0001445546-18-003551.txt : 20180803 0001445546-18-003551.hdr.sgml : 20180803 20180803162352 ACCESSION NUMBER: 0001445546-18-003551 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180803 DATE AS OF CHANGE: 20180803 EFFECTIVENESS DATE: 20180803 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST SERIES FUND CENTRAL INDEX KEY: 0001497778 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-22452 FILM NUMBER: 18992126 BUSINESS ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 0001497778 S000030198 First Trust Preferred Securities and Income Fund C000092932 Class A FPEAX C000092933 Class C FPECX C000092934 Class F FPEFX C000092935 Class I FPEIX C000092936 Class R3 FPERX 0001497778 S000030199 First Trust/Confluence Small Cap Value Fund C000092938 Class A FOVAX C000092939 Class C FOVCX C000092941 Class I FOVIX 0001497778 S000038285 First Trust Short Duration High Income Fund C000118178 Class A FDHAX C000121471 Class C FDHCX C000121472 Class I FDHIX 0001497778 S000051546 First Trust AQA Equity Fund C000162221 Class A AQAAX C000162222 Class C AQACX C000162223 Class I AQAIX N-PX 1 ftseries_npx.txt VOTING SUMMARY UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-PX ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act File No. 811-22452 FIRST TRUST SERIES FUND ------------------------------------------------------------- Exact Name of Registrant as Specified in Declaration of Trust 120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187 ------------------------------------------------------------------------------ Address of Principal Executive Offices (Number, Street, City, State, Zip Code) W. Scott Jardine First Trust Portfolios L.P. 120 East Liberty Drive, Suite 400 Wheaton, Illinois 60187 ----------------------------------------------------------------------------- Name and Address (Number, Street, City, State, Zip Code) of Agent for Service (630) 765-8000 -------------------------------------------------- Registrant's Telephone Number, including Area Code Date of fiscal year end: October 31 ------------ Date of reporting period: July 1, 2017 - June 30, 2018 ---------------------------- 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 (ss.ss. 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, 100 F Street, N.E., Washington D.C. 20549. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. Section 3507. Item 1. Proxy Voting Record ================= First Trust Short Duration High Income Fund ================== VISTRA ENERGY CORP. Ticker: VST Security ID: 92840M102 Meeting Date: MAR 02, 2018 Meeting Type: Special Record Date: JAN 19, 2018 # Proposal Mgt Rec Vote Cast Sponsor 1 Approve Merger Agreement For For Management 2 Issue Shares in Connection with For For Management Acquisition 3 Adjourn Meeting For For Management -------------------------------------------------------------------------------- VISTRA ENERGY CORP. Ticker: VST Security ID: 92840M102 Meeting Date: MAY 01, 2018 Meeting Type: Annual Record Date: MAR 23, 2018 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Hilary E. Ackermann For For Management 1.2 Elect Director Brian K. Ferraioli For Withhold Management 1.3 Elect Director Jeff D. Hunter For Withhold Management 2.1 Elect Director Brian K. Ferraioli For Withhold Management 2.2 Elect Director Jeff D. Hunter For Withhold Management 3 Advisory Vote to Ratify Named For For Management Executive Officers' Compensation 4 Advisory Vote on Say on Pay Frequency One Year One Year Management 5 Ratify Deloitte & Touche LLP as For For Management Auditors - 1 - ======================= First Trust AQA(R) Equity Fund =======================
Abiomed Inc. -------------------------------------------------------------------------------- Ticker ABMD Provider Security ID 003654100 Meeting Date 09-Aug-17 Meeting Type Annual Record Date 12-Jun-17 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Dorothy E. Puhy For For Voted Mgmt Elect Paul G. Thomas For For Voted Mgmt Elect Christopher D. Van Gorder For For Voted Mgmt ADVISORY VOTE ON EXECUTIVE For For Voted COMPENSATION Mgmt Frequency of Advisory Vote on 1 Year 1 Year Voted Executive Compensation Mgmt Ratification of Auditor For For Voted
Affiliated Managers Group, Inc. -------------------------------------------------------------------------------- Ticker AMG Provider Security ID 008252108 Meeting Date 12-Jun-18 Meeting Type Annual Record Date 16-Apr-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Samuel T. Byrne For For Voted Mgmt Elect Dwight D. Churchill For For Voted Mgmt Elect Glenn Earle For For Voted Mgmt Elect Niall Ferguson For For Voted Mgmt Elect Sean M. Healey For For Voted Mgmt Elect Tracy P. Palandjian For For Voted Mgmt Elect Patrick T. Ryan For For Voted Mgmt Elect Karen Yerburgh For For Voted Mgmt Elect Jide J. Zeitlin For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation Mgmt Ratification of Auditor For For Voted Mgmt Elect Nathaniel Dalton For For Voted
Alliance Data Systems Corporation -------------------------------------------------------------------------------- Ticker ADS Provider Security ID 018581108 Meeting Date 06-Jun-18 Meeting Type Annual Record Date 09-Apr-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Bruce K. Anderson For For Voted Mgmt Elect Roger H. Ballou For For Voted Mgmt Elect Kelly J. Barlow For For Voted Mgmt Elect E. Linn Draper, Jr. For For Voted Mgmt Elect Edward J. Heffernan For For Voted Mgmt Elect Kenneth R. Jensen For For Voted Mgmt Elect Robert A. Minicucci For For Voted Mgmt Elect Timothy J. Theriault For For Voted Mgmt Elect Laurie A. Tucker For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation Mgmt Ratification of Auditor For For Voted
Altria Group, Inc. -------------------------------------------------------------------------------- Ticker MO Provider Security ID 02209S103 Meeting Date 17-May-18 Meeting Type Annual Record Date 26-Mar-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect John T. Casteen III For For Voted Mgmt Elect Dinyar S. Devitre For For Voted Mgmt Elect Thomas F. Farrell II For For Voted Mgmt Elect Debra J. Kelly-Ennis For For Voted Mgmt Elect W. Leo Kiely III For For Voted Mgmt Elect Kathryn B. McQuade For For Voted Mgmt Elect George Munoz For For Voted Mgmt Elect Mark E. Newman For For Voted Mgmt Elect Nabil Y. Sakkab For For Voted Mgmt Elect Virginia E. Shanks For For Voted Mgmt Elect Howard Willard III For For Voted Mgmt Ratification of Auditor For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation ShrHoldr Shareholder Proposal Regarding Against Against Voted Nicotine Levels in Tobacco Products
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Applied Optoelectronics, Inc. -------------------------------------------------------------------------------- Ticker AAOI Provider Security ID 03823U102 Meeting Date 08-Jun-18 Meeting Type Annual Record Date 13-Apr-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect William H. Yeh For For Voted Mgmt Elect Alex Ignatiev For For Voted Mgmt Ratification of Auditor For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation Mgmt Frequency of Advisory Vote on 1 Year 1 Year Voted Executive Compensation
Bed Bath & Beyond Inc. -------------------------------------------------------------------------------- Ticker BBBY Provider Security ID 075896100 Meeting Date 29-Jun-18 Meeting Type Annual Record Date 04-May-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Warren Eisenberg For For Voted Mgmt Elect Leonard Feinstein For For Voted Mgmt Elect Steven H. Temares For For Voted Mgmt Elect Dean S. Adler For For Voted Mgmt Elect Stanley F. Barshay For For Voted Mgmt Elect Stephanie Bell-Rose For For Voted Mgmt Elect Klaus Eppler For For Voted Mgmt Elect Patrick R. Gaston For For Voted Mgmt Elect Jordan Heller For For Voted Mgmt Elect Victoria A. Morrison For Against Voted Mgmt Elect Johnathan Osborne For For Voted Mgmt Elect Virginia P. Ruesterholz For For Voted Mgmt Ratification of Auditor For For Voted Mgmt Advisory Vote on Executive For Against Voted Compensation Mgmt Approval of 2018 Incentive For For Voted Compensation Plan
BJ's Restaurants, Inc. -------------------------------------------------------------------------------- Ticker BJRI Provider Security ID 09180C106 Meeting Date 06-Jun-18 Meeting Type Annual Record Date 19-Apr-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Peter A. Bassi For For Voted Mgmt Elect Larry D. Bouts For For Voted Mgmt Elect James A. Dal Pozzo For Withhold Voted Mgmt Elect Gerald W. Deitchle For For Voted Mgmt Elect Noah Elbogen For For Voted Mgmt Elect Lea Anne S. Ottinger For For Voted Mgmt Elect Gregory A. Trojan For For Voted Mgmt Elect Patrick Walsh For Withhold Voted Mgmt Advisory Vote on Executive For For Voted Compensation Mgmt Ratification of Auditor For For Voted
