Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 1 of 721 BlackRock ABIOMED, INC.
Security: 003654100 Agenda Number: 935053607 Ticker: ABMD Meeting Type: Annual ISIN: US0036541003 Meeting Date: 07-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Michael R. Minogue Mgmt For For
2 Martin P. Sutter Mgmt For For
2. Approval, by non-binding advisory vote, of the Mgmt Against Against compensation of our named executive officers.
3. Ratify the appointment of Deloitte & Touche Mgmt For For LLP as our independent registered public accounting firm for the fiscal year ending March 31, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 2 of 721 BlackRock ANADARKO PETROLEUM CORPORATION
Security: 032511107 Agenda Number: 935062531 Ticker: APC Meeting Type: Special ISIN: US0325111070 Meeting Date: 08-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. To adopt the Agreement and Plan of Merger, Mgmt For For dated as of May 9, 2019, by and among Occidental Petroleum Corporation, Baseball Merger Sub 1, Inc. and Anadarko Petroleum Corporation ("Anadarko").
2. To approve, on a non-binding advisory basis, Mgmt Against Against the compensation that may be paid or become payable to Anadarko's named executive officers that is based on or otherwise related to the proposed transactions. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 3 of 721 BlackRock BB&T CORPORATION
Security: 054937107 Agenda Number: 935057629 Ticker: BBT Meeting Type: Special ISIN: US0549371070 Meeting Date: 30-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. Proposal to approve the Amended Agreement Mgmt For For and Plan of Merger, dated as of February 7, 2019, as amended as of June 14, 2019 (as further amended from time to time, the "Merger Agreement"), by and between BB&T and SunTrust Banks, Inc. and the transactions contemplated thereby (the "BB&T merger proposal").
2. Proposal to approve an amendment to Mgmt For For BB&T's articles of incorporation to effect the name change of BB&T to "Truist Financial Corporation", effective only upon the completion of the merger (the "BB&T name change proposal").
3. Proposal to adjourn the BB&T special Mgmt For For meeting, if necessary or appropriate, to solicit additional proxies if, immediately prior to such adjournment, there are not sufficient votes to approve the BB&T merger proposal or to ensure that any supplement or amendment to the accompanying joint proxy statement/prospectus is timely provided to holders of BB&T common stock (the "BB&T adjournment proposal"). Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 4 of 721 BlackRock CAPRI HOLDINGS LIMITED
Security: G1890L107 Agenda Number: 935053962 Ticker: CPRI Meeting Type: Annual ISIN: VGG1890L1076 Meeting Date: 01-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: Judy Gibbons Mgmt For For
1b. Election of Director: Jane Thompson Mgmt For For
2. To ratify the appointment of Ernst & Young Mgmt For For LLP as the Company's independent registered public accounting firm for the fiscal year ending March 28, 2020.
3. To approve, on a non-binding advisory basis, Mgmt Against Against executive compensation.
4. To approve, on a non-binding advisory basis, Mgmt 1 Year For the frequency of future advisory votes on executive compensation. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 5 of 721 BlackRock CONAGRA BRANDS, INC.
Security: 205887102 Agenda Number: 935067694 Ticker: CAG Meeting Type: Annual ISIN: US2058871029 Meeting Date: 19-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1A. Election of Director: Anil Arora Mgmt For For
1B. Election of Director: Thomas K. Brown Mgmt For For
1C. Election of Director: Stephen G. Butler Mgmt Against Against
1D. Election of Director: Sean M. Connolly Mgmt For For
1E. Election of Director: Joie A. Gregor Mgmt For For
1F. Election of Director: Rajive Johri Mgmt For For
1G. Election of Director: Richard H. Lenny Mgmt For For
1H. Election of Director: Melissa Lora Mgmt For For
1I. Election of Director: Ruth Ann Marshall Mgmt For For
1J. Election of Director: Craig P. Omtvedt Mgmt For For
1K. Election of Director: Scott Ostfeld Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 6 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
2. Ratification of the appointment of KPMG LLP Mgmt For For as our independent auditor for fiscal 2020.
3. Advisory approval of our named executive Mgmt For For officer compensation. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 7 of 721 BlackRock CONSTELLATION BRANDS, INC.
Security: 21036P108 Agenda Number: 935039138 Ticker: STZ Meeting Type: Annual ISIN: US21036P1084 Meeting Date: 16-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Jennifer M. Daniels Mgmt For For
2 Jerry Fowden Mgmt For For
3 Ernesto M. Hernandez Mgmt For For
4 Susan S. Johnson Mgmt For For
5 James A. Locke III Mgmt Withheld Against
6 Daniel J. McCarthy Mgmt For For
7 William A. Newlands Mgmt For For
8 Richard Sands Mgmt For For
9 Robert Sands Mgmt For For
10 Judy A. Schmeling Mgmt Withheld Against Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 8 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
2. To ratify the selection of KPMG LLP as the Mgmt For For Company's independent registered public accounting firm for the fiscal year ending February 29, 2020
3. To approve, by an advisory vote, the Mgmt Against Against compensation of the Company's named executive officers as disclosed in the Proxy Statement Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 9 of 721 BlackRock DARDEN RESTAURANTS, INC.
Security: 237194105 Agenda Number: 935067668 Ticker: DRI Meeting Type: Annual ISIN: US2371941053 Meeting Date: 18-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Margaret Shân Atkins Mgmt For For
2 James P. Fogarty Mgmt For For
3 Cynthia T. Jamison Mgmt For For
4 Eugene I. Lee, Jr. Mgmt For For
5 Nana Mensah Mgmt For For
6 William S. Simon Mgmt For For
7 Charles M. Sonsteby Mgmt For For
8 Timothy J. Wilmott Mgmt For For
2. To obtain advisory approval of the Company's Mgmt Against Against executive compensation.
3. To ratify the appointment of KPMG LLP as our Mgmt For For independent registered public accounting firm for the fiscal year ending May 31, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 10 of 721 BlackRock DXC TECHNOLOGY COMPANY
Security: 23355L106 Agenda Number: 935057340 Ticker: DXC Meeting Type: Annual ISIN: US23355L1061 Meeting Date: 15-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: Mukesh Aghi Mgmt For For
1b. Election of Director: Amy E. Alving Mgmt For For
1c. Election of Director: David L. Herzog Mgmt For For
1d. Election of Director: Sachin Lawande Mgmt For For
1e. Election of Director: J. Michael Lawrie Mgmt For For
1f. Election of Director: Mary L. Krakauer Mgmt For For
1g. Election of Director: Julio A. Portalatin Mgmt For For
1h. Election of Director: Peter Rutland Mgmt For For
1i. Election of Director: Michael J. Salvino Mgmt For For
1j. Election of Director: Manoj P. Singh Mgmt For For
1k. Election of Director: Robert F. Woods Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 11 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
2. Ratification of the appointment of Deloitte & Mgmt For For Touche LLP as our independent registered public accounting firm for fiscal year ending March 31, 2020
3. Approval, by advisory vote, of named Mgmt Against Against executive officer compensation Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 12 of 721 BlackRock ELECTRONIC ARTS INC.
Security: 285512109 Agenda Number: 935055081 Ticker: EA Meeting Type: Annual ISIN: US2855121099 Meeting Date: 08-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director to serve for one year Mgmt Against Against term: Leonard S. Coleman
1b. Election of Director to serve for one year Mgmt For For term: Jay C. Hoag
1c. Election of Director to serve for one year Mgmt For For term: Jeffrey T. Huber
1d. Election of Director to serve for one year Mgmt Against Against term: Lawrence F. Probst
1e. Election of Director to serve for one year Mgmt For For term: Talbott Roche
1f. Election of Director to serve for one year Mgmt Against Against term: Richard A. Simonson
1g. Election of Director to serve for one year Mgmt For For term: Luis A. Ubinas
1h. Election of Director to serve for one year Mgmt For For term: Heidi J. Ueberroth
1i. Election of Director to serve for one year Mgmt For For term: Andrew Wilson
2. Advisory vote on the compensation of the Mgmt Against Against named executive officers. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 13 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3. Ratification of the appointment of KPMG LLP Mgmt For For as our independent public registered accounting firm for the fiscal year ending March 31, 2020.
4. Approve our 2019 Equity Incentive Plan. Mgmt Against Against
5. Amend and Restate our Certificate of Mgmt For For Incorporation to permit stockholders holding 25% or more of our common stock to call special meetings.
6. To consider and vote upon a stockholder Shr For Against proposal, if properly presented at the Annual Meeting, to enable stockholders holding 15% or more of our common stock to call special meetings. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 14 of 721 BlackRock FEDEX CORPORATION
Security: 31428X106 Agenda Number: 935068761 Ticker: FDX Meeting Type: Annual ISIN: US31428X1063 Meeting Date: 23-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1A. Election of Director: John A. Edwardson Mgmt Against Against
1B. Election of Director: Marvin R. Ellison Mgmt For For
1C. Election of Director: Susan Patricia Griffith Mgmt For For
1D. Election of Director: John C. ("Chris") Inglis Mgmt For For
1E. Election of Director: Kimberly A. Jabal Mgmt For For
1F. Election of Director: Shirley Ann Jackson Mgmt Against Against
1G. Election of Director: R. Brad Martin Mgmt For For
1H. Election of Director: Joshua Cooper Ramo Mgmt For For
1I. Election of Director: Susan C. Schwab Mgmt For For
1J. Election of Director: Frederick W. Smith Mgmt For For
1K. Election of Director: David P. Steiner Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 15 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1L. Election of Director: Paul S. Walsh Mgmt Against Against
2. Advisory vote to approve named executive Mgmt Against Against officer compensation.
3. Approval of the FedEx Corporation 2019 Mgmt Against Against Omnibus Stock Incentive Plan.
4. Ratification of independent registered public Mgmt For For accounting firm.
5. Stockholder proposal regarding lobbying Shr For Against activity and expenditure report.
6. Stockholder proposal regarding employee Shr Against For representation on the Board of Directors. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 16 of 721 BlackRock FIDELITY NAT'L INFORMATION SERVICES,INC.
Security: 31620M106 Agenda Number: 935051538 Ticker: FIS Meeting Type: Special ISIN: US31620M1062 Meeting Date: 24-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. To approve the issuance of shares of Mgmt For For common stock of Fidelity National Information Services, Inc., which we refer to as FIS, in connection with the transactions contemplated by the Agreement and Plan of Merger, dated March 17, 2019, as it may be amended from time to time, by and among FIS, Wrangler Merger Sub, Inc., a wholly- owned subsidiary of FIS, and Worldpay, Inc., which proposal we refer to as the FIS share issuance proposal.
2. To approve an amendment to the articles of Mgmt For For incorporation of FIS to increase the number of authorized shares of common stock of FIS from 600,000,000 to 750,000,000, effective only immediately prior to consummation of the merger, which proposal we refer to as the FIS articles amendment proposal.
3. To adjourn the FIS special meeting, if Mgmt For For necessary or appropriate, to solicit additional proxies if, immediately prior to such adjournment, sufficient votes to approve the FIS share issuance proposal or the FIS articles amendment proposal have not been obtained by FIS, which proposal we refer to as the FIS adjournment proposal. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 17 of 721 BlackRock GENERAL MILLS, INC.
Security: 370334104 Agenda Number: 935070362 Ticker: GIS Meeting Type: Annual ISIN: US3703341046 Meeting Date: 24-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1A. Election of Director: R. Kerry Clark Mgmt For For
1B. Election of Director: David M. Cordani Mgmt For For
1C. Election of Director: Roger W. Ferguson Jr. Mgmt For For
1D. Election of Director: Jeffrey L. Harmening Mgmt For For
1E. Election of Director: Maria G. Henry Mgmt For For
1F. Election of Director: Elizabeth C. Lempres Mgmt For For
1G. Election of Director: Diane L. Neal Mgmt For For
1H. Election of Director: Steve Odland Mgmt Against Against
1I. Election of Director: Maria A. Sastre Mgmt For For
1J. Election of Director: Eric D. Sprunk Mgmt For For
1K. Election of Director: Jorge A. Uribe Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 18 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
2. Advisory Vote on Executive Compensation. Mgmt Against Against
3. Ratify Appointment of the Independent Mgmt For For Registered Public Accounting Firm. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 19 of 721 BlackRock GLOBAL PAYMENTS INC.
Security: 37940X102 Agenda Number: 935066678 Ticker: GPN Meeting Type: Special ISIN: US37940X1028 Meeting Date: 29-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. To approve the Agreement and Plan of Mgmt For For Merger, dated as of May 27, 2019, by and between Global Payments Inc. ("Global Payments") and Total System Services, Inc. (as amended from time to time) and the transactions contemplated thereby (the "Global Payments merger proposal").
2. To approve an amendment to Global Mgmt For For Payments' articles of incorporation to increase the number of authorized shares of Global Payments common stock from two hundred million shares to four hundred million shares (the "Global Payments authorized share count proposal").
3. To approve an amendment to Global Mgmt For For Payments' articles of incorporation to declassify the Global Payments board of directors and provide for annual elections of directors (the "Global Payments declassification proposal").
4. To adjourn the Global Payments special Mgmt For For meeting, if necessary or appropriate, to solicit additional proxies if, immediately prior to such adjournment, there are not sufficient votes to approve the Global Payments merger proposal, the Global Payments authorized share count proposal or the Global Payments declassification proposal or to ensure that any supplement or amendment to the accompanying joint proxy statement/prospectus is timely provided to holders of Global Payments common stock. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 20 of 721 BlackRock H&R BLOCK, INC.
Security: 093671105 Agenda Number: 935064218 Ticker: HRB Meeting Type: Annual ISIN: US0936711052 Meeting Date: 12-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: Angela N. Archon Mgmt For For
1b. Election of Director: Paul J. Brown Mgmt For For
1c. Election of Director: Robert A. Gerard Mgmt For For
1d. Election of Director: Richard A. Johnson Mgmt For For
1e. Election of Director: Jeffrey J. Jones II Mgmt For For
1f. Election of Director: David Baker Lewis Mgmt Against Against
1g. Election of Director: Victoria J. Reich Mgmt For For
1h. Election of Director: Bruce C. Rohde Mgmt For For
1i. Election of Director: Matthew E. Winter Mgmt For For
1j. Election of Director: Christianna Wood Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 21 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
2. Ratification of the appointment of Deloitte & Mgmt For For Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending April 30, 2020.
3. Advisory approval of the Company's named Mgmt For For executive officer compensation. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 22 of 721 BlackRock LAMB WESTON HOLDINGS, INC.
Security: 513272104 Agenda Number: 935068165 Ticker: LW Meeting Type: Annual ISIN: US5132721045 Meeting Date: 26-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: Peter J. Bensen Mgmt For For
1b. Election of Director: Charles A. Blixt Mgmt For For
1c. Election of Director: André J. Hawaux Mgmt For For
1d. Election of Director: W.G. Jurgensen Mgmt For For
1e. Election of Director: Thomas P. Maurer Mgmt For For
1f. Election of Director: Hala G. Moddelmog Mgmt For For
1g. Election of Director: Maria Renna Sharpe Mgmt For For
1h. Election of Director: Thomas P. Werner Mgmt For For
2. Advisory Vote to Approve Executive Mgmt Against Against Compensation.
3. Ratification of the Appointment of KPMG LLP Mgmt For For as Independent Auditors for Fiscal Year 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 23 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4. Stockholder Proposal Regarding Pesticide Shr For Against Use Report. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 24 of 721 BlackRock LINDE PLC
Security: G5494J103 Agenda Number: 935018920 Ticker: LIN Meeting Type: Annual ISIN: IE00BZ12WP82 Meeting Date: 26-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: Prof. Dr. Wolfgang Mgmt For For Reitzle
1b. Election of Director: Stephen F. Angel Mgmt For For
1c. Election of Director: Prof. DDr. Ann-Kristin Mgmt For For Achleitner
1d. Election of Director: Prof. Dr. Clemens Börsig Mgmt For For
1e. Election of Director: Dr. Nance K. Dicciani Mgmt For For
1f. Election of Director: Dr. Thomas Enders Mgmt For For
1g. Election of Director: Franz Fehrenbach Mgmt For For
1h. Election of Director: Edward G. Galante Mgmt For For
1i. Election of Director: Larry D. McVay Mgmt For For
1j. Election of Director: Dr. Victoria Ossadnik Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 25 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1k. Election of Director: Prof. Dr. Martin H. Mgmt For For Richenhagen
1l. Election of Director: Robert L. Wood Mgmt Against Against
2a. To ratify, on an advisory and non-binding Mgmt For For basis, the appointment of PricewaterhouseCoopers ("PWC") as the independent auditor.
2b. To authorize the Board, acting through the Mgmt For For Audit Committee, to determine PWC's remuneration.
3. To determine the price range at which Linde Mgmt For For plc can re-allot shares that it acquires as treasury shares under Irish law.
4. To approve, on an advisory and non-binding Mgmt Against Against basis, the compensation of Linde plc's Named Executive Officers, as disclosed in the 2019 Proxy Statement.
5. To recommend, on an advisory and non- Mgmt 1 Year For binding basis, the frequency of holding future advisory shareholder votes on the compensation of Linde plc's Named Executive Officers. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 26 of 721 BlackRock MCKESSON CORPORATION
Security: 58155Q103 Agenda Number: 935050714 Ticker: MCK Meeting Type: Annual ISIN: US58155Q1031 Meeting Date: 31-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director for a one-year term: Mgmt For For Dominic J. Caruso
1b. Election of Director for a one-year term: N. Mgmt For For Anthony Coles, M.D.
1c. Election of Director for a one-year term: M. Mgmt Against Against Christine Jacobs
1d. Election of Director for a one-year term: Mgmt For For Donald R. Knauss
1e. Election of Director for a one-year term: Marie Mgmt Against Against L. Knowles
1f. Election of Director for a one-year term: Mgmt For For Bradley E. Lerman
1g. Election of Director for a one-year term: Mgmt For For Edward A. Mueller
1h. Election of Director for a one-year term: Mgmt For For Susan R. Salka
1i. Election of Director for a one-year term: Brian Mgmt For For S. Tyler
1j. Election of Director for a one-year term: Mgmt For For Kenneth E. Washington Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 27 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
2. Ratification of the appointment of Deloitte & Mgmt For For Touche LLP as the company's independent registered public accounting firm for the fiscal year ending March 31, 2020.
