N-PX 1 lift-spear_npx.txt ANNUAL REPORT OF PROXY VOTING 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 777 East Wisconsin Ave Milwaukee, WI 53202 REGISTRANT'S TELEPHONE NUMBER: 414-516-3097 DATE OF FISCAL YEAR END: 06/30 DATE OF REPORTING PERIOD: 07/01/2022 - 06/30/2023 Spear Alpha ETF -------------------------------------------------------------------------------------------------------------------------- ADVANCED MICRO DEVICES, INC. Agenda Number: 935797728 -------------------------------------------------------------------------------------------------------------------------- Security: 007903107 Meeting Type: Annual Meeting Date: 18-May-2023 Ticker: AMD ISIN: US0079031078 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Director: Nora M. Denzel Mgmt For For 1b. Election of Director: Mark Durcan Mgmt For For 1c. Election of Director: Michael P. Gregoire Mgmt For For 1d. Election of Director: Joseph A. Householder Mgmt For For 1e. Election of Director: John W. Marren Mgmt For For 1f. Election of Director: Jon A. Olson Mgmt For For 1g. Election of Director: Lisa T. Su Mgmt For For 1h. Election of Director: Abhi Y. Talwalkar Mgmt For For 1i. Election of Director: Elizabeth W. Mgmt For For Vanderslice 2. Approve of the Advanced Micro Devices, Inc. Mgmt For For 2023 Equity Incentive Plan. 3. Ratify the appointment of Ernst & Young LLP Mgmt For For as our independent registered public accounting firm for the current fiscal year. 4. Advisory vote to approve the executive Mgmt For For compensation of our named executive officers. 5. Advisory vote on the frequency of future Mgmt 1 Year For advisory votes on executive compensation. -------------------------------------------------------------------------------------------------------------------------- AMAZON.COM, INC. Agenda Number: 935825452 -------------------------------------------------------------------------------------------------------------------------- Security: 023135106 Meeting Type: Annual Meeting Date: 24-May-2023 Ticker: AMZN ISIN: US0231351067 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Director: Jeffrey P. Bezos Mgmt For For 1b. Election of Director: Andrew R. Jassy Mgmt For For 1c. Election of Director: Keith B. Alexander Mgmt For For 1d. Election of Director: Edith W. Cooper Mgmt For For 1e. Election of Director: Jamie S. Gorelick Mgmt For For 1f. Election of Director: Daniel P. Mgmt For For Huttenlocher 1g. Election of Director: Judith A. McGrath Mgmt For For 1h. Election of Director: Indra K. Nooyi Mgmt For For 1i. Election of Director: Jonathan J. Mgmt For For Rubinstein 1j. Election of Director: Patricia Q. Mgmt For For Stonesifer 1k. Election of Director: Wendell P. Weeks Mgmt For For 2. RATIFICATION OF THE APPOINTMENT OF ERNST & Mgmt For For YOUNG LLP AS INDEPENDENT AUDITORS 3. ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt For For COMPENSATION 4. ADVISORY VOTE ON THE FREQUENCY OF FUTURE Mgmt 1 Year For ADVISORY VOTES ON EXECUTIVE COMPENSATION 5. REAPPROVAL OF OUR 1997 STOCK INCENTIVE Mgmt For For PLAN, AS AMENDED AND RESTATED, FOR PURPOSES OF FRENCH TAX LAW 6. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr Against For RETIREMENT PLAN OPTIONS 7. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr Against For CUSTOMER DUE DILIGENCE 8. SHAREHOLDER PROPOSAL REQUESTING REPORTING Shr Against For ON CONTENT AND PRODUCT REMOVAL/RESTRICTIONS 9. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr Against For CONTENT REMOVAL REQUESTS 10. SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL Shr Against For REPORTING ON STAKEHOLDER IMPACTS 11. SHAREHOLDER PROPOSAL REQUESTING ALTERNATIVE Shr Against For TAX REPORTING 12. SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL Shr Against For REPORTING ON CLIMATE LOBBYING 13. SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL Shr Against For REPORTING ON GENDER/RACIAL PAY 14. SHAREHOLDER PROPOSAL REQUESTING AN ANALYSIS Shr Against For OF COSTS ASSOCIATED WITH DIVERSITY, EQUITY, AND INCLUSION PROGRAMS 15. SHAREHOLDER PROPOSAL REQUESTING AN Shr Against For AMENDMENT TO OUR BYLAWS TO REQUIRE SHAREHOLDER APPROVAL FOR CERTAIN FUTURE AMENDMENTS 16. SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL Shr Against For REPORTING ON FREEDOM OF ASSOCIATION 17. SHAREHOLDER PROPOSAL REQUESTING A NEW Shr Against For POLICY REGARDING OUR EXECUTIVE COMPENSATION PROCESS 18. SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL Shr Against For REPORTING ON ANIMAL WELFARE STANDARDS 19. SHAREHOLDER PROPOSAL REQUESTING AN Shr Against For ADDITIONAL BOARD COMMITTEE 20. SHAREHOLDER PROPOSAL REQUESTING AN Shr Against For ALTERNATIVE DIRECTOR CANDIDATE POLICY 21. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr Against For WAREHOUSE WORKING CONDITIONS 22. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr Against For PACKAGING MATERIALS 23. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr Against For CUSTOMER USE OF CERTAIN TECHNOLOGIES -------------------------------------------------------------------------------------------------------------------------- ANSYS, INC. Agenda Number: 935799621 -------------------------------------------------------------------------------------------------------------------------- Security: 03662Q105 Meeting Type: Annual Meeting Date: 12-May-2023 Ticker: ANSS ISIN: US03662Q1058 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Class III Director for Mgmt For For Three-Year Terms: Robert M. Calderoni 1b. Election of Class III Director for Mgmt For For Three-Year Terms: Glenda M. Dorchak 1c. Election of Class III Director for Mgmt For For Three-Year Terms: Ajei S. Gopal 2. Ratification of the Selection of Deloitte & Mgmt For For Touche LLP as the Company's Independent Registered Public Accounting Firm for Fiscal Year 2023. 3. Advisory Approval of the Compensation of Mgmt For For Our Named Executive Officers. 4. Advisory Approval of the Frequency of the Mgmt 1 Year For Advisory Approval of the Compensation of Our Named Executive Officers. 5. Approval of the Amendment of Article VI of Mgmt For For the Charter to Declassify the Board. -------------------------------------------------------------------------------------------------------------------------- CLOUDFLARE, INC. Agenda Number: 935831859 -------------------------------------------------------------------------------------------------------------------------- Security: 18915M107 Meeting Type: Annual Meeting Date: 01-Jun-2023 Ticker: NET ISIN: US18915M1071 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Scott Sandell Mgmt For For Michelle Zatlyn Mgmt For For 2. Ratification of the appointment of KPMG LLP Mgmt For For as our independent registered public accounting firm for our fiscal year ending December 31, 2023. 3. Approval, on an advisory basis, of the Mgmt For For compensation of our named executive officers. -------------------------------------------------------------------------------------------------------------------------- CROWDSTRIKE HOLDINGS, INC. Agenda Number: 935859112 -------------------------------------------------------------------------------------------------------------------------- Security: 22788C105 Meeting Type: Annual Meeting Date: 21-Jun-2023 Ticker: CRWD ISIN: US22788C1053 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Johanna Flower Mgmt For For Denis J. O'Leary Mgmt For For Godfrey R. Sullivan Mgmt For For 2. To ratify the selection of Mgmt For For PricewaterhouseCoopers LLP as CrowdStrike's independent registered public accounting firm for its fiscal year ending January 31, 2024. -------------------------------------------------------------------------------------------------------------------------- DATADOG, INC. Agenda Number: 935835415 -------------------------------------------------------------------------------------------------------------------------- Security: 23804L103 Meeting Type: Annual Meeting Date: 08-Jun-2023 Ticker: DDOG ISIN: US23804L1035 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Class I Director, each to hold Mgmt For For office until our Annual Meeting of Stockholders in 2026: Olivier Pomel 1b. Election of Class I Director, each to hold Mgmt For For office until our Annual Meeting of Stockholders in 2026: Dev Ittycheria 1c. Election of Class I Director, each to hold Mgmt For For office until our Annual Meeting of Stockholders in 2026: Shardul Shah 2. Advisory vote to approve the compensation Mgmt For For of our named executive officers. 