N-PX 1 e528022_n-px.htm N-PX

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549

 

FORM N-PX

 

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY

 

Investment Company Act file number   811-04656

 

Ellsworth Growth and Income Fund Ltd.

 

(Exact name of registrant as specified in charter)

 

One Corporate Center

Rye, New York 10580-1422

 

(Address of principal executive offices) (Zip code)

 

James A. Dinsmore
Gabelli Funds, LLC
One Corporate Center

Rye, New York 10580-1422

 

(Name and address of agent for service)

 

Registrant's telephone number, including area code: 1-800-422-3554

 

Date of fiscal year end: September 30

 

Date of reporting period: July 1, 2018 – June 30, 2019

 

Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.

 

A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.

 

 

 

 

PROXY VOTING RECORD

 

FOR PERIOD JULY 1, 2018 TO JUNE 30, 2019

 

ProxyEdge

Meeting Date Range: 07/01/2018 - 06/30/2019

Ellsworth Growth and Income Fund Ltd.

 

Report Date: 07/01/2019

1

  

Investment Company Report

 

  THE WALT DISNEY COMPANY  
  Security 254687106       Meeting Type Special  
  Ticker Symbol DIS                   Meeting Date 27-Jul-2018  
  ISIN US2546871060       Agenda 934854197 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1.    To approve the issuance of common stock, par value
$0.01 per share, of TWDC Holdco 613 Corp. ("New
Disney"), to stockholders of Twenty-First Century Fox,
Inc. ("21CF") contemplated by the Amended and
Restated Agreement and Plan of Merger, dated as of
June 20, 2018, as it may be amended from time to time,
by and among 21CF, a Delaware corporation, Disney, a
Delaware corporation, New Disney, a Delaware
corporation and a wholly owned subsidiary of Disney,
WDC Merger Enterprises I, Inc., a ...(due to space limits,
see proxy statement for full proposal).
Management   For   For  
  2.    To approve adjournments of the Disney special meeting,
if necessary or appropriate, to solicit additional proxies if
there are insufficient votes at the time of the Disney
special meeting to approve the share issuance proposal.
Management   For   For  
  CONAGRA BRANDS, INC.  
  Security 205887102       Meeting Type Annual    
  Ticker Symbol CAG                   Meeting Date 21-Sep-2018  
  ISIN US2058871029       Agenda 934864807 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1.    DIRECTOR Management          
      1 Anil Arora       For   For  
      2 Thomas K. Brown       For   For  
      3 Stephen G. Butler       For   For  
      4 Sean M. Connolly       For   For  
      5 Joie A. Gregor       For   For  
      6 Rajive Johri       For   For  
      7 Richard H. Lenny       For   For  
      8 Ruth Ann Marshall       For   For  
      9 Craig P. Omtvedt       For   For  
  2.    Ratification of the appointment of independent auditor for
fiscal 2019
Management   For   For  
  3.    Advisory approval of the Company's named executive
officer compensation.
Management   For   For  
  UNILEVER N.V.  
  Security 904784709       Meeting Type Special  
  Ticker Symbol UN                    Meeting Date 05-Oct-2018  
  ISIN US9047847093       Agenda 934876953 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1.    To approve Simplification. Management   Abstain   Against  
  UNILEVER N.V.  
  Security 904784709       Meeting Type Special  
  Ticker Symbol UN                    Meeting Date 05-Oct-2018  
  ISIN US9047847093       Agenda 934884164 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1.    To approve Simplification. Management   Abstain   Against  
  MICROSOFT CORPORATION  
  Security 594918104       Meeting Type Annual    
  Ticker Symbol MSFT                  Meeting Date 28-Nov-2018  
  ISIN US5949181045       Agenda 934884544 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1a.   Election of Director: William H. Gates lll Management   For   For  
  1b.   Election of Director: Reid G. Hoffman Management   For   For  
  1c.   Election of Director: Hugh F. Johnston Management   For   For  
  1d.   Election of Director: Teri L. List-Stoll Management   For   For  
  1e.   Election of Director: Satya Nadella Management   For   For  
  1f.   Election of Director: Charles H. Noski Management   For   For  
  1g.   Election of Director: Helmut Panke Management   For   For  
  1h.   Election of Director: Sandra E. Peterson Management   For   For  
  1i.   Election of Director: Penny S. Pritzker Management   For   For  
  1j.   Election of Director: Charles W. Scharf Management   For   For  
  1k.   Election of Director: Arne M. Sorenson Management   For   For  
  1l.   Election of Director: John W. Stanton Management   For   For  
  1m.   Election of Director: John W. Thompson Management   For   For  
  1n.   Election of Director: Padmasree Warrior Management   For   For  
  2.    Advisory vote to approve named executive officer
compensation
Management   For   For  
  3.    Ratification of Deloitte & Touche LLP as our independent
auditor for fiscal year 2019
Management   For   For  
  THE WALT DISNEY COMPANY  
  Security 254687106       Meeting Type Annual    
  Ticker Symbol DIS                   Meeting Date 07-Mar-2019  
  ISIN US2546871060       Agenda 934921099 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1a.   Election of Director: Susan E. Arnold Management   For   For  