3. Advisory vote on executive compensation. Mgmt Against Against
4. Shareholder proposal on disclosure of Shr For Against lobbying activities and expenditures.
5. Shareholder proposal on 10% ownership Shr For Against threshold for calling special meetings of shareholders. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 28 of 721 BlackRock MICROCHIP TECHNOLOGY INCORPORATED
Security: 595017104 Agenda Number: 935061185 Ticker: MCHP Meeting Type: Annual ISIN: US5950171042 Meeting Date: 20-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1.1 Election of Director: Steve Sanghi Mgmt Against Against
1.2 Election of Director: Matthew W. Chapman Mgmt Against Against
1.3 Election of Director: L.B. Day Mgmt Against Against
1.4 Election of Director: Esther L. Johnson Mgmt For For
1.5 Election of Director: Wade F. Meyercord Mgmt Against Against
2. Proposal to approve a French sub-plan under Mgmt Against Against our 2004 Equity Incentive Plan.
3. Proposal to ratify the appointment of Ernst & Mgmt For For Young LLP as the independent registered public accounting firm of Microchip for the fiscal year ending March 31, 2020.
4. Proposal to approve, on an advisory (non- Mgmt Against Against binding) basis, the compensation of our named executives.
5. Stockholder proposal requesting our Board to Shr For Against report on our processes for identifying and analyzing human rights risks to workers in our operations and supply chain. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 29 of 721 BlackRock NETAPP, INC
Security: 64110D104 Agenda Number: 935065436 Ticker: NTAP Meeting Type: Annual ISIN: US64110D1046 Meeting Date: 12-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1A. Election of Director: T. Michael Nevens Mgmt For For
1B. Election of Director: Gerald Held Mgmt For For
1C. Election of Director: Kathryn M. Hill Mgmt For For
1D. Election of Director: Deborah L. Kerr Mgmt For For
1E. Election of Director: George Kurian Mgmt For For
1F. Election of Director: Scott F. Schenkel Mgmt For For
1G. Election of Director: George T. Shaheen Mgmt Against Against
2. To approve amendments to NetApp's Mgmt Against Against Amended and Restated 1999 Stock Option Plan to increase the share reserve by an additional 4,000,000 shares of common stock and to approve a new 10-year term for the 1999 Stock Option Plan.
3. To approve an amendment to NetApp's Mgmt For For Employee Stock Purchase Plan to increase the share reserve by an additional 2,000,000 shares of common stock. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 30 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4. To hold an advisory vote to approve Named Mgmt For For Executive Officer compensation.
5. To ratify the appointment of Deloitte & Touche Mgmt For For LLP as NetApp's independent registered public accounting firm for the fiscal year ending April 24, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 31 of 721 BlackRock NIKE, INC.
Security: 654106103 Agenda Number: 935066298 Ticker: NKE Meeting Type: Annual ISIN: US6541061031 Meeting Date: 19-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Alan B. Graf, Jr. Mgmt Withheld Against
2 Peter B. Henry Mgmt For For
3 Michelle A. Peluso Mgmt For For
2. To approve executive compensation by an Mgmt Against Against advisory vote.
3. To ratify the appointment of Mgmt For For PricewaterhouseCoopers LLP as independent registered public accounting firm. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 32 of 721 BlackRock QORVO, INC.
Security: 74736K101 Agenda Number: 935055384 Ticker: QRVO Meeting Type: Annual ISIN: US74736K1016 Meeting Date: 06-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Ralph G. Quinsey Mgmt For For
2 Robert A. Bruggeworth Mgmt For For
3 Jeffery R. Gardner Mgmt For For
4 John R. Harding Mgmt For For
5 David H.Y. Ho Mgmt For For
6 Roderick D. Nelson Mgmt For For
7 Dr. Walden C. Rhines Mgmt For For
8 Susan L. Spradley Mgmt For For
9 Walter H. Wilkinson, Jr Mgmt For For
2. To approve, on an advisory basis, the Mgmt Against Against compensation of our Named Executive Officers (as defined in the proxy statement). Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 33 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3. To ratify the appointment of Ernst & Young Mgmt For For LLP as our independent registered public accounting firm for the fiscal year ending March 28, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 34 of 721 BlackRock RALPH LAUREN CORPORATION
Security: 751212101 Agenda Number: 935054382 Ticker: RL Meeting Type: Annual ISIN: US7512121010 Meeting Date: 01-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Frank A. Bennack, Jr. Mgmt Withheld Against
2 Joel L. Fleishman Mgmt Withheld Against
3 Michael A. George Mgmt For For
4 Hubert Joly Mgmt For For
2. Ratification of appointment of Ernst & Young Mgmt For For LLP as our independent registered public accounting firm for the fiscal year ending March 28, 2020.
3. Approval, on an advisory basis, of the Mgmt Against Against compensation of our named executive officers and our compensation philosophy, policies and practices as described in the accompanying Proxy Statement.
4. Approval of the 2019 Long-Term Stock Mgmt Against Against Incentive Plan. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 35 of 721 BlackRock SUNTRUST BANKS, INC.
Security: 867914103 Agenda Number: 935057655 Ticker: STI Meeting Type: Special ISIN: US8679141031 Meeting Date: 30-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. To approve the Amended Agreement and Mgmt For For Plan of Merger, dated as of February 7, 2019, as amended as of June 14, 2019 (as further amended from time to time, the "Merger Agreement"), by and between BB&T Corporation, a North Carolina corporation, and SunTrust Banks, Inc., a Georgia corporation ("SunTrust") (the "SunTrust merger proposal").
2. To approve, on an advisory (non-binding) Mgmt Against Against basis, the executive officer compensation that will or may be paid to SunTrust's named executive officers in connection with the transactions contemplated by the Merger Agreement.
3. To adjourn the SunTrust special meeting, if Mgmt For For necessary or appropriate, to solicit additional proxies if, immediately prior to such adjournment, there are not sufficient votes to approve the SunTrust merger proposal or to ensure that any supplement or amendment to the accompanying joint proxy statement/prospectus is timely provided to holders of SunTrust common stock and holders of SunTrust preferred stock. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 36 of 721 BlackRock TAKE-TWO INTERACTIVE SOFTWARE, INC.
Security: 874054109 Agenda Number: 935065842 Ticker: TTWO Meeting Type: Annual ISIN: US8740541094 Meeting Date: 18-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1A. Election of Director: Strauss Zelnick Mgmt For For
1B. Election of Director: Michael Dornemann Mgmt For For
1C. Election of Director: J Moses Mgmt For For
1D. Election of Director: Michael Sheresky Mgmt For For
1E. Election of Director: LaVerne Srinivasan Mgmt For For
1F. Election of Director: Susan Tolson Mgmt For For
1G. Election of Director: Paul Viera Mgmt For For
1H. Election of Director: Roland Hernandez Mgmt For For
2. Approval, on a non-binding advisory basis, of Mgmt Against Against the compensation of the Company's "named executive officers" as disclosed in the Proxy Statement. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 37 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3. Ratification of the appointment of Ernst & Mgmt For For Young LLP as our Independent registered public accounting firm for the fiscal year ending March 31, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 38 of 721 BlackRock THE J. M. SMUCKER COMPANY
Security: 832696405 Agenda Number: 935056920 Ticker: SJM Meeting Type: Annual ISIN: US8326964058 Meeting Date: 14-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director for a term expire in 2020: Mgmt Against Against Kathryn W. Dindo
1b. Election of Director for a term expire in 2020: Mgmt Against Against Paul J. Dolan
1c. Election of Director for a term expire in 2020: Mgmt For For Jay L. Henderson
1d. Election of Director for a term expire in 2020: Mgmt Against Against Gary A. Oatey
1e. Election of Director for a term expire in 2020: Mgmt For For Kirk L. Perry
1f. Election of Director for a term expire in 2020: Mgmt For For Sandra Pianalto
1g. Election of Director for a term expire in 2020: Mgmt Against Against Nancy Lopez Russell
1h. Election of Director for a term expire in 2020: Mgmt For For Alex Shumate
1i. Election of Director for a term expire in 2020: Mgmt For For Mark T. Smucker
1j. Election of Director for a term expire in 2020: Mgmt For For Richard K. Smucker Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 39 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1k. Election of Director for a term expire in 2020: Mgmt Against Against Timothy P. Smucker
1l. Election of Director for a term expire in 2020: Mgmt For For Dawn C. Willoughby
2. Ratification of appointment of Ernst & Young Mgmt For For LLP as the Company's Independent Registered Public Accounting Firm for the 2020 fiscal year.
3. Advisory approval of the Company's Mgmt Against Against executive compensation. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 40 of 721 BlackRock THE KRAFT HEINZ COMPANY
Security: 500754106 Agenda Number: 935064903 Ticker: KHC Meeting Type: Annual ISIN: US5007541064 Meeting Date: 12-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: Gregory E. Abel Mgmt For For
1b. Election of Director: Alexandre Behring Mgmt For For
1c. Election of Director: Joao M. Castro-Neves Mgmt For For
1d. Election of Director: Tracy Britt Cool Mgmt For For
1e. Election of Director: John T. Cahill Mgmt For For
1f. Election of Director: Feroz Dewan Mgmt For For
1g. Election of Director: Jeanne P. Jackson Mgmt For For
1h. Election of Director: Jorge Paulo Lemann Mgmt For For
1i. Election of Director: John C. Pope Mgmt For For
1j. Election of Director: Alexandre Van Damme Mgmt For For
1k. Election of Director: George Zoghbi Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 41 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
2. Advisory vote to approve executive Mgmt Against Against compensation.
3. Ratification of the selection of Mgmt For For PricewaterhouseCoopers LLP as our independent auditors for 2019.
4. Shareholder Proposal: Protein Diversification Shr Against For
5. Shareholder Proposal: Actions to Reduce Shr For Against Synthetic Pesticides Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 42 of 721 BlackRock TOTAL SYSTEM SERVICES, INC.
Security: 891906109 Agenda Number: 935066604 Ticker: TSS Meeting Type: Special ISIN: US8919061098 Meeting Date: 29-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. Approval of the Agreement and Plan of Mgmt For For Merger, dated as of May 27, 2019 (as amended from time to time, the "merger agreement"), by and between Total System Services, Inc. ("TSYS") and Global Payments Inc. ("Global Payments") and the transactions contemplated thereby, including the merger of TSYS with and into Global Payments (the "merger").
2. Approval, on an advisory (non-binding) basis, Mgmt Against Against of the executive officer compensation that will or may be paid to or become payable to TSYS' named executive officers in connection with the merger.
3. Approval, on an advisory (non-binding) basis, Mgmt For For of an amendment to Global Payments' articles of incorporation to declassify Global Payments' board of directors and provide for the annual election of directors.
4. Approval of the adjournment of the TSYS Mgmt For For special meeting, if necessary or appropriate, to solicit additional proxies if there are insufficient votes to approve Proposal 1. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 43 of 721 BlackRock VF CORPORATION
Security: 918204108 Agenda Number: 935043935 Ticker: VFC Meeting Type: Annual ISIN: US9182041080 Meeting Date: 16-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Richard T. Carucci Mgmt For For
2 Juliana L. Chugg Mgmt For For
3 Benno Dorer Mgmt For For
4 Mark S. Hoplamazian Mgmt For For
5 Laura W. Lang Mgmt For For
6 W. Alan McCollough Mgmt Withheld Against
7 W. Rodney McMullen Mgmt For For
8 Clarence Otis, Jr. Mgmt Withheld Against
9 Steven E. Rendle Mgmt For For
10 Carol L. Roberts Mgmt For For
11 Matthew J. Shattock Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 44 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
12 Veronica B. Wu Mgmt For For
2. Advisory vote to approve named executive Mgmt Against Against officer compensation.
3. Ratification of the selection of Mgmt For For PricewaterhouseCoopers LLP as VF's independent registered public accounting firm for the 2020 fiscal year. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 45 of 721 BlackRock VORNADO REALTY TRUST
Security: 929042109 Agenda Number: 935054887 Ticker: VNO Meeting Type: Special ISIN: US9290421091 Meeting Date: 07-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. APPROVAL OF AN AMENDMENT TO THE Mgmt For For COMPANY'S DECLARATION OF TRUST RELATED TO THE COMPANY'S QUALIFICATION AS A "DOMESTICALLY CONTROLLED QUALIFIED INVESTMENT ENTITY" WITHIN THE MEANING OF SECTION 897(H)(4)(B) OF THE INTERNAL REVENUE CODE OF 1986, AS AMENDED. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 46 of 721 BlackRock XILINX, INC.
Security: 983919101 Agenda Number: 935055194 Ticker: XLNX Meeting Type: Annual ISIN: US9839191015 Meeting Date: 08-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: Dennis Segers Mgmt For For
1b. Election of Director: Raman K. Chitkara Mgmt For For
1c. Election of Director: Saar Gillai Mgmt For For
1d. Election of Director: Ronald S. Jankov Mgmt For For
1e. Election of Director: Mary Louise Krakauer Mgmt For For
1f. Election of Director: Thomas H. Lee Mgmt For For
1g. Election of Director: J. Michael Patterson Mgmt Against Against
1h. Election of Director: Victor Peng Mgmt For For
1i. Election of Director: Marshall C. Turner Mgmt For For
1j. Election of Director: Elizabeth W. Vanderslice Mgmt Against Against Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 47 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
2. Proposal to approve an amendment to the Mgmt For For Company's 1990 Employee Qualified Stock Purchase Plan to increase the number of shares reserved for issuance thereunder by 2,000,000 shares.
3. Proposal to approve an amendment to the Mgmt Against Against Company's 2007 Equity Incentive Plan to increase the number of shares reserved for issuance thereunder by 6,000,000 shares.
4. Proposal to approve, on an advisory basis, Mgmt Against Against the compensation of the Company's named executive officers.
5. Proposal to ratify the appointment of Ernst & Mgmt For For Young LLP as the Company's independent registered accounting firm for fiscal 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 48 of 721 JPMORGAN ALIBABA GROUP HOLDING LIMITED
Security: 01609W102 Agenda Number: 935052302 Ticker: BABA Meeting Type: Annual ISIN: US01609W1027 Meeting Date: 15-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. Effect an increase in the number of authorized Mgmt For For Ordinary Shares to 32,000,000,000 and effect a one-to-eight share subdivision of the Company's Ordinary Shares.
