt For For of executives disclosed in the Proxy Statement. 4. Stockholder proposal regarding proxy Shr Against For access, if properly presented. -------------------------------------------------------------------------------------------------------------------------- FACEBOOK, INC. Agenda Number: 935178221 -------------------------------------------------------------------------------------------------------------------------- Security: 30303M102 Meeting Type: Annual Meeting Date: 27-May-2020 Ticker: FB ISIN: US30303M1027 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Peggy Alford Mgmt For For Marc L. Andreessen Mgmt For For Andrew W. Houston Mgmt For For Nancy Killefer Mgmt For For Robert M. Kimmitt Mgmt For For Sheryl K. Sandberg Mgmt For For Peter A. Thiel Mgmt For For Tracey T. Travis Mgmt For For Mark Zuckerberg Mgmt For For 2. To ratify the appointment of Ernst & Young Mgmt For For LLP as Facebook, Inc.'s independent registered public accounting firm for the fiscal year ending December 31, 2020. 3. To approve the director compensation Mgmt For For policy. 4. A stockholder proposal regarding change in Shr For Against stockholder voting. 5. A stockholder proposal regarding an Shr Against For independent chair. 6. A stockholder proposal regarding majority Shr Against For voting for directors. 7. A stockholder proposal regarding political Shr Against For advertising. 8. A stockholder proposal regarding Shr Against For human/civil rights expert on board. 9. A stockholder proposal regarding report on Shr Against For civil and human rights risks. 10. A stockholder proposal regarding child Shr Against For exploitation. 11. A stockholder proposal regarding median Shr Against For gender/racial pay gap. -------------------------------------------------------------------------------------------------------------------------- FIDELITY NAT'L INFORMATION SERVICES,INC. Agenda Number: 935051538 -------------------------------------------------------------------------------------------------------------------------- Security: 31620M106 Meeting Type: Special Meeting Date: 24-Jul-2019 Ticker: FIS ISIN: US31620M1062 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To approve the issuance of shares of common Mgmt For For stock of Fidelity National Information Services, Inc., which we refer to as FIS, in connection with the transactions contemplated by the Agreement and Plan of Merger, dated March 17, 2019, as it may be amended from time to time, by and among FIS, Wrangler Merger Sub, Inc., a wholly-owned subsidiary of FIS, and Worldpay, Inc., which proposal we refer to as the FIS share issuance proposal. 2. To approve an amendment to the articles of Mgmt For For incorporation of FIS to increase the number of authorized shares of common stock of FIS from 600,000,000 to 750,000,000, effective only immediately prior to consummation of the merger, which proposal we refer to as the FIS articles amendment proposal. 3. To adjourn the FIS special meeting, if Mgmt For For necessary or appropriate, to solicit additional proxies if, immediately prior to such adjournment, sufficient votes to approve the FIS share issuance proposal or the FIS articles amendment proposal have not been obtained by FIS, which proposal we refer to as the FIS adjournment proposal. -------------------------------------------------------------------------------------------------------------------------- FIDELITY NAT'L INFORMATION SERVICES,INC. Agenda Number: 935171203 -------------------------------------------------------------------------------------------------------------------------- Security: 31620M106 Meeting Type: Annual Meeting Date: 28-May-2020 Ticker: FIS ISIN: US31620M1062 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Lee Adrean Mgmt For For 1B. Election of Director: Ellen R. Alemany Mgmt For For 1C. Election of Director: Lisa A. Hook Mgmt For For 1D. Election of Director: Keith W. Hughes Mgmt For For 1E. Election of Director: Gary L. Lauer Mgmt For For 1F. Election of Director: Gary A. Norcross Mgmt For For 1G. Election of Director: Louise M. Parent Mgmt For For 1H. Election of Director: Brian T. Shea Mgmt For For 1I. Election of Director: James B. Stallings, Mgmt For For Jr. 1J. Election of Director: Jeffrey E. Stiefler Mgmt For For 2. Advisory vote on Fidelity National Mgmt For For Information Services, Inc. executive compensation. 