0000894189-21-006242.txt : 20210830 0000894189-21-006242.hdr.sgml : 20210830 20210830141836 ACCESSION NUMBER: 0000894189-21-006242 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: 211222680 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 S000070457 Cabot Growth ETF C000223961 Cabot Growth ETF CBTG N-PX 1 lift-cabot2_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 C. Bakken, President Listed Funds Trust c/o U.S. Bank Global Fund Services 811 E. Wisconsin Ave, 8th Floor Milwaukee, WI 53202 REGISTRANT'S TELEPHONE NUMBER: 414-765-4711 DATE OF FISCAL YEAR END: 11/30 DATE OF REPORTING PERIOD: 07/01/2020 - 06/30/2021 Cabot Growth ETF -------------------------------------------------------------------------------------------------------------------------- ABCELLERA BIOLOGICS, INC. Agenda Number: 935419879 -------------------------------------------------------------------------------------------------------------------------- Security: 00288U106 Meeting Type: Annual Meeting Date: 15-Jun-2021 Ticker: ABCL ISIN: CA00288U1066 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of class I Director to serve until Mgmt No vote the 2024 annual meeting: Veronique Lecault, Ph.D. 1B. Election of class I Director to serve until Mgmt No vote the 2024 annual meeting: John Edward Hamer, Ph.D. 2. To ratify the appointment of KPMG LLP as Mgmt No vote our independent registered public accounting firm for the fiscal year ending December 31, 2021. -------------------------------------------------------------------------------------------------------------------------- ADAPTIMMUNE THERAPEUTICS PLC Agenda Number: 935403561 -------------------------------------------------------------------------------------------------------------------------- Security: 00653A107 Meeting Type: Annual Meeting Date: 14-May-2021 Ticker: ADAP ISIN: US00653A1079 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management O1 To re-elect as a director, Lawrence Alleva, Mgmt No vote who retires by rotation in accordance with the Articles of Association. O2 To re-elect as a director, David Mott, who Mgmt No vote retires by rotation in accordance with the Articles of Association. O3 To re-elect as a director, Elliott Sigal, Mgmt No vote who retires by rotation in accordance with the Articles of Association. O4 To re-appoint KPMG LLP as auditors of the Mgmt No vote Company, to hold office until the conclusion of the next annual general meeting of shareholders. O5 To authorize the Audit Committee to Mgmt No vote determine our auditors' remuneration for the fiscal year ending December 31, 2021. O6 To adopt the U.K. statutory annual accounts Mgmt No vote and reports for the fiscal year ended December 31, 2020 and to note that the Directors do not recommend the payment of any dividend for the year ended December 31, 2020. O7 To approve, on a non-binding, advisory Mgmt No vote basis, the compensation of the Company's named executive officers for the year ended December 31, 2020. O8 To approve our U.K. statutory directors' Mgmt No vote remuneration report for the year ended December 31, 2020 (excluding our directors' remuneration policy). O9 To approve our directors' remuneration Mgmt No vote policy, which, if approved, will take effect upon conclusion of the Annual General Meeting. O10 To authorize the Directors under Section Mgmt No vote 551 of the U.K. Companies Act 2006 (the "2006 Act") to allot shares or to grant rights to subscribe for or to convert any security into shares. S11 To empower the Directors to allot equity Mgmt No vote securities for cash pursuant to Section 570(1) of the 2006 Act as if Section 561(1) of the 2006 Act did not apply to that allotment. -------------------------------------------------------------------------------------------------------------------------- BIOMARIN PHARMACEUTICAL INC. Agenda Number: 935385357 -------------------------------------------------------------------------------------------------------------------------- Security: 09061G101 Meeting Type: Annual Meeting Date: 25-May-2021 Ticker: BMRN ISIN: US09061G1013 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Jean-Jacques Bienaime Mgmt No vote Elizabeth M. Anderson Mgmt No vote Willard Dere Mgmt No vote Michael Grey Mgmt No vote Elaine J. Heron Mgmt No vote Maykin Ho Mgmt No vote Robert J. Hombach Mgmt No vote V. Bryan Lawlis Mgmt No vote Richard A. Meier Mgmt No vote David E.I. Pyott Mgmt No vote Dennis J. Slamon Mgmt No vote 2. To ratify the selection of KPMG LLP as the Mgmt No vote independent registered public accounting firm for BioMarin for the fiscal year ending December 31, 2021. 3. To approve, on an advisory basis, the Mgmt No vote compensation of the Company's Named Executive Officers as disclosed in the Proxy Statement. 4. To approve an amendment to the 2017 Equity Mgmt No vote Incentive Plan, as amended. -------------------------------------------------------------------------------------------------------------------------- BOMBARDIER INC. Agenda Number: 935375700 -------------------------------------------------------------------------------------------------------------------------- Security: 097751200 Meeting Type: Annual Meeting Date: 06-May-2021 Ticker: BDRBF ISIN: CA0977512007 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1 DIRECTOR Pierre Beaudoin Mgmt No vote Joanne Bissonnette Mgmt No vote Charles Bombardier Mgmt No vote Diane Fontaine Mgmt No vote Diane Giard Mgmt No vote Anthony R. Graham Mgmt No vote August W. Henningsen Mgmt No vote Melinda Rogers-Hixon Mgmt No vote Eric Martel Mgmt No vote Douglas R. Oberhelman Mgmt No vote Eric Sprunk Mgmt No vote Antony N. Tyler Mgmt No vote 2 Appointment of Ernst & Young LLP, chartered Mgmt No vote professional accountants, as independent auditors. 