2.1 Election of Director for a three year term: Mgmt Against Against DANIEL ZHANG
2.2 Election of Director for a three year term: Mgmt For For CHEE HWA TUNG
2.3 Election of Director for a three year term: Mgmt For For JERRY YANG
2.4 Election of Director for a three year term: Mgmt For For WAN LING MARTELLO
3. Ratify the appointment of Mgmt For For PricewaterhouseCoopers as the independent registered public accounting firm of the Company. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 49 of 721 JPMORGAN BANCO SANTANDER CHILE
Security: 05965X109 Agenda Number: 935069585 Ticker: BSAC Meeting Type: Special ISIN: US05965X1090 Meeting Date: 27-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. Submit the operation of acquisition of 51% of Mgmt For the shares issued by Santander Consumer Chile S.A. for the consideration of the shareholders. Further information of this acquisition can be found at the following link: https://santandercl.gcs-web.com/other-news The latest Consolidated Financial Statements of Santander Consumer Chile S.A. can be found at the following link: https://www.santanderconsumer.cl/web/guest/ nosotros
3. Adopt other agreements and grant powers of Mgmt For authority that are necessary to comply and carry out the resolutions decided in this meeting. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 50 of 721 JPMORGAN HDFC BANK LTD
Security: Y3119P174 Agenda Number: 711314005 Ticker: Meeting Type: AGM ISIN: INE040A01026 Meeting Date: 12-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 ADOPTION OF THE AUDITED FINANCIAL Mgmt For For STATEMENTS (STANDALONE) FOR THE YEAR ENDED MARCH 31, 2019 AND REPORTS OF THE BOARD OF DIRECTORS AND AUDITORS THEREON
2 ADOPTION OF THE AUDITED FINANCIAL Mgmt For For STATEMENTS (CONSOLIDATED) FOR THE YEAR ENDED MARCH 31, 2019 AND REPORT OF THE AUDITORS THEREON
3 DECLARATION OF DIVIDEND ON EQUITY Mgmt For For SHARES
4 APPOINTMENT OF DIRECTOR IN PLACE Mgmt For For OF MR. SRIKANTH NADHAMUNI (DIN 02551389), WHO RETIRES BY ROTATION AND BEING ELIGIBLE, OFFERS HIMSELF FOR RE-APPOINTMENT
5 APPOINTMENT OF STATUTORY AUDITORS Mgmt For For AND FIXING OF THEIR REMUNERATION: MSKA & ASSOCIATES, CHARTERED ACCOUNTANTS
6 RATIFICATION OF REMUNERATION / FEES Mgmt For For PAID TO THE ERSTWHILE
7 APPOINTMENT OF MR. SANJIV SACHAR Mgmt For For (DIN 02013812) AS INDEPENDENT DIRECTOR OF THE BANK Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 51 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8 APPOINTMENT OF MR. SANDEEP PAREKH Mgmt For For (DIN 03268043) AS INDEPENDENT DIRECTOR OF THE BANK
9 APPOINTMENT OF MR. M. D. RANGANATH Mgmt For For (DIN 07565125) AS INDEPENDENT DIRECTOR OF THE BANK
10 APPROVAL OF RELATED PARTY Mgmt For For TRANSACTIONS WITH HOUSING DEVELOPMENT FINANCE CORPORATION LIMITED PURSUANT TO APPLICABLE PROVISIONS
11 APPROVAL OF RELATED PARTY Mgmt For For TRANSACTIONS WITH HDB FINANCIAL SERVICES LIMITED PURSUANT TO APPLICABLE PROVISIONS
12 RAISING OF ADDITIONAL CAPITAL BY Mgmt For For ISSUE OF DEBT INSTRUMENTS
13 SUB-DIVISION OF EQUITY SHARES FROM Mgmt For For FACE VALUE OF RS. 2/- EACH TO FACE VALUE OF RS. 1/- EACH
14 ALTERATION OF CLAUSE V OF THE Mgmt For For MEMORANDUM OF ASSOCIATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 52 of 721 JPMORGAN HDFC LIFE INSURANCE CO LTD
Security: Y3R1AP109 Agenda Number: 711340721 Ticker: Meeting Type: AGM ISIN: INE795G01014 Meeting Date: 23-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 RECEIVE, CONSIDER AND ADOPT: (A) THE Mgmt For For AUDITED STANDALONE REVENUE ACCOUNT, PROFIT AND LOSS ACCOUNT AND RECEIPTS AND PAYMENTS ACCOUNT OF THE COMPANY FOR THE FINANCIAL YEAR ENDED MARCH 31, 2019, AND THE BALANCE SHEET AS AT THAT DATE, TOGETHER WITH THE REPORTS OF THE DIRECTORS', MANAGEMENT, AND AUDITORS THEREON; AND (B) THE AUDITED CONSOLIDATED REVENUE ACCOUNT, PROFIT AND LOSS ACCOUNT AND RECEIPTS AND PAYMENTS ACCOUNT OF THE COMPANY FOR THE FINANCIAL YEAR ENDED MARCH 31, 2019 AND THE BALANCE SHEET AS AT THAT DATE, TOGETHER WITH THE REPORTS OF THE AUDITORS THEREON
2 CONFIRM THE PAYMENT OF INTERIM Mgmt For For DIVIDEND ON EQUITY SHARES AS FINAL DIVIDEND: INR 1.63 PER EQUITY SHARE
3 APPOINT A DIRECTOR IN PLACE OF MR. Mgmt For For KEKI MISTRY (DIN: 00008886), WHO RETIRES BY ROTATION AND, BEING ELIGIBLE, OFFERS HIMSELF FOR RE- APPOINTMENT
4 RE-APPOINTMENT OF M/S PRICE Mgmt For For WATERHOUSE CHARTERED ACCOUNTANTS LLP, CHARTERED ACCOUNTANTS, AS ONE OF THE JOINT STATUTORY AUDITORS AND TO FIX REMUNERATION OF JOINT STATUTORY AUDITORS OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 53 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
5 NOT FILLING UP THE VACANCY CAUSED Mgmt For For BY RETIREMENT OF SIR GERALD GRIMSTONE (DIN: 01910890), WHO RETIRES BY ROTATION AND, DOES NOT OFFER HIMSELF FOR RE-APPOINTMENT
6 APPOINTMENT OF MS. BHARTI GUPTA Mgmt For For RAMOLA (DIN: 00356188) AS AN INDEPENDENT DIRECTOR
7 RE-APPOINTMENT OF MR. VK Mgmt For For VISWANATHAN (DIN: 01782934) AS AN INDEPENDENT DIRECTOR
8 RE-APPOINTMENT OF MR. PRASAD Mgmt For For CHANDRAN (DIN: 00200379) AS AN INDEPENDENT DIRECTOR
9 CONTINUATION OF DIRECTORSHIP OF Mgmt For For MR. DEEPAK PAREKH (DIN: 00009078) AS A NON-EXECUTIVE DIRECTOR OF THE COMPANY
10 REVISION IN THE REMUNERATION OF MS. Mgmt For For VIBHA PADALKAR (DIN: 01682810), MANAGING DIRECTOR & CHIEF EXECUTIVE OFFICER
11 REVISION IN THE REMUNERATION OF MR. Mgmt For For SURESH BADAMI (DIN: 08224871), EXECUTIVE DIRECTOR
12 APPROVAL OF EMPLOYEE STOCK Mgmt For For OPTION SCHEME - 2019 FOR THE ELIGIBLE EMPLOYEES OF THE COMPANY
13 APPROVAL OF EMPLOYEE STOCK Mgmt For For OPTION SCHEME - 2019 FOR THE ELIGIBLE EMPLOYEES OF SUBSIDIARY COMPANY(IES) OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 54 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
14 INCREASE IN FOREIGN PORTFOLIO Mgmt For For INVESTMENT LIMITS IN THE COMPANY
CMMT PLEASE NOTE THAT SHAREHOLDERS Non-Voting ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 55 of 721 JPMORGAN HOUSING DEVELOPMENT FINANCE CORP LTD
Security: Y37246207 Agenda Number: 711383137 Ticker: Meeting Type: AGM ISIN: INE001A01036 Meeting Date: 02-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT SHAREHOLDERS Non-Voting ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING
1.A ADOPTION OF THE AUDITED FINANCIAL Mgmt For For STATEMENTS OF THE CORPORATION FOR THE FINANCIAL YEAR ENDED MARCH 31, 2019 TOGETHER WITH THE REPORTS OF THE BOARD OF DIRECTORS AND AUDITORS THEREON
1.B ADOPTION OF THE AUDITED Mgmt For For CONSOLIDATED FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED MARCH 31, 2019 TOGETHER WITH THE REPORT OF THE AUDITORS THEREON
2 DECLARATION OF FINAL DIVIDEND ON Mgmt For For EQUITY SHARES OF THE CORPORATION: FINAL DIVIDEND FOR THE FINANCIAL YEAR ENDED MARCH 31, 2019 OF RS. 17.50 PER EQUITY SHARE
3 RE-APPOINTMENT OF MR. V. SRINIVASA Mgmt For For RANGAN, WHO RETIRES BY ROTATION AND, BEING ELIGIBLE, OFFERS HIMSELF FOR RE-APPOINTMENT
4 FIXING THE REMUNERATION OF MESSRS Mgmt For For B S R & CO. LLP, CHARTERED ACCOUNTANTS, STATUTORY AUDITORS OF THE CORPORATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 56 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
5 APPOINTMENT OF DR. BHASKAR GHOSH Mgmt For For AS AN INDEPENDENT DIRECTOR OF THE CORPORATION
6 APPOINTMENT OF MS. IREENA VITTAL AS Mgmt For For AN INDEPENDENT DIRECTOR OF THE CORPORATION
7 RE-APPOINTMENT OF MR. NASSER Mgmt For For MUNJEE AS AN INDEPENDENT DIRECTOR OF THE CORPORATION
8 RE-APPOINTMENT OF DR. J. J. IRANI AS Mgmt For For AN INDEPENDENT DIRECTOR OF THE CORPORATION
9 APPROVAL OF RELATED PARTY Mgmt For For TRANSACTIONS WITH HDFC BANK LIMITED
10 APPROVAL FOR PAYMENT OF Mgmt For For COMMISSION TO THE NON-EXECUTIVE DIRECTORS OF THE CORPORATION
11 APPROVAL FOR REVISION IN THE Mgmt For For SALARY RANGE OF MR. KEKI M. MISTRY, MANAGING DIRECTOR (DESIGNATED AS THE "VICE CHAIRMAN & CHIEF EXECUTIVE OFFICER") OF THE CORPORATION
12 APPROVAL TO ISSUE REDEEMABLE NON- Mgmt For For CONVERTIBLE DEBENTURES AND/ OR ANY OTHER HYBRID INSTRUMENTS ON PRIVATE PLACEMENT BASIS, UP TO AN AMOUNT NOT EXCEEDING INR 1,25,000 CRORE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 57 of 721 JPMORGAN KOTAK MAHINDRA BANK LTD
Security: Y4964H150 Agenda Number: 711338308 Ticker: Meeting Type: AGM ISIN: INE237A01028 Meeting Date: 22-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT SHAREHOLDERS Non-Voting ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING
1 A. AUDITED FINANCIAL STATEMENTS OF Mgmt For For THE BANK FOR THE FINANCIAL YEAR ENDED 31ST MARCH, 2019 AND THE REPORTS OF THE BOARD OF DIRECTORS AND THE AUDITORS THEREON; AND B. AUDITED CONSOLIDATED FINANCIAL STATEMENTS OF THE BANK FOR THE FINANCIAL YEAR ENDED 31ST MARCH, 2019 AND THE REPORT OF THE AUDITORS THEREON
2 APPOINTMENT OF MR. C. JAYARAM Mgmt For For (DIN:00012214) AS A DIRECTOR, WHO RETIRES BY ROTATION AND, BEING ELIGIBLE, OFFERS HIMSELF FOR RE- APPOINTMENT
3 A. DECLARATION OF DIVIDEND ON Mgmt For For EQUITY SHARES FOR THE YEAR ENDED 31ST MARCH, 2019: INR 0.80 PER EQUITY SHARE, B. CONFIRMATION OF INTERIM DIVIDEND PAID ON PREFERENCE SHARES: INR 5 EACH ISSUED BY THE BANK Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 58 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4 APPOINTMENT OF M/S. WALKER Mgmt For For CHANDIOK & CO LLP, CHARTERED ACCOUNTANTS (REGISTRATION NO. 001076N/N500013) AS THE AUDITORS OF THE BANK, SUBJECT TO APPROVALS/CONSENTS/PERMISSIONS/ SANCTIONS AS MAY BE NECESSARY
5 APPOINTMENT OF MR. UDAY SHANKAR Mgmt For For (DIN:01755963) AS AN INDEPENDENT DIRECTOR OF THE BANK FROM 16TH MARCH 2019 UP TO 15TH MARCH 2024
6 RE-APPOINTMENT OF MR. PRAKASH Mgmt For For APTE (DIN: 00196106) AS AN INDEPENDENT DIRECTOR OF THE BANK FROM 18TH MARCH 2019 TO 17TH MARCH 2024
7 RE-APPOINTMENT OF MRS. FARIDA Mgmt For For KHAMBATA (DIN: 06954123) AS AN INDEPENDENT DIRECTOR OF THE BANK FROM 7TH SEPTEMBER 2019 TO 6TH SEPTEMBER 2022
8 APPOINTMENT OF MR. K.V.S. MANIAN Mgmt For For (DIN: 00031794) AS A DIRECTOR OF THE BANK, WITH EFFECT FROM THE DATE OF APPROVAL OF THE RBI
9 APPOINTMENT OF AND PAYMENT OF Mgmt For For REMUNERATION TO MR. K.V.S. MANIAN (DIN: 00031794) AS WHOLE-TIME DIRECTOR OF THE BANK FOR THE PERIOD OF THREE YEARS WITH EFFECT FROM THE DATE OF APPROVAL OF THE RBI
10 APPOINTMENT OF MR. GAURANG SHAH Mgmt For For (DIN: 00016660) AS A DIRECTOR OF THE BANK, WITH EFFECT FROM THE DATE OF APPROVAL OF THE RBII Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 59 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 APPOINTMENT OF AND PAYMENT OF Mgmt For For REMUNERATION TO MR. GAURANG SHAH (DIN: 00016660) AS WHOLE-TIME DIRECTOR OF THE BANK FOR THE PERIOD OF THREE YEARS WITH EFFECT FROM THE DATE OF APPROVAL OF THE RBI
12 APPROVAL TO ISSUE UNSECURED, Mgmt For For PERPETUAL AND/ OR REDEEMABLE NON- CONVERTIBLE DEBENTURES/BONDS FOR AN AMOUNT UP TO INR 5,000 CRORE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 60 of 721 JPMORGAN MAHINDRA & MAHINDRA LIMITED
Security: Y54164150 Agenda Number: 711383238 Ticker: Meeting Type: AGM ISIN: INE101A01026 Meeting Date: 07-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT SHAREHOLDERS Non-Voting ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING
1 TO RECEIVE, CONSIDER AND ADOPT THE Mgmt For For AUDITED STANDALONE FINANCIAL STATEMENTS OF THE COMPANY FOR THE FINANCIAL YEAR ENDED 31ST MARCH, 2019 AND THE REPORTS OF THE BOARD OF DIRECTORS AND AUDITORS THEREON
2 TO RECEIVE, CONSIDER AND ADOPT THE Mgmt For For AUDITED CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY FOR THE FINANCIAL YEAR ENDED 31ST MARCH, 2019 AND THE REPORT OF THE AUDITORS THEREON
3 DECLARATION OF DIVIDEND ON Mgmt For For ORDINARY (EQUITY) SHARES: RS. 8.50 PER ORDINARY (EQUITY) SHARE OF THE FACE VALUE OF RS. 5 EACH ON THE SHARE CAPITAL
4 RE-APPOINTMENT OF DR. PAWAN Mgmt For For GOENKA (DIN:00254502) AS A DIRECTOR, WHO RETIRES BY ROTATION AND, BEING ELIGIBLE, OFFERS HIMSELF FOR RE- APPOINTMENT Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 61 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
5 RATIFICATION OF THE REMUNERATION Mgmt For For PAYABLE TO MESSRS D. C. DAVE & CO., COST ACCOUNTANTS (FIRM REGISTRATION NUMBER 000611), APPOINTED AS THE COST AUDITORS OF THE COMPANY FOR THE FINANCIAL YEAR ENDING 31ST MARCH, 2020
6 RE-APPOINTMENT OF DR. VISHAKHA N. Mgmt For For DESAI (DIN: 05292671) AS AN INDEPENDENT DIRECTOR OF THE COMPANY FOR A SECOND TERM COMMENCING FROM 8TH AUGUST, 2019 TO 30TH APRIL, 2024
7 RE-APPOINTMENT OF MR. VIKRAM SINGH Mgmt For For MEHTA (DIN: 00041197) AS AN INDEPENDENT DIRECTOR OF THE COMPANY FOR A SECOND TERM OF FIVE CONSECUTIVE YEARS COMMENCING FROM 8TH AUGUST, 2019 TO 7TH AUGUST, 2024
8 APPOINTMENT OF MR. VIJAY KUMAR Mgmt For For SHARMA (DIN: 02449088) AS A NON- EXECUTIVE NON-INDEPENDENT DIRECTOR OF THE COMPANY, REPRESENTING LIFE INSURANCE CORPORATION OF INDIA, LIABLE TO RETIRE BY ROTATION
9 APPOINTMENT OF MR. HAIGREVE Mgmt For For KHAITAN (DIN: 00005290) AS AN INDEPENDENT DIRECTOR OF THE COMPANY FOR A TERM OF FIVE CONSECUTIVE YEARS COMMENCING FROM 8TH AUGUST, 2019 TO 7TH AUGUST, 2024 Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 62 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 APPOINTMENT OF MS. SHIKHA SHARMA Mgmt For For (DIN: 00043265) AS AN INDEPENDENT DIRECTOR OF THE COMPANY FOR A TERM OF FIVE CONSECUTIVE YEARS COMMENCING FROM 8TH AUGUST, 2019 TO 7TH AUGUST, 2024 Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 63 of 721 JPMORGAN MR. PRICE GROUP LIMITED
Security: S5256M135 Agenda Number: 711362727 Ticker: Meeting Type: AGM ISIN: ZAE000200457 Meeting Date: 28-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
O.1 ADOPTION OF THE ANNUAL FINANCIAL Mgmt For For STATEMENTS
O.2.1 RE-ELECTION OF DIRECTOR RETIRING Mgmt For For BY ROTATION: STEWART COHEN
O.2.2 RE-ELECTION OF DIRECTOR RETIRING Mgmt For For BY ROTATION: KEITH GETZ
O.2.3 RE-ELECTION OF DIRECTOR RETIRING Mgmt For For BY ROTATION: MARK BOWMAN
O.3 CONFIRMATION OF APPOINTMENT OF Mgmt For For MMABOSHADI CHAUKE AS NON- EXECUTIVE DIRECTOR
O.4 CONFIRMATION OF APPOINTMENT OF Mgmt For For MARK STIRTON AS EXECUTIVE DIRECTOR
O.5 RE-ELECTION OF INDEPENDENT Mgmt For For AUDITOR: RESOLVED THAT, AS APPROVED BY THE AUDIT AND COMPLIANCE COMMITTEE AND RECOMMENDED TO SHAREHOLDERS, ERNST & YOUNG INC. BE AND ARE HEREBY RE-ELECTED AS THE INDEPENDENT REGISTERED AUDITOR OF THE COMPANY, AND THAT MR V PILLAY BE APPOINTED AS THE DESIGNATED REGISTERED AUDITOR, TO HOLD OFFICE FOR THE ENSUING FINANCIAL YEAR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 64 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
O.6.1 ELECTION OF MEMBER OF THE AUDIT Mgmt For For AND COMPLIANCE COMMITTEE: BOBBY JOHNSTON
O.6.2 ELECTION OF MEMBER OF THE AUDIT Mgmt For For AND COMPLIANCE COMMITTEE: DAISY NAIDOO
O.6.3 ELECTION OF MEMBER OF THE AUDIT Mgmt For For AND COMPLIANCE COMMITTEE: MARK BOWMAN
O.6.4 ELECTION OF MEMBER OF THE AUDIT Mgmt For For AND COMPLIANCE COMMITTEE: MMABOSHADI CHAUKE
O.7 NON-BINDING ADVISORY VOTE ON THE Mgmt For For REMUNERATION POLICY
O.8 NON-BINDING ADVISORY VOTE ON THE Mgmt For For REMUNERATION IMPLEMENTATION REPORT
O.9 ADOPTION OF THE SETS COMMITTEE Mgmt For For REPORT
O.10 SIGNATURE OF DOCUMENTS Mgmt For For
O.11 CONTROL OF AUTHORISED BUT Mgmt For For UNISSUED SHARES
S.1.1 NON-EXECUTIVE DIRECTORS Mgmt For For REMUNERATION: INDEPENDENT NON- EXECUTIVE CHAIR OF THE BOARD: R 1 573 638 Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 65 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
S.1.2 NON-EXECUTIVE DIRECTORS Mgmt For For REMUNERATION: HONORARY CHAIR OF THE BOARD: R 786 819
S.1.3 NON-EXECUTIVE DIRECTORS Mgmt For For REMUNERATION: LEAD INDEPENDENT DIRECTOR OF THE BOARD: R 465 888
S.1.4 NON-EXECUTIVE DIRECTORS Mgmt For For REMUNERATION: NON-EXECUTIVE DIRECTORS: R 390 297
S.1.5 NON-EXECUTIVE DIRECTORS Mgmt For For REMUNERATION: AUDIT AND COMPLIANCE COMMITTEE CHAIR: R 270 350
S.1.6 NON-EXECUTIVE DIRECTORS Mgmt For For REMUNERATION: AUDIT AND COMPLIANCE COMMITTEE MEMBERS: R 144 166
S.1.7 NON-EXECUTIVE DIRECTORS Mgmt For For REMUNERATION: REMUNERATION AND NOMINATIONS COMMITTEE CHAIR: R 198 947
S.1.8 NON-EXECUTIVE DIRECTORS Mgmt For For REMUNERATION: REMUNERATION AND NOMINATIONS COMMITTEE MEMBERS: R 103 891
S.1.9 NON-EXECUTIVE DIRECTORS Mgmt For For REMUNERATION: SOCIAL, ETHICS, TRANSFORMATION AND SUSTAINABILITY COMMITTEE CHAIR: R 158 567 Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 66 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
S.110 NON-EXECUTIVE DIRECTORS Mgmt For For REMUNERATION: SOCIAL, ETHICS, TRANSFORMATION AND SUSTAINABILITY COMMITTEE MEMBERS: R 100 700
S.111 NON-EXECUTIVE DIRECTORS Mgmt For For REMUNERATION: RISK AND IT COMMITTEE MEMBERS: R 125 862
S.112 NON-EXECUTIVE DIRECTORS Mgmt For For REMUNERATION: RISK AND IT COMMITTEE - IT SPECIALIST: R 284 112
S.2 GENERAL AUTHORITY TO REPURCHASE Mgmt For For SHARES
S.3 FINANCIAL ASSISTANCE TO RELATED OR Mgmt For For INTER-RELATED COMPANIES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 67 of 721 JPMORGAN PT BANK RAKYAT INDONESIA (PERSERO) TBK
Security: Y0697U112 Agenda Number: 711493332 Ticker: Meeting Type: EGM ISIN: ID1000118201 Meeting Date: 02-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 EVALUATION OF THE 1ST SEMESTER Mgmt For For 2019 COMPANY FINANCIAL PERFORMANCE
2 APPROVAL OF THE COMPANY'S Mgmt For For RECOVERY PLAN
3 THE CHANGE OF COMPANY'S Mgmt Against Against MANAGEMENT COMPOSITION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 68 of 721 NT SMALL CAP 8X8, INC.