  1b.   Election of Director: Mary T. Barra Management   For   For  
  1c.   Election of Director: Safra A. Catz Management   For   For  
  1d.   Election of Director: Francis A. deSouza Management   For   For  
  1e.   Election of Director: Michael Froman Management   For   For  
  1f.   Election of Director: Robert A. Iger Management   For   For  
  1g.   Election of Director: Maria Elena Lagomasino Management   For   For  
  1h.   Election of Director: Mark G. Parker Management   For   For  
  1i.   Election of Director: Derica W. Rice Management   For   For  
  2.    To ratify the appointment of PricewaterhouseCoopers
LLP as the Company's registered public accountants for
fiscal 2019.
Management   For   For  
  3.    To approve the advisory resolution on executive
compensation.
Management   For   For  
  4.    Shareholder proposal requesting an annual report
disclosing information regarding the Company's lobbying
policies and activities.
Shareholder   Against   For  
  5.    Shareholder proposal requesting a report on use of
additional cyber security and data privacy metrics in
determining compensation of senior executives.
Shareholder   Against   For  
  CITIGROUP INC.  
  Security 172967424       Meeting Type Annual    
  Ticker Symbol C                     Meeting Date 16-Apr-2019  
  ISIN US1729674242       Agenda 934935808 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1a.   Election of Director: Michael L. Corbat Management   For   For  
  1b.   Election of Director: Ellen M. Costello Management   For   For  
  1c.   Election of Director: Barbara J. Desoer Management   For   For  
  1d.   Election of Director: John C. Dugan Management   For   For  
  1e.   Election of Director: Duncan P. Hennes Management   For   For  
  1f.   Election of Director: Peter B. Henry Management   For   For  
  1g.   Election of Director: S. Leslie Ireland Management   For   For  
  1h.   Election of Director: Lew W. (Jay) Jacobs, IV Management   For   For  
  1i.   Election of Director: Renee J. James Management   For   For  
  1j.   Election of Director: Eugene M. McQuade Management   For   For  
  1k.   Election of Director: Gary M. Reiner Management   For   For  
  1l.   Election of Director: Diana L. Taylor Management   For   For  
  1m.   Election of Director: James S. Turley Management   For   For  
  1n.   Election of Director: Deborah C. Wright Management   For   For  
  1o.   Election of Director: Ernesto Zedillo Ponce de Leon Management   For   For  
  2.    Proposal to ratify the selection of KPMG LLP as Citi's
independent registered public accounting firm for 2019.
Management   For   For  
  3.    Advisory vote to approve Citi's 2018 executive
compensation.
Management   For   For  
  4.    Approval of the Citigroup 2019 Stock Incentive Plan. Management   For   For  
  5.    Shareholder proposal requesting Shareholder Proxy
Access Enhancement to Citi's proxy access bylaw
provisions.
Shareholder   Abstain   Against  
  6.    Shareholder proposal requesting that the Board adopt a
policy prohibiting the vesting of equity-based awards for
senior executives due to a voluntary resignation to enter
government service.
Shareholder   Against   For  
  7.    Shareholder proposal requesting that the Board amend
Citi's bylaws to give holders in the aggregate of 15% of
Citi's outstanding common stock the power to call a
special meeting.
Shareholder   Against   For  
  HUNTINGTON BANCSHARES INCORPORATED  
  Security 446150104       Meeting Type Annual    
  Ticker Symbol HBAN                  Meeting Date 18-Apr-2019  
  ISIN US4461501045       Agenda 934937016 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1.    DIRECTOR Management          
      1 Lizabeth Ardisana       For   For  
      2 Ann B. Crane       For   For  
      3 Robert S. Cubbin       For   For  
      4 Steven G. Elliott       For   For  
      5 Gina D. France       For   For  
      6 J Michael Hochschwender       For   For  
      7 John C. Inglis       For   For  
      8 Peter J. Kight       For   For  
      9 Katherine M. A. Kline       For   For  
      10 Richard W. Neu       For   For  
      11 David L. Porteous       For   For  
      12 Kathleen H. Ransier       For   For  
      13 Stephen D. Steinour       For   For  
  2.    Ratification of the appointment of
PricewaterhouseCoopers LLP as the independent
registered public accounting firm for 2019.
Management   For   For  
  3.    Advisory resolution to approve, on a non-binding basis,
the compensation of executives as disclosed in the
accompanying proxy statement.
Management   For   For  
  PFIZER INC.  
  Security 717081103       Meeting Type Annual    
  Ticker Symbol PFE                   Meeting Date 25-Apr-2019  
  ISIN US7170811035       Agenda 934942043 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1a.   Election of Director: Ronald E. Blaylock Management   For   For  
  1b.   Election of Director: Albert Bourla Management   For   For  
  1c.   Election of Director: W. Don Cornwell Management   For   For  
  1d.   Election of Director: Joseph J. Echevarria Management   For   For  
  1e.   Election of Director: Helen H. Hobbs Management   For   For  
  1f.   Election of Director: James M. Kilts Management   For   For  
  1g.   Election of Director: Dan R. Littman Management   For   For  