3 Advisory Vote on the Remuneration of the Mgmt No vote Executive Officers of Bombardier Inc. The Board of Directors recommends that shareholders VOTE FOR the approach to executive compensation disclosed in the Management Proxy Circular. -------------------------------------------------------------------------------------------------------------------------- EQT CORPORATION Agenda Number: 935339033 -------------------------------------------------------------------------------------------------------------------------- Security: 26884L109 Meeting Type: Annual Meeting Date: 21-Apr-2021 Ticker: EQT ISIN: US26884L1098 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director for a Term Expiring in Mgmt No vote 2022: Lydia I. Beebe 1B. Election of Director for a Term Expiring in Mgmt No vote 2022: Philip G. Behrman, Ph.D. 1C. Election of Director for a Term Expiring in Mgmt No vote 2022: Lee M. Canaan 1D. Election of Director for a Term Expiring in Mgmt No vote 2022: Janet L. Carrig 1E. Election of Director for a Term Expiring in Mgmt No vote 2022: Kathryn J. Jackson, Ph.D. 1F. Election of Director for a Term Expiring in Mgmt No vote 2022: John F. McCartney 1G. Election of Director for a Term Expiring in Mgmt No vote 2022: James T. McManus II 1H. Election of Director for a Term Expiring in Mgmt No vote 2022: Anita M. Powers 1I. Election of Director for a Term Expiring in Mgmt No vote 2022: Daniel J. Rice IV 1J. Election of Director for a Term Expiring in Mgmt No vote 2022: Toby Z. Rice 1K. Election of Director for a Term Expiring in Mgmt No vote 2022: Stephen A. Thorington 1L. Election of Director for a Term Expiring in Mgmt No vote 2022: Hallie A. Vanderhider 2. Approve a non-binding resolution regarding Mgmt No vote the compensation of EQT Corporation's named executive officers for 2020 (say-on-pay). 3. Ratify the appointment of Ernst & Young LLP Mgmt No vote as EQT Corporation's independent registered public accounting firm for 2021. -------------------------------------------------------------------------------------------------------------------------- FORD MOTOR COMPANY Agenda Number: 935364783 -------------------------------------------------------------------------------------------------------------------------- Security: 345370860 Meeting Type: Annual Meeting Date: 13-May-2021 Ticker: F ISIN: US3453708600 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Kimberly A. Casiano Mgmt No vote 1B. Election of Director: Anthony F. Earley, Mgmt No vote Jr. 1C. Election of Director: Alexandra Ford Mgmt No vote English 1D. Election of Director: James D. Farley, Jr. Mgmt No vote 1E. Election of Director: Henry Ford III Mgmt No vote 1F. Election of Director: William Clay Ford, Mgmt No vote Jr. 1G. Election of Director: William W. Helman IV Mgmt No vote 1H. Election of Director: Jon M. Huntsman, Jr. Mgmt No vote 1I. Election of Director: William E. Kennard Mgmt No vote 1J. Election of Director: Beth E. Mooney Mgmt No vote 1K. Election of Director: John L. Thornton Mgmt No vote 1L. Election of Director: John B. Veihmeyer Mgmt No vote 1M. Election of Director: Lynn M. Vojvodich Mgmt No vote 1N. Election of Director: John S. Weinberg Mgmt No vote 2. Ratification of Independent Registered Mgmt No vote Public Accounting Firm. 3. Say-on-Pay - An Advisory Vote to Approve Mgmt No vote the Compensation of the Named Executives. 4. Relating to Consideration of a Shr No vote Recapitalization Plan to Provide That All of the Company's Outstanding Stock Have One Vote Per Share. -------------------------------------------------------------------------------------------------------------------------- GRITSTONE ONCOLOGY, INC. Agenda Number: 935416772 -------------------------------------------------------------------------------------------------------------------------- Security: 39868T105 Meeting Type: Annual Meeting Date: 18-Jun-2021 Ticker: GRTS ISIN: US39868T1051 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Steve Krognes Mgmt No vote Elaine Jones, Ph.D. Mgmt No vote 2. The ratification of the selection, by the Mgmt No vote audit committee of our board of directors, of Ernst & Young LLP, as our independent registered public accounting firm for the year ending December 31, 2021. -------------------------------------------------------------------------------------------------------------------------- HUBSPOT, INC. Agenda Number: 935406341 -------------------------------------------------------------------------------------------------------------------------- Security: 443573100 Meeting Type: Annual Meeting Date: 03-Jun-2021 Ticker: HUBS ISIN: US4435731009 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Class I Director to hold office Mgmt No vote until the 2024 Annual Meeting: Brian Halligan 1B. Election of Class I Director to hold office Mgmt No vote until the 2024 Annual Meeting: Ron Gill 1C. Election of Class I Director to hold office Mgmt No vote until the 2024 Annual Meeting: Jill Ward 2. Ratify the appointment of Mgmt No vote PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. 