Security: 282914100 Agenda Number: 935059180 Ticker: EGHT Meeting Type: Annual ISIN: US2829141009 Meeting Date: 01-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Bryan R. Martin Mgmt For For
2 Vikram Verma Mgmt For For
3 Eric Salzman Mgmt For For
4 Jaswinder Pal Singh Mgmt For For
5 Vladimir Jacimovic Mgmt For For
6 Monique Bonner Mgmt For For
7 Todd Ford Mgmt For For
8 Elizabeth Theophille Mgmt For For
2. To ratify the appointment of Moss Adams LLP Mgmt For For as the Company's independent registered public accounting firm for the fiscal year ending March 31, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 69 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3. To approve proposed amendments to the 8x8, Mgmt For For Inc. Amended and Restated 2012 Equity Incentive Plan, including the reservation of 12,000,000 additional shares thereunder.
4. To vote, on an advisory and non-binding Mgmt For For basis, on the compensation of the Company's named executive officers (as shall be set forth in the proxy statement). Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 70 of 721 NT SMALL CAP AAR CORP.
Security: 000361105 Agenda Number: 935068519 Ticker: AIR Meeting Type: Annual ISIN: US0003611052 Meeting Date: 24-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1A. Election of Director: James E. Goodwin Mgmt Against Against
1B. Election of Director: John M. Holmes Mgmt For For
1C. Election of Director: Marc J. Walfish Mgmt For For
2. Advisory proposal to approve our Fiscal 2019 Mgmt For For executive compensation.
3. The ratification of the appointment of KPMG Mgmt For For LLP as our independent registered public accounting firm for the fiscal year ending May 31, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 71 of 721 NT SMALL CAP ACACIA COMMUNICATIONS, INC.
Security: 00401C108 Agenda Number: 935071059 Ticker: ACIA Meeting Type: Special ISIN: US00401C1080 Meeting Date: 06-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. To adopt the Agreement and Plan of Merger, Mgmt For For dated as of July 8, 2019, as it may be amended from time to time, by and among Acacia Communications, Inc., Cisco Systems, Inc., and Amarone Acquisition Corp.
2. To approve, on a nonbinding advisory basis, Mgmt For For the compensation that may be payable to Acacia Communications, Inc.'s named executive officers in connection with the merger.
3. To approve the adjournment of the special Mgmt For For meeting, if necessary or appropriate, to solicit additional proxies if there are insufficient votes at the time of the special meeting to approve the proposal to adopt the Agreement and Plan of Merger. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 72 of 721 NT SMALL CAP ACACIA MINING PLC
Security: G0067D104 Agenda Number: 711496112 Ticker: Meeting Type: CRT ISIN: GB00B61D2N63 Meeting Date: 03-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 THAT THE SCHEME OF ARRANGEMENT Mgmt For For DATED 12 AUGUST 2019 (THE SCHEME), BETWEEN THE COMPANY AND THE SCHEME SHAREHOLDERS (AS DEFINED IN THE SCHEME), A PRINT OF WHICH HAS BEEN PRODUCED TO THIS MEETING AND, FOR THE PURPOSES OF IDENTIFICATION, SIGNED BY THE CHAIRMAN HEREOF, IN ITS ORIGINAL FORM OR WITH OR SUBJECT TO ANY MODIFICATION, ADDITION OR CONDITION APPROVED OR IMPOSED BY THE COURT AND JOINTLY CONSENTED TO BY THE COMPANY AND BARRICK GOLD CORPORATION, BE APPROVED
CMMT PLEASE NOTE THAT ABSTAIN IS NOT A Non-Voting VALID VOTE OPTION FOR THIS MEETING TYPE. PLEASE CHOOSE BETWEEN "FOR" AND "AGAINST" ONLY. SHOULD YOU CHOOSE TO VOTE ABSTAIN FOR THIS MEETING THEN YOUR VOTE WILL BE DISREGARDED BY THE ISSUER OR ISSUERS AGENT. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 73 of 721 NT SMALL CAP ACACIA MINING PLC
Security: G0067D104 Agenda Number: 711496124 Ticker: Meeting Type: OGM ISIN: GB00B61D2N63 Meeting Date: 03-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 FOR THE PURPOSE OF GIVING EFFECT Mgmt For For TO THE SCHEME OF ARRANGEMENT BETWEEN THE COMPANY AND THE SCHEME SHAREHOLDERS AS SET OUT IN THE SCHEME DOCUMENT (THE "SCHEME"): (A) TO AUTHORISE THE DIRECTORS OF THE COMPANY (OR A DULY AUTHORISED COMMITTEE THEREOF) TO TAKE ALL SUCH ACTIONS AS THEY MAY CONSIDER NECESSARY OR APPROPRIATE FOR CARRYING THE SCHEME INTO FULL EFFECT; AND (B) TO MAKE THE AMENDMENTS TO THE ARTICLES OF ASSOCIATION DESCRIBED IN THE NOTICE OF GENERAL MEETING: ARTICLE 160 AND ARTICLE 160(C) Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 74 of 721 NT SMALL CAP ADVANCED DRAINAGE SYSTEMS, INC./WMS
Security: 00790R104 Agenda Number: 935049848 Ticker: WMS Meeting Type: Annual ISIN: US00790R1041 Meeting Date: 23-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: Ross M. Jones Mgmt For For
1b. Election of Director: C. Robert Kidder Mgmt For For
1c. Election of Director: Manuel J. Perez de la Mgmt For For Mesa
2. Ratification of the appointment of Deloitte & Mgmt For For Touche LLP as the Company's Independent Registered Public Accounting Firm for fiscal year 2020.
3. Approval, in a non-binding advisory vote, of Mgmt For For the compensation for named executive officers. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 75 of 721 NT SMALL CAP AEROVIRONMENT, INC.
Security: 008073108 Agenda Number: 935072924 Ticker: AVAV Meeting Type: Annual ISIN: US0080731088 Meeting Date: 27-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Charles Thomas Burbage Mgmt For For
2 Charles R. Holland Mgmt For For
3 Edward R. Muller Mgmt For For
2. To ratify the selection of Deloitte & Touche Mgmt For For LLP as the company's independent registered public accounting firm
3. Advisory vote on the compensation of the Mgmt For For company's Named Executive Officers Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 76 of 721 NT SMALL CAP AGILYSYS, INC.
Security: 00847J105 Agenda Number: 935061793 Ticker: AGYS Meeting Type: Annual ISIN: US00847J1051 Meeting Date: 09-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Donald A. Colvin Mgmt For For
2 Dana Jones Mgmt For For
3 Jerry Jones Mgmt For For
4 Michael A. Kaufman Mgmt For For
5 Melvin L. Keating Mgmt For For
6 John Mutch Mgmt For For
7 Ramesh Srinivasan Mgmt For For
2. Approval of amendments to the Company's Mgmt For For Amended Code of Regulations and Amended Articles of Incorporation to require a majority vote, in uncontested elections, for director nominees to be elected
3. Approval of an amendment to the Company's Mgmt For For Amended Code of Regulations to reduce the threshold for shareholder removal of a director from a two-thirds supermajority to a simple majority Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 77 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4. Approval, on a non-binding advisory basis, of Mgmt For For the compensation of our named executive officers set forth in the attached Proxy Statement
5. Ratification of the appointment of Grant Mgmt For For Thornton LLP as our independent registered public accounting firm for the fiscal year ending March 31, 2020
6. In their discretion, the proxies are authorized Mgmt Against Against to vote upon such other business as may properly come before the Annual Meeting or any adjournments thereof Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 78 of 721 NT SMALL CAP AMERICA'S CAR-MART, INC.
Security: 03062T105 Agenda Number: 935061832 Ticker: CRMT Meeting Type: Annual ISIN: US03062T1051 Meeting Date: 28-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1A. Election of Director: Ann G. Bordelon Mgmt For For
1B. Election of Director: Ray C. Dillon Mgmt For For
1C. Election of Director: Daniel J. Englander Mgmt For For
1D. Election of Director: William H. Henderson Mgmt For For
1E. Election of Director: Jim von Gremp Mgmt For For
1F. Election of Director: Joshua G. Welch Mgmt For For
1G. Election of Director: Jeffrey A. Williams Mgmt For For
2. To approve an advisory resolution regarding Mgmt For For the Company's compensation of its named executive officers.
3. To ratify the selection of Grant Thornton LLP Mgmt For For as the independent registered public accounting firm for the fiscal year ending April 30, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 79 of 721 NT SMALL CAP AMERICAN OUTDOOR BRANDS CORPORATION
Security: 02874P103 Agenda Number: 935071580 Ticker: AOBC Meeting Type: Annual ISIN: US02874P1030 Meeting Date: 24-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Barry M. Monheit Mgmt For For
2 Robert L. Scott Mgmt For For
3 Anita D. Britt Mgmt For For
4 P. James Debney Mgmt For For
5 John B. Furman Mgmt For For
6 Gregory J.Gluchowski Jr Mgmt For For
7 Michael F. Golden Mgmt For For
8 Mitchell A. Saltz Mgmt For For
9 I. Marie Wadecki Mgmt For For
2. To provide a non-binding advisory vote on the Mgmt For For compensation of our named executive officers for fiscal 2019 ("say-on-pay"). Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 80 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3. To ratify the appointment of Deloitte & Touche Mgmt For For LLP, an independent registered public accounting firm, as the independent registered public accountant of our company for the fiscal year ending April 30, 2020.
4. A stockholder proposal, if properly presented Shr For Against at the meeting. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 81 of 721 NT SMALL CAP AMERICAN WOODMARK CORPORATION
Security: 030506109 Agenda Number: 935061008 Ticker: AMWD Meeting Type: Annual ISIN: US0305061097 Meeting Date: 22-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1.1 Election of Director: Andrew B. Cogan Mgmt Against Against
1.2 Election of Director: James G. Davis, Jr. Mgmt For For
1.3 Election of Director: S. Cary Dunston Mgmt For For
1.4 Election of Director: Martha M. Hayes Mgmt For For
1.5 Election of Director: Daniel T. Hendrix Mgmt For For
1.6 Election of Director: Teresa M. May Mgmt For For
1.7 Election of Director: Carol B. Moerdyk Mgmt For For
1.8 Election of Director: David W. Moon Mgmt For For
1.9 Election of Director: Vance W. Tang Mgmt For For
2. To ratify the selection by the Audit Committee Mgmt For For of the Board of Directors of KPMG LLP as the independent registered public accounting firm of the Company for the fiscal year ending April 30, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 82 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3. To approve on an advisory basis the Mgmt For For Company's executive compensation. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 83 of 721 NT SMALL CAP AMIGO HOLDINGS PLC
Security: G04043108 Agenda Number: 711318267 Ticker: Meeting Type: AGM ISIN: GB00BFFK8T45 Meeting Date: 12-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE ANNUAL ACCOUNTS OF Mgmt For For THE COMPANY AND THE REPORTS OF THE DIRECTORS FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019, TOGETHER WITH THE REPORTS OF THE AUDITOR THEREON
2 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT (OTHER THAN THE PART CONTAINING THE DIRECTORS' REMUNERATION POLICY) FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019 AS SET OUT ON PAGES 61 TO 71 (INCLUSIVE) OF THE ANNUAL REPORT AND ACCOUNTS 2019
3 TO APPROVE THE REMUNERATION Mgmt For For POLICY, WHICH IS CONTAINED IN THE DIRECTORS' REMUNERATION REPORT, AS SET OUT ON PAGES 72 TO 76 (INCLUSIVE) OF THE ANNUAL REPORT AND ACCOUNTS 2019
4 TO DECLARE A FINAL DIVIDEND OF 7.45P Mgmt For For PER ORDINARY SHARE IN RESPECT OF THE FINANCIAL YEAR ENDED 31 MARCH 2019, PAYABLE ON 31 JULY 2019 TO ORDINARY SHAREHOLDERS ON THE REGISTER AT THE CLOSE OF BUSINESS ON 19 JULY 2019
5 TO ELECT NAYAN KISNADWALA AS A Mgmt For For DIRECTOR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 84 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
6 TO ELECT ROGER LOVERING AS A Mgmt For For DIRECTOR OF THE COMPANY
7 TO ELECT RICHARD PRICE AS A Mgmt For For DIRECTOR OF THE COMPANY
8 TO ELECT CLARE SALMON AS A Mgmt For For DIRECTOR OF THE COMPANY
9 TO ELECT STEPHAN WILCKE AS A Mgmt For For DIRECTOR OF THE COMPANY
10 TO APPOINT KPMG LLP AS AUDITOR OF Mgmt For For THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT GENERAL MEETING AT WHICH ACCOUNTS ARE LAID BEFORE THE COMPANY
11 TO AUTHORISE THE DIRECTORS TO SET Mgmt For For THE REMUNERATION OF THE AUDITORS
12 THAT, IN ACCORDANCE WITH SECTIONS Mgmt For For 366 AND 367 OF THE COMPANIES ACT 2006, THE COMPANY AND ALL ITS SUBSIDIARIES BE AND ARE HEREBY AUTHORISED, IN AGGREGATE TO: (A) MAKE POLITICAL DONATIONS TO POLITICAL PARTIES OR TO INDEPENDENT ELECTION CANDIDATES NOT EXCEEDING GBP 100,000 IN TOTAL; (B) MAKE POLITICAL DONATIONS TO POLITICAL ORGANISATIONS (OTHER THAN POLITICAL PARTIES) NOT EXCEEDING GBP 100,000 IN TOTAL; AND (C) INCUR ANY POLITICAL EXPENDITURE NOT EXCEEDING GBP 100,000 IN TOTAL, DURING THE PERIOD BEGINNING WITH THE DATE OF THE PASSING OF THIS RESOLUTION AND ENDING ON 30 SEPTEMBER 2020 OR, IF SOONER, THE CONCLUSION OF THE ANNUAL GENERAL MEETING OF THE COMPANY IN 2020. FOR THE PURPOSE OF THIS RESOLUTION "POLITICAL DONATION", "POLITICAL Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 85 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
PARTY", "POLITICAL ORGANISATION" "INDEPENDENT ELECTION CANDIDATE" AND "POLITICAL EXPENDITURE" ARE TO BE CONSTRUED IN ACCORDANCE WITH SECTIONS 363, 364 AND 365 OF THE COMPANIES ACT 2006
13 TO APPROVE THE AMIGO HOLDINGS PLC Mgmt For For 2019 SHARE INCENTIVE PLAN (INCLUDING THE TRUST DEED AND RULES OF THE SHARE INCENTIVE PLAN) (SIP), THE PRINCIPAL TERMS OF WHICH ARE SUMMARISED IN APPENDIX 1 AND APPENDIX 2 TO THIS NOTICE AND A COPY OF WHICH IS PRODUCED IN DRAFT TO THE MEETING AND INITIALLED BY THE CHAIRMAN FOR THE PURPOSES OF IDENTIFICATION, AND TO AUTHORISE THE DIRECTORS TO: (A) ADOPT THE SIP AND DO ALL ACTS AND THINGS THAT THEY CONSIDER NECESSARY OR EXPEDIENT TO GIVE EFFECT TO THE SIP, INCLUDING MAKING SUCH MODIFICATIONS AS THE DIRECTORS CONSIDER APPROPRIATE TO TAKE ACCOUNT OF THE REQUIREMENTS OF THE FINANCIAL CONDUCT AUTHORITY, HM REVENUE & CUSTOMS AND BEST PRACTICE; AND (B) ADOPT FURTHER EMPLOYEE SHARE PLANS BASED ON THE SIP, BUT MODIFIED TO TAKE ACCOUNT OF LOCAL TAX, EXCHANGE CONTROLS OR SECURITIES LAWS IN ANY JURISDICTION, PROVIDED THAT ANY SHARES MADE AVAILABLE UNDER SUCH FURTHER EMPLOYEE SHARE PLANS WILL BE TREATED AS COUNTING AGAINST ANY LIMITS ON INDIVIDUAL OR OVERALL LIMITS ON PARTICIPATION IN THE SIP
