0001193125-19-234222.txt : 20190830 0001193125-19-234222.hdr.sgml : 20190830 20190829174905 ACCESSION NUMBER: 0001193125-19-234222 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190830 DATE AS OF CHANGE: 20190829 EFFECTIVENESS DATE: 20190830 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Ivy NextShares CENTRAL INDEX KEY: 0001648566 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-23155 FILM NUMBER: 191067413 BUSINESS ADDRESS: STREET 1: 6300 LAMAR AVENUE CITY: OVERLAND PARK STATE: KS ZIP: 66202 BUSINESS PHONE: 913-236-2000 MAIL ADDRESS: STREET 1: 6300 LAMAR AVENUE CITY: OVERLAND PARK STATE: KS ZIP: 66202 0001648566 S000054445 Ivy Focused Growth NextShares C000170983 Ivy Focused Growth NextShares IVFGC 0001648566 S000054446 Ivy Focused Value NextShares C000170984 Ivy Focused Value NextShares IVFVC 0001648566 S000054447 Ivy Focused Energy NextShares C000170985 Ivy Focused Energy NextShares IVENC N-PX 1 d791938dnpx.htm IVY NEXTSHARES Ivy NextShares

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 811-23155

IVY NEXTSHARES

(Exact Name as Specified in Charter)

6300 Lamar Avenue, Overland Park, Kansas 66202-4200

(Address of Principal Executive Office) (Zip Code)

Philip A. Shipp, 6300 Lamar Avenue, Overland Park, Kansas 66202-4200

(Name and Address of Agent for Service)

Registrant’s Telephone Number, including Area Code: (913) 236-2000

Date of fiscal year end: June 30

Date of reporting period: July 1, 2018 to June 30, 2019


IVY FOCUSED ENERGY NEXTSHARES

Proxy Voting Record

Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2001 – Ivy Focused Energy NextShares

Concho Resources Inc.

 

Meeting Date:   07/17/2018   Country:    USA   Primary Security ID:   20605P101
Record Date:   06/01/2018   Meeting Type:    Special   Ticker:   CXO
    Shares Voted:    2,145    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1    Issue Shares in Connection with Acquisition    Mgmt    For    Refer    For

RSP Permian, Inc.

 

Meeting Date:   07/17/2018   Country:    USA   Primary Security ID:   74978Q105
Record Date:   06/01/2018   Meeting Type:    Special   Ticker:   RSPP
    Shares Voted:    8,602    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1    Approve Merger Agreement    Mgmt    For    Refer    For
2    Advisory Vote on Golden Parachutes    Mgmt    For    Refer    For

Marathon Petroleum Corp.

 

Meeting Date:   09/24/2018   Country:    USA   Primary Security ID:   56585A102
Record Date:   08/01/2018   Meeting Type:    Special   Ticker:   MPC
    Shares Voted:    4,858    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1    Issue Shares in Connection with Merger    Mgmt    For    Refer    For
2    Increase Authorized Common Stock    Mgmt    For    For    For
3    Approve Increase in Size of Board    Mgmt    For    Refer    For
4    Adjourn Meeting    Mgmt    For    Refer    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2001 – Ivy Focused Energy NextShares

 

Diamondback Energy, Inc.

 

Meeting Date:   11/27/2018   Country:    USA   Primary Security ID:   25278X109
Record Date:   10/19/2018   Meeting Type:    Special   Ticker:   FANG
    Shares Voted:    2,261    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1    Issue Shares in Connection with Merger    Mgmt    For    Refer    For

Transocean Ltd.    

 

Meeting Date:   11/29/2018   Country:    Switzerland   Primary Security ID:   H8817H100
Record Date:   11/12/2018   Meeting Type:    Special   Ticker:   RIG
    Shares Voted:    24,336    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting Policy
Rec

  

Vote

Instruction

1    Amend Articles to Create Additional Authorized Share Capital to Pay the Share Consideration in the Merger    Mgmt    For    Refer    For
2    Issue Shares in Connection with Acquisition    Mgmt    For    Refer    For
3    Amend Articles Re: (Non-Routine)    Mgmt    For    Refer    For

State Street Institutional Investment Trust

 

Meeting Date:   12/18/2018   Country:    USA   Primary Security ID:   85748FAB0
Record Date:   10/22/2018   Meeting Type:    Special   Ticker:   N/A
    Shares Voted:    125,512    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

2.1    Elect Director John R. Costantino    Mgmt    For    For    For
2.2    Elect Director Michael A. Jessee    Mgmt    For    For    For
2.3    Elect Director Ellen M. Needham    Mgmt    For    For    For
2.4    Elect Director Donna M. Rapaccioli    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2001 – Ivy Focused Energy NextShares

 

Ensco Plc    

 

Meeting Date:   02/21/2019   Country:    United Kingdom   Primary Security ID:   G3157S106
Record Date:   12/10/2018   Meeting Type:    Special   Ticker:   ESV
    Shares Voted:    35,973    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1    Approve Acquisition of Rowan Companies plc    Mgmt    For    Refer    For
2    Approve Reverse Stock Split    Mgmt    For    Refer    For
3    Authorize Issue of Equity with Pre-emptive Rights    Mgmt    For    Refer    For
4    Advisory Vote on Golden Parachutes    Mgmt    For    Refer    For
5    Authorise Issue of Equity without Pre-emptive Rights in Connection with an Acquisition or Other Capital Investment    Mgmt    For    Refer    For
6    Authorise Issue of Equity without Pre-emptive Rights in Connection with an Acquisition or Other Capital Investment    Mgmt    For    Refer    For

Schlumberger Limited    

 

Meeting Date:   04/03/2019   Country:    Curacao   Primary Security ID:   806857108
Record Date:   02/13/2019   Meeting Type:    Annual   Ticker:   SLB
    Shares Voted:    6,703    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Peter L.S. Currie    Mgmt    For    For    For
1b    Elect Director Miguel M. Galuccio    Mgmt    For    For    For
1c    Elect Director Paal Kibsgaard    Mgmt    For    For    For
1d    Elect Director Nikolay Kudryavtsev    Mgmt    For    For    For
1e    Elect Director Tatiana A. Mitrova    Mgmt    For    For    For
1f    Elect Director Indra K. Nooyi    Mgmt    For    For    For
1g    Elect Director Lubna S. Olayan    Mgmt    For    For    For
1h    Elect Director Mark G. Papa    Mgmt    For    For    For
1i    Elect Director Leo Rafael Reif    Mgmt    For    For    For
1j    Elect Director Henri Seydoux    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Adopt and Approve Financials and Dividends    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2001 – Ivy Focused Energy NextShares

 

Schlumberger Limited

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

4    Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For
5    Amend Non-Employee Director Restricted Stock Plan    Mgmt    For    Refer    For

Marathon Petroleum Corporation

 

Meeting Date:   04/24/2019   Country:    USA   Primary Security ID:   56585A102
Record Date:   02/25/2019   Meeting Type:    Annual   Ticker:   MPC
    Shares Voted:    4,858    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Evan Bayh    Mgmt    For    For    For
1b    Elect Director Charles E. Bunch    Mgmt    For    For    For
1c    Elect Director Edward G. Galante    Mgmt    For    For    For
1d    Elect Director Kim K.W. Rucker    Mgmt    For    For    For
2    Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Provide Right to Act by Written Consent    SH    Against    For    For
5    Require Independent Board Chairman    SH    Against    Refer    Against

EOG Resources, Inc.

 

Meeting Date:   04/29/2019   Country:    USA   Primary Security ID:   26875P101
Record Date:   03/01/2019   Meeting Type:    Annual   Ticker:   EOG
    Shares Voted:    2,709    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Janet F. Clark    Mgmt    For    For    For
1b    Elect Director Charles R. Crisp    Mgmt    For    For    For
1c    Elect Director Robert P. Daniels    Mgmt    For    For    For
1d    Elect Director James C. Day    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2001 – Ivy Focused Energy NextShares

 

EOG Resources, Inc.

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1e    Elect Director C. Christopher Gaut    Mgmt    For    For    For
1f    Elect Director Julie J. Robertson    Mgmt    For    For    For
1g    Elect Director Donald F. Textor    Mgmt    For    For    For
1h    Elect Director William R. Thomas    Mgmt    For    For    For
2    Ratify Deloitte & Touche LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For

Valero Energy Corporation

 

Meeting Date:   04/30/2019   Country:    USA   Primary Security ID:   91913Y100
Record Date:   03/05/2019   Meeting Type:    Annual   Ticker:   VLO
    Shares Voted:    3,068    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1A    Elect Director H. Paulett Eberhart    Mgmt    For    For    For
1B    Elect Director Joseph W. Gorder    Mgmt    For    For    For
1C    Elect Director Kimberly S. Greene    Mgmt    For    For    For
1D    Elect Director Deborah P. Majoras    Mgmt    For    For    For
1E    Elect Director Donald L. Nickles    Mgmt    For    For    For
1F    Elect Director Philip J. Pfeiffer    Mgmt    For    For    For
1G    Elect Director Robert A. Profusek    Mgmt    For    For    For
1H    Elect Director Stephen M. Waters    Mgmt    For    For    For
1I    Elect Director Randall J. Weisenburger    Mgmt    For    For    For
1J    Elect Director Rayford Wilkins, Jr.    Mgmt    For    For    For
2    Ratify KPMG LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2001 – Ivy Focused Energy NextShares

 

TechnipFMC plc

 

Meeting Date:   05/01/2019   Country:    United Kingdom   Primary Security ID:   G87110105
Record Date:   03/04/2019   Meeting Type:    Annual   Ticker:   FTI
    Shares Voted:    6,785    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Douglas J. Pferdehirt    Mgmt    For    For    For
1b    Elect Director Arnaud Caudoux    Mgmt    For    Refer    Against
1c    Elect Director Pascal Colombani    Mgmt    For    For    For
1d    Elect Director Marie-Ange Debon    Mgmt    For    For    For
1e    Elect Director Eleazar de Carvalho Filho    Mgmt    For    For    For
1f    Elect Director Claire S. Farley    Mgmt    For    For    For
1g    Elect Director Didier Houssin    Mgmt    For    For    For
1h    Elect Director Peter Mellbye    Mgmt    For    For    For
1i    Elect Director John O’Leary    Mgmt    For    For    For
1j    Elect Director Kay G. Priestly    Mgmt    For    For    For
1k    Elect Director Joseph Rinaldi    Mgmt    For    For    For
1l    Elect Director James M. Ringler    Mgmt    For    For    For
2    Accept Financial Statements and Statutory Reports    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
5    Approve Directors’ Remuneration Report    Mgmt    For    For    For
6    Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For
7    Re-appoint PricewaterhouseCoopers LLP as U.K. Statutory Auditor    Mgmt    For    For    For
8    Authorize Board to Fix Remuneration of Auditors    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2001 – Ivy Focused Energy NextShares

 

Whiting Petroleum Corp.

 

Meeting Date:   05/01/2019   Country:    USA   Primary Security ID:   966387409
Record Date:   03/07/2019   Meeting Type:    Annual   Ticker:   WLL
    Shares Voted:    6,541    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Thomas L. Aller    Mgmt    For    For    For
1.2    Elect Director James E. Catlin    Mgmt    For    For    For
1.3    Elect Director Michael B. Walen    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Ratify Deloitte & Touche LLP as Auditor    Mgmt    For    For    For
4    Amend Omnibus Stock Plan    Mgmt    For    For    For

Suncor Energy, Inc.

