0000894189-22-006647.txt : 20220831 0000894189-22-006647.hdr.sgml : 20220831 20220831112908 ACCESSION NUMBER: 0000894189-22-006647 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220630 FILED AS OF DATE: 20220831 DATE AS OF CHANGE: 20220831 EFFECTIVENESS DATE: 20220831 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: 221217024 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 S000074649 B.A.D. ETF C000232691 B.A.D. ETF BAD N-PX 1 lift-bad2_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 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: 07/01/2021 - 06/30/2022 B.A.D. ETF -------------------------------------------------------------------------------------------------------------------------- ABBVIE INC. Agenda Number: 935568141 -------------------------------------------------------------------------------------------------------------------------- Security: 00287Y109 Meeting Type: Annual Meeting Date: 06-May-2022 Ticker: ABBV ISIN: US00287Y1091 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR William H.L. Burnside Mgmt For For Thomas C. Freyman Mgmt For For Brett J. Hart Mgmt For For Edward J. Rapp Mgmt For For 2. Ratification of Ernst & Young LLP as Mgmt For For AbbVie's independent registered public accounting firm for 2022 3. Say on Pay - An advisory vote on the Mgmt For For approval of executive compensation 4. Approval of a management proposal regarding Mgmt For For amendment of the certificate of incorporation to eliminate supermajority voting 5. Stockholder Proposal - to Adopt a Policy to Shr Against For Require Independent Chairman 6. Stockholder Proposal - to Seek Shareholder Shr Against For Approval of Certain Termination Pay Arrangements 7. Stockholder Proposal - to Issue a Report on Shr Against For Board Oversight of Competition Practices 8. Stockholder Proposal - to Issue an Annual Shr Against For Report on Political Spending -------------------------------------------------------------------------------------------------------------------------- ACCEL ENTERTAINMENT, INC. Agenda Number: 935574055 -------------------------------------------------------------------------------------------------------------------------- Security: 00436Q106 Meeting Type: Annual Meeting Date: 05-May-2022 Ticker: ACEL ISIN: US00436Q1067 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Eden Godsoe Mgmt For For Kathleen Philips Mgmt For For Kenneth B. Rotman Mgmt For For 2. Ratify the appointment of KPMG LLP as the Mgmt For For independent registered public accounting firm for the fiscal year ending December 31, 2022. -------------------------------------------------------------------------------------------------------------------------- AMBEV S.A. Agenda Number: 935608969 -------------------------------------------------------------------------------------------------------------------------- Security: 02319V103 Meeting Type: Annual Meeting Date: 29-Apr-2022 Ticker: ABEV ISIN: US02319V1035 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1 Analyze and approve the management Mgmt No vote accounts, with examination, discussion and voting on the financial statements related to the fiscal year ended December 31, 2021. 2 Resolve on the allocation of the net Mgmt No vote profits for the fiscal year ended December 31, 2021. 3a Elect the effective and alternate members Mgmt No vote of the Fiscal Council for a term in office of one (1) year: Controller Slate - Fiscal Council: Jose Ronaldo Vilela Rezende, Elidie Palma Bifano, Emanuel Sotelino Schifferle (Alternate), Eduardo Rogatto Luque (Alternate). You may only vote in favor of 3a or 3b. Casting a vote in favor of both 3a and 3b will deem your vote invalid. 3b Elect the effective and alternate members Mgmt No vote of the Fiscal Council for a term in office of one (1) year: Separate Election of the fiscal council - Candidates nominated by minority shareholders: Vinicius Balbino Bouhid, Carlos Tersandro Fonseca Adeodato (Alternate). You may only vote in favor of 3a or 3b. Casting a vote in favor of both 3a and 3b will deem your vote invalid. 4 Determine the managers' overall Mgmt No vote compensation for the year of 2022, in the annual amount of up to R$ 121,572,686.14, including expenses related to the recognition of the fair amount of (x) the stock options that the Company intends to grant in the fiscal year, and (y) the compensation based on shares that the Company intends to execute in the fiscal year, in accordance with the Management Proposal. 5 Determine the overall compensation of the Mgmt No vote Fiscal Council's members for the year of 2022, in the annual amount of up to R$ 2,017,453.72, with alternate members' compensation corresponding to half of the amount received by the effective members, in accordance with the Management Proposal. E6a Amend the Company's bylaws to: amend item Mgmt No vote "m" and add item "q" of article 3 of the bylaws, to detail in the corporate purpose of the Company ancillary activities related to the main activities carried out by the Company. E6b Amend the Company's bylaws to: amend the Mgmt No vote heading of article 5 in order to reflect the capital increases approved by the Board of Directors up to the date of the AGOE, within the authorized capital limit. E7 Consolidate the Company's by-laws. Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- AMGEN INC. Agenda Number: 935580729 -------------------------------------------------------------------------------------------------------------------------- Security: 031162100 Meeting Type: Annual Meeting Date: 17-May-2022 Ticker: AMGN ISIN: US0311621009 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director for a term of expiring Mgmt For For at the 2023 annual meeting: Dr. Wanda M. Austin 1B. Election of Director for a term of expiring Mgmt For For at the 2023 annual meeting: Mr. Robert A. Bradway 1C. Election of Director for a term of expiring Mgmt For For at the 2023 annual meeting: Dr. Brian J. Druker 1D. Election of Director for a term of expiring Mgmt For For at the 2023 annual meeting: Mr. Robert A. Eckert 1E. Election of Director for a term of expiring Mgmt For For at the 2023 annual meeting: Mr. Greg C. Garland 1F. Election of Director for a term of expiring Mgmt For For at the 2023 annual meeting: Mr. Charles M. Holley, Jr. 1G. Election of Director for a term of expiring Mgmt For For at the 2023 annual meeting: Dr. S. Omar Ishrak 1H. Election of Director for a term of expiring Mgmt For For at the 2023 annual meeting: Dr. Tyler Jacks 1I. Election of Director for a term of expiring Mgmt For For at the 2023 annual meeting: Ms. Ellen J. Kullman 1J. Election of Director for a term of expiring Mgmt For For at the 2023 annual meeting: Ms. Amy E. Miles 1K. Election of Director for a term of expiring Mgmt For For at the 2023 annual meeting: Dr. Ronald D. Sugar 1L. Election of Director for a term of expiring Mgmt For For at the 2023 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, 2022. -------------------------------------------------------------------------------------------------------------------------- ANHEUSER-BUSCH INBEV SA Agenda Number: 935586365 -------------------------------------------------------------------------------------------------------------------------- Security: 03524A108 Meeting Type: Annual Meeting Date: 27-Apr-2022 Ticker: BUD ISIN: US03524A1088 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. a. Special report by the Board of Directors Mgmt For For on the authorised capital, drawn up in accordance with Article 7:199 of the ...(due to space limits, see proxy material for full proposal). 5. Approval of the statutory annual accounts Mgmt For For Proposed resolution: approving the statutory annual accounts relating to the accounting year ended on 31 December 2021. (see reverse side for additional text). 6. Discharge to the directors Proposed Mgmt For For resolution: granting discharge to the directors for the performance of their duties during the accounting year ended on 31 December 2021. 7. Discharge to the statutory auditor Proposed Mgmt For For resolution: granting discharge to the statutory auditor for the performance of his duties during the accounting year ended on 31 December 2021. 