0000894189-21-006230.txt : 20210830 0000894189-21-006230.hdr.sgml : 20210830 20210830135733 ACCESSION NUMBER: 0000894189-21-006230 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210830 DATE AS OF CHANGE: 20210830 EFFECTIVENESS DATE: 20210830 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: 211222563 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 S000066967 Core Alternative ETF C000215555 Core Alternative ETF CCOR N-PX 1 lift-corealt2_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 c/o U.S. Bancorp Fund Services 811 East Wisconsin Avenue Milwaukee, WI 53202 REGISTRANT'S TELEPHONE NUMBER: 414-765-4711 DATE OF FISCAL YEAR END: 04/30 DATE OF REPORTING PERIOD: 07/01/2020 - 06/30/2021 Core Alternative ETF -------------------------------------------------------------------------------------------------------------------------- 3M COMPANY Agenda Number: 935359085 -------------------------------------------------------------------------------------------------------------------------- Security: 88579Y101 Meeting Type: Annual Meeting Date: 11-May-2021 Ticker: MMM ISIN: US88579Y1010 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Elect the member to the Board of Directors Mgmt For For for a term of one year: Thomas "Tony" K. Brown 1B. Elect the member to the Board of Directors Mgmt For For for a term of one year: Pamela J. Craig 1C. Elect the member to the Board of Directors Mgmt For For for a term of one year: David B. Dillon 1D. Elect the member to the Board of Directors Mgmt For For for a term of one year: Michael L. Eskew 1E. Elect the member to the Board of Directors Mgmt For For for a term of one year: James R. Fitterling 1F. Elect the member to the Board of Directors Mgmt For For for a term of one year: Herbert L. Henkel 1G. Elect the member to the Board of Directors Mgmt For For for a term of one year: Amy E. Hood 1H. Elect the member to the Board of Directors Mgmt For For for a term of one year: Muhtar Kent 1I. Elect the member to the Board of Directors Mgmt For For for a term of one year: Dambisa F. Moyo 1J. Elect the member to the Board of Directors Mgmt For For for a term of one year: Gregory R. Page 1K. Elect the member to the Board of Directors Mgmt For For for a term of one year: Michael F. Roman 1L. Elect the member to the Board of Directors Mgmt For For for a term of one year: Patricia A. Woertz 2. To ratify the appointment of Mgmt For For PricewaterhouseCoopers LLP as 3M's independent registered public accounting firm. 3. Advisory approval of executive Mgmt For For compensation. 4. To approve the amendment and restatement of Mgmt For For 3M Company 2016 Long-Term Incentive Plan. 5. Shareholder proposal on setting target Shr Against For amounts for CEO compensation. 6. Shareholder proposal on transitioning the Shr Against For Company to a public benefit corporation. -------------------------------------------------------------------------------------------------------------------------- ACCENTURE PLC Agenda Number: 935318128 -------------------------------------------------------------------------------------------------------------------------- Security: G1151C101 Meeting Type: Annual Meeting Date: 03-Feb-2021 Ticker: ACN ISIN: IE00B4BNMY34 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Appointment of Director: Jaime Ardila Mgmt For For 1B. Appointment of Director: Herbert Hainer Mgmt For For 1C. Appointment of Director: Nancy McKinstry Mgmt For For 1D. Appointment of Director: Beth E. Mooney Mgmt For For 1E. Appointment of Director: Gilles C. Pelisson Mgmt For For 1F. Appointment of Director: Paula A. Price Mgmt For For 1G. Appointment of Director: Venkata (Murthy) Mgmt For For Renduchintala 1H. Appointment of Director: David Rowland Mgmt For For 1I. Appointment of Director: Arun Sarin Mgmt For For 1J. Appointment of Director: Julie Sweet Mgmt For For 1K. Appointment of Director: Frank K. Tang Mgmt For For 1L. Appointment of Director: Tracey T. Travis Mgmt For For 2. To approve, in a non-binding vote, the Mgmt For For compensation of our named executive officers. 3. To ratify, in a non-binding vote, the Mgmt For For appointment of KPMG LLP ("KPMG") as independent auditors of Accenture and to authorize, in a binding vote, the Audit Committee of the Board of Directors to determine KPMG's remuneration. 4. To grant the Board of Directors the Mgmt For For authority to issue shares under Irish law. 5. To grant the Board of Directors the Mgmt For For authority to opt-out of pre-emption rights under Irish law. 6. To determine the price range at which Mgmt For For Accenture can re-allot shares that it acquires as treasury shares under Irish law. -------------------------------------------------------------------------------------------------------------------------- AFLAC INCORPORATED Agenda Number: 935355556 -------------------------------------------------------------------------------------------------------------------------- Security: 001055102 Meeting Type: Annual Meeting Date: 03-May-2021 Ticker: AFL ISIN: US0010551028 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director to serve until the Mgmt For For next Annual Meeting: Daniel P. Amos 1B. Election of Director to serve until the Mgmt For For next Annual Meeting: W. Paul Bowers 1C. Election of Director to serve until the Mgmt For For next Annual Meeting: Toshihiko Fukuzawa 1D. Election of Director to serve until the Mgmt For For next Annual Meeting: Thomas J. Kenny 1E. Election of Director to serve until the Mgmt For For next Annual Meeting: Georgette D. Kiser 1F. Election of Director to serve until the Mgmt For For next Annual Meeting: Karole F. Lloyd 1G. Election of Director to serve until the Mgmt For For next Annual Meeting: Nobuchika Mori 1H. Election of Director to serve until the Mgmt For For next Annual Meeting: Joseph L. Moskowitz 1I. Election of Director to serve until the Mgmt For For next Annual Meeting: Barbara K. Rimer, DrPH 1J. Election of Director to serve until the Mgmt For For next Annual Meeting: Katherine T. Rohrer 1K. Election of Director to serve until the Mgmt For For next Annual Meeting: Melvin T. Stith 2. to consider the following non-binding Mgmt For For advisory proposal: "Resolved, on an advisory basis, the shareholders of Aflac Incorporated approve the compensation of the named executive officers, as disclosed pursuant to the compensation disclosure rules of the Securities and Exchange Commission, including the Compensation Discussion and Analysis and accompanying tables and narrative in the Notice of 2021 Annual Meeting of Shareholders and Proxy Statement". 3. to consider and act upon the ratification Mgmt For For of the appointment of KPMG LLP as independent registered public accounting firm of the Company for the year ending December 31, 2021. -------------------------------------------------------------------------------------------------------------------------- AIR PRODUCTS AND CHEMICALS, INC. Agenda Number: 935315045 -------------------------------------------------------------------------------------------------------------------------- Security: 009158106 Meeting Type: Annual Meeting Date: 28-Jan-2021 Ticker: APD ISIN: US0091581068 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Director: Susan K. Carter Mgmt For For 1b. Election of Director: Charles I. Cogut Mgmt For For 1c. Election of Director: Lisa A. Davis Mgmt For For 1d. Election of Director: Chadwick C. Deaton Mgmt For For 1e. Election of Director: Seifollah Ghasemi Mgmt For For 1f. Election of Director: David H.Y. Ho Mgmt For For 1g. Election of Director: Edward L. Monser Mgmt For For 1h. Election of Director: Matthew H. Paull Mgmt For For 2. Advisory vote approving the compensation of Mgmt For For the Company's named executive officers. 3. Approval of the Air Products and Chemicals, Mgmt For For Inc. 2021 Long-Term Incentive Plan. 4. Ratify the appointment of Deloitte & Touche Mgmt For For LLP as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2021. -------------------------------------------------------------------------------------------------------------------------- ALPHABET INC. Agenda Number: 935406264 -------------------------------------------------------------------------------------------------------------------------- Security: 02079K305 Meeting Type: Annual Meeting Date: 02-Jun-2021 Ticker: GOOGL ISIN: US02079K3059 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Larry Page Mgmt For For 1B. Election of Director: Sergey Brin Mgmt For For 1C. Election of Director: Sundar Pichai Mgmt For For 1D. Election of Director: John L. Hennessy Mgmt For For 1E. Election of Director: Frances H. Arnold Mgmt For For 1F. Election of Director: L. John Doerr Mgmt Against Against 1G. Election of Director: Roger W. Ferguson Jr. Mgmt For For 1H. Election of Director: Ann Mather Mgmt Against Against 1I. Election of Director: Alan R. Mulally Mgmt For For 1J. Election of Director: K. Ram Shriram Mgmt Against Against 1K. Election of Director: Robin L. Washington Mgmt Against Against 2. Ratification of the appointment of Ernst & Mgmt For For Young LLP as Alphabet's independent registered public accounting firm for the fiscal year ending December 31, 2021. 