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 number 811-22888
Wildermuth Endowment Fund
(Exact name of registrant as specified in charter)
818 A1A Hwy, Suite 301, Ponte Vedra Beach, Florida 32082
(Address of principal executive offices) (Zip code)
Daniel Wildermuth
Wildermuth Advisory, LLC
818 A1A Hwy, Suite 301
Ponte Vedra Beach, Florida 32082
(Name and address of agent for service)
Copies to:
Karen A. Aspinall
Practus, LLP
3857 Birch St. PMB 2241
Newport Beach, CA 92660
Registrant's telephone number, including area code: (678) 222-1100
Date of fiscal year end: December 31
Date of reporting period: July 1, 2020 – June 30, 2021
Item 1. Proxy Voting Record
Investment Company Report
Wildermuth Endowment Fund Proxy voting July 1, 2020 - June 30, 2021
| HOMESERVE PLC | |||||||||||
| Security | G4639X119 | Meeting Type | Annual General Meeting | ||||||||
| Ticker Symbol | Meeting Date | 17-Jul-2020 | |||||||||
| ISIN | GB00BYYTFB60 | Agenda | 712830036 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1 | TO RECEIVE THE COMPANY'S ANNUAL REPORT AND ACCOUNTS FOR THE YEAR ENDED 31 MARCH 2020 INCLUDING THE STRATEGIC REPORT AND THE REPORTS OF THE DIRECTORS AND THE AUDITOR THEREIN | Management | For | For | For | ||||||
| 2 | TO APPROVE THE ANNUAL STATEMENT BY THE CHAIRMAN OF THE REMUNERATION COMMITTEE AND THE ANNUAL REPORT ON DIRECTORS' REMUNERATION, AS SET OUT ON PAGES 82 TO 105 OF THE ANNUAL REPORT AND ACCOUNTS, FOR THE YEAR ENDED 31 MARCH 2020 | Management | For | For | For | ||||||
| 3 | TO APPROVE THE DIRECTORS' REMUNERATION POLICY, AS SET OUT ON PAGES 85 TO 92 OF THE ANNUAL REPORT AND ACCOUNTS | Management | For | For | For | ||||||
| 4 | TO APPROVE A FINAL DIVIDEND OF 17.8P PER ORDINARY SHARE FOR THE YEAR ENDED 31 MARCH 2020 TO BE PAID ON 3 AUGUST 2020 TO SHAREHOLDERS ON THE REGISTER OF MEMBERS AT 6.00PM ON 3 JULY 2020 | Management | For | For | For | ||||||
| 5 | TO RE-ELECT JM BARRY GIBSON AS A DIRECTOR | Management | For | For | For | ||||||
| 6 | TO RE-ELECT RICHARD HARPIN AS A DIRECTOR | Management | For | For | For | ||||||
| 7 | TO RE-ELECT DAVID BOWER AS A DIRECTOR | Management | For | For | For | ||||||
| 8 | TO RE-ELECT TOM RUSIN AS A DIRECTOR | Management | For | For | For | ||||||
| 9 | TO RE-ELECT KATRINA CLIFFE AS A DIRECTOR | Management | For | For | For | ||||||
| 10 | TO RE-ELECT STELLA DAVID AS A DIRECTOR | Management | For | For | For | ||||||
| 11 | TO RE-ELECT EDWARD FITZMAURICE AS A DIRECTOR | Management | For | For | For | ||||||
| 12 | TO RE-ELECT OLIVIER GREMILLON AS A DIRECTOR | Management | For | For | For | ||||||
| 13 | TO RE-ELECT RON MCMILLAN AS A DIRECTOR | Management | For | For | For | ||||||
| 14 | TO RE-APPOINT DELOITTE LLP AS AUDITOR OF THE COMPANY UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AT WHICH ANNUAL ACCOUNTS ARE LAID BEFORE THE COMPANY'S SHAREHOLDERS | Management | For | For | For | ||||||
| 15 | TO AUTHORISE THE DIRECTORS TO DETERMINE THE REMUNERATION OF THE AUDITOR | Management | For | For | For | ||||||
| 16 | "THAT, IN ACCORDANCE WITH SECTION 551 OF THE COMPANIES ACT 2006, THE DIRECTORS BE AND ARE HEREBY GENERALLY AND UNCONDITIONALLY AUTHORISED TO EXERCISE ALL POWERS OF THE COMPANY TO ALLOT SHARES IN THE COMPANY AND TO GRANT RIGHTS TO SUBSCRIBE FOR OR TO CONVERT ANY SECURITY INTO SHARES IN THE COMPANY: (A) UP TO AN AGGREGATE NOMINAL AMOUNT OF GBP 2,973,274 (SUCH AMOUNT TO BE REDUCED BY THE NOMINAL AMOUNT OF ANY ALLOTMENTS OR GRANTS MADE UNDER PARAGRAPH (B) BELOW IN EXCESS OF GBP 2,973,274; AND (B) COMPRISING EQUITY SECURITIES (AS DEFINED IN THE COMPANIES ACT 2006) UP TO AN AGGREGATE NOMINAL AMOUNT OF GBP 5,946,549 (SUCH AMOUNT TO BE REDUCED BY THE NOMINAL AMOUNT OF ANY ALLOTMENTS OR GRANTS MADE UNDER PARAGRAPH (A) ABOVE) IN CONNECTION WITH ANY OFFER BY WAY OF RIGHTS ISSUE: 1) TO ORDINARY SHAREHOLDERS IN PROPORTION (AS NEARLY AS PRACTICABLE) TO THEIR EXISTING SHAREHOLDINGS; AND 2) TO PEOPLE WHO ARE HOLDERS OF OR OTHERWISE HAVE RIGHTS TO OTHER EQUITY SECURITIES IF THIS IS REQUIRED BY THE RIGHTS OF THOSE SECURITIES OR AS THE DIRECTORS OTHERWISE CONSIDER NECESSARY, AND SO THAT, IN BOTH CASES, THE DIRECTORS MAY IMPOSE ANY LIMITS, RESTRICTIONS, EXCLUSIONS OR OTHER ARRANGEMENTS AS THEY MAY DEEM NECESSARY OR APPROPRIATE IN RELATION TO TREASURY SHARES, FRACTIONAL ELEMENTS, RECORD DATES OR LEGAL, REGULATORY OR PRACTICAL PROBLEMS IN, OR UNDER THE LAWS OF, ANY TERRITORY OR ANY OTHER MATTER, PROVIDED THAT | Management | For | For | For | ||||||
| THIS AUTHORITY SHALL EXPIRE AT THE END OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY (OR, IF EARLIER, ON 17 OCTOBER 2021), BUT, IN EACH CASE, PRIOR TO ITS EXPIRY THE COMPANY MAY MAKE OFFERS AND ENTER INTO AGREEMENTS WHICH WOULD, OR MIGHT, REQUIRE SHARES TO BE ALLOTTED OR RIGHTS TO SUBSCRIBE FOR OR CONVERT SECURITIES INTO SHARES TO BE GRANTED AFTER SUCH EXPIRY AND THE DIRECTORS MAY ALLOT SHARES OR GRANT RIGHTS TO SUBSCRIBE FOR OR CONVERT SECURITIES INTO SHARES UNDER ANY SUCH OFFER OR AGREEMENT AS IF THE AUTHORITY CONFERRED HEREBY HAD NOT EXPIRED." | |||||||||||
| 17 | "THAT THE DIRECTORS BE AND ARE HEREBY AUTHORISED TO ALLOT EQUITY SECURITIES (AS DEFINED IN THE COMPANIES ACT 2006) FOR CASH UNDER THE AUTHORITY GIVEN BY THAT RESOLUTION AND/OR TO SELL ORDINARY SHARES HELD BY THE COMPANY AS TREASURY SHARES FOR CASH AS IF SECTION 561 OF THE COMPANIES ACT 2006 DID NOT APPLY TO ANY SUCH ALLOTMENT OR SALE, SUCH POWER TO BE LIMITED: (A) TO THE ALLOTMENT OF EQUITY SECURITIES AND/OR SALE OF TREASURY SHARES IN CONNECTION WITH AN OFFER OF, OR INVITATION TO APPLY FOR, EQUITY SECURITIES (BUT IN THE CASE OF THE AUTHORITY GRANTED UNDER PARAGRAPH (B) OR RESOLUTION 16, BY WAY OF A RIGHTS ISSUE ONLY) OPEN FOR ACCEPTANCE FOR A PERIOD FIXED BY THE DIRECTORS TO HOLDERS OF ORDINARY SHARES (OTHER THAN THE COMPANY) ON THE REGISTER ON A RECORD DATE FIXED BY THE DIRECTORS IN PROPORTION (AS NEARLY AS MAY BE PRACTICABLE) TO THEIR RESPECTIVE HOLDINGS (OR TO HOLDERS OF OTHER EQUITY SECURITIES, AS REQUIRED BY THE RIGHTS OF THOSE SECURITIES, OR AS THE DIRECTORS OTHERWISE CONSIDER NECESSARY) BUT SUBJECT, IN EACH CASE, TO SUCH EXCLUSIONS OR OTHER ARRANGEMENTS AS THE DIRECTORS MAY DEEM NECESSARY OR EXPEDIENT IN RELATION TO | Management | For | For | For | ||||||
| TREASURY SHARES, FRACTIONAL ENTITLEMENTS, RECORD DATES OR LEGAL, REGULATORY OR PRACTICAL PROBLEMS IN OR UNDER THE LAWS OF ANY TERRITORY OR ANY OTHER MATTER; AND (B) IN THE CASE OF THE AUTHORITY GRANTED UNDER PARAGRAPH (A) OF RESOLUTION 16 AND/OR THE SALE OF TREASURY SHARES, TO THE ALLOTMENT OF EQUITY SECURITIES OR SALE OF TREASURY SHARES (OTHERWISE THAN UNDER PARAGRAPH (A) OF THIS RESOLUTION 17) UP TO A NOMINAL AMOUNT OF GBP 450,496, SUCH AUTHORITY TO EXPIRE AT THE END OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY (OR, IF EARLIER, ON 17 OCTOBER 2021) BUT, IN EACH CASE, PRIOR TO ITS EXPIRY THE COMPANY MAY MAKE OFFERS, AND ENTER INTO AGREEMENTS, WHICH WOULD, OR MIGHT, REQUIRE EQUITY SECURITIES TO BE ALLOTTED (AND TREASURY SHARES TO BE SOLD) AFTER THE AUTHORITY EXPIRES AND THE DIRECTORS MAY ALLOT EQUITY SECURITIES (AND SELL TREASURY SHARES) UNDER ANY SUCH OFFER OR AGREEMENT AS IF THE AUTHORITY HAD NOT EXPIRED." | |||||||||||
| 18 | "THAT THE DIRECTORS BE AND ARE HEREBY AUTHORISED, IN ADDITION TO ANY OTHER AUTHORITY GRANTED UNDER RESOLUTION 17, TO ALLOT EQUITY SECURITIES (AS DEFINED IN THE COMPANIES ACT 2006) FOR CASH UNDER THE AUTHORITY GIVEN BY THAT RESOLUTION AND/OR TO SELL ORDINARY SHARES HELD BY THE COMPANY AS TREASURY SHARES FOR CASH AS IF SECTION 561 OF THE COMPANIES ACT 2006 DID NOT APPLY TO ANY SUCH ALLOTMENT OR SALE, SUCH AUTHORITY TO BE: (A) LIMITED TO THE ALLOTMENT OF EQUITY SECURITIES OR SALE OF TREASURY SHARES UP TO A NOMINAL AMOUNT OF GBP 450,496; AND (B) USED ONLY FOR THE PURPOSES OF FINANCING (OR REFINANCING, IF THE AUTHORITY IS TO BE USED WITHIN SIX MONTHS AFTER THE ORIGINAL TRANSACTION) A TRANSACTION WHICH THE DIRECTORS OF THE COMPANY DETERMINE TO BE AN ACQUISITION OR OTHER CAPITAL INVESTMENT OF A KIND | Management | For | For | For | ||||||
| CONTEMPLATED BY THE STATEMENT OF PRINCIPLES ON DISAPPLYING PRE- EMPTION RIGHTS MOST RECENTLY PUBLISHED BY THE PRE-EMPTION GROUP PRIOR TO THE DATE OF THIS NOTICE OF ANNUAL GENERAL MEETING, SUCH AUTHORITY TO EXPIRE AT THE END OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY (OR, IF EARLIER, ON 17 OCTOBER 2021) BUT, IN EACH CASE, PRIOR TO ITS EXPIRY THE COMPANY MAY MAKE OFFERS, AND ENTER INTO AGREEMENTS, WHICH WOULD, OR MIGHT, REQUIRE EQUITY SECURITIES TO BE ALLOTTED (AND TREASURY SHARES TO BE SOLD) AFTER THE AUTHORITY EXPIRES AND THE DIRECTORS MAY ALLOT EQUITY SECURITIES (AND SELL TREASURY SHARES) UNDER ANY SUCH OFFER OR AGREEMENT AS IF THE AUTHORITY HAD NOT EXPIRED." | |||||||||||
| 19 | "THAT THE COMPANY BE GENERALLY AND UNCONDITIONALLY AUTHORISED TO MAKE ONE OR MORE MARKET PURCHASES (WITHIN THE MEANING OF SECTION 693(4) OF THE COMPANIES ACT 2006) OF ORDINARY SHARES IN THE CAPITAL OF THE COMPANY ON SUCH TERMS AND IN SUCH MANNER AS THE DIRECTORS MAY DETERMINE PROVIDED THAT: (I) THE MAXIMUM NUMBER OF ORDINARY SHARES HEREBY AUTHORISED TO BE ACQUIRED IS 33,465,425 ORDINARY SHARES; (II) THE MINIMUM PRICE (EXCLUSIVE OF EXPENSES) WHICH MAY BE PAID FOR ANY SUCH SHARE IS THE NOMINAL VALUE THEREOF; (III) THE MAXIMUM PRICE (EXCLUSIVE OF EXPENSES) WHICH MAY BE PAID FOR ANY SUCH SHARE IS THE HIGHER OF (I) AN AMOUNT EQUAL TO 105% OF THE AVERAGE OF THE MIDDLE MARKET QUOTATIONS FOR AN ORDINARY SHARE IN THE COMPANY AS DERIVED FROM THE LONDON STOCK EXCHANGE DAILY OFFICIAL LIST FOR THE FIVE BUSINESS DAYS IMMEDIATELY PRECEDING THE DAY ON WHICH SUCH SHARE IS CONTRACTED TO BE PURCHASED AND (II) AN AMOUNT EQUAL TO THE HIGHER OF THE PRICE OF THE LAST INDEPENDENT TRADE AND THE HIGHEST CURRENT INDEPENDENT PURCHASE BID ON THE | Management | For | For | For | ||||||
| TRADING VENUE WHERE THE PURCHASE IS CARRIED OUT AT THE RELEVANT TIME (IN EACH CASE, EXCLUSIVE OF EXPENSES); (IV) THE AUTHORITY HEREBY CONFERRED SHALL EXPIRE AT THE END OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY (OR, IF EARLIER ON 17 OCTOBER 2021), SAVE THAT THE COMPANY MAY MAKE A CONTRACT TO PURCHASE ITS ORDINARY SHARES UNDER THE AUTHORITY HEREBY CONFERRED PRIOR TO SUCH TIME, WHICH CONTRACT WILL OR MAY BE EXECUTED WHOLLY OR PARTLY AFTER THE EXPIRY OF SUCH AUTHORITY, AND MAY PURCHASE ITS SHARES IN PURSUANCE OF ANY SUCH CONTRACT AS IF THE AUTHORITY CONFERRED HEREBY HAD NOT EXPIRED." | |||||||||||
| 20 | "THAT A GENERAL MEETING OF THE COMPANY, OTHER THAN AN ANNUAL GENERAL MEETING, MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS' NOTICE." | Management | For | For | For | ||||||
| QORVO, INC. | |||||||||||
| Security | 74736K101 | Meeting Type | Annual | ||||||||
| Ticker Symbol | QRVO | Meeting Date | 04-Aug-2020 | ||||||||
| ISIN | US74736K1016 | Agenda | 935242191 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1. | DIRECTOR | Management | |||||||||
| 1 | Ralph G. Quinsey | For | For | For | |||||||
| 2 | Robert A. Bruggeworth | For | For | For | |||||||