8A. Proposed resolution: upon proposal from the Mgmt For For Restricted Shareholders, renewing the appointment as Restricted Share Director of Mr. Martin J. Barrington, for a period of one year ending at the end of the shareholders' meeting which will be asked to approve the accounts for the year 2022. 8B. Proposed resolution: upon proposal from the Mgmt For For Restricted Shareholders, renewing the appointment as Restricted Share Director of Mr. William F. Gifford, Jr., for a period of one year ending at the end of the shareholders' meeting which will be asked to approve the accounts for the year 2022. 8C. Proposed resolution: upon proposal from the Mgmt For For Restricted Shareholders, renewing the appointment as Restricted Share Director of Mr. Alejandro Santo Domingo Davila, for a period of one year ending at the end of the shareholders' meeting which will be asked to approve the accounts for the year 2022. 8D. Proposed resolution: acknowledging the Mgmt For For resignation of Mr. Roberto Thompson Motta as director and, upon proposal from the ...(due to space limits, see proxy material for full proposal). 9. Appointment of statutory auditor and Mgmt For For remuneration Proposed resolution: renewing, upon recommendation of the Audit ...(due to space limits, see proxy material for full proposal). 10. Remuneration policy Proposed resolution: Mgmt For For approving the remuneration policy drafted in accordance with article 7:89/1 of the Belgian Code of Companies and Associations. The 2021 annual report containing the remuneration policy is available on the Company's website. 11. Remuneration report Proposed resolution: Mgmt For For approving the remuneration report for the financial year 2021. The 2021 annual report containing the remuneration report is available on the Company's website. 12. Filings Proposed resolution: without Mgmt For For prejudice to other delegations of powers to the extent applicable, granting powers to Jan Vandermeersch, Global Legal Director Corporate, with power to substitute, to proceed to (i) the signing of the restated articles of association and their filings with the clerk's office of the Enterprise Court of Brussels as a result of the approval of the resolutions referred to in item 1 above, and (ii) any other filings and publication formalities in relation to the above resolutions. -------------------------------------------------------------------------------------------------------------------------- ASTRAZENECA PLC Agenda Number: 935608729 -------------------------------------------------------------------------------------------------------------------------- Security: 046353108 Meeting Type: Annual Meeting Date: 29-Apr-2022 Ticker: AZN ISIN: US0463531089 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To receive the Company's Accounts, the Mgmt For For Reports of the Directors and Auditor and the Strategic Report for the year ended 31 December 2021 2. To confirm dividends Mgmt For For 3. To reappoint PricewaterhouseCoopers LLP as Mgmt For For Auditor 4. To authorise the Directors to agree the Mgmt For For remuneration of the Auditor 5A. Re-election of Director: Leif Johansson Mgmt Abstain Against 5B. Re-election of Director: Pascal Soriot Mgmt Abstain Against 5C. Election of Director: Aradhana Sarin Mgmt Abstain Against 5D. Re-election of Director: Philip Broadley Mgmt Abstain Against 5E. Re-election of Director: Euan Ashley Mgmt Abstain Against 5F. Re-election of Director: Michel Demare Mgmt Abstain Against 5G. Re-election of Director: Deborah DiSanzo Mgmt Abstain Against 5H. Re-election of Director: Diana Layfield Mgmt Abstain Against 5I. Re-election of Director: Sheri McCoy Mgmt Abstain Against 5J. Re-election of Director: Tony Mok Mgmt Abstain Against 5K. Re-election of Director: Nazneen Rahman Mgmt Abstain Against 5L. Election of Director: Andreas Rummelt Mgmt Abstain Against 5M. Re-election of Director: Marcus Wallenberg Mgmt Abstain Against 6. To approve the Annual Report on Mgmt For For Remuneration for the year ended 31 December 2021 7. To authorise limited political donations Mgmt Against Against 8. To authorise the Directors to allot shares Mgmt For For 9. To authorise the Directors to disapply Mgmt For For pre-emption rights (Special Resolution) 10. To authorise the Directors to further Mgmt For For disapply pre-emption rights for acquisitions and specified capital investments (Special Resolution) 11. To authorise the Company to purchase its Mgmt Against Against own shares (Special Resolution) 12. To reduce the notice period for general Mgmt For For meetings (Special Resolution) 13. To extend the AstraZenca PLC 2012 Savings Mgmt For For Related Share Option Scheme -------------------------------------------------------------------------------------------------------------------------- BALLY'S CORPORATION Agenda Number: 935583167 -------------------------------------------------------------------------------------------------------------------------- Security: 05875B106 Meeting Type: Annual Meeting Date: 17-May-2022 Ticker: BALY ISIN: US05875B1061 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director to hold office for a Mgmt For For term of three years: Soohyung Kim 1B. Election of Director to hold office for a Mgmt For For term of three years: Robeson M. Reeves 1C. Election of Director to hold office for a Mgmt For For term of three years: James A. Ryan 2. Ratification of the appointment of Mgmt For For independent registered public accounting firm. 3. Approve, on a non-binding advisory basis, Mgmt For For the compensation paid to the Company's named executive officers. 4. Approve, on a non-binding advisory basis, Mgmt 3 Years Against the frequency of the advisory vote on compensation paid to the Company's named executive officers. -------------------------------------------------------------------------------------------------------------------------- BIOGEN INC. Agenda Number: 935631728 -------------------------------------------------------------------------------------------------------------------------- Security: 09062X103 Meeting Type: Annual Meeting Date: 15-Jun-2022 Ticker: BIIB ISIN: US09062X1037 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Director to serve for a Mgmt For For one-year term extending until the 2023 Annual Meeting: Alexander J. Denner 1b. Election of Director to serve for a Mgmt For For one-year term extending until the 2023 Annual Meeting: Caroline D. Dorsa 1c. Election of Director to serve for a Mgmt For For one-year term extending until the 2023 Annual Meeting: Maria C. Freire 1d. Election of Director to serve for a Mgmt For For one-year term extending until the 2023 Annual Meeting: William A. Hawkins 1e. Election of Director to serve for a Mgmt For For one-year term extending until the 2023 Annual Meeting: William D. Jones 1f. Election of Director to serve for a Mgmt For For one-year term extending until the 2023 Annual Meeting: Jesus B. Mantas 1g. Election of Director to serve for a Mgmt For For one-year term extending until the 2023 Annual Meeting: Richard C. Mulligan 1h. Election of Director to serve for a Mgmt For For one-year term extending until the 2023 Annual Meeting: Stelios Papadopoulos 1i. Election of Director to serve for a Mgmt For For one-year term extending until the 2023 Annual Meeting: Eric K. Rowinsky 1j. Election of Director to serve for a Mgmt For For one-year term extending until the 2023 Annual Meeting: Stephen A. Sherwin 1k. Election of Director to serve for a Mgmt For For one-year term extending until the 2023 Annual Meeting: Michel Vounatsos 2. To ratify the selection of Mgmt For For PricewaterhouseCoopers LLP as Biogen Inc.'s independent registered public accounting firm for the fiscal year ending December 31, 2022. 