3. Approval of Alphabet's 2021 Stock Plan. Mgmt Against Against 4. A stockholder proposal regarding equal Shr For Against shareholder voting, if properly presented at the meeting. 5. A stockholder proposal regarding the Shr For Against nomination of human rights and/or civil rights expert to the board, if properly presented at the meeting. 6. A stockholder proposal regarding a report Shr For Against on sustainability metrics, if properly presented at the meeting. 7. A stockholder proposal regarding a report Shr For Against on takedown requests, if properly presented at the meeting. 8. A stockholder proposal regarding a report Shr Against For on whistleblower policies and practices, if properly presented at the meeting. 9. A stockholder proposal regarding a report Shr Against For on charitable contributions, if properly presented at the meeting. 10. A stockholder proposal regarding a report Shr For Against on risks related to anticompetitive practices, if properly presented at the meeting. 11. A stockholder proposal regarding a Shr Against For transition to a public benefit corporation, if properly presented at the meeting. -------------------------------------------------------------------------------------------------------------------------- AMGEN INC. Agenda Number: 935375382 -------------------------------------------------------------------------------------------------------------------------- Security: 031162100 Meeting Type: Annual Meeting Date: 18-May-2021 Ticker: AMGN ISIN: US0311621009 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director for a term of office Mgmt For For expiring at the 2022 annual meeting: Dr. Wanda M. Austin 1B. Election of Director for a term of office Mgmt For For expiring at the 2022 annual meeting: Mr. Robert A. Bradway 1C. Election of Director for a term of office Mgmt For For expiring at the 2022 annual meeting: Dr. Brian J. Druker 1D. Election of Director for a term of office Mgmt For For expiring at the 2022 annual meeting: Mr. Robert A. Eckert 1E. Election of Director for a term of office Mgmt For For expiring at the 2022 annual meeting: Mr. Greg C. Garland 1F. Election of Director for a term of office Mgmt For For expiring at the 2022 annual meeting: Mr. Charles M. Holley, Jr. 1G. Election of Director for a term of office Mgmt For For expiring at the 2022 annual meeting: Dr. Tyler Jacks 1H. Election of Director for a term of office Mgmt For For expiring at the 2022 annual meeting: Ms. Ellen J. Kullman 1I. Election of Director for a term of office Mgmt For For expiring at the 2022 annual meeting: Ms. Amy E. Miles 1J. Election of Director for a term of office Mgmt For For expiring at the 2022 annual meeting: Dr. Ronald D. Sugar 1K. Election of Director for a term of office Mgmt For For expiring at the 2022 annual meeting: Dr. R. Sanders Williams 2. Advisory vote to approve our executive Mgmt For For compensation. 3. To ratify the selection of Ernst & Young Mgmt For For LLP as our independent registered public accountants for the fiscal year ending December 31, 2021. -------------------------------------------------------------------------------------------------------------------------- APPLE INC. Agenda Number: 935323167 -------------------------------------------------------------------------------------------------------------------------- Security: 037833100 Meeting Type: Annual Meeting Date: 23-Feb-2021 Ticker: AAPL ISIN: US0378331005 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: James Bell Mgmt For For 1B. Election of Director: Tim Cook Mgmt For For 1C. Election of Director: Al Gore Mgmt For For 1D. Election of Director: Andrea Jung Mgmt For For 1E. Election of Director: Art Levinson Mgmt For For 1F. Election of Director: Monica Lozano Mgmt For For 1G. Election of Director: Ron Sugar Mgmt For For 1H. Election of Director: Sue Wagner Mgmt For For 2. Ratification of the appointment of Ernst & Mgmt For For Young LLP as Apple's independent registered public accounting firm for fiscal 2021. 3. Advisory vote to approve executive Mgmt For For compensation. 4. A shareholder proposal entitled Shr For Against "Shareholder Proxy Access Amendments". 5. A shareholder proposal entitled Shr Against For "Shareholder Proposal to Improve Executive Compensation Program". -------------------------------------------------------------------------------------------------------------------------- AT&T INC. Agenda Number: 935347179 -------------------------------------------------------------------------------------------------------------------------- Security: 00206R102 Meeting Type: Annual Meeting Date: 30-Apr-2021 Ticker: T ISIN: US00206R1023 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: William E. Kennard Mgmt For For 1B. Election of Director: Samuel A. Di Piazza, Mgmt For For Jr. 1C. Election of Director: Scott T. Ford Mgmt For For 1D. Election of Director: Glenn H. Hutchins Mgmt For For 1E. Election of Director: Debra L. Lee Mgmt For For 1F. Election of Director: Stephen J. Luczo Mgmt For For 1G. Election of Director: Michael B. Mgmt For For McCallister 1H. Election of Director: Beth E. Mooney Mgmt For For 1I. Election of Director: Matthew K. Rose Mgmt For For 1J. Election of Director: John T. Stankey Mgmt For For 1K. Election of Director: Cynthia B. Taylor Mgmt For For 1L. Election of Director: Geoffrey Y. Yang Mgmt For For 2. Ratification of appointment of independent Mgmt For For auditors. 3. Advisory approval of executive Mgmt Against Against compensation. 4. Stockholder Right to Act by Written Shr For Against Consent. -------------------------------------------------------------------------------------------------------------------------- BROADRIDGE FINANCIAL SOLUTIONS, INC. Agenda Number: 935279984 -------------------------------------------------------------------------------------------------------------------------- Security: 11133T103 Meeting Type: Annual Meeting Date: 19-Nov-2020 Ticker: BR ISIN: US11133T1034 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director to serve until the Mgmt For For 2021 Annual Meeting of Stockholders: Leslie A. Brun 1B. Election of Director to serve until the Mgmt For For 2021 Annual Meeting of Stockholders: Pamela L. Carter 1C. Election of Director to serve until the Mgmt For For 2021 Annual Meeting of Stockholders: Richard J. Daly 1D. Election of Director to serve until the Mgmt For For 2021 Annual Meeting of Stockholders: Robert N. Duelks 1E. Election of Director to serve until the Mgmt For For 2021 Annual Meeting of Stockholders: Timothy C. Gokey 1F. Election of Director to serve until the Mgmt For For 2021 Annual Meeting of Stockholders: Brett A. Keller 1G. Election of Director to serve until the Mgmt For For 2021 Annual Meeting of Stockholders: Maura A. Markus 1H. Election of Director to serve until the Mgmt For For 2021 Annual Meeting of Stockholders: Thomas J. Perna 1I. Election of Director to serve until the Mgmt For For 2021 Annual Meeting of Stockholders: Alan J. Weber 1J. Election of Director to serve until the Mgmt For For 2021 Annual Meeting of Stockholders: Amit K. Zavery 2. Advisory vote to approve the compensation Mgmt For For of the Company's Named Executive Officers (the Say on Pay Vote). 3. To ratify the appointment of Deloitte & Mgmt For For Touche LLP as the Company's independent registered public accountants for the fiscal year ending June 30, 2021. 4. Stockholder Proposal on Political Shr Against For Contributions. -------------------------------------------------------------------------------------------------------------------------- CAPITAL ONE FINANCIAL CORPORATION Agenda Number: 935353730 -------------------------------------------------------------------------------------------------------------------------- Security: 14040H105 Meeting Type: Annual Meeting Date: 06-May-2021 Ticker: COF ISIN: US14040H1059 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Richard D. Fairbank Mgmt For For 1B. Election of Director: Ime Archibong Mgmt For For 1C. Election of Director: Ann Fritz Hackett Mgmt For For 1D. Election of Director: Peter Thomas Killalea Mgmt For For 1E. Election of Director: Cornelis "Eli" Mgmt For For Leenaars 1F. Election of Director: Francois Locoh-Donou Mgmt For For 1G. Election of Director: Peter E. Raskind Mgmt For For 1H. Election of Director: Eileen Serra Mgmt For For 1I. Election of Director: Mayo A. Shattuck III Mgmt For For 1J. Election of Director: Bradford H. Warner Mgmt For For 1K. Election of Director: Catherine G. West Mgmt For For 1L. Election of Director: Craig Anthony Mgmt For For Williams 2. Ratification of the selection of Ernst & Mgmt For For Young LLP as independent registered public accounting firm of Capital One for 2021. 