3. To ratify the selection by the Audit Mgmt For For Committee of our Board of Directors of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2023. -------------------------------------------------------------------------------------------------------------------------- FORTIVE CORPORATION Agenda Number: 935830958 -------------------------------------------------------------------------------------------------------------------------- Security: 34959J108 Meeting Type: Annual Meeting Date: 06-Jun-2023 Ticker: FTV ISIN: US34959J1088 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Director to serve for a Mgmt For For one-year term expiring at the 2024 Annual Meeting: Eric Branderiz 1b. Election of Director to serve for a Mgmt For For one-year term expiring at the 2024 Annual Meeting: Daniel L. Comas 1c. Election of Director to serve for a Mgmt For For one-year term expiring at the 2024 Annual Meeting: Sharmistha Dubey 1d. Election of Director to serve for a Mgmt For For one-year term expiring at the 2024 Annual Meeting: Rejji P. Hayes 1e. Election of Director to serve for a Mgmt For For one-year term expiring at the 2024 Annual Meeting: Wright Lassiter III 1f. Election of Director to serve for a Mgmt For For one-year term expiring at the 2024 Annual Meeting: James A. Lico 1g. Election of Director to serve for a Mgmt For For one-year term expiring at the 2024 Annual Meeting: Kate D. Mitchell 1h. Election of Director to serve for a Mgmt For For one-year term expiring at the 2024 Annual Meeting: Jeannine P. Sargent 1i. Election of Director to serve for a Mgmt For For one-year term expiring at the 2024 Annual Meeting: Alan G. Spoon 2. To approve on an advisory basis Fortive's Mgmt For For named executive officer compensation. 3. To hold an advisory vote relating to the Mgmt 1 Year For frequency of future shareholder advisory votes on Fortive's named executive officer compensation. 4. To ratify the appointment of Ernst & Young Mgmt For For LLP as Fortive's independent registered public accounting firm for the year ending December 31, 2023. 5. To consider and act upon a shareholder Shr For Against proposal seeking shareholder ratification of termination pay. -------------------------------------------------------------------------------------------------------------------------- FREEPORT-MCMORAN INC. Agenda Number: 935831493 -------------------------------------------------------------------------------------------------------------------------- Security: 35671D857 Meeting Type: Annual Meeting Date: 06-Jun-2023 Ticker: FCX ISIN: US35671D8570 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Director: David P. Abney Mgmt For For 1b. Election of Director: Richard C. Adkerson Mgmt For For 1c. Election of Director: Marcela E. Donadio Mgmt For For 1d. Election of Director: Robert W. Dudley Mgmt For For 1e. Election of Director: Hugh Grant Mgmt For For 1f. Election of Director: Lydia H. Kennard Mgmt For For 1g. Election of Director: Ryan M. Lance Mgmt For For 1h. Election of Director: Sara Grootwassink Mgmt For For Lewis 1i. Election of Director: Dustan E. McCoy Mgmt For For 1j. Election of Director: Kathleen L. Quirk Mgmt For For 1k. Election of Director: John J. Stephens Mgmt For For 1l. Election of Director: Frances Fragos Mgmt For For Townsend 2. Approval, on an advisory basis, of the Mgmt For For compensation of our named executive officers. 3. Approval, on an advisory basis, of the Mgmt 1 Year For frequency of future advisory votes on the compensation of our named executive officers. 4. Ratification of the appointment of Ernst & Mgmt For For Young LLP as our independent registered public accounting firm for 2023. -------------------------------------------------------------------------------------------------------------------------- GITLAB INC. Agenda Number: 935866927 -------------------------------------------------------------------------------------------------------------------------- Security: 37637K108 Meeting Type: Annual Meeting Date: 29-Jun-2023 Ticker: GTLB ISIN: US37637K1088 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Karen Blasing Mgmt For For Merline Saintil Mgmt For For Godfrey Sullivan Mgmt For For 2. Ratify the appointment of KPMG LLP as Mgmt For For GitLab Inc.'s independent registered public accounting firm for the fiscal year ending January 31, 2024. 3. Approve, on a non-binding advisory basis, Mgmt For For the compensation paid by GitLab Inc. to its named executive officers. 