N-PX 1 tm2023929d2_npx.htm N-PX

 

 

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FORM N-PX

 

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY

 

Investment Company Act file number  811- 06565

 

Tekla Life Sciences Investors

(Exact name of registrant as specified in charter)

 

100 Federal Street, 19th Floor, Boston, MA   02110
(Address of principal executive offices)   (Zip code)

 

Laura Woodward
Tekla Life Sciences Investors
100 Federal Street, 19th Floor, Boston MA 02110

(Name and address of agent for service)

 

Registrant’s telephone number, including area code:  617-772-8500

 

Date of fiscal year end:  September 30

 

Date of reporting period:  7/1/19-6/30/20

 

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 (ss.ss. 239.24 and 274.5 of this chapter), to file reports with the Commission, no 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. ss. 3507.

 

 

 

 

 

 

Item 1. Proxy Voting Record.

 

 

 

HQL Vote Summary

 

AC IMMUNE SA

 

Security H00263105 Meeting Type Annual
Ticker Symbol ACIU Meeting Date 26-Jun-2020
Record Date 18-May-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1   Approval of the Annual Report, Annual Statutory Financial Statements and Financial Statements under IFRS for the Year 2019   Management   For   For  
2   Appropriation of Profit   Management   For   For  
3   Discharge of the Members of the Board of Directors and of the Executive Committee   Management   For   For  
4A   Binding vote on Total Non-Performance-Related Compensation for Members of the Board of Directors from 1 July 2020 to 30 June 2021   Management   For   For  
4B   Binding vote on Equity for Members of the Board of Directors from 1 July 2020 to 30 June 2021   Management   For   For  
4C   Binding vote on Total Non-Performance-Related Compensation for Members of the Executive Committee from 1 July 2020 to 30 June 2021   Management   For   For  
4D   Binding vote on Total Variable Compensation for Members of the Executive Committee for the current year 2020   Management   For   For  
4E   Binding vote on Equity for Members of the Executive Committee from 1 July 2020 to 30 June 2021   Management   For   For  
4F   Advisory vote on the 2019 Compensation Report   Management   For   For  
5AA   Re-election to the Board of Director: Douglas Williams as member and Chairman   Management   For   For  
5AB   Re-election to the Board of Director: Martin Velasco as member and Vice-Chairman   Management   For   For  
5AC   Re-election to the Board of Director: Peter Bollmann   Management   For   For  
5AD   Re-election to the Board of Director: Andrea Pfeifer   Management   For   For  
5AE   Re-election to the Board of Director: Tom Graney   Management   For   For  
5AF   Re-election to the Board of Director: Werner Lanthaler   Management   For   For  
5AG   Re-election to the Board of Director: Roy Twyman   Management   For   For  
5BA   Re-election of the Member of the Compensation, Nomination & Corporate Governance Committee: Douglas Williams   Management   For   For  
5BB   Re-election of the Member of the Compensation, Nomination & Corporate Governance Committee: Martin Velasco   Management   For   For  
5BC   Re-election of the Member of the Compensation, Nomination & Corporate Governance Committee: Tom Graney   Management   For   For  
5C   Re-election of PricewaterhouseCoopers SA (Pully) as statutory auditors   Management   For   For  
5D   Re-election of Reymond & Associés (Lausanne) as independent proxy   Management   For   For  
6A   Amendments to the Articles of Association: Authorized Share Capital   Management   For   For  
6B   Amendments to the Articles of Association: Conditional Capital Increase for Bonds and Similar Debt Instruments   Management   For   For  
A.   If a new agenda item or a new proposal for an existing agenda item is put before the meeting, I/we hereby authorize and instruct the independent proxy to vote as follows:   Management   For    

 

ACADIA PHARMACEUTICALS INC.

 

Security 004225108 Meeting Type Annual
Ticker Symbol ACAD Meeting Date 23-Jun-2020
Record Date 24-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 James M. Daly       For   For  
    2 Edmund P. Harrigan, M.D       For   For  
2.   To approve an amendment to our 2004 Employee Stock Purchase Plan to increase the aggregate number of shares of common stock authorized for issuance thereunder by 3,000,000 shares.   Management   For   For  
3.   To approve our non-employee director compensation policy.   Management   For   For  
4.   To approve, on an advisory basis, the compensation of our named executive officers, as disclosed in the proxy statement for the annual meeting.   Management   For   For  
5.   To ratify the selection of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  

 

 

 

 

 

ACCELERON PHARMA INC.

 

Security 00434H108 Meeting Type Annual
Ticker Symbol XLRN Meeting Date 04-Jun-2020
Record Date 07-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Class I Director: Thomas A. McCourt   Management   For   For  
1B.   Election of Class I Director: Francois Nader, M.D.   Management   For   For  
2.   To approve, on an advisory basis, the compensation paid to the Company's named executive officers as disclosed in the proxy statement.   Management   For   For  
3.   To ratify the selection of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  

 

AERIE PHARMACEUTICALS, INC.

 

Security 00771V108 Meeting Type Annual
Ticker Symbol AERI Meeting Date 11-Jun-2020
Record Date 14-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 V. Anido, Jr., Ph.D.       For   For  
    2 B. McGraw, III, Pharm.D       For   For  
    3 J. McHugh       For   For  
2.   Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  
3.   To approve, by a non-binding vote, the compensation of our named executive officers ("say-on-pay").   Management   For   For  

 

AERPIO PHARMACEUTICALS, INC.

 

Security 00810B105 Meeting Type Annual
Ticker Symbol ARPO Meeting Date 24-Jun-2020
Record Date 27-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Joseph Gardner       For   For  
    2 Steven Prelack       For   For  
2.   To approve a potential amendment to our Amended and Restated Certificate of Incorporation to effect a Reverse Stock Split of the Common Stock at a ratio within the range of 1-for-15 to 1-for-25, such ratio to be determined in the sole discretion of the Board of Directors.   Management   For   For  
3.   To ratify the appointment of Ernst & Young LLP as Aerpio's independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  

 

AGIOS PHARMACEUTICALS, INC.

 

Security 00847X104 Meeting Type Annual
Ticker Symbol AGIO Meeting Date 28-May-2020
Record Date 07-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Paul J. Clancy       For   For  
    2 Ian T. Clark       For   For  
2.   To vote, on an advisory basis, to approve named executive officer compensation.   Management   For   For  
3.   To ratify the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  

 

ALEXION PHARMACEUTICALS, INC.

 

Security 015351109 Meeting Type Annual
Ticker Symbol ALXN Meeting Date 13-May-2020
Record Date 16-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Felix J. Baker       For   For  
    2 David R. Brennan       For   For  
    3 Christopher J. Coughlin       For   For  
    4 Deborah Dunsire       For   For  
    5 Paul A. Friedman       For   For  
    6 Ludwig N. Hantson       For   For  
    7 John T. Mollen       For   For  
    8 Francois Nader       For   For  
    9 Judith A. Reinsdorf       For   For  
    10 Andreas Rummelt       For   For  
2.   Proposal No. 2 - Ratification of appointment by the Board of Directors of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm.   Management   For   For  
3.   Proposal No. 3 - Approval of a non-binding advisory vote of the 2019 compensation paid to Alexion's named executive officers.   Management   For   For  
4.   Proposal No. 4 - Shareholder proposal requesting certain By-law amendments to lower the threshold for shareholders to call a special meeting.   Shareholder   Against   For  

 

 

 

 

ALKERMES PLC

 

Security G01767105 Meeting Type Annual
Ticker Symbol ALKS Meeting Date 20-May-2020
Record Date 17-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.1   Election of Class III Director to serve for a three-year term: Shane M. Cooke   Management   For   For  
1.2   Election of Class III Director to serve for a three-year term: Richard B. Gaynor, M.D.   Management   For   For  
1.3   Election of Class III Director to serve for a three-year term: Paul J. Mitchell   Management   For   For  
1.4   Election of Class III Director to serve for a three-year term: Richard F. Pops   Management   For   For  
2.   To approve, in a non-binding, advisory vote, the compensation of the Company's named executive officers.   Management   For   For  
3.   To ratify, in a non-binding vote, the appointment of PricewaterhouseCoopers LLP as the independent auditor and accounting firm of the Company and to authorize, in a binding vote, the Audit and Risk Committee of the Company's Board of Directors (the Board) to set the independent auditor and accounting firm's remuneration.   Management   For   For  
4.   To approve the Alkermes plc 2018 Stock Option and Incentive Plan, as amended.   Management   For   For  

 

ALLAKOS INC.

 

Security 01671P100 Meeting Type Annual
Ticker Symbol ALLK Meeting Date 26-May-2020
Record Date 09-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 John McKearn, Ph.D.       For   For  
    2 Paul Walker       For   For  
2.   Ratification and approval of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  
3.   Approval, on an advisory non-binding basis, the frequency of future advisory votes to approve the compensation of our named executive officers.   Management   1 Year   Against  

 

ALLOGENE THERAPEUTICS, INC.

 

Security 019770106 Meeting Type Annual
Ticker Symbol ALLO Meeting Date 05-Jun-2020
Record Date 21-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Director: Deborah Messemer   Management   For   For  
1B.   Election of Director: Todd Sisitsky   Management   For   For  
1C.   Election of Director: Owen Witte, M.D.   Management   For   For  
2.   To indicate, on an advisory basis, the preferred frequency of stockholder advisory votes on the compensation of the Company's named executive officers.   Management   1 Year   For  
3.   To ratify the selection by the Audit Committee of the Board of Directors of Ernst & Young LLP as the independent registered public accounting firm of the Company for its fiscal year ending December 31, 2020.   Management   For   For  

 

ALNYLAM PHARMACEUTICALS, INC.

 

Security 02043Q107 Meeting Type Annual
Ticker Symbol ALNY Meeting Date 06-May-2020
Record Date 09-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Class I Director: Michael W. Bonney   Management   For   For  
1B.   Election of Class I Director: John M. Maraganore, Ph.D.   Management   For   For  
1C.   Election of Class I Director: Phillip A. Sharp, Ph.D.   Management   For   For  
2.   To approve an Amendment to our 2018 Stock Incentive Plan, as amended.   Management   For   For  
3.   To approve an Amendment to our Amended and Restated 2004 Employee Stock Purchase Plan, as amended.   Management   For   For  
4.   To approve, in a non-binding advisory vote, the compensation of Alnylam's named executive officers.   Management   For   For  
5.   To ratify the appointment of PricewaterhouseCoopers LLP, an independent registered public accounting firm, as Alnylam's independent auditors for the fiscal year ending December 31, 2020.   Management   For   For  

 

 

 

 

AMARIN CORPORATION PLC

 

Security 023111206 Meeting Type Annual
Ticker Symbol AMRN Meeting Date 13-Jul-2020
Record Date 22-May-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   To re-elect Dr. Lars G. Ekman as a director.   Management   For   For  
2.   To re-elect Mr. Joseph S. Zakrzewski as a director.   Management   For   For  
3.   To hold an advisory (non-binding) vote to approve the compensation of the Company's "named executive officers" as described in full in the "Executive Compensation Discussion and Analysis" section, the tabular disclosure regarding such compensation, and the accompanying narrative disclosure in the accompanying Proxy Statement.   Management   For   For  
4.   To appoint Ernst & Young LLP as auditors of the Company to hold office until the conclusion of the next general meeting at which accounts are laid before the Company and to authorize the Audit Committee of the Board of Directors of the Company to fix the auditors' remuneration as described in full in the accompanying Proxy Statement.   Management   For   For  
5.   To approve the Amarin Corporation plc 2020 Stock Incentive Plan as described in full in the accompanying Proxy Statement in advance of the expiration of the 2011 Plan.   Management   For   For  

 

AMGEN INC.

 

Security 031162100 Meeting Type Annual
Ticker Symbol AMGN Meeting Date 19-May-2020
Record Date 20-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Director: Dr. Wanda M. Austin   Management   For   For  
1B.   Election of Director: Mr. Robert A. Bradway   Management   For   For  
1C.   Election of Director: Dr. Brian J. Druker   Management   For   For  
1D.   Election of Director: Mr. Robert A. Eckert   Management   For   For  
1E.   Election of Director: Mr. Greg C. Garland   Management   For   For  
1F.   Election of Director: Mr. Fred Hassan   Management   For   For  
1G.   Election of Director: Mr. Charles M. Holley, Jr.   Management   For   For  
1H.   Election of Director: Dr. Tyler Jacks   Management   For   For  
1I.   Election of Director: Ms. Ellen J. Kullman   Management   For   For  
1J.   Election of Director: Dr. Ronald D. Sugar   Management   For   For  
1K.   Election of Director: Dr. R. Sanders Williams   Management   For   For  
2.   Advisory vote to approve our executive compensation.   Management   For   For  
3.   To ratify the selection of Ernst & Young LLP as our independent registered public accountants for the fiscal year ending December 31, 2020.   Management   For   For  
4.   Stockholder proposal to require an independent board chair.   Shareholder   For   Against  

 

AMICUS THERAPEUTICS, INC.

 

Security 03152W109 Meeting Type Annual
Ticker Symbol FOLD Meeting Date 04-Jun-2020
Record Date 13-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Lynn D. Bleil       For   For  
    2 Bradley L. Campbell       For   For  
    3 Robert Essner       For   For  
    4 Ted W. Love, M.D.       For   For  
2.   Approval of the Amended and Restated 2007 Equity Incentive Plan to add 9,500,000 shares to the equity pool.   Management   For   For  
3.   Ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  
4.   Approval, on an advisory basis, the Company's executive compensation.   Management   For   For  

 

 

 

 

AMPHIVENA THERAPEUTICS, INC.

 

Security N/A Meeting Type Written Consent
Ticker Symbol N/A Meeting Date 27-Aug-2019
Record Date N/A    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Approval of Certificate of Amendment to Amended and Restated Certificate of Incorporation   Management   For   For  
2.   Increase in Authorized Shares Reserved for Issuance under the Company's 2013 Stock Incentive Plan   Management   For   For  
3.   Omnibus Resolutions   Management   For   For  

 

AMPHIVENA THERAPEUTICS, INC.

 

Security N/A Meeting Type Written Consent
Ticker Symbol N/A Meeting Date 4-Nov-2019
Record Date N/A    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Election of Director   Management   For   For  
2.   Increase in Authorized Shares Reserved for Issuance under the Company's 2013 Stock Incentive Plan   Management   For   For  
3.   Omnibus Resolutions   Management   For   For  

 

ANAPTYSBIO INC

 

Security 032724106 Meeting Type Annual
Ticker Symbol ANAB Meeting Date 19-Jun-2020
Record Date 20-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Hollings Renton       For   For  
    2 John P. Schmid       For   For  
2.   To ratify the appointment of KPMG LLP as the independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  
3.   Non-binding advisory vote on compensation of our named executive officers.   Management   For   For  

 

APELLIS PHARMACEUTICALS INC.

 

Security 03753U106 Meeting Type Annual
Ticker Symbol APLS Meeting Date 01-Jun-2020
Record Date 13-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Gerald Chan       For   For  
    2 Cedric Francois       For   For  
2.   To ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  
3.   To approve an advisory vote on executive compensation.   Management   For   For  

 

ARCA BIOPHARMA, INC.

 

Security 00211Y506 Meeting Type Annual
Ticker Symbol ABIO Meeting Date 10-Dec-2019
Record Date 14-Oct-2019    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Dr. Linda Grais       Withheld   Against  
    2 Dr. Anders Hove       Withheld   Against  
2.   To ratify the selection by the Audit Committee of the Board of Directors of KPMG LLP as independent registered public accounting firm of the Company for its fiscal year ending December 31, 2019.   Management   For   For  
3.   To approve, on an advisory basis, the compensation of the Company's named executive officers, as disclosed in the proxy statement.   Management   For   For  
4.   To indicate, on an advisory basis, the preferred frequency of stockholder advisory votes on the compensation of the Company's named executive officers.   Management   1 Year   For  

 

ARDELYX, INC

 

Security 039697107 Meeting Type Annual
Ticker Symbol ARDX Meeting Date 09-Jun-2020
Record Date 15-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Robert Bazemore       For   For  
    2 Gordon Ringold, Ph.D.       For   For  
    3 Richard Rodgers       For   For  
2.   To ratify the selection, by the Audit Committee of our Board of Directors, of Ernst & Young, LLP as the independent registered public accounting firm of the Company for the fiscal year ended December 31, 2020.   Management   For   For  
3.   To approve, on a non-binding, advisory basis, the compensation of our named executive officers as disclosed in this proxy statement pursuant to the compensation disclosure rules of the Securities and Exchange Commission ("Say-on-Pay").   Management   For   For  
4.   To approve, on a non-binding, advisory basis, whether a Say-on-Pay vote should occur every one (1) year, every two (2) years or every three (3) years.   Management   1 Year   For  

 

 

 

 

ARENA PHARMACEUTICALS, INC.