3. Advisory approval of Capital One's 2020 Mgmt For For Named Executive Officer compensation. 4. Approval and adoption of the Capital One Mgmt For For Financial Corporation Sixth Amended and Restated 2004 Stock Incentive Plan. -------------------------------------------------------------------------------------------------------------------------- CHEVRON CORPORATION Agenda Number: 935390132 -------------------------------------------------------------------------------------------------------------------------- Security: 166764100 Meeting Type: Annual Meeting Date: 26-May-2021 Ticker: CVX ISIN: US1667641005 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Wanda M. Austin Mgmt For For 1B. Election of Director: John B. Frank Mgmt For For 1C. Election of Director: Alice P. Gast Mgmt For For 1D. Election of Director: Enrique Hernandez, Mgmt For For Jr. 1E. Election of Director: Marillyn A. Hewson Mgmt For For 1F. Election of Director: Jon M. Huntsman Jr. Mgmt For For 1G. Election of Director: Charles W. Moorman IV Mgmt For For 1H. Election of Director: Dambisa F. Moyo Mgmt For For 1I. Election of Director: Debra Reed-Klages Mgmt For For 1J. Election of Director: Ronald D. Sugar Mgmt For For 1K. Election of Director: D. James Umpleby III Mgmt For For 1L. Election of Director: Michael K. Wirth Mgmt For For 2. Ratification of Appointment of Mgmt For For PricewaterhouseCoopers LLP as Independent Registered Public Accounting Firm. 3. Advisory Vote to Approve Named Executive Mgmt For For Officer Compensation. 4. Reduce Scope 3 Emissions. Shr For Against 5. Report on Impacts of Net Zero 2050 Shr For Against Scenario. 6. Shift to Public Benefit Corporation. Shr Against For 7. Report on Lobbying. Shr For Against 8. Independent Chair. Shr Against For 9. Special Meetings. Shr For Against -------------------------------------------------------------------------------------------------------------------------- CISCO SYSTEMS, INC. Agenda Number: 935287498 -------------------------------------------------------------------------------------------------------------------------- Security: 17275R102 Meeting Type: Annual Meeting Date: 10-Dec-2020 Ticker: CSCO ISIN: US17275R1023 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Director: M. Michele Burns Mgmt For For 1b. Election of Director: Wesley G. Bush Mgmt For For 1c. Election of Director: Michael D. Capellas Mgmt For For 1d. Election of Director: Mark Garrett Mgmt For For 1e. Election of Director: Dr. Kristina M. Mgmt For For Johnson 1f. Election of Director: Roderick C. McGeary Mgmt For For 1g. Election of Director: Charles H. Robbins Mgmt For For 1h. Election of Director: Arun Sarin Mgmt Abstain Against 1i. Election of Director: Brenton L. Saunders Mgmt For For 1j. Election of Director: Dr. Lisa T. Su Mgmt For For 2. Approval of the reincorporation of Cisco Mgmt For For from California to Delaware. 3. Approval of amendment and restatement of Mgmt For For the 2005 Stock Incentive Plan. 4. Approval, on an advisory basis, of Mgmt For For executive compensation. 5. Ratification of PricewaterhouseCoopers LLP Mgmt For For as Cisco's independent registered public accounting firm for fiscal 2021. 6. Approval to have Cisco's Board adopt a Shr Against For policy to have an independent Board chairman. -------------------------------------------------------------------------------------------------------------------------- CME GROUP INC. Agenda Number: 935359340 -------------------------------------------------------------------------------------------------------------------------- Security: 12572Q105 Meeting Type: Annual Meeting Date: 05-May-2021 Ticker: CME ISIN: US12572Q1058 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Equity Director: Terrence A. Mgmt For For Duffy 1B. Election of Equity Director: Timothy S. Mgmt For For Bitsberger 1C. Election of Equity Director: Charles P. Mgmt For For Carey 1D. Election of Equity Director: Dennis H. Mgmt For For Chookaszian 1E. Election of Equity Director: Bryan T. Mgmt For For Durkin 1F. Election of Equity Director: Ana Dutra Mgmt For For 1G. Election of Equity Director: Martin J. Mgmt For For Gepsman 1H. Election of Equity Director: Larry G. Mgmt For For Gerdes 1I. Election of Equity Director: Daniel R. Mgmt For For Glickman 1J. Election of Equity Director: Daniel G. Kaye Mgmt For For 1K. Election of Equity Director: Phyllis M. Mgmt For For Lockett 1L. Election of Equity Director: Deborah J. Mgmt For For Lucas 1M. Election of Equity Director: Terry L. Mgmt For For Savage 1N. Election of Equity Director: Rahael Seifu Mgmt For For 1O. Election of Equity Director: William R. Mgmt For For Shepard 1P. Election of Equity Director: Howard J. Mgmt For For Siegel 1Q. Election of Equity Director: Dennis A. Mgmt For For Suskind 2. Ratification of the appointment of Ernst & Mgmt For For Young as our independent registered public accounting firm for 2021. 3. Advisory vote on the compensation of our Mgmt For For named executive officers. -------------------------------------------------------------------------------------------------------------------------- DIAGEO PLC Agenda Number: 935266292 -------------------------------------------------------------------------------------------------------------------------- Security: 25243Q205 Meeting Type: Annual Meeting Date: 28-Sep-2020 Ticker: DEO ISIN: US25243Q2057 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management O1 Report and accounts 2020. Mgmt For For O2 Directors' remuneration report 2020. Mgmt For For O3 Directors' remuneration policy 2020. Mgmt For For O4 Declaration of final dividend. Mgmt For For O5 Election of Melissa Bethell (1,3,4) as a Mgmt For For director. O6 Re-election of Javier Ferran (3*) as a Mgmt For For director. O7 Re-election of Susan Kilsby (1,3,4*) as a Mgmt For For director. O8 Re-election of Lady Mendelsohn (1,3,4) as a Mgmt For For director. O9 Re-election of Ivan Menezes (2*) as a Mgmt For For director. O10 Re-election of Kathryn Mikells (2) as a Mgmt For For director. O11 Re-election of Alan Stewart (1*,3,4) as a Mgmt For For director. O12 Re-appointment of auditor. Mgmt For For 013 Remuneration of auditor. Mgmt For For O14 Authority to make political donations Mgmt For For and/or to incur political expenditure. O15 Authority to allot shares. Mgmt For For O16 Amendment of the Diageo 2001 Share Mgmt For For Incentive Plan. O17 Adoption of the Diageo 2020 Sharesave Plan. Mgmt For For O18 Adoption of the Diageo Deferred Bonus Share Mgmt For For Plan. O19 Authority to establish international share Mgmt For For plans. S20 Disapplication of pre-emption rights. Mgmt For For S21 Authority to purchase own shares. Mgmt For For S22 Reduced notice of a general meeting other Mgmt For For than an AGM. S23 Approval and adoption of new articles of Mgmt For For association. S24 2019 Share buy-backs and employee benefit Mgmt For and share ownership trust transactions. -------------------------------------------------------------------------------------------------------------------------- DOLLAR GENERAL CORPORATION Agenda Number: 935374924 -------------------------------------------------------------------------------------------------------------------------- Security: 256677105 Meeting Type: Annual Meeting Date: 26-May-2021 Ticker: DG ISIN: US2566771059 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Warren F. Bryant Mgmt For For 1B. Election of Director: Michael M. Calbert Mgmt For For 1C. Election of Director: Patricia D. Mgmt For For Fili-Krushel 1D. Election of Director: Timothy I. McGuire Mgmt For For 1E. Election of Director: William C. Rhodes, Mgmt For For III 1F. Election of Director: Debra A. Sandler Mgmt For For 1G. Election of Director: Ralph E. Santana Mgmt For For 1H. Election of Director: Todd J. Vasos Mgmt For For 2. To approve, on an advisory (non-binding) Mgmt For For basis, the resolution regarding the compensation of Dollar General Corporation's named executive officers as disclosed in the proxy statement. 3. To ratify the appointment of Ernst & Young Mgmt For For LLP as Dollar General Corporation's independent registered public accounting firm for fiscal 2021. 