0000894189-22-006526.txt : 20220830 0000894189-22-006526.hdr.sgml : 20220830 20220830102809 ACCESSION NUMBER: 0000894189-22-006526 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220630 FILED AS OF DATE: 20220830 DATE AS OF CHANGE: 20220830 EFFECTIVENESS DATE: 20220830 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: 221213149 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 S000072266 Alexis Practical Tactical ETF C000228353 Alexis Practical Tactical ETF LEXI N-PX 1 lift-alexisprac3_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: 05/31 DATE OF REPORTING PERIOD: 07/01/2021 - 06/30/2022 Alexis Practical Tactical ETF -------------------------------------------------------------------------------------------------------------------------- APPLE INC. Agenda Number: 935541549 -------------------------------------------------------------------------------------------------------------------------- Security: 037833100 Meeting Type: Annual Meeting Date: 04-Mar-2022 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: Alex Gorsky Mgmt For For 1E. Election of Director: Andrea Jung Mgmt For For 1F. Election of Director: Art Levinson Mgmt For For 1G. Election of Director: Monica Lozano Mgmt For For 1H. Election of Director: Ron Sugar Mgmt For For 1I. 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 2022. 3. Advisory vote to approve executive Mgmt For For compensation. 4. Approval of the Apple Inc. 2022 Employee Mgmt For For Stock Plan. 5. A shareholder proposal entitled Shr Against For "Reincorporate with Deeper Purpose". 6. A shareholder proposal entitled Shr Against For "Transparency Reports". 7. A shareholder proposal entitled "Report on Shr Against For Forced Labor". 8. A shareholder proposal entitled "Pay Shr Against For Equity". 9. A shareholder proposal entitled "Civil Shr Against For Rights Audit". 10. A shareholder proposal entitled "Report on Shr Against For Concealment Clauses". -------------------------------------------------------------------------------------------------------------------------- APPLIED MATERIALS, INC. Agenda Number: 935544381 -------------------------------------------------------------------------------------------------------------------------- Security: 038222105 Meeting Type: Annual Meeting Date: 10-Mar-2022 Ticker: AMAT ISIN: US0382221051 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Rani Borkar Mgmt For For 1B. Election of Director: Judy Bruner Mgmt For For 1C. Election of Director: Xun (Eric) Chen Mgmt For For 1D. Election of Director: Aart J. de Geus Mgmt For For 1E. Election of Director: Gary E. Dickerson Mgmt For For 1F. Election of Director: Thomas J. Iannotti Mgmt For For 1G. Election of Director: Alexander A. Karsner Mgmt For For 1H. Election of Director: Adrianna C. Ma Mgmt For For 1I. Election of Director: Yvonne McGill Mgmt For For 1J. Election of Director: Scott A. McGregor Mgmt For For 2. Approval, on an advisory basis, of the Mgmt For For compensation of Applied Materials' named executive officers for fiscal year 2021. 3. Ratification of the appointment of KPMG LLP Mgmt For For as Applied Materials' independent registered public accounting firm for fiscal year 2022. 4. Shareholder proposal to amend the Shr Against For appropriate company governing documents to give the owners of a combined 10% of our outstanding common stock the power to call a special shareholder meeting. 5. Shareholder proposal to improve the Shr Against For executive compensation program and policy, such as to include the CEO pay ratio factor and voices from employees. -------------------------------------------------------------------------------------------------------------------------- ATARA BIOTHERAPEUTICS, INC. Agenda Number: 935636196 -------------------------------------------------------------------------------------------------------------------------- Security: 046513107 Meeting Type: Annual Meeting Date: 23-Jun-2022 Ticker: ATRA ISIN: US0465131078 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Director: Roy D. Baynes, M.D., Mgmt For For Ph.D. 1b. Election of Director: Matthew K. Fust Mgmt For For 1c. Election of Director: Ronald C. Renaud, Jr. Mgmt For For 2. To approve, on an advisory basis, the Mgmt For For compensation of the Company's named executive officers, as disclosed in the Proxy Statement. 