  1h.   Election of Director: Shantanu Narayen Management   For   For  
  1i.   Election of Director: Suzanne Nora Johnson Management   For   For  
  1j.   Election of Director: Ian C. Read Management   For   For  
  1k.   Election of Director: James C. Smith Management   For   For  
  2.    Ratify the selection of KPMG LLP as independent
registered public accounting firm for 2019
Management   For   For  
  3.    2019 Advisory approval of executive compensation Management   For   For  
  4.    Approval of the Pfizer Inc. 2019 Stock Plan Management   Against   Against  
  5.    Shareholder proposal regarding right to act by written
consent
Shareholder   Against   For  
  6.    Shareholder proposal regarding report on lobbying
activities
Shareholder   Abstain   Against  
  7.    Shareholder proposal regarding independent chair policy Shareholder   Against   For  
  8.    Shareholder proposal regarding integrating drug pricing
into executive compensation policies and programs
Shareholder   Abstain   Against  
  AT&T INC.  
  Security 00206R102       Meeting Type Annual    
  Ticker Symbol T                     Meeting Date 26-Apr-2019  
  ISIN US00206R1023       Agenda 934938082 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1a.   Election of Director: Randall L. Stephenson Management   For   For  
  1b.   Election of Director: Samuel A. Di Piazza, Jr. Management   For   For  
  1c.   Election of Director: Richard W. Fisher Management   For   For  
  1d.   Election of Director: Scott T. Ford Management   For   For  
  1e.   Election of Director: Glenn H. Hutchins Management   For   For  
  1f.   Election of Director: William E. Kennard Management   For   For  
  1g.   Election of Director: Michael B. McCallister Management   For   For  
  1h.   Election of Director: Beth E. Mooney Management   For   For  
  1i.   Election of Director: Matthew K. Rose Management   For   For  
  1j.   Election of Director: Cynthia B. Taylor Management   For   For  
  1k.   Election of Director: Laura D'Andrea Tyson Management   For   For  
  1l.   Election of Director: Geoffrey Y. Yang Management   For   For  
  2.    Ratification of appointment of independent auditors. Management   For   For  
  3.    Advisory approval of executive compensation. Management   For   For  
  4.    Independent Chair. Shareholder   Against   For  
  UNILEVER N.V.  
  Security 904784709       Meeting Type Annual    
  Ticker Symbol UN                    Meeting Date 01-May-2019  
  ISIN US9047847093       Agenda 934955115 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  2.    To adopt the Annual Accounts and appropriation of the
profit for the 2018 financial year.
Management   For   For  
  3.    To consider, and if thought fit, approve the Directors'
Remuneration Report.
Management   For   For  
  4.    To discharge the Executive Directors in office in the 2018
financial year for the fulfilment of their task.
Management   For   For  
  5.    To discharge the Non-Executive Directors in office in the
2018 financial year for the fulfilment of their task.
Management   For   For  
  6.    To reappoint Mr N S Andersen as a Non-Executive
Director.
Management   For   For  
  7.    To reappoint Mrs L M Cha as a Non-Executive Director. Management   For   For  
  8.    To reappoint Mr V Colao as a Non-Executive Director. Management   For   For  
  9.    To reappoint Dr. M Dekkers as a Non-Executive Director. Management   For   For  
  10.   To reappoint Dr J Hartmann as a Non-Executive Director. Management   For   For  
  11.   To reappoint Ms A Jung as a Non-Executive Director. Management   For   For  
  12.   To reappoint Ms M Ma as a Non-Executive Director. Management   For   For  
  13.   To reappoint Mr S Masiyiwa as a Non-Executive Director. Management   For   For  
  14.   To reappoint Professor Y Moon as a Non-Executive
Director.
Management   For   For  
  15.   To reappoint Mr G Pitkethly as an Executive Director. Management   For   For  
  16.   To reappoint Mr J Rishton as a Non-Executive Director. Management   For   For  
  17.   To reappoint Mr F Sijbesma as a Non-Executive Director. Management   For   For  
  18.   To appoint Mr A Jope as an Executive Director. Management   For   For  
  19.   To appoint Mrs S Kilsby as a Non-Executive Director. Management   For   For  
  20.   To appoint KPMG as the Auditor charged with the
auditing of the Annual Accounts for the 2019 financial
year.
Management   For   For  
  21.   To authorise the Board of Directors to purchase ordinary
shares and depositary receipts thereof in the share
capital of the Company.
Management   For   For  
  22.   To reduce the capital with respect to ordinary shares and
depositary receipts thereof held by the Company in its
own share capital.
Management   For   For  
  23.   To designate the Board of Directors as the company
body authorised to issue shares in the share capital of
the Company.
Management   For   For  
  24.   To designate the Board of Directors as the company
body authorised to restrict or exclude the statutory pre-
emption rights that accrue to shareholders upon issue of
shares for general corporate purposes.
Management   For   For  
  25.   To designate the Board of Directors as the company
body authorised to restrict or exclude the statutory pre-
emption rights that accrue to shareholders upon issue of
shares for acquisition purposes.