4. To approve the Dollar General Corporation Mgmt For For 2021 Stock Incentive Plan. 5. To approve an amendment to the amended and Mgmt For For restated charter of Dollar General Corporation to allow shareholders holding 25% or more of our common stock to request special meetings of shareholders. 6. To vote on a shareholder proposal regarding Shr For Against shareholders' ability to call special meetings of shareholders. -------------------------------------------------------------------------------------------------------------------------- ELI LILLY AND COMPANY Agenda Number: 935355354 -------------------------------------------------------------------------------------------------------------------------- Security: 532457108 Meeting Type: Annual Meeting Date: 03-May-2021 Ticker: LLY ISIN: US5324571083 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Director to serve a three year Mgmt For For term: K. Baicker, Ph.D. 1b. Election of Director to serve a three year Mgmt For For term: J.E. Fyrwald 1c. Election of Director to serve a three year Mgmt For For term: J. Jackson 1d. Election of Director to serve a three year Mgmt For For term: G. Sulzberger 1e. Election of Director to serve a three year Mgmt Against Against term: J.P. Tai 2. Approval, on an advisory basis, of the Mgmt For For compensation paid to the company's named executive officers. 3. Ratification of the appointment of Ernst & Mgmt For For Young LLP as the independent auditor for 2021. 4. Approval of amendments to the company's Mgmt For For Articles of Incorporation to eliminate the classified board structure. 5. Approval of amendments to the company's Mgmt For For Articles of Incorporation to eliminate supermajority voting provisions. 6. Shareholder proposal to disclose direct and Shr For Against indirect lobbying activities and expenditures. 7. Shareholder proposal to amend the bylaws to Shr For Against require an independent board chair. 8. Shareholder proposal to implement a bonus Shr For Against deferral policy. 9. Shareholder proposal to disclose clawbacks Shr For Against on executive incentive compensation due to misconduct. -------------------------------------------------------------------------------------------------------------------------- EMERSON ELECTRIC CO. Agenda Number: 935317190 -------------------------------------------------------------------------------------------------------------------------- Security: 291011104 Meeting Type: Annual Meeting Date: 02-Feb-2021 Ticker: EMR ISIN: US2910111044 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR M. A. Blinn Mgmt For For A. F. Golden Mgmt For For C. Kendle Mgmt For For J. S. Turley Mgmt For For 2. Ratification of KPMG LLP as Independent Mgmt For For Registered Public Accounting Firm. 3. Approval, by non-binding advisory vote, of Mgmt For For Emerson Electric Co. executive compensation. -------------------------------------------------------------------------------------------------------------------------- EXXON MOBIL CORPORATION Agenda Number: 935381020 -------------------------------------------------------------------------------------------------------------------------- Security: 30231G102 Meeting Type: Annual Meeting Date: 26-May-2021 Ticker: XOM ISIN: US30231G1022 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Gregory J. Goff Mgmt For * Kaisa Hietala Mgmt For * Alexander A. Karsner Mgmt For * Anders Runevad Mgmt Withheld * MGT NOM. M.J. Angelakis Mgmt For * MGT NOM. Susan K. Avery Mgmt For * MGT NOM. Angela F Braly Mgmt For * MGT NOM. Ursula M Burns Mgmt For * MGT NOM. K. C. Frazier Mgmt For * MGT NOM. J. L. Hooley Mgmt For * MGT NOM. J. W. Ubben Mgmt For * MGT NOM. D. W. Woods Mgmt For * 2. Company proposal to ratify the appointment Mgmt For * of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm to audit the Company's financial statements for 2021. 3. Company proposal to approve, on an advisory Mgmt For * basis, the compensation of the Company's Named Executive Officers. 4. Independent Chairman Mgmt Against * 5. Special Shareholder Meetings Mgmt For * 6. Report on Scenario Analysis Mgmt For * 7. Report on Environment Expenditures Mgmt Against * 8. Report on Political Contributions Mgmt For * 9. Report on Lobbying Mgmt For * 10. Report on Climate Lobbying Mgmt For * -------------------------------------------------------------------------------------------------------------------------- FACTSET RESEARCH SYSTEMS INC. Agenda Number: 935289896 -------------------------------------------------------------------------------------------------------------------------- Security: 303075105 Meeting Type: Annual Meeting Date: 17-Dec-2020 Ticker: FDS ISIN: US3030751057 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Director: Robin A. Abrams (To Mgmt For For serve a three-year term expiring in concurrence with the Annual Meeting of Stockholders for 2023.) 1b. Election of Director: Laurie Siegel (To Mgmt For For serve a three-year term expiring in concurrence with the Annual Meeting of Stockholders for 2023.) 1c. Election of Director: Malcolm Frank (To Mgmt For For serve a three-year term expiring in concurrence with the Annual Meeting of Stockholders for 2023.) 1d. Election of Director: Siew Kai Choy (To Mgmt For For serve a one-year term expiring in concurrence with the Annual Meeting of Stockholders for 2021.) 1e. Election of Director: Lee Shavel (To serve Mgmt For For a one-year term expiring in concurrence with the Annual Meeting of Stockholders for 2021.) 2. To ratify the appointment of the accounting Mgmt For For firm of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending August 31, 2021. 3. To vote on a non-binding advisory Mgmt For For resolution to approve the compensation of our named executive officers. -------------------------------------------------------------------------------------------------------------------------- GENUINE PARTS COMPANY Agenda Number: 935340478 -------------------------------------------------------------------------------------------------------------------------- Security: 372460105 Meeting Type: Annual Meeting Date: 29-Apr-2021 Ticker: GPC ISIN: US3724601055 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Elizabeth W. Camp Mgmt For For Richard Cox, Jr. Mgmt For For Paul D. Donahue Mgmt For For Gary P. Fayard Mgmt For For P. Russell Hardin Mgmt For For John R. Holder Mgmt For For Donna W. Hyland Mgmt For For John D. Johns Mgmt For For Jean-Jacques Lafont Mgmt For For Robert C Loudermilk Jr. Mgmt For For Wendy B. Needham Mgmt For For Juliette W. Pryor Mgmt For For E. Jenner Wood III Mgmt For For 2. Advisory Vote on Executive Compensation. Mgmt For For 3. Ratification of the Selection of Ernst & Mgmt For For Young LLP as the Company's Independent Auditor for the Fiscal Year Ending December 31, 2021. -------------------------------------------------------------------------------------------------------------------------- JOHNSON & JOHNSON Agenda Number: 935345214 -------------------------------------------------------------------------------------------------------------------------- Security: 478160104 Meeting Type: Annual Meeting Date: 22-Apr-2021 Ticker: JNJ ISIN: US4781601046 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Mary C. Beckerle Mgmt For For 1B. Election of Director: D. Scott Davis Mgmt For For 1C. Election of Director: Ian E. L. Davis Mgmt For For 1D. Election of Director: Jennifer A. Doudna Mgmt For For 1E. Election of Director: Alex Gorsky Mgmt For For 1F. Election of Director: Marillyn A. Hewson Mgmt For For 1G. Election of Director: Hubert Joly Mgmt For For 1H. Election of Director: Mark B. McClellan Mgmt For For 1I. Election of Director: Anne M. Mulcahy Mgmt For For 1J. Election of Director: Charles Prince Mgmt For For 1K. Election of Director: A. Eugene Washington Mgmt For For 1L. Election of Director: Mark A. Weinberger Mgmt For For 1M. Election of Director: Nadja Y. West Mgmt For For 1N. Election of Director: Ronald A. Williams Mgmt For For 2. Advisory Vote to Approve Named Executive Mgmt Against Against Officer Compensation. 3. Ratification of Appointment of Mgmt For For PricewaterhouseCoopers LLP as the Independent Registered Public Accounting Firm for 2021. 4. Report on Government Financial Support and Shr For Against Access to COVID-19 Vaccines and Therapeutics. 