3. To ratify the selection of Deloitte & Mgmt For For Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2022. -------------------------------------------------------------------------------------------------------------------------- AUTONATION, INC. Agenda Number: 935557302 -------------------------------------------------------------------------------------------------------------------------- Security: 05329W102 Meeting Type: Annual Meeting Date: 20-Apr-2022 Ticker: AN ISIN: US05329W1027 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Rick L. Burdick Mgmt No vote 1B. Election of Director: David B. Edelson Mgmt No vote 1C. Election of Director: Steven L. Gerard Mgmt No vote 1D. Election of Director: Robert R. Grusky Mgmt No vote 1E. Election of Director: Norman K. Jenkins Mgmt No vote 1F. Election of Director: Lisa Lutoff-Perlo Mgmt No vote 1G. Election of Director: Michael Manley Mgmt No vote 1H. Election of Director: G. Mike Mikan Mgmt No vote 1I. Election of Director: Jacqueline A. Mgmt No vote Travisano 2. Ratification of the selection of KPMG LLP Mgmt No vote as the Company's independent registered public accounting firm for 2022. 3. Adoption of stockholder proposal regarding Shr No vote special meetings. -------------------------------------------------------------------------------------------------------------------------- CATERPILLAR INC. Agenda Number: 935627729 -------------------------------------------------------------------------------------------------------------------------- Security: 149123101 Meeting Type: Annual Meeting Date: 08-Jun-2022 Ticker: CAT ISIN: US1491231015 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Director: Kelly A. Ayotte Mgmt For For 1b. Election of Director: David L. Calhoun Mgmt For For 1c. Election of Director: Daniel M. Dickinson Mgmt For For 1d. Election of Director: Gerald Johnson Mgmt For For 1e. Election of Director: David W. MacLennan Mgmt For For 1f. Election of Director: Debra L. Reed-Klages Mgmt For For 1g. Election of Director: Edward B. Rust, Jr. Mgmt For For 1h. Election of Director: Susan C. Schwab Mgmt For For 1i. Election of Director: D. James Umpleby III Mgmt For For 1j. Election of Director: Rayford Wilkins, Jr. Mgmt For For 2. Ratification of our Independent Registered Mgmt For For Public Accounting Firm 3. Advisory Vote to Approve Executive Mgmt For For Compensation 4. Shareholder Proposal - Report on Climate Shr For For 5. Shareholder Proposal - Lobbying Disclosure Shr Against For 6. Shareholder Proposal - Report on Activities Shr Against For in Conflict- Affected Areas 7. Shareholder Proposal - Special Shareholder Shr Against For Meeting Improvement -------------------------------------------------------------------------------------------------------------------------- CUMMINS INC. Agenda Number: 935571542 -------------------------------------------------------------------------------------------------------------------------- Security: 231021106 Meeting Type: Annual Meeting Date: 10-May-2022 Ticker: CMI ISIN: US2310211063 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1) Election of Director: N. Thomas Linebarger Mgmt For For 2) Election of Director: Jennifer W. Rumsey Mgmt For For 3) Election of Director: Robert J. Bernhard Mgmt For For 4) Election of Director: Dr. Franklin R. Chang Mgmt For For Diaz 5) Election of Director: Bruno V. Di Leo Allen Mgmt For For 6) Election of Director: Stephen B. Dobbs Mgmt For For 7) Election of Director: Carla A. Harris Mgmt For For 8) Election of Director: Robert K. Herdman Mgmt For For 9) Election of Director: Thomas J. Lynch Mgmt For For 10) Election of Director: William I. Miller Mgmt For For 11) Election of Director: Georgia R. Nelson Mgmt For For 12) Election of Director: Kimberly A. Nelson Mgmt For For 13) Election of Director: Karen H. Quintos Mgmt For For 14) Advisory vote to approve the compensation Mgmt For For of our named executive officers as disclosed in the proxy statement. 15) Proposal to ratify the appointment of Mgmt For For PricewaterhouseCoopers LLP as our auditors for 2022. 16) The shareholder proposal regarding an Shr Against For independent chairman of the board. -------------------------------------------------------------------------------------------------------------------------- DEERE & COMPANY Agenda Number: 935540977 -------------------------------------------------------------------------------------------------------------------------- Security: 244199105 Meeting Type: Annual Meeting Date: 23-Feb-2022 Ticker: DE ISIN: US2441991054 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Leanne G. Caret Mgmt Split 9% For Split 1B. Election of Director: Tamra A. Erwin Mgmt Split 9% For Split 1C. Election of Director: Alan C. Heuberger Mgmt Split 9% For Split 1D. Election of Director: Charles O. Holliday, Mgmt Split 9% For Split Jr. 1E. Election of Director: Michael O. Johanns Mgmt Split 9% For Split 1F. Election of Director: Clayton M. Jones Mgmt Split 9% For Split 1G. Election of Director: John C. May Mgmt Split 9% For Split 1H. Election of Director: Gregory R. Page Mgmt Split 9% For Split 1I. Election of Director: Sherry M. Smith Mgmt Split 9% For Split 1J. Election of Director: Dmitri L. Stockton Mgmt Split 9% For Split 1K. Election of Director: Sheila G. Talton Mgmt Split 9% For Split 2. Advisory vote on executive compensation. Mgmt Split 9% For Split 3. Ratification of the appointment of Deloitte Mgmt Split 9% For Split & Touche LLP as Deere's independent registered public accounting firm for fiscal 2022. 