Boise Cascade Company -------------------------------------------------------------------------------- Ticker BCC Provider Security ID 09739D100 Meeting Date 03-May-18 Meeting Type Annual Record Date 06-Mar-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Thomas K. Corrick For For Voted Mgmt Elect Richard H. Fleming For For Voted Mgmt Elect Mack L. Hogans For For Voted Mgmt Elect Christopher J. McGowan For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation Mgmt Ratification of Auditor For For Voted
Boyd Gaming Corp. -------------------------------------------------------------------------------- Ticker BYD Provider Security ID US1033041013 Meeting Date 12-Apr-18 Meeting Type Annual Record Date 02-Mar-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect John R. Bailey For For Voted Mgmt Elect Robert L. Boughner For Withhold Voted Mgmt Elect William R. Boyd For Withhold Voted Mgmt Elect William S. Boyd For For Voted Mgmt Elect Richard E. Flaherty For For Voted Mgmt Elect Marianne Boyd Johnson For For Voted Mgmt Elect Keith E. Smith For For Voted Mgmt Elect Christine J. Spadafor For For Voted Mgmt Elect Peter M. Thomas For For Voted Mgmt Elect Paul W. Whetsell For For Voted Mgmt Elect Veronica J. Wilson For For Voted Mgmt Ratification of Auditor For For Voted
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Cal-Maine Foods, Inc. -------------------------------------------------------------------------------- Ticker CALM Provider Security ID 128030202 Meeting Date 06-Oct-17 Meeting Type Annual Record Date 11-Aug-17 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Adolphus B. Baker For Withhold Voted Mgmt Elect Timothy A. Dawson For Withhold Voted Mgmt Elect Letitia C. Hughes For For Voted Mgmt Elect Sherman Miller For For Voted Mgmt Elect James E. Poole For For Voted Mgmt Elect Steve W. Sanders For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation Mgmt Frequency of Advisory Vote on 3 Years 1 Year Voted Executive Compensation Mgmt Ratification of Auditor For For Voted
Callaway Golf Company -------------------------------------------------------------------------------- Ticker ELY Provider Security ID 131193104 Meeting Date 08-May-18 Meeting Type Annual Record Date 12-Mar-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Oliver G. Brewer III For For Voted Mgmt Elect Ronald S. Beard For For Voted Mgmt Elect Samuel H. Armacost For For Voted Mgmt Elect John C. Cushman, III For For Voted Mgmt Elect John F. Lundgren For For Voted Mgmt Elect Adebayo O. Ogunlesi For For Voted Mgmt Elect Linda B. Segre For For Voted Mgmt Elect Anthony S. Thornley For For Voted Mgmt Ratification of Auditor For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation
Cognex Corporation -------------------------------------------------------------------------------- Ticker CGNX Provider Security ID 192422103 Meeting Date 25-Apr-18 Meeting Type Annual Record Date 02-Mar-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Eugene Banucci For For Voted Mgmt Elect Jerry A. Schneider For For Voted Mgmt Elect Dianne M. Parrotte For For Voted Mgmt Increase of Authorized Common Stock For For Voted Mgmt Amendment to the 2001 Stock Option For Against Voted Plan Mgmt Ratification of Auditor For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation
Cognizant Technology Solutions Corporation -------------------------------------------------------------------------------- Ticker CTSH Provider Security ID 192446102 Meeting Date 05-Jun-18 Meeting Type Annual Record Date 09-Apr-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Zein Abdalla For For Voted Mgmt Elect Betsy Atkins For For Voted Mgmt Elect Maureen Breakiron-Evans For For Voted Mgmt Elect Jonathan Chadwick For For Voted Mgmt Elect John M. Dineen For For Voted Mgmt Elect Francisco D'Souza For For Voted Mgmt Elect John N. Fox, Jr. For For Voted Mgmt Elect John E. Klein For For Voted Mgmt Elect Leo S. Mackay, Jr. For For Voted Mgmt Elect Michael Patsalos-Fox For For Voted Mgmt Elect Joseph M. Velli For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation Mgmt Ratification of Auditor For For Voted Mgmt Amendment to the 2004 Employee For For Voted Stock Purchase Plan Mgmt Elimination of Supermajority For For Voted Requirement for Amendments to Bylaws Mgmt Elimination of Supermajority For For Voted Requirement for Removal of Directors Mgmt Elimination of Supermajority For For Voted Requirement to Amend Certain Provisions of Certificate of Incorporation ShrHoldr Shareholder Proposal Regarding Against For Voted Right to Act by Written Consent ShrHoldr Shareholder Proposal Regarding Against For Voted Right to Call Special Meetings
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Dana Incorporated -------------------------------------------------------------------------------- Ticker DAN Provider Security ID 235825205 Meeting Date 26-Apr-18 Meeting Type Annual Record Date 26-Feb-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Rachel A. Gonzalez For For Voted Mgmt Elect James K. Kamsickas For For Voted Mgmt Elect Virginia A. Kamsky For For Voted Mgmt Elect Raymond E. Mabus, Jr. For For Voted Mgmt Elect Michael J. Mack, Jr. For For Voted Mgmt Elect R. Bruce McDonald For For Voted Mgmt Elect Diarmuid B. O'Connell For For Voted Mgmt Elect Keith E. Wandell For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation Mgmt Ratification of Auditor For For Voted Mgmt Elimination of Supermajority For For Voted Requirement ShrHoldr Shareholder Proposal Regarding Against For Voted Right to Call Special Meetings
Dave & Buster's Entertainment, Inc. -------------------------------------------------------------------------------- Ticker PLAY Provider Security ID 238337109 Meeting Date 14-Jun-18 Meeting Type Annual Record Date 20-Apr-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Victor L. Crawford For For Voted Mgmt Elect Hamish A. Dodds For For Voted Mgmt Elect Michael J. Griffith For For Voted Mgmt Elect Jonathan S. Halkyard For For Voted Mgmt Elect Stephen M. King For For Voted Mgmt Elect Patricia H. Mueller For For Voted Mgmt Elect Kevin M. Sheehan For For Voted Mgmt Elect Jennifer Storms For For Voted Mgmt Ratification of Auditor For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation
Delta Air Lines, Inc. -------------------------------------------------------------------------------- Ticker DAL Provider Security ID 247361702 Meeting Date 29-Jun-18 Meeting Type Annual Record Date 02-May-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Edward H. Bastian For For Voted Mgmt Elect Francis S. Blake For For Voted Mgmt Elect Daniel A. Carp For For Voted Mgmt Elect Ashton B. Carter For For Voted Mgmt Elect David G. DeWalt For For Voted Mgmt Elect William H. Easter III For For Voted Mgmt Elect Michael P. Huerta For For Voted Mgmt Elect Jeanne P. Jackson For For Voted Mgmt Elect George N. Mattson For For Voted Mgmt Elect Douglas R Ralph For For Voted Mgmt Elect Sergio A. L. Rial For For Voted Mgmt Elect Kathy N. Waller For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation Mgmt Ratification of Auditor For For Voted
Facebook, Inc. -------------------------------------------------------------------------------- Ticker FB Provider Security ID 30303M102 Meeting Date 31-May-18 Meeting Type Annual Record Date 06-Apr-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Marc L. Andreessen For Withhold Voted Mgmt Elect Erskine B. Bowles For Withhold Voted Mgmt Elect Kenneth I. Chenault For For Voted Mgmt Elect Susan D. Desmond-Hellmann For Withhold Voted Mgmt Elect Reed Hastings For For Voted Mgmt Elect Jan Koum For Withhold Voted Mgmt Elect Sheryl K. Sandberg For For Voted Mgmt Elect Peter A. Thiel For For Voted Mgmt Elect Mark Zuckerberg For For Voted Mgmt Ratification of Auditor For For Voted ShrHoldr Shareholder Proposal Regarding Against For Voted Recapitalization ShrHoldr Shareholder Proposal Regarding Against For Voted Formation of a Risk Oversight Committee ShrHoldr Shareholder Proposal Regarding Against For Voted Simple Majority Vote ShrHoldr Shareholder Proposal Regarding a Against For Voted Report on the Efficacy of Enforcement of Content Policies ShrHoldr Shareholder Proposal Regarding Against Against Voted Gender Pay Equity Report ShrHoldr Shareholder Proposal Regarding Tax Against Against Voted Policy Principles
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Hawaiian Holdings, Inc. -------------------------------------------------------------------------------- Ticker HA Provider Security ID 419879101 Meeting Date 23-May-18 Meeting Type Annual Record Date 26-Mar-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Donald J. Carty For For Voted Mgmt Elect Abhinav Dhar For For Voted Mgmt Elect Earl E. Fry For For Voted Mgmt Elect Lawrence S. Hershfield For For Voted Mgmt Elect Peter R. Ingram For For Voted Mgmt Elect Randall L. Jenson For For Voted Mgmt Elect Crystal K. Rose For For Voted Mgmt Elect Richard N. Zwern For For Voted Mgmt Ratification of Auditor For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation
HCA Healthcare, Inc. -------------------------------------------------------------------------------- Ticker HCA Provider Security ID 40412C101 Meeting Date 26-Apr-18 Meeting Type Annual Record Date 07-Mar-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect R. Milton Johnson For For Voted Mgmt Elect Robert J. Dennis For Against Voted Mgmt Elect Nancy-Ann DeParle For For Voted Mgmt Elect Thomas F. Frist III For For Voted Mgmt Elect William R. Frist For For Voted Mgmt Elect Charles O. Holliday, Jr. For For Voted Mgmt Elect Ann H. Lamont For For Voted Mgmt Elect Geoffrey G. Meyers For For Voted Mgmt Elect Michael W. Michelson For For Voted Mgmt Elect Wayne J. Riley For For Voted Mgmt Elect John W. Rowe For For Voted Mgmt Ratification of Auditor For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation Mgmt Frequency of Advisory Vote on 1 Year 1 Year Voted Executive Compensation
Jacobs Engineering Group Inc. -------------------------------------------------------------------------------- Ticker JEC Provider Security ID 469814107 Meeting Date 17-Jan-18 Meeting Type Annual Record Date 22-Nov-17 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Joseph R. Bronson For For Voted Mgmt Elect Juan Jose Suarez Coppel For For Voted Mgmt Elect Robert C. Davidson, Jr. For For Voted Mgmt Elect Steven J. Demetriou For For Voted Mgmt Elect Ralph E. Eberhart For For Voted Mgmt Elect Dawne S. Hickton For For Voted Mgmt Elect Linda Fayne Levinson For For Voted Mgmt Elect Robert A. McNamara For For Voted Mgmt Elect Peter J. Robertson For For Voted Mgmt Elect Chris M.T. Thompson For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation Mgmt Ratification of Auditor For For Voted
KB Home -------------------------------------------------------------------------------- Ticker KBH Provider Security ID 48666K109 Meeting Date 12-Apr-18 Meeting Type Annual Record Date 09-Feb-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Dorene C. Dominguez For For Voted Mgmt Elect Timothy W. Finchem For For Voted Mgmt Elect Stuart A. Gabriel For For Voted Mgmt Elect Thomas W. Gilligan For For Voted Mgmt Elect Kenneth M. Jastrow II For For Voted Mgmt Elect Robert L. Johnson For Against Voted Mgmt Elect Melissa Lora For For Voted Mgmt Elect Jeffrey T. Mezger For For Voted Mgmt Elect James C. Weaver For For Voted Mgmt Elect Michael M. Wood For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation Mgmt Amendment to Shareholder Rights Plan For For Voted Mgmt Ratification of Auditor For For Voted
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Louisiana-Pacific Corporation -------------------------------------------------------------------------------- Ticker LPX Provider Security ID 546347105 Meeting Date 04-May-18 Meeting Type Annual Record Date 08-Mar-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Ozey K. Horton, Jr. For For Voted Mgmt Elect W. Bradley Southern For For Voted Mgmt Ratification of Auditor For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation
Masimo Corporation -------------------------------------------------------------------------------- Ticker MASI Provider Security ID 574795100 Meeting Date 31-May-18 Meeting Type Annual Record Date 02-Apr-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Joe Kiani For For Voted Mgmt Elect Thomas Harkin For Against Voted Mgmt Ratification of Auditor For For Voted Mgmt Advisory Vote on Executive For Against Voted Compensation
Monolithic Power Systems, Inc. -------------------------------------------------------------------------------- Ticker MPWR Provider Security ID 609839105 Meeting Date 14-Jun-18 Meeting Type Annual Record Date 17-Apr-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Eugen Elmiger For For Voted Mgmt Elect Jeff Zhou For For Voted Mgmt Ratification of Auditor For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation
MSCI Inc. -------------------------------------------------------------------------------- Ticker MSCI Provider Security ID 55354G100 Meeting Date 10-May-18 Meeting Type Annual Record Date 14-Mar-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Henry A. Fernandez For For Voted Mgmt Elect Robert G. Ashe For For Voted Mgmt Elect Benjamin F. duPont For For Voted Mgmt Elect Wayne Edmunds For For Voted Mgmt Elect Alice W. Handy For For Voted Mgmt Elect Catherine R. Kinney For For Voted Mgmt Elect Wendy E. Lane For For Voted Mgmt Elect Jacques P. Perold For For Voted Mgmt Elect Linda H. Riefler For For Voted Mgmt Elect George W. Siguler For For Voted Mgmt Elect Marcus L. Smith For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation Mgmt Ratification of Auditor For For Voted
Nautilus, Inc. -------------------------------------------------------------------------------- Ticker NLS Provider Security ID 63910B102 Meeting Date 26-Apr-18 Meeting Type Annual Record Date 08-Mar-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Ronald P. Badie For For Voted Mgmt Elect Bruce M. Cazenave For For Voted Mgmt Elect Richard A. Horn For For Voted Mgmt Elect M. Carl Johnson, III For For Voted Mgmt Elect Anne G. Saunders For For Voted Mgmt Elect Marvin G. Siegert For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation Mgmt Ratification of Auditor For For Voted
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Old Dominion Freight Line, Inc. -------------------------------------------------------------------------------- Ticker ODFL Provider Security ID 679580100 Meeting Date 16-May-18 Meeting Type Annual Record Date 08-Mar-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Earl E. Congdon For For Voted Mgmt Elect David S. Congdon For For Voted Mgmt Elect Sherry A. Aaholm For For Voted Mgmt Elect John R. Congdon, Jr. For Withhold Voted Mgmt Elect Robert G. Culp, III For For Voted Mgmt Elect Bradley R. Gabosch For For Voted Mgmt Elect Greg C. Gantt For For Voted Mgmt Elect Patrick D. Hanley For For Voted Mgmt Elect John D. Kasarda For For Voted Mgmt Elect Leo H. Suggs For For Voted Mgmt Elect D. Michael Wray For For Voted Mgmt Advisory Vote on Executive For Against Voted Compensation Mgmt Ratification of Auditor For For Voted
Saia, Inc. -------------------------------------------------------------------------------- Ticker SAIA Provider Security ID 78709Y105 Meeting Date 26-Apr-18 Meeting Type Annual Record Date 07-Mar-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Di-Ann Eisnor For For Voted Mgmt Elect William F. Evans For For Voted Mgmt Elect Herbert A. Trucksess, III For For Voted Mgmt Elect Jeffrey C. Ward For For Voted Mgmt Approval of the 2018 Omnibus For For Voted Incentive Plan Mgmt Advisory Vote on Executive For For Voted Compensation Mgmt Ratification of Auditor For For Voted
Skechers U.S.A., Inc. -------------------------------------------------------------------------------- Ticker SKX Provider Security ID 830566105 Meeting Date 22-May-18 Meeting Type Annual Record Date 23-Mar-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Robert Greenberg For For Voted Mgmt Elect Morton D. Erlich For Withhold Voted Mgmt Elect Thomas Walsh For For Voted
Southwest Airlines Co. -------------------------------------------------------------------------------- Ticker LUV Provider Security ID 844741108 Meeting Date 16-May-18 Meeting Type Annual Record Date 20-Mar-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect David W. Biegler For For Voted Mgmt Elect J. Veronica Biggins For For Voted Mgmt Elect Douglas H. Brooks For For Voted Mgmt Elect William H. Cunningham For For Voted Mgmt Elect John G. Denison For For Voted Mgmt Elect Thomas W. Gilligan For For Voted Mgmt Elect Gary C. Kelly For For Voted Mgmt Elect Grace D. Lieblein For For Voted Mgmt Elect Nancy B. Loeffler For For Voted Mgmt Elect John T. Montford For For Voted Mgmt Elect Ron Ricks For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation Mgmt Ratification of Auditor For For Voted ShrHoldr Shareholder Proposal Regarding Against Against Voted Independent Board Chair ShrHoldr Shareholder Proposal Regarding Against For Voted Right to Act by Written Consent
Steven Madden, Ltd. -------------------------------------------------------------------------------- Ticker SHOO Provider Security ID 556269108 Meeting Date 25-May-18 Meeting Type Annual Record Date 29-Mar-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Edward R. Rosenfeld For For Voted Mgmt Elect Rose Peabody Lynch For For Voted Mgmt Elect Mitchell S. Klipper For For Voted Mgmt Elect Peter Migliorini For Withhold Voted Mgmt Elect Richard P. Randall For For Voted Mgmt Elect Ravi Sachdev For For Voted Mgmt Elect Thomas H. Schwartz For Withhold Voted Mgmt Elect Robert Smith For For Voted Mgmt Elect Amelia Newton Varela For For Voted Mgmt Ratification of Auditor For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation
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Synnex Corp -------------------------------------------------------------------------------- Ticker SNX Provider Security ID 87162W100 Meeting Date 20-Mar-18 Meeting Type Annual Record Date 06-Feb-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Dwight A. Steffensen For For Voted Mgmt Elect Kevin M. Murai For For Voted Mgmt Elect Dennis Polk For For Voted Mgmt Elect Fred A. Breidenbach For For Voted Mgmt Elect LEE Hau Leung For For Voted Mgmt Elect MIAU Matthew Feng-Chiang For Withhold Voted Mgmt Elect Gregory Quesnel For For Voted Mgmt Elect Ann Vezina For For Voted Mgmt Elect Thomas Wurster For For Voted Mgmt Elect Duane E. Zitzner For For Voted Mgmt Elect Andrea M. Zulberti For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation Mgmt Amendment to the 2013 Stock For For Voted Incentive Plan Mgmt Ratification of Auditor For For Voted