5. Independent Board Chair. Shr For Against 6. Civil Rights Audit. Shr Against For 7. Executive Compensation Bonus Deferral. Shr Against For -------------------------------------------------------------------------------------------------------------------------- JPMORGAN CHASE & CO. Agenda Number: 935372285 -------------------------------------------------------------------------------------------------------------------------- Security: 46625H100 Meeting Type: Annual Meeting Date: 18-May-2021 Ticker: JPM ISIN: US46625H1005 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Linda B. Bammann Mgmt For For 1B. Election of Director: Stephen B. Burke Mgmt For For 1C. Election of Director: Todd A. Combs Mgmt For For 1D. Election of Director: James S. Crown Mgmt For For 1E. Election of Director: James Dimon Mgmt For For 1F. Election of Director: Timothy P. Flynn Mgmt For For 1G. Election of Director: Mellody Hobson Mgmt For For 1H. Election of Director: Michael A. Neal Mgmt For For 1I. Election of Director: Phebe N. Novakovic Mgmt For For 1J. Election of Director: Virginia M. Rometty Mgmt For For 2. Advisory resolution to approve executive Mgmt For For compensation. 3. Approval of Amended and Restated Long-Term Mgmt For For Incentive Plan effective May 18, 2021. 4. Ratification of independent registered Mgmt For For public accounting firm. 5. Improve shareholder written consent. Shr For Against 6. Racial equity audit and report. Shr Against For 7. Independent board chairman. Shr For Against 8. Political and electioneering expenditure Shr For Against congruency report. -------------------------------------------------------------------------------------------------------------------------- KIMBERLY-CLARK CORPORATION Agenda Number: 935343272 -------------------------------------------------------------------------------------------------------------------------- Security: 494368103 Meeting Type: Annual Meeting Date: 29-Apr-2021 Ticker: KMB ISIN: US4943681035 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: John W. Culver Mgmt For For 1B. Election of Director: Robert W. Decherd Mgmt For For 1C. Election of Director: Michael D. Hsu Mgmt For For 1D. Election of Director: Mae C. Jemison, M.D. Mgmt For For 1E. Election of Director: S. Todd Maclin Mgmt For For 1F. Election of Director: Sherilyn S. McCoy Mgmt For For 1G. Election of Director: Christa S. Quarles Mgmt For For 1H. Election of Director: Ian C. Read Mgmt For For 1I. Election of Director: Dunia A. Shive Mgmt For For 1J. Election of Director: Mark T. Smucker Mgmt For For 1K. Election of Director: Michael D. White Mgmt For For 2. Ratification of Auditor. Mgmt For For 3. Advisory Vote to Approve Named Executive Mgmt For For Officer Compensation. 4. Approval of 2021 Equity Participation Plan. Mgmt For For 5. Approval of 2021 Outside Directors' Mgmt For For Compensation Plan. 6. Reduce Ownership Threshold required to call Mgmt For For a Special Meeting of Stockholders. 7. Stockholder Proposal Regarding Right to Act Shr For Against by Written Consent. -------------------------------------------------------------------------------------------------------------------------- L3HARRIS TECHNOLOGIES INC. Agenda Number: 935345694 -------------------------------------------------------------------------------------------------------------------------- Security: 502431109 Meeting Type: Annual Meeting Date: 23-Apr-2021 Ticker: LHX ISIN: US5024311095 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director for a Term Expiring at Mgmt For For the 2022 Annual Meeting of Shareholders: Sallie B. Bailey 1B. Election of Director for a Term Expiring at Mgmt For For the 2022 Annual Meeting of Shareholders: William M. Brown 1C. Election of Director for a Term Expiring at Mgmt For For the 2022 Annual Meeting of Shareholders: Peter W. Chiarelli 1D. Election of Director for a Term Expiring at Mgmt For For the 2022 Annual Meeting of Shareholders: Thomas A. Corcoran 1E. Election of Director for a Term Expiring at Mgmt For For the 2022 Annual Meeting of Shareholders: Thomas A. Dattilo 1F. Election of Director for a Term Expiring at Mgmt For For the 2022 Annual Meeting of Shareholders: Roger B. Fradin 1G. Election of Director for a Term Expiring at Mgmt For For the 2022 Annual Meeting of Shareholders: Lewis Hay III 1H. Election of Director for a Term Expiring at Mgmt For For the 2022 Annual Meeting of Shareholders: Lewis Kramer 1I. Election of Director for a Term Expiring at Mgmt For For the 2022 Annual Meeting of Shareholders: Christopher E. Kubasik 1J. Election of Director for a Term Expiring at Mgmt For For the 2022 Annual Meeting of Shareholders: Rita S. Lane 1K. Election of Director for a Term Expiring at Mgmt For For the 2022 Annual Meeting of Shareholders: Robert B. Millard 1L. Election of Director for a Term Expiring at Mgmt For For the 2022 Annual Meeting of Shareholders: Lloyd W. Newton 2. Approval, in an Advisory Vote, of the Mgmt For For Compensation of Named Executive Officers as Disclosed in the Proxy Statement. 3. Ratification of Appointment of Ernst & Mgmt For For Young LLP as Independent Registered Public Accounting Firm for Fiscal Year 2021. -------------------------------------------------------------------------------------------------------------------------- LOCKHEED MARTIN CORPORATION Agenda Number: 935349933 -------------------------------------------------------------------------------------------------------------------------- Security: 539830109 Meeting Type: Annual Meeting Date: 22-Apr-2021 Ticker: LMT ISIN: US5398301094 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Daniel F. Akerson Mgmt For For 1B. Election of Director: David B. Burritt Mgmt For For 1C. Election of Director: Bruce A. Carlson Mgmt For For 1D. Election of Director: Joseph F. Dunford, Mgmt For For Jr. 1E. Election of Director: James O. Ellis, Jr. Mgmt For For 1F. Election of Director: Thomas J. Falk Mgmt For For 1G. Election of Director: Ilene S. Gordon Mgmt For For 1H. Election of Director: Vicki A. Hollub Mgmt For For 1I. Election of Director: Jeh C. Johnson Mgmt For For 1J. Election of Director: Debra L. Reed-Klages Mgmt For For 1K. Election of Director: James D. Taiclet Mgmt For For 2. Ratification of Appointment of Ernst & Mgmt For For Young LLP as Independent Auditors for 2021. 3. Advisory Vote to Approve the Compensation Mgmt For For of our Named Executive Officers (Say-on-Pay). 4. Stockholder Proposal to Adopt Stockholder Shr For Against Action By Written Consent. 5. Stockholder Proposal to issue a Report on Shr For Against Human Rights Due Diligence. -------------------------------------------------------------------------------------------------------------------------- MCDONALD'S CORPORATION Agenda Number: 935380395 -------------------------------------------------------------------------------------------------------------------------- Security: 580135101 Meeting Type: Annual Meeting Date: 20-May-2021 Ticker: MCD ISIN: US5801351017 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director for a one-year term Mgmt For For expiring in 2022: Lloyd Dean 1B. Election of Director for a one-year term Mgmt For For expiring in 2022: Robert Eckert 1C. Election of Director for a one-year term Mgmt For For expiring in 2022: Catherine Engelbert 1D. Election of Director for a one-year term Mgmt For For expiring in 2022: Margaret Georgiadis 1E. Election of Director for a one-year term Mgmt For For expiring in 2022: Enrique Hernandez, Jr. 1F. Election of Director for a one-year term Mgmt For For expiring in 2022: Christopher Kempczinski 1G. Election of Director for a one-year term Mgmt For For expiring in 2022: Richard Lenny 1H. Election of Director for a one-year term Mgmt For For expiring in 2022: John Mulligan 1I. Election of Director for a one-year term Mgmt For For expiring in 2022: Sheila Penrose 1J. Election of Director for a one-year term Mgmt For For expiring in 2022: John Rogers, Jr. 1K. Election of Director for a one-year term Mgmt For For expiring in 2022: Paul Walsh 1L. Election of Director for a one-year term Mgmt For For expiring in 2022: Miles White 2. Advisory vote to approve executive Mgmt For For compensation. 3. Advisory vote to ratify the appointment of Mgmt For For Ernst & Young LLP as independent auditor for 2021. 4. Advisory vote on a shareholder proposal Shr Against For requesting a report on sugar and public health, if properly presented. 5. Advisory vote on a shareholder proposal Shr Against For requesting a report on antibiotics and public health costs, if properly presented. 