4. Approval of the Nonemployee Director Stock Mgmt Split 9% For Split Ownership Plan. 5. Shareholder Proposal - Special Shareholder Shr Split 9% Against Split Meeting Improvement. -------------------------------------------------------------------------------------------------------------------------- FREEPORT-MCMORAN INC. Agenda Number: 935615279 -------------------------------------------------------------------------------------------------------------------------- Security: 35671D857 Meeting Type: Annual Meeting Date: 09-Jun-2022 Ticker: FCX ISIN: US35671D8570 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Director: David P. Abney Mgmt For For 1b. Election of Director: Richard C. Adkerson Mgmt For For 1c. Election of Director: Marcela E. Donadio Mgmt For For 1d. Election of Director: Robert W. Dudley Mgmt For For 1e. Election of Director: Hugh Grant Mgmt For For 1f. Election of Director: Lydia H. Kennard Mgmt For For 1g. Election of Director: Ryan M. Lance Mgmt For For 1h. Election of Director: Sara Grootwassink Mgmt For For Lewis 1I. Election of Director: Dustan E. McCoy Mgmt For For 1j. Election of Director: John J. Stephens Mgmt For For 1k. Election of Director: Frances Fragos Mgmt For For Townsend 2. Approval, on an advisory basis, of the Mgmt For For compensation of our named executive officers. 3. Ratification of the appointment of Ernst & Mgmt For For Young LLP as our independent registered public accounting firm for 2022. -------------------------------------------------------------------------------------------------------------------------- HONEYWELL INTERNATIONAL INC. Agenda Number: 935559510 -------------------------------------------------------------------------------------------------------------------------- Security: 438516106 Meeting Type: Annual Meeting Date: 25-Apr-2022 Ticker: HON ISIN: US4385161066 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Darius Adamczyk Mgmt Split 96% For Split 1B. Election of Director: Duncan B. Angove Mgmt Split 96% For Split 1C. Election of Director: William S. Ayer Mgmt Split 96% For Split 1D. Election of Director: Kevin Burke Mgmt Split 96% For Split 1E. Election of Director: D. Scott Davis Mgmt Split 96% For Split 1F. Election of Director: Deborah Flint Mgmt Split 96% For Split 1G. Election of Director: Rose Lee Mgmt Split 96% For Split 1H. Election of Director: Grace D. Lieblein Mgmt Split 96% For Split 1I. Election of Director: George Paz Mgmt Split 96% For Split 1J. Election of Director: Robin L. Washington Mgmt Split 96% For Split 2. Advisory Vote to Approve Executive Mgmt Split 96% For Split Compensation. 3. Approval of Appointment of Independent Mgmt Split 96% For Split Accountants. 4. Shareowner Proposal - Special Shareholder Shr Split 96% Against Split Meeting Improvement. 5. Shareowner Proposal - Climate Lobbying Shr Split 96% Against Split Report. 6. Shareowner Proposal - Environmental and Shr Split 96% Against Split Social Due Diligence. -------------------------------------------------------------------------------------------------------------------------- JPMORGAN DIVERSIFIED RETURN Agenda Number: 935496061 -------------------------------------------------------------------------------------------------------------------------- Security: 46641Q837 Meeting Type: Special Meeting Date: 27-Oct-2021 Ticker: JPST ISIN: US46641Q8371 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR John F. Finn Mgmt Split 88% For Split Stephen P. Fisher Mgmt Split 88% For Split Gary L. French Mgmt Split 88% For Split Kathleen M. Gallagher Mgmt Split 88% For Split Robert J. Grassi Mgmt Split 88% For Split Frankie D. Hughes Mgmt Split 88% For Split Raymond Kanner Mgmt Split 88% For Split Thomas P. Lemke Mgmt Split 88% For Split Lawrence Maffia Mgmt Split 88% For Split Mary E. Martinez Mgmt Split 88% For Split Marilyn McCoy Mgmt Split 88% For Split Dr. Robert A. Oden, Jr. Mgmt Split 88% For Split Marian U. Pardo Mgmt Split 88% For Split Emily A. Youssouf Mgmt Split 88% For Split Robert F. Deutsch Mgmt Split 