TiVo Corporation -------------------------------------------------------------------------------- Ticker TIVO Provider Security ID 88870P106 Meeting Date 09-May-18 Meeting Type Annual Record Date 12-Mar-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Alan L. Earhart For For Voted Mgmt Elect Eddy W. Hartenstein For For Voted Mgmt Elect Jeffrey T. Hinson For For Voted Mgmt Elect James E. Meyer For For Voted Mgmt Elect Daniel Moloney For For Voted Mgmt Elect Raghavendra Rau For For Voted Mgmt Elect Enrique Rodriguez For For Voted Mgmt Elect Glenn W. Welling For For Voted Mgmt Ratification of Auditor For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation
Toll Brothers Inc. -------------------------------------------------------------------------------- Ticker TOL Provider Security ID 889478103 Meeting Date 13-Mar-18 Meeting Type Annual Record Date 19-Jan-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Robert I. Toll For For Voted Mgmt Elect Douglas C. Yearley, Jr. For For Voted Mgmt Elect Edward G. Boehne For For Voted Mgmt Elect Richard J. Braemer For For Voted Mgmt Elect Christine N. Garvey For For Voted Mgmt Elect Carl B. Marbach For For Voted Mgmt Elect John A. McLean For For Voted Mgmt Elect Stephen A. Novick For For Voted Mgmt Elect Wendell E Prichett For For Voted Mgmt Elect Paul E. Shapiro For For Voted Mgmt Ratification of Auditor For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation
Trex Company, Inc. -------------------------------------------------------------------------------- Ticker TREX Provider Security ID 89531P105 Meeting Date 02-May-18 Meeting Type Annual Record Date 05-Mar-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect James E. Cline For For Voted Mgmt Elect Patricia B. Robinson For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation Mgmt Increase of Authorized Common Stock For Against Voted Mgmt Ratification of Auditor For For Voted
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Trinity Industries, Inc. -------------------------------------------------------------------------------- Ticker TRN Provider Security ID 896522109 Meeting Date 07-May-18 Meeting Type Annual Record Date 12-Mar-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect John L. Adams For For Voted Mgmt Elect Rhys J. Best For For Voted Mgmt Elect David W. Biegler For For Voted Mgmt Elect Antonio Carrillo For For Voted Mgmt Elect Leldon E. Echols For For Voted Mgmt Elect Ronald J. Gafford For For Voted Mgmt Elect Charles W. Matthews For For Voted Mgmt Elect Douglas L. Rock For For Voted Mgmt Elect Dunia A. Shive For For Voted Mgmt Elect Timothy R. Wallace For For Voted Mgmt Advisory Vote on Executive For Against Voted Compensation Mgmt Ratification of Auditor For For Voted
Valero Energy Corporation -------------------------------------------------------------------------------- Ticker VLO Provider Security ID 91913Y100 Meeting Date 03-May-18 Meeting Type Annual Record Date 06-Mar-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect H. Paulett Eberhart For For Voted Mgmt Elect Joseph W. Gorder For For Voted Mgmt Elect Kimberly S. Greene For For Voted Mgmt Elect Deborah P. Majoras For For Voted Mgmt Elect Donald L. Nickles For For Voted Mgmt Elect Philip J. Pfeiffer For For Voted Mgmt Elect Robert A. Profusek For For Voted Mgmt Elect Stephen M. Waters For For Voted Mgmt Elect Randall J. Weisenburger For For Voted Mgmt Elect Rayford Wilkins Jr. For For Voted Mgmt Ratification of Auditor For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation Mgmt Elimination of Supermajority For For Voted Requirement Mgmt Approval of Shareholder Written For For Voted Consent Right
Wabash National Corporation -------------------------------------------------------------------------------- Ticker WNC Provider Security ID 929566107 Meeting Date 16-May-18 Meeting Type Annual Record Date 20-Mar-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Richard J. Giromini For For Voted Mgmt Elect Martin C. Jischke For For Voted Mgmt Elect John G. Boss For For Voted Mgmt Elect John E. Kunz For For Voted Mgmt Elect Larry J. Magee For For Voted Mgmt Elect Ann D. Murtlow For For Voted Mgmt Elect Scott K. Sorensen For For Voted Mgmt Elect Brent L. Yeagy For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation Mgmt Ratification of Auditor For For Voted
Walker & Dunlop Inc. -------------------------------------------------------------------------------- Ticker WD Provider Security ID 93148P102 Meeting Date 10-May-18 Meeting Type Annual Record Date 12-Mar-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Alan J. Bowers For For Voted Mgmt Elect Cynthia A. Hallenbeck For For Voted Mgmt Elect Michael D. Malone For For Voted Mgmt Elect John Rice For For Voted Mgmt Elect Dana L. Schmaltz For For Voted Mgmt Elect Howard W. Smith III For For Voted Mgmt Elect William M. Walker For For Voted Mgmt Elect Michael J. Warren For For Voted Mgmt Ratification of Auditor For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation
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WisdomTree Investments, Inc. -------------------------------------------------------------------------------- Ticker WETF Provider Security ID 97717P104 Meeting Date 19-Jun-18 Meeting Type Annual Record Date 26-Apr-18 -------------------------------------------------------------------------------- MANAGEMENT VOTE PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED Mgmt Elect Anthony Bossone For For Voted Mgmt Elect Bruce Lavine For For Voted Mgmt Elect Michael Steinhardt For Withhold Voted Mgmt Ratification of Auditor For For Voted Mgmt Issuance of Common Stock For For Voted Mgmt Advisory Vote on Executive For For Voted Compensation Mgmt Frequency of Advisory Vote on Abstain 1 Year Voted Executive Compensation
- 11 - ================= First Trust/Confluence Small Cap Value Fund ================
--------------------------------------------------------------------------------------------------------------------------- ONEBEACON INSURANCE GROUP, LTD. --------------------------------------------------------------------------------------------------------------------------- SECURITY G67742109 MEETING TYPE Special TICKER SYMBOL OB MEETING DATE 18-Jul-2017 ISIN BMG677421098 AGENDA 934649469 - Management RECORD DATE 07-Jun-2017 HOLDING RECON DATE 07-Jun-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 17-Jul-2017 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1. Approve Reorganization Plan Management For For For 2. 14A Executive Compensation Management For For For 3. Approve Motion to Adjourn Meeting Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 22,020 0 15-Jun-2017 19-Jul-2017 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- THERMON GROUP HOLDINGS, INC. --------------------------------------------------------------------------------------------------------------------------- SECURITY 88362T103 MEETING TYPE Annual TICKER SYMBOL THR MEETING DATE 26-Jul-2017 ISIN US88362T1034 AGENDA 934649293 - Management RECORD DATE 01-Jun-2017 HOLDING RECON DATE 01-Jun-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 25-Jul-2017 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1. Election of Directors Management 1 MARCUS J. GEORGE For For For 2 RICHARD E. GOODRICH For For For 3 KEVIN J. MCGINTY For For For 4 JOHN T. NESSER, III For For For 5 MICHAEL W. PRESS For For For 6 STEPHEN A. SNIDER For For For 7 CHARLES A. SORRENTINO For For For 8 BRUCE A. THAMES For For For 2. Ratify Appointment of Independent Auditors Management For For For 3. 14A Executive Compensation Management For For For 4. Approve Stock Compensation Plan Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 21,238 0 14-Jun-2017 27-Jul-2017 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- HAEMONETICS CORPORATION --------------------------------------------------------------------------------------------------------------------------- SECURITY 405024100 MEETING TYPE Annual TICKER SYMBOL HAE MEETING DATE 27-Jul-2017 ISIN US4050241003 AGENDA 934649661 - Management RECORD DATE 26-May-2017 HOLDING RECON DATE 26-May-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 26-Jul-2017 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1. Election of Directors Management 1 CHRISTOPHER SIMON For For For 2 CHARLES J. DOCKENDORFF For For For 2. 14A Executive Compensation Management For For For 3. 