 

Meeting Date:   05/02/2019   Country:    Canada   Primary Security ID:   867224107
Record Date:   03/11/2019   Meeting Type:    Annual   Ticker:   SU
    Shares Voted:    7,621    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Patricia M. Bedient    Mgmt    For    For    For
1.2    Elect Director Mel E. Benson    Mgmt    For    For    For
1.3    Elect Director John D. Gass    Mgmt    For    For    For
1.4    Elect Director Dennis M. Houston    Mgmt    For    For    For
1.5    Elect Director Mark S. Little    Mgmt    For    For    For
1.6    Elect Director Brian P. MacDonald    Mgmt    For    For    For
1.7    Elect Director Maureen McCaw    Mgmt    For    For    For
1.8    Elect Director Eira M. Thomas    Mgmt    For    For    For
1.9    Elect Director Michael M. Wilson    Mgmt    For    For    For
2    Ratify KPMG LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote on Executive Compensation Approach    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2001 – Ivy Focused Energy NextShares

 

Phillips 66

 

Meeting Date:   05/08/2019   Country:    USA   Primary Security ID:   718546104
Record Date:   03/11/2019   Meeting Type:    Annual   Ticker:   PSX
    Shares Voted:    2,289    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting
Policy Rec

  

Vote

Instruction

1a    Elect Director Greg C. Garland    Mgmt    For    Refer    For
1b    Elect Director Gary K. Adams    Mgmt    For    For    For
1c    Elect Director John E. Lowe    Mgmt    For    For    For
1d    Elect Director Denise L. Ramos    Mgmt    For    For    For
2    Ratify Ernst & Young LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
5    Report on Plastic Pollution *Withdrawn Resolution*    SH         

Transocean Ltd.

 

Meeting Date:   05/09/2019   Country:    Switzerland   Primary Security ID:   H8817H100
Record Date:   04/22/2019   Meeting Type:    Annual   Ticker:   RIG
    Shares Voted:    28,366    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1    Accept Financial Statements and Statutory Reports    Mgmt    For    For    For
2    Approve Discharge of Board and Senior Management    Mgmt    For    For    For
3    Appropriation of Available Earnings for Fiscal Year 2018    Mgmt    For    For    For
4A    Elect Director Glyn A. Barker    Mgmt    For    For    For
4B    Elect Director Vanessa C.L. Chang    Mgmt    For    For    For
4C    Elect Director Frederico F. Curado    Mgmt    For    For    For
4D    Elect Director Chadwick C. Deaton    Mgmt    For    For    For
4E    Elect Director Vincent J. Intrieri    Mgmt    For    For    For
4F    Elect Director Samuel J. Merksamer    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2001 – Ivy Focused Energy NextShares

 

Transocean Ltd.

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

4G    Elect Director Frederik W. Mohn    Mgmt    For    For    For
4H    Elect Director Edward R. Muller    Mgmt    For    For    For
4I    Elect Director Tan Ek Kia    Mgmt    For    For    For
4J    Elect Director Jeremy D. Thigpen    Mgmt    For    For    For
5    Elect Chadwick C. Deaton as Board Chairman    Mgmt    For    For    For
6A    Appoint Frederico F. Curado as Member of the Compensation Committee    Mgmt    For    For    For
6B    Appoint Vincent J. Intrieri as Member of the Compensation Committee    Mgmt    For    For    For
6C    Appoint Tan Ek Kia as Member of the Compensation Committee    Mgmt    For    For    For
7    Designate Schweiger Advokatur / Notariat as Independent Proxy    Mgmt    For    For    For
8    Appointment Of Ernst & Young LLP as Independent Registered Public Accounting Firm for Fiscal Year 2019 and Reelection of Ernst & Young Ltd, Zurich as the Company’s Auditor for a Further One-Year Term    Mgmt    For    For    For
9    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
10A    Approve Maximum Remuneration of Board of Directors for the Period Between the 2019 and 2020 Annual General Meetings in the Amount of USD 4.12 Million    Mgmt    For    Refer    For
10B    Approve Maximum Remuneration of the Executive Management Team for Fiscal Year 2020 in the Amount of USD 24 Million    Mgmt    For    Refer    For
11    Other Business    Mgmt    For    Against    Against

Baker Hughes, a GE company

 

Meeting Date:   05/10/2019   Country:    USA   Primary Security ID:   05722G100
Record Date:   03/15/2019   Meeting Type:    Annual   Ticker:   BHGE
    Shares Voted:    7,513    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director W. Geoffrey Beattie    Mgmt    For    For    For
1.2    Elect Director Gregory D. Brenneman    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2001 – Ivy Focused Energy NextShares

 

Baker Hughes, a GE company

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.3    Elect Director Clarence P. Cazalot, Jr.    Mgmt    For    For    For
1.4    Elect Director Gregory L. Ebel    Mgmt    For    For    For
1.5    Elect Director Lynn L. Elsenhans    Mgmt    For    For    For
1.6    Elect Director Jamie S. Miller    Mgmt    For    Refer    Withhold
1.7    Elect Director James J. Mulva    Mgmt    For    For    For
1.8    Elect Director John G. Rice    Mgmt    For    Refer    Withhold
1.9    Elect Director Lorenzo Simonelli    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Ratify KPMG LLP as Auditors    Mgmt    For    For    For

Halliburton Company

 

Meeting Date:   05/15/2019   Country:    USA   Primary Security ID:   406216101
Record Date:   03/18/2019   Meeting Type:    Annual   Ticker:   HAL
    Shares Voted:    10,041    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Abdulaziz F. Al Khayyal    Mgmt    For    For    For
1b    Elect Director William E. Albrecht    Mgmt    For    For    For
1c    Elect Director M. Katherine Banks    Mgmt    For    For    For
1d    Elect Director Alan M. Bennett    Mgmt    For    For    For
1e    Elect Director Milton Carroll    Mgmt    For    For    For
1f    Elect Director Nance K. Dicciani    Mgmt    For    For    For
1g    Elect Director Murry S. Gerber    Mgmt    For    For    For
1h    Elect Director Patricia Hemingway Hall    Mgmt    For    For    For
1i    Elect Director Robert A. Malone    Mgmt    For    For    For
1j    Elect Director Jeffrey A. Miller    Mgmt    For    For    For
2    Ratify KPMG LLP as Auditor    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Amend Omnibus Stock Plan    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2001 – Ivy Focused Energy NextShares

 

Concho Resources, Inc.

 

Meeting Date:   05/16/2019   Country:    USA   Primary Security ID:   20605P101
Record Date:   03/19/2019   Meeting Type:    Annual   Ticker:   CXO
    Shares Voted:    3,186    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Steven D. Gray    Mgmt    For    For    For
1.2    Elect Director Susan J. Helms    Mgmt    For    For    For
1.3    Elect Director Gary A. Merriman    Mgmt    For    For    For
2    Ratify Grant Thornton LLP as Auditors    Mgmt    For    For    For
3    Amend Omnibus Stock Plan    Mgmt    For    For    For
4    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For

Continental Resources, Inc.

 

Meeting Date:   05/16/2019   Country:    USA   Primary Security ID:   212015101
Record Date:   03/21/2019   Meeting Type:    Annual   Ticker:   CLR
    Shares Voted:    8,026    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Harold G. Hamm    Mgmt    For    Refer    Withhold
1.2    Elect Director John T. McNabb, II    Mgmt    For    For    For
2    Ratify Grant Thornton LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Assess Portfolio Impacts of Policies to Meet 2 Degree Scenario    SH    Against    Refer    Against


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2001 – Ivy Focused Energy NextShares

 

Pioneer Natural Resources Company

 

Meeting Date:   05/16/2019   Country:    USA   Primary Security ID:   723787107
Record Date:   03/21/2019   Meeting Type:    Annual   Ticker:   PXD
    Shares Voted:    2,442    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Edison C. Buchanan    Mgmt    For    For    For
1.2    Elect Director Andrew F. Cates    Mgmt    For    For    For
1.3    Elect Director Phillip A. Gobe    Mgmt    For    For    For
1.4    Elect Director Larry R. Grillot    Mgmt    For    For    For
1.5    Elect Director Stacy P. Methvin    Mgmt    For    For    For
1.6    Elect Director Royce W. Mitchell    Mgmt    For    For    For
1.7    Elect Director Frank A. Risch    Mgmt    For    For    For
1.8    Elect Director Scott D. Sheffield    Mgmt    For    For    For
1.9    Elect Director Mona K. Sutphen    Mgmt    For    For    For
1.10    Elect Director J. Kenneth Thompson    Mgmt    For    For    For
1.11    Elect Director Phoebe A. Wood    Mgmt    For    For    For
1.12    Elect Director Michael D. Wortley    Mgmt    For    For    For
2    Ratify Ernst & Young LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For

WPX Energy, Inc.

 

Meeting Date:   05/16/2019   Country:    USA   Primary Security ID:   98212B103
Record Date:   03/25/2019   Meeting Type:    Annual   Ticker:   WPX
    Shares Voted:    19,525    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director John A. Carrig    Mgmt    For    For    For
1.2    Elect Director Robert K. Herdman    Mgmt    For    For    For
1.3    Elect Director Kelt Kindick    Mgmt    For    For    For
1.4    Elect Director Karl F. Kurz    Mgmt    For    For    For
1.5    Elect Director Henry E. Lentz    Mgmt    For    For    For
1.6    Elect Director Kimberly S. Lubel    Mgmt    For    For    For
1.7    Elect Director Richard E. Muncrief    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2001 – Ivy Focused Energy NextShares

 

WPX Energy, Inc.

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.8    Elect Director Valerie M. Williams    Mgmt    For    For    For
1.9    Elect Director David F. Work    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
4    Ratify Ernst & Young LLP as Auditor    Mgmt    For    For    For

Ensco plc

 

Meeting Date:   05/20/2019   Country:    United Kingdom   Primary Security ID:   G3166L100
Record Date:   03/25/2019   Meeting Type:    Annual   Ticker:   ESV
    Shares Voted:    47,085    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

   Re-elect Directors to Serve Until the 2020 Annual General Meeting of Shareholders    Mgmt         
1a    Elect Director J. Roderick Clark    Mgmt    For    For    For
1b    Elect Director Mary E. Francis    Mgmt    For    For    For
1c    Elect Director C. Christopher Gaut    Mgmt    For    For    For
1d    Elect Director Keith O. Rattie    Mgmt    For    For    For
1e    Elect Director Paul E. Rowsey, III    Mgmt    For    For    For
1f    Elect Director Carl G. Trowell    Mgmt    For    For    For
   Conditional on the Company Not Having Completed the Rowan Transaction Before the Meeting, To Re-elect Directors to Serve Until the 2020 Annual General Meeting of Shareholders    Mgmt         
2a    Elect Director Roxanne J. Decyk - withdrawn    Mgmt         
2b    Elect Director Jack E. Golden - withdrawn    Mgmt         
2c    Elect Director Gerald W. Haddock - withdrawn    Mgmt         
2d    Elect Director Francis S. Kalman- withdrawn    Mgmt         
2e    Elect Director Phil D. Wedemeyer - withdrawn    Mgmt         
   Conditional on the Company Having Completed the Rowan Transaction Before the Meeting, To Elect Directors to Serve Until the 2020 Annual General Meeting of Shareholders    Mgmt         


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2001 – Ivy Focused Energy NextShares

 