| 3 | Jeffery R. Gardner | For | For | For | |||||||
| 4 | John R. Harding | For | For | For | |||||||
| 5 | David H. Y. Ho | For | For | For | |||||||
| 6 | Roderick D. Nelson | For | For | For | |||||||
| 7 | Dr. Walden C. Rhines | For | For | For | |||||||
| 8 | Susan L. Spradley | For | For | For | |||||||
| 9 | Walter H. Wilkinson, Jr | For | For | For | |||||||
| 2. | To approve, on an advisory basis, the compensation of our Named Executive Officers (as defined in the proxy statement). | Management | For | For | For | ||||||
| 3. | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending April 3, 2021. | Management | For | For | For | ||||||
| THE J. M. SMUCKER COMPANY | |||||||||||
| Security | 832696405 | Meeting Type | Annual | ||||||||
| Ticker Symbol | SJM | Meeting Date | 19-Aug-2020 | ||||||||
| ISIN | US8326964058 | Agenda | 935244599 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1A. | Election of Director whose term of office will expire in 2021: Susan E. Chapman-Hughes | Management | For | For | For | ||||||
| 1B. | Election of Director whose term of office will expire in 2021: Paul J. Dolan | Management | For | For | For | ||||||
| 1C. | Election of Director whose term of office will expire in 2021: Jay L. Henderson | Management | For | For | For | ||||||
| 1D. | Election of Director whose term of office will expire in 2021: Kirk L. Perry | Management | For | For | For | ||||||
| 1E. | Election of Director whose term of office will expire in 2021: Sandra Pianalto | Management | For | For | For | ||||||
| 1F. | Election of Director whose term of office will expire in 2021: Nancy Lopez Russell | Management | For | For | For | ||||||
| 1G. | Election of Director whose term of office will expire in 2021: Alex Shumate | Management | For | For | For | ||||||
| 1H. | Election of Director whose term of office will expire in 2021: Mark T. Smucker | Management | For | For | For | ||||||
| 1I. | Election of Director whose term of office will expire in 2021: Richard K. Smucker | Management | For | For | For | ||||||
| 1J. | Election of Director whose term of office will expire in 2021: Timothy P. Smucker | Management | For | For | For | ||||||
| 1K. | Election of Director whose term of office will expire in 2021: Jodi L. Taylor | Management | For | For | For | ||||||
| 1L. | Election of Director whose term of office will expire in 2021: Dawn C. Willoughby | Management | For | For | For | ||||||
| 2. | Ratification of appointment of Ernst & Young LLP as the Company's Independent Registered Public Accounting Firm for the 2021 fiscal year. | Management | For | For | For | ||||||
| 3. | Advisory approval of the Company's executive compensation. | Management | For | For | For | ||||||
| 4. | Approval of The J. M. Smucker Company 2020 Equity and Incentive Compensation Plan. | Management | For | For | For | ||||||
| FRESENIUS SE & CO. KGAA | |||||||||||
| Security | D27348263 | Meeting Type | Annual General Meeting | ||||||||
| Ticker Symbol | Meeting Date | 28-Aug-2020 | |||||||||
| ISIN | DE0005785604 | Agenda | 712956741 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN-ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE- AVAILABLE AS A LINK UNDER THE 'MATERIAL URL' DROPDOWN AT THE TOP OF THE-BALLOT. THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN-PLACE. FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | |||||||||
| CMMT | ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN-CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE-NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS-AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS-NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR-QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE- FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS-USUAL | Non-Voting | |||||||||
| CMMT | INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER'S-WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU-WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND-VOTE YOUR SHARES DIRECTLY AT THE COMPANY'S MEETING. COUNTER PROPOSALS CANNOT-BE REFLECTED ON THE BALLOT ON PROXYEDGE | Non-Voting | |||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR-ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING | Non-Voting | |||||||||
| 1 | RESOLUTION ON THE APPROVAL OF THE ANNUAL FINANCIAL STATEMENTS OF FRESENIUS SE & CO. KGAA FOR THE FISCAL YEAR 2019 | Management | For | For | For | ||||||
| 2 | RESOLUTION ON THE ALLOCATION OF THE DISTRIBUTABLE PROFIT: DIVIDENDS OF EUR 0.84 PER SHARE | Management | For | For | For | ||||||
| 3 | RESOLUTION ON THE APPROVAL OF THE ACTIONS OF THE GENERAL PARTNER FOR THE FISCAL YEAR 2019 | Management | For | For | For | ||||||
| 4 | RESOLUTION ON THE APPROVAL OF THE ACTIONS OF THE SUPERVISORY BOARD FOR THE FISCAL YEAR 2019 | Management | For | For | For | ||||||
| 5 | ELECTION OF THE AUDITOR AND GROUP AUDITOR FOR THE FISCAL YEAR 2020 AND OF THE AUDITOR FOR THE POTENTIAL REVIEW OF FINANCIAL INFORMATION DURING THE COURSE OF THE YEAR: PRICEWATERHOUSECOOPERS GMBH | Management | For | For | For | ||||||
| 6 | REQUEST FOR APPROVAL OF THE AMENDMENT TO ARTICLE 15 (2) OF THE ARTICLES OF ASSOCIATION | Management | For | For | For | ||||||
| CSL LTD | |||||||||||
| Security | Q3018U109 | Meeting Type | Annual General Meeting | ||||||||
| Ticker Symbol | Meeting Date | 14-Oct-2020 | |||||||||
| ISIN | AU000000CSL8 | Agenda | 713081759 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| CMMT | VOTING EXCLUSIONS APPLY TO THIS MEETING FOR PROPOSALS 3 AND 4 AND VOTES CAST-BY ANY INDIVIDUAL OR RELATED PARTY WHO BENEFIT FROM THE PASSING OF THE- PROPOSAL/S WILL BE DISREGARDED BY THE COMPANY. HENCE, IF YOU HAVE OBTAINED-BENEFIT OR EXPECT TO OBTAIN FUTURE BENEFIT (AS REFERRED IN THE COMPANY- ANNOUNCEMENT) VOTE ABSTAIN ON THE RELEVANT PROPOSAL ITEMS. BY DOING SO, YOU-ACKNOWLEDGE THAT YOU HAVE OBTAINED BENEFIT OR EXPECT TO OBTAIN BENEFIT BY THE- PASSING OF THE RELEVANT PROPOSAL/S. BY VOTING (FOR OR AGAINST) ON THE ABOVE-MENTIONED PROPOSAL/S, YOU ACKNOWLEDGE THAT YOU HAVE NOT OBTAINED BENEFIT-NEITHER EXPECT TO OBTAIN BENEFIT BY THE PASSING OF THE RELEVANT PROPOSAL/S-AND YOU COMPLY WITH THE VOTING EXCLUSION | Non-Voting | |||||||||
| 2.A | TO RE-ELECT MR BRUCE BROOK AS DIRECTOR | Management | For | For | For | ||||||
| 2.B | TO ELECT MS CAROLYN HEWSON AO AS DIRECTOR | Management | For | For | For | ||||||
| 2.C | TO ELECT MR PASCAL SORIOT AS DIRECTOR | Management | For | For | For | ||||||
| 3 | ADOPTION OF THE REMUNERATION REPORT | Management | For | For | For | ||||||
| 4 | APPROVAL OF A GRANT OF PERFORMANCE SHARE UNITS TO THE CHIEF EXECUTIVE OFFICER AND MANAGING DIRECTOR, MR PAUL PERREAULT | Management | For | For | For | ||||||
| CMMT | 07 SEP 2020: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE-TEXT OF RESOLUTION 2.B AND 2.C. IF YOU HAVE ALREADY SENT IN YOUR VOTES,-PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL-INSTRUCTIONS. THANK YOU | Non-Voting | |||||||||
| MCMILLAN SHAKESPEARE LIMITED | |||||||||||
| Security | Q58998107 | Meeting Type | Annual General Meeting | ||||||||
| Ticker Symbol | Meeting Date | 20-Oct-2020 | |||||||||
| ISIN | AU000000MMS5 | Agenda | 713134752 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 2 | ADOPTION OF THE REMUNERATION REPORT | Management | For | For | For | ||||||
| 3 | RE-ELECTION OF MR JOHN BENNETTS AS A DIRECTOR | Management | For | For | For | ||||||
| 4 | RE-ELECTION OF MS HELEN KURINCIC AS A DIRECTOR | Management | For | For | For | ||||||
| 5 | ELECTION OF MS KATHY PARSONS AS A DIRECTOR | Management | For | For | For | ||||||
| 6 | ISSUE OF INDETERMINATE RIGHTS TO MANAGING DIRECTOR | Management | For | For | For | ||||||
| 7 | AMENDMENT OF THE COMPANY CONSTITUTION | Management | For | For | For | ||||||
| CMMT | VOTING EXCLUSIONS APPLY TO THIS MEETING FOR PROPOSALS 2 AND 6 AND VOTES CAST-BY ANY INDIVIDUAL OR RELATED PARTY WHO BENEFIT FROM THE PASSING OF THE- PROPOSAL/S WILL BE DISREGARDED BY THE COMPANY. HENCE, IF YOU HAVE OBTAINED-BENEFIT OR EXPECT TO OBTAIN FUTURE BENEFIT (AS REFERRED IN THE COMPANY- ANNOUNCEMENT) VOTE ABSTAIN ON THE RELEVANT PROPOSAL ITEMS. BY DOING SO, YOU-ACKNOWLEDGE THAT YOU HAVE OBTAINED BENEFIT OR EXPECT TO OBTAIN BENEFIT BY THE- PASSING OF THE RELEVANT PROPOSAL/S. BY VOTING (FOR OR AGAINST) ON THE ABOVE-MENTIONED PROPOSAL/S, YOU ACKNOWLEDGE THAT YOU HAVE NOT OBTAINED BENEFIT-NEITHER EXPECT TO OBTAIN BENEFIT BY THE PASSING OF THE RELEVANT PROPOSAL/S-AND YOU COMPLY WITH THE VOTING EXCLUSION | Non-Voting | |||||||||
| DECHRA PHARMACEUTICALS PLC | |||||||||||
| Security | G2769C145 | Meeting Type | Annual General Meeting | ||||||||
| Ticker Symbol | Meeting Date | 27-Oct-2020 | |||||||||
| ISIN | GB0009633180 | Agenda | 713145705 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1 | TO RECEIVE THE ACCOUNTS OF THE COMPANY FOR THE YEAR ENDED 30 JUNE 2020, TOGETHER WITH THE STRATEGIC REPORT, DIRECTORS' REPORT AND THE AUDITOR'S REPORT | Management | For | For | For | ||||||
| 2 | TO APPROVE THE DIRECTORS' REMUNERATION REPORT FOR THE YEAR ENDED 30 JUNE 2020 | Management | For | For | For | ||||||
| 3 | TO RECEIVE AND APPROVE THE DIRECTORS' REMUNERATION POLICY FOR THE YEAR ENDED 30 JUNE 2020 | Management | For | For | For | ||||||
| 4 | TO DECLARE A FINAL DIVIDEND | Management | For | For | For | ||||||
| 5 | TO ELECT PAUL SANDLAND | Management | For | For | For | ||||||
| 6 | TO ELECT ALISON PLATT | Management | For | For | For | ||||||
| 7 | TO RE-ELECT WILLIAM ANTHONY RICE | Management | For | For | For | ||||||
| 8 | TO RE-ELECT IAN PAGE | Management | For | For | For | ||||||
| 9 | TO RE-ELECT ANTHONY GRIFFIN | Management | For | For | For | ||||||
| 10 | TO RE-ELECT LISA BRIGHT | Management | For | For | For | ||||||
| 11 | TO RE-ELECT JULIAN HESLOP | Management | For | For | For | ||||||
| 12 | TO RE-ELECT ISHBEL MACPHERSON | Management | For | For | For | ||||||
| 13 | TO RE-ELECT LAWSON MACARTNEY | Management | For | For | For | ||||||
| 14 | TO RE-APPOINT PRICEWATERHOUSECOOPERS AS EXTERNAL AUDITOR OF THE COMPANY | Management | For | For | For | ||||||
| 15 | TO AUTHORISE THE AUDIT COMMITTEE TO DETERMINE THE REMUNERATION OF THE EXTERNAL AUDITOR | Management | For | For | For | ||||||
| 16 | TO AUTHORISE THE DIRECTORS TO ALLOT SHARES TO SPECIFIC LIMITS | Management | For | For | For | ||||||
| 17 | TO DISAPPLY THE PRE-EMPTION RIGHTS | Management | For | For | For | ||||||
| 18 | TO DISAPPLY ADDITIONAL PRE- EMPTION RIGHTS | Management | For | For | For | ||||||
| 19 | TO AUTHORISE THE COMPANY TO PURCHASE ITS OWN SHARES | Management | For | For | For | ||||||
| 20 | TO AUTHORISE THE COMPANY TO HOLD ANY GENERAL MEETING (OTHER THAN AN ANNUAL GENERAL MEETING OF THE COMPANY) ON NOT LESS THAN 14 CLEAR DAYS' NOTICE | Management | For | For | For | ||||||
| SYSCO CORPORATION | |||||||||||
| Security | 871829107 | Meeting Type | Annual | ||||||||
| Ticker Symbol | SYY | Meeting Date | 20-Nov-2020 | ||||||||