3. Say on Pay - To approve an advisory vote on Mgmt For For executive compensation. -------------------------------------------------------------------------------------------------------------------------- BIONTECH SE Agenda Number: 935647618 -------------------------------------------------------------------------------------------------------------------------- Security: 09075V102 Meeting Type: Annual Meeting Date: 01-Jun-2022 Ticker: BNTX ISIN: US09075V1026 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 2 Resolution on appropriation of balance Mgmt For For sheet profit 3 Approval of the actions of the Management Mgmt For For Board 4 Approval of the actions of the Supervisory Mgmt For For Board 5 Appointment of the Auditor for the 2022 Mgmt For For Financial Year 6 Resolution on the approval of the Mgmt For For remuneration report 7 Resolution on the Amendments to Sec. 9 Mgmt For For para. 1 of the Articles of Association (expansion of the Supervisory Board) 8.1 Election to the Supervisory Board: Prof. Mgmt For For Dr. Anja Morawietz 8.2 Election to the Supervisory Board: Prof. Mgmt For For Dr. Rudolf Staudigl 8.3 Election to the Supervisory Board: Helmut Mgmt For For Jeggle 9 Resolution on the remuneration and on the Mgmt For For remuneration system for the members of the Supervisory Board and an amendment of Sec. 9 para. 6 of the Articles of Association 10a Approval of the conclusion of the Mgmt For For domination and profit and loss transfer agreement between the Company as controlling company and BioNTech Innovation GmbH as dependent company 10b Approval of the conclusion of the Mgmt For For domination and profit and loss transfer agreement between the Company as controlling company and BioNTech Innovation and Services Marburg GmbH as dependent company -------------------------------------------------------------------------------------------------------------------------- BOYD GAMING CORPORATION Agenda Number: 935572594 -------------------------------------------------------------------------------------------------------------------------- Security: 103304101 Meeting Type: Annual Meeting Date: 05-May-2022 Ticker: BYD ISIN: US1033041013 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR John R. Bailey Mgmt For For William R. Boyd Mgmt For For William S. Boyd Mgmt For For Marianne Boyd Johnson Mgmt For For Keith E. Smith Mgmt For For Christine J. Spadafor Mgmt For For A. Randall Thoman Mgmt For For Peter M. Thomas Mgmt For For Paul W. Whetsell Mgmt For For 2. To ratify the appointment of Deloitte & Mgmt For For Touche LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2022. -------------------------------------------------------------------------------------------------------------------------- BRISTOL-MYERS SQUIBB COMPANY Agenda Number: 935571782 -------------------------------------------------------------------------------------------------------------------------- Security: 110122108 Meeting Type: Annual Meeting Date: 03-May-2022 Ticker: BMY ISIN: US1101221083 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A) Election of Director: Peter J. Arduini Mgmt For For 1B) Election of Director: Giovanni Caforio, Mgmt For For M.D. 1C) Election of Director: Julia A. Haller, M.D. Mgmt For For 1D) Election of Director: Manuel Hidalgo Mgmt For For Medina, M.D., Ph.D. 1E) Election of Director: Paula A. Price Mgmt For For 1F) Election of Director: Derica W. Rice Mgmt For For 1G) Election of Director: Theodore R. Samuels Mgmt For For 1H) Election of Director: Gerald L. Storch Mgmt For For 1I) Election of Director: Karen H. Vousden, Mgmt For For Ph.D. 1J) Election of Director: Phyllis R. Yale Mgmt For For 2. Advisory Vote to Approve the Compensation Mgmt For For of our Named Executive Officers. 3. Ratification of the Appointment of an Mgmt For For Independent Registered Public Accounting Firm. 4. Shareholder Proposal to Lower the Ownership Shr Against For Threshold for Special Shareholder Meetings to 10%. 5. Shareholder Proposal on the Adoption of a Shr Against For Board Policy that the Chairperson of the Board be an Independent Director. -------------------------------------------------------------------------------------------------------------------------- CAESARS ENTERTAINMENT, INC. Agenda Number: 935634180 -------------------------------------------------------------------------------------------------------------------------- Security: 12769G100 Meeting Type: Annual Meeting Date: 14-Jun-2022 Ticker: CZR ISIN: US12769G1004 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Gary L. Carano Mgmt For For Bonnie S. Biumi Mgmt For For Jan Jones Blackhurst Mgmt For For Frank J. Fahrenkopf Mgmt For For Don R. Kornstein Mgmt For For Courtney R. Mather Mgmt For For Sandra D. Morgan Mgmt For For Michael E. Pegram Mgmt For For Thomas R. Reeg Mgmt For For David P. Tomick Mgmt For For 2. ADVISORY VOTE TO APPROVE NAMED EXECUTIVE Mgmt For For OFFICER COMPENSATION. 3. RATIFY THE SELECTION OF DELOITTE & TOUCHE Mgmt For For LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE COMPANY FOR THE FISCAL YEAR ENDING DECEMBER 31, 2022. -------------------------------------------------------------------------------------------------------------------------- CHURCHILL DOWNS INCORPORATED Agenda Number: 935559976 -------------------------------------------------------------------------------------------------------------------------- Security: 171484108 Meeting Type: Annual Meeting Date: 26-Apr-2022 Ticker: CHDN ISIN: US1714841087 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1.1 Election of Class II Director: Ulysses L. Mgmt For For Bridgeman, Jr. 1.2 Election of Class II Director: R. Alex Mgmt For For Rankin 2. To ratify the appointment of Mgmt For For PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for fiscal year 2022. 3. To approve, on a non-binding advisory Mgmt For For basis, the Company's executive compensation as disclosed in the proxy statement. -------------------------------------------------------------------------------------------------------------------------- COMPANIA CERVECERIAS UNIDAS Agenda Number: 935569179 -------------------------------------------------------------------------------------------------------------------------- Security: 204429104 Meeting Type: Annual Meeting Date: 13-Apr-2022 Ticker: CCU ISIN: US2044291043 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 2. Approval of the Annual Report, Consolidated Mgmt For For Financial Statements and External Auditors' Report corresponding to the fiscal year ended on December 31, 2021. 3. Distribution of the profits accrued during Mgmt For For fiscal year 2021 and dividend payment. 5. Determination of the remuneration of the Mgmt For For members of the Board of Directors for fiscal year 2022. 6. Determination of the remuneration of the Mgmt For For members of the Directors Committee and its budget for the fiscal year 2022. 7. Determination of the remuneration of the Mgmt For For members of the Audit Committee and its budget for the fiscal year 2022. 8. Appointment of External Auditors Firm for Mgmt For For the 2022 fiscal year. 9. Appointment of Risk Rating Agencies for the Mgmt For For 2022 fiscal year. -------------------------------------------------------------------------------------------------------------------------- CRONOS GROUP INC. Agenda Number: 935643103 -------------------------------------------------------------------------------------------------------------------------- Security: 22717L101 Meeting Type: Annual Meeting Date: 23-Jun-2022 Ticker: CRON ISIN: CA22717L1013 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Director: Jason Adler Mgmt For For 1b. Election of Director: Kendrick Ashton, Jr. Mgmt For For 1c. Election of Director: Jody Begley Mgmt For For 1d. Election of Director: Murray Garnick Mgmt For For 1e. Election of Director: Michael Gorenstein Mgmt For For 1f. Election of Director: Heather Newman Mgmt For For 1g. Election of Director: James Rudyk Mgmt For For 2. Adoption of an advisory (non-binding) Mgmt For For resolution to approve the compensation of the Company's named executive officers as disclosed in the proxy statement dated April 29, 2022. 3. Appointment of KPMG LLP to serve as the Mgmt For For Company's registered independent public accounting firm for fiscal year 2022 and to authorize the board of directors of the Company to fix their remuneration. -------------------------------------------------------------------------------------------------------------------------- DRAFTKINGS INC. Agenda Number: 935556348 -------------------------------------------------------------------------------------------------------------------------- Security: 26142R104 Meeting Type: Annual Meeting Date: 19-Apr-2022 Ticker: DKNG ISIN: US26142R1041 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Jason D. Robins Mgmt For For Harry E. Sloan Mgmt For For Matthew Kalish Mgmt For For Paul Liberman Mgmt For For Woodrow H. Levin Mgmt For For Shalom Meckenzie Mgmt For For Jocelyn Moore Mgmt For For Ryan R. Moore Mgmt For For Valerie Mosley Mgmt For For Steven J. Murray Mgmt For For Marni M. Walden Mgmt For For Tilman Fertitta Mgmt For For 2. To ratify the appointment of BDO USA, LLP Mgmt For For as our independent registered public accounting firm for the fiscal year ending December 31, 2022. 