Ensco plc

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

3a    Elect Director Thomas Burke    Mgmt    For    For    For
3b    Elect Director William E. Albrecht    Mgmt    For    For    For
3c    Elect Director Suzanne P. Nimocks    Mgmt    For    For    For
3d    Elect Director Thierry Pilenko    Mgmt    For    For    For
3e    Elect Director Charles L. Szews    Mgmt    For    For    For
4    Ratify KPMG LLP as US Independent Auditor    Mgmt    For    For    For
5    Appoint KPMG LLP as UK Statutory Auditor    Mgmt    For    For    For
6    Authorize Board to Fix Remuneration of Auditors    Mgmt    For    For    For
7    Approve Remuneration Report    Mgmt    For    For    For
8    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
9    Accept Financial Statements and Statutory Reports    Mgmt    For    For    For
10    Authorize Issue of Equity    Mgmt    For    For    For
11    Authorize Issue of Equity without Pre-emptive Rights    Mgmt    For    For    For
12    Authorize Issue of Equity without Pre-emptive Rights In Connection with an Acquisition or Specified Capital Investment    Mgmt    For    For    For

Core Laboratories NV

 

Meeting Date:   05/23/2019   Country:    Netherlands   Primary Security ID:   N22717107
Record Date:   04/25/2019   Meeting Type:    Annual   Ticker:   CLB
    Shares Voted:    2,602    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Martha Z. Carnes    Mgmt    For    For    For
1b    Elect Director Michael Straughen    Mgmt    For    For    For
1c    Elect Director Gregory B. Barnett    Mgmt    For    For    For
2    Ratify KPMG as Auditors    Mgmt    For    For    For
3    Adopt Financial Statements and Statutory Reports    Mgmt    For    For    For
4    Approve Cancellation of Repurchased Shares    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2001 – Ivy Focused Energy NextShares

 

Core Laboratories NV

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

5    Authorize Repurchase of Up to 10 Percent of Issued Share Capital    Mgmt    For    For    For
6    Grant Board Authority to Issue Shares Up To 10 Percent of Issued Capital    Mgmt    For    For    For
7    Authorize Board to Exclude Preemptive Rights from Share Issuances    Mgmt    For    For    For
8    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For

Parsley Energy, Inc.

 

Meeting Date:   05/24/2019   Country:    USA   Primary Security ID:   701877102
Record Date:   04/01/2019   Meeting Type:    Annual   Ticker:   PE
    Shares Voted:    14,033    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1A    Elect Director William Browning    Mgmt    For    For    For
1B    Elect Director David H. Smith    Mgmt    For    For    For
1C    Elect Director Jerry Windlinger    Mgmt    For    For    For
2    Ratify KPMG LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For

Chevron Corporation

 

Meeting Date:   05/29/2019   Country:    USA   Primary Security ID:   166764100
Record Date:   04/01/2019   Meeting Type:    Annual   Ticker:   CVX
    Shares Voted:    2,502    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Wanda M. Austin    Mgmt    For    For    For
1b    Elect Director John B. Frank    Mgmt    For    For    For
1c    Elect Director Alice P. Gast    Mgmt    For    For    For
1d    Elect Director Enrique Hernandez, Jr.    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2001 – Ivy Focused Energy NextShares

 

Chevron Corporation

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1e    Elect Director Charles W. Moorman, IV    Mgmt    For    For    For
1f    Elect Director Dambisa F. Moyo    Mgmt    For    For    For
1g    Elect Director Debra Reed-Klages    Mgmt    For    For    For
1h    Elect Director Ronald D. Sugar    Mgmt    For    For    For
1i    Elect Director Inge G. Thulin    Mgmt    For    For    For
1j    Elect Director D. James Umpleby, III    Mgmt    For    For    For
1k    Elect Director Michael K. Wirth    Mgmt    For    For    For
2    Ratify PricewaterhouseCoopers LLP as Auditor    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Report on Human Right to Water    SH    Against    Against    Against
5    Report on Plans to Reduce Carbon Footprint Aligned with Paris Agreement Goals    SH    Against    Refer    Against
6    Establish Environmental Issue Board Committee    SH    Against    Refer    Against
7    Require Independent Board Chairman    SH    Against    Refer    Against
8    Reduce Ownership Threshold for Shareholders to Call Special Meeting    SH    Against    For    For

Diamondback Energy, Inc.

 

Meeting Date:   06/06/2019   Country:    USA   Primary Security ID:   25278X109
Record Date:   04/12/2019   Meeting Type:    Annual   Ticker:   FANG
    Shares Voted:    2,261    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Steven E. West    Mgmt    For    For    For
1.2    Elect Director Travis D. Stice    Mgmt    For    For    For
1.3    Elect Director Michael L. Hollis    Mgmt    For    For    For
1.4    Elect Director Michael P. Cross    Mgmt    For    For    For
1.5    Elect Director David L. Houston    Mgmt    For    For    For
1.6    Elect Director Mark L. Plaumann    Mgmt    For    For    For
1.7    Elect Director Melanie M. Trent    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2001 – Ivy Focused Energy NextShares

 

Diamondback Energy, Inc.

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

2    Amend Omnibus Stock Plan    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Ratify Grant Thornton LLP as Auditors    Mgmt    For    For    For

Patterson-UTI Energy, Inc.

 

Meeting Date:   06/06/2019   Country:    USA   Primary Security ID:   703481101
Record Date:   04/08/2019   Meeting Type:    Annual   Ticker:   PTEN
    Shares Voted:    13,000    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Mark S. Siegel    Mgmt    For    For    For
1.2    Elect Director Charles O. Buckner    Mgmt    For    For    For
1.3    Elect Director Tiffany (TJ) Thom Cepak    Mgmt    For    For    For
1.4    Elect Director Michael W. Conlon    Mgmt    For    For    For
1.5    Elect Director William A. Hendricks, Jr.    Mgmt    For    For    For
1.6    Elect Director Curtis W. Huff    Mgmt    For    For    For
1.7    Elect Director Terry H. Hunt    Mgmt    For    For    For
1.8    Elect Director Janeen S. Judah    Mgmt    For    For    For
2    Amend Omnibus Stock Plan    Mgmt    For    For    For
3    Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For
4    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2001 – Ivy Focused Energy NextShares

 

ProPetro Holding Corp.

 

Meeting Date:   06/14/2019   Country:    USA   Primary Security ID:   74347M108
Record Date:   04/22/2019   Meeting Type:    Annual   Ticker:   PUMP
    Shares Voted:    12,793    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Dale Redman    Mgmt    For    For    For
1.2    Elect Director Spencer D. Armour, III    Mgmt    For    For    For
1.3    Elect Director Steven Beal    Mgmt    For    For    For
1.4    Elect Director Mark S. Berg    Mgmt    For    For    For
1.5    Elect Director Anthony Best    Mgmt    For    For    For
1.6    Elect Director Pryor Blackwell    Mgmt    For    For    For
1.7    Elect Director Alan E. Douglas    Mgmt    For    For    For
1.8    Elect Director Royce W. Mitchell    Mgmt    For    For    For
1.9    Elect Director Jack B. Moore    Mgmt    For    For    For
2    Amend Certificate of Incorporation    Mgmt    For    For    For
3    Eliminate Supermajority Vote Requirement to Amend Bylaws    Mgmt    For    For    For
4    Eliminate Supermajority Vote Requirement to Amend Certificate of Incorporation    Mgmt    For    For    For
5    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
6    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
7    Ratify Deloitte & Touche LLP as Auditors    Mgmt    For    For    For


IVY FOCUSED GROWTH NEXTSHARES

Proxy Voting Record

Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2002 – Ivy Focused Growth NextShares

 

Electronic Arts Inc.

 

Meeting Date:   08/02/2018   Country:    USA   Primary Security ID:   285512109
Record Date:   06/08/2018   Meeting Type:    Annual   Ticker:   EA
    Shares Voted:    2,648    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Leonard S. Coleman    Mgmt    For    For    For
1b    Elect Director Jay C. Hoag    Mgmt    For    For    For
1c    Elect Director Jeffrey T. Huber    Mgmt    For    For    For
1d    Elect Director Lawrence F. Probst, III    Mgmt    For    For    For
1e    Elect Director Talbott Roche    Mgmt    For    For    For
1f    Elect Director Richard A. Simonson    Mgmt    For    For    For
1g    Elect Director Luis A. Ubinas    Mgmt    For    For    For
1h    Elect Director Heidi J. Ueberroth    Mgmt    For    For    For
1i    Elect Director Andrew Wilson    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Ratify KPMG LLP as Auditors    Mgmt    For    For    For

Ferrari NV

 

Meeting Date:   09/07/2018   Country:    Netherlands   Primary Security ID:   N3167Y103
Record Date:   08/10/2018   Meeting Type:    Special   Ticker:   RACE
    Shares Voted:    490    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

   Special Meeting Agenda    Mgmt         
1    Open Meeting    Mgmt         
2    Elect Louis C. Camilleri as Executive Director    Mgmt    For    For    For
3    Close Meeting    Mgmt         


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2002 – Ivy Focused Growth NextShares

 

Microsoft Corp.

 

Meeting Date:   11/28/2018   Country:    USA   Primary Security ID:   594918104
Record Date:   09/26/2018   Meeting Type:    Annual   Ticker:   MSFT
    Shares Voted:    10,824    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director William H. Gates, III    Mgmt    For    For    For
1.2    Elect Director Reid G. Hoffman    Mgmt    For    For    For
1.3    Elect Director Hugh F. Johnston    Mgmt    For    For    For
1.4    Elect Director Teri L. List-Stoll    Mgmt    For    For    For
1.5    Elect Director Satya Nadella    Mgmt    For    For    For
1.6    Elect Director Charles H. Noski    Mgmt    For    For    For
1.7    Elect Director Helmut Panke    Mgmt    For    For    For
1.8    Elect Director Sandra E. Peterson    Mgmt    For    For    For
1.9    Elect Director Penny S. Pritzker    Mgmt    For    For    For
1.10    Elect Director Charles W. Scharf    Mgmt    For    For    For
1.11    Elect Director Arne M. Sorenson    Mgmt    For    For    For
1.12    Elect Director John W. Stanton    Mgmt    For    For    For
1.13    Elect Director John W. Thompson    Mgmt    For    For    For
1.14    Elect Director Padmasree Warrior    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Ratify Deloitte & Touche LLP as Auditors    Mgmt    For    For    For

CME Group, Inc.

 

Meeting Date:   11/29/2018   Country:    USA   Primary Security ID:   12572Q105
Record Date:   09/06/2018   Meeting Type:    Special   Ticker:   CME
    Shares Voted:    3,420    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1    Eliminate All or Some of the Class B Election Rights    Mgmt    For    Refer    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2002 – Ivy Focused Growth NextShares

 

State Street Institutional Investment Trust

 

Meeting Date:   12/18/2018   Country:    USA   Primary Security ID:   85748FAB0
Record Date:   10/22/2018   Meeting Type:    Special   Ticker:   N/A
    Shares Voted:    355,760    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

2.1    Elect Director John R. Costantino    Mgmt    For    For    For
2.2    Elect Director Michael A. Jessee    Mgmt    For    For    For
2.3    Elect Director Ellen M. Needham    Mgmt    For    For    For
2.4    Elect Director Donna M. Rapaccioli    Mgmt    For    For    For

Intuit, Inc.

 

Meeting Date:   01/17/2019   Country:    USA   Primary Security ID:   461202103
Record Date:   11/19/2018   Meeting Type:    Annual   Ticker:   INTU
    Shares Voted:    1,353    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Eve Burton    Mgmt    For    For    For
1b    Elect Director Scott D. Cook    Mgmt    For    For    For
1c    Elect Director Richard L. Dalzell    Mgmt    For    For    For
1d    Elect Director Sasan Goodarzi    Mgmt    For    For    For
1e    Elect Director Deborah Liu    Mgmt    For    For    For
1f    Elect Director Suzanne Nora Johnson    Mgmt    For    For    For
1g    Elect Director Dennis D. Powell    Mgmt    For    For    For
1h    Elect Director Brad D. Smith    Mgmt    For    For    For
1i    Elect Director Thomas Szkutak    Mgmt    For    For    For
1j    Elect Director Raul Vazquez    Mgmt    For    For    For
1k    Elect Director Jeff Weiner    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Ratify Ernst & Young LLP as Auditors    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2002 – Ivy Focused Growth NextShares

 

Visa, Inc.