4. Approve, on a non-binding advisory basis, Mgmt 1 Year For whether future advisory votes on the compensation paid by GitLab Inc. to its named executive officers should be held every one, two, or three years. -------------------------------------------------------------------------------------------------------------------------- HUBSPOT, INC. Agenda Number: 935837469 -------------------------------------------------------------------------------------------------------------------------- Security: 443573100 Meeting Type: Annual Meeting Date: 06-Jun-2023 Ticker: HUBS ISIN: US4435731009 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Class III Director to hold Mgmt For For office until the 2026 annual meeting of stockholders: Nick Caldwell 1b. Election of Class III Director to hold Mgmt For For office until the 2026 annual meeting of stockholders: Claire Hughes Johnson 1c. Election of Class III Director to hold Mgmt For For office until the 2026 annual meeting of stockholders: Jay Simons 1d. Election of Class III Director to hold Mgmt For For office until the 2026 annual meeting of stockholders: Yamini Rangan 2. Ratify the appointment of Mgmt For For PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2023. 3. Non-binding advisory vote to approve the Mgmt For For compensation of the Company's named executive officers. 4. Non-binding advisory vote on the frequency Mgmt 1 Year For of future advisory votes to approve the compensation of the Company's named executive officers. -------------------------------------------------------------------------------------------------------------------------- JD.COM, INC. Agenda Number: 935878605 -------------------------------------------------------------------------------------------------------------------------- Security: 47215P106 Meeting Type: Annual Meeting Date: 21-Jun-2023 Ticker: JD ISIN: US47215P1066 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. As a special resolution: THAT the Company's Mgmt For Second Amended and Restated Memorandum of Association and Articles of Association be amended and restated by their deletion in their entirety and by the substitution in their place of the Third Amended and Restated Memorandum of Association and Articles of Association in the form as attached to the AGM Notice as Exhibit B. -------------------------------------------------------------------------------------------------------------------------- MARVELL TECHNOLOGY, INC. Agenda Number: 935858463 -------------------------------------------------------------------------------------------------------------------------- Security: 573874104 Meeting Type: Annual Meeting Date: 16-Jun-2023 Ticker: MRVL ISIN: US5738741041 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Director: Sara Andrews Mgmt For For 1b. Election of Director: W. Tudor Brown Mgmt For For 1c. Election of Director: Brad W. Buss Mgmt For For 1d. Election of Director: Rebecca W. House Mgmt For For 1e. Election of Director: Marachel L. Knight Mgmt For For 1f. Election of Director: Matthew J. Murphy Mgmt For For 1g. Election of Director: Michael G. Strachan Mgmt For For 1h. Election of Director: Robert E. Switz Mgmt For For 1i. Election of Director: Ford Tamer Mgmt For For 2. An advisory (non-binding) vote to approve Mgmt For For compensation of our named executive officers. 3. To conduct an advisory (non-binding) vote Mgmt 1 Year For on the frequency of holding an advisory shareholder vote on executive compensation. 4. To ratify the appointment of Deloitte and Mgmt For For Touche LLP as our independent registered public accounting firm for the fiscal year ending February 3, 2024. -------------------------------------------------------------------------------------------------------------------------- NIO INC Agenda Number: 935694960 -------------------------------------------------------------------------------------------------------------------------- Security: 62914V106 Meeting Type: Annual Meeting Date: 25-Aug-2022 Ticker: NIO ISIN: US62914V1061 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management A1. As a special resolution: THAT subject to Mgmt For For the passing of the Class-based Resolution (as defined in the Meeting Notice) at each of the class meeting of holders of the Class C ordinary shares with a par value of US$0.00025 each and the annual general meeting of the Company, each convened on the same date and at the same place as the Class A Meeting, the Company's Twelfth Amended and Restated Memorandum of Association and Articles of Association in effect be amended and restated by the ...(due to space limits, see proxy material for full proposal). 1. As an ordinary resolution: THAT the Mgmt For For authorised but unissued 132,030,222 Class B ordinary shares of a par value of US$0.00025 each of the Company be redesignated as 132,030,222 Class A ordinary shares of a par value of US$0.00025 each of the Company, such that the authorised share capital of the Company is US$1,000,000 divided into 4,000,000,000 shares comprising of (i) 2,632,030,222 Class A ordinary shares of a par value of US$0.00025 each, (ii) 148,500,000 Class C ordinary shares of a ...