| ISIN | US8718291078 | Agenda | 935276457 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1A. | Election of Director: Daniel J. Brutto | Management | For | For | For | ||||||
| 1B. | Election of Director: John M. Cassaday | Management | For | For | For | ||||||
| 1C. | Election of Director: Joshua D. Frank | Management | For | For | For | ||||||
| 1D. | Election of Director: Larry C. Glasscock | Management | For | For | For | ||||||
| 1E. | Election of Director: Bradley M. Halverson | Management | For | For | For | ||||||
| 1F. | Election of Director: John M. Hinshaw | Management | For | For | For | ||||||
| 1G. | Election of Director: Kevin P. Hourican | Management | For | For | For | ||||||
| 1H. | Election of Director: Hans-Joachim Koerber | Management | For | For | For | ||||||
| 1I. | Election of Director: Stephanie A. Lundquist | Management | For | For | For | ||||||
| 1J. | Election of Director: Nelson Peltz | Management | For | For | For | ||||||
| 1K. | Election of Director: Edward D. Shirley | Management | For | For | For | ||||||
| 1L. | Election of Director: Sheila G. Talton | Management | For | For | For | ||||||
| 2. | To approve, by advisory vote, the compensation paid to Sysco's named executive officers, as disclosed in Sysco's 2020 proxy statement. | Management | For | For | For | ||||||
| 3. | To ratify the appointment of Ernst & Young LLP as Sysco's independent registered public accounting firm for fiscal 2021. | Management | For | For | For | ||||||
| Mitsubishi HC Capital Inc. | |||||||||||
| Security | J4706D100 | Meeting Type | ExtraOrdinary General Meeting | ||||||||
| Ticker Symbol | Meeting Date | 26-Feb-2021 | |||||||||
| ISIN | JP3499800005 | Agenda | 713592447 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| Please reference meeting materials. | Non-Voting | ||||||||||
| 1 | Approve Merger Agreement between the Company and Hitachi Capital Corporation | Management | For | For | For | ||||||
| 2 | Amend Articles to: Change Official Company Name, Amend Business Lines, Increase Capital Shares to be issued, Adopt Reduction of Liability System for Directors, Transition to a Company with Supervisory Committee, Approve Minor Revisions | Management | For | For | For | ||||||
| 3.1 | Appoint a Director who is not Audit and Supervisory Committee Member Kawabe, Seiji | Management | For | For | For | ||||||
| 3.2 | Appoint a Director who is not Audit and Supervisory Committee Member Yanai, Takahiro | Management | For | For | For | ||||||
| 3.3 | Appoint a Director who is not Audit and Supervisory Committee Member Nishiura, Kanji | Management | For | For | For | ||||||
| 3.4 | Appoint a Director who is not Audit and Supervisory Committee Member Nonoguchi, Tsuyoshi | Management | For | For | For | ||||||
| 3.5 | Appoint a Director who is not Audit and Supervisory Committee Member Anei, Kazumi | Management | For | For | For | ||||||
| 3.6 | Appoint a Director who is not Audit and Supervisory Committee Member Inoue, Satoshi | Management | For | For | For | ||||||
| 3.7 | Appoint a Director who is not Audit and Supervisory Committee Member Sato, Haruhiko | Management | For | For | For | ||||||
| 3.8 | Appoint a Director who is not Audit and Supervisory Committee Member Nakata, Hiroyasu | Management | For | For | For | ||||||
| 3.9 | Appoint a Director who is not Audit and Supervisory Committee Member Icho, Mitsumasa | Management | For | For | For | ||||||
| 3.10 | Appoint a Director who is not Audit and Supervisory Committee Member Sasaki, Yuri | Management | For | For | For | ||||||
| 4.1 | Appoint a Director who is Audit and Supervisory Committee Member Kishino, Seiichiro | Management | For | For | For | ||||||
| 4.2 | Appoint a Director who is Audit and Supervisory Committee Member Miake, Shuji | Management | For | For | For | ||||||
| 4.3 | Appoint a Director who is Audit and Supervisory Committee Member Minoura, Teruyuki | Management | For | For | For | ||||||
| 4.4 | Appoint a Director who is Audit and Supervisory Committee Member Hiraiwa, Koichiro | Management | For | For | For | ||||||
| 4.5 | Appoint a Director who is Audit and Supervisory Committee Member Kaneko, Hiroko | Management | For | For | For | ||||||
| 5 | Approve Details of the Compensation to be received by Directors (Excluding Directors who are Audit and Supervisory Committee Members) | Management | For | For | For | ||||||
| 6 | Approve Details of the Compensation to be received by Directors who are Audit and Supervisory Committee Members | Management | For | For | For | ||||||
| 7 | Approve Details of Compensation as Stock- Linked Compensation Type Stock Options for Directors (Excluding Directors who are Audit and Supervisory Committee Members) | Management | For | For | For | ||||||
| 8 | Approve Details of the Compensation to be received by Directors (Excluding Directors who are Audit and Supervisory Committee Members) | Management | For | For | For | ||||||
| NOVARTIS AG | |||||||||||
| Security | 66987V109 | Meeting Type | Annual | ||||||||
| Ticker Symbol | NVS | Meeting Date | 02-Mar-2021 | ||||||||
| ISIN | US66987V1098 | Agenda | 935332584 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1. | Approval of the Operating and Financial Review of Novartis AG, the Financial Statements of Novartis AG and the Group Consolidated Financial Statements for the 2020 Financial Year. | Management | For | For | For | ||||||
| 2. | Discharge from Liability of the Members of the Board of Directors and the Executive Committee. | Management | For | For | For | ||||||
| 3. | Appropriation of Available Earnings of Novartis AG as per Balance Sheet and Declaration of Dividend for 2020. | Management | For | For | For | ||||||
| 4. | Reduction of Share Capital. | Management | For | For | For | ||||||
| 5. | Further Share Repurchases. | Management | For | For | For | ||||||
| 6A. | Binding Vote on the Maximum Aggregate Amount of Compensation for the Board of Directors from the 2021 Annual General Meeting to the 2022 Annual General Meeting. | Management | For | For | For | ||||||
| 6B. | Binding Vote on the Maximum Aggregate Amount of Compensation for the Executive Committee for the Financial Year 2022. | Management | For | For | For | ||||||
| 6C. | Advisory Vote on the 2020 Compensation Report. | Management | For | For | For | ||||||
| 7A. | Re-election of Joerg Reinhardt as Member and Chairman. | Management | For | For | For | ||||||
| 7B. | Re-election of Nancy C. Andrews | Management | For | For | For | ||||||
| 7C. | Re-election of Ton Buechner | Management | For | For | For | ||||||
| 7D. | Re-election of Patrice Bula | Management | For | For | For | ||||||
| 7E. | Re-election of Elizabeth Doherty | Management | For | For | For | ||||||
| 7F. | Re-election of Ann Fudge | Management | For | For | For | ||||||
| 7G. | Re-election of Bridgette Heller | Management | For | For | For | ||||||
| 7H. | Re-election of Frans van Houten | Management | For | For | For | ||||||
| 7I. | Re-election of Simon Moroney | Management | For | For | For | ||||||
| 7J. | Re-election of Andreas von Planta | Management | For | For | For | ||||||
| 7K. | Re-election of Charles L. Sawyers | Management | For | For | For | ||||||
| 7L. | Re-election of Enrico Vanni | Management | For | For | For | ||||||
| 7M. | Re-election of William T. Winters | Management | For | For | For | ||||||
| 8A. | Re-election of Patrice Bula to the Compensation Committee. | Management | For | For | For | ||||||
| 8B. | Re-election of Bridgette Heller to the Compensation Committee. | Management | For | For | For | ||||||
| 8C. | Re-election of Enrico Vanni to the Compensation Committee. | Management | For | For | For | ||||||
| 8D. | Re-Election of William T. Winters to the Compensation Committee. | Management | For | For | For | ||||||
| 8E. | Election of Simon Moroney to the Compensation Committee. | Management | For | For | For | ||||||
| 9. | Re-election of the Statutory Auditor. | Management | For | For | For | ||||||
| 10. | Re-election of the Independent Proxy. | Management | For | For | For | ||||||
| 11. | Amendment to Article 20 Paragraph 3 of the Articles of Incorporation. | Management | For | For | For | ||||||
| 12. | General instructions in case of alternative motions under the agenda items published in the Notice of Annual General Meeting, and/or of motions relating to additional agenda items according to Article 700 paragraph 3 of the Swiss Code of Obligations. | Management | For | For | For | ||||||
| S&P GLOBAL INC. | |||||||||||
| Security | 78409V104 | Meeting Type | Special | ||||||||
| Ticker Symbol | SPGI | Meeting Date | 11-Mar-2021 | ||||||||
| ISIN | US78409V1044 | Agenda | 935329816 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1. | Approval of the S&P Global Share Issuance. To vote on a proposal to approve the issuance of S&P Global Inc. common stock, par value $1.00 per share, to the shareholders of IHS Markit Ltd. in connection with the merger contemplated by Agreement and Plan of Merger dated Nov. 29, 2020, as amended by Amendment No. 1, dated as of January 20, 2021, and as it may further be amended from time to time, by and among S&P Global Inc., Sapphire Subsidiary, Ltd. and IHS Markit Ltd. | Management | For | For | For | ||||||
| BROADCOM INC | |||||||||||
| Security | 11135F101 | Meeting Type | Annual | ||||||||
| Ticker Symbol | AVGO | Meeting Date | 05-Apr-2021 | ||||||||
| ISIN | US11135F1012 | Agenda | 935335768 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1A. | Election of Director: Ms. Diane M. Bryant | Management | For | For | For | ||||||
| 1B. | Election of Director: Ms. Gayla J. Delly | Management | For | For | For | ||||||
| 1C. | Election of Director: Mr. Raul J. Fernandez | Management | For | For | For | ||||||
| 1D. | Election of Director: Mr. Eddy W. Hartenstein | Management | For | For | For | ||||||
| 1E. | Election of Director: Mr. Check Kian Low | Management | For | For | For | ||||||
| 1F. | Election of Director: Ms. Justine F. Page | Management | For | For | For | ||||||
| 1G. | Election of Director: Dr. Henry Samueli | Management | For | For | For | ||||||
| 1H. | Election of Director: Mr. Hock E. Tan | Management | For | For | For | ||||||
| 1I. | Election of Director: Mr. Harry L. You | Management | For | For | For | ||||||
| 2. | Ratification of the appointment of Pricewaterhouse-Coopers LLP as Broadcom's independent registered public accounting firm for the fiscal year ending October 31, 2021. | Management | For | For | For | ||||||
| 3. | Approval of an amendment and restatement of Broadcom's 2012 Stock Incentive Plan. | Management | For | For | For | ||||||
| 4. | Advisory vote to approve compensation of Broadcom's named executive officers. | Management | For | For | For | ||||||
| ATENOR S.A. | |||||||||||
| Security | B05146137 | Meeting Type | Ordinary General Meeting | ||||||||
| Ticker Symbol | Meeting Date | 23-Apr-2021 | |||||||||