3. Non-binding advisory vote to approve the Mgmt No vote compensation of the Company's Named Executive Officers. -------------------------------------------------------------------------------------------------------------------------- KURA ONCOLOGY, INC. Agenda Number: 935421191 -------------------------------------------------------------------------------------------------------------------------- Security: 50127T109 Meeting Type: Annual Meeting Date: 22-Jun-2021 Ticker: KURA ISIN: US50127T1097 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Troy E. Wilson, PhD JD Mgmt No vote Faheem Hasnain Mgmt No vote 2. To ratify selection of Ernst & Young LLP as Mgmt No vote our independent registered public accounting firm for our fiscal year ending December 31, 2021. 3. Approval, on an advisory basis, of the Mgmt No vote compensation of our Named Executive Officers during the year ended December 31, 2020. -------------------------------------------------------------------------------------------------------------------------- PUBMATIC, INC. Agenda Number: 935407761 -------------------------------------------------------------------------------------------------------------------------- Security: 74467Q103 Meeting Type: Annual Meeting Date: 01-Jun-2021 Ticker: PUBM ISIN: US74467Q1031 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Cathleen Black Mgmt No vote W. Eric Carlborg Mgmt No vote Susan Daimler Mgmt No vote Amar K. Goel Mgmt No vote Rajeev K. Goel Mgmt No vote Narendra Gupta Mgmt No vote 2. To ratify the appointment of Deloitte & Mgmt No vote Touche LLP as our independent registered accounting firm for the fiscal year ending December 31, 2021. -------------------------------------------------------------------------------------------------------------------------- RINGCENTRAL, INC. Agenda Number: 935432207 -------------------------------------------------------------------------------------------------------------------------- Security: 76680R206 Meeting Type: Annual Meeting Date: 04-Jun-2021 Ticker: RNG ISIN: US76680R2067 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Vladimir Shmunis Mgmt No vote Kenneth Goldman Mgmt No vote Michelle McKenna Mgmt No vote Robert Theis Mgmt No vote Allan Thygesen Mgmt No vote Neil Williams Mgmt No vote Mignon Clyburn Mgmt No vote Arne Duncan Mgmt No vote 2. Ratification of the appointment of KPMG LLP Mgmt No vote as our independent registered public accounting firm for the year ending December 31, 2021. 3. To approve, on an advisory (non-binding) Mgmt No vote basis, the named executive officers' compensation, as disclosed in the Proxy Statement. -------------------------------------------------------------------------------------------------------------------------- TENABLE HOLDINGS, INC. Agenda Number: 935387844 -------------------------------------------------------------------------------------------------------------------------- Security: 88025T102 Meeting Type: Annual Meeting Date: 25-May-2021 Ticker: TENB ISIN: US88025T1025 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Arthur W. Coviello, Jr. Mgmt No vote Kimberly L. Hammonds Mgmt No vote Jerry M. Kennelly Mgmt No vote 2. To ratify the selection by the Audit Mgmt No vote Committee of the Board of Directors of Ernst & Young LLP as the independent registered public accounting firm of the Company for the year ending December 31, 2021. 3. To approve, on a non-binding advisory Mgmt No vote basis, the compensation of the Company's named executive officers as disclosed in the proxy statement. -------------------------------------------------------------------------------------------------------------------------- THE TRADE DESK, INC. Agenda Number: 935395271 -------------------------------------------------------------------------------------------------------------------------- Security: 88339J105 Meeting Type: Annual Meeting Date: 27-May-2021 Ticker: TTD ISIN: US88339J1051 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR David R. Pickles Mgmt No vote Gokul Rajaram Mgmt No vote 2. The ratification of the appointment of Mgmt No vote PricewaterhouseCoopers LLP ("PwC") as our independent registered public accounting firm for the fiscal year ending December 31, 2021. -------------------------------------------------------------------------------------------------------------------------- VARONIS SYSTEMS, INC. Agenda Number: 935385345 -------------------------------------------------------------------------------------------------------------------------- Security: 922280102 Meeting Type: Annual Meeting Date: 25-May-2021 Ticker: VRNS ISIN: US9222801022 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Gili Iohan Mgmt No vote Rachel Prishkolnik Mgmt No vote Ofer Segev Mgmt No vote 2. To approve, on a non-binding basis, the Mgmt No vote executive compensation of our named executive officers. 3. To ratify the appointment of Kost Forer Mgmt No vote Gabbay & Kasierer, a member of Ernst & Young Global Limited, as the independent registered public accounting firm of the Company for 2021. * 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 C. Bakken Name Gregory C. Bakken Title President Date 08/27/2021