6. Advisory vote on a shareholder proposal Shr For Against requesting the ability for shareholders to act by written consent, if properly presented. -------------------------------------------------------------------------------------------------------------------------- MERCK & CO., INC. Agenda Number: 935381044 -------------------------------------------------------------------------------------------------------------------------- Security: 58933Y105 Meeting Type: Annual Meeting Date: 25-May-2021 Ticker: MRK ISIN: US58933Y1055 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Leslie A. Brun Mgmt For For 1B. Election of Director: Mary Ellen Coe Mgmt For For 1C. Election of Director: Pamela J. Craig Mgmt For For 1D. Election of Director: Kenneth C. Frazier Mgmt For For 1E. Election of Director: Thomas H. Glocer Mgmt For For 1F. Election of Director: Risa J. Mgmt For For Lavizzo-Mourey 1G. Election of Director: Stephen L. Mayo Mgmt For For 1H. Election of Director: Paul B. Rothman Mgmt For For 1I. Election of Director: Patricia F. Russo Mgmt For For 1J. Election of Director: Christine E. Seidman Mgmt For For 1K. Election of Director: Inge G. Thulin Mgmt For For 1L. Election of Director: Kathy J. Warden Mgmt For For 1M. Election of Director: Peter C. Wendell Mgmt For For 2. Non-binding advisory vote to approve the Mgmt For For compensation of our named executive officers. 3. Ratification of the appointment of the Mgmt For For Company's independent registered public accounting firm for 2021. 4. Shareholder proposal concerning a Shr For Against shareholder right to act by written consent. 5. Shareholder proposal regarding access to Shr For Against COVID-19 products. -------------------------------------------------------------------------------------------------------------------------- MICROSOFT CORPORATION Agenda Number: 935284478 -------------------------------------------------------------------------------------------------------------------------- Security: 594918104 Meeting Type: Annual Meeting Date: 02-Dec-2020 Ticker: MSFT ISIN: US5949181045 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Reid G. Hoffman Mgmt For For 1B. Election of Director: Hugh F. Johnston Mgmt For For 1C. Election of Director: Teri L. List-Stoll Mgmt For For 1D. Election of Director: Satya Nadella Mgmt For For 1E. Election of Director: Sandra E. Peterson Mgmt For For 1F. Election of Director: Penny S. Pritzker Mgmt For For 1G. Election of Director: Charles W. Scharf Mgmt For For 1H. Election of Director: Arne M. Sorenson Mgmt For For 1I. Election of Director: John W. Stanton Mgmt For For 1J. Election of Director: John W. Thompson Mgmt For For 1K. Election of Director: Emma N. Walmsley Mgmt For For 1L. Election of Director: Padmasree Warrior Mgmt For For 2. Advisory vote to approve named executive Mgmt For For officer compensation. 3. Ratification of Deloitte & Touche LLP as Mgmt For For our independent auditor for fiscal year 2021. 4. Shareholder Proposal - Report on Employee Shr Against For Representation on Board of Directors. -------------------------------------------------------------------------------------------------------------------------- MORGAN STANLEY Agenda Number: 935372312 -------------------------------------------------------------------------------------------------------------------------- Security: 617446448 Meeting Type: Annual Meeting Date: 20-May-2021 Ticker: MS ISIN: US6174464486 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Elizabeth Corley Mgmt For For 1B. Election of Director: Alistair Darling Mgmt For For 1C. Election of Director: Thomas H. Glocer Mgmt For For 1D. Election of Director: James P. Gorman Mgmt For For 1E. Election of Director: Robert H. Herz Mgmt For For 1F. Election of Director: Nobuyuki Hirano Mgmt For For 1G. Election of Director: Hironori Kamezawa Mgmt For For 1H. Election of Director: Shelley B. Leibowitz Mgmt For For 1I. Election of Director: Stephen J. Luczo Mgmt For For 1J. Election of Director: Jami Miscik Mgmt For For 1K. Election of Director: Dennis M. Nally Mgmt For For 1L. Election of Director: Mary L. Schapiro Mgmt For For 1M. Election of Director: Perry M. Traquina Mgmt For For 1N. Election of Director: Rayford Wilkins, Jr. Mgmt For For 2. To ratify the appointment of Deloitte & Mgmt For For Touche LLP as independent auditor. 3. To approve the compensation of executives Mgmt For For as disclosed in the proxy statement (non-binding advisory vote). 4. To approve the amended and restated Equity Mgmt For For Incentive Compensation Plan. -------------------------------------------------------------------------------------------------------------------------- NEXTERA ENERGY, INC. Agenda Number: 935378201 -------------------------------------------------------------------------------------------------------------------------- Security: 65339F101 Meeting Type: Annual Meeting Date: 20-May-2021 Ticker: NEE ISIN: US65339F1012 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Sherry S. Barrat Mgmt For For 1B. Election of Director: James L. Camaren Mgmt For For 1C. Election of Director: Kenneth B. Dunn Mgmt For For 1D. Election of Director: Naren K. Gursahaney Mgmt For For 1E. Election of Director: Kirk S. Hachigian Mgmt For For 1F. Election of Director: Amy B. Lane Mgmt For For 1G. Election of Director: David L. Porges Mgmt For For 1H. Election of Director: James L. Robo Mgmt For For 1I. Election of Director: Rudy E. Schupp Mgmt For For 1J. Election of Director: John L. Skolds Mgmt For For 1K. Election of Director: Lynn M. Utter Mgmt For For 1L. Election of Director: Darryl L. Wilson Mgmt For For 2. Ratification of appointment of Deloitte & Mgmt For For Touche LLP as NextEra Energy's independent registered public accounting firm for 2021. 3. Approval, by non-binding advisory vote, of Mgmt For For NextEra Energy's compensation of its named executive officers as disclosed in the proxy statement. 4. Approval of the NextEra Energy, Inc. 2021 Mgmt For For Long Term Incentive Plan. 5. A proposal entitled "Right to Act by Shr For Against Written Consent" to request action by written consent of shareholders. -------------------------------------------------------------------------------------------------------------------------- NORFOLK SOUTHERN CORPORATION Agenda Number: 935363046 -------------------------------------------------------------------------------------------------------------------------- Security: 655844108 Meeting Type: Annual Meeting Date: 13-May-2021 Ticker: NSC ISIN: US6558441084 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Director: Thomas D. Bell, Jr. Mgmt For For 1b. Election of Director: Mitchell E. Daniels, Mgmt For For Jr. 1c. Election of Director: Marcela E. Donadio Mgmt For For 1d. Election of Director: John C. Huffard, Jr. Mgmt For For 1e. Election of Director: Christopher T. Jones Mgmt For For 1f. Election of Director: Thomas C. Kelleher Mgmt For For 1g. Election of Director: Steven F. Leer Mgmt For For 1h. Election of Director: Michael D. Lockhart Mgmt For For 1i. Election of Director: Amy E. Miles Mgmt For For 1j. Election of Director: Claude Mongeau Mgmt For For 1k. Election of Director: Jennifer F. Scanlon Mgmt For For 1l. Election of Director: James A. Squires Mgmt For For 1m. Election of Director: John R. Thompson Mgmt For For 2. Ratification of the appointment of KPMG Mgmt For For LLP, independent registered public accounting firm, as Norfolk Southern's independent auditors for the year ending December 31, 2021. 3. Approval of the advisory resolution on Mgmt For For executive compensation, as disclosed in the proxy statement for the 2021 Annual Meeting of Shareholders. 4. Proposal regarding revisions to ownership Shr For Against requirements for proxy access. 5. Proposal regarding a report on lobbying Shr For Against activity alignment with Paris Climate Agreement. -------------------------------------------------------------------------------------------------------------------------- ORACLE CORPORATION Agenda Number: 935274554 -------------------------------------------------------------------------------------------------------------------------- Security: 68389X105 Meeting Type: Annual Meeting Date: 04-Nov-2020 Ticker: ORCL ISIN: US68389X1054 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Jeffrey S. Berg Mgmt Withheld Against Michael J. Boskin Mgmt For For Safra A. Catz Mgmt For For Bruce R. Chizen Mgmt Withheld Against George H. Conrades Mgmt For For Lawrence J. Ellison Mgmt For For Rona A. Fairhead Mgmt For For Jeffrey O. Henley Mgmt For For Renee J. James Mgmt For For Charles W. Moorman IV Mgmt For For Leon E. Panetta Mgmt Withheld Against William G. Parrett Mgmt Withheld Against Naomi O. Seligman Mgmt For For Vishal Sikka Mgmt For For 2. Advisory Vote to Approve Compensation of Mgmt Against Against Named Executive Officers. 3. Approve the Oracle Corporation 2020 Equity Mgmt For For Incentive Plan. 4. Ratification of Selection of Independent Mgmt For For Registered Public Accounting Firm. 5. Stockholder Proposal Regarding Pay Equity Shr For Against Report. 