| ISIN | BE0003837540 | Agenda | 713721555 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| CMMT | MARKET RULES REQUIRE DISCLOSURE OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED-ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO-PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE-POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED-IN ORDER FOR YOUR VOTE TO BE LODGED | Non-Voting | |||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF-ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING- INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | |||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF-NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF BEING REJECTED. THANK YOU | Non-Voting | |||||||||
| 1 | PRESENTATION OF THE ANNUAL ACCOUNTS (CONSOLIDATED AND CORPORATE), OF THE-BOARD OF DIRECTORS' MANAGEMENT REPORT AND OF THE STATUTORY AUDITOR'S REPORTS-FOR 2020 | Non-Voting | |||||||||
| 2 | APPROVAL OF THE CORPORATE ANNUAL ACCOUNTS AND THE ALLOCATION OF THE RESULTS: APPROVAL OF THE CORPORATE ANNUAL ACCOUNTS CLOSED ON 31 DECEMBER 2020, INCLUDING THE ALLOCATION OF THE RESULTS PROPOSED BY THE BOARD OF DIRECTORS, I.E. (I) A GROSS DIVIDEND OF EUR 2.42 PER SHARE FOR THOSE SHARES WHOSE ENTITLEMENT TO | Management | For | For | For | ||||||
| DIVIDEND HAS NOT BEEN SUSPENDED AND (II) DIRECTOR'S FEES (FOR EXERCISING A MANDATE AS DIRECTOR DURING THE FINANCIAL YEAR 2020) AMOUNTING TO EUR 410,000, OF WHICH EUR 75,000 ARE PAYABLE IN THE FORM OF SHARES IN THE COMPANY | |||||||||||
| 3.1 | DISCHARGE BY SEPARATE VOTE TO THE DIRECTOR AND THE AUDITOR FOR THE EXERCISE OF THEIR MANDATE IN THE COURSE OF THE 2019 FINANCIAL YEAR: MR FRANK DONCK, DIRECTOR | Management | For | For | For | ||||||
| 3.2 | DISCHARGE BY SEPARATE VOTE TO THE DIRECTOR AND THE AUDITOR FOR THE EXERCISE OF THEIR MANDATE IN THE COURSE OF THE 2019 FINANCIAL YEAR: STEPHAN SONNEVILLE SA, DIRECTOR, REPRESENTED BY MR STEPHAN SONNEVILLE | Management | For | For | For | ||||||
| 3.3 | DISCHARGE BY SEPARATE VOTE TO THE DIRECTOR AND THE AUDITOR FOR THE EXERCISE OF THEIR MANDATE IN THE COURSE OF THE 2019 FINANCIAL YEAR: MR CHRISTIAN DELAIRE, DIRECTOR | Management | For | For | For | ||||||
| 3.4 | DISCHARGE BY SEPARATE VOTE TO THE DIRECTOR AND THE AUDITOR FOR THE EXERCISE OF THEIR MANDATE IN THE COURSE OF THE 2019 FINANCIAL YEAR: INVESTEA SRL, DIRECTOR, REPRESENTED BY MRS EMMANUELE ATTOUT | Management | For | For | For | ||||||
| 3.5 | DISCHARGE BY SEPARATE VOTE TO THE DIRECTOR AND THE AUDITOR FOR THE EXERCISE OF THEIR MANDATE IN THE COURSE OF THE 2019 FINANCIAL YEAR: LUXEMPART MANAGEMENT SARL, DIRECTOR, REPRESENTED BY MR JACQUOT SCHWERTZER | Management | For | For | For | ||||||
| 3.6 | DISCHARGE BY SEPARATE VOTE TO THE DIRECTOR AND THE AUDITOR FOR THE EXERCISE OF THEIR MANDATE IN THE COURSE OF THE 2019 FINANCIAL YEAR: MG PRAXIS SRL, DIRECTOR, REPRESENTED BY MRS MICHELE GREGOIRE | Management | For | For | For | ||||||
| 3.7 | DISCHARGE BY SEPARATE VOTE TO THE DIRECTOR AND THE AUDITOR FOR THE EXERCISE OF THEIR MANDATE IN THE COURSE OF THE 2019 FINANCIAL YEAR: SOGESTRA SRL, DIRECTOR, REPRESENTED BY MRS NADINE LEMAITRE | Management | For | For | For | ||||||
| 3.8 | DISCHARGE BY SEPARATE VOTE TO THE DIRECTOR AND THE AUDITOR FOR THE EXERCISE OF THEIR MANDATE IN THE COURSE OF THE 2019 FINANCIAL YEAR: MR PHILIPPE VASTAPANE, DIRECTOR | Management | For | For | For | ||||||
| 3.9 | DISCHARGE BY SEPARATE VOTE TO THE DIRECTOR AND THE AUDITOR FOR THE EXERCISE OF THEIR MANDATE IN THE COURSE OF THE 2019 FINANCIAL YEAR: MAZARS REVISEURS D'ENTREPRISES SCRL, AUDITOR, REPRESENTED BY MR XAVIER DOYEN | Management | For | For | For | ||||||
| 4.1 | AT THE PROPOSAL OF THE NOMINATION AND REMUNERATION COMMITTEE: RENEWAL OF THE MANDATE OF MR. FRANK DONCK AS DIRECTOR. THIS MANDATE OF THREE YEARS COULD BE REMUNERATED AND WILL EXPIRE AT THE END OF THE ORDINARY GENERAL ASSEMBLY OF 26 APRIL 2024 | Management | For | For | For | ||||||
| 4.2 | AT THE PROPOSAL OF THE NOMINATION AND REMUNERATION COMMITTEE: RENEWAL OF THE MANDATE OF MR. PHILIPPE VASTAPANE AS DIRECTOR. THIS MANDATE OF THREE YEARS COULD BE REMUNERATED AND WILL EXPIRE AT THE END OF THE ORDINARY GENERAL ASSEMBLY OF 26 APRIL 2024 | Management | For | For | For | ||||||
| 4.3 | AT THE PROPOSAL OF THE NOMINATION AND REMUNERATION COMMITTEE: RENEWAL OF THE MANDATE OF INVESTEA SRL, REPRESENTED BY MS. EMMANUELE ATTOUT AS INDEPENDENT DIRECTOR. THIS MANDATE OF THREE YEARS COULD BE REMUNERATED AND WILL EXPIRE AT THE END OF THE ORDINARY GENERAL ASSEMBLY ON 26 APRIL 2024 | Management | For | For | For | ||||||
| 4.4 | AT THE PROPOSAL OF THE NOMINATION AND REMUNERATION COMMITTEE: RENEWAL OF THE MANDATE OF MG PRAXIS SRL, REPRESENTED BY MS. MICHELE GREGOIRE AS INDEPENDENT DIRECTOR. THIS MANDATE OF THREE YEARS COULD BE REMUNERATED AND WILL EXPIRE AT THE END OF THE ORDINARY GENERAL ASSEMBLY ON 26 APRIL 2024 | Management | For | For | For | ||||||
| 4.5 | AT THE PROPOSAL OF THE NOMINATION AND REMUNERATION COMMITTEE: RENEWAL OF THE MANDATE OF MR. CHRISTIAN DELAIRE AS INDEPENDENT DIRECTOR. THIS MANDATE OF THREE YEARS COULD BE REMUNERATED AND WILL EXPIRE AT THE END OF THE ORDINARY GENERAL ASSEMBLY OF 26 APRIL 2024 | Management | For | For | For | ||||||
| 4.6 | AT THE PROPOSAL OF THE AUDIT COMMITTEE: NOMINATION, AS AUDITORS, OF SRL EY REVISEURS D'ENTREPRISES, WHOSE REGISTERED OFFICE IS LOCATED AT 1831 DIEGEM, DE KLEETLAAN 2, REGISTERED WITH THE CROSSROADS BANK FOR ENTERPRISES UNDER THE NUMBER 0446.334.711, WHICH NOMINATES AS ITS PERMANENT REPRESENTATIVE MR. CARLO-SEBASTIEN D'ADDARIO, COMPANY AUDITOR, AT A FEE, EXCLUDING VAT (AND EXCLUDING EXPENSES AND DISBURSEMENTS) OF 55,000 EUROS, INDEXED, PER YEAR. THE THREE YEAR MANDATE OF THE AUDITOR WILL EXPIRE AT THE END OF THE ORDINARY GENERAL ASSEMBLY, WHICH WILL BE CALLED UPON TO RULE ON THE APPROVAL OF THE ACCOUNTS FOR THE FINANCIAL YEAR ENDING ON 31 DECEMBER 2023 | Management | For | For | For | ||||||
| 5 | APPROVAL OF THE REMUNERATION POLICY: APPROVAL OF THE REMUNERATION POLICY PROPOSED BY THE BOARD OF DIRECTORS, AT THE PROPOSAL OF THE NOMINATION AND REMUNERATION COMMITTEE | Management | For | For | For | ||||||
| 6 | REMUNERATION OF DIRECTORS: AT THE PROPOSAL OF THE NOMINATION AND REMUNERATION COMMITTEE, APPROVAL OF THE LEVEL OF ANNUAL REMUNERATION OF THE NON- EXECUTIVE DIRECTORS, FOR A PERIOD OF FIVE YEARS, AS FOLLOWS: - 80,000 EUROS FOR THE CHAIR OF THE BOARD OF DIRECTORS, OF WHICH 15,000 EUROS ARE PAYABLE IN THE FORM OF SHARES IN THE COMPANY, - 50,000 EUROS FOR EACH OF THE OTHER NON-EXECUTIVE DIRECTORS, WHETHER OR NOT THEY ARE MEMBERS OF THE AUDIT COMMITTEE AND/OR THE NOMINATION AND REMUNERATION COMMITTEE, OF | Management | For | For | For | ||||||
| WHICH 15,000 EUROS ARE PAYABLE IN THE FORM OF SHARES IN THE COMPANY, - 15,000 EUROS, ADDITIONALLY, FOR EACH OF THE CHAIRS OF THE AUDIT COMMITTEE AND/OR THE NOMINATION AND REMUNERATION COMMITTEE | |||||||||||
| 7 | PRESENTATION OF THE REMUNERATION REPORT FOR THE FINANCIAL YEAR 2020: APPROVAL OF THE REMUNERATION REPORT | Management | For | For | For | ||||||
| 8.1 | OPTIONS PLAN: WHERE NECESSARY, APPROVAL: - OF THE ANNUAL ASSIGNMENT, TO MEMBERS OF THE EXECUTIVE BOARD (INCLUDING THE EXECUTIVE DIRECTOR), OF SHARE OPTIONS IN SA ATENOR GROUP PARTICIPATIONS, AT AN EXERCISE PRICE THAT MAY NOT BE INFERIOR TO THE REAL VALUE OF THE SHARES, AS DETERMINED BY THE ASSENT OF THE AUDITOR OF SA ATENOR GROUP PARTICIPATIONS. - OF THE FACT THAT PART OF THESE OPTIONS ARE EXERCISABLE LESS THAN 3 YEARS AFTER THEIR ASSIGNMENT | Management | For | For | For | ||||||
| 8.2 | OPTIONS PLAN: WHERE NECESSARY, APPROVAL: - OF THE ISSUANCE OF THE OPTIONS PLAN FOR ATENOR LONG TERM GROWTH SA SHARES AIMED AT MEMBERS OF THE EXECUTIVE COMMITTEE, PERSONNEL OR SOME SERVICES PROVIDERS OF THE COMPANY OR OF ITS SUBSIDIARIES CONCERNING A MAXIMUM OF 60,000 SHARES, TO BE ASSIGNED IN 2021 | Management | For | For | For | ||||||
| 9.1 | APPROVAL OF CLAUSES ON CHANGE OF CONTROL: - IN THE CONTEXT OF THE TWO-TRANCHE BOND LOAN (MATURING IN 2024 AND 2026), APPROVAL OF CONDITION 5.6(B) "REIMBURSEMENT OF THE BONDHOLDERS' OPTION IN THE CASE OF CHANGE OF CONTROL", AS DEFINED IN ARTICLE 5.1.1 OF THE PUBLIC OFFER AND LISTING PROSPECTUS APPROVED BY THE FSMA ON 13 OCTOBER 2020: IN ACCORDANCE WITH ARTICLE 7:151 OF THE COMPANIES AND ASSOCIATIONS CODE, APPROVAL OF THE CLAUSE ON CHANGE OF CONTROL, AS DESCRIBED IN THE PUBLIC OFFER AND LISTING PROSPECTUS APPROVED BY THE FSMA ON 13 OCTOBER 2020 AND, MORE PARTICULARLY, WITH | Management | For | For | For | ||||||
| CONDITION 5.6(B) "REIMBURSEMENT OF THE BONDHOLDERS' OPTION IN THE CASE OF CHANGE OF CONTROL", AS ALSO MORE GENERALLY ANY OTHER CLAUSE ON CHANGE OF CONTROL PRESENT IN THE ABOVE-MENTIONED PROSPECTUS CONFERRING UPON THIRD PARTIES RIGHTS SUBSTANTIALLY AFFECTING THE ASSETS OF THE COMPANY OR GIVING RISE TO A DEBT OR A SUBSTANTIAL COMMITMENT ON ITS PART, WHEN THE EXERCISE OF THESE RIGHTS DEPENDS ON THE LAUNCH OF A TAKEOVER BID ON SHARES IN THE COMPANY OR ON A CHANGE IN ITS CONTROL, AND AUTHORISATION TO PROCEED TO THE FILING AND PUBLICATION FORMALITIES LAID DOWN IN THE COMPANIES AND ASSOCIATIONS CODE | |||||||||||
| 9.2 | APPROVAL OF CLAUSES ON CHANGE OF CONTROL: - IN THE CONTEXT OF THE UPDATING OF THE EMTN (EURO MEDIUM TERM NOTE) PROGRAMME TO A MAXIMUM AMOUNT OF 150 MILLION EUROS, APPROVAL OF THE CHANGE OF CONTROL RESOLUTIONS AS DEFINED IN ARTICLE 7.D (II) (CHANGE OF CONTROL PUT OPTION) OF THE BASE PROSPECTUS OF 3 FEBRUARY 2021: IN ACCORDANCE WITH ARTICLE 7:151 OF THE COMPANIES AND ASSOCIATIONS CODE, APPROVAL OF ARTICLE 7.D (II) (CHANGE OF CONTROL PUT OPTION) OF THE BASE PROSPECTUS OF 3 FEBRUARY 2021 AUTHORISING BONDHOLDERS, IN CASE OF CHANGE OF CONTROL, TO EXERCISE THE OPTION PROVIDED FOR IN CONDITION 7.D (II), PROVIDED THAT THE PROCEDURE LAID DOWN IS RESPECTED, AS WELL AS, MORE GENERALLY, ANY OTHER CLAUSE PRESENT IN THE AFOREMENTIONED PROSPECTUS CONFERRING UPON THIRD PARTIES RIGHTS SUBSTANTIALLY AFFECTING THE COMPANY'S ASSETS OR GIVING RISE TO A DEBT OR A SUBSTANTIAL COMMITMENT ON ITS PART, WHEN THE EXERCISE OF THESE RIGHTS DEPENDS | Management | For | For | For | ||||||
| ON THE LAUNCH OF A TAKEOVER BID ON SHARES IN THE COMPANY OR ON A CHANGE IN ITS CONTROL, AND AUTHORISATION TO PROCEED TO THE FILING AND PUBLICATION FORMALITIES SET OUT IN THE COMPANIES AND ASSOCIATIONS CODE | |||||||||||
| 9.3 | APPROVAL OF CLAUSES ON CHANGE OF CONTROL: - IN THE CONTEXT OF THE TWO-TRANCHE BOND LOAN (GREEN RETAIL BOND, MATURING IN 2025 AND 2027), APPROVAL OF CONDITION 5.6.1 (B) "REIMBURSEMENT OF THE BONDHOLDERS' OPTION IN THE CASE OF CHANGE OF CONTROL", AS DEFINED IN ARTICLE 5.1.1 OF THE PUBLIC OFFER PROSPECTUS APPROVED BY THE FSMA ON 8 MARCH 2021: IN ACCORDANCE WITH ARTICLE 7:151 OF THE COMPANIES AND ASSOCIATIONS CODE, APPROVAL OF THE CLAUSE ON CHANGE OF CONTROL, AS DESCRIBED IN THE PUBLIC OFFER AND LISTING PROSPECTUS APPROVED BY THE FSMA ON 8 MARCH 2021 AND, MORE PARTICULARLY, WITH CONDITION 5.6.1(B) "REIMBURSEMENT OF THE BONDHOLDERS' OPTION IN THE CASE OF CHANGE OF CONTROL", AS ALSO MORE GENERALLY ANY OTHER CLAUSE PRESENT IN THE ABOVE- MENTIONED PROSPECTUS CONFERRING UPON THIRD PARTIES RIGHTS SUBSTANTIALLY AFFECTING THE ASSETS OF THE COMPANY OR GIVING RISE TO A DEBT OR A SUBSTANTIAL COMMITMENT ON ITS PART, WHEN THE EXERCISE OF THESE RIGHTS DEPENDS ON THE LAUNCH OF A TAKEOVER BID ON SHARES IN THE COMPANY OR ON A CHANGE IN ITS CONTROL, AND AUTHORISATION TO PROCEED TO THE FILING AND PUBLICATION FORMALITIES SET OUT IN THE COMPANIES AND ASSOCIATIONS CODE | Management | For | For | For | ||||||