 

Meeting Date:   01/29/2019   Country:    USA   Primary Security ID:   92826C839
Record Date:   11/30/2018   Meeting Type:    Annual   Ticker:   V
    Shares Voted:    4,122    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Lloyd A. Carney    Mgmt    For    For    For
1b    Elect Director Mary B. Cranston    Mgmt    For    For    For
1c    Elect Director Francisco Javier Fernandez-Carbajal    Mgmt    For    For    For
1d    Elect Director Alfred F. Kelly, Jr.    Mgmt    For    For    For
1e    Elect Director John F. Lundgren    Mgmt    For    For    For
1f    Elect Director Robert W. Matschullat    Mgmt    For    For    For
1g    Elect Director Denise M. Morrison    Mgmt    For    For    For
1h    Elect Director Suzanne Nora Johnson    Mgmt    For    For    For
1i    Elect Director John A.C. Swainson    Mgmt    For    For    For

1j

  

Elect Director Maynard G. Webb, Jr.

  

Mgmt

  

For

  

For

  

For

2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Ratify KPMG LLP as Auditors    Mgmt    For    For    For

Apple, Inc.

 

Meeting Date:   03/01/2019   Country:    USA   Primary Security ID:   037833100
Record Date:   01/02/2019   Meeting Type:    Annual   Ticker:   AAPL
    Shares Voted:    4,096    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director James Bell    Mgmt    For    For    For
1b    Elect Director Tim Cook    Mgmt    For    For    For
1c    Elect Director Al Gore    Mgmt    For    For    For
1d    Elect Director Bob Iger    Mgmt    For    For    For
1e    Elect Director Andrea Jung    Mgmt    For    For    For
1f    Elect Director Art Levinson    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2002 – Ivy Focused Growth NextShares

 

Apple, Inc.

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1g    Elect Director Ron Sugar    Mgmt    For    For    For
1h    Elect Director Sue Wagner    Mgmt    For    For    For
2    Ratify Ernst & Young LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Proxy Access Amendments    SH    Against    Against    Against
5    Disclose Board Diversity and Qualifications    SH    Against    Against    Against

Adobe Inc.

 

Meeting Date:   04/11/2019   Country:    USA   Primary Security ID:   00724F101
Record Date:   02/13/2019   Meeting Type:    Annual   Ticker:   ADBE
    Shares Voted:    2,404    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Amy L. Banse    Mgmt    For    For    For
1b    Elect Director Frank A. Calderoni    Mgmt    For    For    For
1c    Elect Director James E. Daley    Mgmt    For    For    For
1d    Elect Director Laura B. Desmond    Mgmt    For    For    For
1e    Elect Director Charles M. Geschke    Mgmt    For    For    For
1f    Elect Director Shantanu Narayen    Mgmt    For    For    For
1g    Elect Director Kathleen Oberg    Mgmt    For    For    For
1h    Elect Director Dheeraj Pandey    Mgmt    For    For    For
1i    Elect Director David A. Ricks    Mgmt    For    For    For
1j    Elect Director Daniel L. Rosensweig    Mgmt    For    For    For
1k    Elect Director John E. Warnock    Mgmt    For    For    For
2    Approve Omnibus Stock Plan    Mgmt    For    Refer    For
3    Ratify KPMG LLP as Auditors    Mgmt    For    For    For
4    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
5    Report on Gender Pay Gap    SH    Against    Against    Against


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2002 – Ivy Focused Growth NextShares

 

Ferrari NV

 

Meeting Date:   04/12/2019   Country:    Netherlands   Primary Security ID:   N3167Y103
Record Date:   03/15/2019   Meeting Type:    Annual   Ticker:   RACE
    Shares Voted:    3,221    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

   Annual Meeting Agenda    Mgmt         
1    Open Meeting    Mgmt         
2.a    Receive Director’s Board Report (Non-Voting)    Mgmt         
2.b    Implementation of Remuneration Policy    Mgmt         
2.c    Receive Explanation on Company’s Reserves and Dividend Policy    Mgmt         
2.d    Adopt Financial Statements and Statutory Reports    Mgmt    For    For    For
2.e    Approve Dividends of EUR 1.03 Per Share    Mgmt    For    For    For
2.f    Approve Discharge of Directors    Mgmt    For    For    For
3.a    Elect John Elkann as Executive Director    Mgmt    For    Refer    Against
3.b    Reelect Louis C. Camilleri as Executive Director    Mgmt    For    For    For
3.c    Reelect Piero Ferrari as Non-Executive Director    Mgmt    For    For    For
3.d    Reelect Delphine Arnault as Non-Executive Director    Mgmt    For    Refer    Against
3.e    Reelect Giuseppina Capaldo as Non-Executive Director    Mgmt    For    For    For
3.f    Reelect Eduardo H. Cue as Non-Executive Director    Mgmt    For    For    Against
3.g    Reelect Sergio Duca as Non-Executive Director    Mgmt    For    For    For
3.h    Reelect Maria Patrizia Grieco as Non-Executive Director    Mgmt    For    For    For
3.i    Reelect Adam Keswick as Non-Executive Director    Mgmt    For    Refer    For
3.j    Reelect Elena Zambon as Non-Executive Director    Mgmt    For    For    For
4    Appoint EY as Auditors    Mgmt    For    For    For
5    Authorize Repurchase of Up to 10 Percent of Issued Share Capital    Mgmt    For    For    For
6    Approve Cancellation of Special Voting Shares in Treasury    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2002 – Ivy Focused Growth NextShares

 

Ferrari NV

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

7.a    Approve CEO Award    Mgmt    For    For    For
7.b    Approve New Equity Incentive Plan 2019-2021    Mgmt    For    For    For
8    Close Meeting    Mgmt         

Lockheed Martin Corporation

 

Meeting Date:   04/25/2019   Country:    USA   Primary Security ID:   539830109
Record Date:   02/22/2019   Meeting Type:    Annual   Ticker:   LMT
    Shares Voted:    1,338    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Daniel F. Akerson    Mgmt    For    For    For
1.2    Elect Director David B. Burritt    Mgmt    For    For    For
1.3    Elect Director Bruce A. Carlson    Mgmt    For    For    For
1.4    Elect Director James O. Ellis, Jr.    Mgmt    For    For    For
1.5    Elect Director Thomas J. Falk    Mgmt    For    For    For
1.6    Elect Director Ilene S. Gordon    Mgmt    For    For    For
1.7    Elect Director Marillyn A. Hewson    Mgmt    For    For    For
1.8    Elect Director Vicki A. Hollub    Mgmt    For    For    For
1.9    Elect Director Jeh C. Johnson    Mgmt    For    For    For
1.10    Elect Director James D. Taiclet, Jr.    Mgmt    For    For    For
2    Ratify Ernst & Young LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Amend Proxy Access Bylaw    SH    Against    Against    Against


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2002 – Ivy Focused Growth NextShares

 

Pfizer Inc.

 

Meeting Date:   04/25/2019   Country:    USA   Primary Security ID:   717081103
Record Date:   02/26/2019   Meeting Type:    Annual   Ticker:   PFE
    Shares Voted:    10,999    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Ronald E. Blaylock    Mgmt    For    For    For
1.2    Elect Director Albert Bourla    Mgmt    For    For    For
1.3    Elect Director W. Don Cornwell    Mgmt    For    For    For
1.4    Elect Director Joseph J. Echevarria    Mgmt    For    For    For
1.5    Elect Director Helen H. Hobbs    Mgmt    For    For    For
1.6    Elect Director James M. Kilts    Mgmt    For    For    For
1.7    Elect Director Dan R. Littman    Mgmt    For    For    For
1.8    Elect Director Shantanu Narayen    Mgmt    For    For    For
1.9    Elect Director Suzanne Nora Johnson    Mgmt    For    For    For
1.10    Elect Director Ian C. Read    Mgmt    For    For    For
1.11    Elect Director James C. Smith    Mgmt    For    For    For
2    Ratify KPMG LLP as Auditor    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Approve Omnibus Stock Plan    Mgmt    For    For    For
5    Provide Right to Act by Written Consent    SH    Against    For    For
6    Report on Lobbying Payments and Policy    SH    Against    Against    Against
7    Require Independent Board Chairman    SH    Against    Refer    Against
8    Report on Integrating Risks Related to Drug Pricing into Senior Executive Compensation    SH    Against    Against    Against

CME Group Inc.

 

Meeting Date:   05/08/2019   Country:    USA   Primary Security ID:   12572Q105
Record Date:   03/11/2019   Meeting Type:    Annual   Ticker:   CME
    Shares Voted:    2,983    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Terrence A. Duffy    Mgmt    For    For    For
1b    Elect Director Timothy S. Bitsberger    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2002 – Ivy Focused Growth NextShares

 

CME Group Inc.

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1c    Elect Director Charles P. Carey    Mgmt    For    For    For
1d    Elect Director Dennis H. Chookaszian    Mgmt    For    For    For
1e    Elect Director Ana Dutra    Mgmt    For    For    For
1f    Elect Director Martin J. Gepsman    Mgmt    For    For    For
1g    Elect Director Larry G. Gerdes    Mgmt    For    For    For
1h    Elect Director Daniel R. Glickman    Mgmt    For    For    For
1i    Elect Director Daniel G. Kaye    Mgmt    For    For    For
1j    Elect Director Phyllis M. Lockett    Mgmt    For    For    For
1k    Elect Director Deborah J. Lucas    Mgmt    For    For    For
1l    Elect Director Alex J. Pollock    Mgmt    For    For    For
1m    Elect Director Terry L. Savage    Mgmt    For    For    For
1n    Elect Director William R. Shepard    Mgmt    For    For    For
1o    Elect Director Howard J. Siegel    Mgmt    For    For    For
1p    Elect Director Michael A. Spencer    Mgmt    For    For    For
1q    Elect Director Dennis A. Suskind    Mgmt    For    For    For
2    Ratify Ernst & Young LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For

The Charles Schwab Corporation

 

Meeting Date:   05/15/2019   Country:    USA   Primary Security ID:   808513105
Record Date:   03/18/2019   Meeting Type:    Annual   Ticker:   SCHW
    Shares Voted:    2,692    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director John K. Adams, Jr.    Mgmt    For    For    For
1b    Elect Director Stephen A. Ellis    Mgmt    For    For    For
1c    Elect Director Arun Sarin    Mgmt    For    For    For
1d    Elect Director Charles R. Schwab    Mgmt    For    For    For
1e    Elect Director Paula A. Sneed    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2002 – Ivy Focused Growth NextShares

 

The Charles Schwab Corporation

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

2    Ratify Deloitte & Touche LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Adopt Policy to Annually Disclose EEO-1 Data    SH    Against    Against    Against

Zoetis Inc.