3. To conduct a non-binding advisory vote on Mgmt For For executive compensation. -------------------------------------------------------------------------------------------------------------------------- ELI LILLY AND COMPANY Agenda Number: 935562858 -------------------------------------------------------------------------------------------------------------------------- Security: 532457108 Meeting Type: Annual Meeting Date: 02-May-2022 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: Ralph Alvarez 1B. Election of Director to serve a three-year Mgmt For For term: Kimberly H. Johnson 1C. Election of Director to serve a three-year Mgmt For For term: Juan R. Luciano 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 2022. 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. Approval of amendments to the company's Mgmt For For Articles of Incorporation to give shareholders the ability to amend the company's bylaws. 7. Shareholder proposal to amend the bylaws to Shr Against For require an independent board chair. 8. Shareholder proposal to publish an annual Shr Against For report disclosing lobbying activities. 9. Shareholder proposal to disclose lobbying Shr Against For activities and alignment with public policy positions and statements. 10. Shareholder proposal to report oversight of Shr Against For risks related to anticompetitive pricing strategies. -------------------------------------------------------------------------------------------------------------------------- EVERI HOLDINGS INC. Agenda Number: 935636007 -------------------------------------------------------------------------------------------------------------------------- Security: 30034T103 Meeting Type: Annual Meeting Date: 18-May-2022 Ticker: EVRI ISIN: US30034T1034 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Geoffrey P. Judge Mgmt For For Michael D. Rumbolz Mgmt For For 2. Advisory approval, on a non-binding basis, Mgmt For For of the compensation of our named executive officers. 3. Ratification of the appointment of BDO USA, Mgmt For For LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2022. -------------------------------------------------------------------------------------------------------------------------- GENMAB A S Agenda Number: 935555170 -------------------------------------------------------------------------------------------------------------------------- Security: 372303206 Meeting Type: Annual Meeting Date: 29-Mar-2022 Ticker: GMAB ISIN: US3723032062 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 2. Presentation and adoption of the audited Mgmt For For Annual Report and discharge of Board of Directors and Executive Management. 3. Resolution on the distribution of profits Mgmt For For as recorded in the adopted Annual Report. 4. Advisory vote on the Compensation Report. Mgmt For For 5A. Re-election of Deirdre P. Connelly to the Mgmt For For Board of Directors. 5B. Re-election of Pernille Erenbjerg to the Mgmt For For Board of Directors. 5C. Re-election of Rolf Hoffmann to the Board Mgmt For For of Directors. 5D. Re-election of Dr. Paolo Paoletti to the Mgmt For For Board of Directors. 5E. Re-election of Dr. Anders Gersel Pedersen Mgmt For For to the Board of Directors. 6. Re-election of auditor Mgmt For For PricewaterhouseCoopers Statsautoriseret Revisionspartnerselskab 7A. Approval of the Board of Directors' Mgmt For For remuneration for 2022. 8. Authorization of the Chair of the General Mgmt For For Meeting to register resolutions passed by the General Meeting. 5F. Election of members of the Board of Mgmt For For Directors: Election of Elizabeth O'Farrell. Additional director proposal related to resolution 5. Additional information can be found at: https://ir.genmab.com/news-releases/news- release-details/genmab-announces-nomination -new-member-companys-board-directors -------------------------------------------------------------------------------------------------------------------------- GILEAD SCIENCES, INC. Agenda Number: 935570134 -------------------------------------------------------------------------------------------------------------------------- Security: 375558103 Meeting Type: Annual Meeting Date: 04-May-2022 Ticker: GILD ISIN: US3755581036 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Jacqueline K. Barton, Mgmt For For Ph.D. 1B. Election of Director: Jeffrey A. Bluestone, Mgmt For For Ph.D. 1C. Election of Director: Sandra J. Horning, Mgmt For For M.D. 1D. Election of Director: Kelly A. Kramer Mgmt For For 1E. Election of Director: Kevin E. Lofton Mgmt For For 1F. Election of Director: Harish Manwani Mgmt For For 1G. Election of Director: Daniel P. O'Day Mgmt For For 1H. Election of Director: Javier J. Rodriguez Mgmt For For 1I. Election of Director: Anthony Welters Mgmt For For 2. To ratify the selection of Ernst & Young Mgmt For For LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2022. 3. To approve, on an advisory basis, the Mgmt For For compensation of our Named Executive Officers as presented in the Proxy Statement. 4. To approve the Gilead Sciences, Inc. 2022 Mgmt For For Equity Incentive Plan. 5. To vote on a stockholder proposal, if Shr Against For properly presented at the meeting, requesting that the Board adopt a policy that the Chairperson of the Board of Directors be an independent director. 6. To vote on a stockholder proposal, if Shr Against For properly presented at the meeting, requesting that the Board include one member from Gilead's non-management employees. 7. To vote on a stockholder proposal, if Shr Against For properly presented at the meeting, requesting a 10% threshold to call a special stockholder meeting. 8. To vote on a stockholder proposal, if Shr Against For properly presented at the meeting, requesting that the Board publish a third-party review of Gilead's lobbying activities. 9. To vote on a stockholder proposal, if Shr Against For properly presented at the meeting, requesting a Board report on oversight of risks related to anticompetitive practices. -------------------------------------------------------------------------------------------------------------------------- GLAXOSMITHKLINE PLC Agenda Number: 935586377 -------------------------------------------------------------------------------------------------------------------------- Security: 37733W105 Meeting Type: Annual Meeting Date: 04-May-2022 Ticker: GSK ISIN: US37733W1053 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To receive and adopt the 2021 Annual Report Mgmt For For 2. To approve the Annual report on Mgmt For For remuneration 3. To approve the Remuneration policy set out Mgmt For For in the 2021 Annual Report 4. To elect Dr Anne Beal as a Director Mgmt For For 5. To elect Dr Harry C Dietz as a Director Mgmt For For 6. To re-elect Sir Jonathan Symonds as a Mgmt For For Director 7. To re-elect Dame Emma Walmsley as a Mgmt For For Director 8. To re-elect Charles Bancroft as a Director Mgmt For For 9. To re-elect Vindi Banga as a Director Mgmt For For 10. To re-elect Dr Hal Barron as a Director Mgmt For For 11. To re-elect Dame Vivienne Cox as a Director Mgmt For For 12. To re-elect Lynn Elsenhans as a Director Mgmt For For 13. To re-elect Dr Laurie Glimcher as a Mgmt For For Director 14. To re-elect Dr Jesse Goodman as a Director Mgmt For For 15. To re-elect Iain Mackay as a Director Mgmt For For 16. To re-elect Urs Rohner as a Director Mgmt For For 17. To re-appoint the auditor Mgmt For For 18. To determine remuneration of the auditor Mgmt For For 19. To authorise the company and its Mgmt For For subsidiaries to make donations to political organisations and incur political expenditure 20. To authorise allotment of shares Mgmt For For 21. To disapply pre-emption rights - general Mgmt For For power (special resolution) 22. To disapply pre-emption rights - in Mgmt For For connection with an acquisition or specified capital investment (special resolution) 