14A Executive Compensation Vote Management 1 Year 1 Year For Frequency 4. S/H Proposal - Corporate Governance Shareholder Against Take No Action 5. Ratify Appointment of Independent Auditors Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 5,315 0 15-Jun-2017 28-Jul-2017 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- - 12 - RBC BEARINGS INCORPORATED --------------------------------------------------------------------------------------------------------------------------- SECURITY 75524B104 MEETING TYPE Annual TICKER SYMBOL ROLL MEETING DATE 13-Sep-2017 ISIN US75524B1044 AGENDA 934663863 - Management RECORD DATE 17-Jul-2017 HOLDING RECON DATE 17-Jul-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 12-Sep-2017 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1. Election of Directors Management 1 MITCHELL I. QUAIN* For For For 2 DR. MICHAEL J HARTNETT# For For For 3 DR. AMIR FAGHRI# For For For 2. Ratify Appointment of Independent Auditors Management For For For 3. 14A Executive Compensation Management For For For 4. 14A Executive Compensation Vote Management 1 Year 3 Years Against Frequency 5. Approve Charter Amendment Management For For For 6. 14A Executive Compensation Management For For For 7. Approve Stock Compensation Plan Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 3,336 0 01-Aug-2017 14-Sep-2017 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- PATTERSON COMPANIES, INC. --------------------------------------------------------------------------------------------------------------------------- SECURITY 703395103 MEETING TYPE Annual TICKER SYMBOL PDCO MEETING DATE 18-Sep-2017 ISIN US7033951036 AGENDA 934665223 - Management RECORD DATE 21-Jul-2017 HOLDING RECON DATE 21-Jul-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 15-Sep-2017 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1A. Election of Directors (Majority Voting) Management For For For 1B. Election of Directors (Majority Voting) Management For For For 1C. Election of Directors (Majority Voting) Management For For For 1D. Election of Directors (Majority Voting) Management For For For 1E. Election of Directors (Majority Voting) Management For For For 1F. Election of Directors (Majority Voting) Management For For For 1G. Election of Directors (Majority Voting) Management For For For 1H. Election of Directors (Majority Voting) Management For For For 2. 14A Executive Compensation Management For For For 3. 14A Executive Compensation Vote Management 1 Year 1 Year For Frequency 4. Ratify Appointment of Independent Auditors Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 11,555 0 05-Aug-2017 19-Sep-2017 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- CULP, INC. --------------------------------------------------------------------------------------------------------------------------- SECURITY 230215105 MEETING TYPE Annual TICKER SYMBOL CULP MEETING DATE 20-Sep-2017 ISIN US2302151053 AGENDA 934670806 - Management RECORD DATE 20-Jul-2017 HOLDING RECON DATE 20-Jul-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 19-Sep-2017 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1. Election of Directors Management 1 ROBERT G. CULP, III For For For 2 PATRICK B. FLAVIN For For For 3 FRED A. JACKSON For For For 4 KENNETH R. LARSON For For For 5 KENNETH W. MCALLISTER For For For 6 FRANKLIN N. SAXON For For For 2. Ratify Appointment of Independent Auditors Management For For For 3. 14A Executive Compensation Management For For For 4. 14A Executive Compensation Vote Management 1 Year 1 Year For Frequency --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 10,993 0 22-Aug-2017 21-Sep-2017 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- - 13 - BIO-TECHNE CORP --------------------------------------------------------------------------------------------------------------------------- SECURITY 09073M104 MEETING TYPE Annual TICKER SYMBOL TECH MEETING DATE 26-Oct-2017 ISIN US09073M1045 AGENDA 934677216 - Management RECORD DATE 01-Sep-2017 HOLDING RECON DATE 01-Sep-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 25-Oct-2017 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1. Fix Number of Directors Management For For For 2A. Election of Directors (Majority Voting) Management For For For 2B. Election of Directors (Majority Voting) Management For For For 2C. Election of Directors (Majority Voting) Management For For For 2D. Election of Directors (Majority Voting) Management For For For 2E. Election of Directors (Majority Voting) Management For For For 2F. Election of Directors (Majority Voting) Management For For For 2G. Election of Directors (Majority Voting) Management For For For 2H. Election of Directors (Majority Voting) Management For For For 2I. Election of Directors (Majority Voting) Management For For For 2J. Election of Directors (Majority Voting) Management For For For 3. 14A Executive Compensation Management For For For 4. 14A Executive Compensation Vote Management 1 Year 1 Year For Frequency 5. Amend Stock Compensation Plan Management For For For 6. Ratify Appointment of Independent Auditors Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 3,027 0 13-Sep-2017 27-Oct-2017 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- THE ADVISORY BOARD COMPANY --------------------------------------------------------------------------------------------------------------------------- SECURITY 00762W107 MEETING TYPE Special TICKER SYMBOL ABCO MEETING DATE 15-Nov-2017 ISIN US00762W1071 AGENDA 934689792 - Management RECORD DATE 05-Oct-2017 HOLDING RECON DATE 05-Oct-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 14-Nov-2017 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1. Approve Merger Agreement Management For For For 2. Approve Motion to Adjourn Meeting Management For For For 3. 14A Executive Compensation Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 10,706 0 14-Oct-2017 16-Nov-2017 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- MTS SYSTEMS CORPORATION --------------------------------------------------------------------------------------------------------------------------- SECURITY 553777103 MEETING TYPE Annual TICKER SYMBOL MTSC MEETING DATE 13-Feb-2018 ISIN US5537771033 AGENDA 934716816 - Management RECORD DATE 18-Dec-2017 HOLDING RECON DATE 18-Dec-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 12-Feb-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1. Election of Directors Management 1 DAVID J. ANDERSON For For For 2 JEFFREY A. GRAVES For For For 3 DAVID D. JOHNSON For For For 4 RANDY J. MARTINEZ For For For 5 MICHAEL V. SCHROCK For For For 6 GAIL P. STEINEL For For For 7 MAXIMILIANE C. STRAUB For For For 8 CHUN HUNG (KENNETH) YU For For For 2. Ratify Appointment of Independent Auditors Management For For For 3. 14A Executive Compensation Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 11,204 0 30-Dec-2017 14-Feb-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- VAREX IMAGING CORPORATION --------------------------------------------------------------------------------------------------------------------------- SECURITY 92214X106 MEETING TYPE Annual TICKER SYMBOL VREX MEETING DATE 15-Feb-2018 ISIN US92214X1063 AGENDA 934716830 - Management RECORD DATE 18-Dec-2017 HOLDING RECON DATE 18-Dec-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 14-Feb-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1. Election of Directors (Majority Voting) Management For For For 2. Ratify Appointment of Independent Auditors Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 10,221 0 30-Dec-2017 16-Feb-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- - 14 - SNYDER'S-LANCE, INC. --------------------------------------------------------------------------------------------------------------------------- SECURITY 833551104 MEETING TYPE Special TICKER SYMBOL LNCE MEETING DATE 23-Mar-2018 ISIN US8335511049 AGENDA 934731084 - Management RECORD DATE 16-Feb-2018 HOLDING RECON DATE 16-Feb-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 22-Mar-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1. Approve Merger Agreement Management For For For 2. Approve Motion to Adjourn Meeting Management For For For 3. 14A Executive Compensation Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 13,891 0 24-Feb-2018 26-Mar-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- THE RMR GROUP INC. --------------------------------------------------------------------------------------------------------------------------- SECURITY 74967R106 MEETING TYPE Annual TICKER SYMBOL RMR MEETING DATE 28-Mar-2018 ISIN US74967R1068 AGENDA 934724368 - Management RECORD DATE 17-Jan-2018 HOLDING RECON DATE 17-Jan-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 27-Mar-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1.1 Election of Directors (Majority Voting) Management For For For 1.2 Election of Directors (Majority Voting) Management For For For 1.3 Election of Directors (Majority Voting) Management For For For 1.4 Election of Directors (Majority Voting) Management For For For 1.5 Election of Directors (Majority Voting) Management For For For 2. Ratify Appointment of Independent Auditors Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 8,949 0 31-Jan-2018 29-Mar-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- ASTEC INDUSTRIES, INC. --------------------------------------------------------------------------------------------------------------------------- SECURITY 046224101 MEETING TYPE Annual TICKER SYMBOL ASTE MEETING DATE 26-Apr-2018 ISIN US0462241011 AGENDA 934736844 - Management RECORD DATE 20-Feb-2018 HOLDING RECON DATE 20-Feb-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 25-Apr-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1. Election of Directors Management 1 Daniel K. Frierson For For For 2 Glen E. Tellock For For For 3 James B. Baker For For For 2. 