 

Meeting Date:   05/15/2019   Country:    USA   Primary Security ID:   98978V103
Record Date:   03/21/2019   Meeting Type:    Annual   Ticker:   ZTS
    Shares Voted:    6,421    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Juan Ramon Alaix    Mgmt    For    For    For
1.2    Elect Director Paul M. Bisaro    Mgmt    For    For    For
1.3    Elect Director Frank A. D’Amelio    Mgmt    For    For    For
1.4    Elect Director Michael B. McCallister    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Ratify KPMG LLP as Auditor    Mgmt    For    For    For

Union Pacific Corporation

 

Meeting Date:   05/16/2019   Country:    USA   Primary Security ID:   907818108
Record Date:   03/22/2019   Meeting Type:    Annual   Ticker:   UNP
    Shares Voted:    1,702    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Andrew H. Card, Jr.    Mgmt    For    For    For
1b    Elect Director Erroll B. Davis, Jr.    Mgmt    For    For    For
1c    Elect Director William J. DeLaney    Mgmt    For    For    For
1d    Elect Director David B. Dillon    Mgmt    For    For    For
1e    Elect Director Lance M. Fritz    Mgmt    For    For    For
1f    Elect Director Deborah C. Hopkins    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2002 – Ivy Focused Growth NextShares

 

Union Pacific Corporation

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1g    Elect Director Jane H. Lute    Mgmt    For    For    For
1h    Elect Director Michael R. McCarthy    Mgmt    For    For    For
1i    Elect Director Thomas F. McLarty, III    Mgmt    For    For    For
1j    Elect Director Bhavesh V. Patel    Mgmt    For    For    For
1k    Elect Director Jose H. Villarreal    Mgmt    For    For    For
2    Ratify Deloitte & Touche LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Require Independent Board Chairman    SH    Against    Refer    Against

Amazon.com, Inc.

 

Meeting Date:   05/22/2019   Country:    USA   Primary Security ID:   023135106
Record Date:   03/28/2019   Meeting Type:    Annual   Ticker:   AMZN
    Shares Voted:    395    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Jeffrey P. Bezos    Mgmt    For    For    For
1b    Elect Director Rosalind G. Brewer    Mgmt    For    For    For
1c    Elect Director Jamie S. Gorelick    Mgmt    For    For    For
1d    Elect Director Daniel P. Huttenlocher    Mgmt    For    For    For
1e    Elect Director Judith A. McGrath    Mgmt    For    For    For
1f    Elect Director Indra K. Nooyi    Mgmt    For    For    For
1g    Elect Director Jonathan J. Rubinstein    Mgmt    For    For    For
1h    Elect Director Thomas O. Ryder    Mgmt    For    For    For
1i    Elect Director Patricia Q. Stonesifer    Mgmt    For    For    For
1j    Elect Director Wendell P. Weeks    Mgmt    For    For    For
2    Ratify Ernst & Young LLP as Auditor    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Report on Management of Food Waste    SH    Against    Refer    Against
5    Reduce Ownership Threshold for Shareholders to Call Special Meeting    SH    Against    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2002 – Ivy Focused Growth NextShares

 

Amazon.com, Inc.

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

6    Prohibit Sales of Facial Recognition Technology to Government Agencies    SH    Against    Refer    Against
7    Report on Impact of Government Use of Facial Recognition Technologies    SH    Against    Refer    Against
8    Report on Products Promoting Hate Speech    SH    Against    Refer    Against
9    Require Independent Board Chairman    SH    Against    Refer    For
10    Report on Sexual Harassment    SH    Against    Refer    Against
11    Report on Climate Change    SH    Against    Refer    Against
12    Disclose a Board of Directors’ Qualification Matrix    SH    Against    Against    Against
13    Report on Gender Pay Gap    SH    Against    Against    Against
14    Assess Feasibility of Including Sustainability as a Performance Measure for Senior Executive Compensation    SH    Against    Against    Against
15    Provide Vote Counting to Exclude Abstentions    SH    Against    For    For

PayPal Holdings, Inc.

 

Meeting Date:   05/22/2019   Country:    USA   Primary Security ID:   70450Y103
Record Date:   03/29/2019   Meeting Type:    Annual   Ticker:   PYPL
    Shares Voted:    6,883    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Rodney C. Adkins    Mgmt    For    For    For
1b    Elect Director Wences Casares    Mgmt    For    For    For
1c    Elect Director Jonathan Christodoro    Mgmt    For    For    For
1d    Elect Director John J. Donahoe    Mgmt    For    For    For
1e    Elect Director David W. Dorman    Mgmt    For    For    For
1f    Elect Director Belinda J. Johnson    Mgmt    For    For    For
1g    Elect Director Gail J. McGovern    Mgmt    For    For    For
1h    Elect Director Deborah M. Messemer    Mgmt    For    For    For
1i    Elect Director David M. Moffett    Mgmt    For    For    For
1j    Elect Director Ann M. Sarnoff    Mgmt    For    For    For
1k    Elect Director Daniel H. Schulman    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2002 – Ivy Focused Growth NextShares

 

PayPal Holdings, Inc.

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1l    Elect Director Frank D. Yeary    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For
4    Report on Political Contributions    SH    Against    Against    Against
5    Amend Board Governance Documents to Define Human Rights Responsibilities    SH    Against    Refer    Against

The Home Depot, Inc.

 

Meeting Date:   05/23/2019   Country:    USA   Primary Security ID:   437076102
Record Date:   03/25/2019   Meeting Type:    Annual   Ticker:   HD
    Shares Voted:    2,006    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Gerard J. Arpey    Mgmt    For    For    For
1b    Elect Director Ari Bousbib    Mgmt    For    For    For
1c    Elect Director Jeffery H. Boyd    Mgmt    For    For    For
1d    Elect Director Gregory D. Brenneman    Mgmt    For    For    For
1e    Elect Director J. Frank Brown    Mgmt    For    For    For
1f    Elect Director Albert P. Carey    Mgmt    For    For    For
1g    Elect Director Helena B. Foulkes    Mgmt    For    For    For
1h    Elect Director Linda R. Gooden    Mgmt    For    For    For
1i    Elect Director Wayne M. Hewett    Mgmt    For    For    For
1j    Elect Director Manuel Kadre    Mgmt    For    For    For
1k    Elect Director Stephanie C. Linnartz    Mgmt    For    For    For
1l    Elect Director Craig A. Menear    Mgmt    For    For    For
2    Ratify KPMG LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Prepare Employment Diversity Report and Report on Diversity Policies    SH    Against    Against    Against


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2002 – Ivy Focused Growth NextShares

 

The Home Depot, Inc.

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

5    Reduce Ownership Threshold for Shareholders to Call Special Meeting    SH    Against    For    For
6    Report on Prison Labor in the Supply Chain    SH    Against    Against    Against

VeriSign, Inc.

 

Meeting Date:   05/23/2019   Country:    USA   Primary Security ID:   92343E102
Record Date:   03/28/2019   Meeting Type:    Annual   Ticker:   VRSN
    Shares Voted:    2,505    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director D. James Bidzos    Mgmt    For    For    For
1.2    Elect Director Kathleen A. Cote    Mgmt    For    For    For
1.3    Elect Director Thomas F. Frist, III    Mgmt    For    For    For
1.4    Elect Director Jamie S. Gorelick    Mgmt    For    For    For
1.5    Elect Director Roger H. Moore    Mgmt    For    For    For
1.6    Elect Director Louis A. Simpson    Mgmt    For    For    For
1.7    Elect Director Timothy Tomlinson    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Ratify KPMG LLP as Auditors    Mgmt    For    For    For
4    Require Independent Board Chairman    SH    Against    Refer    Against

Facebook, Inc.

 

Meeting Date:   05/30/2019   Country:    USA   Primary Security ID:   30303M102
Record Date:   04/05/2019   Meeting Type:    Annual   Ticker:   FB
    Shares Voted:    1,183    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Peggy Alford    Mgmt    For    For    For
1.2    Elect Director Marc L. Andreessen    Mgmt    For    Refer    For
1.3    Elect Director Kenneth I. Chenault    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2002 – Ivy Focused Growth NextShares

 

Facebook, Inc.

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.4    Elect Director Susan D. Desmond-Hellmann    Mgmt    For    For    For
1.5    Elect Director Sheryl K. Sandberg    Mgmt    For    Refer    For
1.6    Elect Director Peter A. Thiel    Mgmt    For    For    For
1.7    Elect Director Jeffrey D. Zients    Mgmt    For    For    For
1.8    Elect Director Mark Zuckerberg    Mgmt    For    Refer    For
2    Ratify Ernst & Young LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Advisory Vote on Say on Pay Frequency    Mgmt    Three Years    Three Years    Three Years
5    Approve Recapitalization Plan for all Stock to Have One-vote per Share    SH    Against    For    For
6    Require Independent Board Chairman    SH    Against    Refer    Against
7    Require a Majority Vote for the Election of Directors    SH    Against    For    For
8    Disclose Board Diversity and Qualifications Matrix    SH    Against    Against    Against
9    Report on Content Governance    SH    Against    Refer    Against
10    Report on Global Median Gender Pay Gap    SH    Against    Against    Against
11    Prepare Employment Diversity Report and Report on Diversity Policies    SH    Against    Against    Against
12    Study Strategic Alternatives Including Sale of Assets    SH    Against    Refer    Against

UnitedHealth Group Incorporated

 

Meeting Date:   06/03/2019   Country:    USA   Primary Security ID:   91324P102
Record Date:   04/09/2019   Meeting Type:    Annual   Ticker:   UNH
    Shares Voted:    1,613    

 

Proposal

Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director William C. Ballard, Jr.    Mgmt    For    For    For
1b    Elect Director Richard T. Burke    Mgmt    For    For    For
1c    Elect Director Timothy P. Flynn    Mgmt    For    For    For
1d    Elect Director Stephen J. Hemsley    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2002 – Ivy Focused Growth NextShares

 

UnitedHealth Group Incorporated

 

Proposal

Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1e    Elect Director Michele J. Hooper    Mgmt    For    For    For
1f    Elect Director F. William McNabb, III    Mgmt    For    For    For
1g    Elect Director Valerie C. Montgomery Rice    Mgmt    For    For    For
1h    Elect Director John H. Noseworthy    Mgmt    For    For    For
1i    Elect Director Glenn M. Renwick    Mgmt    For    For    For
1j    Elect Director David S. Wichmann    Mgmt    For    For    For
1k    Elect Director Gail R. Wilensky    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Ratify Deloitte & Touche LLP as Auditors    Mgmt    For    For    For
4    Amend Proxy Access Right    SH    Against    Against    Against

CoStar Group, Inc.

 

Meeting Date:   06/05/2019   Country:    USA   Primary Security ID:   22160N109
Record Date:   04/10/2019   Meeting Type:    Annual   Ticker:   CSGP
    Shares Voted:    1,092    

 

Proposal

Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Michael R. Klein    Mgmt    For    For    For
1b    Elect Director Andrew C. Florance    Mgmt    For    For    For
1c    Elect Director Laura Cox Kaplan    Mgmt    For    For    For
1d    Elect Director Michael J. Glosserman    Mgmt    For    For    For
1e    Elect Director John W. Hill    Mgmt    For    For    For
1f    Elect Director Christopher J. Nassetta    Mgmt    For    For    For
1g    Elect Director David J. Steinberg    Mgmt    For    For    For
2    Ratify Ernst & Young LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2002 - Ivy Focused Growth NextShares

 

salesforce.com, inc.