88% For Split Nina O. Shenker Mgmt Split 88% For Split -------------------------------------------------------------------------------------------------------------------------- LOCKHEED MARTIN CORPORATION Agenda Number: 935564751 -------------------------------------------------------------------------------------------------------------------------- Security: 539830109 Meeting Type: Annual Meeting Date: 21-Apr-2022 Ticker: LMT ISIN: US5398301094 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Daniel F. Akerson Mgmt Split 13% For Split 1B. Election of Director: David B. Burritt Mgmt Split 13% For Split 1C. Election of Director: Bruce A. Carlson Mgmt Split 13% For Split 1D. Election of Director: John M. Donovan Mgmt Split 13% For Split 1E. Election of Director: Joseph F. Dunford, Mgmt Split 13% For Split Jr. 1F. Election of Director: James O. Ellis, Jr. Mgmt Split 13% For Split 1G. Election of Director: Thomas J. Falk Mgmt Split 13% For Split 1H. Election of Director: Ilene S. Gordon Mgmt Split 13% For Split 1I. Election of Director: Vicki A. Hollub Mgmt Split 13% For Split 1J. Election of Director: Jeh C. Johnson Mgmt Split 13% For Split 1K. Election of Director: Debra L. Reed-Klages Mgmt Split 13% For Split 1L. Election of Director: James D. Taiclet Mgmt Split 13% For Split 1M. Election of Director: Patricia E. Mgmt Split 13% For Split Yarrington 2. Ratification of Appointment of Ernst & Mgmt Split 13% For Split Young LLP as Independent Auditors for 2022. 3. Advisory Vote to Approve the Compensation Mgmt Split 13% For Split of our Named Executive Officers (Say-on-Pay) 4. Stockholder Proposal to Reduce Threshold Shr Split 13% Against Split for Calling Special Stockholder Meetings. 5. Stockholder Proposal to Issue a Human Shr Split 13% Against Split Rights Impact Assessment Report. -------------------------------------------------------------------------------------------------------------------------- META PLATFORMS, INC. Agenda Number: 935601559 -------------------------------------------------------------------------------------------------------------------------- Security: 30303M102 Meeting Type: Annual Meeting Date: 25-May-2022 Ticker: FB ISIN: US30303M1027 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Peggy Alford Mgmt For For Marc L. Andreessen Mgmt For For Andrew W. Houston Mgmt For For Nancy Killefer Mgmt For For Robert M. Kimmitt Mgmt For For Sheryl K. Sandberg Mgmt For For Tracey T. Travis Mgmt For For Tony Xu Mgmt For For Mark Zuckerberg Mgmt For For 2. To ratify the appointment of Ernst & Young Mgmt For For LLP as Meta Platforms, Inc.'s independent registered public accounting firm for the fiscal year ending December 31, 2022. 3. To approve, on a non-binding advisory Mgmt For For basis, the compensation program for Meta Platforms, Inc.'s named executive officers as disclosed in Meta Platforms, Inc.'s proxy statement. 4. A shareholder proposal regarding dual class Shr Against For capital structure. 5. A shareholder proposal regarding an Shr Against For independent chair. 6. A shareholder proposal regarding Shr Against For concealment clauses. 7. A shareholder proposal regarding report on Shr Against For external costs of misinformation. 8. A shareholder proposal regarding report on Shr Against For community standards enforcement. 9. A shareholder proposal regarding report and Shr Against For advisory vote on the metaverse. 10. A shareholder proposal regarding human Shr Against For rights impact assessment. 11. A shareholder proposal regarding child Shr Against For sexual exploitation online. 12. A shareholder proposal regarding civil Shr Against For rights and non-discrimination audit. 13. A shareholder proposal regarding report on Shr Against For lobbying. 14. A shareholder proposal regarding assessment Shr Against For of audit & risk oversight committee. 15. A shareholder proposal regarding report on Shr Against For charitable donations. -------------------------------------------------------------------------------------------------------------------------- MGM RESORTS INTERNATIONAL Agenda Number: 935574168 -------------------------------------------------------------------------------------------------------------------------- Security: 552953101 Meeting Type: Annual Meeting Date: 04-May-2022 Ticker: MGM ISIN: US5529531015 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Barry Diller Mgmt For For 1B. Election of Director: Alexis M. Herman Mgmt For For 1C. Election of Director: William J. Hornbuckle Mgmt For For 1D. Election of Director: Mary Chris Jammet Mgmt For For 1E. Election of Director: Joey Levin Mgmt For For 1F. Election of Director: Rose McKinney-James Mgmt For For 1G. Election of Director: Keith A. Meister Mgmt For For 1H. Election of Director: Paul Salem Mgmt For For 1I. Election of Director: Gregory M. Spierkel Mgmt For For 1J. Election of Director: Jan G. Swartz Mgmt For For 1K. Election of Director: Daniel J. Taylor Mgmt For For 2. To ratify the selection of Deloitte & Mgmt For For Touche LLP, as the independent registered public accounting firm for the year ending December 31, 2022. 