3. To ratify the appointment of KPMG LLP as Mgmt For For our independent registered public accounting firm for 2020. -------------------------------------------------------------------------------------------------------------------------- FIRST AMERICAN FUNDS, INC. Agenda Number: 935065246 -------------------------------------------------------------------------------------------------------------------------- Security: 31846V567 Meeting Type: Special Meeting Date: 29-Aug-2019 Ticker: FGZXX ISIN: US31846V5672 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR David K. Baumgardner Mgmt For For Mark E. Gaumond Mgmt For For Roger A. Gibson Mgmt For For Jennifer J. McPeek Mgmt For For C. David Myers Mgmt For For Richard K. Riederer Mgmt For For P. Kelly Tompkins Mgmt For For -------------------------------------------------------------------------------------------------------------------------- FIRST REPUBLIC BANK Agenda Number: 935159978 -------------------------------------------------------------------------------------------------------------------------- Security: 33616C100 Meeting Type: Annual Meeting Date: 12-May-2020 Ticker: FRC ISIN: US33616C1009 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: James H. Herbert, II Mgmt For For 1B. Election of Director: Katherine Mgmt For For August-deWilde 1C. Election of Director: Hafize Gaye Erkan Mgmt For For 1D. Election of Director: Frank J. Fahrenkopf, Mgmt For For Jr. 1E. Election of Director: Boris Groysberg Mgmt For For 1F. Election of Director: Sandra R. Hernandez Mgmt For For 1G. Election of Director: Pamela J. Joyner Mgmt For For 1H. Election of Director: Reynold Levy Mgmt For For 1I. Election of Director: Duncan L. Niederauer Mgmt For For 1J. Election of Director: George G.C. Parker Mgmt For For 2. To ratify the appointment of KPMG LLP as Mgmt For For the independent auditor of First Republic Bank for the fiscal year ending December 31, 2020. 3. To approve the amendments to the First Mgmt For For Republic Bank 2017 Omnibus Award Plan. 4. To approve, by advisory (non-binding) vote, Mgmt For For the compensation of our executive officers ("say on pay" vote). -------------------------------------------------------------------------------------------------------------------------- JOHNSON & JOHNSON Agenda Number: 935137934 -------------------------------------------------------------------------------------------------------------------------- Security: 478160104 Meeting Type: Annual Meeting Date: 23-Apr-2020 Ticker: JNJ ISIN: US4781601046 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 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 1L. Election of Director: Mark A. Weinberger Mgmt For For 1M. Election of Director: Ronald A. Williams Mgmt For For 2. Advisory Vote to Approve Named Executive Mgmt For For Officer Compensation. 3. Ratification of Appointment of Mgmt For For PricewaterhouseCoopers LLP as the Independent Registered Public Accounting Firm for 2020. 4. Amendment to the Restated Certificate of Mgmt For For Incorporation to Permit Removal of Directors Without Cause. 5. Independent Board Chair Shr Against For 6. Report on Governance of Opioids-Related Shr Against For Risks -------------------------------------------------------------------------------------------------------------------------- JPMORGAN CHASE & CO. Agenda Number: 935170833 -------------------------------------------------------------------------------------------------------------------------- Security: 46625H100 Meeting Type: Annual Meeting Date: 19-May-2020 Ticker: JPM ISIN: US46625H1005 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 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: Lee R. Raymond Mgmt For For 1J. Election of Director: Virginia M. Rometty Mgmt For For 2. Advisory resolution to approve executive Mgmt For For compensation 3. Ratification of independent registered Mgmt For For public accounting firm 4. Independent board chairman Shr Against For 5. Oil and gas company and project financing Shr Against For related to the Arctic and the Canadian oil sands 6. Climate change risk reporting Shr Against For 7. Amend shareholder written consent Shr For Against provisions 8. Charitable contributions disclosure Shr For Against 9. Gender/Racial pay equity Shr For Against -------------------------------------------------------------------------------------------------------------------------- MCDONALD'S CORPORATION Agenda Number: 935171190 -------------------------------------------------------------------------------------------------------------------------- Security: 580135101 Meeting Type: Annual Meeting Date: 21-May-2020 Ticker: MCD ISIN: US5801351017 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director for a one-year term Mgmt For For expiring in 2021: Lloyd Dean 1B. Election of Director for a one-year term Mgmt For For expiring in 2021: Robert Eckert 1C. Election of Director for a one-year term Mgmt For For expiring in 2021: Catherine Engelbert 1D. Election of Director for a one-year term Mgmt For For