 

Security 040047607 Meeting Type Annual
Ticker Symbol ARNA Meeting Date 12-Jun-2020
Record Date 20-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Jayson Dallas, M.D.       For   For  
    2 Oliver Fetzer, Ph.D.       For   For  
    3 Kieran T. Gallahue       For   For  
    4 Jennifer Jarrett       For   For  
    5 Amit D. Munshi       For   For  
    6 Garry A. Neil, M.D.       For   For  
    7 Tina S. Nova, Ph.D.       For   For  
    8 Manmeet S. Soni       For   For  
2.   To approve, on an advisory basis, the compensation of our named executive officers, as disclosed in the proxy statement accompanying this notice.   Management   For   For  
3.   To approve an amendment to our Amended and Restated Certificate of Incorporation to effect an increase in the total number of authorized shares of our common stock.   Management   For   For  
4.   To approve the Arena Pharmaceuticals, Inc. 2020 Long- Term Incentive Plan.   Management   For   For  
5.   To ratify the appointment of KPMG LLP, an independent registered public accounting firm, as our independent auditors for the fiscal year ending December 31, 2020.   Management   For   For  

 

ARGENX SE

 

Security 04016X101 Meeting Type Special
Ticker Symbol ARGX Meeting Date 25-Nov-2019
Record Date 28-Oct-2019    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
2.   Amendment of the articles of association of argenx SE to increase the maximum share capital and granting a proxy to each of the directors of the Company and employees of Freshfields Bruckhaus Deringer LLP in having the deed of amendment executed.   Management   For   For  
3.   Approval of the amended argenx option plan.   Management   For   For  
4.   Authorization of the board of directors to grant options (rights to subscribe for shares) up to a maximum of 4% of the outstanding capital at the date of the general meeting, pursuant to, and within the limits of, the argenx option plan, for a period of 18 months from the general meeting.   Management   For   For  

 

ARGENX SE

 

Security 04016X101 Meeting Type Annual
Ticker Symbol ARGX Meeting Date 12-May-2020
Record Date 14-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
3.   Adoption of the new remuneration policy   Management   For   For  
4.   Advisory vote to approve the 2019 remuneration report   Management   For   For  
5b.   Adoption of the 2019 annual accounts   Management   For   For  
5d.   Allocation of losses of the Company in the financial year 2019 to the retained earnings of the Company   Management   For   For  
5e.   Proposal to release the members of the board of directors from liability for their respective duties carried out in the financial year 2019   Management   For   For  
6.   Re-appointment of Pamela Klein as non-executive director to the board of directors of the Company   Management   For   For  
7.   Authorization of the board of directors to grant rights to subscribe for shares in the capital of the Company up to a maximum of 4% of the outstanding capital at the date of the general meeting, pursuant to, and within the limits of, the argenx option plan, for a period of 18 months from the annual general meeting and to limit or exclude statutory pre-emptive rights, if any   Management   For   For  
8.   Authorization of the board of directors to issue shares and grant rights to subscribe for shares in the share capital of the Company up to a maximum of 10% of the outstanding capital at the date of the general meeting, for a period of 18 months from the annual general meeting and to limit or exclude statutory pre-emptive rights, if any   Management   For   For  
9.   Authorization of the board of directors to issue additional shares in the share capital of the company up to a maximum of 10% of the outstanding share capital at the date of the general meeting (in addition to the authorizations under 7 and 8), for a period starting on the date of this general meeting and ending on 31 December 2020, for the purpose of a possible public offering of such shares and to limit or exclude statutory pre-emptive rights, if any   Management   For   For  
10.   Appointment of Deloitte Accountants B.V. as statutory auditor for the 2020 financial year   Management   For   For  

 

 

 

 

ARROWHEAD PHARMACEUTICALS, INC.

 

Security 04280A100 Meeting Type Annual
Ticker Symbol ARWR Meeting Date 19-Mar-2020
Record Date 22-Jan-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Christopher Anzalone       For   For  
    2 Marianne De Backer       For   For  
    3 Mauro Ferrari       For   For  
    4 Douglass Given       For   For  
    5 Michael S. Perry       For   For  
    6 William Waddill       For   For  
2.   To approve, in an advisory (non-binding) vote, the compensation paid to the Company's named executive officers, as disclosed pursuant to Item 402 of Regulation S-K, including the compensation tables and narrative discussion.   Management   For   For  
3.   To approve an amendment to the Company's Amended and Restated Bylaws to implement a majority vote standard in uncontested elections of directors.   Management   For   For  
4.   To ratify the selection of Rose, Snyder & Jacobs LLP as independent auditors of the Company for the fiscal year ending September 30, 2020.   Management   For   For  

 

ASCENDIS PHARMA A S

 

Security 04351P101 Meeting Type Annual
Ticker Symbol ASND Meeting Date 29-May-2020
Record Date 24-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Election of Chairman of the Meeting   Management   For   For  
2.   Report on the Company's Activities during the Past Year   Management   For   For  
3.   Presentation of Audited Annual Report with Auditor's Statement for Approval and Discharge of the Board of Directors and Management   Management   For   For  
4.   Resolution on Application of Profits or Covering of Losses as per the Adopted Annual Report   Management   For   For  
5A.   Election of Board Member Class II, with a term expiring at the annual general meeting to be held in 2022: Albert Cha   Management   For   For  
5B.   Election of Board Member Class II, with a term expiring at the annual general meeting to be held in 2022: Birgitte Volck   Management   For   For  
5C.   Election of Board Member Class II, with a term expiring at the annual general meeting to be held in 2022: Lars Holtug   Management   For   For  
6.   Election of State-authorized Public Auditor   Management   For   For  
7.   Any proposals from the Board of Directors and/or Shareholders The Board of Directors proposes to amend the Articles of Association by renewing the authorisation to the Board of Directors to issue up to nominal 2,000,000 new warrants. The exercise price of such warrants shall be determined by the Board of Directors and shall equal at least to the market price of the shares at the time of issuance. Please refer to the Notice for additional information.   Management   For   For  

 

 

 

 

 

 

ATRECA INC

 

Security 04965G109 Meeting Type Annual
Ticker Symbol BCEL Meeting Date 10-Jun-2020
Record Date 17-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 David Lacey, MD       For   For  
    2 Lindsey Rolfe, MBChB       For   For  
2.   Ratification of the selection of OUM & Co. LLP as the independent registered public accounting firm of the Company for its fiscal year ending December 31, 2020.   Management   For   For  

 

AURINIA PHARMACEUTICALS INC.

 

Security 05156V102 Meeting Type Annual and Special Meeting
Ticker Symbol AUPH Meeting Date 02-Jun-2020
Record Date 20-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
01   TO FIX THE NUMBER OF DIRECTORS TO BE ELECTED AT NINE (9).   Management   For   For  
02   DIRECTOR   Management          
    1 DR. GEORGE MILNE       For   For  
    2 MR. PETER GREENLEAF       For   For  
    3 DR. DAVID R.W. JAYNE       For   For  
    4 MR. JOSEPH P. HAGAN       For   For  
    5 DR. MICHAEL HAYDEN       For   For  
    6 DR. DANIEL BILLEN       For   For  
    7 MR. R.H. MACKAY-DUNN       For   For  
    8 MS. JILL LEVERSAGE       For   For  
    9 MR. TIMOTHY P. WALBERT       For   For  
03   REAPPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS AUDITORS OF THE COMPANY FOR THE ENSUING YEAR.   Management   For   For  
04   TO CONSIDER AND, IF DEEMED APPROPRIATE, TO PASS A NON-BINDING ADVISORY "SAY ON PAY" RESOLUTION APPROVING THE COMPANY'S APPROACH TO EXECUTIVE COMPENSATION, THE FULL TEXT OF WHICH IS SET OUT IN THE COMPANY'S CIRCULAR FOR THE MEETING.   Management   For   For  
05   TO CONSIDER, AND IF DEEMED APPROPRIATE, APPROVE, WITH OR WITHOUT VARIATION, AN ORDINARY RESOLUTION RATIFYING, CONFIRMING AND APPROVING THE COMPANY'S AMENDED AND RESTATED BY-LAW NO. 2 AS ADOPTED BY THE COMPANY'S BOARD OF DIRECTORS (THE "BOARD") TO ALLOW THE COMPANY TO HOLD FULLY VIRTUAL SHAREHOLDER MEETINGS AND SHAREHOLDER MEETINGS OUTSIDE OF ALBERTA, AMONG OTHER AMENDMENTS, THE FULL TEXT OF WHICH IS SET OUT IN THE COMPANY'S CIRCULAR FOR THE MEETING.   Management   For   For  
06   TO CONSIDER, AND IF DEEMED APPROPRIATE, APPROVE, WITH OR WITHOUT VARIATION, A SPECIAL RESOLUTION AMENDING THE ARTICLES OF THE COMPANY TO PERMIT MEETINGS OF SHAREHOLDERS TO BE HELD OUTSIDE OF ALBERTA, THE FULL TEXT OF WHICH IS SET OUT IN THE COMPANY'S CIRCULAR FOR THE MEETING.   Management   For   For  
07   TO CONSIDER AND, IF DEEMED APPROPRIATE, APPROVE, WITH OR WITHOUT VARIATION, AN ORDINARY RESOLUTION RATIFYING, CONFIRMING AND APPROVING THE COMPANY'S AMENDMENTS TO THE STOCK OPTION PLAN AS ADOPTED BY THE BOARD TO EXPAND THE TYPES OF EQUITY BASED AWARDS AVAILABLE TO GRANT, THE FULL TEXT OF WHICH IS SET OUT IN THE COMPANY'S CIRCULAR FOR THE MEETING.   Management   For   For  
08   TO CONSIDER AND, IF DEEMED APPROPRIATE, APPROVE, WITH OR WITHOUT VARIATION, AN ORDINARY RESOLUTION APPROVING ALL UNALLOCATED ENTITLEMENTS UNDER THE COMPANY'S STOCK OPTION PLAN, THE FULL TEXT OF WHICH IS SET OUT IN THE COMPANY'S CIRCULAR FOR THE MEETING.   Management   For   For  

 

AVADEL PHARMACEUTICALS PLC

 

Security 05337M104 Meeting Type Annual
Ticker Symbol AVDL Meeting Date 06-Aug-2019
Record Date 30-May-2019    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1a.   Election of Director: Gregory J. Divis   Management   For   For  
1b.   Election of Director: Dr. Eric J. Ende   Management   For   For  
1c.   Election of Director: Geoffrey M. Glass   Management   For   For  
1d.   Election of Director: Kevin Kotler   Management   For   For  
1e.   Election of Director: Linda S. Palczuk   Management   For   For  
1f.   Election of Director: Peter Thornton   Management   For   For  
2.   To ratify, in a non-binding vote, the appointment of Deloitte & Touche LLP as the Company's independent registered public auditor and accounting firm for the fiscal year ending December 31, 2019 and to authorize, in a binding vote, the Audit Committee of the Board to set the independent registered public auditor and accounting firm remuneration.   Management   For   For  

 

  

 

 

AVROBIO, INC.

 

Security 05455M100 Meeting Type Annual
Ticker Symbol AVRO Meeting Date 04-Jun-2020
Record Date 06-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Ian Clark       For   For  
    2 Annalisa Jenkins       For   For  
2.   To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  
3.   To approve an amendment to the AVROBIO, Inc. 2018 Stock Option and Incentive Plan.   Management   For   For  

 

AXONICS MODULATION TECHNOLOGIES INC

 

Security 05465P101 Meeting Type Annual
Ticker Symbol AXNX Meeting Date 24-Jun-2020
Record Date 28-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Director: Raymond W. Cohen   Management   For   For  
1B.   Election of Director: Erik Amble, Ph.D.   Management   For   For  
1C.   Election of Director: Juliet Tammenoms Bakker   Management   For   For  
1D.   Election of Director: Robert E. McNamara   Management   For   For  
1E.   Election of Director: Michael H. Carrel   Management   For   For  
1F.   Election of Director: Nancy Snyderman, M.D.,   Management   For   For  
1G.   Election of Director: Jane E. Kiernan   Management   For   For  
2.   To ratify the selection of BDO USA, LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  

 

AXSOME THERAPEUTICS INC

 

Security 05464T104 Meeting Type Annual
Ticker Symbol AXSM Meeting Date 05-Jun-2020
Record Date 09-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Mark Saad       For   For  
2.   Ratification of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm of the fiscal year ending in December 31, 2020.   Management   For   For  
                     

 

BEIGENE LTD

 

Security 07725L102 Meeting Type Special
Ticker Symbol BGNE Meeting Date 27-Dec-2019
Record Date 27-Nov-2019    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1   THAT the issuance of approximately 20.5% of the Company's outstanding shares upon closing to Amgen Inc. ("Amgen") be and is hereby approved, pursuant to the terms of the Share Purchase Agreement (the "Share Purchase Agreement") by and between the Company and Amgen.   Management   For   For  
2   THAT the Collaboration Agreement (the "Collaboration Agreement") dated October 31, 2019 by and between the Company, BeiGene Switzerland GmbH and Amgen and the transactions contemplated thereunder be and are hereby approved.   Management   For   For  
3   THAT the annual caps in relation to the Collaboration Agreement be and are hereby approved.   Management   For   For  
4   THAT Anthony C. Hooper be and is hereby elected to serve as a Class III director of the Company until the 2022 annual general meeting of the shareholders of the Company and until his successor is duly elected and qualified, subject to his earlier resignation or removal, subject to and effective upon the closing of the transactions contemplated by the Share Purchase Agreement and the Collaboration Agreement.   Management   For   For  

 

  

 

 

BEIGENE LTD

 

Security 07725L102 Meeting Type Annual
Ticker Symbol BGNE Meeting Date 17-Jun-2020
Record Date 16-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1   Ordinary Resolution: THAT John V. Oyler be and is hereby re-elected to serve as a Class I director of the Company until the 2023 annual general meeting of the shareholders of the Company and until his successor is duly elected and qualified, subject to his earlier resignation or removal.   Management   For   For  
2   Ordinary Resolution: THAT Timothy Chen be and is hereby re-elected to serve as a Class I director of the Company until the 2023 annual general meeting of the shareholders of the Company and until his successor is duly elected and qualified, subject to his earlier resignation or removal.   Management   For   For  
3   Ordinary Resolution: THAT Jing-Shyh (Sam) Su be and is hereby re-elected to serve as a Class I director of the Company until the 2023 annual general meeting of the shareholders of the Company and until his successor is duly elected and qualified, subject to his earlier resignation or removal.   Management   For   For  
4   Ordinary Resolution: THAT the appointment of Ernst & Young Hua Ming LLP and Ernst & Young as the Company's independent registered public accounting firms for the fiscal year ending December 31, 2020 be and is hereby approved, ratified and confirmed.   Management   For   For  
5   Ordinary Resolution: THAT the granting of a share issue mandate to the Board of Directors to issue, allot or deal with unissued ordinary shares and/or American Depositary Shares not exceeding 20% of the total number of issued ordinary shares of the Company as at the date of passing of this ordinary resolution up to the next annual general meeting of the Company be and is hereby approved.   Management   For   For  
6   Ordinary Resolution: THAT the Company and its underwriters be and are hereby authorized, in their sole discretion, to allocate to each of Baker Bros. Advisors LP and Hillhouse Capital Management, Ltd. and parties affiliated with each of them (the "Existing Shareholders"), up to a maximum amount of shares in order to maintain the same shareholding percentage of each of the Existing Shareholders (based on the then- outstanding share capital of the Company) before and after the ...(due to space limits, see proxy material for full proposal).   Management   For   For  
7   Ordinary Resolution: THAT the Company and its underwriters be and are hereby authorized, in their sole discretion, to allocate to Amgen Inc. ("Amgen"), up to a maximum amount of shares in order to maintain the same shareholding percentage of Amgen (based on the then-outstanding share capital of the Company) before and after the allocation of the corresponding securities issued pursuant to an offering conducted pursuant to the general mandate set forth in Resolution 5 for a period of ...(due to space limits, see proxy material for full proposal).   Management   For   For  
8   Ordinary Resolution: THAT the Amendment No. 1 to the Second Amended and Restated 2016 Share Option and Incentive Plan to increase the number of authorized shares available for issuance by 57,200,000 ordinary shares and to extend the term of the plan through April 13, 2030, as disclosed in the Proxy Statement, be and is hereby approved.   Management   For   For  
9   Ordinary Resolution: THAT, on a non-binding, advisory basis, the compensation of the Company's named executive officers, as disclosed in the Proxy Statement, be and is hereby approved.   Management   For   For  

 

BELLICUM PHARMACEUTICALS, INC.

 

Security 079481107 Meeting Type Special
Ticker Symbol BLCM Meeting Date 15-Jan-2020
Record Date 22-Nov-2019    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Approval of a series of alternate amendments to the Company's Amended & Restated Certificate of Incorporation, to effect, at the Board's discretion: (i) a reverse split of the common stock, whereby each outstanding 5, 6, 7, 8, 9 or 10 shares of common stock would be combined & converted into one share of common stock; & (ii) for reverse splits in range of 1-for-5 to 1-for-10, a reduction in number of authorized shares of common stock from 200,000,000 to 80,000,000, 66,666,667, 57,142,858, 50,000,000, 44,444,445 or 40,000,000 shares, respectively.   Management   For   For  
2.   Approval of an amendment to the Company's Amended and Restated Certificate of Incorporation to increase the number of authorized shares of common stock from 200,000,000 to 400,000,000.   Management   For   For  
3.   Approval of an amendment to the Company's 2019 Equity Incentive Plan, or the Amended 2019 Plan, to, among other things, increase the number of shares of common stock authorized for issuance under the 2019 Plan by 6,000,000 shares (before any adjustment for any reverse stock split).   Management   For   For  
4.   Approval of the adjournment of the Special Meeting, if necessary, to solicit additional proxies if there are not sufficient votes in favor of any of the foregoing proposals.   Management   For   For  

  

 

 

BELLICUM PHARMACEUTICALS, INC.