6. Stockholder Proposal Regarding Independent Shr For Against Board Chair. -------------------------------------------------------------------------------------------------------------------------- PAYCHEX, INC. Agenda Number: 935267066 -------------------------------------------------------------------------------------------------------------------------- Security: 704326107 Meeting Type: Annual Meeting Date: 15-Oct-2020 Ticker: PAYX ISIN: US7043261079 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: B. Thomas Golisano Mgmt For For 1B. Election of Director: Thomas F. Bonadio Mgmt For For 1C. Election of Director: Joseph G. Doody Mgmt For For 1D. Election of Director: David J.S. Flaschen Mgmt For For 1E. Election of Director: Pamela A. Joseph Mgmt For For 1F. Election of Director: Martin Mucci Mgmt For For 1G. Election of Director: Joseph M. Tucci Mgmt For For 1H. Election of Director: Joseph M. Velli Mgmt For For 1I. Election of Director: Kara Wilson Mgmt For For 2. ADVISORY VOTE TO APPROVE NAMED EXECUTIVE Mgmt For For OFFICER COMPENSATION. 3. TO APPROVE AND AMEND THE PAYCHEX, INC. 2002 Mgmt For For STOCK INCENTIVE PLAN. 4. RATIFICATION OF SELECTION OF Mgmt For For PRICEWATERHOUSECOOPERS LLP TO SERVE AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. -------------------------------------------------------------------------------------------------------------------------- PEPSICO, INC. Agenda Number: 935355342 -------------------------------------------------------------------------------------------------------------------------- Security: 713448108 Meeting Type: Annual Meeting Date: 05-May-2021 Ticker: PEP ISIN: US7134481081 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Segun Agbaje Mgmt For For 1B. Election of Director: Shona L. Brown Mgmt For For 1C. Election of Director: Cesar Conde Mgmt For For 1D. Election of Director: Ian Cook Mgmt For For 1E. Election of Director: Dina Dublon Mgmt For For 1F. Election of Director: Michelle Gass Mgmt For For 1G. Election of Director: Ramon L. Laguarta Mgmt For For 1H. Election of Director: Dave Lewis Mgmt For For 1I. Election of Director: David C. Page Mgmt For For 1J. Election of Director: Robert C. Pohlad Mgmt For For 1K. Election of Director: Daniel Vasella Mgmt For For 1L. Election of Director: Darren Walker Mgmt For For 1M. Election of Director: Alberto Weisser Mgmt For For 2. Ratification of the appointment of KPMG LLP Mgmt For For as the Company's independent registered public accounting firm for fiscal year 2021. 3. Advisory approval of the Company's Mgmt For For executive compensation. 4. Shareholder Proposal - Special Shareholder Shr For Against Meeting Vote Threshold. 5. Shareholder Proposal - Report on Sugar and Shr Against For Public Health. 6. Shareholder Proposal - Report on External Shr Against For Public Health Costs. -------------------------------------------------------------------------------------------------------------------------- RAYTHEON TECHNOLOGIES Agenda Number: 935347218 -------------------------------------------------------------------------------------------------------------------------- Security: 75513E101 Meeting Type: Annual Meeting Date: 26-Apr-2021 Ticker: RTX ISIN: US75513E1010 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Tracy A. Atkinson Mgmt For For 1B. Election of Director: Gregory J. Hayes Mgmt For For 1C. Election of Director: Thomas A. Kennedy Mgmt For For 1D. Election of Director: Marshall O. Larsen Mgmt For For 1E. Election of Director: George R. Oliver Mgmt For For 1F. Election of Director: Robert K. (Kelly) Mgmt For For Ortberg 1G. Election of Director: Margaret L. Mgmt For For O'Sullivan 1H. Election of Director: Dinesh C. Paliwal Mgmt For For 1I. Election of Director: Ellen M. Pawlikowski Mgmt For For 1J. Election of Director: Denise L. Ramos Mgmt For For 1K. Election of Director: Fredric G. Reynolds Mgmt For For 1L. Election of Director: Brian C. Rogers Mgmt For For 1M. Election of Director: James A. Winnefeld, Mgmt For For Jr. 1N. Election of Director: Robert O. Work Mgmt Against Against 2. Advisory Vote to Approve Executive Mgmt For For Compensation. 3. Appoint PricewaterhouseCoopers LLP to Serve Mgmt For For as Independent Auditor for 2021. 4. Approve Raytheon Technologies Corporation Mgmt For For Executive Annual Incentive Plan. 5. Approve Amendment to the Raytheon Mgmt For For Technologies Corporation 2018 Long-Term Incentive Plan. 6. Shareowner Proposal to Amend Proxy Access Shr For Against Bylaw. -------------------------------------------------------------------------------------------------------------------------- STARBUCKS CORPORATION Agenda Number: 935326935 -------------------------------------------------------------------------------------------------------------------------- Security: 855244109 Meeting Type: Annual Meeting Date: 17-Mar-2021 Ticker: SBUX ISIN: US8552441094 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Richard E. Allison, Mgmt For For Jr. 1B. Election of Director: Rosalind G. Brewer Mgmt Abstain Against (Withdrawn) 1C. Election of Director: Andrew Campion Mgmt For For 1D. Election of Director: Mary N. Dillon Mgmt For For 1E. Election of Director: Isabel Ge Mahe Mgmt For For 1F. Election of Director: Mellody Hobson Mgmt For For 1G. Election of Director: Kevin R. Johnson Mgmt For For 1H. Election of Director: Jorgen Vig Knudstorp Mgmt For For 1I. Election of Director: Satya Nadella Mgmt For For 1J. Election of Director: Joshua Cooper Ramo Mgmt For For 1K. Election of Director: Clara Shih Mgmt For For 1L. Election of Director: Javier G. Teruel Mgmt For For 2. Advisory resolution to approve our Mgmt Against Against executive officer compensation. 3. Ratification of selection of Deloitte & Mgmt For For Touche LLP as our independent registered public accounting firm for fiscal 2021. 4. Employee Board Representation. Shr Against For -------------------------------------------------------------------------------------------------------------------------- SYSCO CORPORATION Agenda Number: 935276457 -------------------------------------------------------------------------------------------------------------------------- Security: 871829107 Meeting Type: Annual Meeting Date: 20-Nov-2020 Ticker: SYY ISIN: US8718291078 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Daniel J. Brutto Mgmt For For 1B. Election of Director: John M. Cassaday Mgmt For For 1C. Election of Director: Joshua D. Frank Mgmt For For 1D. Election of Director: Larry C. Glasscock Mgmt For For 1E. Election of Director: Bradley M. Halverson Mgmt For For 1F. Election of Director: John M. Hinshaw Mgmt For For 1G. Election of Director: Kevin P. Hourican Mgmt For For 1H. Election of Director: Hans-Joachim Koerber Mgmt For For 1I. Election of Director: Stephanie A. Mgmt For For Lundquist 1J. Election of Director: Nelson Peltz Mgmt For For 1K. Election of Director: Edward D. Shirley Mgmt For For 1L. Election of Director: Sheila G. Talton Mgmt For For 2. To approve, by advisory vote, the Mgmt For For compensation paid to Sysco's named executive officers, as disclosed in Sysco's 2020 proxy statement. 3. To ratify the appointment of Ernst & Young Mgmt For For LLP as Sysco's independent registered public accounting firm for fiscal 2021. -------------------------------------------------------------------------------------------------------------------------- THE MOSAIC COMPANY Agenda Number: 935377348 -------------------------------------------------------------------------------------------------------------------------- Security: 61945C103 Meeting Type: Annual Meeting Date: 20-May-2021 Ticker: MOS ISIN: US61945C1036 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Cheryl K. Beebe Mgmt For For 1B. Election of Director: Oscar P. Bernardes Mgmt For For 1C. Election of Director: Gregory L. Ebel Mgmt For For 1D. Election of Director: Timothy S. Gitzel Mgmt For For 1E. Election of Director: Denise C. Johnson Mgmt For For 1F. Election of Director: Emery N. Koenig Mgmt For For 1G. Election of Director: James ("Joc") C. Mgmt For For O'Rourke 1H. Election of Director: David T. Seaton Mgmt For For 1I. Election of Director: Steven M. Seibert Mgmt For For 1J. Election of Director: Luciano Siani Pires Mgmt For For 1K. Election of Director: Gretchen H. Watkins Mgmt For For 1L. Election of Director: Kelvin R. Westbrook Mgmt For For 2. Ratification of the appointment of KPMG LLP Mgmt For For as Mosaic's independent registered public accounting firm for the year ending December 31, 2021. 3. An advisory vote to approve the Mgmt For For compensation of our named executive officers as disclosed in the accompanying Proxy Statement. 