expiring in 2021: Margaret Georgiadis 1E. Election of Director for a one-year term Mgmt For For expiring in 2021: Enrique Hernandez, Jr. 1F. Election of Director for a one-year term Mgmt For For expiring in 2021: Christopher Kempczinski 1G. Election of Director for a one-year term Mgmt For For expiring in 2021: Richard Lenny 1H. Election of Director for a one-year term Mgmt For For expiring in 2021: John Mulligan 1I. Election of Director for a one-year term Mgmt For For expiring in 2021: Sheila Penrose 1J. Election of Director for a one-year term Mgmt For For expiring in 2021: John Rogers, Jr. 1K. Election of Director for a one-year term Mgmt For For expiring in 2021: Paul Walsh 1L. Election of Director for a one-year term Mgmt For For expiring in 2021: Miles White 2. Advisory vote to approve executive Mgmt For For compensation. 3. Advisory vote to approve the appointment of Mgmt For For Ernst & Young LLP as independent auditor for 2020. 4. Vote to approve the Company's Amended and Mgmt For For Restated 2012 Omnibus Stock Ownership Plan. 5. Advisory vote on a shareholder proposal Shr Against For requesting to change the thresholds to call special shareholder meetings, if properly presented. 6. Advisory vote on a shareholder proposal Shr Against For requesting the Board issue a report on sugar and public health, if properly presented. -------------------------------------------------------------------------------------------------------------------------- MERCK & CO., INC. Agenda Number: 935176431 -------------------------------------------------------------------------------------------------------------------------- Security: 58933Y105 Meeting Type: Annual Meeting Date: 26-May-2020 Ticker: MRK ISIN: US58933Y1055 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Leslie A. Brun Mgmt For For 1B. Election of Director: Thomas R. Cech Mgmt For For 1C. Election of Director: Mary Ellen Coe Mgmt For For 1D. Election of Director: Pamela J. Craig Mgmt For For 1E. Election of Director: Kenneth C. Frazier Mgmt For For 1F. Election of Director: Thomas H. Glocer Mgmt For For 1G. Election of Director: Risa Lavizzo-Mourey 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 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 2020. 4. Shareholder proposal concerning shareholder Shr Against For right to act by written consent. 5. Shareholder proposal regarding allocation Shr Against For of corporate tax savings. -------------------------------------------------------------------------------------------------------------------------- MICROSOFT CORPORATION Agenda Number: 935092849 -------------------------------------------------------------------------------------------------------------------------- Security: 594918104 Meeting Type: Annual Meeting Date: 04-Dec-2019 Ticker: MSFT ISIN: US5949181045 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: William H. Gates III Mgmt For For 1B. Election of Director: Reid G. Hoffman Mgmt For For 1C. Election of Director: Hugh F. Johnston Mgmt For For 1D. Election of Director: Teri L. List-Stoll Mgmt For For 1E. Election of Director: Satya Nadella Mgmt For For 1F. Election of Director: Sandra E. Peterson Mgmt For For 1G. Election of Director: Penny S. Pritzker Mgmt For For 1H. Election of Director: Charles W. Scharf Mgmt For For 1I. Election of Director: Arne M. Sorenson Mgmt For For 1J. Election of Director: John W. Stanton Mgmt For For 1K. Election of Director: John W. Thompson Mgmt For For 1L. Election of Director: Emma Walmsley Mgmt For For 1M. 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 Mgmt For For our independent auditor for fiscal year 2020 4. Shareholder Proposal - Report on Employee Shr Against For Representation on Board of Directors 5. Shareholder Proposal - Report on Gender Pay Shr Against For Gap -------------------------------------------------------------------------------------------------------------------------- NVIDIA CORPORATION Agenda Number: 935196445 -------------------------------------------------------------------------------------------------------------------------- Security: 67066G104 Meeting Type: Annual Meeting Date: 09-Jun-2020 Ticker: NVDA ISIN: US67066G1040 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Robert K. Burgess Mgmt For For 1B. Election of Director: Tench Coxe Mgmt For For 1C. Election of Director: Persis S. Drell Mgmt For For 1D. Election of Director: Jen-Hsun Huang Mgmt For For 1E. Election of Director: Dawn Hudson Mgmt For For 1F. Election of Director: Harvey C. Jones Mgmt For For 1G. Election of Director: Michael G. McCaffery Mgmt For For 1H. Election of Director: Stephen C. Neal Mgmt For For 1I. Election of Director: Mark L. Perry Mgmt For For 1J. Election of Director: A. Brooke Seawell Mgmt For For 1K. Election of Director: Mark A. Stevens Mgmt For For 2. Approval of our executive compensation. Mgmt For For 3. Ratification of the selection of Mgmt For For PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2021. 