(due to space limits, see proxy material for full proposal). 2. As an ordinary resolution: to re-appoint Mgmt For For PricewaterhouseCoopers as the auditor of the Company to hold office until the conclusion of the next annual general meeting of the Company and to authorise the Board to fix their remuneration for the year ending December 31, 2022. 3. As a special resolution: THAT subject to Mgmt For For the passing of the Class-based Resolution (as defined in the Meeting Notice) at each of the class meeting of holders of the Class C ordinary shares with a par value of US$0.00025 each, each and the class meeting of holders of Class A ordinary shares with a par value of US$0.00025 each convened on the same date and at the same place as the AGM, the Company's Twelfth Amended and Restated Memorandum of Association and Articles of Association in effect ...(due to space limits, see proxy material for full proposal). 4. As a special resolution: THAT the Company's Mgmt For For Twelfth Amended and Restated Memorandum of Association and Articles of Association in effect be amended and restated by the deletion in their entirety and the substitution in their place of the Thirteenth Amended and Restated Memorandum and Articles of Association annexed Thirteenth Amended and Restated Memorandum and Articles of Association annexed to this notice, as more particularly disclosed on pages 141 to 152 of the Listing Document, by (a) ...(due to space limits, see proxy material for full proposal). 5. As a special resolution: THAT the Chinese Mgmt For For name of the Company be adopted as the dual foreign name of the Company. -------------------------------------------------------------------------------------------------------------------------- NVIDIA CORPORATION Agenda Number: 935863224 -------------------------------------------------------------------------------------------------------------------------- Security: 67066G104 Meeting Type: Annual Meeting Date: 22-Jun-2023 Ticker: NVDA ISIN: US67066G1040 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Director: Robert K. Burgess Mgmt For For 1b. Election of Director: Tench Coxe Mgmt For For 1c. Election of Director: John O. Dabiri Mgmt For For 1d. Election of Director: Persis S. Drell Mgmt For For 1e. Election of Director: Jen-Hsun Huang Mgmt For For 1f. Election of Director: Dawn Hudson Mgmt For For 1g. Election of Director: Harvey C. Jones Mgmt For For 1h. Election of Director: Michael G. McCaffery Mgmt For For 1i. Election of Director: Stephen C. Neal Mgmt For For 1j. Election of Director: Mark L. Perry Mgmt For For 1k. Election of Director: A. Brooke Seawell Mgmt For For 1l. Election of Director: Aarti Shah Mgmt For For 1m. Election of Director: Mark A. Stevens Mgmt For For 2. Advisory approval of our executive Mgmt For For compensation. 3. Advisory approval of the frequency of Mgmt 1 Year For holding an advisory vote on our executive compensation. 4. Ratification of the selection of Mgmt For For PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2024. -------------------------------------------------------------------------------------------------------------------------- PALO ALTO NETWORKS, INC. Agenda Number: 935732140 -------------------------------------------------------------------------------------------------------------------------- Security: 697435105 Meeting Type: Annual Meeting Date: 13-Dec-2022 Ticker: PANW ISIN: US6974351057 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Class II Director: Dr. Helene Mgmt For For D. Gayle 1b. Election of Class II Director: James J. Mgmt For For Goetz 2. To ratify the appointment of Ernst & Young Mgmt For For LLP as our independent registered public accounting firm for our fiscal year ending July 31, 2023. 3. To approve, on an advisory basis, the Mgmt For For compensation of our named executive officers. 