 

Security 079481404 Meeting Type Annual
Ticker Symbol BLCM Meeting Date 15-Jun-2020
Record Date 17-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Richard A. Fair       For   For  
    2 James M. Daly       For   For  
    3 Reid M. Huber, Ph.D       For   For  
2.   To approve an amendment to the Company's Amended and Restated Certificate of Incorporation to increase the number of authorized shares of common stock from 40,000,000 to 80,000,000.   Management   For   For  
3.   To approve an amendment to the Company's 2019 Equity Incentive Plan, or the Amended 2019 Plan, to, among other things, increase the number of shares of common stock authorized for issuance under the 2019 Plan by 500,000 shares.   Management   For   For  
4.   To ratify the selection of Ernst & Young LLP as the independent registered public accounting firm of the Company for its fiscal year ending December 31, 2020.   Management   For   For  
5.   To approve, on an advisory basis, the compensation of the Company's named executive officers, as disclosed in the proxy statement.   Management   For   For  
6.   To indicate, on an advisory basis, the preferred frequency of stockholder advisory votes on the compensation of the Company's named executive officers.   Management   1 Year   Against  

 

BIO-TECHNE CORP

 

Security 09073M104 Meeting Type Annual
Ticker Symbol TECH Meeting Date 24-Oct-2019
Record Date 30-Aug-2019    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   To set the number of Directors at nine.   Management   For   For  
2A.   Election of Director: Robert V. Baumgartner   Management   For   For  
2B.   Election of Director: John L. Higgins   Management   For   For  
2C.   Election of Director: Joseph D. Keegan   Management   For   For  
2D.   Election of Director: Charles R. Kummeth   Management   For   For  
2E.   Election of Director: Roeland Nusse   Management   For   For  
2F.   Election of Director: Alpna Seth   Management   For   For  
2G.   Election of Director: Randolph Steer   Management   For   For  
2H.   Election of Director: Rupert Vessey   Management   For   For  
2I.   Election of Director: Harold J. Wiens   Management   For   For  
3.   Cast a non-binding vote on named executive officer compensation.   Management   For   For  
4.   Ratify the appointment of the Company's independent registered public accounting firm for the 2020 fiscal year.   Management   For   For  

 

BIOGEN INC.

 

Security 09062X103 Meeting Type Annual
Ticker Symbol BIIB Meeting Date 03-Jun-2020
Record Date 06-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Director for a one year term extending until the 2021 annual meeting: Alexander J. Denner   Management   For   For  
1B.   Election of Director for a one year term extending until the 2021 annual meeting: Caroline D. Dorsa   Management   For   For  
1C.   Election of Director for a one year term extending until the 2021 annual meeting: William A. Hawkins   Management   For   For  
1D.   Election of Director for a one year term extending until the 2021 annual meeting: Nancy L. Leaming   Management   For   For  
1E.   Election of Director for a one year term extending until the 2021 annual meeting: Jesus B. Mantas   Management   For   For  
1F.   Election of Director for a one year term extending until the 2021 annual meeting: Richard C. Mulligan   Management   For   For  
1G.   Election of Director for a one year term extending until the 2021 annual meeting: Robert W. Pangia   Management   For   For  
1H.   Election of Director for a one year term extending until the 2021 annual meeting: Stelios Papadopoulos   Management   For   For  
1I.   Election of Director for a one year term extending until the 2021 annual meeting: Brian S. Posner   Management   For   For  
1J.   Election of Director for a one year term extending until the 2021 annual meeting: Eric K. Rowinsky   Management   For   For  
1K.   Election of Director for a one year term extending until the 2021 annual meeting: Stephen A. Sherwin   Management   For   For  
1L.   Election of Director for a one year term extending until the 2021 annual meeting: Michel Vounatsos   Management   For   For  
2.   To ratify the selection of PricewaterhouseCoopers LLP as Biogen Inc.'s independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  
3.   Say on Pay - To approve an advisory vote on executive compensation.   Management   For   For  

  

 

 

BIOHAVEN PHARMACEUTICAL HLDG CO LTD

 

Security G11196105 Meeting Type Annual
Ticker Symbol BHVN Meeting Date 30-Apr-2020
Record Date 17-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Director for a term expiring at the 2023 Annual Meeting of Shareholders: Dr. Declan Doogan   Management   For   For  
1B.   Election of Director for a term expiring at the 2023 Annual Meeting of Shareholders: Dr. Vlad Coric   Management   For   For  
2.   Ratification of appointment of Ernst & Young LLP as independent auditors for fiscal year 2020.   Management   For   For  
3.   To approve, on a non-binding advisory basis, the compensation of the Named Executive Officers.   Management   For   For  

 

BIOMARIN PHARMACEUTICAL INC.

 

Security 09061G101 Meeting Type Annual
Ticker Symbol BMRN Meeting Date 27-May-2020
Record Date 30-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Jean-Jacques Bienaimé       For   For  
    2 Elizabeth M. Anderson       For   For  
    3 Willard Dere       For   For  
    4 Michael Grey       For   For  
    5 Elaine J. Heron       For   For  
    6 Robert J. Hombach       For   For  
    7 V. Bryan Lawlis       For   For  
    8 Richard A. Meier       For   For  
    9 David E.I. Pyott       For   For  
    10 Dennis J. Slamon       For   For  
2.   To ratify the selection of KPMG LLP as the independent registered public accounting firm for BioMarin for the fiscal year ending December 31, 2020.   Management   For   For  
3.   To approve, on an advisory basis, the compensation of the Company's Named Executive Officers as disclosed in the Proxy Statement.   Management   For   For  

 

BLUEBIRD BIO, INC.

 

Security 09609G100 Meeting Type Annual
Ticker Symbol BLUE Meeting Date 18-Jun-2020
Record Date 23-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Class I Director: Nick Leschly   Management   For   For  
1B.   Election of Class I Director: Douglas A. Melton, Ph.D.   Management   For   For  
1C.   Election of Class I Director: Mark Vachon   Management   For   For  
2.   To hold a non-binding advisory vote on the compensation paid to the Company's named executive officers.   Management   For   For  
3.   To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  

 

BLUEPRINT MEDICINES CORPORATION

 

Security 09627Y109 Meeting Type Annual
Ticker Symbol BPMC Meeting Date 23-Jun-2020
Record Date 24-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Alexis Borisy       For   For  
    2 Charles A. Rowland, Jr.       For   For  
    3 Lonnel Coats       For   For  
2.   To approve an advisory vote on named executive officer compensation.   Management   For   For  
3.   Ratification of the appointment of Ernst & Young LLP as independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  

 

  

 

 

BRIDGEBIO PHARMA INC

 

Security 10806X102 Meeting Type Annual
Ticker Symbol BBIO Meeting Date 02-Jun-2020
Record Date 15-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 James C. Momtazee       For   For  
    2 Richard H. Scheller PhD       For   For  
2.   To ratify the appointment of Deloitte & Touche LLP as the independent registered public accounting firm of the Company for its fiscal year ending December 31, 2020.   Management   For   For  
3.   To approve the Company's Amended and Restated 2019 Stock Option and Incentive Plan to, among other things, increase the number of shares of common stock reserved for issuance thereunder by 2,500,000 shares.   Management   For   For  

 

BRISTOL-MYERS SQUIBB COMPANY

 

Security 110122108 Meeting Type Annual
Ticker Symbol BMY Meeting Date 05-May-2020
Record Date 16-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Director: Peter J. Arduini   Management   For   For  
1B.   Election of Director: Robert Bertolini   Management   For   For  
1C.   Election of Director: Michael W. Bonney   Management   For   For  
1D.   Election of Director: Giovanni Caforio, M.D.   Management   For   For  
1E.   Election of Director: Matthew W. Emmens   Management   For   For  
1F.   Election of Director: Julia A. Haller, M.D.   Management   For   For  
1G.   Election of Director: Dinesh C. Paliwal   Management   For   For  
1H.   Election of Director: Theodore R. Samuels   Management   For   For  
1I.   Election of Director: Vicki L. Sato, Ph.D.   Management   For   For  
1J.   Election of Director: Gerald L. Storch   Management   For   For  
1K.   Election of Director: Karen H. Vousden, Ph.D.   Management   For   For  
1L.   Election of Director: Phyllis R. Yale   Management   For   For  
2.   Advisory vote to approve the compensation of our Named Executive Officers.   Management   For   For  
3.   Ratification of the appointment of an independent registered public accounting firm.   Management   For   For  
4.   Shareholder Proposal on Separate Chair & CEO.   Shareholder   For   Against  
5.   Shareholder Proposal on Shareholder Right to Act by Written Consent.   Shareholder   Against   For  

 

  

 

 

CELLECTIS S.A.

 

Security 15117K103 Meeting Type Annual
Ticker Symbol CLLS Meeting Date 29-Jun-2020
Record Date 22-May-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1   Approval of the financial statements for the financial year ended December 31, 2019.   Management   For   For  
2   Approval of the consolidated financial statements for the financial year ended December 31, 2019.   Management   For   For  
3   Allocation of income for the financial year ended December 31, 2019.   Management   For   For  
4   Approval of the agreements referred to in articles L. 225- 38 and the following sections of the French commercial code.   Management   For   For  
5   Setting the amount of the total compensation (directors fees) to be granted to the non-executive directors.   Management   For   For  
6   Renewal of the mandate of a member of the Board of Directors of Mrs. Annick Schwebig.   Management   For   For  
7   Renewal of the mandate of a member of the Board of Directors of Mr. Laurent Arthaud.   Management   For   For  
8   Renewal of the mandate of a member of the Board of Directors of Mr. Pierre Bastid.   Management   For   For  
9   Renewal of the mandate of a member of the Board of Directors of Mr. Rainer Boehm.   Management   For   For  
10   Renewal of the mandate of a member of the Board of Directors of Mr. Hervé Hoppenot.   Management   For   For  
11   Authorization to be given to the board of directors to buy back Company shares.   Management   For   For  
12   Authorization to be given to the board of directors for the ...(due to space limits, see proxy material for full proposal).   Management   For   For  
13   Delegation of authority to be granted to the board of directors ...(due to space limits, see proxy material for full proposal).   Management   For   For  
14   Delegation of authority to be granted to the board of directors ...(due to space limits, see proxy material for full proposal).   Management   For   For  
15   Delegation of authority to be granted to the board of directors ...(due to space limits, see proxy material for full proposal).   Management   For   For  
16   Delegation of authority to be granted to the board of directors ...(due to space limits, see proxy material for full proposal).   Management   For   For  
17   Delegation of authority to be granted to the board of directors ...(due to space limits, see proxy material for full proposal).   Management   For   For  
18   Delegation of authority to be granted to the board of directors ...(due to space limits, see proxy material for full proposal).   Management   For   For  
19   Delegation of authority to be granted to the board of directors ...(due to space limits, see proxy material for full proposal).   Management   For   For  
20   Delegation granted to the board of directors to increase the ...(due to space limits, see proxy material for full proposal).   Management   For   For  
21   Overall limitations to the amount of issuances made under the ...(due to space limits, see proxy material for full proposal).   Management   For   For  
22   Delegation of authority to be granted to the board of directors ...(due to space limits, see proxy material for full proposal).   Management   For   For  
23   Authorization to be given to the board of directors to grant options to subscribe or purchase Company's shares.   Management   For   For  
24   Authorization be given to the board of directors for the ...(due to space limits, see proxy material for full proposal).   Management   For   For  
25   Delegation of authority to be granted to the board of directors ...(due to space limits, see proxy material for full proposal).   Management   For   For  
26   Overall limitations to the amount of issues made under the 23rd resolution, 24th resolution and the 25th resolution above.   Management   For   For  
27   Amendment of article 12 of the articles of association "meeting ...(due to space limits, see proxy material for full proposal).   Management   For   For  
28   Amendment of Article 18 of the Articles of Association "General ...(due to space limits, see proxy material for full proposal).   Management   For   For  
29   Delegation to be granted to the board of directors for the ...(due to space limits, see proxy material for full proposal).   Management   Against   For  

  

 

 

CELLECTIS S.A.

 

Security 15117K103 Meeting Type Annual
Ticker Symbol CLLS Meeting Date 29-Jun-2020
Record Date 11-Jun-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1   Approval of the financial statements for the financial year ended December 31, 2019.   Management   For   For  
2   Approval of the consolidated financial statements for the financial year ended December 31, 2019.   Management   For   For  
3   Allocation of income for the financial year ended December 31, 2019.   Management   For   For  
4   Approval of the agreements referred to in articles L. 225- 38 and the following sections of the French commercial code.   Management   For   For  
5   Setting the amount of the total compensation (directors fees) to be granted to the non-executive directors.   Management   For   For  
6   Renewal of the mandate of a member of the Board of Directors of Mrs. Annick Schwebig.   Management   For   For  
7   Renewal of the mandate of a member of the Board of Directors of Mr. Laurent Arthaud.   Management   For   For  
8   Renewal of the mandate of a member of the Board of Directors of Mr. Pierre Bastid.   Management   For   For  
9   Renewal of the mandate of a member of the Board of Directors of Mr. Rainer Boehm.   Management   For   For  
10   Renewal of the mandate of a member of the Board of Directors of Mr. Hervé Hoppenot.   Management   For   For  
11   Authorization to be given to the board of directors to buy back Company shares.   Management   For   For  
12   Authorization to be given to the board of directors for the ...(due to space limits, see proxy material for full proposal).   Management   For   For  
13   Delegation of authority to be granted to the board of directors ...(due to space limits, see proxy material for full proposal).   Management   For   For  
14   Delegation of authority to be granted to the board of directors ...(due to space limits, see proxy material for full proposal).   Management   For   For  
15   Delegation of authority to be granted to the board of directors ...(due to space limits, see proxy material for full proposal).   Management   For   For  
16   Delegation of authority to be granted to the board of directors ...(due to space limits, see proxy material for full proposal).   Management   For   For  
17   Delegation of authority to be granted to the board of directors ...(due to space limits, see proxy material for full proposal).   Management   For   For  
18   Delegation of authority to be granted to the board of directors ...(due to space limits, see proxy material for full proposal).   Management   For   For  
19   Delegation of authority to be granted to the board of directors ...(due to space limits, see proxy material for full proposal).   Management   For   For  
20   Delegation granted to the board of directors to increase the ...(due to space limits, see proxy material for full proposal).   Management   For   For  
21   Overall limitations to the amount of issuances made under the ...(due to space limits, see proxy material for full proposal).   Management   For   For  
22   Delegation of authority to be granted to the board of directors ...(due to space limits, see proxy material for full proposal).   Management   For   For  
23   Authorization to be given to the board of directors to grant options to subscribe or purchase Company's shares.   Management   For   For  
24   Authorization be given to the board of directors for the ...(due to space limits, see proxy material for full proposal).   Management   For   For  
25   Delegation of authority to be granted to the board of directors ...(due to space limits, see proxy material for full proposal).   Management   For   For  
26   Overall limitations to the amount of issues made under the 23rd resolution, 24th resolution and the 25th resolution above.   Management   For   For  
27   Amendment of article 12 of the articles of association "meeting ...(due to space limits, see proxy material for full proposal).   Management   For   For  
28   Amendment of Article 18 of the Articles of Association "General ...(due to space limits, see proxy material for full proposal).   Management   For   For  
29   Delegation to be granted to the board of directors for the ...(due to space limits, see proxy material for full proposal).   Management   Against   For  

 

CIDARA THERAPEUTICS, INC.

 

Security 171757107 Meeting Type Annual
Ticker Symbol CDTX Meeting Date 25-Jun-2020
Record Date 27-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Director for terms expiring in 2023: Daniel Burgess   Management   For   For  
1B.   Election of Director for terms expiring in 2023: Theodore R. Schroeder   Management   For   For  
2.   Ratify the selection of Ernst & Young LLP by the Audit Committee of the Board of Directors as the independent registered public accounting firm for the Company for the fiscal year ending December 31, 2020.   Management   For   For  

 

CLEARSIDE BIOMEDICAL, INC.