3. To approve, on an advisory basis, the Mgmt For For compensation of our named executive officers. 4. To approve and adopt the 2022 Omnibus Mgmt For For Incentive Plan. -------------------------------------------------------------------------------------------------------------------------- MICROSOFT CORPORATION Agenda Number: 935505480 -------------------------------------------------------------------------------------------------------------------------- Security: 594918104 Meeting Type: Annual Meeting Date: 30-Nov-2021 Ticker: MSFT ISIN: US5949181045 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Reid G. Hoffman Mgmt No vote 1B. Election of Director: Hugh F. Johnston Mgmt No vote 1C. Election of Director: Teri L. List Mgmt No vote 1D. Election of Director: Satya Nadella Mgmt No vote 1E. Election of Director: Sandra E. Peterson Mgmt No vote 1F. Election of Director: Penny S. Pritzker Mgmt No vote 1G. Election of Director: Carlos A. Rodriguez Mgmt No vote 1H. Election of Director: Charles W. Scharf Mgmt No vote 1I. Election of Director: John W. Stanton Mgmt No vote 1J. Election of Director: John W. Thompson Mgmt No vote 1K. Election of Director: Emma N. Walmsley Mgmt No vote 1L. Election of Director: Padmasree Warrior Mgmt No vote 2. Advisory vote to approve named executive Mgmt No vote officer compensation. 3. Approve Employee Stock Purchase Plan. Mgmt No vote 4. Ratification of the Selection of Deloitte & Mgmt No vote Touche LLP as our Independent Auditor for Fiscal Year 2022. 5. Shareholder Proposal - Report on median pay Shr No vote gaps across race and gender. 6. Shareholder Proposal - Report on Shr No vote effectiveness of workplace sexual harassment policies. 7. Shareholder Proposal - Prohibition on sales Shr No vote of facial recognition technology to all government entities. 8. Shareholder Proposal - Report on Shr No vote implementation of the Fair Chance Business Pledge. 9. Shareholder Proposal - Report on how Shr No vote lobbying activities align with company policies. -------------------------------------------------------------------------------------------------------------------------- MORGAN STANLEY Agenda Number: 935584878 -------------------------------------------------------------------------------------------------------------------------- Security: 617446448 Meeting Type: Annual Meeting Date: 26-May-2022 Ticker: MS ISIN: US6174464486 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Alistair Darling Mgmt Split 10% For Split 1B. Election of Director: Thomas H. Glocer Mgmt Split 10% For Split 1C. Election of Director: James P. Gorman Mgmt Split 10% For Split 1D. Election of Director: Robert H. Herz Mgmt Split 10% For Split 1E. Election of Director: Erika H. James Mgmt Split 10% For Split 1F. Election of Director: Hironori Kamezawa Mgmt Split 10% For Split 1G. Election of Director: Shelley B. Leibowitz Mgmt Split 10% For Split 1H. Election of Director: Stephen J. Luczo Mgmt Split 10% For Split 1I. Election of Director: Jami Miscik Mgmt Split 10% For Split 1J. Election of Director: Masato Miyachi Mgmt Split 10% For Split 1K. Election of Director: Dennis M. Nally Mgmt Split 10% For Split 1L. Election of Director: Mary L. Schapiro Mgmt Split 10% For Split 1M. Election of Director: Perry M. Traquina Mgmt Split 10% For Split 1N. Election of Director: Rayford Wilkins, Jr. Mgmt Split 10% For Split 2. To ratify the appointment of Deloitte & Mgmt Split 10% For Split Touche LLP as independent auditor 3. To approve the compensation of executives Mgmt Split 10% For Split as disclosed in the proxy statement (non-binding advisory vote) 4. Shareholder proposal requesting adoption of Shr Split 10% Against Split a policy to cease financing new fossil fuel development -------------------------------------------------------------------------------------------------------------------------- MORGAN STANLEY INSTL FD INC Agenda Number: 935542870 -------------------------------------------------------------------------------------------------------------------------- Security: 61756E693 Meeting Type: Special Meeting Date: 25-Feb-2022 Ticker: MGGIX ISIN: US61756E6932 