14A Executive Compensation Management For For For 3. Ratify Appointment of Independent Auditors Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 8,644 0 13-Mar-2018 27-Apr-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- HALYARD HEALTH, INC. --------------------------------------------------------------------------------------------------------------------------- SECURITY 40650V100 MEETING TYPE Annual TICKER SYMBOL HYH MEETING DATE 26-Apr-2018 ISIN US40650V1008 AGENDA 934736870 - Management RECORD DATE 02-Mar-2018 HOLDING RECON DATE 02-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 25-Apr-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1A. Election of Directors (Majority Voting) Management For For For 1B. Election of Directors (Majority Voting) Management For For For 1C. Election of Directors (Majority Voting) Management For For For 2. Ratify Appointment of Independent Auditors Management For For For 3. 14A Executive Compensation Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 13,364 0 10-Mar-2018 27-Apr-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- - 15 - CAMBREX CORPORATION --------------------------------------------------------------------------------------------------------------------------- SECURITY 132011107 MEETING TYPE Annual TICKER SYMBOL CBM MEETING DATE 26-Apr-2018 ISIN US1320111073 AGENDA 934739751 - Management RECORD DATE 01-Mar-2018 HOLDING RECON DATE 01-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 25-Apr-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1.1 Election of Directors (Majority Voting) Management For For For 1.2 Election of Directors (Majority Voting) Management For For For 1.3 Election of Directors (Majority Voting) Management For For For 1.4 Election of Directors (Majority Voting) Management For For For 1.5 Election of Directors (Majority Voting) Management For For For 1.6 Election of Directors (Majority Voting) Management For For For 1.7 Election of Directors (Majority Voting) Management For For For 1.8 Election of Directors (Majority Voting) Management For For For 2. 14A Executive Compensation Management For For For 3. Ratify Appointment of Independent Auditors Management For For For 4. S/H Proposal - Environmental Shareholder Against Against For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 10,219 0 17-Mar-2018 27-Apr-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- GRACO INC. --------------------------------------------------------------------------------------------------------------------------- SECURITY 384109104 MEETING TYPE Annual TICKER SYMBOL GGG MEETING DATE 27-Apr-2018 ISIN US3841091040 AGENDA 934740083 - Management RECORD DATE 26-Feb-2018 HOLDING RECON DATE 26-Feb-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 26-Apr-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1A. Election of Directors (Majority Voting) Management For For For 1B. Election of Directors (Majority Voting) Management For For For 1C. Election of Directors (Majority Voting) Management For For For 1D. Election of Directors (Majority Voting) Management For For For 2. Ratify Appointment of Independent Auditors Management For For For 3. 14A Executive Compensation Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 4,050 0 15-Mar-2018 30-Apr-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- BROWN & BROWN, INC. --------------------------------------------------------------------------------------------------------------------------- SECURITY 115236101 MEETING TYPE Annual TICKER SYMBOL BRO MEETING DATE 02-May-2018 ISIN US1152361010 AGENDA 934750111 - Management RECORD DATE 26-Feb-2018 HOLDING RECON DATE 26-Feb-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 01-May-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1. Election of Directors Management 1 J. Hyatt Brown For For For 2 Samuel P. Bell, III For For For 3 Hugh M. Brown For For For 4 J. Powell Brown For For For 5 Bradley Currey, Jr. For For For 6 Theodore J. Hoepner For For For 7 James S. Hunt For For For 8 Toni Jennings For For For 9 Timothy R.M. Main For For For 10 H. Palmer Proctor, Jr. For For For 11 Wendell S. Reilly For For For 12 Chilton D. Varner For For For 2. Ratify Appointment of Independent Auditors Management For For For 3. 14A Executive Compensation Management For For For 4. Approve Stock Compensation Plan Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 9,745 0 24-Mar-2018 03-May-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- ALLIED MOTION TECHNOLOGIES INC. --------------------------------------------------------------------------------------------------------------------------- SECURITY 019330109 MEETING TYPE Annual TICKER SYMBOL AMOT MEETING DATE 02-May-2018 ISIN US0193301092 AGENDA 934774123 - Management RECORD DATE 13-Mar-2018 HOLDING RECON DATE 13-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 01-May-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1A. Election of Directors (Majority Voting) Management For For For 1B. Election of Directors (Majority Voting) Management For For For 1C. Election of Directors (Majority Voting) Management For For For 1D. Election of Directors (Majority Voting) Management For For For 1E. Election of Directors (Majority Voting) Management For For For 1F. Election of Directors (Majority Voting) Management For For For 1G. Election of Directors (Majority Voting) Management For For For 2. 14A Executive Compensation Management For For For 3. Ratify Appointment of Independent Auditors Management For For For ----------------------------------------------------------------------------------------------------------------- -- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 16,688 0 06-Apr-2018 03-May-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- - 16 - GLADSTONE COMMERCIAL CORPORATION --------------------------------------------------------------------------------------------------------------------------- SECURITY 376536108 MEETING TYPE Annual TICKER SYMBOL GOOD MEETING DATE 03-May-2018 ISIN US3765361080 AGENDA 934739054 - Management RECORD DATE 05-Mar-2018 HOLDING RECON DATE 05-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 02-May-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1. Election of Directors Management 1 Terry L. Brubaker For For For 2 Caren D. Merrick For For For 3 Walter H Wilkinson, Jr. For For For 2. Ratify Appointment of Independent Auditors Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 29,008 0 20-Mar-2018 04-May-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- MONOTYPE IMAGING HOLDINGS INC. --------------------------------------------------------------------------------------------------------------------------- SECURITY 61022P100 MEETING TYPE Annual TICKER SYMBOL TYPE MEETING DATE 03-May-2018 ISIN US61022P1003 AGENDA 934777612 - Management RECORD DATE 26-Mar-2018 HOLDING RECON DATE 26-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 02-May-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1.1 Election of Directors (Majority Voting) Management For For For 1.2 Election of Directors (Majority Voting) Management For For For 1.3 Election of Directors (Majority Voting) Management For For For 2. 14A Executive Compensation Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 26,964 0 07-Apr-2018 04-May-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- FRANKLIN ELECTRIC CO., INC. --------------------------------------------------------------------------------------------------------------------------- SECURITY 353514102 MEETING TYPE Annual TICKER SYMBOL FELE MEETING DATE 04-May-2018 ISIN US3535141028 AGENDA 934741871 - Management RECORD DATE 02-Mar-2018 HOLDING RECON DATE 02-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 03-May-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1a. Election of Directors (Majority Voting) Management For For For 1b. Election of Directors (Majority Voting) Management For For For 2. Ratify Appointment of Independent Auditors Management For For For 3. 14A Executive Compensation Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 3,833 0 24-Mar-2018 07-May-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- JOHN BEAN TECHNOLOGIES CORPORATION --------------------------------------------------------------------------------------------------------------------------- SECURITY 477839104 MEETING TYPE Annual TICKER SYMBOL JBT MEETING DATE 11-May-2018 ISIN US4778391049 AGENDA 934749005 - Management RECORD DATE 15-Mar-2018 HOLDING RECON DATE 15-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 10-May-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1A Election of Directors (Majority Voting) Management For For For 1B Election of Directors (Majority Voting) Management For For For 2. 