0000894189-20-009001.txt : 20201112 0000894189-20-009001.hdr.sgml : 20201112 20201112152428 ACCESSION NUMBER: 0000894189-20-009001 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200828 FILED AS OF DATE: 20201112 DATE AS OF CHANGE: 20201112 EFFECTIVENESS DATE: 20201112 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: 201306242 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 S000056881 EventShares U.S. Legislative Opportunities ETF C000180592 EventShares U.S. Legislative Opportunities ETF PLCY N-PX 1 lift-eventshares4_npx.txt ANNUAL REPORT FOR N-PX UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-PX ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY INVESTMENT COMPANY ACT FILE NUMBER: 811-23226 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 Listed Funds Trust 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: 08/31 DATE OF REPORTING PERIOD: 07/01/2020 - 08/28/2020 EventShares U.S. Legislative Opportunities ETF -------------------------------------------------------------------------------------------------------------------------- BOOZ ALLEN HAMILTON HOLDING CORPORATION Agenda Number: 935238508 -------------------------------------------------------------------------------------------------------------------------- Security: 099502106 Meeting Type: Annual Meeting Date: 29-Jul-2020 Ticker: BAH ISIN: US0995021062 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Ralph W. Shrader Mgmt For For 1B. Election of Director: Joan Lordi C. Amble Mgmt For For 1C. Election of Director: Michele A. Flournoy Mgmt For For 2. Ratification of the appointment of Ernst & Mgmt For For Young LLP as the Company's registered independent public accountants for fiscal year 2021. 3. Advisory vote to approve the compensation Mgmt For For of the Company's named executive officers. 4. Approval of the adoption of the Fifth Mgmt For For Amended and Restated Certificate of Incorporation to, among other things, eliminate classification of the Board of Directors. -------------------------------------------------------------------------------------------------------------------------- CHECK POINT SOFTWARE TECHNOLOGIES LTD. Agenda Number: 935245729 -------------------------------------------------------------------------------------------------------------------------- Security: M22465104 Meeting Type: Annual Meeting Date: 03-Aug-2020 Ticker: CHKP ISIN: IL0010824113 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Director: Gil Shwed Mgmt For For 1b. Election of Director: Jerry Ungerman Mgmt For For 1c. Election of Director: Dan Propper Mgmt For For 1d. Election of Director: Dr. Tal Shavit Mgmt For For 1e. Election of Director: Eyal Waldman Mgmt For For 1f. Election of Director: Shai Weiss Mgmt For For 2a. To elect Irwin Federman as outside director Mgmt For For for an additional three-year term. 2b. To elect Ray Rothrock as outside director Mgmt For For for an additional three-year term 3. To ratify the appointment and compensation Mgmt For For of Kost, Forer, Gabbay & Kasierer, a member of Ernst & Young Global, as our independent registered public accounting firm for 2020. 4. To approve compensation to Check Point's Mgmt For For Chief Executive Officer. 5. To amend the Company's non-executive Mgmt For For director compensation arrangement. 6a. The undersigned is not a controlling Mgmt For shareholder and does not have a personal interest in item 2. 6b. The undersigned is not a controlling Mgmt For shareholder and does not have a personal interest in item 4. -------------------------------------------------------------------------------------------------------------------------- CROWDSTRIKE HOLDINGS, INC. Agenda Number: 935223735 -------------------------------------------------------------------------------------------------------------------------- Security: 22788C105 Meeting Type: Annual Meeting Date: 06-Jul-2020 Ticker: CRWD ISIN: US22788C1053 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Denis J. O'Leary Mgmt Withheld Against Joseph E. Sexton Mgmt Withheld Against Godfrey R. Sullivan Mgmt Withheld Against 2. To ratify the selection of Mgmt For For PricewaterhouseCoopers LLP as the independent registered public accounting firm of the Company for its fiscal year ending January 31, 2021. -------------------------------------------------------------------------------------------------------------------------- NV5 GLOBAL, INC. Agenda Number: 935243206 -------------------------------------------------------------------------------------------------------------------------- Security: 62945V109 Meeting Type: Annual Meeting Date: 22-Aug-2020 Ticker: NVEE ISIN: US62945V1098 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Dickerson Wright Mgmt For For Alexander A. Hockman Mgmt For For MaryJo E. O'Brien Mgmt For For William D. Pruitt Mgmt For For Gerald J. Salontai Mgmt For For Francois Tardan Mgmt For For Laurie Conner Mgmt For For 2. To ratify the appointment of Deloitte & Mgmt For For Touche LLP as our independent registered public accounting firm for the fiscal year ending January 2, 2021. 3. To conduct a non-binding advisory vote to Mgmt For For approve the compensation paid to the Company's named executive officers. -------------------------------------------------------------------------------------------------------------------------- TERRAFORM POWER INC. Agenda Number: 935245844 -------------------------------------------------------------------------------------------------------------------------- Security: 88104R209 Meeting Type: Annual Meeting Date: 29-Jul-2020 Ticker: TERP ISIN: US88104R2094 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To adopt the Plan of Merger set forth as Mgmt For For Exhibit B to the Reorganization Agreement referred to below and to approve (i) the Agreement and Plan of Reorganization, dated as of March 16, 2020 (as amended from time to time, the "Reorganization Agreement"), by and among Brookfield Renewable Partners L.P., Brookfield Renewable Corporation, 2252876 Alberta ULC, TerraForm Power, Inc. and TerraForm Power NY Holdings, Inc. and (ii) the Reincorporation Merger and the Share Exchange contemplated by the Reorganization Agreement ("Merger Proposal") 2a. Election of Director: Brian Lawson Mgmt Against Against 2b. Election of Director: Carolyn Burke Mgmt For For 2c. Election of Director: Christian S. Fong Mgmt For For 2d. Election of Director: Harry Goldgut Mgmt Against Against 2e. Election of Director: Richard Legault Mgmt Against Against 2f. Election of Director: Mark McFarland Mgmt For For 2g. Election of Director: Sachin Shah Mgmt Against Against 3. To ratify the appointment of Ernst & Young Mgmt For For LLP as TerraForm Power Inc.'s independent registered public accounting firm for 2020. 4. To ratify, on a non-binding, advisory Mgmt Against Against basis, the compensation paid to TerraForm Power Inc.'s named executive officers. 5. To approve the adjournment of the Annual Mgmt For For Meeting of Stockholders, if necessary, to solicit additional proxies if there are not sufficient votes to approve the Merger Proposal. * 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 11/11/2020