Management   For   For  
  UNILEVER N.V.  
  Security 904784709       Meeting Type Annual    
  Ticker Symbol UN                    Meeting Date 01-May-2019  
  ISIN US9047847093       Agenda 934984673 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  2.    To adopt the Annual Accounts and appropriation of the
profit for the 2018 financial year.
Management   For   For  
  3.    To consider, and if thought fit, approve the Directors'
Remuneration Report.
Management   For   For  
  4.    To discharge the Executive Directors in office in the 2018
financial year for the fulfilment of their task.
Management   For   For  
  5.    To discharge the Non-Executive Directors in office in the
2018 financial year for the fulfilment of their task.
Management   For   For  
  6.    To reappoint Mr N S Andersen as a Non-Executive
Director.
Management   For   For  
  7.    To reappoint Mrs L M Cha as a Non-Executive Director. Management   For   For  
  8.    To reappoint Mr V Colao as a Non-Executive Director. Management   For   For  
  9.    To reappoint Dr. M Dekkers as a Non-Executive Director. Management   For   For  
  10.   To reappoint Dr J Hartmann as a Non-Executive Director. Management   For   For  
  11.   To reappoint Ms A Jung as a Non-Executive Director. Management   For   For  
  12.   To reappoint Ms M Ma as a Non-Executive Director. Management   For   For  
  13.   To reappoint Mr S Masiyiwa as a Non-Executive Director. Management   For   For  
  14.   To reappoint Professor Y Moon as a Non-Executive
Director.
Management   For   For  
  15.   To reappoint Mr G Pitkethly as an Executive Director. Management   For   For  
  16.   To reappoint Mr J Rishton as a Non-Executive Director. Management   For   For  
  17.   To reappoint Mr F Sijbesma as a Non-Executive Director. Management   For   For  
  18.   To appoint Mr A Jope as an Executive Director. Management   For   For  
  19.   To appoint Mrs S Kilsby as a Non-Executive Director. Management   For   For  
  20.   To appoint KPMG as the Auditor charged with the
auditing of the Annual Accounts for the 2019 financial
year.
Management   For   For  
  21.   To authorise the Board of Directors to purchase ordinary
shares and depositary receipts thereof in the share
capital of the Company.
Management   For   For  
  22.   To reduce the capital with respect to ordinary shares and
depositary receipts thereof held by the Company in its
own share capital.
Management   For   For  
  23.   To designate the Board of Directors as the company
body authorised to issue shares in the share capital of
the Company.
Management   For   For  
  24.   To designate the Board of Directors as the company
body authorised to restrict or exclude the statutory pre-
emption rights that accrue to shareholders upon issue of
shares for general corporate purposes.
Management   For   For  
  25.   To designate the Board of Directors as the company
body authorised to restrict or exclude the statutory pre-
emption rights that accrue to shareholders upon issue of
shares for acquisition purposes.
Management   For   For  
  VERIZON COMMUNICATIONS INC.  
  Security 92343V104       Meeting Type Annual    
  Ticker Symbol VZ                    Meeting Date 02-May-2019  
  ISIN US92343V1044       Agenda 934943261 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1a.   Election of Director: Shellye L. Archambeau Management   For   For  
  1b.   Election of Director: Mark T. Bertolini Management   For   For  
  1c.   Election of Director: Vittorio Colao Management   For   For  
  1d.   Election of Director: Melanie L. Healey Management   For   For  
  1e.   Election of Director: Clarence Otis, Jr. Management   For   For  
  1f.   Election of Director: Daniel H. Schulman Management   For   For  
  1g.   Election of Director: Rodney E. Slater Management   For   For  
  1h.   Election of Director: Kathryn A. Tesija Management   For   For  
  1i.   Election of Director: Hans E. Vestberg Management   For   For  
  1j.   Election of Director: Gregory G. Weaver Management   For   For  
  2.    Ratification of Appointment of Independent Registered
Public Accounting Firm
Management   For   For  
  3.    Advisory Vote to Approve Executive Compensation Management   For   For  
  4.    Nonqualified Savings Plan Earnings Shareholder   Against   For  
  5.    Independent Chair Shareholder   Against   For  
  6.    Report on Online Child Exploitation Shareholder   Abstain   Against  
  7.    Cybersecurity and Data Privacy Shareholder   Abstain   Against  
  8.    Severance Approval Policy Shareholder   Against   For  
  WELLTOWER INC.  
  Security 95040Q104       Meeting Type Annual    
  Ticker Symbol WELL                  Meeting Date 02-May-2019  
  ISIN US95040Q1040       Agenda 934949720 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1a.   Election of Director: Kenneth J. Bacon Management   For   For  
  1b.   Election of Director: Thomas J. DeRosa Management   For   For  
  1c.   Election of Director: Karen B. DeSalvo Management   For   For  
  1d.   Election of Director: Jeffrey H. Donahue Management   For   For  
  1e.   Election of Director: Timothy J. Naughton Management   For   For  
  1f.   Election of Director: Sharon M. Oster Management   For   For  
  1g.   Election of Director: Sergio D. Rivera Management   For   For  
  1h.   Election of Director: Johnese M. Spisso Management   For   For  