14A Executive Compensation Management For For For 3. Ratify Appointment of Independent Auditors Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 3,436 0 30-Mar-2018 14-May-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- - 17 - FORWARD AIR CORPORATION --------------------------------------------------------------------------------------------------------------------------- SECURITY 349853101 MEETING TYPE Annual TICKER SYMBOL FWRD MEETING DATE 15-May-2018 ISIN US3498531017 AGENDA 934755577 - Management RECORD DATE 16-Mar-2018 HOLDING RECON DATE 16-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 14-May-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1. Election of Directors Management 1 Ronald W. Allen For For For 2 Ana B. Amicarella For For For 3 Valerie A. Bonebrake For For For 4 Bruce A. Campbell For For For 5 C. Robert Campbell For For For 6 R. Craig Carlock For For For 7 C. John Langley, Jr. For For For 8 G. Michael Lynch For For For 2. Ratify Appointment of Independent Auditors Management For For For 3. 14A Executive Compensation Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 10,022 0 06-Apr-2018 16-May-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- VERITEX HOLDINGS INC. --------------------------------------------------------------------------------------------------------------------------- SECURITY 923451108 MEETING TYPE Annual TICKER SYMBOL VBTX MEETING DATE 15-May-2018 ISIN US9234511080 AGENDA 934783057 - Management RECORD DATE 26-Mar-2018 HOLDING RECON DATE 26-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 14-May-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1. Election of Directors Management 1 C. Malcolm Holland, III For For For 2 William C. Murphy For For For 3 Pat S. Bolin For For For 4 April Box For For For 5 Blake Bozman For For For 6 Ned N. Fleming, III For For For 7 Mark C. Griege For For For 8 Gordon Huddleston For For For 9 Gregory B. Morrison For For For 10 John T. Sughrue For For For 2. Ratify Appointment of Independent Auditors Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 21,369 0 11-Apr-2018 16-May-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- INNOPHOS HOLDINGS, INC. --------------------------------------------------------------------------------------------------------------------------- SECURITY 45774N108 MEETING TYPE Annual TICKER SYMBOL IPHS MEETING DATE 15-May-2018 ISIN US45774N1081 AGENDA 934793301 - Management RECORD DATE 20-Mar-2018 HOLDING RECON DATE 20-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 14-May-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1.1 Election of Directors (Majority Voting) Management For For For 1.2 Election of Directors (Majority Voting) Management For For For 1.3 Election of Directors (Majority Voting) Management For For For 1.4 Election of Directors (Majority Voting) Management For For For 1.5 Election of Directors (Majority Voting) Management For For For 1.6 Election of Directors (Majority Voting) Management For For For 1.7 Election of Directors (Majority Voting) Management For For For 2. Ratify Appointment of Independent Auditors Management For For For 3. 14A Executive Compensation Management For For For 4. Approve Stock Compensation Plan Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 13,690 0 18-Apr-2018 16-May-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- THE BOSTON BEER COMPANY, INC. --------------------------------------------------------------------------------------------------------------------------- SECURITY 100557107 MEETING TYPE Annual TICKER SYMBOL SAM MEETING DATE 17-May-2018 ISIN US1005571070 AGENDA 934758523 - Management RECORD DATE 19-Mar-2018 HOLDING RECON DATE 19-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 16-May-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1. Election of Directors Management 1 Michael Spillane For For For 2 Gregg A. Tanner For For For 3 Jean-Michel Valette For For For 2. 14A Executive Compensation Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 4,272 0 07-Apr-2018 18-May-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- - 18 - RAYONIER INC. --------------------------------------------------------------------------------------------------------------------------- SECURITY 754907103 MEETING TYPE Annual TICKER SYMBOL RYN MEETING DATE 17-May-2018 ISIN US7549071030 AGENDA 934765441 - Management RECORD DATE 16-Mar-2018 HOLDING RECON DATE 16-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 16-May-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1A. Election of Directors (Majority Voting) Management For For For 1B. Election of Directors (Majority Voting) Management For For For 1C. Election of Directors (Majority Voting) Management For For For 1D. Election of Directors (Majority Voting) Management For For For 1E. Election of Directors (Majority Voting) Management For For For 1F. Election of Directors (Majority Voting) Management For For For 1G. Election of Directors (Majority Voting) Management For For For 1H. Election of Directors (Majority Voting) Management For For For 1I. Election of Directors (Majority Voting) Management For For For 2. 14A Executive Compensation Management For For For 3. Ratify Appointment of Independent Auditors Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 19,288 0 03-Apr-2018 18-May-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- MORNINGSTAR, INC. --------------------------------------------------------------------------------------------------------------------------- SECURITY 617700109 MEETING TYPE Annual TICKER SYMBOL MORN MEETING DATE 18-May-2018 ISIN US6177001095 AGENDA 934752141 - Management RECORD DATE 19-Mar-2018 HOLDING RECON DATE 19-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 17-May-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1a. Election of Directors (Majority Voting) Management For For For 1b. Election of Directors (Majority Voting) Management For For For 1c. Election of Directors (Majority Voting) Management For For For 1d. Election of Directors (Majority Voting) Management For For For 1e. Election of Directors (Majority Voting) Management For For For 1f. Election of Directors (Majority Voting) Management For For For 1g. Election of Directors (Majority Voting) Management For For For 1h. Election of Directors (Majority Voting) Management For For For 1i. Election of Directors (Majority Voting) Management For For For 1j. Election of Directors (Majority Voting) Management For For For 2. Ratify Appointment of Independent Auditors Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 6,892 0 07-Apr-2018 21-May-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- RAVEN INDUSTRIES, INC. --------------------------------------------------------------------------------------------------------------------------- SECURITY 754212108 MEETING TYPE Annual TICKER SYMBOL RAVN MEETING DATE 22-May-2018 ISIN US7542121089 AGENDA 934777686 - Management RECORD DATE 28-Mar-2018 HOLDING RECON DATE 28-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 21-May-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1. Election of Directors Management 1 Jason M. Andringa For For For 2 David L. Chicoine For For For 3 Thomas S. Everist For For For 4 Kevin T. Kirby For For For 5 Marc E. LeBaron For For For 6 Richard W. Parod For For For 7 Daniel A. Rykhus For For For 2. 14A Executive Compensation Management For For For 3. Ratify Appointment of Independent Auditors Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 13,405 0 07-Apr-2018 23-May-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- - 19 - BANK OF MARIN BANCORP --------------------------------------------------------------------------------------------------------------------------- SECURITY 063425102 MEETING TYPE Annual TICKER SYMBOL BMRC MEETING DATE 22-May-2018 ISIN US0634251021 AGENDA 934795470 - Management RECORD DATE 02-Apr-2018 HOLDING RECON DATE 02-Apr-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 21-May-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1. Election of Directors Management 1 Steven I. Barlow For For For 2 Russell A. Colombo For For For 3 James C. Hale For For For 4 Robert Heller For For For 5 Norma J. Howard For For For 6 Kevin R. Kennedy For For For 7 William H. McDevitt Jr. For For For 8 Leslie E. Murphy For For For 9 Joel Sklar, MD For For For 10 Brian M. Sobel For For For 2. 