4. Approval of an amendment and restatement of Mgmt For For our Amended and Restated 2007 Equity Incentive Plan. 5. Approval of an amendment and restatement of Mgmt For For our Amended and Restated 2012 Employee Stock Purchase Plan. -------------------------------------------------------------------------------------------------------------------------- PAYPAL HOLDINGS, INC. Agenda Number: 935170869 -------------------------------------------------------------------------------------------------------------------------- Security: 70450Y103 Meeting Type: Annual Meeting Date: 21-May-2020 Ticker: PYPL ISIN: US70450Y1038 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Rodney C. Adkins Mgmt For For 1B. Election of Director: Jonathan Christodoro Mgmt For For 1C. Election of Director: John J. Donahoe Mgmt For For 1D. Election of Director: David W. Dorman Mgmt For For 1E. Election of Director: Belinda J. Johnson Mgmt For For 1F. Election of Director: Gail J. McGovern Mgmt For For 1G. Election of Director: Deborah M. Messemer Mgmt For For 1H. Election of Director: David M. Moffett Mgmt For For 1I. Election of Director: Ann M. Sarnoff Mgmt For For 1J. Election of Director: Daniel H. Schulman Mgmt For For 1K. Election of Director: Frank D. Yeary Mgmt For For 2. Advisory vote to approve named executive Mgmt For For officer compensation. 3. Ratification of the appointment of Mgmt For For PricewaterhouseCoopers LLP as our independent auditor for 2020. 4. Stockholder Proposal - Stockholder right to Shr For Against act by written consent. 5. Stockholder Proposal - Human and indigenous Shr For Against peoples' rights. -------------------------------------------------------------------------------------------------------------------------- PEPSICO, INC. Agenda Number: 935148901 -------------------------------------------------------------------------------------------------------------------------- Security: 713448108 Meeting Type: Annual Meeting Date: 06-May-2020 Ticker: PEP ISIN: US7134481081 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Shona L. Brown Mgmt For For 1B. Election of Director: Cesar Conde Mgmt For For 1C. Election of Director: Ian Cook Mgmt For For 1D. Election of Director: Dina Dublon Mgmt For For 1E. Election of Director: Richard W. Fisher 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: David C. Page Mgmt For For 1I. Election of Director: Robert C. Pohlad Mgmt For For 1J. Election of Director: Daniel Vasella Mgmt For For 1K. Election of Director: Darren Walker Mgmt For For 1L. Election of Director: Alberto Weisser Mgmt For For 2. Ratification of the appointment of KPMG LLP Mgmt For For as the Company's independent registered public accounting firm for fiscal year 2020. 3. Advisory approval of the Company's Mgmt For For executive compensation. 4. Shareholder Proposal - Reduce Ownership Shr Against For Threshold to Call Special Shareholder Meetings. 5. SHAREHOLDER PROPOSAL - REPORT ON SUGAR AND Shr Against For PUBLIC HEALTH. -------------------------------------------------------------------------------------------------------------------------- REGENERON PHARMACEUTICALS, INC. Agenda Number: 935196279 -------------------------------------------------------------------------------------------------------------------------- Security: 75886F107 Meeting Type: Annual Meeting Date: 12-Jun-2020 Ticker: REGN ISIN: US75886F1075 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: N. Anthony Coles, Mgmt For For M.D. 1B. Election of Director: Joseph L. Goldstein, Mgmt For For M.D. 1C. Election of Director: Christine A. Poon Mgmt For For 1D. Election of Director: P. Roy Vagelos, M.D. Mgmt For For 1E. Election of Director: Huda Y. Zoghbi, M.D. Mgmt For For 2. Ratification of the appointment of Mgmt For For PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020. 