0000894189-19-005634.txt : 20190826 0000894189-19-005634.hdr.sgml : 20190826 20190826130519 ACCESSION NUMBER: 0000894189-19-005634 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190826 DATE AS OF CHANGE: 20190826 EFFECTIVENESS DATE: 20190826 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Listed Funds Trust CENTRAL INDEX KEY: 0001683471 IRS NUMBER: 826272597 FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-23226 FILM NUMBER: 191051528 BUSINESS ADDRESS: STREET 1: 615 E. MICHIGAN STREET CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 414-765-5144 MAIL ADDRESS: STREET 1: 615 E. MICHIGAN STREET CITY: MILWAUKEE STATE: WI ZIP: 53202 FORMER COMPANY: FORMER CONFORMED NAME: Active Weighting Funds ETF Trust DATE OF NAME CHANGE: 20160830 0001683471 S000065293 Roundhill BITKRAFT Esports & Digital Entertainment ETF C000211351 Roundhill BITKRAFT Esports & Digital Entertainment ETF NERD N-PX 1 lift-roundhill2_npx.txt ANNUAL REPORT OF PROXY VOTING UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-PX ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY INVESTMENT COMPANY ACT FILE NUMBER: 811-23226 NAME OF REGISTRANT: Listed Funds Trust ADDRESS OF PRINCIPAL EXECUTIVE OFFICES: 615 East Michigan Street Milwaukee, WI 53202 NAME AND ADDRESS OF AGENT FOR SERVICE: Gregory Bakken, President/ Principal Executive Officer c/o U.S. Bancorp Fund Services, LLC 811 East Wisconsin Avenue Milwaukee, WI 53202 REGISTRANT'S TELEPHONE NUMBER: 414-765-4711 DATE OF FISCAL YEAR END: 12/31 DATE OF REPORTING PERIOD: 07/01/2018 - 06/30/2019 LiFT - Roundhill BITKRAFT Esports & Digital Entertainment ETF -------------------------------------------------------------------------------------------------------------------------- PC PARTNER GROUP LTD Agenda Number: 710959923 -------------------------------------------------------------------------------------------------------------------------- Security: G6956A101 Meeting Type: AGM Meeting Date: 14-Jun-2019 Ticker: ISIN: KYG6956A1013 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND Non-Voting PROXY FORM ARE AVAILABLE BY CLICKING ON THE URL LINKS: HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONEWS /SEHK/2019/0411/LTN20190411785.PDF AND HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONEWS /SEHK/2019/0411/LTN20190411760.PDF CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED Non-Voting TO VOTE 'IN FAVOR' OR 'AGAINST' FOR ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING 1 TO RECEIVE AND CONSIDER THE AUDITED Mgmt For For CONSOLIDATED FINANCIAL STATEMENTS AND THE REPORTS OF THE DIRECTORS AND AUDITOR FOR THE YEAR ENDED 31 DECEMBER 2018 2.A TO RE-ELECT MR. WONG FONG PAK AS A DIRECTOR Mgmt For For 2.B TO RE-ELECT MR. LEUNG WAH KAN AS A DIRECTOR Mgmt For For 2.C TO RE-ELECT MR. MAN WAI HUNG AS A DIRECTOR Mgmt For For 2.D TO AUTHORISE THE BOARD OF DIRECTORS TO FIX Mgmt For For THE REMUNERATION OF THE DIRECTORS 3 TO RE-APPOINT BDO LIMITED AS AUDITOR AND TO Mgmt For For AUTHORISE THE BOARD OF DIRECTORS TO FIX THEIR REMUNERATION 4 TO GRANT A GENERAL MANDATE TO THE DIRECTORS Mgmt Against Against TO ISSUE AND ALLOT ADDITIONAL SHARES NOT EXCEEDING 20% OF THE AGGREGATE NOMINAL AMOUNT OF THE SHARE CAPITAL OF THE COMPANY IN ISSUE AS AT THE DATE OF THIS RESOLUTION 5 TO GRANT A GENERAL MANDATE TO THE DIRECTORS Mgmt For For TO