 

Meeting Date:   06/06/2019   Country:    USA   Primary Security ID:   79466L302
Record Date:   04/10/2019   Meeting Type:    Annual   Ticker:   CRM
    Shares Voted:    2,927    

 

Proposal

Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Marc Benioff    Mgmt    For    For    For
1b    Elect Director Keith Block    Mgmt    For    For    For
1c    Elect Director Parker Harris    Mgmt    For    For    For
1d    Elect Director Craig Conway    Mgmt    For    For    For
1e    Elect Director Alan Hassenfeld    Mgmt    For    For    For
1f    Elect Director Neelie Kroes    Mgmt    For    For    For
1g    Elect Director Colin Powell    Mgmt    For    For    For
1h    Elect Director Sanford Robertson    Mgmt    For    For    For
1i    Elect Director John V. Roos    Mgmt    For    For    For
1j    Elect Director Bernard Tyson    Mgmt    For    For    For
1k    Elect Director Robin Washington    Mgmt    For    For    For
1l    Elect Director Maynard Webb    Mgmt    For    For    For
1m    Elect Director Susan Wojcicki    Mgmt    For    For    For
2a    Eliminate Supermajority Vote Requirement to Amend Certificate of Incorporation and Bylaws    Mgmt    For    For    For
2b    Eliminate Supermajority Vote Requirement to Remove Directors    Mgmt    For    For    For
3    Amend Omnibus Stock Plan    Mgmt    For    Refer    For
4    Ratify Ernst & Young LLP as Auditors    Mgmt    For    For    For
5    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
6    Disclose Board Diversity and Qualifications Matrix    SH    Against    Against    Against


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2002 – Ivy Focused Growth NextShares

 

Caterpillar Inc.

 

Meeting Date:   06/12/2019   Country:    USA   Primary Security ID:   149123101
Record Date:   04/15/2019   Meeting Type:    Annual   Ticker:   CAT
    Shares Voted:    1,805    

 

Proposal

Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Kelly A. Ayotte    Mgmt    For    For    For
1.2    Elect Director David L. Calhoun    Mgmt    For    For    For
1.3    Elect Director Daniel M. Dickinson    Mgmt    For    For    For
1.4    Elect Director Juan Gallardo    Mgmt    For    For    For
1.5    Elect Director Dennis A. Muilenburg    Mgmt    For    For    For
1.6    Elect Director William A. Osborn    Mgmt    For    For    For
1.7    Elect Director Debra L. Reed-Klages    Mgmt    For    For    For
1.8    Elect Director Edward B. Rust, Jr.    Mgmt    For    For    For
1.9    Elect Director Susan C. Schwab    Mgmt    For    For    For
1.10    Elect Director D. James Umpleby, III    Mgmt    For    For    For
1.11    Elect Director Miles D. White    Mgmt    For    For    For
1.12    Elect Director Rayford Wilkins, Jr.    Mgmt    For    For    For
2    Ratify PricewaterhouseCoopers as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Amend Proxy Access Right    SH    Against    Against    Against
5    Report on Risks of Doing Business in Conflict-Affected Areas    SH    Against    Against    Against

Mastercard Incorporated

 

Meeting Date:   06/25/2019   Country:    USA   Primary Security ID:   57636Q104
Record Date:   04/26/2019   Meeting Type:    Annual   Ticker:   MA
    Shares Voted:    3,390    

 

Proposal

Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Richard Haythornthwaite    Mgmt    For    For    For
1b    Elect Director Ajay Banga    Mgmt    For    For    For
1c    Elect Director David R. Carlucci    Mgmt    For    For    For
1d    Elect Director Richard K. Davis    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2002 – Ivy Focused Growth NextShares

 

Mastercard Incorporated

 

Proposal

Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1e    Elect Director Steven J. Freiberg    Mgmt    For    For    For
1f    Elect Director Julius Genachowski    Mgmt    For    For    For
1g    Elect Director Choon Phong Goh    Mgmt    For    For    For
1h    Elect Director Merit E. Janow    Mgmt    For    For    For
1i    Elect Director Oki Matsumoto    Mgmt    For    For    For
1j    Elect Director Youngme Moon    Mgmt    For    For    For
1k    Elect Director Rima Qureshi    Mgmt    For    For    For
1l    Elect Director Jose Octavio Reyes Lagunes    Mgmt    For    For    For
1m    Elect Director Gabrielle Sulzberger    Mgmt    For    For    For
1n    Elect Director Jackson Tai    Mgmt    For    For    For
1o    Elect Director Lance Uggla    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For
4    Report on Gender Pay Gap    SH    Against    Against    Against
5    Establish Human Rights Board Committee    SH    Against    Refer    Against


IVY FOCUSED VALUE NEXTSHARES

Proxy Voting Record

Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2003 – Ivy Focused Value NextShares

 

Cardinal Health, Inc.

 

Meeting Date:   11/07/2018   Country:    USA   Primary Security ID:   14149Y108
Record Date:   09/10/2018   Meeting Type:    Annual   Ticker:   CAH
    Shares Voted:    8,001    

 

Proposal

Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Colleen F. Arnold    Mgmt    For    For    For
1.2    Elect Director Carrie S. Cox    Mgmt    For    For    For
1.3    Elect Director Calvin Darden    Mgmt    For    For    For
1.4    Elect Director Bruce L. Downey    Mgmt    For    For    For
1.5    Elect Director Patricia A. Hemingway Hall    Mgmt    For    For    For
1.6    Elect Director Akhil Johri    Mgmt    For    For    For
1.7    Elect Director Michael C. Kaufmann    Mgmt    For    For    For
1.8    Elect Director Gregory B. Kenny    Mgmt    For    For    For
1.9    Elect Director Nancy Killefer    Mgmt    For    For    For
2    Ratify Ernst & Young LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Policy to Not Exclude Legal and Compliance Costs for Purposes of Determining Executive Compensation    SH    Against    Refer    Against
5    Reduce Ownership Threshold for Shareholders to Call Special Meeting    SH    Against    For    For

State Street Institutional Investment Trust

 

Meeting Date:   12/18/2018   Country:    USA   Primary Security ID:   85748FAB0
Record Date:   10/22/2018   Meeting Type:    Special   Ticker:   N/A
    Shares Voted:    38,392    

 

Proposal

Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

2.1    Elect Director John R. Costantino    Mgmt    For    For    For
2.2    Elect Director Michael A. Jessee    Mgmt    For    For    For
2.3    Elect Director Ellen M. Needham    Mgmt    For    For    For
2.4    Elect Director Donna M. Rapaccioli    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2003 – Ivy Focused Value NextShares

 

AGNC Investment Corp.

 

Meeting Date:   04/18/2019   Country:    USA   Primary Security ID:   00123Q104
Record Date:   02/22/2019   Meeting Type:    Annual   Ticker:   AGNC
    Shares Voted:    31,240    

 

Proposal

Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Gary D. Kain    Mgmt    For    For    For
1.2    Elect Director Donna J. Blank    Mgmt    For    For    For
1.3    Elect Director Morris A. Davis    Mgmt    For    For    For
1.4    Elect Director Larry K. Harvey *Withdrawn Resolution*    Mgmt         
1.5    Elect Director Prue B. Larocca    Mgmt    For    For    For
1.6    Elect Director Paul E. Mullings    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Ratify Ernst & Young LLP as Auditors    Mgmt    For    For    For

Regions Financial Corporation

 

Meeting Date:   04/24/2019   Country:    USA   Primary Security ID:   7591EP100
Record Date:   02/25/2019   Meeting Type:    Annual   Ticker:   RF
    Shares Voted:    23,221    

 

Proposal

Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Carolyn H. Byrd    Mgmt    For    For    For
1b    Elect Director Don DeFosset    Mgmt    For    For    For
1c    Elect Director Samuel A. Di Piazza, Jr.    Mgmt    For    For    For
1d    Elect Director Eric C. Fast    Mgmt    For    For    For
1e    Elect Director Zhanna Golodryga    Mgmt    For    For    For
1f    Elect Director John D. Johns    Mgmt    For    For    For
1g    Elect Director Ruth Ann Marshall    Mgmt    For    For    For
1h    Elect Director Charles D. McCrary    Mgmt    For    For    For
1i    Elect Director James T. Prokopanko    Mgmt    For    For    For
1j    Elect Director Lee J. Styslinger, III    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2003 – Ivy Focused Value NextShares

 

Regions Financial Corporation

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1k    Elect Director Jose S. Suquet    Mgmt    For    For    For
1l    Elect Director John M. Turner, Jr.    Mgmt    For    For    For
1m    Elect Director Timothy Vines    Mgmt    For    For    For
2    Ratify Ernst & Young LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For

Citizens Financial Group, Inc.

 

Meeting Date:   04/25/2019   Country:    USA   Primary Security ID:   174610105
Record Date:   02/28/2019   Meeting Type:    Annual   Ticker:   CFG
    Shares Voted:    10,578    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1

   Elect Director Bruce Van Saun    Mgmt    For    For    For

1.2

   Elect Director Mark Casady    Mgmt    For    For    For

1.3

   Elect Director Christine M. Cumming    Mgmt    For    For    For

1.4

   Elect Director William P. Hankowsky    Mgmt    For    For    For

1.5

   Elect Director Howard W. Hanna, III    Mgmt    For    For    For

1.6

   Elect Director Leo I. “Lee” Higdon    Mgmt    For    For    For

1.7

   Elect Director Edward J. “Ned” Kelly, III    Mgmt    For    For    For

1.8

   Elect Director Charles J. “Bud” Koch    Mgmt    For    For    For

1.9

   Elect Director Terrance J. Lillis    Mgmt    For    For    For

1.10

   Elect Director Shivan Subramaniam    Mgmt    For    For    For

1.11

   Elect Director Wendy A. Watson    Mgmt    For    For    For

1.12

   Elect Director Marita Zuraitis    Mgmt    For    For    For

2

   Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For

3

   Ratify Deloitte & Touche LLP as Auditors    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2003 – Ivy Focused Value NextShares

 

Pfizer Inc.

 

Meeting Date:   04/25/2019   Country:    USA   Primary Security ID:   717081103
Record Date:   02/26/2019   Meeting Type:    Annual   Ticker:   PFE
    Shares Voted:    9,321    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1

   Elect Director Ronald E. Blaylock    Mgmt    For    For    For

1.2

   Elect Director Albert Bourla    Mgmt    For    For    For

1.3

   Elect Director W. Don Cornwell    Mgmt    For    For    For

1.4

   Elect Director Joseph J. Echevarria    Mgmt    For    For    For

1.5

   Elect Director Helen H. Hobbs    Mgmt    For    For    For

1.6

   Elect Director James M. Kilts    Mgmt    For    For    For

1.7

   Elect Director Dan R. Littman    Mgmt    For    For    For

1.8

   Elect Director Shantanu Narayen    Mgmt    For    For    For

1.9

   Elect Director Suzanne Nora Johnson    Mgmt    For    For    For

1.10

   Elect Director Ian C. Read    Mgmt    For    For    For

1.11

   Elect Director James C. Smith    Mgmt    For    For    For

2

   Ratify KPMG LLP as Auditor    Mgmt    For    For    For

3

   Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For

4

   Approve Omnibus Stock Plan    Mgmt    For    For    For

5

   Provide Right to Act by Written Consent    SH    Against    For    For

6

   Report on Lobbying Payments and Policy    SH    Against    Against    Against

7

   Require Independent Board Chairman    SH    Against    Refer    Against

8

   Report on Integrating Risks Related to Drug Pricing into Senior Executive Compensation    SH    Against    Against    Against


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2003 – Ivy Focused Value NextShares

 

International Business Machines Corporation

 

Meeting Date:   04/30/2019   Country:    USA   Primary Security ID:   459200101
Record Date:   03/01/2019   Meeting Type:    Annual   Ticker:   IBM
    Shares Voted:    2,775    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1

   Elect Director Michael L. Eskew    Mgmt    For    For    For

1.2

   Elect Director David N. Farr    Mgmt    For    For    For

1.3

   Elect Director Alex Gorsky    Mgmt    For    For    For

1.4

   Elect Director Michelle J. Howard    Mgmt    For    For    For

1.5

   Elect Director Shirley Ann Jackson    Mgmt    For    For    For

1.6

   Elect Director Andrew N. Liveris    Mgmt    For    For    For

1.7

   Elect Director Martha E. Pollack    Mgmt    For    For    For

1.8

   Elect Director Virginia M. Rometty    Mgmt    For    For    For

1.9

   Elect Director Joseph R. Swedish    Mgmt    For    For    For

1.10

   Elect Director Sidney Taurel    Mgmt    For    For    For

1.11

   Elect Director Peter R. Voser    Mgmt    For    For    For

1.12

   Elect Director Frederick H. Waddell    Mgmt    For    For    For

2

   Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For

3

   Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For

4

   Amend Executive Incentive Bonus Plan    Mgmt    For    Refer    For

5

   Provide Right to Act by Written Consent    SH    Against    For    For

6

   Require Independent Board Chairman    SH    Against    Refer    For

Gilead Sciences, Inc.