  1i.   Election of Director: Kathryn M. Sullivan Management   For   For  
  1j.   Election of Director: R. Scott Trumbull Management   For   For  
  1k.   Election of Director: Gary Whitelaw Management   For   For  
  2.    The ratification of the appointment of Ernst & Young LLP
as independent registered public accounting firm for the
fiscal year 2019.
Management   For   For  
  3.    The approval, on an advisory basis, of the compensation
of our named executive officers as disclosed in the 2019
Proxy Statement.
Management   For   For  
  INVESCO MORTGAGE CAPITAL INC.  
  Security 46131B100       Meeting Type Annual    
  Ticker Symbol IVR                   Meeting Date 03-May-2019  
  ISIN US46131B1008       Agenda 934942384 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1.1   Election of Director: John S. Day Management   For   For  
  1.2   Election of Director: Carolyn B. Handlon Management   For   For  
  1.3   Election of Director: Edward J. Hardin Management   For   For  
  1.4   Election of Director: James R. Lientz, Jr. Management   For   For  
  1.5   Election of Director: Dennis P. Lockhart Management   For   For  
  1.6   Election of Director: Gregory G. McGreevey Management   For   For  
  1.7   Election of Director: Colin D. Meadows Management   For   For  
  2.    Advisory vote to approve Company's 2018 executive
compensation
Management   For   For  
  3.    Approval of the Invesco Mortgage Capital Inc. 2009
Equity Incentive Plan as Amended and Restated
Management   For   For  
  4.    Appointment of PricewaterhouseCoopers LLP as the
Company's independent registered public accounting firm
for 2019
Management   For   For  
  ELI LILLY AND COMPANY  
  Security 532457108       Meeting Type Annual    
  Ticker Symbol LLY                   Meeting Date 06-May-2019  
  ISIN US5324571083       Agenda 934940215 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1a.   Election of director for three-year term: R. Alvarez Management   For   For  
  1b.   Election of director for three-year term: C. R. Bertozzi Management   For   For  
  1c.   Election of director for three-year term: J. R. Luciano Management   For   For  
  1d.   Election of director for three-year term: K. P. Seifert Management   For   For  
  2.    Approval, by non-binding vote, of the compensation paid
to the company's named executive officers.
Management   For   For  
  3.    Ratification of Ernst & Young LLP as the principal
independent auditor for 2019.
Management   For   For  
  4.    Approve amendments to the Articles of Incorporation to
eliminate the classified board structure.
Management   For   For  
  5.    Approve amendments to the Articles of Incorporation to
eliminate all supermajority voting provisions.
Management   For   For  
  6.    Shareholder proposal requesting a report regarding direct
and indirect political expenditures.
Shareholder   Abstain   Against  
  ELANCO ANIMAL HEALTH INCORPORATED  
  Security 28414H103       Meeting Type Annual    
  Ticker Symbol ELAN                  Meeting Date 08-May-2019  
  ISIN US28414H1032       Agenda 934988354 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1a.   Election of Director: Kapila K. Anand Management   For   For  
  1b.   Election of Director: John P. Bilbrey Management   For   For  
  1c.   Election of Director: R. David Hoover Management   For   For  
  1d.   Election of Director: Lawrence E. Kurzius Management   For   For  
  2.    To ratify the appointment of Ernst & Young LLP as the
Company's principal independent auditor for 2019.
Management   For   For  
  3.    To approve, by non-binding vote, the compensation of
the Company's named executive officers.
Management   For   For  
  4.    To recommend, by non-binding vote, the frequency of
executive compensation votes.
Management   1 Year   For  
  INTEL CORPORATION  
  Security 458140100       Meeting Type Annual    
  Ticker Symbol INTC                  Meeting Date 16-May-2019  
  ISIN US4581401001       Agenda 934963679 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1a.   Election of Director: Aneel Bhusri Management   For   For  
  1b.   Election of Director: Andy D. Bryant Management   For   For  
  1c.   Election of Director: Reed E. Hundt Management   For   For  
  1d.   Election of Director: Omar Ishrak Management   For   For  
  1e.   Election of Director: Risa Lavizzo-Mourey Management   For   For  
  1f.   Election of Director: Tsu-Jae King Liu Management   For   For  
  1g.   Election of Director: Gregory D. Smith Management   For   For  
  1h.   Election of Director: Robert ("Bob") H. Swan Management   For   For  
  1i.   Election of Director: Andrew Wilson Management   For   For  
  1j.   Election of Director: Frank D. Yeary Management   For   For  
  2.    Ratification of selection of Ernst & Young LLP as our
independent registered public accounting firm for 2019
Management   For   For  
  3.    Advisory vote to approve executive compensation of our
listed officers
Management   For   For  
  4.    Approval of amendment and restatement of the 2006
Equity Incentive Plan
Management   For   For  
  5.    Stockholder proposal on whether to allow stockholders to
act by written consent, if properly presented
Shareholder   Against   For  
  6.    Stockholder proposal requesting a report on the risks