14A Executive Compensation Management For For For 3. Adopt Employee Stock Purchase Plan Management For For For 4. Amend Stock Compensation Plan Management For For For 5. Ratify Appointment of Independent Auditors Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 7,934 0 19-Apr-2018 23-May-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- GARTNER, INC. --------------------------------------------------------------------------------------------------------------------------- SECURITY 366651107 MEETING TYPE Annual TICKER SYMBOL IT MEETING DATE 24-May-2018 ISIN US3666511072 AGENDA 934777028 - Management RECORD DATE 29-Mar-2018 HOLDING RECON DATE 29-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 23-May-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1a. Election of Directors (Majority Voting) Management For For For 1b. Election of Directors (Majority Voting) Management For For For 1c. Election of Directors (Majority Voting) Management For For For 1d. Election of Directors (Majority Voting) Management For For For 1e. Election of Directors (Majority Voting) Management For For For 1f. Election of Directors (Majority Voting) Management For For For 1g. Election of Directors (Majority Voting) Management For For For 1h. Election of Directors (Majority Voting) Management For For For 1i. Election of Directors (Majority Voting) Management For For For 1j. Election of Directors (Majority Voting) Management For For For 1k. Election of Directors (Majority Voting) Management For For For 2. 14A Executive Compensation Management For For For 3. Ratify Appointment of Independent Auditors Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 1,272 0 11-Apr-2018 25-May-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- RE/MAX HOLDINGS, INC. --------------------------------------------------------------------------------------------------------------------------- SECURITY 75524W108 MEETING TYPE Annual TICKER SYMBOL RMAX MEETING DATE 24-May-2018 ISIN US75524W1080 AGENDA 934780746 - Management RECORD DATE 23-Mar-2018 HOLDING RECON DATE 23-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 23-May-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1. Election of Directors Management 1 Gail Liniger For For For 2 Kathleen Cunningham For For For 3 Christine Riordan For For For 2. Ratify Appointment of Independent Auditors Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 10,893 0 13-Apr-2018 25-May-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- - 20 - POTBELLY CORPORATION --------------------------------------------------------------------------------------------------------------------------- SECURITY 73754Y100 MEETING TYPE Annual TICKER SYMBOL PBPB MEETING DATE 24-May-2018 ISIN US73754Y1001 AGENDA 934801754 - Management RECORD DATE 12-Apr-2018 HOLDING RECON DATE 12-Apr-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 23-May-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1. Election of Directors Management 1 Pete Bassi For For For 2 Joseph Boehm For For For 3 Ann-Marie Campbell For For For 4 Susan Chapman-Hughes For For For 5 Sue Collyns For For For 6 Dan Ginsberg For For For 7 Marla Gottschalk For For For 8 Alan Johnson For For For 9 Harvey Kanter For For For 10 Benjamin Rosenzweig For For For 2. Ratify Appointment of Independent Auditors Management For For For 3. Amend Stock Compensation Plan Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 45,153 0 24-Apr-2018 25-May-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- EXPONENT, INC. --------------------------------------------------------------------------------------------------------------------------- SECURITY 30214U102 MEETING TYPE Annual TICKER SYMBOL EXPO MEETING DATE 31-May-2018 ISIN US30214U1025 AGENDA 934790228 - Management RECORD DATE 03-Apr-2018 HOLDING RECON DATE 03-Apr-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 30-May-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1.1 Election of Directors (Majority Voting) Management For For For 1.2 Election of Directors (Majority Voting) Management For For For 1.3 Election of Directors (Majority Voting) Management For For For 1.4 Election of Directors (Majority Voting) Management For For For 1.5 Election of Directors (Majority Voting) Management For For For 1.6 Election of Directors (Majority Voting) Management For For For 2. Ratify Appointment of Independent Auditors Management For For For 3. Authorize Common Stock Increase Management For For For 4. Approve Reverse Stock Split Management For For For 5. 14A Executive Compensation Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 2,198 0 18-Apr-2018 01-Jun-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- MOVADO GROUP, INC. --------------------------------------------------------------------------------------------------------------------------- SECURITY 624580106 MEETING TYPE Annual TICKER SYMBOL MOV MEETING DATE 21-Jun-2018 ISIN US6245801062 AGENDA 934818747 - Management RECORD DATE 01-May-2018 HOLDING RECON DATE 01-May-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 20-Jun-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1. Election of Directors Management 1 Margaret Hayes Adame For For For 2 Peter A. Bridgman For For For 3 Richard Cote For For For 4 Alex Grinberg For For For 5 Efraim Grinberg For For For 6 Alan H. Howard For For For 7 Richard Isserman For For For 8 Nathan Leventhal For For For 9 Maurice Reznik For For For 2. Ratify Appointment of Independent Auditors Management For For For 3. 14A Executive Compensation Management For For For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 19,174 0 11-May-2018 22-Jun-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- - 21 - NATUS MEDICAL INCORPORATED --------------------------------------------------------------------------------------------------------------------------- SECURITY 639050103 MEETING TYPE Contested-Annual TICKER SYMBOL BABY MEETING DATE 22-Jun-2018 ISIN US6390501038 AGENDA 934831656 - Management RECORD DATE 07-May-2018 HOLDING RECON DATE 07-May-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 21-Jun-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1. Election of Directors Management 1 Doris E. Engibous For 2 Robert S. Weiss For 2. Ratify Appointment of Independent Auditors Management For 3. 14A Executive Compensation Management For 4. S/H Proposal - Corporate Governance Shareholder Against --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 16,269 0 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. 8012312 FIRST 8012312 BROWN 16,269 0 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO. --------------------------------------------------------------------------------------------------------------------------- NATUS MEDICAL INCORPORATED --------------------------------------------------------------------------------------------------------------------------- SECURITY 639050103 MEETING TYPE Contested-Annual TICKER SYMBOL BABY MEETING DATE 22-Jun-2018 ISIN US6390501038 AGENDA 934832216 - Opposition RECORD DATE 07-May-2018 HOLDING RECON DATE 07-May-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 21-Jun-2018 States SEDOL(S) QUICK CODE --------------------------------------------------------------------------------------------------------------------------- ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST BY RECOMMENDATION MANAGEMENT --------------------------------------------------------------------------------------------------------------------------- 1. Election of Directors Management 1 Lisa Wipperman Heine For For For 2 Joshua H. Levine For For For 2. Director Removal Without Cause Management For For For 3. Director Removal Without Cause Management For For For 4. Amend Articles-Board Related Management For For For 5. Ratify Appointment of Independent Auditors Management For For For 6. 14A Executive Compensation Management Against Against For --------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES SHARES CONFIRMED --------------------------------------------------------------------------------------------------------------------------- 8012312 FIRST 8012312 BROWN 16,269 0 31-May-2018 25-Jun-2018 TRUST/CONFLUENCE BROTHERS SM CP V HARRIMAN & CO.
- 22 - ============== First Trust Preferred Securities and Income ETF ===============
AG INSURANCE SA -------------------------------------------------------------------------------- Ticker Primary CUSIP B0R399AA2 Meeting Date Apr 20, 2018 -------------------------------------------------------------------------------- MEETING PROPOSAL MANAGEMENT VOTE AGAINST TYPE PROPONENT TEXT RECOMMENDATION VOTED MANAGEMENT Annual Management Ordinary General Meeting Abstain
AG INSURANCE SA -------------------------------------------------------------------------------- Ticker Primary CUSIP B0R399AA2 Meeting Date May 24, 2018 -------------------------------------------------------------------------------- MEETING PROPOSAL MANAGEMENT VOTE AGAINST TYPE PROPONENT TEXT RECOMMENDATION VOTED MANAGEMENT Annual Management Proposal of Merger Abstain
- 23 - 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) First Trust Series Fund ----------------------------------------- By (Signature and Title)* /s/ James M. Dykas ----------------------------------- James M. Dykas, President and Chief Executive Officer Date August 3, 2018 ------------------------- * Print the name and title of each signing officer under his or her signature.