4. To approve an amendment to the 2021 Palo Mgmt For For Alto Networks, Inc. Equity Incentive Plan. -------------------------------------------------------------------------------------------------------------------------- RIO TINTO PLC Agenda Number: 935782892 -------------------------------------------------------------------------------------------------------------------------- Security: 767204100 Meeting Type: Annual Meeting Date: 06-Apr-2023 Ticker: RIO ISIN: US7672041008 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1 Receipt of the 2022 Annual Report Mgmt For For 2 Approval of the Directors' Remuneration Mgmt For For Report: Implementation Report 3 Approval of the Directors' Remuneration Mgmt For For Report 4 Approval of potential termination benefits Mgmt For For 5 To elect Kaisa Hietala as a Director Mgmt For For 6 To re-elect Dominic Barton BBM as a Mgmt For For Director 7 To re-elect Megan Clark AC as a Director Mgmt For For 8 To re-elect Peter Cunningham as a Director Mgmt For For 9 To re-elect Simon Henry as a Director Mgmt For For 10 To re-elect Sam Laidlaw as a Director Mgmt For For 11 To re-elect Simon McKeon AO as a Director Mgmt For For 12 To re-elect Jennifer Nason as a Director Mgmt For For 13 To re-elect Jakob Stausholm as a Director Mgmt For For 14 To re-elect Ngaire Woods CBE as a Director Mgmt For For 15 To re-elect Ben Wyatt as a Director Mgmt For For 16 Re-appointment of auditors of Rio Tinto plc Mgmt For For 17 Remuneration of auditors Mgmt For For 18 Authority to make political donations Mgmt For For 19 General authority to allot shares Mgmt For For 20 Disapplication of pre-emption rights Mgmt For For 21 Authority to purchase Rio Tinto plc shares Mgmt For For 22 Notice period for general meetings other Mgmt For For than annual general meetings -------------------------------------------------------------------------------------------------------------------------- ROCKWELL AUTOMATION, INC. Agenda Number: 935750504 -------------------------------------------------------------------------------------------------------------------------- Security: 773903109 Meeting Type: Annual Meeting Date: 07-Feb-2023 Ticker: ROK ISIN: US7739031091 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management A. DIRECTOR William P. Gipson Mgmt For For Pam Murphy Mgmt For For Donald R. Parfet Mgmt For For Robert W. Soderbery Mgmt For For B. To approve, on an advisory basis, the Mgmt For For compensation of the Corporation's named executive officers. C. To approve, on an advisory basis, the Mgmt 1 Year For frequency of the shareowner vote on the compensation of the Corporation's named executive officers. D. To approve the selection of Deloitte & Mgmt For For Touche LLP as the Corporation's independent registered public accounting firm for fiscal 2023. -------------------------------------------------------------------------------------------------------------------------- SENTINELONE, INC. Agenda Number: 935869492 -------------------------------------------------------------------------------------------------------------------------- Security: 81730H109 Meeting Type: Annual Meeting Date: 29-Jun-2023 Ticker: S ISIN: US81730H1095 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Director: Ana G. Pinczuk Mgmt For For 2. Ratification of the appointment of Deloitte Mgmt For For & Touche LLP as SentinelOne, Inc.'s independent registered public accounting firm for the fiscal year ending January 31, 2024. 3. Approval, on a non-binding advisory basis, Mgmt For For of the compensation of our named executive officers. 4. Selection, on a non-binding advisory basis, Mgmt 1 Year For of whether future advisory votes on the compensation of our named executive officers should be every one, two or three years. -------------------------------------------------------------------------------------------------------------------------- SHOPIFY INC. Agenda Number: 935878453 -------------------------------------------------------------------------------------------------------------------------- Security: 82509L107 Meeting Type: Annual Meeting Date: 27-Jun-2023 Ticker: SHOP ISIN: CA82509L1076 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A Election of Director: Tobias Lutke Mgmt For For 1B Election of Director: Robert Ashe Mgmt For For 1C Election of Director: Gail Goodman Mgmt For For 1D Election of Director: Colleen Johnston Mgmt For For 1E Election of Director: Jeremy Levine Mgmt For For 1F Election of Director: Toby Shannan Mgmt For For 1G Election of Director: Fidji Simo Mgmt For For 1H Election of Director: Bret Taylor Mgmt For For 2 Auditor Proposal Resolution approving the Mgmt For For re-appointment of PricewaterhouseCoopers LLP as auditors of Shopify Inc. and authorizing the Board of Directors to fix their remuneration. 