| 10 | POWERS: TO CONFER ALL POWERS UPON THE BOARD OF DIRECTORS FOR THE EXECUTION OF THE DECISIONS TAKEN | Management | For | For | For | ||||||
| CMMT | 14 APR 2021: INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE-CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE-II, YOU SHOULD BE PROVIDING THE UNDERLYING | Non-Voting | |||||||||
| SHAREHOLDER INFORMATION AT THE- VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF-DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED-CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE | |||||||||||
| CMMT | 14 APR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF COMMENT.-IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU-DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting | |||||||||
| TRITON INTERNATIONAL LIMITED | |||||||||||
| Security | G9078F107 | Meeting Type | Annual | ||||||||
| Ticker Symbol | TRTN | Meeting Date | 27-Apr-2021 | ||||||||
| ISIN | BMG9078F1077 | Agenda | 935349541 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1A. | Election of Director: Brian M. Sondey | Management | For | For | For | ||||||
| 1B. | Election of Director: Robert W. Alspaugh | Management | For | For | For | ||||||
| 1C. | Election of Director: Malcolm P. Baker | Management | For | For | For | ||||||
| 1D. | Election of Director: Annabelle Bexiga | Management | For | For | For | ||||||
| 1E. | Election of Director: Claude Germain | Management | For | For | For | ||||||
| 1F. | Election of Director: Kenneth Hanau | Management | For | For | For | ||||||
| 1G. | Election of Director: John S. Hextall | Management | For | For | For | ||||||
| 1H. | Election of Director: Robert L. Rosner | Management | For | For | For | ||||||
| 1I. | Election of Director: Simon R. Vernon | Management | For | For | For | ||||||
| 2. | ADVISORY VOTE TO APPROVE THE COMPENSATION OF NAMED EXECUTIVE OFFICERS. | Management | For | For | For | ||||||
| 3. | RATIFICATION OF APPOINTMENT OF KPMG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | For | ||||||
| 4. | APPROVAL OF AMENDMENTS TO THE COMPANY'S BYE-LAWS TO ELIMINATE PROVISIONS RELATING TO FORMER SPONSOR SHAREHOLDERS. | Management | For | For | For | ||||||
| UCB SA | |||||||||||
| Security | B93562120 | Meeting Type | Ordinary General Meeting | ||||||||
| Ticker Symbol | Meeting Date | 29-Apr-2021 | |||||||||
| ISIN | BE0003739530 | Agenda | 713755190 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| CMMT | MARKET RULES REQUIRE DISCLOSURE OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED-ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO-PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE-POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED-IN ORDER FOR YOUR VOTE TO BE LODGED | Non-Voting | |||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF-ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING- INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | |||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF-NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF BEING REJECTED. THANK YOU | Non-Voting | |||||||||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 538074 DUE TO RECEIPT OF-UPDATED AGENDA. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE- DISREGARDED IF VOTE DEADLINE EXTENSIONS ARE GRANTED. THEREFORE PLEASE-REINSTRUCT ON THIS MEETING NOTICE ON THE NEW JOB. IF HOWEVER VOTE DEADLINE- EXTENSIONS ARE NOT GRANTED IN THE MARKET, THIS MEETING WILL BE | Non-Voting | |||||||||
| CLOSED AND-YOUR VOTE INTENTIONS ON THE ORIGINAL MEETING WILL BE APPLICABLE. PLEASE-ENSURE VOTING IS SUBMITTED PRIOR TO CUTOFF ON THE ORIGINAL MEETING, AND AS-SOON AS POSSIBLE ON THIS NEW AMENDED MEETING. THANK YOU | |||||||||||
| 1 | PRESENTATION OF THE REPORT OF THE BOARD OF DIRECTORS | Non-Voting | |||||||||
| 2 | PRESENTATION OF THE REPORT OF THE STATUTORY AUDITOR | Non-Voting | |||||||||
| 3 | PRESENTATION OF THE CONSOLIDATED ANNUAL ACCOUNTS | Non-Voting | |||||||||
| 4 | APPROVAL OF THE ANNUAL ACCOUNTS AND APPROPRIATION OF THE RESULTS | Management | For | For | For | ||||||
| 5 | APPROVAL OF THE REMUNERATION REPORT | Management | For | For | For | ||||||
| 6 | APPROVAL OF THE REMUNERATION POLICY FOR 2021 | Management | For | For | For | ||||||
| 7 | PROPOSAL TO GRANT DISCHARGE TO THE DIRECTORS | Management | For | For | For | ||||||
| 8 | PROPOSAL TO GRANT DISCHARGE TO THE STATUTORY AUDITOR | Management | For | For | For | ||||||
| 9.1.A | PROPOSAL TO APPOINT STEFAN OSCHMANN AS DIRECTOR | Management | For | For | For | ||||||
| 9.1.B | PROPOSAL TO ACKNOWLEDGE THAT, FROM THE INFORMATION MADE AVAILABLE TO THE COMPANY, STEFAN OSCHMANN QUALIFIES AS AN INDEPENDENT DIRECTOR | Management | For | For | For | ||||||
| 9.2 | PROPOSAL TO APPOINT FIONA DU MONCEAU AS DIRECTOR | Management | For | For | For | ||||||
| 9.3.A | PROPOSAL TO APPROVE THE CO- OPTATION OF SUSAN GASSER AS INDEPENDENT DIRECTOR FROM 1 JANUARY 2021 TILL 29 APRIL 2021 | Management | For | For | For | ||||||
| 9.3.B | PROPOSAL TO APPOINT SUSAN GASSER AS INDEPENDENT DIRECTOR FOR A TERM OF 4 YEARS | Management | For | For | For | ||||||
| 9.3.C | PROPOSAL TO ACKNOWLEDGE THAT, FROM THE INFORMATION MADE AVAILABLE TO THE COMPANY, SUSAN GASSER QUALIFIES AS AN INDEPENDENT DIRECTOR | Management | For | For | For | ||||||
| 9.4.A | PROPOSAL TO APPOINT JONATHAN PEACOCK AS INDEPENDENT DIRECTOR | Management | For | For | For | ||||||
| 9.4.B | PROPOSAL TO ACKNOWLEDGE THAT, FROM THE INFORMATION MADE AVAILABLE TO THE COMPANY, JONATHAN PEACOCK QUALIFIES AS AN INDEPENDENT DIRECTOR | Management | For | For | For | ||||||
| 9.5.A | PROPOSAL TO APPOINT ALBRECHT DE GRAEVE AS DIRECTOR | Management | For | For | For | ||||||
| 9.5.B | PROPOSAL TO ACKNOWLEDGE TAHT, FROM THE INFORMATION MADE AVAILABLE TO THE COMPANY, ALBRECHT DE GRAEVE QUALIFIES AS AN INDEPENDENT DIRECTOR | Management | For | For | For | ||||||
| 9.6.A | PROPOSAL TO APPOINT VIVIANE MONGES AS DIRECTOR | Management | For | For | For | ||||||
| 9.6.B | PROPOSAL TO ACKNOWLEDGE THAT, FROM THE INFORMATION MADE AVAILABLE TO THE COMPANY, VIVIANE MONGES QUALIFIES AS AN INDEPENDENT DIRECTOR | Management | For | For | For | ||||||
| 10 | PROPOSAL TO APPOINT MAZARS REVISEURS D'ENTREPRISES CVBA AS STATUTORY AUDITOR | Management | For | For | For | ||||||
| 11 | PROPOSAL TO APPROVE THE DECISION OF THE BOARD OF DIRECTORS TO ALLOCATE AN ESTIMATE OF 940.000 FREE SHARES | Management | For | For | For | ||||||
| 12.1 | APPROVAL TO RENEW, PURSUANT TO ARTICLE 7.151 OF THE BELGIAN CODE OF COMPANIES AND ASSOCIATIONS, : (I) OF CONDITION 5 (E) (I) OF THE TERMS AND CONDITIONS OF THE EMTN PROGRAM IN RESPECT OF ANY SERIES OF NOTES TO WHICH SUCH CONDITION IS MADE APPLICABLE BEING ISSUED UNDER THE PROGRAM FROM 30 APRIL 2021 UNTIL 28 APRIL 2022, UNDER WHICH ANY AND ALL OF THE HOLDERS OF THE RELEVANT NOTES CAN, IN CERTAIN CIRCUMSTANCES WHEN A CHANGE OF CONTROL AT THE LEVEL OF UCB SA/NV OCCURS, REQUIRE UCB SA/NV TO REDEEM THAT NOTE ON THE CHANGE OF CONTROL PUT DATE AT THE PUT REDEMPTION AMOUNT TOGETHER, IF APPROPRIATE, WITH INTEREST ACCRUED TO SUCH CHANGE OF CONTROL PUT DATE, FOLLOWING A CHANGE OF CONTROL OF UCB SA/NV; AND (II) OF ANY OTHER PROVISION OF THE EMTN PROGRAM OR NOTES ISSUED UNDER THE EMTN PROGRAM GRANTING RIGHTS TO THIRD PARTIES WHICH COULD AFFECT AN OBLIGATION ON UCB SA/NV WHERE IN EACH CASE THE EXERCISE OF THESE RIGHTS IS DEPENDENT ON THE OCCURRENCE OF A CHANGE OF CONTROL | Management | For | For | For | ||||||
| YAMANA GOLD INC. | |||||||||||
| Security | 98462Y100 | Meeting Type | Annual | ||||||||
| Ticker Symbol | AUY | Meeting Date | 29-Apr-2021 | ||||||||
| ISIN | CA98462Y1007 | Agenda | 935381169 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1 | DIRECTOR | Management | |||||||||
| 1 | John Begeman | For | For | For | |||||||
| 2 | Christiane Bergevin | For | For | For | |||||||
| 3 | Alexander Davidson | For | For | For | |||||||
| 4 | Richard Graff | For | For | For | |||||||
| 5 | Kimberly Keating | For | For | For | |||||||
| 6 | Peter Marrone | For | For | For | |||||||
| 7 | Daniel Racine | For | For | For | |||||||
| 8 | Jane Sadowsky | For | For | For | |||||||
| 9 | Dino Titaro | For | For | For | |||||||
| 2 | Appointment of Deloitte LLP as Auditors of the Corporation for the ensuing year and authorizing the Directors to fix their remuneration. | Management | For | For | For | ||||||
| 3 | On an advisory basis, and not to diminish the role and responsibilities of our board, you accept the approach to executive compensation disclosed in our 2021 management information circular. | Management | For | For | For | ||||||
| LAFARGEHOLCIM LTD | |||||||||||
| Security | H4768E105 | Meeting Type | Annual General Meeting | ||||||||
| Ticker Symbol | Meeting Date | 04-May-2021 | |||||||||
| ISIN | CH0012214059 | Agenda | 713905834 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS ARE REQUIRED FOR THIS MEETING. IF-NO BENEFICIAL OWNER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY BE REJECTED.-THANK YOU. | Non-Voting | |||||||||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 528775 DUE TO RECEIPT OF-ADDITIONAL RESOLUTION 7. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE- DISREGARDED IF VOTE DEADLINE EXTENSIONS ARE GRANTED. THEREFORE PLEASE-REINSTRUCT ON THIS MEETING NOTICE ON THE NEW JOB. IF HOWEVER VOTE DEADLINE- EXTENSIONS ARE NOT GRANTED IN THE MARKET, THIS MEETING WILL BE CLOSED AND-YOUR VOTE INTENTIONS ON THE ORIGINAL MEETING WILL BE APPLICABLE. PLEASE-ENSURE VOTING IS SUBMITTED PRIOR TO CUTOFF ON THE ORIGINAL MEETING, AND AS-SOON AS POSSIBLE ON THIS NEW AMENDED MEETING. THANK YOU | Non-Voting | |||||||||
| CMMT | PART 2 OF THIS MEETING IS FOR VOTING ON AGENDA AND MEETING ATTENDANCE-REQUESTS ONLY. PLEASE ENSURE THAT YOU HAVE FIRST VOTED IN FAVOUR OF THE- REGISTRATION OF SHARES IN PART 1 OF THE MEETING. IT IS A MARKET REQUIREMENT-FOR MEETINGS OF THIS TYPE THAT THE SHARES ARE REGISTERED AND MOVED TO A- REGISTERED LOCATION AT THE CSD, AND SPECIFIC POLICIES AT THE INDIVIDUAL-SUB-CUSTODIANS MAY VARY. UPON RECEIPT OF THE VOTE INSTRUCTION, IT IS POSSIBLE-THAT A MARKER MAY BE PLACED ON YOUR SHARES TO ALLOW FOR RECONCILIATION AND-RE- REGISTRATION FOLLOWING A TRADE. THEREFORE WHILST THIS DOES NOT PREVENT THE-TRADING OF SHARES, ANY THAT ARE REGISTERED MUST BE | Non-Voting | |||||||||
| FIRST DEREGISTERED IF-REQUIRED FOR SETTLEMENT. DEREGISTRATION CAN AFFECT THE VOTING RIGHTS OF THOSE-SHARES. IF YOU HAVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR- CLIENT REPRESENTATIVE | |||||||||||
| 1.1 | APPROVAL OF THE MANAGEMENT REPORT, THE ANNUAL CONSOLIDATED FINANCIAL STATEMENTS OF THE GROUP, AND THE ANNUAL FINANCIAL STATEMENTS OF LAFARGEHOLCIM LTD | Management | For | For | For | ||||||