3. Proposal to approve the Second Amended and Mgmt For For Restated Regeneron Pharmaceuticals, Inc. 2014 Long-Term Incentive Plan. 4. Proposal to approve, on an advisory basis, Mgmt For For executive compensation. -------------------------------------------------------------------------------------------------------------------------- STARBUCKS CORPORATION Agenda Number: 935125066 -------------------------------------------------------------------------------------------------------------------------- Security: 855244109 Meeting Type: Annual Meeting Date: 18-Mar-2020 Ticker: SBUX ISIN: US8552441094 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Richard E. Allison, Mgmt For For Jr. 1B. Election of Director: Rosalind G. Brewer 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: Jorgen Vig Knudstorp Mgmt For For 1I. Election of Director: Satya Nadella Mgmt For For 1J. Election of Director: Joshua Cooper Ramo Mgmt For For 1K. Election of Director: Clara Shih Mgmt For For 1L. Election of Director: Javier G. Teruel Mgmt For For 1M. Election of Director: Myron E. Ullman, III Mgmt For For 2. Advisory resolution to approve our Mgmt For For executive officer compensation 3. Ratification of selection of Deloitte & Mgmt For For Touche LLP as our independent registered public accounting firm for fiscal 2020 4. EEO Policy Risk Report Shr Against For -------------------------------------------------------------------------------------------------------------------------- STRYKER CORPORATION Agenda Number: 935153673 -------------------------------------------------------------------------------------------------------------------------- Security: 863667101 Meeting Type: Annual Meeting Date: 05-May-2020 Ticker: SYK ISIN: US8636671013 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Mary K. Brainerd Mgmt For For 1B. Election of Director: Srikant M. Datar, Mgmt For For Ph.D. 1C. Election of Director: Roch Doliveux, DVM Mgmt For For 1D. Election of Director: Allan C. Golston(Lead Mgmt For For Independent Director) 1E. Election of Director: Kevin A. Mgmt For For Lobo(Chairman of the Board) 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 2. Ratify appointment of Ernst & Young LLP as Mgmt For For our independent registered public accounting firm for 2020. 3. Advisory vote to approve named executive Mgmt For For officer compensation. 4. Non-management employee representation on Mgmt Against For the Board of Directors. -------------------------------------------------------------------------------------------------------------------------- TETRA TECH, INC. Agenda Number: 935122111 -------------------------------------------------------------------------------------------------------------------------- Security: 88162G103 Meeting Type: Annual Meeting Date: 26-Feb-2020 Ticker: TTEK ISIN: US88162G1031 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 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 2020. -------------------------------------------------------------------------------------------------------------------------- THE PROGRESSIVE CORPORATION Agenda Number: 935171556 -------------------------------------------------------------------------------------------------------------------------- Security: 743315103 Meeting Type: Annual Meeting Date: 08-May-2020 Ticker: PGR ISIN: US7433151039 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Philip Bleser Mgmt For For 1B. Election of Director: Stuart B. Burgdoerfer Mgmt For For 1C. Election of Director: Pamela J. Craig Mgmt For For 1D. Election of Director: Charles A. Davis Mgmt For For 1E. Election of Director: Roger N. Farah Mgmt For For 1F. Election of Director: Lawton W. Fitt Mgmt For For 1G. Election of Director: Susan Patricia Mgmt For For Griffith 1H. Election of Director: Jeffrey D. Kelly Mgmt For For 1I. Election of Director: Patrick H. Nettles, Mgmt For For Ph.D. 1J. Election of Director: Barbara R. Snyder Mgmt For For 1K. Election of Director: Jan E. Tighe Mgmt For For 1L. Election of Director: Kahina Van Dyke Mgmt For For 2. Cast an advisory vote to approve our Mgmt For For executive compensation program. 3. Ratify the appointment of Mgmt For For PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2020. -------------------------------------------------------------------------------------------------------------------------- THE TJX COMPANIES, INC. Agenda Number: 935195633 -------------------------------------------------------------------------------------------------------------------------- Security: 872540109 Meeting Type: Annual Meeting Date: 09-Jun-2020 Ticker: TJX ISIN: US8725401090 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Zein Abdalla Mgmt For For 1B. Election of Director: Alan M. Bennett Mgmt For For 1C. Election of Director: Rosemary T. Berkery Mgmt For For 1D. Election of Director: David T. Ching Mgmt For For 1E. Election of Director: Ernie Herrman Mgmt For For 1F. Election of Director: Michael F. Hines Mgmt For For 1G. Election of Director: Amy B. Lane Mgmt For For 1H. Election of Director: Carol Meyrowitz Mgmt For For 1I. Election of Director: Jackwyn L. Nemerov Mgmt For For 1J. Election of Director: John F. O'Brien Mgmt For For 1K. Election of Director: Willow B. Shire Mgmt For For 2. Ratification of appointment of Mgmt For For PricewaterhouseCoopers as TJX's independent