 

Security 185063104 Meeting Type Annual
Ticker Symbol CLSD Meeting Date 18-Jun-2020
Record Date 23-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Jeffrey L. Edwards       For   For  
    2 Clay B. Thorp       For   For  
2.   RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2020.   Management   For   For  

 

COHERUS BIOSCIENCES INC

 

Security 19249H103 Meeting Type Annual
Ticker Symbol CHRS Meeting Date 22-May-2020
Record Date 31-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Dennis M. Lanfear       For   For  
    2 Mats Wahlström       For   For  
    3 James I. Healy, MD, PhD       For   For  
2.   To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  
3.   A non-binding, advisory resolution to approve the compensation of our named executive officers (a "Say-on-Pay" vote).   Management   For   For  

 

  

 

 

 

CRISPR THERAPEUTICS AG

 

Security H17182108 Meeting Type Annual
Ticker Symbol CRSP Meeting Date 11-Jun-2020
Record Date 13-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   The approval of the annual report, the consolidated financial statements and the statutory financial statements of the Company for the year ended December 31, 2019.   Management   For   For  
2.   The approval of the appropriation of financial results.   Management   For   For  
3.   The discharge of the members of the Board of Directors and Executive Committee.   Management   For   For  
4A.   Re-election of Rodger Novak, M.D., as member and Chairman   Management   For   For  
4B.   Re-election of Samarth Kulkarni, Ph.D.   Management   For   For  
4C.   Re-election of Ali Behbahani, M.D.   Management   For   For  
4D.   Re-election of Bradley Bolzon, Ph.D.   Management   For   For  
4E.   Re-election of Simeon J. George, M.D.   Management   For   For  
4F.   Re-election of John T. Greene   Management   For   For  
4G.   Re-election of Katherine A. High, M.D.   Management   For   For  
4H.   Election of Douglas A. Treco, Ph.D.   Management   For   For  
5A.   Election of the member of the Compensation Committee: Ali Behbahani, M.D.   Management   For   For  
5B.   Re-election of the member of the Compensation Committee: Simeon J. George, M.D.   Management   For   For  
5C.   Re-election of the member of the Compensation Committee: John T. Greene   Management   For   For  
6A.   Binding vote on total non-performance-related compensation for members of the Board of Directors from the 2020 Annual General Meeting to the 2021 Annual General Meeting of Shareholders.   Management   For   For  
6B.   Binding vote on equity for members of the Board of Directors from the 2020 Annual General Meeting to the 2021 Annual General Meeting of Shareholders.   Management   For   For  
6C.   Binding vote on total non-performance-related compensation for members of the Executive Committee from July 1, 2020 to June 30, 2021.   Management   For   For  
6D.   Binding vote on total variable compensation for members of the Executive Committee for the current year ending December 31, 2020.   Management   For   For  
6E.   Binding vote on equity for members of the Executive Committee from the 2020 Annual General Meeting to the 2021 Annual General Meeting of Shareholders.   Management   For   For  
7.   The approval of an increase in the Conditional Share Capital for Employee Benefit Plans.   Management   For   For  
8.   The approval of an Amendment to the CRISPR Therapeutics AG 2018 Stock Option and Incentive Plan.   Management   Against   Against  
9.   The approval of increasing the maximum number of authorized share capital and extending the date by which the Board of Directors may increase share capital.   Management   For   For  
10.   The re-election of the independent voting rights representative.   Management   For   For  
11.   The re-election of the auditors.   Management   For   For  
12.   The transaction of any other business that may properly come before the 2020 Annual General Meeting or any adjournment or postponement thereof.   Management   For   For  

 

CURASEN THERAPEUTICS, INC.

 

Security N/A Meeting Type Written Consent
Ticker Symbol N/A Meeting Date 6-Jan-2020
Record Date N/A    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Amendment to CuraSen Therapeutics, Inc. A&R 2016 Equity Incentive Plan   Management   For   For  
2.   General Authority and ratification   Management   For   For  

 

CYMABAY THERAPEUTICS INC

 

Security 23257D103 Meeting Type Annual
Ticker Symbol CBAY Meeting Date 23-Jun-2020
Record Date 28-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Sujal Shah       For   For  
    2 Caroline Loewy       For   For  
    3 Paul F. Truex       For   For  
    4 Kurt von Emster       For   For  
    5 Robert J. Wills, Ph.D.       For   For  
2.   Ratification of selection, by the Audit Committee of the Board, of Ernst & Young LLP as the independent registered public accounting firm of CymaBay for its fiscal year ending December 31, 2020.   Management   For   For  
3.   Advisory vote to approve the compensation of our named executive officers as disclosed in the proxy statement.   Management   For   For  
4.   To vote on an amendment to the CymaBay Amended and Restated Certificate of Incorporation to increase the number of authorized shares of our common stock from 100,000,000 shares to 200,000,000 shares.   Management   For   For  

 

 

 

 

DECIPHER BIOSCIENCES, INC.

 

Security N/A Meeting Type Written Consent
Ticker Symbol N/A Meeting Date 16-Sep-2019
Record Date N/A    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Amendment of 2018 Equity Incentive Plan   Management   For   For  
2.   General Authorizing Resolution   Management   For   For  

 

DECIPHER BIOSCIENCES, INC.

 

Security N/A Meeting Type Written Consent
Ticker Symbol N/A Meeting Date 14-May-2020
Record Date N/A    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Amendment and Restatement of Certification of Incorporation   Management   For   For  
2.   Series 4 Preferred Stock and Note Financing   Management   For   For  
3.   Amendment of 2018 Equity Incentive Plan   Management   For   For  
4.   General Authorizing Resolution   Management   For   For  

 

DECIPHER PHARMACEUTICALS, INC.

 

Security 24344T101 Meeting Type Annual
Ticker Symbol DCPH Meeting Date 10-Jun-2020
Record Date 13-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Patricia L. Allen       For   For  
    2 Edward J. Benz, Jr., MD       For   For  
    3 Dennis L. Walsh       For   For  
2.   To ratify the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the Company for the fiscal year ending December 31, 2020.   Management   For   For  

 

DYNACURE

 

Security N/A Meeting Type Annual Meeting
Ticker Symbol N/A Meeting Date 16-Jun-2020
Record Date N/A    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Waiver of the period and form of prior notice   Management   For   For  
2.   Approval of the financial statements for the financial year ended on December 31, 2019; Discharge to the Chairman for his duties during the past financial year   Management   For   For  
3.   Allocation of the result of the financial year ended on December 31, 2019   Management   For   For  
4.   Review and approval of the Statutory Auditors' special report on the agreements referred to in Article L. 227-10 of the French commercial code   Management   For   For  
5.   Renewal of the terms of office of Brett Monia, Raphael Wisniewski, Remi Droller and Georges Gemayel, in their capacity as members of the Supervisory Board   Management   For   For  
6.   Acknowledgement of the resignation of Caroline Dreyer and Philippe Guinot from their duties as observers of the Supervisory Board and appointment of new observers of the Supervisory Board   Management   For   For  
7.   Powers to carry out formalities   Management   For   For  

 

EDITAS MEDICINE, INC.

 

Security 28106W103 Meeting Type Annual
Ticker Symbol EDIT Meeting Date 10-Jun-2020
Record Date 15-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 James C. Mullen       For   For  
    2 Akshay Vaishnaw, M.D.       For   For  
2.   To approve, on an advisory basis, named executive officer compensation.   Management   For   For  
3.   To ratify the selection of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  

 

 

 

 

EIDOS THERAPEUTICS INC.

 

Security 28249H104 Meeting Type Annual
Ticker Symbol EIDX Meeting Date 27-May-2020
Record Date 01-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Neil Kumar, Ph.D.       For   For  
    2 Eric Aguiar, M.D.       For   For  
    3 William Lis       For   For  
    4 Ali Satvat       For   For  
    5 Rajeev Shah       For   For  
    6 Uma Sinha, Ph.D.       For   For  
2.   To ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm of the Company for its fiscal year ending December 31, 2020.   Management   For   For  
3.   To approve an amendment and restatement of the Company's Amended and Restated 2018 Stock Option and Incentive Plan to, among other things, increase the number of shares of common stock reserved for issuance thereunder by 1,500,000 shares.   Management   For   For  

 

ENDO INTERNATIONAL PLC

 

Security G30401106 Meeting Type Annual
Ticker Symbol ENDP Meeting Date 11-Jun-2020
Record Date 13-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Director: Paul V. Campanelli   Management   For   For  
1B.   Election of Director: Blaise Coleman   Management   For   For  
1C.   Election of Director: Mark G. Barberio   Management   For   For  
1D.   Election of Director: Shane M. Cooke   Management   For   For  
1E.   Election of Director: Nancy J. Hutson, Ph.D.   Management   For   For  
1F.   Election of Director: Michael Hyatt   Management   For   For  
1G.   Election of Director: Roger H. Kimmel   Management   For   For  
1H.   Election of Director: William P. Montague   Management   For   For  
2.   To approve, by advisory vote, named executive officer compensation.   Management   For   For  
3.   To approve the Endo International plc Amended and Restated 2015 Stock Incentive Plan.   Management   For   For  
4.   To renew the Board's existing authority to issue shares under Irish law.   Management   For   For  
5.   To renew the Board's existing authority to opt-out of statutory pre-emption rights under Irish law.   Management   For   For  
6.   To approve the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the year ending December 31, 2020 and to authorize the Board of Directors, acting through the Audit Committee, to determine the independent registered public accounting firm's remuneration.   Management   For   For  

 

EPIZYME, INC.

 

Security 29428V104 Meeting Type Annual
Ticker Symbol EPZM Meeting Date 29-May-2020
Record Date 07-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Andrew R. Allen, MD PhD       For   For  
    2 Kenneth Bate       For   For  
    3 Robert B. Bazemore, Jr.       For   For  
    4 Victoria Richon, Ph.D.       For   For  
2.   Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  
3.   Advisory Vote on Executive Compensation.   Management   For   For  
4.   Approval of an amendment to our Restated Certificate of Incorporation to increase the number of authorized shares of common stock from 125,000,000 to 150,000,000.   Management   For   For  

 

 

 

 

ESPERION THERAPEUTICS INC

 

Security 29664W105 Meeting Type Annual
Ticker Symbol ESPR Meeting Date 28-May-2020
Record Date 31-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Class I Director: Daniel Janney   Management   For   For  
1B.   Election of Class I Director: Tim M. Mayleben   Management   For   For  
1C.   Election of Class I Director: Mark E. McGovern, M.D., FACC, FACP   Management   For   For  
1D.   Election of Class I Director: Tracy M. Woody   Management   For   For  
2.   To approve the advisory resolution on the compensation of our named executive officers   Management   For   For  
3.   To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020   Management   For   For  
4.   To approve the 2020 Employee Stock Purchase Plan   Management   For   For  

 

EXACT SCIENCES CORPORATION

 

Security 30063P105 Meeting Type Annual
Ticker Symbol EXAS Meeting Date 23-Jul-2020
Record Date 01-Jun-2020    

 

Item   Proposal   Proposed 
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Eli Casdin       For   For  
    2 James E. Doyle       For   For  
    3 Freda Lewis-Hall       For   For  
    4 Kathleen Sebelius       For   For  
2.   To ratify the appointment of PricewaterhouseCoopers, LLP as the Company's independent registered public accounting firm for 2020.   Management   For   For  
3.   To approve on an advisory basis the compensation of the Company's named executive officers.   Management   For   For  
4.   To approve an amendment to the Company's Certificate of Incorporation increasing the number of authorized shares of common stock from 200,000,000 shares to 400,000,000 shares.   Management   For   For  

 

EXELIXIS, INC.

 

Security 30161Q104 Meeting Type Annual
Ticker Symbol EXEL Meeting Date 20-May-2020
Record Date 23-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Director: Charles Cohen, Ph.D.   Management   For   For  
1B.   Election of Director: Carl B. Feldbaum, Esq.   Management   For   For  
1C.   Election of Director: Maria C. Freire, Ph.D.   Management   For   For  
1D.   Election of Director: Alan M. Garber, M.D., Ph.D.   Management   For   For  
1E.   Election of Director: Vincent T. Marchesi, M.D., Ph.D.   Management   For   For  
1F.   Election of Director: Michael M. Morrissey, Ph.D.   Management   For   For  
1G.   Election of Director: Stelios Papadopoulos, Ph.D.   Management   For   For  
1H.   Election of Director: George Poste, DVM, Ph.D., FRS   Management   For   For  
1I.   Election of Director: Julie Anne Smith   Management   For   For  
1J.   Election of Director: Lance Willsey, M.D.   Management   For   For  
1K.   Election of Director: Jack L. Wyszomierski   Management   For   For  
2.   To ratify the selection by the Audit Committee of the Board of Directors of Ernst & Young LLP as Exelixis' independent registered public accounting firm for the fiscal year ending January 1, 2021.   Management   For   For  
3.   To amend and restate the Exelixis 2017 Equity Incentive Plan to, among other things, increase the number of shares authorized for issuance by 21,000,000 shares.   Management   For   For  
4.   To approve, on an advisory basis, the compensation of Exelixis' named executive officers, as disclosed in the accompanying Proxy Statement.   Management   For   For  

 

FATE THERAPEUTICS, INC.

 

Security 31189P102 Meeting Type Annual
Ticker Symbol FATE Meeting Date 01-May-2020
Record Date 06-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Robert S Epstein MD M.S       For   For  
    2 John D Mendlein PhD. JD       For   For  
    3 Karin Jooss, Ph.D.       For   For  
2.   To ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm of the Company for its fiscal year ending December 31, 2020.   Management   For   For  
3.   To approve, on a non-binding advisory basis, the compensation of the Company's named executive officers as disclosed in the proxy statement.   Management   For   For  

 

 

 

 

FIBROGEN, INC.

 

Security 31572Q808 Meeting Type Annual
Ticker Symbol FGEN Meeting Date 04-Jun-2020
Record Date 09-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Class III Director to hold office until the 2023 Annual Meeting of Stockholders: Enrique Conterno   Management   For   For  
1B.   Election of Class III Director to hold office until the 2023 Annual Meeting of Stockholders: Thomas F. Kearns, Jr.   Management   For   For  
1C.   Election of Class III Director to hold office until the 2023 Annual Meeting of Stockholders: Kalevi Kurkijärvi, Ph.D.   Management   For   For  
1D.   Election of Class III Director to hold office until the 2023 Annual Meeting of Stockholders: Gerald Lema   Management   For   For  
2.   To approve, on an advisory basis, the compensation of FibroGen's named executive officers, as disclosed in the proxy statement.   Management   For   For  
3.   To ratify the selection of PricewaterhouseCoopers LLP by the Audit Committee of the Board of Directors as the independent registered public accounting firm of FibroGen for the year ending December 31, 2020.   Management   For   For  

 

FOAMIX PHARMACEUTICALS LTD

 

Security M46135105 Meeting Type Special
Ticker Symbol FOMX Meeting Date 06-Feb-2020
Record Date 06-Jan-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Approval and adoption of (i) the Agreement and Plan of Merger dated November 10, 2019 (as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of December 4, 2019, and as may be amended from time to time, the "Merger Agreement"), by and among Menlo Therapeutics Inc. ("Menlo"), Giants Merger Subsidiary Ltd., an Israeli company and a wholly-owned subsidiary of Menlo ("Merger Sub") and Foamix Pharmaceuticals Ltd. ("Foamix"); (ii) the merger of Merger Sub with and into ...(due to space limits, see proxy material for full proposal).   Management   For   For  
1A.   By checking the box marked "FOR," the undersigned hereby confirms that he, she, or it is not Menlo, Merger Sub, or a Menlo Related Person. A "Menlo Related Person" is (a) a person holding, directly or indirectly, either (i) 25% or more of the voting rights of Menlo or Merger Sub, or (ii) the right to appoint 25% or more of the directors of Menlo or Merger Sub, (b) a person or entity acting on behalf of Menlo, Merger Sub or a person described in subsection (a) above, or (c) one of such ...(due to space limits, see proxy material for full proposal).   Management   For   For  
2.   Approval, on a non-binding, advisory basis, in accordance with the rules under the Securities Exchange Act of 1934, as amended, of certain compensation that may be paid or become payable to the named executive officers of Foamix in connection with the Merger and contemplated by the Merger Agreement.   Management   For   For  

 

GALERA THERAPEUTICS, INC.

 

Security N/A Meeting Type Written Consent
Ticker Symbol N/A Meeting Date 9-Jul-2019
Record Date N/A    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Election of Lawrence Alleva to the Board of Directors   Management   For   For  
2.   General Enabling Resolutions   Management   For   For  

 

GALERA THERAPEUTICS, INC.

 

Security N/A Meeting Type Written Consent
Ticker Symbol N/A Meeting Date 16-Oct-2019
Record Date N/A    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Form of Lock-Up Agreement   Management   For   For  

 

GALERA THERAPEUTICS, INC.

 

Security 36338D108 Meeting Type Annual
Ticker Symbol GRTX Meeting Date 09-Jun-2020
Record Date 16-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Michael Powell, Ph.D.       For   For  
    2 Linda West       For   For  
2.   To ratify the appointment of KPMG LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  

 

 

 

 

GENMAB A S

 

Security 372303206 Meeting Type Annual
Ticker Symbol GMAB Meeting Date 26-Mar-2020
Record Date 21-Feb-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
2.   Adoption of the audited Annual Report and discharge of the Board of Directors and the Executive Management.   Management   For   For  
3.   Decision as to the distribution of profit according to the adopted Annual Report.   Management   For   For  
4A.   Re-election of Director: Deirdre P. Connelly   Management   For   For  
4B.   Re-election of Director: Pernille Erenbjerg   Management   For   For  
4C.   Re-election of Director: Rolf Hoffmann   Management   For   For  
4D.   Re-election of Director: Dr. Paolo Paoletti   Management   For   For  
4E.   Re-election of Director: Dr. Anders Gersel Pedersen   Management   For   For  
4F.   Election of Director: Jonathan Peacock   Management   For   For  
5.   Re-election of auditor: PricewaterhouseCoopers Statsautoriseret Revisionspartnerselskab.   Management   For   For  
6A.   Proposals from the Board of Directors: Adoption of the Remuneration Policy for the Board of Directors and the Executive Management.   Management   For   For  
6B.   Proposals from the Board of Directors: Approval of the Board of Directors' remuneration for 2020.   Management   For   For  
6C.   Proposals from the Board of Directors: Amendment of Article 6 (provider of share registration services).   Management   For   For  
7.   Authorization of the chairman of the General Meeting to register resolutions passed by the General Meeting.   Management   For   For  

 

GILEAD SCIENCES, INC.