associated with emerging public policies addressing the
gender pay gap, if properly presented
Shareholder   Abstain   Against  
  7.    Stockholder proposal requesting an annual advisory vote
on political contributions, if properly presented
Shareholder   Abstain   Against  
  CROWN CASTLE INTERNATIONAL CORP  
  Security 22822V101       Meeting Type Annual    
  Ticker Symbol CCI                   Meeting Date 16-May-2019  
  ISIN US22822V1017       Agenda 934969330 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1a.   Election of Director: P. Robert Bartolo Management   For   For  
  1b.   Election of Director: Jay A. Brown Management   For   For  
  1c.   Election of Director: Cindy Christy Management   For   For  
  1d.   Election of Director: Ari Q. Fitzgerald Management   For   For  
  1e.   Election of Director: Robert E. Garrison II Management   For   For  
  1f.   Election of Director: Andrea J. Goldsmith Management   For   For  
  1g.   Election of Director: Lee W. Hogan Management   For   For  
  1h.   Election of Director: Edward C. Hutcheson, Jr. Management   For   For  
  1i.   Election of Director: J. Landis Martin Management   For   For  
  1j.   Election of Director: Robert F. McKenzie Management   For   For  
  1k.   Election of Director: Anthony J. Melone Management   For   For  
  1l.   Election of Director: W. Benjamin Moreland Management   For   For  
  2.    The ratification of the appointment of
PricewaterhouseCoopers LLP as the Company's
independent registered public accountants for fiscal year
2019.
Management   For   For  
  3.    The non-binding, advisory vote to approve the
compensation of the Company's named executive
officers.
Management   For   For  
  SBA COMMUNICATIONS CORPORATION  
  Security 78410G104       Meeting Type Annual    
  Ticker Symbol SBAC                  Meeting Date 16-May-2019  
  ISIN US78410G1040       Agenda 934969695 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1.1   Election of Director for a three-year term: Kevin L. Beebe Management   For   For  
  1.2   Election of Director for a three-year term: Jack Langer Management   For   For  
  1.3   Election of Director for a three-year term: Jeffrey A.
Stoops
Management   For   For  
  2.    Ratification of the appointment of Ernst & Young LLP as
SBA's independent registered public accounting firm for
the 2019 fiscal year.
Management   For   For  
  3.    Approval, on an advisory basis, of the compensation of
SBA's named executive officers.
Management   For   For  
  AMERICAN TOWER CORPORATION  
  Security 03027X100       Meeting Type Annual    
  Ticker Symbol AMT                   Meeting Date 21-May-2019  
  ISIN US03027X1000       Agenda 934978860 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1a.   Election of Director: Raymond P. Dolan Management   For   For  
  1b.   Election of Director: Robert D. Hormats Management   For   For  
  1c.   Election of Director: Gustavo Lara Cantu Management   For   For  
  1d.   Election of Director: Grace D. Lieblein Management   For   For  
  1e.   Election of Director: Craig Macnab Management   For   For  
  1f.   Election of Director: JoAnn A. Reed Management   For   For  
  1g.   Election of Director: Pamela D.A. Reeve Management   For   For  
  1h.   Election of Director: David E. Sharbutt Management   For   For  
  1i.   Election of Director: James D. Taiclet Management   For   For  
  1j.   Election of Director: Samme L. Thompson Management   For   For  
  2.    To ratify the selection of Deloitte & Touche LLP as the
Company's independent registered public accounting firm
for 2019.
Management   For   For  
  3.    To approve, on an advisory basis, the Company's
executive compensation.
Management   For   For  
  4.    To adopt a policy requiring an independent Board
Chairman.
Shareholder   Against   For  
  5.    To require periodic reports on political contributions and
expenditures.
Shareholder   Abstain   Against  
  B&G FOODS, INC.  
  Security 05508R106       Meeting Type Annual    
  Ticker Symbol BGS                   Meeting Date 21-May-2019  
  ISIN US05508R1068       Agenda 934983277 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1.1   Election of Director: DeAnn L. Brunts Management   For   For  
  1.2   Election of Director: Charles F. Marcy Management   For   For  
  1.3   Election of Director: Robert D. Mills Management   For   For  
  1.4   Election of Director: Dennis M. Mullen Management   For   For  
  1.5   Election of Director: Cheryl M. Palmer Management   For   For  
  1.6   Election of Director: Alfred Poe Management   For   For  
  1.7   Election of Director: Kenneth G. Romanzi Management   For   For  
  1.8   Election of Director: Stephen C. Sherrill Management   For   For  
  1.9   Election of Director: David L. Wenner Management   For   For  
  2.    Approval, by non-binding advisory vote, of executive
compensation.
Management   For   For  
  3.    Ratification of appointment of KPMG LLP as independent
registered public accounting firm.
Management   For   For  
  PAYPAL HOLDINGS, INC.  
  Security 70450Y103       Meeting Type Annual    
  Ticker Symbol PYPL                  Meeting Date 22-May-2019  
  ISIN US70450Y1038       Agenda 934983316 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1a.   Election of Director: Rodney C. Adkins Management   For   For  