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Nancy C. Everett Mgmt For For Jakki L. Haussler Mgmt For For Patricia A. Maleski Mgmt For For Frances L. Cashman Mgmt For For Eddie A. Grier Mgmt For For -------------------------------------------------------------------------------------------------------------------------- NORTHROP GRUMMAN CORPORATION Agenda Number: 935592495 -------------------------------------------------------------------------------------------------------------------------- Security: 666807102 Meeting Type: Annual Meeting Date: 18-May-2022 Ticker: NOC ISIN: US6668071029 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Kathy J. Warden Mgmt No vote 1B. Election of Director: David P. Abney Mgmt No vote 1C. Election of Director: Marianne C. Brown Mgmt No vote 1D. Election of Director: Donald E. Felsinger Mgmt No vote 1E. Election of Director: Ann M. Fudge Mgmt No vote 1F. Election of Director: William H. Hernandez Mgmt No vote 1G. Election of Director: Madeleine A. Kleiner Mgmt No vote 1H. Election of Director: Karl J. Krapek Mgmt No vote 1I. Election of Director: Graham N. Robinson Mgmt No vote 1J. Election of Director: Gary Roughead Mgmt No vote 1K. Election of Director: Thomas M. Schoewe Mgmt No vote 1L. Election of Director: James S. Turley Mgmt No vote 1M. Election of Director: Mark A. Welsh III Mgmt No vote 2. Proposal to approve, on an advisory basis, Mgmt No vote the compensation of the Company's Named Executive Officers. 3. Proposal to ratify the appointment of Mgmt No vote Deloitte & Touche LLP as the Company's Independent Auditor for fiscal year ending December 31, 2022. 4. Shareholder proposal to change the Shr No vote ownership threshold for shareholders to call a special meeting. -------------------------------------------------------------------------------------------------------------------------- ROCKWELL AUTOMATION, INC. Agenda Number: 935535849 -------------------------------------------------------------------------------------------------------------------------- Security: 773903109 Meeting Type: Annual Meeting Date: 01-Feb-2022 Ticker: ROK ISIN: US7739031091 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management A. DIRECTOR James P. Keane Mgmt For For Blake D. Moret Mgmt For For Thomas W. Rosamilia Mgmt For For Patricia A. Watson Mgmt For For B. To approve, on an advisory basis, the Mgmt For For compensation of the Corporation's named executive officers. C. To approve the selection of Deloitte & Mgmt For For Touche LLP as the Corporation's independent registered public accounting firm for fiscal 2022. -------------------------------------------------------------------------------------------------------------------------- SCHWAB FUNDS AND SCHWAB ETFS Agenda Number: 935576504 -------------------------------------------------------------------------------------------------------------------------- Security: 808515605 Meeting Type: Special Meeting Date: 14-Jun-2022 Ticker: SWVXX ISIN: US8085156052 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Walter W. Bettinger II Mgmt For For Richard A. Wurster Mgmt For For Robert W. Burns Mgmt For For Nancy F. Heller Mgmt For For David L. Mahoney Mgmt For For Jane P. Moncreiff Mgmt For For Kiran M. Patel Mgmt For For Kimberly S. Patmore Mgmt For For J. Derek Penn Mgmt For For Michael J. Beer Mgmt For For -------------------------------------------------------------------------------------------------------------------------- TEMPUR SEALY INTERNATIONAL, INC. Agenda Number: 935570110 -------------------------------------------------------------------------------------------------------------------------- Security: 88023U101 Meeting Type: Annual Meeting Date: 05-May-2022 Ticker: TPX ISIN: US88023U1016 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Evelyn S. Dilsaver Mgmt Split 10% For Split 1B. Election of Director: Simon John Dyer Mgmt Split 10% For Split 1C. Election of Director: Cathy R. Gates Mgmt Split 10% For Split 1D. Election of Director: John A. Heil Mgmt Split 10% For Split 1E. Election of Director: Meredith Siegfried Mgmt Split 10% For Split Madden 1F. Election of Director: Richard W. Neu Mgmt Split 10% For Split 1G. Election of Director: Scott L. Thompson Mgmt Split 10% For Split 2. RATIFICATION OF THE APPOINTMENT OF ERNST & Mgmt Split 10% For Split YOUNG LLP AS THE COMPANY'S INDEPENDENT AUDITORS FOR THE YEAR ENDING DECEMBER 31, 2022. 3. ADVISORY VOTE TO APPROVE THE COMPENSATION Mgmt Split 10% For Split OF NAMED EXECUTIVE OFFICERS. 