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