 

Security 375558103 Meeting Type Annual
Ticker Symbol GILD Meeting Date 06-May-2020
Record Date 13-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Director: Jacqueline K. Barton, Ph.D.   Management   For   For  
1B.   Election of Director: Sandra J. Horning, M.D.   Management   For   For  
1C.   Election of Director: Kelly A. Kramer   Management   For   For  
1D.   Election of Director: Kevin E. Lofton   Management   For   For  
1E.   Election of Director: Harish Manwani   Management   For   For  
1F.   Election of Director: Daniel P. O'Day   Management   For   For  
1G.   Election of Director: Richard J. Whitley, M.D.   Management   For   For  
1H.   Election of Director: Per Wold-Olsen   Management   For   For  
2.   To ratify the selection of Ernst & Young LLP by the Audit Committee of the Board of Directors as the independent registered public accounting firm of Gilead for the fiscal year ending December 31, 2020.   Management   For   For  
3.   To approve, on an advisory basis, the compensation of our Named Executive Officers as presented in the Proxy Statement.   Management   For   For  
4.   To vote on a stockholder proposal, if properly presented at the meeting, requesting that the Board adopt a policy that the Chairperson of the Board of Directors be an independent director.   Shareholder   For   Against  
5.   To vote on a stockholder proposal, if properly presented at the meeting, requesting that the Board eliminate the ownership threshold for stockholders to request a record date to take action by written consent.   Shareholder   For   Against  

 

GLOBAL BLOOD THERAPEUTICS, INC.

 

Security 37890U108 Meeting Type Annual
Ticker Symbol GBT Meeting Date 17-Jun-2020
Record Date 22-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Willie L. Brown, Jr.       For   For  
    2 Philip A. Pizzo, M.D.       For   For  
    3 Wendy Yarno       For   For  
2.   Approval, on a non-binding, advisory basis, of the compensation of the Company's named executive officers as disclosed in the proxy statement.   Management   For   For  
3.   Ratification of the appointment of KPMG LLP as the independent registered public accounting firm of the Company for its fiscal year ending December 31, 2020.   Management   For   For  

 

 

 

 

GUARDANT HEALTH, INC.

 

Security 40131M109 Meeting Type Annual
Ticker Symbol GH Meeting Date 12-Jun-2020
Record Date 20-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Class II Director: Ian Clark   Management   For   For  
1B.   Election of Class II Director: Samir Kaul   Management   For   For  
2.   Ratification of the appointment of Ernst & Young LLP as Guardant Health, Inc.'s independent registered public accounting firm for the year ending December 31, 2020.   Management   For   For  
3.   Advisory vote on the frequency of stockholder advisory votes regarding the compensation of our named executive officers.   Management   1 Year   For  

 

GW PHARMACEUTICALS PLC

 

Security 36197T103 Meeting Type Annual
Ticker Symbol GWPH Meeting Date 26-May-2020
Record Date 31-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   To re-elect Dr. Geoffrey W. Guy as a Director   Management   For   For  
2.   To re-elect Cabot Brown as a Director   Management   For   For  
3.   To approve the 2020 Long Term Incentive Plan   Management   For   For  
4.   To approve the Directors' Remuneration Report   Management   For   For  
5.   To approve the compensation of the Company's named executive officers   Management   For   For  
6.   To ratify the appointment of Deloitte and Touche LLP as the Company's US public accounting firm   Management   For   For  
7.   To re-appoint Deloitte LLP as the UK Auditor   Management   For   For  
8.   To authorise the Directors to determine the Auditors' remuneration   Management   For   For  
9.   To receive, consider and adopt the Directors' and Auditors' Reports and Statement of Accounts for the 12- month period ended 31 December 2019 and note that the Directors do not recommend the payment of a dividend   Management   For   For  
10.   To authorise the Directors to allot shares pursuant to Section 551 of the Companies Act 2006 (the "2006 Act") such authority to be valid up to 26 May 2021   Management   For   For  
11.   Subject to the passing of Resolution 10, to authorise the Directors to allot equity securities, under Section 570 of the 2006 Act as if Section 561(1) of the 2006 Act did not apply to such allotment   Management   For   For  

 

HERON THERAPEUTICS, INC.

 

Security 427746102 Meeting Type Annual
Ticker Symbol HRTX Meeting Date 17-Jun-2020
Record Date 20-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Director: Kevin Tang   Management   For   For  
1B.   Election of Director: Barry Quart, Pharm.D.   Management   For   For  
1C.   Election of Director: Stephen Davis   Management   For   For  
1D.   Election of Director: Craig Johnson   Management   For   For  
1E.   Election of Director: Kimberly Manhard   Management   For   For  
1F.   Election of Director: John Poyhonen   Management   For   For  
1G.   Election of Director: Christian Waage   Management   For   For  
2.   To ratify the appointment of OUM & Co. LLP as the Company's independent registered public accounting firm for the year ending December 31, 2020.   Management   For   For  
3.   To approve, on an advisory basis, compensation paid to the Company's Named Executive Officers during the year ended December 31, 2019.   Management   For   For  

 

HORIZON THERAPEUTICS PLC

 

Security G46188101 Meeting Type Annual
Ticker Symbol HZNP Meeting Date 30-Apr-2020
Record Date 25-Feb-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Class III Director: Gino Santini   Management   For   For  
1B.   Election of Class III Director: James Shannon, M.D.   Management   For   For  
1C.   Election of Class III Director: Timothy Walbert   Management   For   For  
2.   Approval of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending December 31, 2020 and authorization of the Audit Committee to determine the auditors' remuneration.   Management   For   For  
3.   Approval, on an advisory basis, of the compensation of our named executive officers, as disclosed in the Proxy Statement.   Management   For   For  
4.   Authorization for us and/or any of our subsidiaries to make market purchases or overseas market purchases of our ordinary shares.   Management   For   For  
5.   Approval of the 2020 Equity Incentive Plan.   Management   For   For  
6.   Approval of the 2020 Employee Share Purchase Plan.   Management   For   For  

 

 

 

 

IDEXX LABORATORIES, INC.

 

Security 45168D104 Meeting Type Annual
Ticker Symbol IDXX Meeting Date 06-May-2020
Record Date 09-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Director: Rebecca M. Henderson, PhD   Management   For   For  
1B.   Election of Director: Lawrence D. Kingsley   Management   For   For  
1C.   Election of Director: Sophie V. Vandebroek, PhD   Management   For   For  
2.   Ratification of Appointment of Independent Registered Public Accounting Firm. To ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the current fiscal year (Proposal Two).   Management   For   For  
3.   Advisory Vote on Executive Compensation. To approve a nonbinding advisory resolution on the Company's executive compensation (Proposal Three).   Management   For   For  

 

ILLUMINA, INC.

 

Security 452327109 Meeting Type Annual
Ticker Symbol ILMN Meeting Date 27-May-2020
Record Date 30-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Director: Caroline Dorsa   Management   For   For  
1B.   Election of Director: Robert S. Epstein, M.D.   Management   For   For  
1C.   Election of Director: Scott Gottlieb, M.D.   Management   For   For  
1D.   Election of Director: Philip W. Schiller   Management   For   For  
2.   To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending January 3, 2021.   Management   For   For  
3.   To approve, on an advisory basis, the compensation of the named executive officers as disclosed in the Proxy Statement.   Management   For   For  
4.   To approve, on an advisory basis, a stockholder proposal regarding political disclosures.   Shareholder   Against   For  

 

ILLUMINOSS MEDICAL, INC.

 

Security N/A Meeting Type Written Consent
Ticker Symbol N/A Meeting Date 1-Jul-2019
Record Date N/A    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Amendment to Sixth Amended and Restated Certification of Incorporation   Management   For   For  
2.   Amendment No. 5 to Amended and Restated Secured Note and Warrant Purchase Agreement   Management   For   For  
3.   General Authorizing Resolution   Management   For   For  

 

ILLUMINOSS MEDICAL, INC.

 

Security N/A Meeting Type Written Consent
Ticker Symbol N/A Meeting Date 21-Apr-2020
Record Date N/A    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Merger; Agreement and Plan of Merger   Management   For   For  
2.   General Ratification and Authorization   Management   For   For  

 

IMMUNOGEN, INC.

 

Security 45253H101 Meeting Type Annual
Ticker Symbol IMGN Meeting Date 17-Jun-2020
Record Date 13-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   To fix the number of members of the Board of Directors at seven (7).   Management   For   For  
2.   DIRECTOR   Management          
    1 Stephen C. McCluski       For   For  
    2 Richard J. Wallace       For   For  
    3 Mark Goldberg, MD       For   For  
    4 Dean J. Mitchell       For   For  
    5 Kristine Peterson       For   For  
    6 Mark J. Enyedy       For   For  
    7 Stuart A. Arbuckle       For   For  
3.   To approve an amendment to our Restated Articles of Organization to increase the number of authorized shares of common stock from 200,000,000 to 300,000,000.   Management   For   For  
4.   To approve, on an advisory basis, the compensation paid to our named executive officers, as disclosed in our proxy statement.   Management   For   For  

 

 

 

 

 

 

IMMUNOMEDICS, INC.

 

Security 452907108 Meeting Type Annual
Ticker Symbol IMMU Meeting Date 18-Jun-2020
Record Date 24-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.1   Election of Director: Dr. Behzad Aghazadeh   Management   For   For  
1.2   Election of Director: Robert Azelby   Management   For   For  
1.3   Election of Director: Dr. Charles M. Baum   Management   For   For  
1.4   Election of Director: Scott Canute   Management   For   For  
1.5   Election of Director: Barbara G. Duncan   Management   For   For  
1.6   Election of Director: Peter Barton Hutt   Management   For   For  
1.7   Election of Director: Dr. Khalid Islam   Management   For   For  
1.8   Election of Director: Harout Semerjian   Management   For   For  
2.   Proposal to approve the compensation of our named executive officers.   Management   For   For  
3.   Proposal to approve the amendment and restatement of the Company's certificate of incorporation.   Management   For   For  
4.   Proposal to approve the amendment and restatement of the Company's 2014 Long-Term Incentive Plan.   Management   For   For  
5.   Proposal to approve and adopt the Company's 2020 Employee Stock Purchase Plan.   Management   For   For  
6.   Proposal to ratify the appointment of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  

 

INCYTE CORPORATION

 

Security 45337C102 Meeting Type Annual
Ticker Symbol INCY Meeting Date 26-May-2020
Record Date 01-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.1   Election of Director: Julian C. Baker   Management   For   For  
1.2   Election of Director: Jean-Jacques Bienaimé   Management   For   For  
1.3   Election of Director: Paul J. Clancy   Management   For   For  
1.4   Election of Director: Wendy L. Dixon   Management   For   For  
1.5   Election of Director: Jacqualyn A. Fouse   Management   For   For  
1.6   Election of Director: Paul A. Friedman   Management   For   For  
1.7   Election of Director: Edmund P. Harrigan   Management   For   For  
1.8   Election of Director: Katherine A. High   Management   For   For  
1.9   Election of Director: Hervé Hoppenot   Management   For   For  
2.   To approve, on a non-binding, advisory basis, the compensation of the Company's named executive officers.   Management   For   For  
3.   To approve an amendment to the Company's 1997 Employee Stock Purchase Plan.   Management   For   For  
4.   To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for 2020.   Management   For   For  
5.   To vote on a stockholder proposal, if properly presented, described in more detail in the proxy statement.   Shareholder   Against   For  

 

INOGEN, INC.

 

Security 45780L104 Meeting Type Annual
Ticker Symbol INGN Meeting Date 11-May-2020
Record Date 13-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Heath Lukatch, Ph.D.       For   For  
    2 Raymond Huggenberger       For   For  
2.   To ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for the year ending December 31, 2020.   Management   For   For  
3.   Approval on an advisory basis of our executive compensation for the fiscal year ended December 31, 2019.   Management   For   For  

 

  

 

 

INSMED INCORPORATED

 

Security 457669307 Meeting Type Annual
Ticker Symbol INSM Meeting Date 12-May-2020
Record Date 18-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Clarissa Desjardins PhD       For   For  
    2 David W.J. McGirr       For   For  
    3 E. McKee Anderson       For   For  
2.   Advisory vote on the 2019 compensation of our named executive officers.   Management   For   For  
3.   Ratification of the appointment of Ernst & Young LLP as the independent registered public accounting firm for Insmed Incorporated for the year ending December 31, 2020.   Management   For   For  
4.   Approval of an amendment to the Insmed Incorporated 2019 Incentive Plan.   Management   For   For  

 

INTELLIA THERAPEUTICS, INC.

 

Security 45826J105 Meeting Type Annual
Ticker Symbol NTLA Meeting Date 18-Jun-2020
Record Date 20-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Jean-François Formela       For   For  
    2 Jesse Goodman, M.D MPH       For   For  
2.   Ratification of the appointment of Deloitte & Touche LLP as Intellia's independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  
3.   Approve, on an advisory basis, the compensation of the named executive officers.   Management   For   For  

 

INTERCEPT PHARMACEUTICALS, INC.

 

Security 45845P108 Meeting Type Annual
Ticker Symbol ICPT Meeting Date 28-May-2020
Record Date 06-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Director: Paolo Fundarò   Management   For   For  
1B.   Election of Director: Mark Pruzanski, M.D.   Management   For   For  
1C.   Election of Director: Srinivas Akkaraju, M.D., Ph.D.   Management   For   For  
1D.   Election of Director: Luca Benatti, Ph.D.   Management   For   For  
1E.   Election of Director: Daniel Bradbury   Management   For   For  
1F.   Election of Director: Keith Gottesdiener, M.D.   Management   For   For  
1G.   Election of Director: Nancy Miller-Rich   Management   For   For  
1H.   Election of Director: Gino Santini   Management   For   For  
1I.   Election of Director: Glenn Sblendorio   Management   For   For  
1J.   Election of Director: Daniel Welch   Management   For   For  
2.   FOR the approval of an amendment to the Company's Restated Certificate of Incorporation to increase the number of authorized shares of common stock from 45,000,000 to 90,000,000.   Management   For   For  
3.   FOR the approval, on a non-binding, advisory basis, of the compensation of the Company's named executive officers.   Management   For   For  
4.   FOR the ratification of the appointment of KPMG LLP as the independent registered public accounting firm of the Company for the year ending December 31, 2020.   Management   For   For  

 

INTRA-CELLULAR THERAPIES INC

 

Security 46116X101 Meeting Type Annual
Ticker Symbol ITCI Meeting Date 27-May-2020
Record Date 06-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Richard Lerner, M.D.       For   For  
2.   To approve an amendment and restatement of the Company's 2018 Equity Incentive Plan.   Management   For   For  
3.   To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  
4.   To approve by an advisory vote the compensation of the Company's named executive officers, as disclosed in the proxy statement.   Management   For   For  

 

IO LIGHT HOLDINGS INC.

 

Security N/A Meeting Type Written Consent
Ticker Symbol N/A Meeting Date 29-Apr-2020
Record Date N/A    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1   Shareholder rights   Management   For   For  

 

  

 

 

IONIS PHARMACEUTICALS, INC.

 

Security 462222100 Meeting Type Annual
Ticker Symbol IONS Meeting Date 04-Jun-2020
Record Date 06-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Joseph Wender       For   For  
    2 B. Lynne Parshall       For   For  
    3 Spencer Berthelsen       For   For  
    4 Joan Herman       For   For  
2.   To approve an amendment and restatement of the Ionis Pharmaceuticals, Inc. 2002 Non-Employee Directors' Stock Option Plan to, among other things, increase the aggregate number of shares of common stock authorized for issuance under such plan by 800,000 shares to an aggregate of 2,800,000 shares, reduce the amount of the automatic awards under the plan, revise the vesting schedule of awards and extend the term of the plan.   Management   For   For  
3.   To ratify amending the existing stock option and restricted stock unit awards of directors to adjust vesting.   Management   For   For  
4.   To approve, by non-binding vote, executive compensation.   Management   For   For  
5.   Ratify the Audit Committee's selection of Ernst & Young LLP as independent auditors for the 2020 fiscal year.   Management   For   For  

 

IOVANCE BIOTHERAPEUTICS, INC.