3 Advisory Vote on Executive Compensation Mgmt For For Proposal Non-binding advisory resolution that the shareholders accept Shopify Inc.'s approach to executive compensation as disclosed in the Management Information Circular for the Meeting. -------------------------------------------------------------------------------------------------------------------------- SNOWFLAKE INC. Agenda Number: 935660705 -------------------------------------------------------------------------------------------------------------------------- Security: 833445109 Meeting Type: Annual Meeting Date: 07-Jul-2022 Ticker: SNOW ISIN: US8334451098 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Class II Director: Kelly A. Mgmt For For Kramer 1b. Election of Class II Director: Frank Mgmt For For Slootman 1c. Election of Class II Director: Michael L. Mgmt For For Speiser 2. To approve, on an advisory basis, the Mgmt 1 Year For frequency of future stockholder advisory votes on the compensation of our named executive officers. 3. To ratify the selection of Mgmt For For PricewaterhouseCoopers LLP as our independent registered public accounting firm for the fiscal year ending January 31, 2023. -------------------------------------------------------------------------------------------------------------------------- TRANSDIGM GROUP INCORPORATED Agenda Number: 935666101 -------------------------------------------------------------------------------------------------------------------------- Security: 893641100 Meeting Type: Annual Meeting Date: 12-Jul-2022 Ticker: TDG ISIN: US8936411003 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR David Barr Mgmt No vote Jane M. Cronin Mgmt No vote Mervin Dunn Mgmt No vote Michael Graff Mgmt No vote Sean Hennessy Mgmt No vote W. Nicholas Howley Mgmt No vote Gary E. McCullough Mgmt No vote Michele Santana Mgmt No vote Robert Small Mgmt No vote John Staer Mgmt No vote Kevin Stein Mgmt No vote 2. To ratify the selection of Ernst & Young Mgmt No vote LLP as the Company's independent accountants for the fiscal year ending September 30, 2022. 3. To approve (in an advisory vote) Mgmt No vote compensation paid to the Company's named executive officers. -------------------------------------------------------------------------------------------------------------------------- UNITY SOFTWARE INC Agenda Number: 935711134 -------------------------------------------------------------------------------------------------------------------------- Security: 91332U101 Meeting Type: Special Meeting Date: 07-Oct-2022 Ticker: U ISIN: US91332U1016 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. The issuance of shares of Unity Software Mgmt No vote Inc. ("Unity") common stock in connection with the merger contemplated by the Agreement and Plan of Merger, dated July 13, 2022, by and among Unity, ironSource Ltd. and Ursa Aroma Merger Subsidiary Ltd., a direct wholly owned subsidiary of Unity (the "Unity issuance proposal"). 2. The adjournment of the special meeting, if Mgmt No vote necessary, to solicit additional proxies if there are not sufficient votes to approve the Unity issuance proposal at the time of the special meeting. -------------------------------------------------------------------------------------------------------------------------- ZOOM VIDEO COMMUNICATIONS, INC. Agenda Number: 935854996 -------------------------------------------------------------------------------------------------------------------------- Security: 98980L101 Meeting Type: Annual Meeting Date: 15-Jun-2023 Ticker: ZM ISIN: US98980L1017 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Eric S. Yuan Mgmt For For Peter Gassner Mgmt For For Lieut. Gen. HR McMaster Mgmt For For 2. Ratify the appointment of KPMG LLP as our Mgmt For For independent registered public accounting firm for our fiscal year ending January 31, 2024. 3. Approve, on an advisory non-binding basis, Mgmt For For the compensation of our named executive officers as disclosed in our proxy statement. -------------------------------------------------------------------------------------------------------------------------- ZSCALER, INC. Agenda Number: 935743434 -------------------------------------------------------------------------------------------------------------------------- Security: 98980G102 Meeting Type: Annual Meeting Date: 13-Jan-2023 Ticker: ZS ISIN: US98980G1022 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Andrew Brown Mgmt For For Scott Darling Mgmt For For David Schneider Mgmt For For 2. To ratify the selection of Mgmt For For PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2023. 3. To approve on a non-binding, advisory Mgmt For For basis, the compensation of our named executive officers. * 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 08/30/2023