| 1.2 | ADVISORY VOTE ON THE COMPENSATION REPORT | Management | For | For | For | ||||||
| 2 | DISCHARGE OF THE MEMBERS OF THE BOARD OF DIRECTORS AND THE PERSONS ENTRUSTED WITH MANAGEMENT | Management | For | For | For | ||||||
| 3.1 | APPROPRIATION OF AVAILABLE EARNINGS: THE BOARD OF DIRECTORS' MOTION IS THAT THE AVAILABLE EARNINGS OF CHF 14,824 MILLION (COMPRISING RETAINED EARNINGS OF CHF 13,343 MILLION CARRIED FORWARD FROM THE PREVIOUS YEAR AND NET INCOME FOR 2020 OF CHF 1,481 MILLION) BE CARRIED FORWARD TO THE NEW ACCOUNT | Management | For | For | For | ||||||
| 3.2 | DISTRIBUTION PAYABLE OUT OF CAPITAL CONTRIBUTION RESERVES: THE BOARD OF DIRECTORS' MOTION IS TO DISTRIBUTE CHF 2.00 PER REGISTERED SHARE OF CHF 2.00 PAR VALUE UP TO AN AMOUNT OF CHF 1,224 MILLION | Management | For | For | For | ||||||
| 4.1 | CHANGE OF NAME OF HOLDING COMPANY: THE BOARD OF DIRECTORS' MOTION IS TO AMEND THE FIRST PART OF ART. 1 OF THE ARTICLES OF INCORPORATION AS FOLLOWS (CHANGES ARE HIGHLIGHTED IN ITALICS): ARTICLE 1: UNDER THE NAME HOLCIM LTD (HOLCIM AG) (HOLCIM S.A.) SHALL EXIST A CORPORATION UNDER SWISS LAW, OF UNDETERMINED DURATION | Management | For | For | For | ||||||
| 4.2 | RELOCATION OF REGISTERED OFFICE OF HOLDING COMPANY | Management | For | For | For | ||||||
| 5.1.1 | RE-ELECTION OF DR. BEAT HESS AS A MEMBER AND RE-ELECTION AS CHAIRMAN OF THE BOARD OF DIRECTORS | Management | For | For | For | ||||||
| 5.1.2 | RE-ELECTION OF PROF. DR. PHILIPPE BLOCK AS A MEMBER OF THE BOARD OF DIRECTORS | Management | For | For | For | ||||||
| 5.1.3 | RE-ELECTION OF KIM FAUSING AS A MEMBER OF THE BOARD OF DIRECTORS | Management | For | For | For | ||||||
| 5.1.4 | RE-ELECTION OF COLIN HALL AS A MEMBER OF THE BOARD OF DIRECTORS | Management | For | For | For | ||||||
| 5.1.5 | RE-ELECTION OF NAINA LAL KIDWAI AS A MEMBER OF THE BOARD OF DIRECTORS | Management | For | For | For | ||||||
| 5.1.6 | RE-ELECTION OF PATRICK KRON AS A MEMBER OF THE BOARD OF DIRECTORS | Management | For | For | For | ||||||
| 5.1.7 | RE-ELECTION OF ADRIAN LOADER AS A MEMBER OF THE BOARD OF DIRECTORS | Management | For | For | For | ||||||
| 5.1.8 | RE-ELECTION OF JURG OLEAS AS A MEMBER OF THE BOARD OF DIRECTORS | Management | For | For | For | ||||||
| 5.1.9 | RE-ELECTION OF CLAUDIA SENDER RAMIREZ AS A MEMBER OF THE BOARD OF DIRECTORS | Management | For | For | For | ||||||
| 5.110 | RE-ELECTION OF HANNE BIRGITTE BREINBJERG SORENSEN AS A MEMBER OF THE BOARD OF DIRECTORS | Management | For | For | For | ||||||
| 5.111 | RE-ELECTION OF DR. DIETER SPALTI AS A MEMBER OF THE BOARD OF DIRECTORS | Management | For | For | For | ||||||
| 5.2.1 | ELECTION OF JAN JENISCH AS A MEMBER OF THE BOARD OF DIRECTORS | Management | For | For | For | ||||||
| 5.3.1 | RE-ELECTION OF COLIN HALL AS A MEMBER OF THE NOMINATION, COMPENSATION & GOVERNANCE COMMITTEE | Management | For | For | For | ||||||
| 5.3.2 | RE-ELECTION OF ADRIAN LOADER AS A MEMBER OF THE NOMINATION, COMPENSATION & GOVERNANCE COMMITTEE | Management | For | For | For | ||||||
| 5.3.3 | RE-ELECTION OF CLAUDIA SENDER RAMIREZ AS A MEMBER OF THE NOMINATION, COMPENSATION & GOVERNANCE COMMITTEE | Management | For | For | For | ||||||
| 5.3.4 | RE-ELECTION OF HANNE BIRGITTE BREINBJERG SORENSEN AS A MEMBER OF THE NOMINATION, COMPENSATION & GOVERNANCE COMMITTEE | Management | For | For | For | ||||||
| 5.4.1 | ELECTION OF DR. DIETER SPALTI AS A MEMBER OF THE NOMINATION, COMPENSATION & GOVERNANCE COMMITTEE | Management | For | For | For | ||||||
| 5.5.1 | RE-ELECTION OF THE AUDITOR: CONFERRAL OF THE MANDATE FOR THE AUDITOR FOR THE FINANCIAL YEAR 2021 ON DELOITTE AG, ZURICH, SWITZERLAND | Management | For | For | For | ||||||
| 5.5.2 | RE-ELECTION OF THE INDEPENDENT PROXY: RE-ELECTION OF DR. SABINE BURKHALTER KAIMAKLIOTIS OF VOSER ATTORNEYS AT LAW, STADTTURMSTRASSE 19, 5401 BADEN, SWITZERLAND, AS THE INDEPENDENT PROXY FOR A TERM OF OFFICE OF ONE YEAR, EXPIRING AFTER THE COMPLETION OF THE ANNUAL GENERAL MEETING 2022 | Management | For | For | For | ||||||
| 6.1 | COMPENSATION OF THE BOARD OF DIRECTORS FOR THE NEXT TERM OF OFFICE | Management | For | For | For | ||||||
| 6.2 | COMPENSATION OF THE EXECUTIVE COMMITTEE FOR THE FINANCIAL YEAR 2022 | Management | For | For | For | ||||||
| 7 | GENERAL INSTRUCTIONS ON UNANNOUNCED PROPOSALS/NEW ITEMS ON THE AGENDA. FOR = IN ACCORDANCE WITH THE BOARD OF DIRECTORS, AGAINST = REJECTION, ABSTAIN = ABSTENTION | Management | For | For | For | ||||||
| ENBRIDGE INC. | |||||||||||
| Security | 29250N105 | Meeting Type | Annual | ||||||||
| Ticker Symbol | ENB | Meeting Date | 05-May-2021 | ||||||||
| ISIN | CA29250N1050 | Agenda | 935360571 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1 | DIRECTOR | Management | |||||||||
| 1 | Pamela L. Carter | For | For | For | |||||||
| 2 | Marcel R. Coutu | For | For | For | |||||||
| 3 | Susan M. Cunningham | For | For | For | |||||||
| 4 | Gregory L. Ebel | For | For | For | |||||||
| 5 | J. Herb England | For | For | For | |||||||
| 6 | Gregory J. Goff | For | For | For | |||||||
| 7 | V. Maureen K. Darkes | For | For | For | |||||||
| 8 | Teresa S. Madden | For | For | For | |||||||
| 9 | Al Monaco | For | For | For | |||||||
| 10 | Stephen S. Poloz | For | For | For | |||||||
| 11 | Dan C. Tutcher | For | For | For | |||||||
| 2 | Appoint the auditors Appoint PricewaterhouseCoopers LLP as auditors of Enbridge and authorize the directors to set their remuneration | Management | For | For | For | ||||||
| 3 | Advisory vote on executive compensation Accept Enbridge's approach to executive compensation, as disclosed in the Management Information Circular | Management | For | For | For | ||||||
| NATIONAL CINEMEDIA, INC. | |||||||||||
| Security | 635309107 | Meeting Type | Annual | ||||||||
| Ticker Symbol | NCMI | Meeting Date | 05-May-2021 | ||||||||
| ISIN | US6353091076 | Agenda | 935360189 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1. | DIRECTOR | Management | |||||||||
| 1 | Mark B. Segall | For | For | For | |||||||
| 2 | David E. Glazek | For | For | For | |||||||
| 3 | Lawrence A. Goodman | For | For | For | |||||||
| 4 | Kurt C. Hall | For | For | For | |||||||
| 5 | Juliana F. Hill | For | For | For | |||||||
| 6 | Thomas F. Lesinski | For | For | For | |||||||
| 7 | Donna Reisman | For | For | For | |||||||
| 8 | Renana Teperberg | For | For | For | |||||||
| 9 | Mark Zoradi | For | For | For | |||||||
| 2. | To approve, on an advisory basis, our executive compensation. | Management | For | For | For | ||||||
| 3. | To ratify the appointment of Deloitte & Touche LLP as our independent auditors for the fiscal year ending December 30, 2021. | Management | For | For | For | ||||||
| S&P GLOBAL INC. | |||||||||||
| Security | 78409V104 | Meeting Type | Annual | ||||||||
| Ticker Symbol | SPGI | Meeting Date | 05-May-2021 | ||||||||
| ISIN | US78409V1044 | Agenda | 935381462 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1a. | Election of Director: Marco Alverà | Management | For | For | For | ||||||
| 1b. | Election of Director: William J. Amelio | Management | For | For | For | ||||||
| 1c. | Election of Director: William D. Green | Management | For | For | For | ||||||
| 1d. | Election of Director: Stephanie C. Hill | Management | For | For | For | ||||||
| 1e. | Election of Director: Rebecca Jacoby | Management | For | For | For | ||||||
| 1f. | Election of Director: Monique F. Leroux | Management | For | For | For | ||||||
| 1g. | Election of Director: Ian P. Livingston | Management | For | For | For | ||||||
| 1h. | Election of Director: Maria R. Morris | Management | For | For | For | ||||||
| 1i. | Election of Director: Douglas L. Peterson | Management | For | For | For | ||||||
| 1j. | Election of Director: Edward B. Rust, Jr. | Management | For | For | For | ||||||
| 1k. | Election of Director: Kurt L. Schmoke | Management | For | For | For | ||||||
| 1l. | Election of Director: Richard E. Thornburgh | Management | For | For | For | ||||||
| 2. | Approve, on an advisory basis, the executive compensation program for the Company's named executive officers. | Management | For | For | For | ||||||
| 3. | Ratify the selection of Ernst & Young LLP as our independent auditor for 2021. | Management | For | For | For | ||||||
| 4. | Approve, on an advisory basis, the Company's Greenhouse Gas (GHG) Emissions Reduction Plan. | Management | For | For | For | ||||||
| 5. | Shareholder proposal to transition to a Public Benefit Corporation. | Shareholder | Against | Against | For | ||||||
| KINROSS GOLD CORPORATION | |||||||||||
| Security | 496902404 | Meeting Type | Annual | ||||||||
| Ticker Symbol | KGC | Meeting Date | 12-May-2021 | ||||||||
| ISIN | CA4969024047 | Agenda | 935378516 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1 | DIRECTOR | Management | |||||||||
| 1 | Ian Atkinson | For | For | For | |||||||
| 2 | Kerry D. Dyte | For | For | For | |||||||
| 3 | Glenn A. Ives | For | For | For | |||||||
| 4 | Ave G. Lethbridge | For | For | For | |||||||
| 5 | Elizabeth D. McGregor | For | For | For | |||||||
| 6 | C. McLeod-Seltzer | For | For | For | |||||||
| 7 | Kelly J. Osborne | For | For | For | |||||||
| 8 | J. Paul Rollinson | For | For | For | |||||||
| 9 | David A. Scott | For | For | For | |||||||
| 2 | To approve the appointment of KPMG LLP, Chartered Accountants, as auditors of the Company for the ensuing year and to authorize the directors to fix their remuneration. | Management | For | For | For | ||||||
| 3 | To consider and, if thought fit, to pass, an ordinary resolution reconfirming the Shareholder Rights Plan. | Management | For | For | For | ||||||
| 4 | To consider, and, if deemed appropriate, to pass an advisory resolution on Kinross' approach to executive compensation. | Management | For | For | For | ||||||
| INTEL CORPORATION | |||||||||||
| Security | 458140100 | Meeting Type | Annual | ||||||||
| Ticker Symbol | INTC | Meeting Date | 13-May-2021 | ||||||||
| ISIN | US4581401001 | Agenda | 935369012 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1A. | Election of Director: Patrick P. Gelsinger | Management | For | For | For | ||||||
| 1B. | Election of Director: James J. Goetz | Management | For | For | For | ||||||
| 1C. | Election of Director: Alyssa Henry | Management | For | For | For | ||||||
| 1D. | Election of Director: Omar Ishrak | Management | For | For | For | ||||||
| 1E. | Election of Director: Risa Lavizzo-Mourey | Management | For | For | For | ||||||
| 1F. | Election of Director: Tsu-Jae King Liu | Management | For | For | For | ||||||
| 1G. | Election of Director: Gregory D. Smith | Management | For | For | For | ||||||
| 1H. | Election of Director: Dion J. Weisler | Management | For | For | For | ||||||
| 1I. | Election of Director: Frank D. Yeary | Management | For | For | For | ||||||
| 2. | Ratification of selection of Ernst & Young LLP as our independent registered public accounting firm for 2021. | Management | For | For | For | ||||||