 

Security 462260100 Meeting Type Annual
Ticker Symbol IOVA Meeting Date 08-Jun-2020
Record Date 16-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Iain Dukes, D. Phil       For   For  
    2 Maria Fardis, PhD, MBA       For   For  
    3 Athena Countouriotis MD       For   For  
    4 Ryan Maynard       For   For  
    5 Merrill A. McPeak       For   For  
    6 Wayne P. Rothbaum       For   For  
    7 Michael Weiser, MD, PhD       For   For  
2.   To approve, by non-binding advisory vote, the compensation of our named executive officers   Management   For   For  
3.   To approve, by non-binding advisory vote, the frequency of future votes on the compensation of our named executive officers   Management   For   For  
4.   To approve an amendment to our 2018 Equity Incentive Plan to increase the number of shares of common stock authorized for issuance thereunder from 6,000,000 shares to 14,000,000 shares   Management   For   For  
5.   To approve our 2020 Employee Stock Purchase Plan   Management   For   For  
6.   To ratify the appointment of Marcum LLP as our independent registered public accounting firm for our fiscal year ending December 31, 2020   Management   For   For  

 

JAZZ PHARMACEUTICALS PLC

 

Security G50871105 Meeting Type Annual
Ticker Symbol JAZZ Meeting Date 01-Aug-2019
Record Date 05-Jun-2019    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1a.   Election of Director: Paul L. Berns   Management   For   For  
1b.   Election of Director: Patrick G. Enright   Management   For   For  
1c.   Election of Director: Seamus Mulligan   Management   For   For  
1d.   Election of Director: Norbert G. Riedel   Management   For   For  
2.   To ratify, on a non-binding advisory basis, the appointment of KPMG, Dublin as the independent auditors of Jazz Pharmaceuticals plc for the fiscal year ending December 31, 2019 and to authorize, in a binding vote, the board of directors, acting through the audit committee, to determine the auditors' remuneration.   Management   For   For  
3.   To approve, on a non-binding advisory basis, the compensation of Jazz Pharmaceuticals plc's named executive officers as disclosed in the proxy statement.   Management   For   For  

 

KODIAK SCIENCES INC.

 

Security 50015M109 Meeting Type Annual
Ticker Symbol KOD Meeting Date 08-Jun-2020
Record Date 09-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Taiyin Yang, Ph.D.       For   For  
    2 Bassil I. Dahiyat, PhD       For   For  
    3 Charles Bancroft       For   For  
2.   To ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for the year ending December 31, 2020.   Management   For   For  

 

  

 

 

LIGAND PHARMACEUTICALS INCORPORATED

 

Security 53220K504 Meeting Type Annual
Ticker Symbol LGND Meeting Date 10-Jun-2020
Record Date 14-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Jason M. Aryeh       For   For  
    2 Sarah Boyce       For   For  
    3 Todd C. Davis       For   For  
    4 Nancy R. Gray, Ph.D.       For   For  
    5 John L. Higgins       For   For  
    6 John W. Kozarich, Ph.D.       For   For  
    7 John L. LaMattina, Ph.D       For   For  
    8 Sunil Patel       For   For  
    9 Stephen L. Sabba, M.D.       For   For  
2.   Ratification of Ernst & Young LLP as Ligand's Independent Registered Public Accounting Firm.   Management   For   For  
3.   Approval, on an advisory basis, of the Compensation of the Named Executive Officers.   Management   For   For  

 

MADRIGAL PHARMACEUTICALS INC.

 

Security 558868105 Meeting Type Annual
Ticker Symbol MDGL Meeting Date 17-Jun-2020
Record Date 24-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Paul A. Friedman, M.D.       For   For  
    2 Kenneth M. Bate       For   For  
    3 James M. Daly       For   For  
2.   To ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  
3.   Advisory vote on compensation of named executive officers.   Management   For   For  
4.   In their discretion, the proxies are authorized to vote and act upon any other matters which may properly come before the meeting or any adjournment or postponement thereof.   Management   For   For  

 

MAGENTA THERAPEUTICS INC

 

Security 55910K108 Meeting Type Annual
Ticker Symbol MGTA Meeting Date 05-Jun-2020
Record Date 06-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Jeffrey Albers       For   For  
    2 Michael W. Bonney       For   For  
    3 Anne McGeorge       For   For  
    4 David T. Scadden, M.D.       For   For  
2.   To ratify the appointment of KPMG LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  

 

MEDPACE HOLDINGS, INC.

 

Security 58506Q109 Meeting Type Annual
Ticker Symbol MEDP Meeting Date 15-May-2020
Record Date 20-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Brian T. Carley       For   For  
    2 Thomas C. King       For   For  
    3 Robert O. Kraft       For   For  
2.   To ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for the year ending December 31, 2020.   Management   For   For  
3.   To approve, on an advisory basis, the compensation of our named executive officers as disclosed in the proxy statement for the 2020 Annual Meeting.   Management   For   For  
4.   To recommend, on an advisory basis, the frequency of the advisory vote on named executive officer compensation.   Management   1 Year   For  

 

  

 

 

MILESTONE PHARMACEUTICALS INC.

 

Security 59935V107 Meeting Type Annual
Ticker Symbol MIST Meeting Date 05-Jun-2020
Record Date 07-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1   DIRECTOR   Management          
    1 Joseph Oliveto       For   For  
    2 Paul Edick       For   For  
    3 Richard Pasternak       For   For  
    4 Debra K. Liebert       For   For  
    5 Michael Tomsicek       For   For  
    6 Paul Truex       For   For  
2   Appointment of PricewaterhouseCoopers LLP as auditors for the Company to hold office until the close of the 2021 Annual Meeting of Shareholders and the Board of Directors of the Company is hereby authorized to fix the auditors' remuneration.   Management   For   For  

 

MIRATI THERAPEUTICS, INC.

 

Security 60468T105 Meeting Type Annual
Ticker Symbol MRTX Meeting Date 12-May-2020
Record Date 19-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Charles M. Baum       For   For  
    2 Bruce L.A. Carter       For   For  
    3 Julie M. Cherrington       For   For  
    4 Aaron I. Davis       For   For  
    5 Henry J. Fuchs       For   For  
    6 Michael Grey       For   For  
    7 Faheem Hasnain       For   For  
    8 Craig Johnson       For   For  
    9 Maya Martinez-Davis       For   For  
2.   To approve, on an advisory basis, the compensation paid to our named executive officers as disclosed in the proxy statement.   Management   For   For  
3.   To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for our fiscal year ending December 31, 2020.   Management   For   For  

 

MODERNA, INC.

 

Security 60770K107 Meeting Type Annual
Ticker Symbol MRNA Meeting Date 29-Apr-2020
Record Date 02-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Stephen Berenson       For   For  
    2 Sandra Horning, MD       For   For  
    3 Paul Sagan       For   For  
2.   To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the year ending December 31, 2020.   Management   For   For  
3.   To cast a non-binding, advisory vote to approve the compensation of our named executive officers.   Management   For   For  
4.   To cast a non-binding, advisory vote on the frequency of future non-binding, advisory votes to approve the compensation of our named executive officers every.   Management   2 Years   Against  

 

MOLECULAR TEMPLATES, INC.

 

Security 608550109 Meeting Type Annual
Ticker Symbol MTEM Meeting Date 28-May-2020
Record Date 08-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.1   Election of Director: Eric E. Poma, Ph.D.   Management   For   For  
1.2   Election of Director: Harold E. Selick, Ph.D.   Management   For   For  
2.   Ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  
3.   Approve on an advisory basis the compensation of the Company's named executive officers, as disclosed pursuant to the compensation disclosure rules of the Securities and Exchange Commission.   Management   For   For  

  

 

 

MOMENTA PHARMACEUTICALS, INC.

 

Security 60877T100 Meeting Type Annual
Ticker Symbol MNTA Meeting Date 23-Jun-2020
Record Date 27-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Class I Director: Bruce L. Downey   Management   For   For  
1B.   Election of Class I Director: Georges Gemayel   Management   For   For  
2.   To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020   Management   For   For  
3.   To approve, on an advisory (non-binding) basis, the compensation of our named executive officers   Management   For   For  
4.   To approve the amendment and restatement of the Momenta Pharmaceuticals, Inc. 2013 Incentive Award Plan, which, among other things, increases the number of shares authorized for issuance by 7,000,000 shares.   Management   For   For  

 

MYLAN N.V.

 

Security N59465109 Meeting Type Special
Ticker Symbol MYL Meeting Date 15-Jun-2020
Record Date 05-Feb-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Approval of the Combination Proposal: (A) Approval of the Mylan Merger; (B) Approval of the Share Sale; (C) Approval of the Mylan Newco Liquidation; (D) Approval of the Alternative Transaction Structure; and (E) Approval of the Discharge of Directors (in each case with the foregoing capitalized terms as defined in the accompanying proxy statement).   Management   For   For  
2.   Adoption of a non-binding, advisory resolution to adopt the compensation that will or may be paid or become payable to Mylan's named executive officers in connection with, or following, the consummation of the Combination as described in the proxy statement.   Management   For   For  
3.   Adoption of a non-binding, advisory resolution to adopt certain features of Newco's governance which will replace the corresponding features of Mylan's governance, effective upon the closing of the Combination, relating to (i) the right of stockholders to nominate directors and make other stockholder proposals at stockholder meetings and (ii) director terms and stockholder removal of directors.   Management   For   For  
4.   Adoption of a non-binding, advisory resolution to adopt certain features of Newco's governance which will replace the corresponding features of Mylan's governance, effective upon the closing of the Combination, relating to the right of stockholders to call special meetings of stockholders.   Management   For   For  

 

MYLAN N.V.

 

Security N59465109 Meeting Type Special
Ticker Symbol MYL Meeting Date 30-Jun-2020
Record Date 02-Jun-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Appointment of the Director: Heather Bresch   Management   For   For  
1B.   Appointment of the Director: Hon. Robert J. Cindrich   Management   For   For  
1C.   Appointment of the Director: Robert J. Coury   Management   For   For  
1D.   Appointment of the Director: JoEllen Lyons Dillon   Management   For   For  
1E.   Appointment of the Director: Neil Dimick, C.P.A.   Management   For   For  
1F.   Appointment of the Director: Melina Higgins   Management   For   For  
1G.   Appointment of the Director: Harry A. Korman   Management   For   For  
1H.   Appointment of the Director: Rajiv Malik   Management   For   For  
1I.   Appointment of the Director: Richard Mark, C.P.A.   Management   For   For  
1J.   Appointment of the Director: Mark W. Parrish   Management   For   For  
1K.   Appointment of the Director: Pauline van der Meer Mohr   Management   For   For  
1L.   Appointment of the Director: Randall L. (Pete) Vanderveen, Ph.D.   Management   For   For  
1M.   Appointment of the Director: Sjoerd S. Vollebregt   Management   For   For  
2.   Approval, on an advisory basis, of the compensation of the named executive officers of the Company.   Management   For   For  
3.   Adoption of the Dutch annual accounts for fiscal year 2019.   Management   For   For  
4.   Ratification of the selection of Deloitte & Touche LLP as Mylan's independent registered public accounting firm for fiscal year 2020.   Management   For   For  
5.   Instruction to Deloitte Accountants B.V. for the audit of Mylan's Dutch statutory annual accounts for fiscal year 2020.   Management   For   For  
6.   Authorization of the Board to acquire shares in the capital of the Company.   Management   For   For  
7.   Delegation to the Board of the authority to issue ordinary shares and grant rights to subscribe for ordinary shares in the capital of the Company and to exclude or restrict pre-emptive rights.   Management   For   For  
E1E   Approval of the Combination Proposal. ...(due to space limits, see proxy material for full proposal).   Management   For   For  
E2E   Adoption of a non-binding, advisory resolution to adopt the compensation that will or may be paid or become payable to Mylan's named executive officers in connection with, or following, the consummation of the Combination as described in the proxy statement.   Management   For   For  
E3E   Adoption of a non-binding, advisory resolution to adopt certain features of Newco's governance which will replace the corresponding features of Mylan's governance, effective upon the closing of the Combination, relating to (i) the right of stockholders to nominate directors and make other stockholder proposals at stockholder meetings and (ii) director terms and stockholder removal of directors.   Management   For   For  
E4E   Adoption of a non-binding, advisory resolution to adopt certain features of Newco's governance which will replace the corresponding features of Mylan's governance, effective upon the closing of the Combination, relating to the right of stockholders to call special meetings of stockholders.   Management   For   For  

  

 

 

MYOKARDIA, INC.

 

Security 62857M105 Meeting Type Annual
Ticker Symbol MYOK Meeting Date 18-Jun-2020
Record Date 20-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 David P. Meeker, M.D.       For   For  
    2 Mark L. Perry       For   For  
    3 Wendy L. Yarno       For   For  
2.   To ratify the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm of the Company for its fiscal year ending December 31, 2020.   Management   For   For  
3.   To recommend, on a non-binding advisory basis, the compensation of the Company's named executive officers as disclosed in the proxy statement.   Management   For   For  

 

MYRIAD GENETICS, INC.

 

Security 62855J104 Meeting Type Annual
Ticker Symbol MYGN Meeting Date 05-Dec-2019
Record Date 08-Oct-2019    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Mark C. Capone       For   For  
    2 Heiner Dreismann Ph.D.       For   For  
    3 Colleen F. Reitan       For   For  
2.   To approve a proposed amendment to our 2017 Employee, Director and Consultant Equity Incentive Plan, as amended.   Management   For   For  
3.   To ratify the selection of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending June 30, 2020.   Management   For   For  
4.   To approve, on an advisory basis, the compensation of our named executive officers, as disclosed in the proxy statement.   Management   For   For  

 

NEKTAR THERAPEUTICS

 

Security 640268108 Meeting Type Annual
Ticker Symbol NKTR Meeting Date 17-Jun-2020
Record Date 20-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Director: Karin Eastham   Management   For   For  
1B.   Election of Director: Myriam J. Curet   Management   For   For  
1C.   Election of Director: Howard W. Robin   Management   For   For  
2.   To approve an amendment of our Amended and Restated 2017 Performance Incentive Plan to increase the aggregate number of shares of common stock authorized for issuance under the plan by 10,000,000 shares.   Management   For   For  
3.   To approve an amendment and restatement of our Amended and Restated Employee Stock Purchase Plan to increase the aggregate number of shares of common stock authorized under the plan by 1,000,000 shares.   Management   For   For  
4.   To ratify the selection of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  
5.   To approve a non-binding advisory resolution regarding our executive compensation (a "say-on-pay" vote).   Management   For   For  

 

  

 

 

NEUROCRINE BIOSCIENCES, INC.

 

Security 64125C109 Meeting Type Annual
Ticker Symbol NBIX Meeting Date 19-May-2020
Record Date 23-Mar-2020    

 

Item   Proposal   Proposed 
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Kevin C. Gorman, Ph.D.       For   For  
    2 Gary A. Lyons       For   For  
2.   Advisory vote to approve the compensation paid to the Company's named executive officers.   Management   For   For  
3.   To approve the Company's 2020 Equity Incentive Plan.   Management   For   For  
4.   To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  

 

NOVAVAX, INC.

 

Security 670002401 Meeting Type Annual
Ticker Symbol NVAX Meeting Date 25-Jun-2020
Record Date 29-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Stanley C. Erck       For   For  
    2 Rajiv I. Modi, Ph.D.       For   For  
2.   To approve, on an advisory basis, the compensation paid to our Named Executive Officers.   Management   For   For  
3.   To amend and restate the Novavax, Inc. Amended and Restated 2015 Stock Incentive Plan, as amended to increase individual and non-employee director stock award limits granted to any person in any calendar year, and to increase the number of shares of the Company's common stock, par value $0.01, available for issuance thereunder by 7,100,000 shares.   Management   For   For  
4.   To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  

 

NOVOCURE LIMITED

 

Security G6674U108 Meeting Type Annual
Ticker Symbol NVCR Meeting Date 10-Jun-2020
Record Date 03-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Director: Jeryl Hilleman   Management   For   For  
1B.   Election of Director: David Hung   Management   For   For  
1C.   Election of Director: Kinyip Gabriel Leung   Management   For   For  
1D.   Election of Director: Martin Madden   Management   For   For  
1E.   Election of Director: Sherilyn McCoy   Management   For   For  
2.   The approval and ratification of the appointment, by the Audit Committee of our Board of Directors, of Kost Forer Gabbay & Kasierer, a member of Ernst & Young Global, as the auditor and independent registered public accounting firm of the Company for the Company's fiscal year ending December 31, 2020.   Management   For   For  
3.   A non-binding advisory vote to approve executive compensation.   Management   For   For  

 

OCULIS SA

 

Security   Meeting Type Extraordinary General Meeting
Ticker Symbol   Meeting Date 26-Nov-2019
Record Date      

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Ordinary Share Capital Increase   Management   For   For  
2.   Conditional Share Capital Increase   Management   For   For  

 

OCULIS SA

 

Security N/A Meeting Type Written Consent
Ticker Symbol N/A Meeting Date 9-Mar-2020
Record Date N/A    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Ordinary Share Capital Increase   Management   For   For  
2.   Conditional Share Capital Increase   Management   For   For  

 

OCULIS SA

 

Security N/A Meeting Type Written Consent
Ticker Symbol N/A Meeting Date 9-Mar-2020
Record Date N/A    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Ordinary Share Capital Increase   Management   For   For  
2.   Conditional Share Capital Increase   Management   For   For  

 

  

 

 

OCULIS SA

 

Security N/A Meeting Type Annual General Meeting
Ticker Symbol N/A Meeting Date 25-Jun-2020
Record Date N/A    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Approval of Annual Report including Financial Statements   Management   For   For  
2.   Appropriation of Balance Sheet Result 2019   Management   For   For  
3.   Discharge of the Members of the Board and Management   Management   For   For  
4.   Re-Election of Board of Directors   Management   For   For  
5.   Re-Election of the Auditors   Management   For   For  

 

OVID THERAPEUTICS INC.

 

Security 690469101 Meeting Type Annual
Ticker Symbol OVID Meeting Date 04-Jun-2020
Record Date 09-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Class III director to hold office until the 2023 Annual Meeting of Stockholders: Jeremy M. Levin   Management   For   For  
1B.   Election of Class III director to hold office until the 2023 Annual Meeting of Stockholders: Karen Bernstein   Management   For   For  
2.   Ratification of the selection of KPMG LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  

 

PIERIS PHARMACEUTICALS, INC.