registered public accounting firm for fiscal 2021 3. Advisory approval of TJX's executive Mgmt For For compensation (the say-on-pay vote) 4. Shareholder proposal for a report on Shr Against For reduction in chemical footprint 5. Shareholder proposal for a report on animal Shr Against For welfare 6. Shareholder proposal for setting target Shr Against For amounts for CEO compensation 7. Shareholder proposal for disclosure Shr Against For regarding executive share retention -------------------------------------------------------------------------------------------------------------------------- THE WALT DISNEY COMPANY Agenda Number: 935125648 -------------------------------------------------------------------------------------------------------------------------- Security: 254687106 Meeting Type: Annual Meeting Date: 11-Mar-2020 Ticker: DIS ISIN: US2546871060 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Susan E. Arnold Mgmt For For 1B. Election of Director: Mary T. Barra Mgmt For For 1C. Election of Director: Safra A. Catz Mgmt For For 1D. Election of Director: Francis A. deSouza Mgmt For For 1E. Election of Director: Michael B.G. Froman Mgmt For For 1F. Election of Director: Robert A. Iger Mgmt For For 1G. Election of Director: Maria Elena Mgmt For For Lagomasino 1H. Election of Director: Mark G. Parker Mgmt For For 1I. Election of Director: Derica W. Rice Mgmt For For 2. To ratify the appointment of Mgmt For For PricewaterhouseCoopers LLP as the Company's registered public accountants for fiscal 2020. 3. To approve the advisory resolution on Mgmt For For executive compensation. 4. To approve an amendment to the Company's Mgmt For For Amended and Restated 2011 Stock Incentive Plan. 5. Shareholder proposal requesting an annual Shr Against For report disclosing information regarding the Company's lobbying policies and activities. -------------------------------------------------------------------------------------------------------------------------- THERMO FISHER SCIENTIFIC INC. Agenda Number: 935170136 -------------------------------------------------------------------------------------------------------------------------- Security: 883556102 Meeting Type: Annual Meeting Date: 20-May-2020 Ticker: TMO ISIN: US8835561023 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Marc N. Casper Mgmt For For 1B. Election of Director: Nelson J. Chai Mgmt For For 1C. Election of Director: C. Martin Harris Mgmt For For 1D. Election of Director: Tyler Jacks Mgmt For For 1E. Election of Director: Judy C. Lewent Mgmt For For 1F. Election of Director: Thomas J. Lynch Mgmt For For 1G. Election of Director: Jim P. Manzi Mgmt For For 1H. Election of Director: James C. Mullen Mgmt For For 1I. Election of Director: Lars R. Sorensen Mgmt For For 1J. Election of Director: Debora L. Spar Mgmt For For 1K. Election of Director: Scott M. Sperling Mgmt For For 1L. Election of Director: Dion J. Weisler Mgmt For For 2. An advisory vote to approve named executive Mgmt For For officer compensation. 3. Ratification of the Audit Committee's Mgmt For For selection of PricewaterhouseCoopers LLP as the Company's independent auditors for 2020. -------------------------------------------------------------------------------------------------------------------------- TRANSUNION Agenda Number: 935161163 -------------------------------------------------------------------------------------------------------------------------- Security: 89400J107 Meeting Type: Annual Meeting Date: 12-May-2020 Ticker: TRU ISIN: US89400J1079 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To amend and restate our Amended and Mgmt For For Restated Certificate of Incorporation (Charter) to declassify the Board of Directors over the next three years such that all directors will stand for election on an annual basis beginning with the 2022 Annual Meeting of Stockholders. 2A. To amend and restate our Charter to Mgmt For For eliminate the supermajority voting requirements relating to: Amendments to the Charter and Bylaws. 2B. To amend and restate our Charter to Mgmt For For eliminate the supermajority voting requirements relating to: Removal of directors. 3. To amend and restate our Charter to remove Mgmt For For the corporate opportunity waiver provisions of the Charter. 4. To amend and restate our Charter to remove Mgmt For For certain rights, privileges and protections included in the Charter relating to former significant stockholders of TransUnion that have expired by their terms and to make other technical revisions to the Charter. 