14 TO APPROVE THE RULES OF THE AMIGO Mgmt For For HOLDINGS PLC 2019 SAVE AS YOU EARN OPTION PLAN (SAYE), THE PRINCIPAL TERMS OF WHICH ARE SUMMARISED IN APPENDIX 1 AND APPENDIX 3 TO THIS NOTICE AND A COPY OF WHICH IS PRODUCED IN DRAFT TO THE MEETING AND INITIALLED BY THE CHAIRMAN FOR THE PURPOSES OF IDENTIFICATION, AND TO AUTHORISE THE DIRECTORS TO: (A) Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 86 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
ADOPT THE SAYE AND DO ALL ACTS AND THINGS THAT THEY CONSIDER NECESSARY OR EXPEDIENT TO GIVE EFFECT TO THE SAYE, INCLUDING MAKING SUCH MODIFICATIONS AS THE DIRECTORS CONSIDER APPROPRIATE TO TAKE ACCOUNT OF THE REQUIREMENTS OF THE FINANCIAL CONDUCT AUTHORITY, HM REVENUE & CUSTOMS AND BEST PRACTICE; AND (B) ADOPT FURTHER EMPLOYEE SHARE PLANS BASED ON THE SAYE, BUT MODIFIED TO TAKE ACCOUNT OF LOCAL TAX, EXCHANGE CONTROLS OR SECURITIES LAWS IN ANY JURISDICTION, PROVIDED THAT ANY SHARES MADE AVAILABLE UNDER SUCH FURTHER EMPLOYEE SHARE PLANS ARE TREATED AS COUNTING AGAINST ANY LIMITS ON INDIVIDUAL OR OVERALL PARTICIPATION IN THE SAYE
15 TO APPROVE THE RULES OF THE AMIGO Mgmt For For HOLDINGS PLC 2019 LONG TERM INCENTIVE PLAN (THE "LTIP"), THE PRINCIPAL TERMS OF WHICH ARE SUMMARISED IN APPENDIX 1 AND APPENDIX 4 TO THIS NOTICE AND A COPY OF WHICH IS PRODUCED IN DRAFT TO THE MEETING AND INITIALLED BY THE CHAIRMAN FOR THE PURPOSES OF IDENTIFICATION AND TO AUTHORISE THE DIRECTORS TO: (A) ADOPT THE LTIP AND DO ALL ACTS AND THINGS THAT THEY CONSIDER NECESSARY OR EXPEDIENT TO GIVE EFFECT TO THE LTIP, INCLUDING MAKING SUCH MODIFICATIONS AS THE DIRECTORS CONSIDER APPROPRIATE TO TAKE ACCOUNT OF THE REQUIREMENTS OF THE FINANCIAL CONDUCT AUTHORITY AND BEST PRACTICE; AND (B) ADOPT FURTHER EMPLOYEE SHARE PLANS BASED ON THE LTIP, BUT MODIFIED TO TAKE ACCOUNT OF LOCAL TAX, EXCHANGE CONTROLS OR SECURITIES LAWS IN ANY JURISDICTION, PROVIDED THAT ANY SHARES MADE AVAILABLE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 87 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
UNDER SUCH FURTHER EMPLOYEE SHARE PLANS ARE TREATED AS COUNTING AGAINST ANY LIMITS ON INDIVIDUAL OR OVERALL PARTICIPATION IN THE LTIP
16 THAT THE DIRECTORS BE GENERALLY Mgmt For For AND UNCONDITIONALLY AUTHORISED FOR THE PURPOSES OF SECTION 551 OF THE COMPANIES ACT 2006, TO EXERCISE ALL THE POWERS OF THE COMPANY TO ALLOT SHARES AND GRANT RIGHTS TO SUBSCRIBE FOR, OR CONVERT ANY SECURITY INTO, SHARES: (A) UP TO AN AGGREGATE NOMINAL AMOUNT (WITHIN THE MEANING OF SECTION 551(3) AND (6) OF THE COMPANIES ACT 2006) OF GBP 396,072 (SUCH AMOUNT TO BE REDUCED BY THE NOMINAL AMOUNT ALLOTTED OR GRANTED UNDER RESOLUTION 16(B) BELOW IN EXCESS OF SUCH SUM); AND (B) COMPRISING EQUITY SECURITIES (AS DEFINED IN SECTION 560 OF THE COMPANIES ACT 2006) UP TO AN AGGREGATE NOMINAL AMOUNT (WITHIN THE MEANING OF SECTION 551(3) AND (6) OF THE COMPANIES ACT 2006) OF GBP 792,215 (SUCH AMOUNT TO BE REDUCED BY ANY ALLOTMENTS OR GRANTS MADE UNDER RESOLUTION 16(A) ABOVE) IN CONNECTION WITH OR PURSUANT TO AN OFFER BY WAY OF A RIGHTS ISSUE IN FAVOUR OF HOLDERS OF ORDINARY SHARES IN PROPORTION (AS NEARLY AS PRACTICABLE) TO THE RESPECTIVE NUMBER OF ORDINARY SHARES HELD BY THEM ON THE RECORD DATE FOR SUCH ALLOTMENT (AND HOLDERS OF ANY OTHER CLASS OF EQUITY SECURITIES ENTITLED TO PARTICIPATE THEREIN OR IF THE DIRECTORS CONSIDER IT NECESSARY, AS PERMITTED BY THE RIGHTS OF THOSE SECURITIES), BUT SUBJECT TO SUCH EXCLUSIONS OR OTHER ARRANGEMENTS AS THE DIRECTORS MAY CONSIDER NECESSARY OR APPROPRIATE TO DEAL WITH FRACTIONAL ENTITLEMENTS, TREASURY SHARES, RECORD DATES OR LEGAL, REGULATORY OR PRACTICAL DIFFICULTIES WHICH MAY ARISE UNDER Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 88 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
THE LAWS OF, OR THE REQUIREMENTS OF ANY REGULATORY BODY OR STOCK EXCHANGE IN ANY TERRITORY OR ANY OTHER MATTER WHATSOEVER, THESE AUTHORISATIONS TO EXPIRE AT THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY (OR, IF EARLIER, ON 30 SEPTEMBER 2020), (SAVE THAT THE COMPANY MAY BEFORE SUCH EXPIRY MAKE ANY OFFER OR AGREEMENT WHICH WOULD OR MIGHT REQUIRE SHARES TO BE ALLOTTED, OR RIGHTS TO BE GRANTED, AFTER SUCH EXPIRY AND THE DIRECTORS MAY ALLOT SHARES, OR GRANT RIGHTS TO SUBSCRIBE FOR OR TO CONVERT ANY SECURITY INTO SHARES, IN PURSUANCE OF ANY SUCH OFFER OR AGREEMENT AS IF THE AUTHORISATIONS CONFERRED HEREBY HAD NOT EXPIRED)
17 THAT, SUBJECT TO THE PASSING OF Mgmt For For RESOLUTION 16 ABOVE, THE DIRECTORS BE GIVEN POWER PURSUANT TO SECTIONS 570(1) AND 573 OF THE COMPANIES ACT 2006 TO: (A) ALLOT EQUITY SECURITIES (AS DEFINED IN SECTION 560 OF THE COMPANIES ACT 2006) OF THE COMPANY FOR CASH PURSUANT TO THE AUTHORISATION CONFERRED BY THAT RESOLUTION; AND (B) SELL ORDINARY SHARES (AS DEFINED IN SECTION 560(1) OF THE COMPANIES ACT 2006) HELD BY THE COMPANY AS TREASURY SHARES FOR CASH, AS IF SECTION 561 OF THE COMPANIES ACT 2006 DID NOT APPLY TO ANY SUCH ALLOTMENT OR SALE, PROVIDED THAT THIS POWER SHALL BE LIMITED TO THE ALLOTMENT OF EQUITY SECURITIES FOR CASH AND THE SALE OF TREASURY SHARES: (I) IN CONNECTION WITH OR PURSUANT TO AN OFFER OF OR INVITATION TO ACQUIRE EQUITY SECURITIES (BUT IN THE CASE OF THE AUTHORISATION GRANTED UNDER RESOLUTION 16(B) ABOVE, BY WAY OF A RIGHTS ISSUE ONLY) IN FAVOUR OF HOLDERS OF ORDINARY SHARES IN PROPORTION (AS NEARLY AS PRACTICABLE) TO THE RESPECTIVE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 89 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
NUMBER OF ORDINARY SHARES HELD BY THEM ON THE RECORD DATE FOR SUCH ALLOTMENT OR SALE (AND HOLDERS OF ANY OTHER CLASS OF EQUITY SECURITIES ENTITLED TO PARTICIPATE THEREIN OR IF THE DIRECTORS CONSIDER IT NECESSARY, AS PERMITTED BY THE RIGHTS OF THOSE SECURITIES) BUT SUBJECT TO SUCH EXCLUSIONS OR OTHER ARRANGEMENTS AS THE DIRECTORS MAY CONSIDER NECESSARY OR APPROPRIATE TO DEAL WITH FRACTIONAL ENTITLEMENTS, TREASURY SHARES, RECORD DATES OR LEGAL, REGULATORY OR PRACTICAL DIFFICULTIES WHICH MAY ARISE UNDER THE LAWS OF OR THE REQUIREMENTS OF ANY REGULATORY BODY OR STOCK EXCHANGE IN ANY TERRITORY OR ANY OTHER MATTER WHATSOEVER; AND (II) IN THE CASE OF THE AUTHORISATION GRANTED UNDER RESOLUTION 16(A) ABOVE (OR IN THE CASE OF ANY SALE OF TREASURY SHARES), AND OTHERWISE THAN PURSUANT TO PARAGRAPH (I) OF THIS RESOLUTION 17, UP TO AN AGGREGATE NOMINAL AMOUNT OF GBP 59,417, AND SHALL EXPIRE AT THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY (OR, IF EARLIER, ON 30 SEPTEMBER 2020), SAVE THAT THE COMPANY MAY BEFORE SUCH EXPIRY MAKE ANY OFFER OR AGREEMENT THAT WOULD OR MIGHT REQUIRE EQUITY SECURITIES TO BE ALLOTTED, OR TREASURY SHARES TO BE SOLD, AFTER SUCH EXPIRY AND THE DIRECTORS MAY ALLOT EQUITY SECURITIES, OR SELL TREASURY SHARES IN PURSUANCE OF ANY SUCH OFFER OR AGREEMENT AS IF THE POWER CONFERRED HEREBY HAD NOT EXPIRED
18 THAT, SUBJECT TO THE PASSING OF Mgmt For For RESOLUTIONS 16 AND 17 ABOVE, AND IN ADDITION TO THE POWER GIVEN BY THAT RESOLUTION 17, THE DIRECTORS BE GIVEN POWER PURSUANT TO SECTIONS 570 (1) AND 573 OF THE COMPANIES ACT 2006 TO: (A) ALLOT Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 90 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
EQUITY SECURITIES (AS DEFINED IN SECTION 560 OF THE COMPANIES ACT 2006) OF THE COMPANY FOR CASH PURSUANT TO THE AUTHORISATION CONFERRED BY RESOLUTION 16(A); AND (B) SELL ORDINARY SHARES (AS DEFINED IN SECTION 560(1) OF THE COMPANIES ACT 2006) HELD BY THE COMPANY AS TREASURY SHARES FOR CASH, AS IF SECTION 561 OF THE COMPANIES ACT 2006 DID NOT APPLY TO ANY SUCH ALLOTMENT OR SALE, PROVIDED THAT THIS POWER SHALL BE: (I) LIMITED TO THE ALLOTMENT OF EQUITY SECURITIES FOR CASH AND THE SALE OF TREASURY SHARES, UP TO AN AGGREGATE NOMINAL AMOUNT OF GBP 59,417; AND (II) USED ONLY FOR THE PURPOSES OF FINANCING (OR REFINANCING, IF THE AUTHORITY IS TO BE USED WITHIN SIX MONTHS AFTER THE ORIGINAL TRANSACTION) A TRANSACTION WHICH THE DIRECTORS HAVE DETERMINED TO BE AN ACQUISITION OR OTHER CAPITAL INVESTMENT OF A KIND CONTEMPLATED BY THE STATEMENT OF PRINCIPLES ON DISAPPLYING PRE-EMPTION RIGHTS MOST RECENTLY PUBLISHED BY THE PRE-EMPTION GROUP PRIOR TO THE DATE OF THIS NOTICE, OR FOR ANY OTHER PURPOSES AS THE COMPANY IN GENERAL MEETING MAY AT ANY TIME BY SPECIAL RESOLUTION DETERMINE, AND SHALL EXPIRE AT THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY (OR, IF EARLIER, ON 30 SEPTEMBER 2020), SAVE THAT THE COMPANY MAY BEFORE SUCH EXPIRY MAKE ANY OFFER OR AGREEMENT THAT WOULD OR MIGHT REQUIRE EQUITY SECURITIES TO BE ALLOTTED, OR TREASURY SHARES TO BE SOLD, AFTER SUCH EXPIRY AND THE DIRECTORS MAY ALLOT EQUITY SECURITIES, OR SELL TREASURY SHARES IN PURSUANCE OF ANY SUCH OFFER OR AGREEMENT AS IF THE POWER CONFERRED HEREBY HAD NOT EXPIRED Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 91 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
19 THAT THE COMPANY IS GENERALLY AND Mgmt For For UNCONDITIONALLY AUTHORISED FOR THE PURPOSES OF SECTION 701 OF THE COMPANIES ACT 2006 TO MAKE MARKET PURCHASES (WITHIN THE MEANING OF SECTION 693(4) OF THE COMPANIES ACT 2006) OF ANY OF ITS ORDINARY SHARES OF 0.25P EACH IN THE CAPITAL OF THE COMPANY ON SUCH TERMS AND IN SUCH MANNER AS THE DIRECTORS MAY FROM TIME TO TIME DETERMINE, AND WHERE SUCH SHARES ARE HELD AS TREASURY SHARES, THE COMPANY MAY USE THEM FOR THE PURPOSES OF ITS EMPLOYEE SHARE SCHEMES, PROVIDED THAT: (A) THE MAXIMUM NUMBER OF ORDINARY SHARES WHICH MAY BE PURCHASED IS 47,533,376; (B) THE MINIMUM PRICE THAT MAY BE PAID FOR EACH ORDINARY SHARE IS 0.25P WHICH AMOUNT SHALL BE EXCLUSIVE OF EXPENSES, IF ANY; (C) THE MAXIMUM PRICE (EXCLUSIVE OF EXPENSES) THAT MAY BE PAID FOR EACH ORDINARY SHARE IS AN AMOUNT EQUAL TO THE HIGHER OF: (I) 105% OF THE AVERAGE OF THE MIDDLE MARKET QUOTATIONS FOR AN ORDINARY SHARE OF THE COMPANY AS DERIVED FROM THE DAILY OFFICIAL LIST OF THE LONDON STOCK EXCHANGE PLC FOR THE FIVE BUSINESS DAYS IMMEDIATELY PRECEDING THE DAY ON WHICH SUCH SHARE IS CONTRACTED TO BE PURCHASED; AND (II) THE HIGHER OF THE PRICE OF THE LAST INDEPENDENT TRADE OF AN ORDINARY SHARE AND THE HIGHEST CURRENT INDEPENDENT BID FOR AN ORDINARY SHARE ON THE TRADING VENUES WHERE THE PURCHASE IS CARRIED OUT; (D) UNLESS PREVIOUSLY RENEWED, REVOKED OR VARIED, THIS AUTHORITY SHALL EXPIRE AT THE CONCLUSION OF THE ANNUAL GENERAL MEETING IN 2020 OR ON 30 SEPTEMBER 2020, WHICHEVER IS THE EARLIER; AND (E) THE COMPANY MAY, BEFORE THIS AUTHORITY EXPIRES, MAKE A CONTRACT TO PURCHASE ORDINARY SHARES THAT WOULD OR MIGHT BE EXECUTED WHOLLY OR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 92 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
PARTLY AFTER THE EXPIRY OF THIS AUTHORITY, AND MAY MAKE PURCHASES OF ORDINARY SHARES PURSUANT TO IT AS IF THIS AUTHORITY HAD NOT EXPIRED
20 THAT A GENERAL MEETING OF THE Mgmt For For COMPANY (OTHER THAN AN ANNUAL GENERAL MEETING) MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 93 of 721 NT SMALL CAP AO WORLD PLC
Security: G0403D107 Agenda Number: 711327331 Ticker: Meeting Type: AGM ISIN: GB00BJTNFH41 Meeting Date: 17-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE ACCOUNTS AND THE Mgmt For For REPORTS OF THE DIRECTORS AND AUDITORS FOR THE YEAR ENDED 31 MARCH 2019
2 TO RECEIVE AND APPROVE THE Mgmt For For DIRECTORS' REMUNERATION REPORT, OTHER THAN THE PART CONTAINING THE DIRECTORS' REMUNERATION POLICY, FOR THE YEAR ENDED 31 MARCH 2019
3 TO RE-ELECT GEOFF COOPER AS A Mgmt For For DIRECTOR
4 TO RE-ELECT JOHN ROBERTS AS A Mgmt For For DIRECTOR
5 TO RE-ELECT MARK HIGGINS AS A Mgmt For For DIRECTOR
6 TO RE-ELECT CHRIS HOPKINSON AS A Mgmt For For DIRECTOR
7 TO RE-ELECT MARISA CASSONI AS A Mgmt For For DIRECTOR
8 TO RE-ELECT JACQUELINE DE ROJAS AS Mgmt For For A DIRECTOR
9 TO ELECT SHAUN MCCABE AS A Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 94 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO ELECT LUISA DELGADO AS A Mgmt For For DIRECTOR
11 TO REAPPOINT KPMG LLP AS AUDITORS Mgmt For For OF THE COMPANY TO HOLD OFFICE UNTIL CONCLUSION OF THE ANNUAL GENERAL MEETING OF THE COMPANY TO BE HELD IN 2020
12 TO AUTHORISE THE AUDIT COMMITTEE Mgmt For For TO DETERMINE THE REMUNERATION OF KPMG LLP
13 TO AUTHORISE THE DIRECTORS' TO Mgmt For For ALLOT SHARES
14 TO DISAPPLY STATUTORY PRE-EMPTION Mgmt For For RIGHTS
15 TO DISAPPLY STATUTORY PRE-EMPTION Mgmt For For RIGHTS - LIMITED TO AN ACQUISITION OR CAPITAL INVESTMENT
16 TO AUTHORISE THE COMPANY TO Mgmt For For PURCHASE ITS OWN SHARES
17 TO AUTHORISE THE COMPANY AND ITS Mgmt For For SUBSIDIARIES TO MAKE POLITICAL DONATIONS AND INCUR POLITICAL EXPENDITURE
18 TO AUTHORISE THE COMPANY TO CALL Mgmt For For GENERAL MEETINGS ON NOT LESS THAN 14 CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 95 of 721 NT SMALL CAP APOLLO MEDICAL HOLDINGS, INC.
Security: 03763A207 Agenda Number: 935069206 Ticker: AMEH Meeting Type: Special ISIN: US03763A2078 Meeting Date: 27-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. To approve the Company making a loan of Mgmt For For $545,000,000 to AP-AMH Medical Corporation, a California Professional Corporation ("AP- AMH") pursuant to the Loan Agreement dated May 10, 2019 between the Company and AP-AMH.
2. To approve the issuance of 15,015,015 Mgmt For For shares of the Company's Common Stock to Allied Physicians of California, a Professional Medical Corporation ("APC"), pursuant to the Stock Purchase Agreement dated May 10, 2019 between the Company and APC.
3. To approve an adjournment of the special Mgmt For For meeting of stockholders of Apollo Medical Holdings, Inc. from time to time, if necessary or appropriate, for the purpose of soliciting additional votes for the approval of Proposal No. 1 and/or Proposal No. 2. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 96 of 721 NT SMALL CAP ARLO TECHNOLOGIES, INC.
Security: 04206A101 Agenda Number: 935054558 Ticker: ARLO Meeting Type: Annual ISIN: US04206A1016 Meeting Date: 19-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Ralph Faison Mgmt For For
2 Jocelyn Carter-Miller Mgmt For For
2. Proposal to ratify the appointment of Mgmt For For PricewaterhouseCoopers LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2019. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 97 of 721 NT SMALL CAP ARMSTRONG WORLD INDUSTRIES, INC.