REPURCHASE SHARES IN THE CAPITAL OF THE COMPANY NOT EXCEEDING 10% OF THE AGGREGATE NOMINAL AMOUNT OF THE SHARE CAPITAL OF THE COMPANY IN ISSUE AS AT THE DATE OF THIS RESOLUTION 6 TO EXTEND THE GENERAL MANDATE GRANTED TO Mgmt Against Against THE DIRECTORS UNDER RESOLUTION NO. 4 BY ADDING THE AGGREGATE NOMINAL AMOUNT OF THE SHARES REPURCHASED BY THE COMPANY UNDER RESOLUTION NO. 5 -------------------------------------------------------------------------------------------------------------------------- RAZER INC. Agenda Number: 711101030 -------------------------------------------------------------------------------------------------------------------------- Security: G7397A106 Meeting Type: AGM Meeting Date: 28-Jun-2019 Ticker: ISIN: KYG7397A1067 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND Non-Voting PROXY FORM ARE AVAILABLE BY CLICKING ON THE URL LINKS: HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONEWS /SEHK/2019/0429/LTN201904292081.PDF AND HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONEWS /SEHK/2019/0429/LTN201904292044.PDF CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A Non-Voting VOTE OF 'ABSTAIN' WILL BE TREATED THE SAME AS A 'TAKE NO ACTION' VOTE 1 TO RECEIVE AND ADOPT THE AUDITED Mgmt For For CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY AND ITS SUBSIDIARIES AND THE REPORTS OF THE DIRECTORS AND AUDITORS FOR THE YEAR ENDED DECEMBER 31, 2018 2.A TO RE-ELECT MR. CHAN THIONG JOO EDWIN AS AN Mgmt For For EXECUTIVE DIRECTOR 2.B TO RE-ELECT MR. CHAU KWOK FUN KEVIN AS AN Mgmt For For INDEPENDENT NON-EXECUTIVE DIRECTOR 2.C TO RE-ELECT MR. LEE YONG SUN AS AN Mgmt For For INDEPENDENT NON-EXECUTIVE DIRECTOR 2.D TO RE-ELECT MS. LIU SIEW LAN PATRICIA AS AN Mgmt For For EXECUTIVE DIRECTOR 2.E TO AUTHORISE THE DIRECTORS TO FIX THE Mgmt For For RESPECTIVE DIRECTORS' REMUNERATION 3 TO RE-APPOINT KPMG AS AUDITORS OF THE Mgmt For For COMPANY AND TO AUTHORISE THE DIRECTORS TO FIX THEIR REMUNERATION 4 TO GIVE A GENERAL MANDATE TO THE DIRECTORS Mgmt For For TO REPURCHASE SHARES OF THE COMPANY NOT EXCEEDING 10% OF THE TOTAL NUMBER OF ISSUED SHARES OF THE COMPANY AS AT THE DATE OF PASSING OF THIS RESOLUTION 5 TO GIVE A GENERAL MANDATE TO THE DIRECTORS Mgmt Against Against TO ALLOT, ISSUE AND DEAL WITH ADDITIONAL SHARES OF THE COMPANY NOT EXCEEDING 20% OF THE TOTAL NUMBER OF ISSUED SHARES OF THE COMPANY AS AT THE DATE OF PASSING OF THIS RESOLUTION 6 TO EXTEND THE GENERAL MANDATE GRANTED TO Mgmt Against Against THE DIRECTORS TO ALLOT, ISSUE AND DEAL WITH ADDITIONAL SHARES IN THE CAPITAL OF THE COMPANY BY THE AGGREGATE NUMBER OF THE SHARES REPURCHASED BY THE COMPANY 7 TO FIX THE MAXIMUM NUMBER OF NEW SHARES Mgmt Against Against UNDERLYING THE RESTRICTED STOCK UNITS ("RSUS") WHICH MAY BE GRANTED PURSUANT TO THE 2016 EQUITY INCENTIVE PLAN ADOPTED BY THE COMPANY WHICH SHALL NOT EXCEED 6% OF THE TOTAL NUMBER OF ISSUED SHARES OF THE COMPANY AS AT THE DATE OF PASSING OF THIS RESOLUTION AND TO AUTHORISE THE DIRECTORS TO ALLOT, ISSUE AND DEAL WITH THE SHARES UNDERLYING THE RSUS GRANTED UNDER THE 2016 EQUITY INCENTIVE PLAN * Management position unknown
SIGNATURES Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. (Registrant) Listed Funds Trust By (Signature) /s/ Gregory Bakken Name Gregory Bakken Title President/Principal Executive Officer Date 08/26/2019