23. To authorise the company to purchase its Mgmt For For own shares (special resolution) 24. To authorise exemption from statement of Mgmt For For name of senior statutory auditor 25. To authorise reduced notice of a general Mgmt For For meeting other than an AGM (special resolution) 26. To approve the GlaxoSmithKline plc Share Mgmt For For Save Plan 2022 27. To approve the GlaxoSmithKline plc Share Mgmt For For Reward Plan 2022 28. To approve adoption of new Articles of Mgmt For For Association (special resolution) -------------------------------------------------------------------------------------------------------------------------- GOLDEN ENTERTAINMENT, INC. Agenda Number: 935603779 -------------------------------------------------------------------------------------------------------------------------- Security: 381013101 Meeting Type: Annual Meeting Date: 26-May-2022 Ticker: GDEN ISIN: US3810131017 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1.1 Election of Director to hold office until Mgmt For For the next annual meeting: Blake L. Sartini 1.2 Election of Director to hold office until Mgmt For For the next annual meeting: Andy H. Chien 1.3 Election of Director to hold office until Mgmt For For the next annual meeting: Ann D. Dozier 1.4 Election of Director to hold office until Mgmt For For the next annual meeting: Mark A. Lipparelli 1.5 Election of Director to hold office until Mgmt For For the next annual meeting: Anthony A. Marnell III 1.6 Election of Director to hold office until Mgmt For For the next annual meeting: Terrence L. Wright 2. To approve, on a non-binding advisory Mgmt For For basis, the compensation of our named executive officers as disclosed in the accompanying proxy statement (the "Say on Pay Proposal"). 3. To ratify the appointment of Ernst & Young Mgmt For For LLP as our independent registered public accounting firm for the year ending December 31, 2022. -------------------------------------------------------------------------------------------------------------------------- INTERNATIONAL GAME TECHNOLOGY PLC Agenda Number: 935643177 -------------------------------------------------------------------------------------------------------------------------- Security: G4863A108 Meeting Type: Annual Meeting Date: 10-May-2022 Ticker: IGT ISIN: GB00BVG7F061 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To receive and adopt the annual report and Mgmt For For accounts for the financial year ended 31 December 2021 ("Annual Report and Accounts"). 2. To approve the directors' remuneration Mgmt For For report (excluding the remuneration policy) set out in the Annual Report and Accounts. 3. Election of Director: Massimiliano Chiara Mgmt For For 4. Election of Director: Alberto Dessy Mgmt For For 5. Election of Director: Marco Drago Mgmt For For 6. Election of Director: Ashley M. Hunter Mgmt For For 7. Election of Director: James McCann Mgmt For For 8. Election of Director: Heather McGregor Mgmt For For 9. Election of Director: Lorenzo Pellicioli Mgmt For For 10. Election of Director: Maria Pinelli Mgmt For For 11. Election of Director: Samantha Ravich Mgmt For For 12. Election of Director: Vincent Sadusky Mgmt For For 13. Election of Director: Marco Sala. This Mgmt For For resolution supersedes resolution 4 passed at the annual general meeting of the Company held on 11 May 2021. 14. Election of Director: Gianmario Tondato Da Mgmt For For Ruos 15. To re-appoint PricewaterhouseCoopers LLP as Mgmt For For auditor to hold office until the conclusion of the next annual general meeting of the Company. 16. To authorise the Board or its audit Mgmt For For committee to determine the auditor's remuneration. 17. To authorise political donations and Mgmt For For expenditure. 18. To authorise the directors to allot shares Mgmt For For in the Company. 19. To authorise the directors to disapply Mgmt For For pre-emption rights. (special resolution) 20. To authorise the directors to disapply Mgmt For For pre-emption rights for the purpose of financing an acquisition or specified capital investment. (special resolution) 21. To authorise the Company to make off-market Mgmt For For purchases of shares in the Company. (special resolution) -------------------------------------------------------------------------------------------------------------------------- JOHNSON & JOHNSON Agenda Number: 935562997 -------------------------------------------------------------------------------------------------------------------------- Security: 478160104 Meeting Type: Annual Meeting Date: 28-Apr-2022 Ticker: JNJ ISIN: US4781601046 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Darius Adamczyk Mgmt For For 1B. Election of Director: Mary C. Beckerle Mgmt For For 1C. Election of Director: D. Scott Davis Mgmt For For 1D. Election of Director: Ian E. L. Davis Mgmt For For 1E. Election of Director: Jennifer A. Doudna Mgmt For For 1F. Election of Director: Joaquin Duato Mgmt For For 1G. Election of Director: Alex Gorsky Mgmt For For 1H. Election of Director: Marillyn A. Hewson Mgmt For For 1I. Election of Director: Hubert Joly Mgmt For For 1J. Election of Director: Mark B. McClellan Mgmt For For 1K. Election of Director: Anne M. Mulcahy Mgmt For For 1L. Election of Director: A. Eugene Washington Mgmt For For 1M. Election of Director: Mark A. Weinberger Mgmt For For 1N. Election of Director: Nadja Y. West Mgmt For For 2. Advisory Vote to Approve Named Executive Mgmt For For Officer Compensation. 3. Approval of the Company's 2022 Long-Term Mgmt For For Incentive Plan. 4. Ratification of Appointment of Mgmt For For PricewaterhouseCoopers LLP as the Independent Registered Public Accounting Firm for 2022. 5. Proposal Withdrawn (Federal Securities Laws Shr Against Mandatory Arbitration Bylaw). 6. Civil Rights, Equity, Diversity & Inclusion Shr Against For Audit Proposal. 7. Third Party Racial Justice Audit. Shr Against For 8. Report on Government Financial Support and Shr Against For Access to COVID-19 Vaccines and Therapeutics. 9. Report on Public Health Costs of Protecting Shr Against For Vaccine Technology. 10. Discontinue Global Sales of Baby Powder Shr Against For Containing Talc. 11. Request for Charitable Donations Shr Against For Disclosure. 12. Third Party Review and Report on Lobbying Shr Against For Activities Alignment with Position on Universal Health Coverage. 13. Adopt Policy to Include Legal and Shr Against For Compliance Costs in Incentive Compensation Metrics. 14. CEO Compensation to Weigh Workforce Pay and Shr Against For Ownership. -------------------------------------------------------------------------------------------------------------------------- LAS VEGAS SANDS CORP. Agenda Number: 935579207 -------------------------------------------------------------------------------------------------------------------------- Security: 517834107 Meeting Type: Annual Meeting Date: 12-May-2022 Ticker: LVS ISIN: US5178341070 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Irwin Chafetz Mgmt For For Micheline Chau Mgmt For For Patrick Dumont Mgmt For For Charles D. Forman Mgmt For For Robert G. Goldstein Mgmt For For Nora M. Jordan Mgmt For For Charles A. Koppelman Mgmt For For Lewis Kramer Mgmt For For David F. Levi Mgmt For For Yibing Mao Mgmt For For 2. Ratification of the appointment of Deloitte Mgmt For For & Touche LLP as the Company's independent registered public accounting firm for the year ending December 31, 2022. 3. An advisory (non-binding) vote to approve Mgmt For For the compensation of the named executive officers. -------------------------------------------------------------------------------------------------------------------------- LIGHT & WONDER, INC. Agenda Number: 935632390 -------------------------------------------------------------------------------------------------------------------------- Security: 80874P109 Meeting Type: Annual Meeting Date: 08-Jun-2022 Ticker: LNW ISIN: US80874P1093 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Jamie R. Odell Mgmt For For Barry L. Cottle Mgmt For For Antonia Korsanos Mgmt For For Hamish R. McLennan Mgmt For For Michael J. Regan Mgmt For For Virginia E. Shanks Mgmt For For Timothy Throsby Mgmt For For Maria T. Vullo Mgmt For For Kneeland C. Youngblood Mgmt For For 2. To approve, on an advisory basis, the Mgmt For For compensation of the Company's named executive officers. 