Security: 04247X102 Agenda Number: 935037134 Ticker: AWI Meeting Type: Annual ISIN: US04247X1028 Meeting Date: 11-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Stan A. Askren Mgmt For For
2 Victor D. Grizzle Mgmt For For
3 Tao Huang Mgmt For For
4 Barbara L. Loughran Mgmt For For
5 Larry S. McWilliams Mgmt For For
6 James C. Melville Mgmt For For
7 John J. Roberts Mgmt For For
8 Wayne R. Shurts Mgmt For For
9 Roy W. Templin Mgmt For For
10 Cherryl T. Thomas Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 98 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
2. To ratify the selection of KPMG LLP as our Mgmt For For independent registered public accounting firm for 2019.
3. To approve, on an advisory basis, our Mgmt For For executive compensation program. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 99 of 721 NT SMALL CAP ASSURA PLC
Security: G2386T109 Agenda Number: 711263121 Ticker: Meeting Type: AGM ISIN: GB00BVGBWW93 Meeting Date: 02-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE COMPANY'S REPORT Mgmt For For AND ACCOUNTS
2 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION POLICY
3 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT
4 TO REAPPOINT DELOITTE LLP AS Mgmt For For AUDITOR OF THE COMPANY
5 TO AUTHORISE THE AUDIT COMMITTEE Mgmt For For TO DETERMINE THE AUDITOR'S REMUNERATION
6 TO RE-ELECT ED SMITH AS A DIRECTOR Mgmt For For OF THE COMPANY
7 TO ELECT LOUISE FOWLER AS A Mgmt For For DIRECTOR OF THE COMPANY
8 TO RE-ELECT JONATHAN MURPHY AS A Mgmt For For DIRECTOR OF THE COMPANY
9 TO RE-ELECT JENEFER GREENWOOD AS Mgmt For For A DIRECTOR OF THE COMPANY
10 TO RE-ELECT JAYNE COTTAM AS A Mgmt For For DIRECTOR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 100 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 TO RE-ELECT JONATHAN DAVIES AS A Mgmt For For DIRECTOR OF THE COMPANY
12 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT SHARES
13 TO EMPOWER THE DIRECTORS TO Mgmt For For DISAPPLY PRE-EMPTION RIGHTS
14 TO EMPOWER THE DIRECTORS TO Mgmt For For DISAPPLY PRE-EMPTION RIGHTS IN CONNECTION WITH AN ACQUISITION OR SPECIFIED CAPITAL INVESTMENT
15 TO AUTHORISE THE MARKET PURCHASE Mgmt For For OF THE COMPANY'S OWN SHARES
16 TO AUTHORISE THE COMPANY TO CALL Mgmt For For ANY GENERAL MEETING, OTHER THAN THE ANNUAL GENERAL MEETING, BY NOT LESS THAN 14 CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 101 of 721 NT SMALL CAP AT & S AUSTRIA TECHNOLOGIE & SYSTEMTECHNIK AG
Security: A05345110 Agenda Number: 711321151 Ticker: Meeting Type: AGM ISIN: AT0000969985 Meeting Date: 04-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 RECEIVE FINANCIAL STATEMENTS AND Non-Voting STATUTORY REPORTS FOR FISCAL 2018/19
2 APPROPRIATION OF THE PROFITS: Mgmt For For DIVIDENDS OF EUR 0.60 PER SHARE
3 DISCHARGE OF THE MEMBERS OF THE Mgmt For For MANAGEMENT BOARD
4 DISCHARGE OF THE MEMBERS OF THE Mgmt For For SUPERVISORY BOARD
5 REMUNERATION OF THE SUPERVISORY Mgmt Against Against BOARD
6 RECEIVE REPORT ON SHARE Non-Voting REPURCHASE PROGRAM
7 ELECTION OF THE AUDITOR AND GROUP Mgmt For For AUDITOR: PWC AS AUDITORS FOR FISCAL 2019/20
8.1 SUPERVISORY BOARD ELECTION DR. Mgmt For For KARIN SCHAUPP
8.2 SUPERVISORY BOARD ELECTION DDR. Mgmt For For REGINA PREHOFER Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 102 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8.3 SUPERVISORY BOARD ELECTION DR. Mgmt For For GERTRUDE TUMPEL- GUGERELL
8.4 SUPERVISORY BOARD ELECTION DR. Mgmt Against Against GEORG RIEDL
9 AUTHORIZATION OF THE MANAGEMENT Mgmt For For BOARD TO REPURCHASE SHARES IN THE COMPANY AND THE REVOCATION OF THE RESPECTIVE EXISTING AUTHORIZATION
10 AUTHORIZATION OF THE MANAGEMENT Mgmt Against Against BOARD TO UTILIZE THE COMPANY'S TREASURY STOCK OR DISPOSE OF IT AND THE REVOCATION OF THE RESPECTIVE EXISTING AUTHORIZATION
11 AUTHORIZATION OF THE MANAGEMENT Mgmt Against Against BOARD TO INCREASE THE SHARE CAPITAL PURSUANT TO SECTION 169 STOCK CORPORATION ACT (AUTHORIZED CAPITAL) WITH THE POSSIBILITY TO EXCLUDE THE SUBSCRIPTION RIGHT AND AMENDMENT OF THE ARTICLES OF ASSOCIATION IN SECTION 4 AND AUTHORIZATION OF THE SUPERVISORY BOARD TO ADOPT AMENDMENTS TO THE ARTICLES OF ASSOCIATION RESULTING FROM THE ISSUANCE OF SHARES ACCORDING TO THE AUTHORIZED CAPITAL
12 RESOLUTION REGARDING (I) THE Mgmt Against Against AUTHORIZATION OF THE MANAGEMENT BOARD TO ISSUE CONVERTIBLE BONDS PURSUANT TO SECTION 174 (2) STOCK CORPORATION ACT WITH THE POSSIBILITY TO EXCLUDE THE SUBSCRIPTION RIGHT, AND (II) THE CONDITIONAL INCREASE OF THE NOMINAL CAPITAL PURSUANT TO SECTION 159 (2) (1) STOCK CORPORATION ACT AND AMENDMENT OF THE ARTICLES OF ASSOCIATION IN SECTION 4 AND AUTHORIZATION OF THE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 103 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
SUPERVISORY BOARD TO ADOPT AMENDMENTS TO THE ARTICLES OF ASSOCIATION RESULTING FROM THE ISSUANCE OF SHARES ACCORDING TO THE CONDITIONAL CAPITAL
CMMT PLEASE NOTE THAT THIS IS AN Non-Voting AMENDMENT TO MEETING ID 257248 DUE TO RECEIVED NAMES UNDER RESOLUTION 8. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU.
CMMT 02 JULY 2019: PLEASE NOTE THAT THIS IS Non-Voting A REVISION DUE TO CHANGE IN MEETING TYPE FROM AGM TO OGM. IF YOU HAVE ALREADY SENT IN YOUR VOTES FOR MID: 259565 PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 104 of 721 NT SMALL CAP AURELIUS EQUITY OPPORTUNITIES SE & CO. KGAA
Security: D0R9AT103 Agenda Number: 711336633 Ticker: Meeting Type: AGM ISIN: DE000A0JK2A8 Meeting Date: 19-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT ACCORDING TO GERMAN LAW, IN CASE Non-Voting OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL. THANK YOU.
CMMT PLEASE NOTE THAT THE TRUE RECORD Non-Voting DATE FOR THIS MEETING IS 28 JUN 2019, WHEREAS THE MEETING HAS BEEN SETUP USING THE ACTUAL RECORD DATE - 1 BUSINESS DAY. THIS IS DONE TO ENSURE THAT ALL POSITIONS REPORTED ARE IN CONCURRENCE WITH THE GERMAN LAW. THANK YOU.
CMMT COUNTER PROPOSALS MAY BE Non-Voting SUBMITTED UNTIL 04.07.2019. FURTHER INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER'S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 105 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY'S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED IN THE BALLOT ON PROXYEDGE.
1 PRESENTATION OF THE FINANCIAL Mgmt For For STATEMENTS AND ANNUAL REPORT FOR THE 2018 FINANCIAL YEAR WITH THE REPORT OF THE SUPERVISORY BOARD, THE GROUP FINANCIAL STATEMENTS AND GROUP ANNUAL REPORT RESOLUTION ON THE APPROVAL OF THE FINANCIAL STATEMENTS FOR THE 2018 FINANCIAL YEAR
2 RESOLUTION ON THE APPROPRIATION Mgmt For For OF THE DISTRIBUTABLE PROFIT: THE DISTRIBUTABLE PROFIT OF EUR 146,120,207.35 SHALL BE APPROPRIATED AS FOLLOWS: PAYMENT OF A DIVIDEND OF EUR 1.50 PER DIVIDEND-ENTITLED NO-PAR SHARE EUR 101,596,377.85 SHALL BE CARRIED FORWARD EX- DIVIDEND DATE: JULY 22, 2019 PAYABLE DATE: JULY 24, 2019
3 RATIFICATION OF THE ACTS OF THE Mgmt For For GENERAL PARTNER
4 RATIFICATION OF THE ACTS OF THE Mgmt For For SUPERVISORY BOARD
5 RATIFICATION OF THE ACTS OF THE Mgmt For For SHAREHOLDERS' COMMITTEE
6 APPOINTMENT OF AUDITORS THE Mgmt For For FOLLOWING ACCOUNTANTS SHALL BE APPOINTED AS AUDITORS AND GROUP AUDITORS FOR THE 2019 FINANCIAL YEAR: KPMG AG, MUNICH Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 106 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
7 RESOLUTION ON THE REVOCATION OF Mgmt For For THE AUTHORIZED CAPITAL 2015/I, THE CREATION OF AN AUTHORIZED CAPITAL 2019/I, AND THE CORRESPONDING AMENDMENT TO THE ARTICLES OF ASSOCIATION THE EXISTING AUTHORIZED CAPITAL 2015/I SHALL BE REVOKED. THE GENERAL PARTNER SHALL BE AUTHORIZED, WITH THE CONSENT OF THE SUPERVISORY BOARD, TO INCREASE THE SHARE CAPITAL BY UP TO EUR 15,840,000 THROUGH THE ISSUE OF UP TO 15,840,000 NEW BEARER NO- PAR SHARES AGAINST CONTRIBUTIONS IN CASH AND/OR KIND, ON OR BEFORE JULY 18, 2024 (AUTHORIZED CAPITAL 2019/I). SHAREHOLDERS SHALL BE GRANTED SUBSCRIPTION RIGHTS EXCEPT FOR IN THE FOLLOWING CASES: - RESIDUAL AMOUNTS HAVE BEEN EXCLUDED FROM SUBSCRIPTION RIGHTS, - SHARES HAVE BEEN ISSUED AGAINST CONTRIBUTIONS IN CASH AT A PRICE NOT MATERIALLY BELOW THEIR MARKET PRICE AND THE CAPITAL INCREASE DOES NOT EXCEED 10 PERCENT OF THE SHARE CAPITAL, - SHARES HAVE BEEN ISSUED AGAINST CONTRIBUTIONS IN KIND FOR ACQUISITION PURPOSES, - HOLDERS OF CONVERSION OR OPTION RIGHTS HAVE BEEN GRANTED SUBSCRIPTION RIGHTS, SHARES HAVE BEEN ISSUED FOR THE PAYMENT OF SCRIP DIVIDENDS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 107 of 721 NT SMALL CAP AVEVA GROUP PLC
Security: G06812120 Agenda Number: 711299950 Ticker: Meeting Type: AGM ISIN: GB00BBG9VN75 Meeting Date: 08-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE ANNUAL ACCOUNTS OF Mgmt For For THE COMPANY AND THE REPORTS OF THE DIRECTORS FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019 TOGETHER WITH THE AUDITOR'S REPORTS THEREON
2 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT FOR THE FINANCIAL YEAR ENDED ON 31 MARCH 2019 AS SET OUT ON PAGES 60 TO 63 AND 72 TO 79 OF THE ANNUAL REPORT AND ACCOUNTS 2019
3 TO DECLARE A FINAL DIVIDEND OF 29.0 Mgmt For For PENCE PER ORDINARY SHARE IN RESPECT OF THE YEAR ENDED 31 MARCH 2019 TO SHAREHOLDERS ON THE REGISTER OF MEMBERS AT CLOSE OF BUSINESS ON 5 JULY 2019 PAYABLE ON 2 AUGUST 2019
4 TO RE-ELECT CRAIG HAYMAN AS A Mgmt For For DIRECTOR OF THE COMPANY
5 TO RE-ELECT EMMANUEL BABEAU AS A Mgmt Against Against DIRECTOR OF THE COMPANY
6 TO RE-ELECT PETER HERWECK AS A Mgmt For For DIRECTOR OF THE COMPANY
7 TO RE-ELECT PHILIP AIKEN AS A Mgmt For For DIRECTOR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 108 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8 TO RE-ELECT JAMES KIDD AS A Mgmt For For DIRECTOR OF THE COMPANY
9 TO RE-ELECT JENNIFER ALLERTON AS A Mgmt For For DIRECTOR OF THE COMPANY
10 TO RE-ELECT CHRISTOPHER HUMPHREY Mgmt For For AS A DIRECTOR OF THE COMPANY
11 TO RE-ELECT ROHINTON MOBED AS A Mgmt For For DIRECTOR OF THE COMPANY
12 TO ELECT PAULA DOWDY AS A DIRECTOR Mgmt For For OF THE COMPANY
13 TO REAPPOINT ERNST & YOUNG LLP AS Mgmt For For AUDITOR OF THE COMPANY
14 TO AUTHORISE THE DIRECTORS TO FIX Mgmt For For THE REMUNERATION OF THE AUDITOR
15 TO AUTHORISE THE COMPANY TO MAKE Mgmt For For MARKET PURCHASES PURSUANT TO SECTION 701 OF THE COMPANIES ACT 2006
16 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT SECURITIES PURSUANT TO SECTION 551 OF THE COMPANIES ACT 2006
17 TO EMPOWER THE DIRECTORS TO ALLOT Mgmt For For EQUITY SECURITIES PURSUANT TO SECTION 570 AND 573 OF THE COMPANIES ACT 2006
18 TO ALLOW 14 DAYS' NOTICE OF GENERAL Mgmt For For MEETINGS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 109 of 721 NT SMALL CAP AVX CORPORATION
Security: 002444107 Agenda Number: 935049836 Ticker: AVX Meeting Type: Annual ISIN: US0024441075 Meeting Date: 24-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 David DeCenzo Mgmt Withheld Against
2 Koichi Kano Mgmt Withheld Against
3 Hideo Tanimoto Mgmt Withheld Against
2. To ratify the appointment of Mgmt For For PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending March 31, 2020.
3. To approve the Management Incentive Plan. Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 110 of 721 NT SMALL CAP AXOGEN INC
Security: 05463X106 Agenda Number: 935056689 Ticker: AXGN Meeting Type: Annual ISIN: US05463X1063 Meeting Date: 14-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Karen Zaderej Mgmt For For
2 Gregory Freitag Mgmt For For
3 Quentin S. Blackford Mgmt For For
4 Dr. Mark Gold Mgmt For For
5 Alan M. Levine Mgmt For For
6 Guido Neels Mgmt For For
7 Robert Rudelius Mgmt For For
8 Amy Wendell Mgmt For For
2. To approve the Axogen, Inc. 2019 Long Term Mgmt For For Incentive Plan.
3. To ratify the selection of Deloitte & Touche Mgmt For For LLP as our independent registered public accounting firm for the year ending December 31, 2019. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 111 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4. To approve, on a non-binding advisory basis, Mgmt For For the compensation of the Company's named executive officers as disclosed in the Company's Proxy Statement.
5. To recommend by a non-binding advisory Mgmt 1 Year Against vote the frequency of future non-binding advisory votes on the compensation of the Company's named executive officers. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 112 of 721 NT SMALL CAP AXONICS MODULATION TECHNOLOGIES INC
Security: 05465P101 Agenda Number: 935060359 Ticker: AXNX Meeting Type: Annual ISIN: US05465P1012 Meeting Date: 19-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1.1 Election of Director: Erik Amble, Ph.D. Mgmt For For
1.2 Election of Director: Juliet Tammenoms Mgmt For For Bakker
1.3 Election of Director: Michael H. Carrel Mgmt For For
1.4 Election of Director: Raymond W. Cohen Mgmt For For
1.5 Election of Director: Jane E. Kiernan Mgmt For For
1.6 Election of Director: Robert E. McNamara Mgmt For For
1.7 Election of Director: Nancy Snyderman, M.D., Mgmt For For FACS
1.8 Election of Director: Raphaël Wisniewski Mgmt For For
2. To ratify the selection of BDO USA, LLP as Mgmt For For our independent registered public accounting firm for the fiscal year ending December 31, 2019. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 113 of 721 NT SMALL CAP AZZ INC.
Security: 002474104 Agenda Number: 935034532 Ticker: AZZ Meeting Type: Annual ISIN: US0024741045 Meeting Date: 09-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Daniel E. Berce Mgmt For For
2 Paul Eisman Mgmt For For
3 Daniel R. Feehan Mgmt For For
4 Thomas E. Ferguson Mgmt For For
5 Kevern R. Joyce Mgmt For For
6 Venita McCellon-Allen Mgmt For For
7 Ed McGough Mgmt For For
8 Stephen E. Pirnat Mgmt For For
9 Steven R. Purvis Mgmt For For
2. Approval of advisory vote on AZZ's executive Mgmt For For compensation program. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 114 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3. Ratification of the appointment of Grant Mgmt For For Thornton LLP as AZZ's independent registered public accounting firm for the fiscal year ending February 29, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 115 of 721 NT SMALL CAP B&M EUROPEAN VALUE RETAIL SA.
Security: L1175H106 Agenda Number: 711324006 Ticker: Meeting Type: AGM ISIN: LU1072616219 Meeting Date: 26-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 RECEIVE BOARD REPORTS ON THE Mgmt For For CONSOLIDATED AND UNCONSOLIDATED FINANCIAL STATEMENTS AND ANNUAL ACCOUNTS
2 RECEIVE CONSOLIDATED AND Mgmt For For UNCONSOLIDATED FINANCIAL STATEMENTS AND ANNUAL ACCOUNTS, AND AUDITORS' REPORTS THEREON
3 APPROVE CONSOLIDATED FINANCIAL Mgmt For For STATEMENTS AND ANNUAL ACCOUNTS
4 APPROVE UNCONSOLIDATED FINANCIAL Mgmt For For STATEMENTS AND ANNUAL ACCOUNTS
5 APPROVE ALLOCATION OF INCOME Mgmt For For
6 APPROVE DIVIDENDS Mgmt For For
7 APPROVE REMUNERATION REPORT Mgmt For For
8 APPROVE DISCHARGE OF DIRECTORS Mgmt For For
9 RE-ELECT PETER BAMFORD AS Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 116 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 RE-ELECT SIMON ARORA AS DIRECTOR Mgmt For For
11 RE-ELECT PAUL MCDONALD AS Mgmt For For DIRECTOR
12 RE-ELECT RON MCMILLAN AS DIRECTOR Mgmt For For
13 RE-ELECT KATHLEEN GUION AS Mgmt For For DIRECTOR
14 RE-ELECT TIFFANY HALL AS DIRECTOR Mgmt For For
15 ELECT CAROLYN BRADLEY AS DIRECTOR Mgmt For For
16 ELECT GILLES PETIT AS DIRECTOR Mgmt For For
17 APPROVE DISCHARGE OF AUDITORS Mgmt For For
18 REAPPOINT KPMG LUXEMBOURG Mgmt For For SOCIETE COOPERATIVE AS AUDITORS
19 AUTHORISE BOARD TO FIX Mgmt For For REMUNERATION OF AUDITORS
20 AUTHORISE MARKET PURCHASE OF Mgmt For For ORDINARY SHARES
21 AUTHORISE ISSUE OF EQUITY WITHOUT Mgmt For For PRE-EMPTIVE RIGHTS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 117 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
22 AUTHORISE ISSUE OF EQUITY WITHOUT Mgmt For For PRE-EMPTIVE RIGHTS IN CONNECTION WITH AN ACQUISITION OR OTHER CAPITAL INVESTMENT Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 118 of 721 NT SMALL CAP BANG & OLUFSEN AS
Security: K07774126 Agenda Number: 711468389 Ticker: Meeting Type: AGM ISIN: DK0010218429 Meeting Date: 21-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT IN THE MAJORITY OF MEETINGS THE Non-Voting VOTES ARE CAST WITH THE REGISTRAR WHO WILL FOLLOW CLIENT INSTRUCTIONS. IN A SMALL PERCENTAGE OF MEETINGS THERE IS NO REGISTRAR AND CLIENTS VOTES MAY BE CAST BY THE CHAIRMAN OF THE BOARD OR A BOARD MEMBER AS PROXY. CLIENTS CAN ONLY EXPECT THEM TO ACCEPT PRO-MANAGEMENT VOTES. THE ONLY WAY TO GUARANTEE THAT ABSTAIN AND/OR AGAINST VOTES ARE REPRESENTED AT THE MEETING IS TO SEND YOUR OWN REPRESENTATIVE OR ATTEND THE MEETING IN PERSON. THE SUB CUSTODIAN BANKS OFFER REPRESENTATION SERVICES FOR AN ADDED FEE IF REQUESTED. THANK YOU
CMMT PLEASE BE ADVISED THAT SPLIT AND Non-Voting PARTIAL VOTING IS NOT AUTHORISED FOR A BENEFICIAL OWNER IN THE DANISH MARKET. PLEASE CONTACT YOUR GLOBAL CUSTODIAN FOR FURTHER INFORMATION.