  1b.   Election of Director: Wences Casares Management   For   For  
  1c.   Election of Director: Jonathan Christodoro Management   For   For  
  1d.   Election of Director: John J. Donahoe Management   For   For  
  1e.   Election of Director: David W. Dorman Management   For   For  
  1f.   Election of Director: Belinda J. Johnson Management   For   For  
  1g.   Election of Director: Gail J. McGovern Management   For   For  
  1h.   Election of Director: Deborah M. Messemer Management   For   For  
  1i.   Election of Director: David M. Moffett Management   For   For  
  1j.   Election of Director: Ann M. Sarnoff Management   For   For  
  1k.   Election of Director: Daniel H. Schulman Management   For   For  
  1l.   Election of Director: Frank D. Yeary Management   For   For  
  2.    Advisory vote to approve named executive officer
compensation.
Management   For   For  
  3.    Ratification of the appointment of
PricewaterhouseCoopers LLP as our independent auditor
for 2019.
Management   For   For  
  4.    Stockholder proposal regarding political disclosure. Shareholder   Abstain   Against  
  5.    Stockholder proposal regarding human and indigenous
peoples' rights.
Shareholder   Abstain   Against  
  SYNCHRONY FINANCIAL  
  Security 87165B103       Meeting Type Annual    
  Ticker Symbol SYF                   Meeting Date 23-May-2019  
  ISIN US87165B1035       Agenda 934975787 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1a.   Election of Director: Margaret M. Keane Management   For   For  
  1b.   Election of Director: Paget L. Alves Management   For   For  
  1c.   Election of Director: Arthur W. Coviello, Jr. Management   For   For  
  1d.   Election of Director: William W. Graylin Management   For   For  
  1e.   Election of Director: Roy A. Guthrie Management   For   For  
  1f.   Election of Director: Richard C. Hartnack Management   For   For  
  1g.   Election of Director: Jeffrey G. Naylor Management   For   For  
  1h.   Election of Director: Laurel J. Richie Management   For   For  
  1i.   Election of Director: Olympia J. Snowe Management   For   For  
  1j.   Election of Director: Ellen M. Zane Management   For   For  
  2.    Advisory Vote to Approve Named Executive Officer
Compensation
Management   For   For  
  3.    Ratification of Selection of KPMG LLP as Independent
Registered Public Accounting Firm of the Company for
2019
Management   For   For  
  MERCK & CO., INC.  
  Security 58933Y105       Meeting Type Annual    
  Ticker Symbol MRK                   Meeting Date 28-May-2019  
  ISIN US58933Y1055       Agenda 934988328 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1a.   Election of Director: Leslie A. Brun Management   For   For  
  1b.   Election of Director: Thomas R. Cech Management   For   For  
  1c.   Election of Director: Mary Ellen Coe Management   For   For  
  1d.   Election of Director: Pamela J. Craig Management   For   For  
  1e.   Election of Director: Kenneth C. Frazier Management   For   For  
  1f.   Election of Director: Thomas H. Glocer Management   For   For  
  1g.   Election of Director: Rochelle B. Lazarus Management   For   For  
  1h.   Election of Director: Paul B. Rothman Management   For   For  
  1i.   Election of Director: Patricia F. Russo Management   For   For  
  1j.   Election of Director: Inge G. Thulin Management   For   For  
  1k.   Election of Director: Wendell P. Weeks Management   For   For  
  1l.   Election of Director: Peter C. Wendell Management   For   For  
  2.    Non-binding advisory vote to approve the compensation
of our named executive officers.
Management   For   For  
  3.    Proposal to adopt the 2019 Incentive Stock Plan. Management   For   For  
  4.    Ratification of the appointment of the Company's
independent registered public accounting firm for 2019.
Management   For   For  
  5.    Shareholder proposal concerning an independent board
chairman.
Shareholder   Against   For  
  6.    Shareholder proposal concerning executive incentives
and stock buybacks.
Shareholder   Against   For  
  7.    Shareholder proposal concerning drug pricing. Shareholder   Abstain   Against  
  CHEVRON CORPORATION  
  Security 166764100       Meeting Type Annual    
  Ticker Symbol CVX                   Meeting Date 29-May-2019  
  ISIN US1667641005       Agenda 934993088 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1a.   Election of Director: W. M. Austin Management   For   For  
  1b.   Election of Director: J. B. Frank Management   For   For  
  1c.   Election of Director: A. P. Gast Management   For   For  
  1d.   Election of Director: E. Hernandez, Jr. Management   For   For  
  1e.   Election of Director: C. W. Moorman IV Management   For   For  
  1f.   Election of Director: D. F. Moyo Management   For   For  
  1g.   Election of Director: D. Reed-Klages Management   For   For  
  1h.   Election of Director: R. D. Sugar Management   For   For  
  1i.   Election of Director: I. G. Thulin Management   For   For  
  1j.   Election of Director: D. J. Umpleby III Management   For   For  
  1k.   Election of Director: M. K. Wirth Management   For   For  
  2.    Ratification of Appointment of PwC as Independent
Registered Public Accounting Firm
Management   For   For  
  3.    Advisory Vote to Approve Named Executive Officer
Compensation
Management   For   For  
