Investment Company Report
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Investment Company Report Meeting Date Range: 01-Jul-2018 - 30-Jun-2019 Report Date: 01-Jul-2019 Page 1 of 102 Bridges Investment ALLERGAN PLC Security: G0177J108 Agenda Number: 934955696 Ticker: AGN Meeting Type: Annual ISIN: IE00BY9D5467 Meeting Date: 01-May-19 Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation 1a. Election of Director: Nesli Basgoz, M.D. Mgmt For For 1b. Election of Director: Joseph H. Boccuzi Mgmt For For 1c. Election of Director: Christopher W. Bodine Mgmt For For 1d. Election of Director: Adriane M. Brown Mgmt For For 1e. Election of Director: Christopher J. Coughlin Mgmt For For 1f. Election of Director: Carol Anthony (John) Mgmt For For Davidson 1g. Election of Director: Thomas C. Freyman Mgmt For For 1h. Election of Director: Michael E. Greenberg, Mgmt For For PhD 1i. Election of Director: Robert J. Hugin Mgmt For For 1j. Election of Director: Peter J. McDonnell, M.D. Mgmt For For Investment Company Report Meeting Date Range: 01-Jul-2018 - 30-Jun-2019 Report Date: 01-Jul-2019 Page 2 of 102 Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation 1k. Election of Director: Brenton L. Saunders Mgmt For For 2. To approve, in a non-binding vote, Named Mgmt For For Executive Officer compensation. 3. To ratify, in a non-binding vote, the Mgmt For For appointment of PricewaterhouseCoopers LLP as the Company's independent auditor for the fiscal year ending December 31, 2019 and to authorize, in a binding vote, the Board of Directors, acting through its Audit and Compliance Committee, to determine PricewaterhouseCoopers LLP's remuneration. 4. To renew the authority of the directors of the Mgmt For For Company (the "Directors") to issue shares. 5a. To renew the authority of the Directors to Mgmt For For issue shares for cash without first offering shares to existing shareholders. 5b. To authorize the Directors to allot new shares Mgmt For For up to an additional 5% for cash in connection with an acquisition or other capital investment. 6. To consider a shareholder proposal requiring Shr Against For an independent Board Chairman (immediate change), if properly presented at the meeting. Account Number Custodian Ballot Shares Voted Shares Shares on Loan Vote Date 19-0953 SBCN 15000 15000 0 23-Mar-19 Investment Company Report Meeting Date Range: 01-Jul-2018 - 30-Jun-2019 Report Date: 01-Jul-2019 Page 3 of 102 Bridges Investment ALPHABET INC. Security: 02079K305 Agenda Number: 935018956 Ticker: GOOGL Meeting Type: Annual ISIN: US02079K3059 Meeting Date: 19-Jun-19 Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation 1. DIRECTOR 1 Larry Page Mgmt For For 2 Sergey Brin Mgmt For For 3 John L. Hennessy Mgmt For For 4 L. John Doerr Mgmt For For 5 Roger W. Ferguson, Jr. Mgmt For For 6 Ann Mather Mgmt For For 7 Alan R. Mulally Mgmt For For 8 Sundar Pichai Mgmt For For 9 K. Ram Shriram Mgmt For For 10 Robin L. Washington Mgmt For For Investment Company Report Meeting Date Range: 01-Jul-2018 - 30-Jun-2019 Report Date: 01-Jul-2019 Page 4 of 102 Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation 2. Ratification of the appointment of Ernst & Mgmt For For Young LLP as Alphabet's independent registered public accounting firm for the fiscal year ending December 31, 2019. 3. The amendment and restatement of Mgmt For For Alphabet's 2012 Stock Plan to increase the share reserve by 3,000,000 shares of Class C capital stock. 4. A stockholder proposal regarding equal Shr Against For shareholder voting, if properly presented at the meeting. 5. A stockholder proposal regarding inequitable Shr Against For employment practices, if properly presented at the meeting. 6. A stockholder proposal regarding the Shr Against For establishment of a societal risk oversight committee, if properly presented at the meeting. 7. A stockholder proposal regarding a report on Shr Against For sexual harassment risk management, if properly presented at the meeting. 8. A stockholder proposal regarding majority Shr Against For vote for the election of directors, if properly presented at the meeting. 9. A stockholder proposal regarding a report on Shr Against For gender pay, if properly presented at the meeting. 10. A stockholder proposal regarding strategic Shr Against For alternatives, if properly presented at the meeting. Investment Company Report Meeting Date Range: 01-Jul-2018 - 30-Jun-2019 Report Date: 01-Jul-2019 Page 5 of 102 Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation 11. A stockholder proposal regarding the Shr Against For nomination of an employee representative director, if properly presented at the meeting. 12. A stockholder proposal regarding simple Shr Against For majority vote, if properly presented at the meeting. 13. A stockholder proposal regarding a Shr Against For sustainability metrics report, if properly presented at the meeting. 