| 3. | Advisory vote to approve executive compensation of our listed officers. | Management | For | For | For | ||||||
| 4. | Stockholder proposal on whether to allow stockholders to act by written consent, if properly presented at the meeting. | Shareholder | Against | Against | For | ||||||
| 5. | Stockholder proposal requesting a report on median pay gaps across race and gender, if properly presented at the meeting. | Shareholder | Against | Against | For | ||||||
| 6. | Stockholder proposal requesting a report on whether written policies or unwritten norms at the company reinforce racism in company culture, if properly presented at the meeting. | Shareholder | Against | Against | For | ||||||
| INNOVIVA INC | |||||||||||
| Security | 45781M101 | Meeting Type | Annual | ||||||||
| Ticker Symbol | INVA | Meeting Date | 14-May-2021 | ||||||||
| ISIN | US45781M1018 | Agenda | 935392720 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1A. | Election of Director: George W. Bickerstaff, III | Management | For | For | For | ||||||
| 1B. | Election of Director: Deborah L. Birx, M.D. | Management | For | For | For | ||||||
| 1C. | Election of Director: Mark A. DiPaolo, Esq. | Management | For | For | For | ||||||
| 1D. | Election of Director: Jules Haimovitz | Management | For | For | For | ||||||
| 1E. | Election of Director: Odysseas D. Kostas, M.D. | Management | For | For | For | ||||||
| 1F. | Election of Director: Sarah J. Schlesinger, M.D. | Management | For | For | For | ||||||
| 2. | Approve the non-binding advisory resolution regarding executive compensation. | Management | For | For | For | ||||||
| 3. | Ratify the selection by the Audit Committee of the Board of Directors for Grant Thornton LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | For | For | For | ||||||
| TRANSALTA RENEWABLES INC | |||||||||||
| Security | 893463109 | Meeting Type | Annual General Meeting | ||||||||
| Ticker Symbol | Meeting Date | 18-May-2021 | |||||||||
| ISIN | CA8934631091 | Agenda | 713901040 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'ABSTAIN'-ONLY FOR RESOLUTION NUMBERS 1.1 TO 1.8 AND 2. THANK YOU | Non-Voting | |||||||||
| 1.1 | ELECTION OF DIRECTOR: DAVID W. DRINKWATER | Management | For | For | For | ||||||
| 1.2 | ELECTION OF DIRECTOR: BRETT M. GELLNER | Management | For | For | For | ||||||
| 1.3 | ELECTION OF DIRECTOR: ALLEN R. HAGERMAN | Management | For | For | For | ||||||
| 1.4 | ELECTION OF DIRECTOR: GEORGANNE HODGES | Management | For | For | For | ||||||
| 1.5 | ELECTION OF DIRECTOR: KERRY O'REILLY WILKS | Management | For | For | For | ||||||
| 1.6 | ELECTION OF DIRECTOR: TODD J. STACK | Management | For | For | For | ||||||
| 1.7 | ELECTION OF DIRECTOR: PAUL H.E. TAYLOR | Management | For | For | For | ||||||
| 1.8 | ELECTION OF DIRECTOR: SUSAN M. WARD | Management | For | For | For | ||||||
| 2 | APPOINTMENT OF ERNST & YOUNG LLP AS AUDITORS AT A REMUNERATION TO BE FIXED BY THE BOARD OF DIRECTORS | Management | For | For | For | ||||||
| BROADSTONE NET LEASE INC | |||||||||||
| Security | 11135E203 | Meeting Type | Annual | ||||||||
| Ticker Symbol | BNL | Meeting Date | 20-May-2021 | ||||||||
| ISIN | US11135E2037 | Agenda | 935385395 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1.1 | Election of Director: Laurie A. Hawkes | Management | For | For | For | ||||||
| 1.2 | Election of Director: Christopher J. Czarnecki | Management | For | For | For | ||||||
| 1.3 | Election of Director: Denise Brooks- Williams | Management | For | For | For | ||||||
| 1.4 | Election of Director: Michael A. Coke | Management | For | For | For | ||||||
| 1.5 | Election of Director: David M. Jacobstein | Management | For | For | For | ||||||
| 1.6 | Election of Director: Agha S. Khan | Management | For | For | For | ||||||
| 1.7 | Election of Director: Shekar Narasimhan | Management | For | For | For | ||||||
| 1.8 | Election of Director: Geoffrey H. Rosenberger | Management | For | For | For | ||||||
| 1.9 | Election of Director: James H. Watters | Management | For | For | For | ||||||
| 2. | To ratify the appointment of Delotte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | For | For | For | ||||||
| FRESENIUS SE & CO. KGAA | |||||||||||
| Security | D27348263 | Meeting Type | Annual General Meeting | ||||||||
| Ticker Symbol | Meeting Date | 21-May-2021 | |||||||||
| ISIN | DE0005785604 | Agenda | 713839895 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF-NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF BEING REJECTED. THANK YOU | Non-Voting | |||||||||
| CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN-ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE- AVAILABLE AS A LINK UNDER THE MATERIAL URL DROPDOWN AT THE TOP OF THE BALLOT.-THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN PLACE.- FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE. | Non-Voting | |||||||||
| CMMT | ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN-CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE-NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS-AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS-NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR-QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE- FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS- USUAL. | Non-Voting | |||||||||
| CMMT | INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER'S-WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU-WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND-VOTE YOUR SHARES DIRECTLY AT THE COMPANY'S MEETING. COUNTER PROPOSALS CANNOT-BE REFLECTED ON THE BALLOT ON PROXYEDGE. | Non-Voting | |||||||||
| 1 | ACCEPT FINANCIAL STATEMENTS AND STATUTORY REPORTS FOR FISCAL YEAR 2020 | Management | For | For | For | ||||||
| 2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF EUR 0.88 PER SHARE | Management | For | For | For | ||||||
| 3 | APPROVE DISCHARGE OF PERSONALLY LIABLE PARTNER FOR FISCAL YEAR 2020 | Management | For | For | For | ||||||
| 4 | APPROVE DISCHARGE OF SUPERVISORY BOARD FOR FISCAL YEAR 2020 | Management | For | For | For | ||||||
| 5 | RATIFY PRICEWATERHOUSECOOPERS GMBH AS AUDITORS FOR FISCAL YEAR 2021 | Management | For | For | For | ||||||
| 6 | APPROVE REMUNERATION POLICY | Management | For | For | For | ||||||
| 7 | APPROVE REMUNERATION OF SUPERVISORY BOARD | Management | For | For | For | ||||||
| 8.1 | ELECT MICHAEL ALBRECHT TO THE SUPERVISORY BOARD | Management | For | For | For | ||||||
| 8.2 | ELECT MICHAEL DIEKMANN TO THE SUPERVISORY BOARD | Management | For | For | For | ||||||
| 8.3 | ELECT WOLFGANG KIRSCH TO THE SUPERVISORY BOARD | Management | For | For | For | ||||||
| 8.4 | ELECT IRIS LOEW-FRIEDRICH TO THE SUPERVISORY BOARD | Management | For | For | For | ||||||
| 8.5 | ELECT KLAUS-PETER MUELLER TO THE SUPERVISORY BOARD | Management | For | For | For | ||||||
| 8.6 | ELECT HAUKE STARS TO THE SUPERVISORY BOARD | Management | For | For | For | ||||||
| 9.1 | ELECT MICHAEL DIEKMANN AS MEMBER OF THE JOINT COMMITTEE | Management | For | For | For | ||||||
| 9.2 | ELECT HAUKE STARS AS MEMBER OF THE JOINT COMMITTEE | Management | For | For | For | ||||||
| FACEBOOK, INC. | |||||||||||
| Security | 30303M102 | Meeting Type | Annual | ||||||||
| Ticker Symbol | FB | Meeting Date | 26-May-2021 | ||||||||
| ISIN | US30303M1027 | Agenda | 935395891 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1. | DIRECTOR | Management | |||||||||
| 1 | Peggy Alford | For | For | For | |||||||
| 2 | Marc L. Andreessen | For | For | For | |||||||
| 3 | Andrew W. Houston | For | For | For | |||||||
| 4 | Nancy Killefer | For | For | For | |||||||
| 5 | Robert M. Kimmitt | For | For | For | |||||||
| 6 | Sheryl K. Sandberg | For | For | For | |||||||
| 7 | Peter A. Thiel | For | For | For | |||||||
| 8 | Tracey T. Travis | For | For | For | |||||||
| 9 | Mark Zuckerberg | For | For | For | |||||||
| 2. | To ratify the appointment of Ernst & Young LLP as Facebook, Inc.'s independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | For | For | For | ||||||
| 3. | To approve an amendment to the director compensation policy. | Management | For | For | For | ||||||
| 4. | A shareholder proposal regarding dual class capital structure. | Shareholder | Against | Against | For | ||||||
| 5. | A shareholder proposal regarding an independent chair. | Shareholder | Against | Against | For | ||||||
| 6. | A shareholder proposal regarding child exploitation. | Shareholder | Against | Against | For | ||||||
| 7. | A shareholder proposal regarding human/civil rights expert on board. | Shareholder | Against | Against | For | ||||||
| 8. | A shareholder proposal regarding platform misuse. | Shareholder | Against | Against | For | ||||||
| 9. | A shareholder proposal regarding public benefit corporation. | Shareholder | Against | Against | For | ||||||
| ALPHABET INC. | |||||||||||
| Security | 02079K305 | Meeting Type | Annual | ||||||||
| Ticker Symbol | GOOGL | Meeting Date | 02-Jun-2021 | ||||||||
| ISIN | US02079K3059 | Agenda | 935406264 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1A. | Election of Director: Larry Page | Management | For | For | For | ||||||
| 1B. | Election of Director: Sergey Brin | Management | For | For | For | ||||||
| 1C. | Election of Director: Sundar Pichai | Management | For | For | For | ||||||
| 1D. | Election of Director: John L. Hennessy | Management | For | For | For | ||||||
| 1E. | Election of Director: Frances H. Arnold | Management | For | For | For | ||||||
| 1F. | Election of Director: L. John Doerr | Management | For | For | For | ||||||
| 1G. | Election of Director: Roger W. Ferguson Jr. | Management | For | For | For | ||||||
| 1H. | Election of Director: Ann Mather | Management | For | For | For | ||||||
| 1I. | Election of Director: Alan R. Mulally | Management | For | For | For | ||||||
| 1J. | Election of Director: K. Ram Shriram | Management | For | For | For | ||||||
| 1K. | Election of Director: Robin L. Washington | Management | For | For | For | ||||||
| 2. | Ratification of the appointment of Ernst & Young LLP as Alphabet's independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | For | For | For | ||||||
| 3. | Approval of Alphabet's 2021 Stock Plan. | Management | For | For | For | ||||||
| 4. | A stockholder proposal regarding equal shareholder voting, if properly presented at the meeting. | Shareholder | Against | Against | For | ||||||
| 5. | A stockholder proposal regarding the nomination of human rights and/or civil rights expert to the board, if properly presented at the meeting. | Shareholder | Against | Against | For | ||||||
| 6. | A stockholder proposal regarding a report on sustainability metrics, if properly presented at the meeting. | Shareholder | Against | Against | For | ||||||
| 7. | A stockholder proposal regarding a report on takedown requests, if properly presented at the meeting. | Shareholder | Against | Against | For | ||||||