5A. Election of Director: Suzanne P. Clark Mgmt For For 5B. Election of Director: Kermit R. Crawford Mgmt For For 5C. Election of Director: Thomas L. Monahan, Mgmt For For III 6. To amend and restate our 2015 Omnibus Mgmt For For Incentive Plan to, among other things, increase the number of shares authorized for issuance by 7 million shares and extend the term of our plan through the tenth anniversary of the date of such amendment and restatement. 7. Ratification of appointment of Mgmt For For PricewaterhouseCoopers LLP as TransUnion's independent registered public accounting firm for the fiscal year ending December 31, 2020. -------------------------------------------------------------------------------------------------------------------------- VERISK ANALYTICS INC Agenda Number: 935160515 -------------------------------------------------------------------------------------------------------------------------- Security: 92345Y106 Meeting Type: Annual Meeting Date: 20-May-2020 Ticker: VRSK ISIN: US92345Y1064 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Christopher M. Mgmt For For Foskett 1B. Election of Director: David B. Wright Mgmt For For 1C. Election of Director: Annell R. Bay Mgmt For For 2. To approve executive compensation on an Mgmt For For advisory, non-binding basis. 3. To ratify the appointment of Deloitte & Mgmt For For Touche LLP as our independent auditor for the 2020 fiscal year. -------------------------------------------------------------------------------------------------------------------------- VERTEX PHARMACEUTICALS INCORPORATED Agenda Number: 935199883 -------------------------------------------------------------------------------------------------------------------------- Security: 92532F100 Meeting Type: Annual Meeting Date: 03-Jun-2020 Ticker: VRTX ISIN: US92532F1003 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Sangeeta Bhatia Mgmt For For 1B. Election of Director: Lloyd Carney Mgmt For For 1C. Election of Director: Alan Garber Mgmt For For 1D. Election of Director: Terrence Kearney Mgmt For For 1E. Election of Director: Reshma Kewalramani Mgmt For For 1F. Election of Director: Yuchun Lee Mgmt For For 1G. Election of Director: Jeffrey Leiden Mgmt For For 1H. Election of Director: Margaret McGlynn Mgmt For For 1I. Election of Director: Diana McKenzie Mgmt For For 1J. Election of Director: Bruce Sachs Mgmt For For 2. Ratification of Ernst & Young LLP as our Mgmt For For independent Registered Public Accounting firm for the year ending December 31, 2020. 3. Advisory vote on named executive officer Mgmt For For compensation. 4. Shareholder proposal, if properly presented Shr Against For at the meeting, requesting that we prepare a report on our policies and activities with respect to lobbying. -------------------------------------------------------------------------------------------------------------------------- VISA INC. Agenda Number: 935113807 -------------------------------------------------------------------------------------------------------------------------- Security: 92826C839 Meeting Type: Annual Meeting Date: 28-Jan-2020 Ticker: V ISIN: US92826C8394 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 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 Fernandez-Carbajal 1D. Election of Director: Alfred F. Kelly, Jr. Mgmt For For 1E. Election of Director: Ramon L. 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: John A. C. Swainson Mgmt For For 1K. Election of Director: Maynard G. Webb, Jr. Mgmt For For 2. Advisory vote to approve executive Mgmt For For compensation. 3. Ratification of the appointment of KPMG LLP Mgmt For For as our independent registered public accounting firm for the 2020 fiscal year. -------------------------------------------------------------------------------------------------------------------------- ZOETIS INC. Agenda Number: 935169905 -------------------------------------------------------------------------------------------------------------------------- Security: 98978V103 Meeting Type: Annual Meeting Date: 20-May-2020 Ticker: ZTS ISIN: US98978V1035 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Gregory Norden Mgmt For For 1B. Election of Director: Louise M. Parent Mgmt For For 1C. Election of Director: Kristin C. Peck Mgmt For For 1D. Election of Director: Robert W. Scully Mgmt For For 2. Advisory vote to approve our executive Mgmt For For compensation (Say on Pay). 3. Advisory vote on the frequency of future Mgmt 1 Year For advisory votes on executive compensation (Say on Pay frequency). 4. Ratification of appointment of KPMG LLP as Mgmt For For our independent registered public accounting firm for 2020. * Management position unknown
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. (Registrant) Trust for Professional Managers By (Signature) /s/ John Buckel Name John Buckel Title President Date 08/06/2020