 

Security 720795103 Meeting Type Annual
Ticker Symbol PIRS Meeting Date 31-Jul-2019
Record Date 03-Jun-2019    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 James Geraghty       For   For  
    2 Ann Barbier, M.D.,Ph.D.       For   For  
2.   Approve the Company's 2019 Employee, Director and Consultant Equity Incentive Plan.   Management   For   For  
3.   Ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2019.   Management   For   For  

 

PIERIS PHARMACEUTICALS, INC.

 

Security 720795103 Meeting Type Annual
Ticker Symbol PIRS Meeting Date 23-Jun-2020
Record Date 24-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Stephen S. Yoder       For   For  
    2 Michael Richman       For   For  
    3 Matthew L. Sherman, M.D       For   For  
2.   Approve the Company's 2020 Employee, Director and Consultant Equity Incentive Plan.   Management   For   For  
3.   Ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  
4   Approve, on non-binding advisory basis, the compensation of the Company's named executive officers, as disclosed in this proxy statement.   Management   For   For  
5.   The preferred frequency for future non-binding advisory votes to approve the compensation of the Company's named executive officers.   Management   1 Year   For  

 

PORTOLA PHARMACEUTICALS, INC.

 

Security 737010108 Meeting Type Annual
Ticker Symbol PTLA Meeting Date 12-Jun-2020
Record Date 17-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Jeffrey Bird, M.D., PhD       For   For  
    2 John H. Johnson       For   For  
    3 H. Ward Wolff       For   For  
2.   To approve, on an advisory basis, the compensation of the Company's named executive officers, as disclosed in this proxy statement.   Management   For   For  
3.   To ratify the selection of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  

 

  

 

 

 

PRA HEALTH SCIENCES, INC.

 

Security 69354M108 Meeting Type Annual
Ticker Symbol PRAH Meeting Date 18-May-2020
Record Date 20-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Colin Shannon       For   For  
    2 James C. Momtazee       For   For  
    3 Alexander G. Dickinson       For   For  
2.   To ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for 2020.   Management   For   For  
3.   Approval, in a non-binding advisory vote, of the compensation paid to the Company's named executive officers.   Management   For   For  
4.   Approval of the PRA Health Sciences, Inc. 2020 Stock Incentive Plan.   Management   For   For  

 

PTC THERAPEUTICS, INC.

 

Security 69366J200 Meeting Type Annual
Ticker Symbol PTCT Meeting Date 10-Jun-2020
Record Date 17-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1   DIRECTOR   Management          
    1 Stephanie S. Okey, M.S.       For   For  
    2 Stuart W. Peltz, Ph.D.       For   For  
    3 Jerome B. Zeldis, M.D.       For   For  
2   Ratification of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  
3   Advisory vote to approve named executive officer compensation.   Management   For   For  

 

PUMA BIOTECHNOLOGY, INC.

 

Security 74587V107 Meeting Type Annual
Ticker Symbol PBYI Meeting Date 09-Jun-2020
Record Date 15-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Alan H. Auerbach       For   For  
    2 Ann C. Miller       For   For  
    3 Michael P. Miller       For   For  
    4 Jay M. Moyes       For   For  
    5 Hugh O'Dowd       For   For  
    6 Adrian M. Senderowicz       For   For  
    7 Troy E. Wilson       For   For  
    8 Frank E. Zavrl       For   For  
2.   Ratification of the selection of KPMG LLP as independent registered public accounting firm of Puma Biotechnology, Inc. for the fiscal year ending December 31, 2020.   Management   For   For  
3.   Advisory (non-binding) vote to approve the compensation of Puma Biotechnology, Inc.'s named executive officers as described in the proxy statement.   Management   For   For  

 

QUOTIENT LIMITED

 

Security G73268107 Meeting Type Annual
Ticker Symbol QTNT Meeting Date 30-Oct-2019
Record Date 28-Aug-2019    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Franz Walt       For   For  
    2 Thomas Bologna       For   For  
    3 Frederick Hallsworth       For   For  
    4 Brian McDonough       For   For  
    5 Sarah O'Connor       For   For  
    6 Heino von Prondzynski       For   For  
    7 Zubeen Shroff       For   For  
    8 John Wilkerson       For   For  
9.   Proposal to re-appoint Ernst & Young LLP as our auditors to hold office from the conclusion of this meeting until the conclusion of the Annual Meeting of the Company to be held in 2020, that the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for purposes of United States securities law reporting for the fiscal year ending March 31, 2020 be ratified and that the directors be authorized.   Management   For   For  

 

 

 

 

RAINIER THERAPEUTICS, INC.

 

Security N/A Meeting Type Written Consent
Ticker Symbol N/A Meeting Date 11-Jul-2019
Record Date N/A    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Authorization and Approval of Unsecured Note Amendment and Secured Note Financing   Management   For   For  
2.   Security Interest Grant to Note Recipients   Management   For   For  
3.   General Authorizing Resolution   Management   For   For  

 

RAINIER THERAPEUTICS, INC.

 

Security N/A Meeting Type Written Consent
Ticker Symbol N/A Meeting Date 30-Oct-2019
Record Date N/A    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Adoption of Change in Control Retention Plan   Management   For   For  
2.   General Authorizing Resolution   Management   For   For  

 

RAINIER THERAPEUTICS, INC.

 

Security N/A Meeting Type Written Consent
Ticker Symbol N/A Meeting Date 3-Mar-2020
Record Date N/A    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Asset Purchase Agreement   Management   For   For  
2.   Appointment of Seller's Representative   Management   For   For  
3.   Waiver of Notice Requirement   Management   For   For  
4.   Series A and Series B Stockholder Waiver   Management   For   For  
5.   Interested Party Transactions   Management   For   For  
6.   General Authorizing Resolution   Management   For   For  

 

RAINIER THERAPEUTICS, INC.

 

Security N/A Meeting Type Written Consent
Ticker Symbol N/A Meeting Date 19-May-2020
Record Date N/A    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Adoption of Plan of Complete Liquidation, Liquidation and Dissolution   Management   For   For  
2.   Interested Party Transactions   Management   For   For  
3.   Waiver of Notice Requirement   Management   For   For  
4.   General Authorizing Resolution   Management   For   For  

 

RA PHARMACEUTICALS, INC.

 

Security 74933V108 Meeting Type Special
Ticker Symbol RARX Meeting Date 17-Dec-2019
Record Date 12-Nov-2019    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   The proposal to adopt the Merger Agreement.   Management   For   For  
2.   The proposal to approve the adjournment of the Special Meeting to a later date or dates if necessary to solicit additional proxies if there are insufficient votes to approve the proposal to adopt the Merger Agreement at the time of the Special Meeting.   Management   For   For  

 

RALLYBIO HOLDINGS, LLC

 

Security N/A Meeting Type Written Consent
Ticker Symbol N/A Meeting Date 14-May-2020
Record Date N/A    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Series B Expansion   Management   For   For  

 

REATA PHARMACEUTICALS, INC.

 

Security 75615P103 Meeting Type Annual
Ticker Symbol RETA Meeting Date 10-Jun-2020
Record Date 16-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 James E. Bass       For   For  
    2 R. Kent McGaughy, Jr.       For   For  
2.   To approve, on an advisory basis, the compensation of our named executive officers.   Management   For   For  
3.   To approve, on an advisory basis, the frequency of future advisory votes to approve the compensation of our named executive officers.   Management   1 Year   For  
4.   To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  

 

 

 

 

REGENERON PHARMACEUTICALS, INC.

 

Security 75886F107 Meeting Type Annual
Ticker Symbol REGN Meeting Date 12-Jun-2020
Record Date 14-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Director: N. Anthony Coles, M.D.   Management   For   For  
1B.   Election of Director: Joseph L. Goldstein, M.D.   Management   For   For  
1C.   Election of Director: Christine A. Poon   Management   For   For  
1D.   Election of Director: P. Roy Vagelos, M.D.   Management   For   For  
1E.   Election of Director: Huda Y. Zoghbi, M.D.   Management   For   For  
2.   Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  
3.   Proposal to approve the Second Amended and Restated Regeneron Pharmaceuticals, Inc. 2014 Long-Term Incentive Plan.   Management   For   For  
4.   Proposal to approve, on an advisory basis, executive compensation.   Management   For   For  

 

REVANCE THERAPEUTICS, INC.

 

Security 761330109 Meeting Type Annual
Ticker Symbol RVNC Meeting Date 14-May-2020
Record Date 16-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Jill Beraud       For   For  
    2 Robert Byrnes       For   For  
2.   Ratification of the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  
3.   Approval of, on an advisory basis, the compensation of the Company's named executive officers as disclosed in the proxy statement.   Management   For   For  

 

ROCKET PHARMACEUTICALS, INC.

 

Security 77313F106 Meeting Type Annual
Ticker Symbol RCKT Meeting Date 16-Jun-2020
Record Date 20-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Director: Roderick Wong   Management   For   For  
1B.   Election of Director: Carsten Boess   Management   For   For  
1C.   Election of Director: Pedro Granadillo   Management   For   For  
1D.   Election of Director: Gotham Makker   Management   For   For  
1E.   Election of Director: Gaurav Shah   Management   For   For  
1F.   Election of Director: David P. Southwell   Management   For   For  
1G.   Election of Director: Naveen Yalamanchi   Management   For   For  
1H.   Election of Director: Elisabeth Björk   Management   For   For  
2.   Ratification of the appointment of EisnerAmper LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  
3.   Stockholder proposal to amend the Company's articles of incorporation and/or by-laws to provide that directors shall be elected by the affirmative vote of the majority of votes cast at an annual meeting of stockholders in uncontested elections.   Shareholder   Against   For  

 

RUBIUS THERAPEUTICS, INC.

 

Security 78116T103 Meeting Type Annual
Ticker Symbol RUBY Meeting Date 21-May-2020
Record Date 24-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Noubar B. Afeyan       For   For  
    2 Michael Rosenblatt       For   For  
    3 Catherine A. Sohn       For   For  
2.   To ratify the appointment of PricewaterhouseCoopers LLP as Rubius Therapeutics, Inc.'s independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  

 

 

 

 

SAGE THERAPEUTICS, INC.

 

Security 78667J108 Meeting Type Annual
Ticker Symbol SAGE Meeting Date 09-Jun-2020
Record Date 13-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Michael F. Cola       For   For  
    2 Jeffrey M. Jonas, M.D.       For   For  
2.   To ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  
3.   To hold a non-binding advisory vote to approve the compensation paid to our named executive officers.   Management   For   For  

 

SANGAMO THERAPEUTICS, INC.

 

Security 800677106 Meeting Type Annual
Ticker Symbol SGMO Meeting Date 18-May-2020
Record Date 20-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.1   Election of Director: Robert F. Carey   Management   For   For  
1.2   Election of Director: Stephen G. Dilly, M.B.B.S., Ph.D.   Management   For   For  
1.3   Election of Director: Alexander D. Macrae, M.B., Ch.B., Ph.D.   Management   For   For  
1.4   Election of Director: John H. Markels, Ph.D.   Management   For   For  
1.5   Election of Director: James R. Meyers   Management   For   For  
1.6   Election of Director: H. Stewart Parker   Management   For   For  
1.7   Election of Director: Saira Ramasastry   Management   For   For  
1.8   Election of Director: Karen L. Smith M.D., Ph.D., M.B.A., L.L.M.   Management   For   For  
1.9   Election of Director: Joseph S. Zakrzewski   Management   For   For  
2.   To approve, on an advisory basis, the compensation of our named executive officers, as described in the accompanying proxy statement   Management   For   For  
3.   To approve the amendment and restatement of the Sangamo Therapeutics, Inc. 2018 Equity Incentive Plan, or the 2018 Plan, to, among other things, increase the aggregate number of shares of our common stock reserved for issuance under the 2018 Plan by 9,900,000 shares   Management   For   For  
4.   To approve an amendment to our Seventh Amended and Restated Certificate of Incorporation, as amended, to increase the total number of shares of our common stock authorized for issuance from 160,000,000 shares to 320,000,000 shares   Management   For   For  
5.   To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the year ending December 31, 2020   Management   For   For  

 

SANOFI

 

Security 80105N105 Meeting Type Annual
Ticker Symbol SNY Meeting Date 28-Apr-2020
Record Date 30-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Approval of the individual company financial statements for the year ended December 31, 2019   Management   For   For  
2.   Approval of the consolidated financial statements for the year ended December 31, 2019   Management   For   For  
3.   Appropriation of results for the year ended December 31, 2019 and declaration of dividend   Management   For   For  
4.   Approval of regulated agreements and commitments falling within the scope of Articles L. 225-38 et seq of the French Commercial Code   Management   For   For  
5.   Ratification of the co-opting of Paul Hudson as a Director   Management   For   For  
6.   Reappointment of Laurent Attal as a Director   Management   For   For  
7.   Reappointment of Carole Piwnica as a Director   Management   For   For  
8.   Reappointment of Diane Souza as a Director   Management   For   For  
9.   Reappointment of Thomas Südhof as a Director   Management   For   For  
10.   Appointment of Rachel Duan as a Director   Management   For   For  
11.   Appointment of Lise Kingo as a Director   Management   For   For  
12.   Determination of the compensation amount for the Board of Directors   Management   For   For  
13.   Approval of the compensation policy for directors   Management   For   For  
14.   Approval of the compensation policy for the Chairman of the Board of Directors   Management   For   For  
15.   Approval of the compensation policy for the Chief Executive Officer   Management   For   For  
16.   Approval of the report on the compensation of corporate officers issued in accordance with Article L. 225-37-3 I. of the French Commercial Code   Management   For   For  
17.   Approval of the components of the compensation paid or awarded in respect of the year ended 31 December 2019 to Serge Weinberg, Chairman of the Board   Management   For   For  
18.   Approval of the components of the compensation paid or awarded in respect of the year ended 31 December 2019 to Paul Hudson, Chief Executive Officer from September 1, 2019   Management   For   For  
19.   Approval of the components of the compensation paid or awarded in respect of the year ended 31 December 2019 to Olivier Brandicourt, Chief Executive Officer until August 31, 2019   Management   For   For  
20.   Authorization to the Board of Directors to carry out transactions in the Company's shares (usable outside the period of a public tender offer)   Management   For   For  
21.   Powers for formalities   Management   For   For  

 

 

 

 

SAREPTA THERAPEUTICS INC.

 

Security 803607100 Meeting Type Annual
Ticker Symbol SRPT Meeting Date 04-Jun-2020
Record Date 13-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.1   Election of Director: Douglas S. Ingram   Management   For   For  
1.2   Election of Director: Hans Wigzell, M.D., Ph.D.   Management   For   For  
1.3   Election of Director: Mary Ann Gray, Ph.D.   Management   For   For  
2.   ADVISORY VOTE TO APPROVE, ON A NON-BINDING BASIS, NAMED EXECUTIVE OFFICER COMPENSATION   Management   For   For  
3.   APPROVAL OF AN AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION, AS AMENDED, TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF COMMON STOCK FROM 99,000,000 TO 198,000,000 SHARES   Management   For   For  
4.   APPROVAL OF AN AMENDMENT TO THE COMPANY'S 2018 EQUITY INCENTIVE PLAN TO INCREASE THE MAXIMUM AGGREGATE NUMBER OF SHARES OF COMMON STOCK THAT MAY BE ISSUED PURSUANT TO AWARDS GRANTED UNDER THE 2018 EQUITY INCENTIVE PLAN BY 3,800,000 SHARES TO 8,187,596 SHARES   Management   For   For  
5.   RATIFICATION OF KPMG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2020   Management   For   For  

 

SEATTLE GENETICS, INC.

 

Security 812578102 Meeting Type Annual
Ticker Symbol SGEN Meeting Date 15-May-2020
Record Date 19-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.1   Election of Class I Director: David W. Gryska   Management   For   For  
1.2   Election of Class I Director: John A. Orwin   Management   For   For  
1.3   Election of Class I Director: Alpna H. Seth   Management   For   For  
2.   Approve, on an advisory basis, the compensation of Seattle Genetics' named executive officers as disclosed in the accompanying proxy statement.   Management   For   For  
3.   Approve the amendment and restatement of the Seattle Genetics, Inc. Amended and Restated 2007 Equity Incentive Plan to, among other things, increase the aggregate number of shares of common stock authorized for issuance thereunder by 6,000,000 shares.   Management   For   For  
4.   Ratify the appointment of PricewaterhouseCoopers LLP as Seattle Genetics' independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  

 

SPECTRUM PHARMACEUTICALS, INC.

 

Security 84763A108 Meeting Type Annual
Ticker Symbol SPPI Meeting Date 18-Jun-2020
Record Date 21-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.1   Election of Director: William L. Ashton   Management   For   For  
1.2   Election of Director: Elizabeth A. Czerepak   Management   For   For  
1.3   Election of Director: Seth H.Z. Fischer   Management   For   For  
1.4   Election of Director: Joseph W. Turgeon   Management   For   For  
1.5   Election of Director: Jeffrey L. Vacirca   Management   For   For  
1.6   Election of Director: Dolatrai M. Vyas   Management   For   For  
1.7   Election of Director: Bernice R. Welles   Management   For   For  
2.   To approve, on a non-binding advisory basis, the compensation of our named executive officers, as disclosed in the Compensation Discussion and Analysis section of the Proxy Statement.   Management   For   For  
3.   To approve the Amendment to the Spectrum Pharmaceuticals, Inc. 2018 Long-Term Incentive Plan.   Management   For   For  
4.   To ratify the selection of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  

 

 

 

 

SUTRO BIOPHARMA, INC.