| 8. | A stockholder proposal regarding a report on whistleblower policies and practices, if properly presented at the meeting. | Shareholder | Against | Against | For | ||||||
| 9. | A stockholder proposal regarding a report on charitable contributions, if properly presented at the meeting. | Shareholder | Against | Against | For | ||||||
| 10. | A stockholder proposal regarding a report on risks related to anticompetitive practices, if properly presented at the meeting. | Shareholder | Against | Against | For | ||||||
| 11. | A stockholder proposal regarding a transition to a public benefit corporation, if properly presented at the meeting. | Shareholder | Against | Against | For | ||||||
| SONY GROUP CORPORATION | |||||||||||
| Security | 835699307 | Meeting Type | Annual | ||||||||
| Ticker Symbol | SONY | Meeting Date | 22-Jun-2021 | ||||||||
| ISIN | US8356993076 | Agenda | 935442234 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1A. | Election of Director: Kenichiro Yoshida | Management | For | For | For | ||||||
| 1B. | Election of Director: Hiroki Totoki | Management | For | For | For | ||||||
| 1C. | Election of Director: Shuzo Sumi | Management | For | For | For | ||||||
| 1D. | Election of Director: Tim Schaaff | Management | For | For | For | ||||||
| 1E. | Election of Director: Toshiko Oka | Management | For | For | For | ||||||
| 1F. | Election of Director: Sakie Akiyama | Management | For | For | For | ||||||
| 1G. | Election of Director: Wendy Becker | Management | For | For | For | ||||||
| 1H. | Election of Director: Yoshihiko Hatanaka | Management | For | For | For | ||||||
| 1I. | Election of Director: Adam Crozier | Management | For | For | For | ||||||
| 1J. | Election of Director: Keiko Kishigami | Management | For | For | For | ||||||
| 1K. | Election of Director: Joseph A. Kraft, Jr. | Management | For | For | For | ||||||
| 2. | To issue Stock Acquisition Rights for the purpose of granting stock options. | Management | For | For | For | ||||||
| Mitsubishi HC Capital Inc. | |||||||||||
| Security | J4706D100 | Meeting Type | Annual General Meeting | ||||||||
| Ticker Symbol | Meeting Date | 25-Jun-2021 | |||||||||
| ISIN | JP3499800005 | Agenda | 714302382 - Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| Please reference meeting materials. | Non-Voting | ||||||||||
| 1 | Amend Articles to: Approve Minor Revisions | Management | For | For | For | ||||||
| 2.1 | Appoint a Director who is not Audit and Supervisory Committee Member Kawabe, Seiji | Management | For | For | For | ||||||
| 2.2 | Appoint a Director who is not Audit and Supervisory Committee Member Yanai, Takahiro | Management | For | For | For | ||||||
| 2.3 | Appoint a Director who is not Audit and Supervisory Committee Member Nishiura, Kanji | Management | For | For | For | ||||||
| 2.4 | Appoint a Director who is not Audit and Supervisory Committee Member Anei, Kazumi | Management | For | For | For | ||||||
| 2.5 | Appoint a Director who is not Audit and Supervisory Committee Member Inoue, Satoshi | Management | For | For | For | ||||||
| 2.6 | Appoint a Director who is not Audit and Supervisory Committee Member Sato, Haruhiko | Management | For | For | For | ||||||
| 2.7 | Appoint a Director who is not Audit and Supervisory Committee Member Nakata, Hiroyasu | Management | For | For | For | ||||||
| 2.8 | Appoint a Director who is not Audit and Supervisory Committee Member Watanabe, Go | Management | For | For | For | ||||||
| 2.9 | Appoint a Director who is not Audit and Supervisory Committee Member Icho, Mitsumasa | Management | For | For | For | ||||||
| 2.10 | Appoint a Director who is not Audit and Supervisory Committee Member Sasaki, Yuri | Management | For | For | For | ||||||
| 3 | Appoint a Substitute Director who is Audit and Supervisory Committee Member Nakata, Hiroyasu | Management | For | For | For | ||||||
| Phillips Edison & Company, Inc | |||||||||||
| Security | N/A | Meeting Type | Annual General Meeting | ||||||||
| Ticker Symbol | N/A | Meeting Date | 17-Jun-20 | ||||||||
| ISIN | N/A | Agenda | Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1a. | Election of Director: Jeffrey S. Edison | Management | For | For | For | ||||||
| 1b. | Election of Director: Leslie T. Chao | Management | For | For | For | ||||||
| 1c. | Election of Director: Elizabeth Fischer | Management | For | For | For | ||||||
| 1d. | Election of Director: Paul J. Massey Jr | Management | For | For | For | ||||||
| 1e. | Election of Director: Stephen R. Quazzo | Management | For | For | For | ||||||
| 1f. | Election of Director: Jame Silfen | Management | For | For | For | ||||||
| 1g. | Election of Director: John A. Strong | Management | For | For | For | ||||||
| 1h. | Election of Director: Gregory S. Wood | Management | For | For | For | ||||||
| 2 | Approve a non-binding advisory resolution on executive compensation. | Management | For | For | For | ||||||
| 3 | Approve the 2020 Omnibus Incentive Plan | Management | For | For | For | ||||||
| 4 | Approve the amendment and restatement of our charter as set forth in the Fifth Articles of Amendment and Retatement attached to the proxy statement. | Management | For | For | For | ||||||
| 5 | Ratify the selection of Deloitte & Touche LLP as our independent registered public accounting form for 2020. | Management | For | For | For | ||||||
| ARCTRUST, INC | |||||||||||
| Security | N/A | Meeting Type | Annual General Meeting | ||||||||
| Ticker Symbol | N/A | Meeting Date | 20-Aug-20 | ||||||||
| ISIN | N/A | Agenda | Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1a. | Election of Director: Robert Ambrosi | Management | For | For | For | ||||||
| 1b. | Election of Director: Gary Baumann, Esq | Management | For | For | For | ||||||
| Highlands REIT, INC | |||||||||||
| Security | N/A | Meeting Type | Annual General Meeting | ||||||||
| Ticker Symbol | N/A | Meeting Date | 13-May-21 | ||||||||
| ISIN | N/A | Agenda | Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1.01 | Election of Director: R. David Turner | Management | For | For | For | ||||||
| 1.02 | Election of Director: Richard Vance | Management | For | For | For | ||||||
| 1.03 | Election of Director: Jeffrey L. Shekell | Management | For | For | For | ||||||
| 2 | To ratify the appointment of Grant Thornton LLP as Highlands' independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | For | For | For | ||||||
| Inventrust Properties Corp. | |||||||||||
| Security | N/A | Meeting Type | Annual General Meeting | ||||||||
| Ticker Symbol | N/A | Meeting Date | 1-Mar-21 | ||||||||
| ISIN | N/A | Agenda | Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1a. | Election of Director: Stuart Aitken | Management | For | For | For | ||||||
| 1b. | Election of Director: Amanda Black | Management | For | For | For | ||||||
| 1c. | Election of Director: Thomas F. Glavin | Management | For | For | For | ||||||
| 1d. | Election of Director: Thomas P. McGuinness | Management | For | For | For | ||||||
| 1e. | Election of Director: Scott A. Nelson | Management | For | For | For | ||||||
| 1f. | Election of Director: Paula J. Saban | Management | For | For | For | ||||||
| 1g. | Election of Director: Michael A. Stein | Management | For | For | For | ||||||
| 1h. | Election of Director: Julian E. Whitehurst | Management | For | For | For | ||||||
| 2 | To ratify the appointment of KPMG LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | For | For | For | ||||||
| 3 | Advisory vote on named executive officer compensation | Management | For | For | For | ||||||
| 4 | Advisory vote on frequency of future Say-on-Pay votes - board recommendation 3 years | Management | 1 Year | 3 years | Against | ||||||
| ARCTRUST, INC | |||||||||||
| Security | N/A | Meeting Type | Annual General Meeting | ||||||||
| Ticker Symbol | N/A | Meeting Date | 27-May-21 | ||||||||
| ISIN | N/A | Agenda | Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1.01 | Election of Director: James M. Steuterman | Management | For | For | For | ||||||
| 1.02 | Election of Director: Brian R. Dickman | Management | For | For | For | ||||||
| Phillips Edison & Company, Inc | |||||||||||
| Security | N/A | Meeting Type | Annual General Meeting | ||||||||
| Ticker Symbol | N/A | Meeting Date | 17-Jun-21 | ||||||||
| ISIN | N/A | Agenda | Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| 1a. | Election of Director: Jeffrey S. Edison | Management | For | For | For | ||||||
| 1b. | Election of Director: Leslie T. Chao | Management | For | For | For | ||||||
| 1c. | Election of Director: Elizabeth Fischer | Management | For | For | For | ||||||
| 1d. | Election of Director: Paul J. Massey Jr | Management | For | For | For | ||||||
| 1e. | Election of Director: Stephen R. Quazzo | Management | For | For | For | ||||||
| 1f. | Election of Director: Jame Silfen | Management | For | For | For | ||||||
| 1g. | Election of Director: John A. Strong | Management | For | For | For | ||||||
| 1h. | Election of Director: Gregory S. Wood | Management | For | For | For | ||||||
| 2 | Approve a non-binding advisory resolution on executive compensation. | Management | For | For | For | ||||||
| 3 | Approve the amendment of our incentive equity plan as set forth in the First Amendment to the 2020 Omnibus Incentive Plan attached to the proxy statement. | Management | For | For | For | ||||||
| 4 | Approve the amendment of our charter as set forth in the Articles of Amendment attached to the proxy statement. | Management | For | For | For | ||||||
| 5 | Ratify the selection of Deloitte & Touche LLP as our independent registered public accounting form for 2021. | Management | For | For | For | ||||||
| Heber Loan | |||||||||||
| Security | N/A | Meeting Type | Annual General Meeting | ||||||||
| Ticker Symbol | N/A | Meeting Date | 14-Jun-21 | ||||||||
| ISIN | N/A | Agenda | Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| Vote to approve the postponement of forclosure sale set for May 14th, by a month, to June 14th. | Management | For | For | For | |||||||
| Auda Capital GP | |||||||||||
| Security | N/A | Meeting Type | Annual General Meeting | ||||||||
| Ticker Symbol | N/A | Meeting Date | 15-Jun-21 | ||||||||
| ISIN | N/A | Agenda | Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| Seeking approval to extend the investment period of the Sub-Fund to September 30, 2022. | Management | For | For | For | |||||||
| Heber Loan | |||||||||||
| Security | N/A | Meeting Type | Annual General Meeting | ||||||||
| Ticker Symbol | N/A | Meeting Date | |||||||||
| ISIN | N/A | Agenda | Management | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||
| Vote to grant a 30-day postponement of the forclosure on March 26, 2021 to April 26, 2021. | Management | For | For | Not voted | |||||||
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) | Wildermuth Endowment Fund |
| By (Signature and Title) | /s/ Daniel Wildermuth | |
| Daniel Wildermuth | ||
| Trustee, Chairman of the Board, President and Chief Executive Officer | ||
| Date: | August 18, 2021 |