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 119 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 THE BOARD OF DIRECTORS' REPORT ON Non-Voting THE COMPANY'S ACTIVITIES IN THE PAST YEAR
2 PRESENTATION AND ADOPTION OF THE Mgmt For For COMPANY'S AUDITED ANNUAL REPORT FOR THE FINANCIAL YEAR 2018/19, INCLUDING RESOLUTION CONCERNING DISCHARGE TO THE EXECUTIVE MANAGEMENT BOARD AND THE BOARD OF DIRECTORS
3.1 RESOLUTION AS TO THE DISTRIBUTION Mgmt For For OF PROFIT OR THE COVERING OF LOSS IN ACCORDANCE WITH THE APPROVED ANNUAL REPORT: THE BOARD OF DIRECTORS PROPOSES THAT NO DIVIDEND BE PAID
4.1.A THAT THE REMUNERATION LEVEL IS NOT Mgmt For For REVISED COMPARED TO THE FINANCIAL YEAR 2018/2019, WHEREBY THE FOLLOWING REMUNERATION LEVEL FOR THE FINANCIAL YEAR 2019/2020 IS APPROVED BY THE GENERAL MEETING: THE ANNUAL BASE REMUNERATION PAID TO THE MEMBERS OF THE BOARD OF DIRECTORS IS DKK 300,000 FOR EACH MEMBER WITH RESPECT TO BOARD MEMBERS ELECTED BY THE GENERAL MEETING OR THE EMPLOYEES, RESPECTIVELY, WITH 3 TIMES THE BASE REMUNERATION AND 1.5 TIMES THE BASE REMUNERATION PAID TO THE CHAIRMAN AND DEPUTY CHAIRMAN, RESPECTIVELY
4.1.B THAT THE REMUNERATION LEVEL IS NOT Mgmt For For REVISED COMPARED TO THE FINANCIAL YEAR 2018/2019, WHEREBY THE FOLLOWING REMUNERATION LEVEL FOR THE FINANCIAL YEAR 2019/2020 IS APPROVED BY THE GENERAL MEETING: THE REMUNERATION PAID TO THE MEMBERS OF THE BOARD OF Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 120 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
DIRECTORS SERVING ON THE COMPANY'S AUDIT COMMITTEE IS DKK 75,000 FOR EACH MEMBER, WITH 2 TIMES THE REMUNERATION PAID TO THE CHAIRMAN OF THE AUDIT COMMITTEE
4.1.C THAT THE REMUNERATION LEVEL IS NOT Mgmt For For REVISED COMPARED TO THE FINANCIAL YEAR 2018/2019, WHEREBY THE FOLLOWING REMUNERATION LEVEL FOR THE FINANCIAL YEAR 2019/2020 IS APPROVED BY THE GENERAL MEETING: THE REMUNERATION PAID TO THE MEMBERS OF THE BOARD OF DIRECTORS SERVING ON THE COMPANY'S REMUNERATION COMMITTEE, NOMINATION COMMITTEE OR TECHNOLOGY COMMITTEE IS DKK 75,000 FOR EACH MEMBER
4.2 THAT THE COMPANY'S REMUNERATION Mgmt For For POLICY IS REVISED IN ACCORDANCE WITH THE DRAFT REMUNERATION POLICY AS SET OUT IN APPENDIX 1
4.3 THAT THE COMPANY'S SHARE CAPITAL IS Mgmt For For REDUCED BY A NOMINAL AMOUNT OF DKK 22,734,490 FROM A NOMINAL AMOUNT OF DKK 431,974,780 TO A NOMINAL AMOUNT OF DKK 409,240,290 BY CANCELLATION OF PART OF BANG & OLUFSEN'S PORTFOLIO OF TREASURY SHARES
4.4 THAT THE PREVIOUS AUTHORIZATION TO Mgmt For For THE BOARD OF DIRECTORS TO INCREASE THE COMPANY'S SHARE CAPITAL SET OUT IN ARTICLE 4, SECTION 4, OF THE ARTICLES OF ASSOCIATION IS AMENDED Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 121 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4.5 THAT THE PREVIOUS AUTHORIZATION TO Mgmt Against Against THE BOARD OF DIRECTORS TO INCREASE THE COMPANY'S SHARE CAPITAL SET OUT IN ARTICLE 4, SECTION 5, OF THE ARTICLES OF ASSOCIATION IS AMENDED
4.6 THAT THE PROVISION SET OUT IN Mgmt For For ARTICLE 4, SECTION 6, OF THE ARTICLES OF ASSOCIATION IS ADJUSTED AS FOLLOWS: "PURSUANT TO ARTICLE 4, SECTIONS 4 AND 5 ABOVE, THE BOARD OF DIRECTORS MAY NOT DECIDE TO INCREASE THE COMPANY'S SHARE CAPITAL BY MORE THAN A TOTAL NOMINAL VALUE OF DKK 81,848,058"
4.7 THAT THE OBLIGATION TO PUBLISH THE Mgmt For For NOTICE TO CONVENE THE ANNUAL GENERAL MEETING IN A LOCAL DAILY NEWSPAPER AND IN A COPENHAGEN DAILY NEWSPAPER IS OMITTED BY AMENDING ARTICLE 6.2 IN THE COMPANY'S ARTICLES OF ASSOCIATION TO THE FOLLOWING WORDING: "GENERAL MEETINGS SHALL BE CONVENED BY THE BOARD OF DIRECTORS BY PUBLICATION ON THE COMPANY'S WEBSITE WWW.BANG- OLUFSEN.COM AND BY E-MAIL SENT TO ALL REGISTERED SHAREHOLDERS HAVING SO REQUESTED"
5.1 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt For For OLE ANDERSEN
5.2 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt For For JUHA CHRISTEN CHRISTENSEN
5.3 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt For For JESPER JARLBAEK Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 122 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
5.4 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt For For MADS NIPPER
5.5 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt For For ANDERS COLDING FRIIS
5.6 ELECTION OF BOARD OF DIRECTOR: Mgmt For For TUULA RYTILA
5.7 ELECTION OF BOARD OF DIRECTOR: Mgmt For For JOAN NG PI O
5.8 ELECTION OF BOARD OF DIRECTOR: M. Mgmt For For CLAIRE CHUNG
6 APPOINTMENT OF AUDITORS: THE Mgmt For For BOARD OF DIRECTORS PROPOSES RE- ELECTION OF ERNST & YOUNG P/S AS AUDITORS OF THE COMPANY
7 ANY OTHER BUSINESS Non-Voting
CMMT PLEASE NOTE THAT SHAREHOLDERS Non-Voting ARE ALLOWED TO VOTE 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBERS 5.1 TO 5.8 AND 6. THANK YOU
CMMT PLEASE NOTE THAT THIS IS AN Non-Voting AMENDMENT TO MEETING ID 143048 DUE TO RECEIPT OF ADDITIONAL DIRECTOR NAMES UNDER RESOLUTION 5. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 123 of 721 NT SMALL CAP BBA AVIATION PLC
Security: G08932165 Agenda Number: 711495526 Ticker: Meeting Type: OGM ISIN: GB00B1FP8915 Meeting Date: 28-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 THAT THE DIRECTORS BE AUTHORISED Mgmt For For TO TAKE ALL SUCH STEPS, EXECUTE ALL SUCH AGREEMENTS NECESSARY IN CONNECTION WITH THE TRANSACTION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 124 of 721 NT SMALL CAP BCA MARKETPLACE PLC
Security: G1094F104 Agenda Number: 711405250 Ticker: Meeting Type: CRT ISIN: GB00BP0S1D85 Meeting Date: 29-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT ABSTAIN IS NOT A Non-Voting VALID VOTE OPTION FOR THIS MEETING TYPE. PLEASE CHOOSE BETWEEN "FOR" AND "AGAINST" ONLY. SHOULD YOU CHOOSE TO VOTE ABSTAIN FOR THIS MEETING THEN YOUR VOTE WILL BE DISREGARDED BY THE ISSUER OR ISSUERS AGENT
1 FOR THE PURPOSE OF CONSIDERING, Mgmt For For AND IF THOUGHT FIT, APPROVING (WITH OR WITHOUT MODIFICATION) THE PROPOSED SCHEME (AS DEFINED IN THE SCHEME CIRCULAR AND REFERRED TO IN THE NOTICE CONVENING THE COURT MEETING) AND AT SUCH MEETING, OR ANY ADJOURNMENT THEREOF Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 125 of 721 NT SMALL CAP BCA MARKETPLACE PLC
Security: G1094F104 Agenda Number: 711395601 Ticker: Meeting Type: OGM ISIN: GB00BP0S1D85 Meeting Date: 29-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 1.(A) TO AUTHORISE THE DIRECTORS TO Mgmt For For TAKE ALL SUCH ACTION AS THEY MAY CONSIDER NECESSARY OR APPROPRIATE FOR CARRYING THE SCHEME INTO EFFECT. (B) TO AMEND THE ARTICLES OF ASSOCIATION OF THE COMPANY TO ADOPT NEW ARTICLE 130 Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 126 of 721 NT SMALL CAP BCA MARKETPLACE PLC
Security: G1094F104 Agenda Number: 711513160 Ticker: Meeting Type: AGM ISIN: GB00BP0S1D85 Meeting Date: 16-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 THAT THE AUDITED ACCOUNTS AND Mgmt For For FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR ENDED 31 MARCH 2019, TOGETHER WITH THE DIRECTORS' REPORT AND AUDITOR'S REPORT THEREON, BE RECEIVED
2 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT FOR THE YEAR ENDED 31 MARCH 2019 SET OUT ON PAGES 70 TO 74 OF THE COMPANY'S ANNUAL REPORT AND ACCOUNTS
3 TO APPROVE A FINAL DIVIDEND OF 6.65 Mgmt For For PENCE PER ORDINARY SHARE OF 1P IN THE CAPITAL OF THE COMPANY ("ORDINARY SHARES"), PAYABLE ON 30 SEPTEMBER 2019 TO SHAREHOLDERS ON THE REGISTER OF MEMBERS AT THE CLOSE OF BUSINESS ON 20 SEPTEMBER 2019
4 THAT AVRIL PALMER-BAUNACK BE RE- Mgmt For For ELECTED AS A DIRECTOR
5 THAT TIM LAMPERT BE RE-ELECTED AS A Mgmt For For DIRECTOR
6 THAT STEPHEN GUTTERIDGE BE RE- Mgmt For For ELECTED AS A DIRECTOR
7 THAT PIET COELEWIJ BE RE-ELECTED AS Mgmt For For A DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 127 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8 THAT JON KAMALUDDIN BE RE-ELECTED Mgmt For For AS A DIRECTOR
9 THAT DAVID LIS BE RE-ELECTED AS A Mgmt For For DIRECTOR
10 THAT PRICEWATERHOUSECOOPERS LLP Mgmt For For BE RE-APPOINTED AS AUDITOR TO THE COMPANY UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY
11 THAT THE DIRECTORS BE AUTHORISED Mgmt For For TO FIX THE AUDITOR'S REMUNERATION
12 THAT, IN SUBSTITUTION FOR THE Mgmt For For EXISTING AUTHORITY GRANTED AT THE ANNUAL GENERAL MEETING OF THE COMPANY HELD ON 6 SEPTEMBER 2018, THE DIRECTORS BE GENERALLY AND UNCONDITIONALLY AUTHORISED IN ACCORDANCE WITH SECTION 551 OF THE COMPANIES ACT 2006 (THE "ACT") TO ALLOT: A. SHARES IN THE COMPANY OR GRANT RIGHTS TO SUBSCRIBE FOR OR TO CONVERT ANY SECURITY INTO SHARES IN THE COMPANY UP TO AN AGGREGATE NOMINAL VALUE OF GBP 2,614,472; AND B. EQUITY SECURITIES OF THE COMPANY (WITHIN THE MEANING OF SECTION 560 OF THE ACT) IN CONNECTION WITH AN OFFER OF SUCH SECURITIES BY WAY OF A RIGHTS ISSUE UP TO AN AGGREGATE NOMINAL VALUE OF GBP 2,614,472, PROVIDED THAT THIS AUTHORITY SHALL EXPIRE ON 16 DECEMBER 2020 OR, IF EARLIER, AT THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY BUT, IN EACH CASE, SO THAT THE COMPANY MAY, BEFORE SUCH EXPIRY, MAKE AN OFFER OR ENTER INTO AN AGREEMENT WHICH WOULD OR MIGHT REQUIRE SHARES TO BE ALLOTTED OR RIGHTS TO SUBSCRIBE FOR OR CONVERT SECURITIES INTO SHARES TO BE GRANTED AFTER SUCH EXPIRY AND THE DIRECTORS MAY ALLOT SHARES OR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 128 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
GRANT RIGHTS TO SUBSCRIBE FOR OR CONVERT SECURITIES INTO SHARES PURSUANT TO SUCH AN OFFER OR AGREEMENT AS IF THIS AUTHORITY HAD NOT EXPIRED. FOR THE PURPOSES OF THIS RESOLUTION 12, "RIGHTS ISSUE" MEANS AN OFFER TO: I. ORDINARY SHAREHOLDERS IN PROPORTION (AS NEARLY AS MAY BE PRACTICABLE) TO THE RESPECTIVE NUMBER OF SHARES HELD BY THEM; AND II. HOLDERS OF OTHER EQUITY SECURITIES IF THIS IS REQUIRED BY THE RIGHTS OF THOSE SECURITIES OR, IF THE DIRECTORS CONSIDER IT NECESSARY, AS PERMITTED BY THE RIGHTS OF THESE SECURITIES, TO SUBSCRIBE FOR FURTHER SECURITIES BY MEANS OF THE ISSUE OF A RENOUNCEABLE LETTER (OR OTHER NEGOTIABLE DOCUMENT) WHICH MAY BE TRADED FOR A PERIOD BEFORE PAYMENT FOR THE SECURITIES IS DUE, BUT SUBJECT IN BOTH CASES TO SUCH EXCLUSIONS OR OTHER ARRANGEMENTS AS THE DIRECTORS MAY DEEM NECESSARY OR EXPEDIENT IN RELATION TO TREASURY SHARES, FRACTIONAL ENTITLEMENTS, RECORD DATES OR LEGAL, REGULATORY OR PRACTICABLE PROBLEMS IN, OR UNDER THE LAWS OF, ANY TERRITORY OR ANY OTHER MATTER
13 THAT SUBJECT TO AND CONDITIONAL ON Mgmt For For THE PASSING OF RESOLUTION 12 SET OUT IN THE NOTICE CONVENING THIS MEETING, THE DIRECTORS BE AUTHORISED IN ACCORDANCE WITH SECTION 570 OF THE ACT TO ALLOT EQUITY SECURITIES (WITHIN THE MEANING OF SECTION 560 OF THE ACT) FOR CASH PURSUANT TO THE AUTHORITY CONFERRED BY RESOLUTION 12 AND/OR TO SELL ORDINARY SHARES HELD BY THE COMPANY AS TREASURY SHARES FOR CASH, IN EACH CASE FREE FROM THE RESTRICTION IN SECTION 561 OF THE ACT, SUCH AUTHORITY TO BE LIMITED TO: A. THE ALLOTMENT OF EQUITY SECURITIES IN CONNECTION WITH AN OFFER BY WAY OF A RIGHTS ISSUE AND Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 129 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
IN CONNECTION WITH OTHER PRE- EMPTIVE OFFERS; AND B. THE ALLOTMENT OF EQUITY SECURITIES OR SALE OF TREASURY SHARES (OTHERWISE THAN UNDER PARAGRAPH (A) ABOVE) UP TO A NOMINAL VALUE OF GBP 392,170, AND SUCH AUTHORITY, UNLESS RENEWED, SHALL EXPIRE ON 16 DECEMBER 2020 OR, IF EARLIER, AT THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY BUT, IN EACH CASE, SHALL EXTEND TO THE MAKING OR ENTERING INTO, BEFORE SUCH EXPIRY, OF AN OFFER OR AGREEMENT WHICH WOULD OR MIGHT REQUIRE EQUITY SECURITIES TO BE ALLOTTED (AND TREASURY SHARES TO BE SOLD) AFTER SUCH EXPIRY AND THE DIRECTORS MAY ALLOT EQUITY SECURITIES (AND SELL TREASURY SHARES) PURSUANT TO SUCH OFFER OR AGREEMENT AS IF THIS AUTHORITY HAD NOT EXPIRED. FOR THE PURPOSES OF THIS RESOLUTION 13, "RIGHTS ISSUE" HAS THE SAME MEANING GIVEN IN RESOLUTION 12 AND "PRE-EMPTIVE OFFER" MEANS AN OFFER OF EQUITY SECURITIES OPEN FOR ACCEPTANCE FOR A PERIOD FIXED BY THE DIRECTORS TO: I. ORDINARY SHAREHOLDERS IN PROPORTION (AS NEARLY AS MAY BE PRACTICABLE) TO THEIR EXISTING HOLDINGS; AND II. HOLDERS OF OTHER EQUITY SECURITIES AS REQUIRED BY THE RIGHTS OF THOSE SECURITIES OR, SUBJECT TO SUCH RIGHTS, AS THE DIRECTORS OF THE COMPANY OTHERWISE CONSIDER NECESSARY, BUT SUBJECT IN BOTH CASES TO SUCH LIMITS, RESTRICTIONS OR ARRANGEMENTS AS THE DIRECTORS CONSIDER NECESSARY OR APPROPRIATE TO DEAL WITH TREASURY SHARES, FRACTIONAL ENTITLEMENTS, RECORD DATES, LEGAL, REGULATORY OR PRACTICAL PROBLEMS IN, OR UNDER THE LAWS OF, ANY TERRITORY OR ANY OTHER MATTER Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 130 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