3. To ratify the appointment of Deloitte & Mgmt For For Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2022. -------------------------------------------------------------------------------------------------------------------------- MERCK & CO., INC. Agenda Number: 935591570 -------------------------------------------------------------------------------------------------------------------------- Security: 58933Y105 Meeting Type: Annual Meeting Date: 24-May-2022 Ticker: MRK ISIN: US58933Y1055 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Douglas M. Baker, Jr. 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: Robert M. Davis Mgmt For For 1E. Election of Director: Kenneth C. Frazier Mgmt For For 1F. Election of Director: Thomas H. Glocer Mgmt For For 1G. Election of Director: Risa J. Mgmt For For Lavizzo-Mourey, M.D. 1H. Election of Director: Stephen L. Mayo, Mgmt For For Ph.D. 1I. Election of Director: Paul B. Rothman, M.D. Mgmt For For 1J. Election of Director: Patricia F. Russo Mgmt For For 1K. Election of Director: Christine E. Seidman, Mgmt For For M.D. 1L. Election of Director: Inge G. Thulin Mgmt For For 1M. Election of Director: Kathy J. Warden Mgmt For For 1N. 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 2022. 4. Shareholder proposal regarding an Shr Against For independent board chairman. 5. Shareholder proposal regarding access to Shr Against For COVID-19 products. 6. Shareholder proposal regarding lobbying Shr Against For expenditure disclosure. -------------------------------------------------------------------------------------------------------------------------- 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. -------------------------------------------------------------------------------------------------------------------------- MGP INGREDIENTS, INC. Agenda Number: 935587278 -------------------------------------------------------------------------------------------------------------------------- Security: 55303J106 Meeting Type: Annual Meeting Date: 26-May-2022 Ticker: MGPI ISIN: US55303J1060 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Thomas A. Gerke Mgmt For For 1B. Election of Director: Donn Lux Mgmt For For 1C. Election of Director: Kevin S. Rauckman Mgmt For For 1D. Election of Director: Todd B. Siwak Mgmt For For 2. To ratify the appointment of KPMG LLP as Mgmt For For the Company's independent registered public accounting firm. 3. To adopt an advisory resolution to approve Mgmt For For the compensation of our named executive officers. -------------------------------------------------------------------------------------------------------------------------- MODERNA, INC. Agenda Number: 935561717 -------------------------------------------------------------------------------------------------------------------------- Security: 60770K107 Meeting Type: Annual Meeting Date: 28-Apr-2022 Ticker: MRNA ISIN: US60770K1079 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Noubar Afeyan, Ph.D. Mgmt For For Stephane Bancel Mgmt For For Francois Nader, M.D. Mgmt For For 2. To approve, on a non-binding, advisory Mgmt For For basis, the compensation of our named executive officers. 3. To ratify the appointment of Ernst & Young Mgmt For For LLP as our registered independent public accounting firm for the year ending December 31, 2022. 4. To vote on a shareholder proposal relating Shr Against For to the feasibility of transferring intellectual property. -------------------------------------------------------------------------------------------------------------------------- MOLSON COORS BEVERAGE COMPANY Agenda Number: 935598031 -------------------------------------------------------------------------------------------------------------------------- Security: 60871R209 Meeting Type: Annual Meeting Date: 18-May-2022 Ticker: TAP ISIN: US60871R2094 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Roger G. Eaton Mgmt For For Charles M. Herington Mgmt For For H. Sanford Riley Mgmt For For 2. To approve, on an advisory basis, the Mgmt For For compensation of Molson Coors Beverage Company's named executive officers. -------------------------------------------------------------------------------------------------------------------------- MONARCH CASINO & RESORT, INC. Agenda Number: 935588294 -------------------------------------------------------------------------------------------------------------------------- Security: 609027107 Meeting Type: Annual Meeting Date: 25-May-2022 Ticker: MCRI ISIN: US6090271072 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: John Farahi Mgmt For For 1B. Election of Director: Craig F. Sullivan Mgmt For For 1C. Election of Director: Paul Andrews Mgmt For For 2. To approve, on a non-binding, advisory Mgmt For For basis, the executive compensation of our named executive officers. -------------------------------------------------------------------------------------------------------------------------- NOVARTIS AG Agenda Number: 935549521 -------------------------------------------------------------------------------------------------------------------------- Security: 66987V109 Meeting Type: Annual Meeting Date: 04-Mar-2022 Ticker: NVS ISIN: US66987V1098 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Approval of the Operating and Financial Mgmt For For Review of Novartis AG, the Financial Statements of Novartis AG and the Group Consolidated Financial Statements for the 2021 Financial Year. 2. Discharge from Liability of the Members of Mgmt For For the Board of Directors and the Executive Committee. 3. Appropriation of Available Earnings of Mgmt For For Novartis AG as per Balance Sheet and Declaration of Dividend for 2021. 4. Reduction of Share Capital. Mgmt For For 5. Further Share Repurchases. Mgmt For For 6A. Binding Vote on the Maximum Aggregate Mgmt For For Amount of Compensation for the Board of Directors from the 2022 Annual General Meeting to the 2023 Annual General Meeting. 6B. Binding Vote on the Maximum Aggregate Mgmt For For Amount of Compensation for the Executive Committee for the Financial Year 2023. 6C. Advisory Vote on the 2021 Compensation Mgmt For For Report. 7A. Re-election of Joerg Reinhardt as Member Mgmt For For and Board Chair 7B. Re-election of Nancy C. Andrews Mgmt For For 7C. Re-election of Ton Buechner Mgmt For For 7D. Re-election of Patrice Bula Mgmt For For 7E. Re-election of Elizabeth Doherty Mgmt For For 7F. Re-election of Bridgette Heller Mgmt For For 7G. Re-election of Frans van Houten Mgmt For For 7H. Re-election of Simon Moroney Mgmt For For 7I. Re-election of Andreas von Planta Mgmt For For 7J. Re-election of Charles L. Sawyers Mgmt For For 7K. Re-election of William T. Winters Mgmt For For 7L. Election of Ana de Pro Gonzalo Mgmt For For 7M. Election of Daniel Hochstrasser Mgmt For For 8A. Re-election of Patrice Bula as Compensation Mgmt For For Committee member 8B. Re-election of Bridgette Heller as Mgmt For For Compensation Committee member 8C. Re-election of Simon Moroney as Mgmt For For Compensation Committee member 8D. Re-election of William T. Winters as Mgmt For For Compensation Committee member 9. Election of the Statutory Auditor. Mgmt For For 10. Re-election of the Independent Proxy. Mgmt For For 11. General instructions in case of alternative Mgmt For For motions under the agenda items published in the Notice of Annual General Meeting, and/or of motions relating to additional agenda items according to Article 700 paragraph 3 of the Swiss Code of Obligations. -------------------------------------------------------------------------------------------------------------------------- PENN NATIONAL GAMING, INC. Agenda Number: 935615003 -------------------------------------------------------------------------------------------------------------------------- Security: 707569109 Meeting Type: Annual Meeting Date: 07-Jun-2022 Ticker: PENN ISIN: US7075691094 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Barbara Shattuck Kohn Mgmt For For Ronald J. Naples Mgmt For For Saul V. Reibstein Mgmt For For 2. Ratification of the selection of Deloitte & Mgmt For For Touche LLP as the Company's independent registered public accounting firm for the 2022 fiscal year. 3. Approval, on an advisory basis, of the Mgmt For For compensation paid to the Company's named executive officers. 