4. Stockholder proposal relating to adoption Shr For Against of written consent right. -------------------------------------------------------------------------------------------------------------------------- THE PROCTER & GAMBLE COMPANY Agenda Number: 935264969 -------------------------------------------------------------------------------------------------------------------------- Security: 742718109 Meeting Type: Annual Meeting Date: 13-Oct-2020 Ticker: PG ISIN: US7427181091 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. ELECTION OF DIRECTOR: Francis S. Blake Mgmt For For 1B. ELECTION OF DIRECTOR: Angela F. Braly Mgmt For For 1C. ELECTION OF DIRECTOR: Amy L. Chang Mgmt For For 1D. ELECTION OF DIRECTOR: Joseph Jimenez Mgmt For For 1E. ELECTION OF DIRECTOR: Debra L. Lee Mgmt For For 1F. ELECTION OF DIRECTOR: Terry J. Lundgren Mgmt For For 1G. ELECTION OF DIRECTOR: Christine M. McCarthy Mgmt For For 1H. ELECTION OF DIRECTOR: W. James McNerney, Mgmt For For Jr. 1I. ELECTION OF DIRECTOR: Nelson Peltz Mgmt For For 1J. ELECTION OF DIRECTOR: David S. Taylor Mgmt For For 1K. ELECTION OF DIRECTOR: Margaret C. Whitman Mgmt For For 1L. ELECTION OF DIRECTOR: Patricia A. Woertz Mgmt For For 2. Ratify Appointment of the Independent Mgmt For For Registered Public Accounting Firm. 3. Advisory Vote to Approve the Company's Mgmt For For Executive Compensation (the "Say on Pay" vote). 4. Approval of The Procter & Gamble Company Mgmt For For International Stock Ownership Plan, As Amended and Restated. 5. Shareholder Proposal - Report on Efforts to Shr For Against Eliminate Deforestation. 6. Shareholder Proposal - Annual Report on Shr For Against Diversity. -------------------------------------------------------------------------------------------------------------------------- THE SOUTHERN COMPANY Agenda Number: 935388555 -------------------------------------------------------------------------------------------------------------------------- Security: 842587107 Meeting Type: Annual Meeting Date: 26-May-2021 Ticker: SO ISIN: US8425871071 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Janaki Akella Mgmt For For 1B. Election of Director: Juanita Powell Mgmt For For Baranco 1C. Election of Director: Henry A. Clark III Mgmt For For 1D. Election of Director: Anthony F. Earley, Mgmt For For Jr. 1E. Election of Director: Thomas A. Fanning Mgmt For For 1F. Election of Director: David J. Grain Mgmt For For 1G. Election of Director: Colette D. Honorable Mgmt For For 1H. Election of Director: Donald M. James Mgmt For For 1I. Election of Director: John D. Johns Mgmt For For 1J. Election of Director: Dale E. Klein Mgmt For For 1K. Election of Director: Ernest J. Moniz Mgmt For For 1L. Election of Director: William G. Smith, Jr Mgmt For For 1M. Election of Director: E. Jenner Wood III Mgmt For For 2. Advisory vote to approve executive Mgmt For For compensation. 3. Approve the 2021 Equity and Incentive Mgmt For For Compensation Plan. 4. Ratify the appointment of Deloitte & Touche Mgmt For For LLP as the independent registered public accounting firm for 2021. 5. Approve an amendment to the Restated Mgmt For For Certificate of Incorporation to reduce the supermajority vote requirement to a majority vote requirement. -------------------------------------------------------------------------------------------------------------------------- U.S. BANCORP Agenda Number: 935344262 -------------------------------------------------------------------------------------------------------------------------- Security: 902973304 Meeting Type: Annual Meeting Date: 20-Apr-2021 Ticker: USB ISIN: US9029733048 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Warner L. Baxter Mgmt For For 1B. Election of Director: Dorothy J. Bridges Mgmt For For 1C. Election of Director: Elizabeth L. Buse Mgmt For For 1D. Election of Director: Andrew Cecere Mgmt For For 1E. Election of Director: Kimberly N. Mgmt For For Ellison-Taylor 1F. Election of Director: Kimberly J. Harris Mgmt For For 1G. Election of Director: Roland A. Hernandez Mgmt For For 1H. Election of Director: Olivia F. Kirtley Mgmt For For 1I. Election of Director: Karen S. Lynch Mgmt For For 1J. Election of Director: Richard P. McKenney Mgmt For For 1K. Election of Director: Yusuf I. Mehdi Mgmt For For 1L. Election of Director: John P. Wiehoff Mgmt For For 1M. Election of Director: Scott W. Wine Mgmt For For 2. The ratification of the selection of Ernst Mgmt For For & Young LLP as our independent auditor for the 2021 fiscal year. 3. An advisory vote to approve the Mgmt For For compensation of our executives disclosed in the proxy statement. -------------------------------------------------------------------------------------------------------------------------- UNITEDHEALTH GROUP INCORPORATED Agenda Number: 935414879 -------------------------------------------------------------------------------------------------------------------------- Security: 91324P102 Meeting Type: Annual Meeting Date: 07-Jun-2021 Ticker: UNH ISIN: US91324P1021 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Richard T. Burke Mgmt For For 1B. Election of Director: Timothy P. Flynn Mgmt For For 1C. Election of Director: Stephen J. Hemsley Mgmt For For 1D. Election of Director: Michele J. Hooper Mgmt For For 1E. Election of Director: F. William McNabb III Mgmt For For 1F. Election of Director: Valerie C. Montgomery Mgmt For For Rice, M.D. 1G. Election of Director: John H. Noseworthy, Mgmt For For M.D. 1H. Election of Director: Gail R. Wilensky, Mgmt For For Ph.D. 1I. Election of Director: Andrew Witty Mgmt For For 2. Advisory approval of the Company's Mgmt Against Against executive compensation. 3. Ratification of the appointment of Deloitte Mgmt For For & Touche LLP as the independent registered public accounting firm for the Company for the year ending December 31, 2021. 4. Approval of an amendment to the Mgmt For For UnitedHealth Group 1993 Employee Stock Purchase Plan. 5. If properly presented at the 2021 Annual Shr For Against Meeting of Shareholders, the shareholder proposal set forth in the proxy statement requesting a reduction of the share ownership threshold for calling a special meeting of shareholders. -------------------------------------------------------------------------------------------------------------------------- WALMART INC. Agenda Number: 935404866 -------------------------------------------------------------------------------------------------------------------------- Security: 931142103 Meeting Type: Annual Meeting Date: 02-Jun-2021 Ticker: WMT ISIN: US9311421039 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Cesar Conde Mgmt For For 1B. Election of Director: Timothy P. Flynn Mgmt For For 1C. Election of Director: Sarah J. Friar Mgmt For For 1D. Election of Director: Carla A. Harris Mgmt For For 1E. Election of Director: Thomas W. Horton Mgmt For For 1F. Election of Director: Marissa A. Mayer Mgmt For For 1G. Election of Director: C. Douglas McMillon Mgmt For For 1H. Election of Director: Gregory B. Penner Mgmt For For 1I. Election of Director: Steven S Reinemund Mgmt For For 1J. Election of Director: Randall L. Stephenson Mgmt For For 1K. Election of Director: S. Robson Walton Mgmt For For 1L. Election of Director: Steuart L. Walton Mgmt For For 2. Advisory Vote to Approve Named Executive Mgmt For For Officer Compensation. 3. Ratification of Ernst & Young LLP as Mgmt For For Independent Accountants. 4. Report on Refrigerants Released from Shr Against For Operations. 5. Report on Lobbying Disclosures. Shr For Against 6. Report on Alignment of Racial Justice Goals Shr For Against and Starting Wages. 7. Create a Pandemic Workforce Advisory Shr For Against Council. 8. Report on Statement of the Purpose of a Shr Against For Corporation. -------------------------------------------------------------------------------------------------------------------------- WASTE MANAGEMENT, INC. Agenda Number: 935369199 -------------------------------------------------------------------------------------------------------------------------- Security: 94106L109 Meeting Type: Annual Meeting Date: 11-May-2021 Ticker: WM ISIN: US94106L1098 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: James C. Fish, Jr. Mgmt For For 1B. Election of Director: Andres R. Gluski Mgmt For For 1C. Election of Director: Victoria M. Holt Mgmt For For 1D. Election of Director: Kathleen M. Mgmt For For Mazzarella 1E. Election of Director: Sean E. Menke Mgmt For For 1F. Election of Director: William B. Plummer Mgmt For For 1G. Election of Director: John C. Pope Mgmt For For 1H. Election of Director: Maryrose T. Sylvester Mgmt For For 1I. Election of Director: Thomas H. Weidemeyer Mgmt For For 2. Ratification of the appointment of Ernst & Mgmt For For Young LLP as the independent registered public accounting firm for 2021. 3. Non-binding, advisory proposal to approve Mgmt For For our executive compensation. * 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 08/27/2021