 

Security 869367102 Meeting Type Annual
Ticker Symbol STRO Meeting Date 05-Jun-2020
Record Date 13-Apr-2020    

 

Item   Proposal   Proposed 
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 William J. Newell       For   For  
    2 Connie Matsui       For   For  
    3 James Panek       For   For  
2.   To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  

 

SYNEOS HEALTH, INC.

 

Security 87166B102 Meeting Type Annual
Ticker Symbol SYNH Meeting Date 27-May-2020
Record Date 30-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Director: Bernadette M. Connaughton   Management   For   For  
1B.   Election of Director: Kenneth F. Meyers   Management   For   For  
1C.   Election of Director: Matthew E. Monaghan   Management   For   For  
1D.   Election of Director: Joshua M. Nelson   Management   For   For  
2.   To approve on an advisory (nonbinding) basis our executive compensation.   Management   For   For  
3.   To ratify the appointment of the Company's independent auditors Deloitte & Touche LLP.   Management   For   For  

 

TETRAPHASE PHARMACEUTICALS, INC.

 

Security 88165N105 Meeting Type Special
Ticker Symbol TTPH Meeting Date 25-Sep-2019
Record Date 01-Aug-2019    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   To approve an amendment to our certificate of incorporation to effect a reverse stock split at a ratio of not less than 1-for-5 and not greater than 1-for-20, with the exact ratio to be set within that range at the discretion of our board of directors prior to our 2020 annual meeting of stockholders without further approval or authorization of our stockholders and with our board of directors able to elect to abandon such proposed amendment and not effect the reverse stock split authorized by stockholders, in its sole discretion.   Management   For   For  

 

TETRAPHASE PHARMACEUTICALS, INC.

 

Security 88165N204 Meeting Type Special
Ticker Symbol TTPH Meeting Date 08-Jun-2020
Record Date 22-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   To adopt the Agreement and Plan of Merger, dated as of March 15, 2020 (as it may be amended from time to time), by and among AcelRx Pharmaceuticals, Inc., ("AcelRx"), Tetraphase Pharmaceuticals, Inc., a Delaware corporation ("Tetraphase"), and Consolidation Merger Sub, Inc., a Delaware corporation and an indirect wholly owned subsidiary of AcelRx ("Merger Sub"), pursuant to which Merger Sub will merge with and into Tetraphase, with Tetraphase as the surviving corporation and an indirect wholly owned subsidiary of AcelRx (the "Merger").   Management   For   For  
2.   To approve, on a nonbinding advisory basis, "golden parachute" compensation payments that may be payable to Tetraphase's named executive officers in connection with the Merger.   Management   For   For  
3.   To approve the adjournment of the Special Meeting of Tetraphase Pharmaceuticals, Inc. (the "Special Meeting") to solicit additional proxies if there are not sufficient votes at the time of the Special Meeting to approve Proposal 1 or to ensure that any supplement or amendment to the proxy statement/prospectus is timely provided to Tetraphase stockholders.   Management   For   For  

 

 

 

 

THERAVANCE BIOPHARMA, INC.

 

Security G8807B106 Meeting Type Annual
Ticker Symbol TBPH Meeting Date 28-Apr-2020
Record Date 02-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.1   Election of Director: Dean J. Mitchell   Management   For   For  
1.2   Election of Director: George M. Whitesides   Management   For   For  
1.3   Election of Director: William D. Young   Management   For   For  
2.   Ratify the appointment of Ernst & Young LLP as Theravance Biopharma, Inc.'s independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  
3.   Approve a non-binding advisory resolution regarding executive compensation.   Management   For   For  

 

TRILLIUM THERAPEUTICS INC.

 

Security 89620X506 Meeting Type Annual and Special Meeting
Ticker Symbol TRIL Meeting Date 30-Jun-2020
Record Date 15-May-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1   DIRECTOR   Management          
    1 Mr. Luke Beshar       For   For  
    2 Dr. Robert Kirkman       For   For  
    3 Mr. Paul Walker       For   For  
    4 Dr. Thomas Reynolds       For   For  
    5 Dr. Jan Skvarka       For   For  
    6 Dr. Helen Tayton-Martin       For   For  
2   To reappoint Ernst & Young, LLP, Chartered Professional Accountants, Licensed Public Accountants, as auditors of the Corporation for the ensuing year and to authorize the directors to fix the remuneration to be paid to the auditors.   Management   For   For  
3   To consider, and if deemed appropriate, to pass an ordinary resolution of disinterested shareholders, the full text of which is set forth in the Circular, to approve the Corporation's omnibus equity incentive plan.   Management   For   For  

 

TURNING POINT THERAPEUTICS, INC.

 

Security 90041T108 Meeting Type Annual
Ticker Symbol TPTX Meeting Date 15-Jun-2020
Record Date 20-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Athena Countouriotis MD       For   For  
    2 Patrick Machado, J.D.       For   For  
    3 Garry Nicholson       For   For  
2.   Ratification of the selection of Ernst & Young LLP as our independent registered public accounting firm for our fiscal year ending December 31, 2020.   Management   For   For  

 

ULTRAGENYX PHARMACEUTICAL INC.

 

Security 90400D108 Meeting Type Annual
Ticker Symbol RARE Meeting Date 26-Jun-2020
Record Date 27-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Director: Emil D. Kakkis, M.D., Ph.D.   Management   For   For  
1B.   Election of Director: Shehnaaz Suliman, M.D.   Management   For   For  
1C.   Election of Director: Daniel G. Welch   Management   For   For  
2.   Ratification of the selection of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  
3.   Advisory (non-binding) vote to approve the compensation of our named executive officers.   Management   For   For  

 

UNIQURE N.V.

 

Security N90064101 Meeting Type Annual
Ticker Symbol QURE Meeting Date 17-Jun-2020
Record Date 20-May-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Resolution to adopt the 2019 annual accounts and treatment of the results.   Management   For   For  
2.   Resolution to discharge liability of the members of the Board for their management.   Management   For   For  
3.   Reappointment of Madhavan Balachandran as non- executive director.   Management   For   For  
4.   Reappointment of Jack Kaye as non-executive director.   Management   For   For  
5.   Reappointment of Jeremy Springhorn as non-executive director.   Management   For   For  
6.   Appointment of Leonard Post as non-executive director.   Management   For   For  
7.   Resolution to reauthorize the Board to issue ordinary shares and options.   Management   For   For  
8.   Resolution to reauthorize the Board to exclude or limit preemptive rights upon the issuance of ordinary shares.   Management   For   For  
9.   Authorization of the Board to repurchase ordinary shares.   Management   For   For  
10.   Resolution to appoint KPMG as external auditor of the Company for the 2020 financial year.   Management   For   For  
11.   Advisory approval of compensation of named executive officers.   Management   For   For  

 

 

 

 

UNITED THERAPEUTICS CORPORATION

 

Security 91307C102 Meeting Type Annual
Ticker Symbol UTHR Meeting Date 26-Jun-2020
Record Date 30-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Director: Raymond Dwek   Management   For   For  
1B.   Election of Director: Christopher Patusky   Management   For   For  
1C.   Election of Director: Tommy Thompson   Management   For   For  
2.   Approval of an amendment to our Amended and Restated Certificate of Incorporation to declassify our Board of Directors and provide for the annual election of our directors   Management   For   For  
3.   Advisory resolution to approve executive compensation   Management   For   For  
4.   Approval of the amendment and restatement of the United Therapeutics Corporation Amended and Restated 2015 Stock Incentive Plan   Management   For   For  
5.   Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for 2020   Management   For   For  

 

VECTIVEBIO HOLDING AG

 

Security N/A Meeting Type Written Consent
Ticker Symbol N/A Meeting Date 19-Dec-2019
Record Date N/A    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Approval of Bridge Loan   Management   For   For  
2.   Amendment to Glypharma purchase agreement   Management   For   For  

 

VECTIVEBIO HOLDING AG

 

Security N/A Meeting Type Extraordinary General Meeting
Ticker Symbol N/A Meeting Date 6-Jan-2020
Record Date N/A    

 

Item   Proposal   Proposed 
by
  Vote   For/Against
Management
 
1.   Election of Naveed Siddiqi as a new member of the board of directors of the company   Management   For   For  

 

VECTIVEBIO HOLDING AG

 

Security N/A Meeting Type Written Consent
Ticker Symbol N/A Meeting Date 24-Jun-2020
Record Date N/A    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   Constitution of the meting and appointment of chair   Management   For   For  
2.   Approval of the financial statements of the Company for the financial year ended December 31, 2019   Management   For   For  
3.   Approval of the appropriation of the financial result 2019   Management   For   For  
4   Approval of granting discharge to the members of the board of directors and officers from liability   Management          
5   Re-election of the board of directors   Management   For   For  
6   Re-election of the auditors   Management   For   For  
4.   To approve the Arena Pharmaceuticals, Inc. 2020 Long- Term Incentive Plan.   Management   For   For  
5.   To ratify the appointment of KPMG LLP, an independent registered public accounting firm, as our independent auditors for the fiscal year ending December 31, 2020.   Management   For   For  

 

 

 

 

VERONA PHARMA PLC

 

Security 925050106 Meeting Type Annual
Ticker Symbol VRNA Meeting Date 16-Apr-2020
Record Date 13-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
O1   To receive and adopt the report of the directors and the financial statements for the year ended 31 December 2019.   Management   For   For  
O2   To approve the Directors' Remuneration Report.   Management   For   For  
O3   To re-elect Mr Rishi Gupta as a director of the Company.   Management   For   For  
O4   To re-elect Dr Mahendra Shah as a director of the Company.   Management   For   For  
O5   To re-elect Mr Vikas Sinha as a director of the Company.   Management   For   For  
O6   To re-elect Dr David Zaccardelli as a director of the Company.   Management   For   For  
O7   To appoint PricewaterhouseCoopers LLP as auditors.   Management   For   For  
O8   To authorise the directors to determine the auditors' remuneration.   Management   For   For  
O9   To approve amendments to the Verona Pharma plc 2017 Incentive Award Plan - Increase overall share limits.   Management   For   For  
O10   To approve amendments to the Verona Pharma plc 2017 Incentive Award Plan - Extend the term of the Plan until 29th April 2030.   Management   For   For  
O11   To authorise the directors to allot relevant securities pursuant to Section 551 of the Companies Act 2006.   Management   For   For  
S12   To authorise the directors to allot equity securities pursuant to Section 570 of the Companies Act 2006.   Management   For   For  

 

VERTEX PHARMACEUTICALS INCORPORATED

 

Security 92532F100 Meeting Type Annual
Ticker Symbol VRTX Meeting Date 03-Jun-2020
Record Date 09-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Director: Sangeeta Bhatia   Management   For   For  
1B.   Election of Director: Lloyd Carney   Management   For   For  
1C.   Election of Director: Alan Garber   Management   For   For  
1D.   Election of Director: Terrence Kearney   Management   For   For  
1E.   Election of Director: Reshma Kewalramani   Management   For   For  
1F.   Election of Director: Yuchun Lee   Management   For   For  
1G.   Election of Director: Jeffrey Leiden   Management   For   For  
1H.   Election of Director: Margaret McGlynn   Management   For   For  
1I.   Election of Director: Diana McKenzie   Management   For   For  
1J.   Election of Director: Bruce Sachs   Management   For   For  
2.   Ratification of Ernst & Young LLP as our independent Registered Public Accounting firm for the year ending December 31, 2020.   Management   For   For  
3.   Advisory vote on named executive officer compensation.   Management   For   For  
4.   Shareholder proposal, if properly presented at the meeting, requesting that we prepare a report on our policies and activities with respect to lobbying.   Shareholder   Against   For  

 

VIELA BIO, INC.

 

Security 926613100 Meeting Type Annual
Ticker Symbol VIE Meeting Date 18-Jun-2020
Record Date 20-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Andreas Wicki, Ph.D.       For   For  
    2 Rachelle Jacques       For   For  
2.   To ratify the appointment of KPMG LLP as Viela Bio, Inc.'s independent registered public accounting firm for the fiscal year ending December 31, 2020.   Management   For   For  

 

WAVE LIFE SCIENCES LTD.

 

Security Y95308105 Meeting Type Annual
Ticker Symbol WVE Meeting Date 08-Aug-2019
Record Date 17-Jun-2019    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1a.   Election of Director: Paul B. Bolno, M.D., MBA   Management   For   For  
1b.   Election of Director: Christian Henry   Management   For   For  
1c.   Election of Director: Peter Kolchinsky, Ph.D.   Management   For   For  
1d.   Election of Director: Koji Miura   Management   For   For  
1e.   Election of Director: Adrian Rawcliffe   Management   For   For  
1f.   Election of Director: Ken Takanashi   Management   For   For  
1g.   Election of Director: Gregory L. Verdine, Ph.D.   Management   For   For  
2.   To approve the re-appointment of KPMG LLP to serve as our independent registered public accounting firm and independent Singapore auditor for the year ending December 31, 2019, and to authorize the Audit Committee of the Board of Directors to fix KPMG LLP's remuneration for services provided through the date of our 2020 Annual General Meeting of Shareholders   Management   For   For  
3.   To approve the Company's payment of cash and equity- based compensation to non-employee directors for service on the Board of Directors and its committees, in the manner and on the basis set forth under "Proposal 3: Non-Employee Directors' Compensation"   Management   For   For  
4.   To authorize the Board of Directors to allot and issue Ordinary Shares of Wave Life Sciences Ltd.   Management   For   For  
5.   To approve the Company's 2019 Employee Share Purchase Plan   Management   For   For  
6.   To approve by a non-binding advisory vote the compensation of our named executive officers as disclosed in the proxy statement   Management   For   For  
7.   To approve by a non-binding advisory vote the frequency of holding future advisory votes on the compensation of our named executive officers   Management   1 Year   For  

 

 

 

 

XENCOR, INC.

 

Security 98401F105 Meeting Type Annual
Ticker Symbol XNCR Meeting Date 25-Jun-2020
Record Date 27-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 Bassil I. Dahiyat       For   For  
    2 Ellen G. Feigal       For   For  
    3 Kevin C. Gorman       For   For  
    4 Kurt A. Gustafson       For   For  
    5 Yujiro S. Hata       For   For  
    6 A. Bruce Montgomery       For   For  
    7 Richard J. Ranieri       For   For  
    8 Dagmar Rosa-Bjorkeson       For   For  
2.   Proposal to ratify RSM US LLP as the independent registered public accounting firm for 2020   Management   For   For  
3.   Proposal to approve, on an advisory basis, the compensation of the Company's named executive officers as disclosed in the proxy materials   Management   For   For  

 

Y-MABS THERAPEUTICS, INC.

 

Security 984241109 Meeting Type Annual
Ticker Symbol YMAB Meeting Date 11-Jun-2020
Record Date 17-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1.   DIRECTOR   Management          
    1 James I. Healy, M.D.       For   For  
    2 Ashutosh Tyagi, M.D.       For   For  
    3 Laura J. Hamill       For   For  
2.   Ratification of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending December 31, 2020   Management   For   For  

 

ZOGENIX, INC.

 

Security 98978L204 Meeting Type Annual
Ticker Symbol ZGNX Meeting Date 29-May-2020
Record Date 09-Apr-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1A.   Election of Director: Louis C. Bock   Management   For   For  
1B.   Election of Director: Cam L. Garner   Management   For   For  
1C.   Election of Director: Mark Wiggins   Management   For   For  
2.   Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the year ending December 31, 2020.   Management   For   For  
3.   Approval, on an advisory basis, of the compensation of the named executive officers as disclosed in the proxy statement pursuant to the compensation disclosure rules of the Securities and Exchange Commission.   Management   For   For  
4.   To approve an amendment and restatement of the Zogenix, Inc. 2010 Employee Stock Purchase Plan.   Management   For   For  

 

ZYMEWORKS INC.

 

Security 98985W102 Meeting Type Annual
Ticker Symbol ZYME Meeting Date 07-May-2020
Record Date 13-Mar-2020    

 

Item   Proposal   Proposed
by
  Vote   For/Against
Management
 
1   DIRECTOR   Management          
    1 Hollings C. Renton       For   For  
    2 Lota Zoth       For   For  
2   To approve, on an advisory and non-binding basis, the compensation of the Company's named executive officers, as more particularly described in the accompanying proxy statement.   Management   For   For  
3   To vote, on an advisory and non-binding basis, on the frequency of holding the advisory vote on the compensation of the Company's named executive officers in the future, as more particularly described in the accompanying proxy statement.   Management   1 Year   For  
4   Appointment of KPMG LLP as Auditors of the Corporation for the ensuing year and authorizing the Directors to fix their remuneration.   Management   For   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) Tekla Life Sciences Investors
   
By (Signature and Title)*
   
  /s/ Daniel R. Omstead
  (Daniel R. Omstead, President)
   
Date 8/17/20
       

 

 

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