4. Approval of the Company's 2022 Long Term Mgmt For For Incentive Compensation Plan. -------------------------------------------------------------------------------------------------------------------------- PFIZER INC. Agenda Number: 935562062 -------------------------------------------------------------------------------------------------------------------------- Security: 717081103 Meeting Type: Annual Meeting Date: 28-Apr-2022 Ticker: PFE ISIN: US7170811035 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Ronald E. Blaylock Mgmt For For 1B. Election of Director: Albert Bourla Mgmt For For 1C. Election of Director: Susan Mgmt For For Desmond-Hellmann 1D. Election of Director: Joseph J. Echevarria Mgmt For For 1E. Election of Director: Scott Gottlieb Mgmt For For 1F. Election of Director: Helen H. Hobbs Mgmt For For 1G. Election of Director: Susan Hockfield Mgmt For For 1H. Election of Director: Dan R. Littman Mgmt For For 1I. Election of Director: Shantanu Narayen Mgmt For For 1J. Election of Director: Suzanne Nora Johnson Mgmt For For 1K. Election of Director: James Quincey Mgmt For For 1L. Election of Director: James C. Smith Mgmt For For 2. Ratify the selection of KPMG LLP as Mgmt For For independent registered public accounting firm for 2022 3. 2022 advisory approval of executive Mgmt For For compensation 4. Shareholder proposal regarding amending Shr Against For proxy access 5. Shareholder proposal regarding report on Shr Against For political expenditures congruency 6. Shareholder proposal regarding report on Shr Against For transfer of intellectual property to potential COVID-19 manufacturers 7. Shareholder proposal regarding report on Shr Against For board oversight of risks related to anticompetitive practices 8. Shareholder proposal regarding report on Shr Against For public health costs of protecting vaccine technology -------------------------------------------------------------------------------------------------------------------------- RED ROCK RESORTS, INC. Agenda Number: 935634522 -------------------------------------------------------------------------------------------------------------------------- Security: 75700L108 Meeting Type: Annual Meeting Date: 09-Jun-2022 Ticker: RRR ISIN: US75700L1089 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Frank J. Fertitta III Mgmt For For Lorenzo J. Fertitta Mgmt For For Robert A. Cashell, Jr. Mgmt For For Robert E. Lewis Mgmt For For James E. Nave, D.V.M. Mgmt For For 2. Advisory vote to approve the compensation Mgmt For For of our named executive officers. 3. Ratification of the appointment of Ernst & Mgmt For For Young LLP as our independent auditor for 2022. -------------------------------------------------------------------------------------------------------------------------- REGENERON PHARMACEUTICALS, INC. Agenda Number: 935620383 -------------------------------------------------------------------------------------------------------------------------- Security: 75886F107 Meeting Type: Annual Meeting Date: 10-Jun-2022 Ticker: REGN ISIN: US75886F1075 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Director: Bonnie L. Bassler, Mgmt For For Ph.D. 1b. Election of Director: Michael S. Brown, Mgmt For For M.D. 1c. Election of Director: Leonard S. Schleifer, Mgmt For For M.D., Ph.D. 1d. Election of Director: George D. Mgmt For For Yancopoulos, M.D., Ph.D. 2. Ratification of the appointment of Mgmt For For PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2022. 3. Proposal to approve, on an advisory basis, Mgmt For For executive compensation. -------------------------------------------------------------------------------------------------------------------------- ROYALTY PHARMA PLC Agenda Number: 935640739 -------------------------------------------------------------------------------------------------------------------------- Security: G7709Q104 Meeting Type: Annual Meeting Date: 23-Jun-2022 Ticker: RPRX ISIN: GB00BMVP7Y09 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Director: Pablo Legorreta Mgmt For For 1b. Election of Director: Henry Fernandez Mgmt For For 1c. Election of Director: Bonnie Bassler Mgmt For For 1d. Election of Director: Errol De Souza Mgmt For For 1e. Election of Director: Catherine Engelbert Mgmt For For 1f. Election of Director: M. Germano Giuliani Mgmt For For 1g. Election of Director: David Hodgson Mgmt For For 1h. Election of Director: Ted Love Mgmt For For 1i. Election of Director: Gregory Norden Mgmt For For 1j. Election of Director: Rory Riggs Mgmt For For 2. A non-binding advisory vote to approve Mgmt For For executive compensation. 3. Ratify the appointment of Ernst & Young LLP Mgmt For For as our independent registered public accounting firm. 4. Approve receipt of our U.K. audited annual Mgmt For For report and accounts and related directors' and auditor's reports for the fiscal year ended December 31, 2021. 5. Approve on a non-binding advisory basis our Mgmt For For U.K. directors' remuneration report. 6. Re-appoint Ernst & Young as our U.K. Mgmt For For statutory auditor, to hold office until the conclusion of the next general meeting at which the U.K. annual report and accounts are presented to shareholders. 7. Authorize the board of directors to Mgmt For For determine the remuneration of Ernst & Young in its capacity as our U.K. statutory auditor. 8. Approve the terms of the agreements and Mgmt For For counterparties pursuant to which we may purchase our Class A ordinary shares. -------------------------------------------------------------------------------------------------------------------------- RUSH STREET INTERACTIVE, INC. Agenda Number: 935636805 -------------------------------------------------------------------------------------------------------------------------- Security: 782011100 Meeting Type: Annual Meeting Date: 02-Jun-2022 Ticker: RSI ISIN: US7820111000 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Leslie Bluhm Mgmt For For James Gordon Mgmt For For Richard Schwartz Mgmt For For 2. Ratification of the appointment of Mgmt For For WithumSmith+Brown, PC as our independent registered public accounting firm for 2022. -------------------------------------------------------------------------------------------------------------------------- SANOFI Agenda Number: 935610851 -------------------------------------------------------------------------------------------------------------------------- Security: 80105N105 Meeting Type: Annual Meeting Date: 03-May-2022 Ticker: SNY ISIN: US80105N1054 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management O1 Approval of the individual company Mgmt For For financial statements for the year ended December 31, 2021 O2 Approval of the consolidated financial Mgmt For For statements for the year ended December 31, 2021 O3 Appropriation of profits for the year ended Mgmt For For December 31, 2021 and declaration of dividend O4 Reappointment of Paul Hudson as Director Mgmt For For O5 Reappointment of Christophe Babule as Mgmt For For Director O6 Reappointment of Patrick Kron as Director Mgmt For For O7 Reappointment of Gilles Schnepp as Director Mgmt For For O8 Appointment of Carole Ferrand as Director Mgmt For For O9 Appointment of Emile Voest as Director Mgmt For For O10 Appointment of Antoine Yver as Director Mgmt For For O11 Approval of the report on the compensation Mgmt For For of corporate officers issued in accordance with Article L. 22-10-9 of the French Commercial Code O12 Approval of the components of the Mgmt For For compensation paid or awarded in respect of the year ended December 31, 2021 to Serge Weinberg, Chairman of the Board O13 Approval of the components of the Mgmt For For compensation paid or awarded in respect of the year ended December 31, 2021 to Paul Hudson, Chief Executive Officer O14 Approval of the compensation policy for Mgmt For For directors O15 Approval of the compensation policy for the Mgmt For For Chairman of the Board of Directors O16 Approval of the compensation policy for the Mgmt For For Chief Executive Officer O17 Authorization to the Board of Directors to Mgmt For For carry out transactions in the Company's shares (usable outside the period of a public tender offer) E18 Amendment to Article 25 of the Company's Mgmt For For Articles of Association - Dividends 19 Powers for formalities Mgmt For For -------------------------------------------------------------------------------------------------------------------------- SEAGEN INC. Agenda Number: 935582874 -------------------------------------------------------------------------------------------------------------------------- Security: 81181C104 Meeting Type: Annual Meeting Date: 13-May-2022 Ticker: SGEN ISIN: US81181C1045 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Class III Director: Ted W. Mgmt For For Love, M.D. 1B. Election of Class III Director: Daniel G. Mgmt For For Welch 2. Approve, on an advisory basis, the Mgmt For For compensation of Seagen's named executive officers as disclosed in the accompanying proxy statement. 