 

Meeting Date:   05/08/2019   Country:    USA   Primary Security ID:   375558103
Record Date:   03/15/2019   Meeting Type:    Annual   Ticker:   GILD
    Shares Voted:    5,868    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a

   Elect Director Jacqueline K. Barton    Mgmt    For    For    For

1b

   Elect Director John F. Cogan    Mgmt    For    For    For

1c

   Elect Director Kelly A. Kramer    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2003 – Ivy Focused Value NextShares

 

Gilead Sciences, Inc.

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1d

   Elect Director Kevin E. Lofton    Mgmt    For    For    For

1e

   Elect Director Harish Manwani    Mgmt    For    For    For

1f

   Elect Director Daniel P. O’Day    Mgmt    For    For    For

1g

   Elect Director Richard J. Whitley    Mgmt    For    For    For

1h

   Elect Director Gayle E. Wilson    Mgmt    For    For    For

1i

   Elect Director Per Wold-Olsen    Mgmt    For    For    For

2

   Ratify Ernst & Young LLP as Auditors    Mgmt    For    For    For

3

   Provide Right to Act by Written Consent    Mgmt    For    For    For

4

   Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For

5

   Require Independent Board Chairman    SH    Against    Refer    Against

6

   Report on Corporate Tax Savings Allocation    SH    Against    Refer    Against

Phillips 66

 

Meeting Date:   05/08/2019   Country:    USA   Primary Security ID:   718546104
Record Date:   03/11/2019   Meeting Type:    Annual   Ticker:   PSX
    Shares Voted:    4,822    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a

   Elect Director Greg C. Garland    Mgmt    For    Refer    For

1b

   Elect Director Gary K. Adams    Mgmt    For    For    For

1c

   Elect Director John E. Lowe    Mgmt    For    For    For

1d

   Elect Director Denise L. Ramos    Mgmt    For    For    For

2

   Ratify Ernst & Young LLP as Auditors    Mgmt    For    For    For

3

   Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For

4

   Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year

5

   Report on Plastic Pollution *Withdrawn Resolution*    SH         


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2003 – Ivy Focused Value NextShares

 

International Paper Company

 

Meeting Date:   05/13/2019   Country:    USA   Primary Security ID:   460146103
Record Date:   03/14/2019   Meeting Type:    Annual   Ticker:   IP
    Shares Voted:    8,008    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a

   Elect Director William J. Burns    Mgmt    For    For    For

1b

   Elect Director Christopher M. Connor    Mgmt    For    For    For

1c

   Elect Director Ahmet C. Dorduncu    Mgmt    For    For    For

1d

   Elect Director Ilene S. Gordon    Mgmt    For    For    For

1e

   Elect Director Anders Gustafsson    Mgmt    For    For    For

1f

   Elect Director Jacqueline C. Hinman    Mgmt    For    For    For

1g

   Elect Director Clinton A. Lewis, Jr.    Mgmt    For    For    For

1h

   Elect Director Kathryn D. Sullivan    Mgmt    For    For    For

1i

   Elect Director Mark S. Sutton    Mgmt    For    For    For

1j

   Elect Director J. Steven Whisler    Mgmt    For    For    For

1k

   Elect Director Ray G. Young    Mgmt    For    For    For

2

   Ratify Deloitte & Touche LLP as Auditors    Mgmt    For    For    For

3

   Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For

4

   Reduce Ownership Threshold for Shareholders to Call Special Meeting    SH    Against    For    For

Prudential Financial, Inc.

 

Meeting Date:   05/14/2019   Country:    USA   Primary Security ID:   744320102
Record Date:   03/15/2019   Meeting Type:    Annual   Ticker:   PRU
    Shares Voted:    4,967    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1

   Elect Director Thomas J. Baltimore, Jr.    Mgmt    For    For    For

1.2

   Elect Director Gilbert F. Casellas    Mgmt    For    For    For

1.3

   Elect Director Robert M. Falzon    Mgmt    For    For    For

1.4

   Elect Director Mark B. Grier    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2003 – Ivy Focused Value NextShares

 

Prudential Financial, Inc.

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.5

   Elect Director Martina Hund-Mejean    Mgmt    For    For    For

1.6

   Elect Director Karl J. Krapek    Mgmt    For    For    For

1.7

   Elect Director Peter R. Lighte    Mgmt    For    For    For

1.8

   Elect Director Charles F. Lowrey    Mgmt    For    For    For

1.9

   Elect Director George Paz    Mgmt    For    For    For

1.10

   Elect Director Sandra Pianalto    Mgmt    For    For    For

1.11

   Elect Director Christine A. Poon    Mgmt    For    For    For

1.12

   Elect Director Douglas A. Scovanner    Mgmt    For    For    For

1.13

   Elect Director Michael A. Todman    Mgmt    For    For    For

2

   Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For

3

   Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For

4

   Provide Right to Act by Written Consent    SH    Against    For    For

F.N.B. Corporation

 

Meeting Date:   05/15/2019   Country:    USA   Primary Security ID:   302520101
Record Date:   03/06/2019   Meeting Type:    Annual   Ticker:   FNB
    Shares Voted:    31,895    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1

   Elect Director Pamela A. Bena    Mgmt    For    For    For

1.2

   Elect Director William B. Campbell    Mgmt    For    For    For

1.3

   Elect Director James D. Chiafullo    Mgmt    For    For    For

1.4

   Elect Director Vincent J. Delie, Jr.    Mgmt    For    For    For

1.5

   Elect Director Mary Jo Dively    Mgmt    For    For    For

1.6

   Elect Director Robert A. Hormell    Mgmt    For    For    For

1.7

   Elect Director David J. Malone    Mgmt    For    For    For

1.8

   Elect Director Frank C. Mencini    Mgmt    For    For    For

1.9

   Elect Director David L. Motley    Mgmt    For    For    For

1.10

   Elect Director Heidi A. Nicholas    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2003 – Ivy Focused Value NextShares

 

F.N.B. Corporation

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting Policy Rec

  

Vote
Instruction

1.11

   Elect Director John S. Stanik    Mgmt    For    For    For

1.12

   Elect Director William J. Strimbu    Mgmt    For    For    For

2

   Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For

3

   Ratify Ernst & Young LLP as Auditor    Mgmt    For    For    For

Kohl’s Corporation

 

Meeting Date:   05/15/2019   Country:    USA   Primary Security ID:   500255104
Record Date:   03/13/2019   Meeting Type:    Annual   Ticker:   KSS
    Shares Voted:    6,988    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote
Instruction

1a

   Elect Director Peter Boneparth    Mgmt    For    For    For

1b

   Elect Director Steven A. Burd    Mgmt    For    For    For

1c

   Elect Director H. Charles Floyd    Mgmt    For    For    For

1d

   Elect Director Michelle Gass    Mgmt    For    For    For

1e

   Elect Director Jonas Prising    Mgmt    For    For    For

1f

   Elect Director John E. Schlifske    Mgmt    For    For    For

1g

   Elect Director Adrianne Shapira    Mgmt    For    For    For

1h

   Elect Director Frank V. Sica    Mgmt    For    For    For

1i

   Elect Director Stephanie A. Streeter    Mgmt    For    For    For

1j

   Elect Director Stephen E. Watson    Mgmt    For    For    For

2

   Ratify Ernst & Young LLP as Auditors    Mgmt    For    For    For

3

   Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For

4

   Report on Political Contributions    SH    Against    Against    Against

5

   Adopt Vendor Policy Regarding Oversight on Preventing Cruelty to Animals Throughout the Supply Chain    SH    Against    Against    Against


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2003 – Ivy Focused Value NextShares

 

CVS Health Corporation

 

Meeting Date:   05/16/2019   Country:    USA   Primary Security ID:   126650100
Record Date:   03/21/2019   Meeting Type:    Annual   Ticker:   CVS
    Shares Voted:    6,534    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Fernando Aguirre    Mgmt    For    For    For
1b    Elect Director Mark T. Bertolini    Mgmt    For    For    For
1c    Elect Director Richard M. Bracken    Mgmt    For    For    For
1d    Elect Director C. David Brown, II    Mgmt    For    For    For
1e    Elect Director Alecia A. DeCoudreaux    Mgmt    For    For    For
1f    Elect Director Nancy-Ann M. DeParle    Mgmt    For    For    For
1g    Elect Director David W. Dorman    Mgmt    For    For    For
1h    Elect Director Roger N. Farah    Mgmt    For    For    For
1i    Elect Director Anne M. Finucane    Mgmt    For    For    For
1j    Elect Director Edward J. Ludwig    Mgmt    For    For    For
1k    Elect Director Larry J. Merlo    Mgmt    For    For    For
1l    Elect Director Jean-Pierre Millon    Mgmt    For    For    For
1m    Elect Director Mary L. Schapiro    Mgmt    For    For    For
1n    Elect Director Richard J. Swift    Mgmt    For    For    For
1o    Elect Director William C. Weldon    Mgmt    For    For    For
1p    Elect Director Tony L. White    Mgmt    For    For    For
2    Ratify Ernst & Young LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Prohibit Adjusting Compensation Metrics for Legal or Compliance Costs    SH    Against    Against    Against


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2003 – Ivy Focused Value NextShares

 

Host Hotels & Resorts, Inc.

 

Meeting Date:   05/16/2019   Country:    USA   Primary Security ID:   44107P104
Record Date:   03/22/2019   Meeting Type:    Annual   Ticker:   HST
    Shares Voted:    19,268    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Mary L. Baglivo    Mgmt    For    For    For
1.2    Elect Director Sheila C. Bair    Mgmt    For    For    For
1.3    Elect Director Ann McLaughlin Korologos    Mgmt    For    For    For
1.4    Elect Director Richard E. Marriott    Mgmt    For    For    For
1.5    Elect Director Sandeep L. Mathrani    Mgmt    For    For    For
1.6    Elect Director John B. Morse, Jr.    Mgmt    For    For    For
1.7    Elect Director Mary Hogan Preusse    Mgmt    For    For    For
1.8    Elect Director Walter C. Rakowich    Mgmt    For    For    For
1.9    Elect Director James F. Risoleo    Mgmt    For    For    For
1.10    Elect Director Gordon H. Smith    Mgmt    For    For    For
1.11    Elect Director A. William Stein    Mgmt    For    For    For
2    Ratify KPMG LLP as Auditor    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For

Omnicom Group Inc.

 

Meeting Date:   05/20/2019   Country:    USA   Primary Security ID:   681919106
Record Date:   04/01/2019   Meeting Type:    Annual   Ticker:   OMC
    Shares Voted:    4,909    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director John D. Wren    Mgmt    For    For    For
1.2    Elect Director Alan R. Batkin    Mgmt    For    For    For
1.3    Elect Director Mary C. Choksi    Mgmt    For    For    For
1.4    Elect Director Robert Charles Clark    Mgmt    For    For    For
1.5    Elect Director Leonard S. Coleman, Jr.    Mgmt    For    For    For
1.6    Elect Director Susan S. Denison    Mgmt    For    For    For
1.7    Elect Director Ronnie S. Hawkins    Mgmt    For    For    For
1.8    Elect Director Deborah J. Kissire    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2003 – Ivy Focused Value NextShares

 

Omnicom Group Inc.