4. APPROVAL OF THE AMENDED AND RESTATED 2013 Mgmt Split 10% For Split EQUITY INCENTIVE PLAN. -------------------------------------------------------------------------------------------------------------------------- TEXAS INSTRUMENTS INCORPORATED Agenda Number: 935560842 -------------------------------------------------------------------------------------------------------------------------- Security: 882508104 Meeting Type: Annual Meeting Date: 28-Apr-2022 Ticker: TXN ISIN: US8825081040 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Mark A. Blinn Mgmt No vote 1B. Election of Director: Todd M. Bluedorn Mgmt No vote 1C. Election of Director: Janet F. Clark Mgmt No vote 1D. Election of Director: Carrie S. Cox Mgmt No vote 1E. Election of Director: Martin S. Craighead Mgmt No vote 1F. Election of Director: Jean M. Hobby Mgmt No vote 1G. Election of Director: Michael D. Hsu Mgmt No vote 1H. Election of Director: Haviv Ilan Mgmt No vote 1I. Election of Director: Ronald Kirk Mgmt No vote 1J. Election of Director: Pamela H. Patsley Mgmt No vote 1K. Election of Director: Robert E. Sanchez Mgmt No vote 1L. Election of Director: Richard K. Templeton Mgmt No vote 2. Board proposal regarding advisory approval Mgmt No vote of the Company's executive compensation. 3. Board proposal to ratify the appointment of Mgmt No vote Ernst & Young LLP as the Company's independent registered public accounting firm for 2022. 4. Stockholder proposal to permit a combined Shr No vote 10% of stockholders to call a special meeting. -------------------------------------------------------------------------------------------------------------------------- THE HOME DEPOT, INC. Agenda Number: 935581290 -------------------------------------------------------------------------------------------------------------------------- Security: 437076102 Meeting Type: Annual Meeting Date: 19-May-2022 Ticker: HD ISIN: US4370761029 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Gerard J. Arpey Mgmt Split 13% For Split 1B. Election of Director: Ari Bousbib Mgmt Split 13% For Split 1C. Election of Director: Jeffery H. Boyd Mgmt Split 13% For Split 1D. Election of Director: Gregory D. Brenneman Mgmt Split 13% For Split 1E. Election of Director: J. Frank Brown Mgmt Split 13% For Split 1F. Election of Director: Albert P. Carey Mgmt Split 13% For Split 1G. Election of Director: Edward P. Decker Mgmt Split 13% For Split 1H. Election of Director: Linda R. Gooden Mgmt Split 13% For Split 1I. Election of Director: Wayne M. Hewett Mgmt Split 13% For Split 1J. Election of Director: Manuel Kadre Mgmt Split 13% For Split 1K. Election of Director: Stephanie C. Linnartz Mgmt Split 13% For Split 1L. Election of Director: Craig A. Menear Mgmt Split 13% For Split 1M. Election of Director: Paula Santilli Mgmt Split 13% For Split 1N. Election of Director: Caryn Seidman-Becker Mgmt Split 13% For Split 2. Ratification of the Appointment of KPMG LLP Mgmt Split 13% For Split 3. Advisory Vote to Approve Executive Mgmt Split 13% For Split Compensation ("Say-on-Pay") 4. Approval of the Omnibus Stock Incentive Mgmt Split 13% For Split Plan, as Amended and Restated May 19, 2022 5. Shareholder Proposal to Reduce the Shr Split 13% Against Split Threshold to Call Special Shareholder Meetings to 10% of Outstanding Shares 6. Shareholder Proposal Regarding Independent Shr Split 13% Against Split Board Chair 7. Shareholder Proposal Regarding Political Shr Split 13% Against Split Contributions Congruency Analysis 8. Shareholder Proposal Regarding Report on Shr Split 13% Against Split Gender and Racial Equity on the Board of Directors 9. Shareholder Proposal Regarding Report on Shr Split 13% Against Split Deforestation 10. Shareholder Proposal Regarding Racial Shr Split 13% Against Split Equity Audit -------------------------------------------------------------------------------------------------------------------------- THE SELECT SECTOR SPDR TRUST Agenda Number: 935496580 -------------------------------------------------------------------------------------------------------------------------- Security: 81369Y605 Meeting Type: Special Meeting Date: 29-Oct-2021 Ticker: XLF ISIN: US81369Y6059 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Allison Grant Williams Mgmt No vote Sheila Hartnett-Devlin Mgmt No vote James Jessee Mgmt No vote Teresa Polley Mgmt No vote Ashley T. Rabun Mgmt No vote James E. Ross Mgmt No vote Rory Tobin Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- THE WALT DISNEY COMPANY Agenda Number: 935544317 -------------------------------------------------------------------------------------------------------------------------- Security: 254687106 Meeting Type: Annual Meeting Date: 09-Mar-2022 Ticker: DIS ISIN: US2546871060 