3. Ratify the appointment of Mgmt For For PricewaterhouseCoopers LLP as Seagen's independent registered public accounting firm for the fiscal year ending December 31, 2022. -------------------------------------------------------------------------------------------------------------------------- SPORTRADAR GROUP AG Agenda Number: 935595263 -------------------------------------------------------------------------------------------------------------------------- Security: H8088L103 Meeting Type: Annual Meeting Date: 06-May-2022 Ticker: SRAD ISIN: CH1134239669 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1.1 Approval of the Management Report, Mgmt For For Consolidated Financial Statements and Statutory Financial Statements 1.2 Consultative vote on the Compensation Mgmt For For Report 2 Approval of Appropriation of Available Mgmt For For Earnings 3 Approval of Discharge of the Board of Mgmt For For Directors and of Executive Management 4AA Election of Director: William Jeffery Mgmt For For Yabuki 4AB Election of Director: Carsten Koerl Mgmt For For 4AC Election of Director: Hafiz Lalani Mgmt For For 4AD Election of Director: Deirdre Mary Bigley Mgmt For For 4AE Election of Director: John Andrew Doran Mgmt For For 4AF Election of Director: George Fleet Mgmt For For 4AG Election of Director: Charles John Robel Mgmt For For 4AH Election of Director: Marc Walder Mgmt For For 4B Election of William Jeffery Yabuki as Chair Mgmt For For of the Board of Directors 4CA Election of Compensation Committee: Deirdre Mgmt For For Mary Bigley 4CB Election of Compensation Committee: Marc Mgmt For For Walder 4CC Election of Compensation Committee: Hafiz Mgmt For For Lalani 4CD Election of Compensation Committee: John Mgmt For For Andrew Doran 5.1 Approval of the total maximum amount of Mgmt For For Board compensation for the term of office until the Annual General Meeting in 2023 5.2 Approval of the total maximum amount of Mgmt For For Executive Management compensation for the next financial year 6 Election of the law firm Furer Partner Mgmt For For Advocaten KlG, Frauenfeld, Switzerland as independent proxy 7.1 Election of KPMG AG, St. Gallen, Mgmt For For Switzerland, as statutory auditors 7.2 Election of BDO, AG, St. Gallen, Mgmt For For Switzerland, as special auditors 8.1 Motions by the board of directors Mgmt For For 8.2 Motions by shareholders Mgmt For For -------------------------------------------------------------------------------------------------------------------------- TAKEDA PHARMACEUTICAL CO LTD Agenda Number: 935674615 -------------------------------------------------------------------------------------------------------------------------- Security: 874060205 Meeting Type: Annual Meeting Date: 29-Jun-2022 Ticker: TAK ISIN: US8740602052 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Appropriation of Surplus Mgmt For For 2. Partial Amendment to the Articles of Mgmt For For Incorporation 3a. Election of Director who is not Audit and Mgmt For For Supervisory Committee Member: Christophe Weber 3b. Election of Director who is not Audit and Mgmt For For Supervisory Committee Member: Masato Iwasaki 3c. Election of Director who is not Audit and Mgmt For For Supervisory Committee Member: Andrew Plump 3d. Election of Director who is not Audit and Mgmt For For Supervisory Committee Member: Costa Saroukos 3e. Election of Director who is not Audit and Mgmt For For Supervisory Committee Member: Olivier Bohuon 3f. Election of Director who is not Audit and Mgmt For For Supervisory Committee Member: Jean-Luc Butel 3g. Election of Director who is not Audit and Mgmt For For Supervisory Committee Member: Ian Clark 3h. Election of Director who is not Audit and Mgmt For For Supervisory Committee Member: Steven Gillis 3i. Election of Director who is not Audit and Mgmt For For Supervisory Committee Member: Masami Iijima 3j. Election of Director who is not Audit and Mgmt For For Supervisory Committee Member: John Maraganore 3k. Election of Director who is not Audit and Mgmt For For Supervisory Committee Member: Michel Orsinger 4a. Election of Director who is Audit and Mgmt For For Supervisory Committee Member: Koji Hatsukawa 4b. Election of Director who is Audit and Mgmt For For Supervisory Committee Member: Emiko Higashi 4c. Election of Director who is Audit and Mgmt For For Supervisory Committee Member: Yoshiaki Fujimori 4d. Election of Director who is Audit and Mgmt For For Supervisory Committee Member: Kimberly A. Reed 5. Payment of Bonuses to Directors who are not Mgmt For For Audit and Supervisory Committee Members -------------------------------------------------------------------------------------------------------------------------- THE BOSTON BEER COMPANY, INC. Agenda Number: 935577520 -------------------------------------------------------------------------------------------------------------------------- Security: 100557107 Meeting Type: Annual Meeting Date: 18-May-2022 Ticker: SAM ISIN: US1005571070 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Meghan V. Joyce Mgmt For For Michael Spillane Mgmt For For Jean-Michel Valette Mgmt For For 2. Advisory vote to approve our Named Mgmt For For Executive Officers' executive compensation. -------------------------------------------------------------------------------------------------------------------------- VERTEX PHARMACEUTICALS INCORPORATED Agenda Number: 935588042 -------------------------------------------------------------------------------------------------------------------------- Security: 92532F100 Meeting Type: Annual Meeting Date: 18-May-2022 Ticker: VRTX ISIN: US92532F1003 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Sangeeta Bhatia Mgmt For For 1B. Election of Director: Lloyd Carney Mgmt For For 1C. Election of Director: Alan Garber Mgmt For For 1D. Election of Director: Terrence Kearney Mgmt For For 1E. Election of Director: Reshma Kewalramani Mgmt For For 1F. Election of Director: Yuchun Lee Mgmt For For 1G. Election of Director: Jeffrey Leiden Mgmt For For 1H. Election of Director: Margaret McGlynn Mgmt For For 1I. Election of Director: Diana McKenzie Mgmt For For 1J. Election of Director: Bruce Sachs Mgmt For For 1K. Election of Director: Suketu Upadhyay Mgmt For For 2. Ratification of Ernst & Young LLP as Mgmt For For independent Registered Public Accounting firm for the year ending December 31, 2022. 3. Advisory vote to approve named executive Mgmt For For office compensation. 4. Approval of an amendment and restatement of Mgmt For For our 2013 Stock and Option Plan to increase the number of shares authorized for issuance under this plan by 13.5 million shares. -------------------------------------------------------------------------------------------------------------------------- WYNN RESORTS, LIMITED Agenda Number: 935572265 -------------------------------------------------------------------------------------------------------------------------- Security: 983134107 Meeting Type: Annual Meeting Date: 05-May-2022 Ticker: WYNN ISIN: US9831341071 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Craig S. Billings Mgmt For For Margaret J. Myers Mgmt For For Winifred M. Webb Mgmt For For 2. To ratify the appointment of Ernst & Young Mgmt For For LLP as our independent registered public accounting firm for 2022. 3. To approve, on a non-binding advisory Mgmt For For basis, the compensation of our named executive officers as described in the proxy statement. * 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 Date 08/30/2022