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.9    Elect Director Gracia C. Martore    Mgmt    For    For    For
1.10    Elect Director Linda Johnson Rice    Mgmt    For    For    For
1.11    Elect Director Valerie M. Williams    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Ratify KPMG LLP as Auditors    Mgmt    For    For    For
4    Require Independent Board Chairman    SH    Against    Refer    Against

Amgen, Inc.

 

Meeting Date:   05/21/2019   Country:    USA   Primary Security ID:   031162100
Record Date:   03/22/2019   Meeting Type:    Annual   Ticker:   AMGN
    Shares Voted:    1,985    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1

   Elect Director Wanda M. Austin    Mgmt    For    For    For

1.2

   Elect Director Robert A. Bradway    Mgmt    For    For    For

1.3

   Elect Director Brian J. Druker    Mgmt    For    For    For

1.4

   Elect Director Robert A. Eckert    Mgmt    For    For    For

1.5

   Elect Director Greg C. Garland    Mgmt    For    For    For

1.6

   Elect Director Fred Hassan    Mgmt    For    For    For

1.7

   Elect Director Rebecca M. Henderson    Mgmt    For    For    For

1.8

   Elect Director Charles M. Holley, Jr.    Mgmt    For    For    For

1.9

   Elect Director Tyler Jacks    Mgmt    For    For    For

1.10

   Elect Director Ellen J. Kullman    Mgmt    For    For    For

1.11

   Elect Director Ronald D. Sugar    Mgmt    For    For    For

1.12

   Elect Director R. Sanders Williams    Mgmt    For    For    For

2

   Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For

3

   Ratify Ernst & Young LLP as Auditors    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2003 – Ivy Focused Value NextShares

 

The Gap, Inc.

 

Meeting Date:   05/21/2019   Country:    USA   Primary Security ID:   364760108
Record Date:   03/25/2019   Meeting Type:    Annual   Ticker:   GPS
    Shares Voted:    14,339    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a

   Elect Director Amy Bohutinsky    Mgmt    For    For    For

1b

   Elect Director John J. Fisher    Mgmt    For    For    For

1c

   Elect Director Robert J. Fisher    Mgmt    For    Refer    Against

1d

   Elect Director William S. Fisher    Mgmt    For    For    For

1e

   Elect Director Tracy Gardner    Mgmt    For    For    For

1f

   Elect Director Isabella D. Goren    Mgmt    For    For    For

1g

   Elect Director Bob L. Martin    Mgmt    For    For    For

1h

   Elect Director Jorge P. Montoya    Mgmt    For    For    For

1i

   Elect Director Chris O’Neill    Mgmt    For    For    For

1j

   Elect Director Arthur Peck    Mgmt    For    For    For

1k

   Elect Director Lexi Reese    Mgmt    For    For    For

1l

   Elect Director Mayo A. Shattuck, III    Mgmt    For    For    For

2

   Ratify Deloitte & Touche LLP as Auditor    Mgmt    For    For    For

3

   Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For

4

   Amend Omnibus Stock Plan    Mgmt    For    Refer    Against

PBF Energy Inc.

 

Meeting Date:   05/23/2019   Country:    USA   Primary Security ID:   69318G106
Record Date:   03/29/2019   Meeting Type:    Annual   Ticker:   PBF
    Shares Voted:    16,120    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Thomas J. Nimbley    Mgmt    For    For    For
1.2    Elect Director Spencer Abraham    Mgmt    For    For    For
1.3    Elect Director Wayne A. Budd    Mgmt    For    For    For
1.4    Elect Director S. Eugene Edwards    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2003 – Ivy Focused Value NextShares

 

PBF Energy Inc.

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.5    Elect Director William E. Hantke    Mgmt    For    For    For
1.6    Elect Director Edward F. Kosnik    Mgmt    For    For    For
1.7    Elect Director Robert J. Lavinia    Mgmt    For    For    For
1.8    Elect Director Kimberly S. Lubel    Mgmt    For    For    For
1.9    Elect Director George E. Ogden    Mgmt    For    For    For
2    Ratify Deloitte & Touche LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year

The Interpublic Group of Companies, Inc.

 

Meeting Date:   05/23/2019   Country:    USA   Primary Security ID:   460690100
Record Date:   03/28/2019   Meeting Type:    Annual   Ticker:   IPG
    Shares Voted:    16,405    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Jocelyn Carter-Miller    Mgmt    For    For    For
1.2    Elect Director H. John Greeniaus    Mgmt    For    For    For
1.3    Elect Director Mary J. Steele Guilfoile    Mgmt    For    For    For
1.4    Elect Director Dawn Hudson    Mgmt    For    For    For
1.5    Elect Director William T. Kerr    Mgmt    For    For    For
1.6    Elect Director Henry S. Miller    Mgmt    For    For    For
1.7    Elect Director Jonathan F. Miller    Mgmt    For    For    For
1.8    Elect Director Patrick Q. Moore    Mgmt    For    For    For
1.9    Elect Director Michael I. Roth    Mgmt    For    For    For
1.10    Elect Director David M. Thomas    Mgmt    For    For    For
1.11    Elect Director E. Lee Wyatt, Jr.    Mgmt    For    For    For
2    Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Approve Omnibus Stock Plan    Mgmt    For    For    For
5    Require Independent Board Chairman    SH    Against    Refer    Against


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2003 – Ivy Focused Value NextShares

 

Bristol-Myers Squibb Company

 

Meeting Date:   05/29/2019   Country:    USA   Primary Security ID:   110122108
Record Date:   04/30/2019   Meeting Type:    Annual   Ticker:   BMY
    Shares Voted:    8,243    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1A    Elect Director Peter J. Arduini    Mgmt    For    For    For
1B    Elect Director Robert J. Bertolini    Mgmt    For    For    For
1C    Elect Director Giovanni Caforio    Mgmt    For    For    For
1D    Elect Director Matthew W. Emmens    Mgmt    For    For    For
1E    Elect Director Michael Grobstein    Mgmt    For    For    For
1F    Elect Director Alan J. Lacy    Mgmt    For    For    For
1G    Elect Director Dinesh C. Paliwal    Mgmt    For    For    For
1H    Elect Director Theodore R. Samuels    Mgmt    For    For    For
1I    Elect Director Vicki L. Sato    Mgmt    For    For    For
1J    Elect Director Gerald L. Storch    Mgmt    For    For    For
1K    Elect Director Karen H. Vousden    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Ratify Deloitte & Touche LLP as Auditors    Mgmt    For    For    For
4    Provide Right to Act by Written Consent    SH    Against    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2003 – Ivy Focused Value NextShares

 

LyondellBasell Industries N.V.

 

Meeting Datep:   05/31/2019   Country:    Netherlands   Primary Security ID:   N53745100
Record Date:   05/03/2019   Meeting Type:    Annual   Ticker:   LYB
    Shares Voted:    4,185    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Jacques Aigrain    Mgmt    For    For    For
1b    Elect Director Lincoln Benet    Mgmt    For    For    For
1c    Elect Director Jagjeet “Jeet” Bindra    Mgmt    For    For    For
1d    Elect Director Robin Buchanan    Mgmt    For    For    For
1e    Elect Director Stephen Cooper    Mgmt    For    For    For
1f    Elect Director Nance Dicciani    Mgmt    For    For    For
1g    Elect Director Claire Farley    Mgmt    For    For    For
1h    Elect Director Isabella “Bella” Goren    Mgmt    For    For    For
1i    Elect Director Michael Hanley    Mgmt    For    For    For
1j    Elect Director Albert Manifold    Mgmt    For    For    For
1k    Elect Director Bhavesh “Bob” Patel    Mgmt    For    For    For
1l    Elect Director Rudy van der Meer    Mgmt    For    For    For
2    Approve Discharge of Executive Director and Prior Management Board    Mgmt    For    For    For
3    Approve Discharge of Non-Executive Directors and Prior Supervisory Board    Mgmt    For    For    For
4    Adopt Financial Statements and Statutory Reports    Mgmt    For    For    For
5    Ratify PricewaterhouseCoopers Accountants N.V. Mgmt as Auditors       For    For    For
6    Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For
7    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
8    Approve Dividends of USD 4.00 Per Share    Mgmt    For    For    For
9    Authorize Repurchase of Up to 10 Percent of Issued Share Capital    Mgmt    For    For    For
10    Amend Omnibus Stock Plan    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2003 – Ivy Focused Value NextShares

 

General Motors Company

 

Meeting Date:   06/04/2019   Country:    USA   Primary Security ID:   37045V100
Record Date:   04/08/2019   Meeting Type:    Annual   Ticker:   GM
    Shares Voted:    9,659    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Mary T. Barra    Mgmt    For    For    For
1b    Elect Director Wesley G. Bush    Mgmt    For    For    For
1c    Elect Director Linda R. Gooden    Mgmt    For    For    For
1d    Elect Director Joseph Jimenez    Mgmt    For    For    For
1e    Elect Director Jane L. Mendillo    Mgmt    For    For    For
1f    Elect Director Judith A. Miscik    Mgmt    For    For    For
1g    Elect Director Patricia F. Russo    Mgmt    For    For    For
1h    Elect Director Thomas M. Schoewe    Mgmt    For    For    For
1i    Elect Director Theodore M. Solso    Mgmt    For    For    For
1j    Elect Director Carol M. Stephenson    Mgmt    For    For    For
1k    Elect Director Devin N. Wenig    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Ratify Ernst & Young LLP as Auditors    Mgmt    For    For    For
4    Require Independent Board Chairman    SH    Against    Refer    For
5    Report on Lobbying Payments and Policy    SH    Against    Against    Against

MetLife, Inc.

 

Meeting Date:   06/18/2019   Country:    USA   Primary Security ID:   59156R108
Record Date:   04/22/2019   Meeting Type:    Annual   Ticker:   MET
    Shares Voted:    10,647    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a

   Elect Director Cheryl W. Grise    Mgmt    For    For    For

1b

   Elect Director Carlos M. Gutierrez    Mgmt    For    For    For

1c

   Elect Director Gerald L. Hassell    Mgmt    For    For    For

1d

   Elect Director David L. Herzog    Mgmt    For    For    For

1e

   Elect Director R. Glenn Hubbard    Mgmt    For    For    For

1f

   Elect Director Edward J. Kelly, III    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2018 to 06/30/2019

Location(s): All Locations

Institution Account(s): 2003 – Ivy Focused Value NextShares

 

MetLife, Inc.

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1g    Elect Director William E. Kennard    Mgmt    For    For    For
1h    Elect Director Michel A. Khalaf    Mgmt    For    For    For
1i    Elect Director James M. Kilts    Mgmt    For    For    For
1j    Elect Director Catherine R. Kinney    Mgmt    For    For    For
1k    Elect Director Diana L. McKenzie    Mgmt    For    For    For
1l    Elect Director Denise M. Morrison    Mgmt    For    For    For
2    Ratify Deloitte & Touche LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For


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.

 

IVY NEXTSHARES
(Registrant)
By:  

/s/ Philip A. Shipp

  Philip A. Shipp, Assistant Secretary
Date: August 30, 2019
By:  

/s/ Philip J. Sanders

  Philip J. Sanders, President and Principal Executive Officer
Date: August 30, 2019