  4.    Report on Human Right to Water Shareholder   Abstain   Against  
  5.    Report on Reducing Carbon Footprint Shareholder   Abstain   Against  
  6.    Create a Board Committee on Climate Change Shareholder   Against   For  
  7.    Adopt Policy for an Independent Chairman Shareholder   Against   For  
  8.    Set Special Meeting Threshold at 10% Shareholder   Against   For  
  EQUINIX, INC.  
  Security 29444U700       Meeting Type Annual    
  Ticker Symbol EQIX                  Meeting Date 30-May-2019  
  ISIN US29444U7000       Agenda 935002270 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1.    DIRECTOR Management          
      1 Thomas Bartlett       For   For  
      2 Nanci Caldwell       For   For  
      3 Gary Hromadko       For   For  
      4 Scott Kriens       For   For  
      5 William Luby       For   For  
      6 Irving Lyons, III       For   For  
      7 Charles Meyers       For   For  
      8 Christopher Paisley       For   For  
      9 Peter Van Camp       For   For  
  2.    To approve, by a non-binding advisory vote, the
compensation of Equinix's named executive officers.
Management   For   For  
  3.    To approve the Equinix French Sub-plan under Equinix's
2000 Equity Incentive Plan.
Management   For   For  
  4.    To ratify the appointment of PricewaterhouseCoopers
LLP as Equinix's independent registered public
accounting firm for the fiscal year ending December 31,
2019.
Management   For   For  
  5.    Stockholder proposal related to political contributions. Shareholder   Abstain   Against  
  ALLIANCE DATA SYSTEMS CORPORATION  
  Security 018581108       Meeting Type Annual    
  Ticker Symbol ADS                   Meeting Date 04-Jun-2019  
  ISIN US0185811082       Agenda 935002054 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1.1   Election of Director: Bruce K. Anderson Management   For   For  
  1.2   Election of Director: Roger H. Ballou Management   For   For  
  1.3   Election of Director: Kelly J. Barlow Management   For   For  
  1.4   Election of Director: Edward J. Heffernan Management   For   For  
  1.5   Election of Director: Kenneth R. Jensen Management   For   For  
  1.6   Election of Director: Robert A. Minicucci Management   For   For  
  1.7   Election of Director: Timothy J. Theriault Management   For   For  
  1.8   Election of Director: Laurie A. Tucker Management   For   For  
  1.9   Election of Director: Sharen J. Turney Management   For   For  
  2.    Advisory vote to approve executive compensation. Management   For   For  
  3.    Ratification of the selection of Deloitte & Touche LLP as
the independent registered public accounting firm of
Alliance Data Systems Corporation for 2019.
Management   For   For  
  PROOFPOINT, INC.  
  Security 743424103       Meeting Type Annual    
  Ticker Symbol PFPT                  Meeting Date 06-Jun-2019  
  ISIN US7434241037       Agenda 934990929 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1a.   Election of Class I Director: Scott Herren Management   For   For  
  1b.   Election of Class I Director: Michael Johnson Management   For   For  
  1c.   Election of Class I Director: Richard Wallace Management   For   For  
  2.    To approve an amendment to our 2012 Equity Incentive
Plan to increase the number of shares of stock
authorized for issuance thereunder and to make certain
other changes to the plan.
Management   Against   Against  
  3.    To approve, on a non-binding advisory basis, the
compensation of our named executive officers.
Management   For   For  
  4.    To recommend, on a non-binding advisory basis, the
frequency of future stockholder advisory votes to approve
the compensation of our named executive officers.
Management   1 Year   For  
  5.    To ratify the appointment of PricewaterhouseCoopers
LLP as our independent registered public accounting firm
for the fiscal year ending December 31, 2019.
Management   For   For  
  T-MOBILE US, INC.  
  Security 872590104       Meeting Type Annual    
  Ticker Symbol TMUS                  Meeting Date 13-Jun-2019  
  ISIN US8725901040       Agenda 935011130 - Management  
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
 
  1.    DIRECTOR Management          
      1 Srikant M. Datar       For   For  
      2 Srini Gopalan       For   For  
      3 Lawrence H. Guffey       For   For  
      4 Timotheus Höttges       For   For  
      5 Christian P. Illek       For   For  
      6 Bruno Jacobfeuerborn       For   For  
      7 Raphael Kübler       For   For  
      8 Thorsten Langheim       For   For  
      9 John J. Legere       For   For  
      10 G. Michael Sievert       For   For  
      11 Teresa A. Taylor       For   For  
      12 Kelvin R. Westbrook       For   For  
  2.    Ratification of the Appointment of
PricewaterhouseCoopers LLP as the Company's
Independent Registered Public Accounting Firm for Fiscal
Year 2019.
Management   For   For  
  3.    Stockholder Proposal for Limitations on Accelerated
Vesting of Equity Awards in the Event of a Change of
Control.
Shareholder   Against   For  

 

 

 

 

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 Ellsworth Growth and Income Fund Ltd.

 

By (Signature and Title)* /s/ James A. Dinsmore
  James A. Dinsmore, Principal Executive Officer

 

Date August 23, 2019

 

*Print the name and title of each signing officer under his or her signature.