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Susan E. Arnold Mgmt Split 86% For Split 1B. Election of Director: Mary T. Barra Mgmt Split 86% For Split 1C. Election of Director: Safra A. Catz Mgmt Split 86% For Split 1D. Election of Director: Amy L. Chang Mgmt Split 86% For Split 1E. Election of Director: Robert A. Chapek Mgmt Split 86% For Split 1F. Election of Director: Francis A. deSouza Mgmt Split 86% For Split 1G. Election of Director: Michael B.G. Froman Mgmt Split 86% For Split 1H. Election of Director: Maria Elena Mgmt Split 86% For Split Lagomasino 1I. Election of Director: Calvin R. McDonald Mgmt Split 86% For Split 1J. Election of Director: Mark G. Parker Mgmt Split 86% For Split 1K. Election of Director: Derica W. Rice Mgmt Split 86% For Split 2. Ratification of the appointment of Mgmt Split 86% For Split PricewaterhouseCoopers LLP as the Company's independent registered public accountants for fiscal 2022. 3. Consideration of an advisory vote to Mgmt Split 86% For Split approve executive compensation. 4. Shareholder proposal, if properly presented Shr Split 86% For Split at the meeting, requesting an annual report disclosing information regarding lobbying policies and activities. 5. Shareholder proposal, if properly presented Shr Split 86% Against Split at the meeting, requesting amendment of the Company's governing documents to lower the stock ownership threshold to call a special meeting of shareholders. 6. Shareholder proposal, if properly presented Shr Split 86% Against Split at the meeting, requesting a diligence report evaluating human rights impacts. 7. Shareholder proposal, if properly presented Shr Split 86% Against Split at the meeting, requesting a report on both median and adjusted pay gaps across race and gender. 8. Shareholder proposal, if properly presented Shr Split 86% Against Split at the meeting, requesting a workplace non-discrimination audit and report. -------------------------------------------------------------------------------------------------------------------------- UNITED RENTALS, INC. Agenda Number: 935571225 -------------------------------------------------------------------------------------------------------------------------- Security: 911363109 Meeting Type: Annual Meeting Date: 05-May-2022 Ticker: URI ISIN: US9113631090 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: JosE B. Alvarez Mgmt For For 1B. Election of Director: Marc A. Bruno Mgmt For For 1C. Election of Director: Larry D. De Shon Mgmt For For 1D. Election of Director: Matthew J. Flannery Mgmt For For 1E. Election of Director: Bobby J. Griffin Mgmt For For 1F. Election of Director: Kim Harris Jones Mgmt For For 1G. Election of Director: Terri L. Kelly Mgmt For For 1H. Election of Director: Michael J. Kneeland Mgmt For For 1I. Election of Director: Gracia C. Martore Mgmt For For 1J. Election of Director: Shiv Singh Mgmt For For 2. Ratification of Appointment of Public Mgmt For For Accounting Firm 3. Advisory Approval of Executive Compensation Mgmt For For 4. Company Proposal for Special Shareholder Mgmt For For Meeting Improvement (Amend By-Laws to Reduce Threshold to 15%) 5. Stockholder Proposal for Special Shr Against For Shareholder Meeting Improvement -------------------------------------------------------------------------------------------------------------------------- VISA INC. Agenda Number: 935531550 -------------------------------------------------------------------------------------------------------------------------- Security: 92826C839 Meeting Type: Annual Meeting Date: 25-Jan-2022 Ticker: V ISIN: US92826C8394 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Lloyd A. Carney Mgmt Split 17% For Split 1B. Election of Director: Mary B. Cranston Mgmt Split 17% For Split 1C. Election of Director: Francisco Javier Mgmt Split 17% For Split Fernandez-Carbajal 1D. Election of Director: Alfred F. Kelly, Jr. Mgmt Split 17% For Split 1E. Election of Director: Ramon Laguarta Mgmt Split 17% For Split 1F. Election of Director: John F. Lundgren Mgmt Split 17% For Split 1G. Election of Director: Robert W. Matschullat Mgmt Split 17% For Split 1H. Election of Director: Denise M. Morrison Mgmt Split 17% For Split 1I. Election of Director: Linda J. Rendle Mgmt Split 17% For Split 1J. Election of Director: Maynard G. Webb, Jr. Mgmt Split 17% For Split 2. To approve, on an advisory basis, the Mgmt Split 17% For Split compensation paid to our named executive officers. 3. To ratify the appointment of KPMG LLP as Mgmt Split 17% For Split our independent registered public accounting firm for fiscal year 2022. * 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 08/29/2022