14. A stockholder proposal regarding Google Shr Against For Search in China, if properly presented at the meeting. 15. A stockholder proposal regarding a clawback Shr Against For policy, if properly presented at the meeting. 16. A stockholder proposal regarding a report on Shr Against For content governance, if properly presented at the meeting. Account Number Custodian Ballot Shares Voted Shares Shares on Loan Vote Date 19-0953 SBCN 4000 4000 0 03-May-19 Investment Company Report Meeting Date Range: 01-Jul-2018 - 30-Jun-2019 Report Date: 01-Jul-2019 Page 6 of 102 Bridges Investment ALTRIA GROUP, INC. Security: 02209S103 Agenda Number: 934967487 Ticker: MO Meeting Type: Annual ISIN: US02209S1033 Meeting Date: 16-May-19 Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation 1A Election of Director: John T. Casteen III Mgmt For For 1B Election of Director: Dinyar S. Devitre Mgmt For For 1C Election of Director: Thomas F. Farrell II Mgmt For For 1D Election of Director: Debra J. Kelly-Ennis Mgmt For For 1E Election of Director: W. Leo Kiely III Mgmt For For 1F Election of Director: Kathryn B. McQuade Mgmt For For 1G Election of Director: George Muñoz Mgmt For For 1H Election of Director: Mark E. Newman Mgmt For For 1I Election of Director: Nabil Y. Sakkab Mgmt For For 1J Election of Director: Virginia E. Shanks Mgmt For For 1K Election of Director: Howard A. Willard III Mgmt For For Investment Company Report Meeting Date Range: 01-Jul-2018 - 30-Jun-2019 Report Date: 01-Jul-2019 Page 7 of 102 Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation 2 Ratification of the Selection of Independent Mgmt For For Registered Public Accounting Firm 3 Non-Binding Advisory Vote to Approve the Mgmt For For Compensation of Altria's Named Executive Officers 4 Shareholder Proposal - Reducing and Shr Against For Disclosing Nicotine Levels in Cigarette Brands 5 Shareholder Proposal - Disclosure of Shr Against For Lobbying Policies and Practices Account Number Custodian Ballot Shares Voted Shares Shares on Loan Vote Date 19-0953 SBCN 15000 15000 0 05-Apr-19 Investment Company Report Meeting Date Range: 01-Jul-2018 - 30-Jun-2019 Report Date: 01-Jul-2019 Page 8 of 102 Bridges Investment AMAZON.COM, INC. Security: 023135106 Agenda Number: 934985954 Ticker: AMZN Meeting Type: Annual ISIN: US0231351067 Meeting Date: 22-May-19 Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation 1a. Election of Director: Jeffrey P. Bezos Mgmt For For 1b. Election of Director: Rosalind G. Brewer Mgmt For For 1c. Election of Director: Jamie S. Gorelick Mgmt For For 1d. Election of Director: Daniel P. Huttenlocher Mgmt For For 1e. Election of Director: Judith A. McGrath Mgmt For For 1f. Election of Director: Indra K. Nooyi Mgmt For For 1g. Election of Director: Jonathan J. Rubinstein Mgmt For For 1h. Election of Director: Thomas O. Ryder Mgmt For For 1i. Election of Director: Patricia Q. Stonesifer Mgmt For For 1j. Election of Director: Wendell P. Weeks Mgmt For For Investment Company Report Meeting Date Range: 01-Jul-2018 - 30-Jun-2019 Report Date: 01-Jul-2019 Page 9 of 102 Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation 2. RATIFICATION OF THE APPOINTMENT OF Mgmt For For ERNST & YOUNG LLP AS INDEPENDENT AUDITORS. 3. ADVISORY VOTE TO APPROVE Mgmt For For EXECUTIVE COMPENSATION. 4. SHAREHOLDER PROPOSAL REQUESTING Shr Against For AN ANNUAL REPORT ON MANAGEMENT OF FOOD WASTE. 5. SHAREHOLDER PROPOSAL REQUESTING Shr Against For A REDUCTION IN THE OWNERSHIP THRESHOLD FOR CALLING SPECIAL SHAREHOLDER MEETINGS. 6. SHAREHOLDER PROPOSAL REQUESTING Shr Against For A BAN ON GOVERNMENT USE OF CERTAIN TECHNOLOGIES. 7. SHAREHOLDER PROPOSAL REQUESTING Shr Against For A REPORT ON THE IMPACT OF GOVERNMENT USE OF CERTAIN TECHNOLOGIES. 8. SHAREHOLDER PROPOSAL REQUESTING Shr Against For A REPORT ON CERTAIN PRODUCTS. 9. SHAREHOLDER PROPOSAL REQUESTING Shr Against For AN INDEPENDENT BOARD CHAIR POLICY. 10. SHAREHOLDER PROPOSAL REQUESTING Shr Against For A REPORT ON CERTAIN EMPLOYMENT POLICIES. 11. SHAREHOLDER PROPOSAL REQUESTING Shr Against For A REPORT ON CLIMATE CHANGE TOPICS. Investment Company Report Meeting Date Range: 01-Jul-2018 - 30-Jun-2019 Report Date: 01-Jul-2019 Page 10 of 102 Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation 12. SHAREHOLDER PROPOSAL REQUESTING Shr Against For A BOARD IDEOLOGY DISCLOSURE POLICY. 13. SHAREHOLDER PROPOSAL REQUESTING Shr Against For CHANGES TO THE COMPANY'S GENDER PAY REPORTING. 14. SHAREHOLDER PROPOSAL REQUESTING Shr Against For A REPORT ON INTEGRATING CERTAIN METRICS INTO EXECUTIVE COMPENSATION. 15. SHAREHOLDER PROPOSAL REGARDING Shr Against For VOTE-COUNTING PRACTICES FOR SHAREHOLDER PROPOSALS. Account Number Custodian Ballot Shares Voted Shares Shares on Loan Vote Date 19-0953 SBCN 5000 5000 0 12-Apr-19 Investment Company Report Meeting Date Range: 01-Jul-2018 - 30-Jun-2019 Report Date: 01-Jul-2019 Page 11 of 102 Bridges Investment AMERIPRISE FINANCIAL, INC.