14 THAT SUBJECT TO AND CONDITIONAL ON Mgmt For For THE PASSING OF RESOLUTION 12 SET OUT IN THE NOTICE CONVENING THIS MEETING, THE DIRECTORS BE AUTHORISED, IN ADDITION TO ANY AUTHORITY GRANTED UNDER RESOLUTION 13 SET OUT IN THE NOTICE CONVENING THIS MEETING, TO ALLOT EQUITY SECURITIES (WITHIN THE MEANING OF SECTION 560 OF THE ACT) FOR CASH PURSUANT TO THE AUTHORITY GRANTED BY RESOLUTION 12 AND/OR TO SELL ORDINARY SHARES HELD BY THE COMPANY AS TREASURY SHARES FOR CASH, IN EACH CASE FREE FROM THE RESTRICTION IN SECTION 561 OF THE ACT, SUCH AUTHORITY TO BE: A. LIMITED TO THE ALLOTMENT OF EQUITY SECURITIES OR SALE OF TREASURY SHARES UP TO A NOMINAL VALUE OF GBP 392,170; AND B. USED ONLY FOR THE PURPOSES OF FINANCING (OR REFINANCING, IF THE AUTHORITY IS TO BE USED WITHIN SIX MONTHS AFTER THE ORIGINAL TRANSACTION) A TRANSACTION WHICH THE DIRECTORS DETERMINE TO BE AN ACQUISITION OR OTHER CAPITAL INVESTMENT OF A KIND CONTEMPLATED BY THE STATEMENT OF PRINCIPLES ON DISAPPLYING PRE- EMPTION RIGHTS MOST RECENTLY PUBLISHED BY THE PRE-EMPTION GROUP PRIOR TO THE DATE OF THIS NOTICE, AND SUCH AUTHORITY, UNLESS RENEWED, SHALL EXPIRE ON 16 DECEMBER 2020 OR, IF EARLIER, AT THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY BUT, IN EACH CASE, SHALL EXTEND TO THE MAKING OR ENTERING INTO, BEFORE SUCH EXPIRY, OF AN OFFER OR AGREEMENT WHICH WOULD OR MIGHT REQUIRE EQUITY SECURITIES TO BE ALLOTTED (AND TREASURY SHARES TO BE SOLD) AFTER SUCH EXPIRY AND THE DIRECTORS MAY ALLOT EQUITY SECURITIES (AND SELL TREASURY SHARES) PURSUANT TO SUCH OFFER OR AGREEMENT AS IF THIS AUTHORITY HAD NOT EXPIRED Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 131 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
15 THAT, IN SUBSTITUTION FOR THE Mgmt For For AUTHORITY GRANTED AT THE ANNUAL GENERAL MEETING OF THE COMPANY HELD ON 6 SEPTEMBER 2018, IN ACCORDANCE WITH SECTION 701 OF THE ACT, THE COMPANY BE GENERALLY AND UNCONDITIONALLY AUTHORISED TO MAKE MARKET PURCHASES (WITHIN THE MEANING OF SECTION 693(4) OF THE ACT) OF ORDINARY SHARES ON SUCH TERMS AS THE DIRECTORS THINK FIT, AND WHERE SUCH SHARES ARE HELD AS TREASURY SHARES, THE COMPANY MAY USE THEM FOR THE PURPOSES SET OUT IN SECTION 727 OF THE ACT, INCLUDING FOR THE PURPOSE OF ITS EMPLOYEE SHARE SCHEMES, PROVIDED THAT: A. THE MAXIMUM NUMBER OF ORDINARY SHARES HEREBY AUTHORISED TO BE PURCHASED IS 117,572,838; B. THE MAXIMUM PRICE WHICH MAY BE PAID FOR EACH ORDINARY SHARE SHALL NOT BE MORE THAN THE HIGHER OF: (A) 105% OF THE AVERAGE OF THE MIDDLE MARKET QUOTATIONS FOR AN ORDINARY SHARE, AS DERIVED FROM THE LONDON STOCK EXCHANGE DAILY OFFICIAL LIST, FOR THE FIVE BUSINESS DAYS IMMEDIATELY PRECEDING THE DAY ON WHICH THE ORDINARY SHARE IS PURCHASED; AND (B) THE HIGHER OF THE PRICE OF THE LAST INDEPENDENT TRADE AND THE HIGHEST INDEPENDENT BID ON THE LONDON STOCK EXCHANGE AT THE TIME THE PURCHASE IS CARRIED OUT AND THE MINIMUM PRICE WHICH MAY BE PAID FOR AN ORDINARY SHARE SHALL NOT BE LESS THAN ONE PENNY (THE MAXIMUM AND MINIMUM PRICES BEING EXCLUSIVE OF EXPENSES); AND C. THE AUTHORITY HEREBY CONFERRED SHALL, UNLESS PREVIOUSLY REVOKED OR VARIED, EXPIRE ON 16 DECEMBER 2020 OR, IF EARLIER, AT THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY (EXCEPT IN RELATION TO THE PURCHASE OF ORDINARY SHARES THE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 132 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CONTRACT FOR WHICH WAS CONCLUDED BEFORE THE EXPIRY OF THIS AUTHORITY AND WHICH WILL OR MAY BE EXECUTED WHOLLY OR PARTLY AFTER SUCH EXPIRY)
16 THAT A GENERAL MEETING OTHER THAN Mgmt For For AN ANNUAL GENERAL MEETING MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 133 of 721 NT SMALL CAP BED BATH & BEYOND INC.
Security: 075896100 Agenda Number: 935059166 Ticker: BBBY Meeting Type: Annual ISIN: US0758961009 Meeting Date: 25-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: Patrick R. Gaston Mgmt For For
1b. Election of Director: Mary A. Winston Mgmt For For
1c. Election of Director: Stephanie Bell-Rose Mgmt For For
1d. Election of Director: Harriet Edelman Mgmt For For
1e. Election of Director: John E. Fleming Mgmt For For
1f. Election of Director: Sue E. Gove Mgmt For For
1g. Election of Director: Jeffrey A. Kirwan Mgmt For For
1h. Election of Director: Johnathan B. (JB) Mgmt For For Osborne
1i. Election of Director: Harsha Ramalingam Mgmt For For
1j. Election of Director: Virginia P. Ruesterholz Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 134 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1k. Election of Director: Joshua E. Schechter Mgmt For For
1l. Election of Director: Andrea Weiss Mgmt For For
1m. Election of Director: Ann Yerger Mgmt For For
2. To ratify the appointment of KPMG LLP as Mgmt For For independent auditors for the 2019 fiscal year.
3. To approve, by non-binding vote, the 2018 Mgmt For For compensation paid to the Company's Named Executive Officers (commonly known as a "say-on-pay" proposal). Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 135 of 721 NT SMALL CAP BIFFA PLC
Security: G1R62B102 Agenda Number: 711311530 Ticker: Meeting Type: AGM ISIN: GB00BD8DR117 Meeting Date: 10-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE COMPANY'S ANNUAL Mgmt For For REPORT AND ACCOUNTS 2019
2 TO DECLARE A DIVIDEND OF 4.90P Mgmt For For
3 TO APPROVE THE REPORT ON Mgmt For For REMUNERATION
4 TO ELECT G BARBARO AS A DIRECTOR Mgmt For For
5 TO ELECT R PIKE AS A DIRECTOR Mgmt For For
6 TO RE-ELECT M AVERILL AS A DIRECTOR Mgmt For For
7 TO RE-ELECT C CHESNEY AS A Mgmt For For DIRECTOR
8 TO RE-ELECT K LEVER AS A DIRECTOR Mgmt Against Against
9 TO RE-ELECT D MARTIN AS A DIRECTOR Mgmt For For
10 TO RE-ELECT M TOPHAM AS A DIRECTOR Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 136 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 TO REAPPOINT DELOITTE LLP AS Mgmt For For AUDITORS
12 TO AUTHORISE THE REMUNERATION OF Mgmt For For THE AUDITOR
13 TO AUTHORISE THE ALLOTMENT OF Mgmt For For SHARES
14 TO APPROVE PRE-EMPTION RIGHTS - Mgmt For For GENERAL POWER
15 TO APPROVE PRE-EMPTION RIGHTS - Mgmt For For SPECIFIED CAPITAL INVESTMENT
16 TO APPROVE THE AUTHORITY TO Mgmt For For PURCHASE ITS OWN SHARES
17 TO AUTHORISE REDUCED NOTICE OF Mgmt For For GENERAL MEETINGS, OTHER THAN AN AGM Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 137 of 721 NT SMALL CAP BIG YELLOW GROUP PLC
Security: G1093E108 Agenda Number: 711329866 Ticker: Meeting Type: AGM ISIN: GB0002869419 Meeting Date: 19-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE DIRECTORS' REPORT Mgmt For For AND ACCOUNTS AND THE AUDITORS' REPORT THEREON FOR THE YEAR ENDED 31 MARCH 2019
2 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT FOR THE YEAR ENDED 31 MARCH 2019 (OTHER THAN THE PART CONTAINING THE DIRECTORS' REMUNERATION POLICY)
3 TO DECLARE A FINAL DIVIDEND: 16.5 Mgmt For For PENCE PER ORDINARY SHARE
4 TO RE-ELECT RICHARD COTTON AS A Mgmt For For DIRECTOR
5 TO RE-ELECT JAMES GIBSON AS A Mgmt For For DIRECTOR
6 TO RE-ELECT GEORGINA HARVEY AS A Mgmt For For DIRECTOR
7 TO RE-ELECT STEVE JOHNSON AS A Mgmt For For DIRECTOR
8 TO RE-ELECT DR ANNA KEAY AS A Mgmt For For DIRECTOR
9 TO RE-ELECT ADRIAN LEE AS A Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 138 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO RE-ELECT VINCE NIBLETT AS A Mgmt For For DIRECTOR
11 TO RE-ELECT JOHN TROTMAN AS A Mgmt For For DIRECTOR
12 TO RE-ELECT NICHOLAS VETCH AS A Mgmt For For DIRECTOR
13 TO RE-APPOINT KPMG LLP AS AUDITORS Mgmt For For OF THE COMPANY
14 TO AUTHORISE THE DIRECTORS TO Mgmt For For DETERMINE THE AUDITORS' REMUNERATION
15 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT SHARES PURSUANT TO SECTION 551 OF THE COMPANIES ACT 2006
16 TO EMPOWER THE DIRECTORS TO ALLOT Mgmt For For EQUITY SECURITIES AND/OR SELL EQUITY SECURITIES HELD AS TREASURY SHARES AS IF SECTION 561 OF THE COMPANIES ACT 2006 DID NOT APPLY
17 TO AUTHORISE THE DIRECTORS TO Mgmt For For DISAPPLY STATUTORY PRE-EMPTION RIGHTS IN RESPECT OF AN ADDITIONAL 5% OF THE COMPANY'S ISSUED SHARE CAPITAL, IN CERTAIN CIRCUMSTANCES
18 TO AUTHORISE THE COMPANY TO Mgmt For For PURCHASE ITS OWN SHARES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 139 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
19 TO AUTHORISE THE DIRECTORS TO CALL Mgmt For For A GENERAL MEETING OF THE COMPANY, OTHER THAN AN ANNUAL GENERAL MEETING, ON NOT LESS THAN 14 CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 140 of 721 NT SMALL CAP BIOCARTIS GROUP NV
Security: B1333M105 Agenda Number: 711523490 Ticker: Meeting Type: SGM ISIN: BE0974281132 Meeting Date: 27-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE
1 APPROVAL IN ACCORDANCE WITH Mgmt For For ARTICLE 556 OF THE BELGIAN COMPANIES CODE: THE GENERAL MEETING OF SHAREHOLDERS TAKES NOTE OF, APPROVES AND RATIFIES IN ACCORDANCE WITH ARTICLE 556 OF THE BELGIAN COMPANIES CODE (WETBOEK VAN VENNOOTSCHAPPEN) OF 7 MAY 1999, AS AMENDED OR SUPERSEDED (THE "BCC"), ALL CLAUSES IN THE TERMS AND CONDITIONS (THE "CONDITIONS") OF THE CONVERTIBLE BONDS, ISSUED BY THE COMPANY ON 9 MAY 2019, MATURING ON 9 MAY 2024 (ISIN BE0002651322), WHICH COME INTO EFFECT AT THE MOMENT A CHANGE OF CONTROL OCCURS, INCLUDING, BUT Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 141 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
NOT LIMITED TO, CONDITIONS 5(B)(X) AND 6(D) AND WHICH FALL OR COULD BE CONSIDERED TO FALL WITHIN THE SCOPE OF ARTICLE 556 BCC RELATING TO THE GRANTING OF RIGHTS TO THIRD PARTIES THAT AFFECT THE ASSETS OF THE COMPANY, OR CREATE A DEBT OR A LIABILITY FOR WHICH THE COMPANY IS LIABLE, WHEN THE EXERCISE OF THESE RIGHTS IS SUBJECT TO THE LAUNCHING OF A PUBLIC TAKEOVER BID ON THE SHARES OF THE COMPANY OR TO A CHANGE IN THE CONTROL EXERCISED OVER IT. THE GENERAL MEETING OF SHAREHOLDERS ALSO GRANTS A SPECIAL POWER OF ATTORNEY TO EACH DIRECTOR OF THE COMPANY AND TO MR. TIM VANDORPE (CORPORATE COUNSEL) (EACH A "PROXY HOLDER"), EACH PROXY HOLDER ACTING INDIVIDUALLY AND WITH THE RIGHT OF SUBSTITUTION, TO COMPLETE THE FORMALITIES REQUIRED BY ARTICLE 556 BCC WITH REGARD TO THIS RESOLUTION, INCLUDING, BUT NOT LIMITED TO, THE EXECUTION OF ALL DOCUMENTS AND FORMS REQUIRED FOR THE PUBLICATION OF THIS RESOLUTION IN THE ANNEXES TO THE BELGIAN OFFICIAL GAZETTE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 142 of 721 NT SMALL CAP BOOT BARN HOLDINGS, INC.
Security: 099406100 Agenda Number: 935062339 Ticker: BOOT Meeting Type: Annual ISIN: US0994061002 Meeting Date: 28-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Greg Bettinelli Mgmt For For
2 James G. Conroy Mgmt For For
3 Lisa G. Laube Mgmt For For
4 Anne MacDonald Mgmt For For
5 Brenda I. Morris Mgmt For For
6 Peter Starrett Mgmt For For
7 Brad Weston Mgmt For For
2. To vote on a non-binding advisory resolution Mgmt For For to approve the compensation paid to named executive officers for fiscal 2019 ("say-on- pay").
3. To vote on a non-binding advisory proposal Mgmt 1 Year For on the frequency of future say-on-pay votes ("say-on-frequency"). Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 143 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4. Ratification of Deloitte & Touche LLP as the Mgmt For For independent auditor for the fiscal year ended March 28, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 144 of 721 NT SMALL CAP BOOZ ALLEN HAMILTON HOLDING CORPORATION
Security: 099502106 Agenda Number: 935049850 Ticker: BAH Meeting Type: Annual ISIN: US0995021062 Meeting Date: 25-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: Melody C. Barnes Mgmt For For
1b. Election of Director: Ellen Jewett Mgmt For For
1c. Election of Director: Arthur E. Johnson Mgmt For For
1d. Election of Director: Charles O. Rossotti Mgmt For For
2. Ratification of the appointment of Ernst & Mgmt For For Young LLP as the Company's registered independent public accountants for fiscal year 2020.
3. Advisory vote to approve the compensation of Mgmt For For the Company's named executive officers.
4. Approval of the adoption of the Fourth Mgmt For For Amended and Restated Certificate of Incorporation to eliminate the Company's Class B non-voting common stock, Class C restricted common stock, and Class E special voting common stock. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 145 of 721 NT SMALL CAP BORR DRILLING LTD
Security: G1466R207 Agenda Number: 711515380 Ticker: Meeting Type: AGM ISIN: BMG1466R2078 Meeting Date: 27-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE
CMMT SHARES HELD IN AN OMNIBUS/NOMINEE Non-Voting ACCOUNT NEED TO BE RE-REGISTERED IN THE BENEFICIAL OWNERS NAME TO BE ALLOWED TO VOTE AT MEETINGS. SHARES WILL BE TEMPORARILY TRANSFERRED TO A SEPARATE ACCOUNT IN THE BENEFICIAL OWNER'S NAME ON THE PROXY DEADLINE AND TRANSFERRED BACK TO THE OMNIBUS/NOMINEE ACCOUNT THE DAY AFTER THE MEETING.
1 TO SET THE MAXIMUM NUMBER OF Mgmt For For DIRECTORS TO BE NOT MORE THAN SEVEN Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 146 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
2 TO RESOLVE THAT VACANCIES IN THE Mgmt Against Against NUMBER OF DIRECTORS BE DESIGNATED AS CASUAL VACANCIES AND THAT THE BOARD OF DIRECTORS BE AUTHORIZED TO FILL SUCH VACANCIES AS AND WHEN IT DEEMS FIT
3 TO RE-ELECT TOR OLAV TROIM AS A Mgmt For For DIRECTOR OF THE COMPANY
4 TO RE-ELECT JAN AKE INGMAR RASK AS Mgmt For For A DIRECTOR OF THE COMPANY
5 TO RE-ELECT PATRICK ARNOLD HENK Mgmt For For SCHORN AS A DIRECTOR OF THE COMPANY
6 TO RE-ELECT ALEXANDRA KATE Mgmt For For BLANKENSHIP AS A DIRECTOR OF THE COMPANY
7 TO RE-ELECT GEORGINA E. SOUSA AS A Mgmt For For DIRECTOR OF THE COMPANY
8 TO ELECT PAL KIBSGAARD AS A Mgmt For For DIRECTOR OF THE COMPANY
9 TO APPROVE THE INCREASE OF THE Mgmt For For COMPANY'S AUTHORIZED SHARE CAPITAL
10 TO APPROVE AMENDING THE COMPANY'S Mgmt Against Against BYE-LAWS
11 TO APPOINT Mgmt For For PRICEWATERHOUSECOOPERS LLP AS AUDITORS AND TO AUTHORISE THE DIRECTORS TO DETERMINE THEIR REMUNERATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 147 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
12 TO APPROVE REMUNERATION OF THE Mgmt Against Against COMPANY'S BOARD OF DIRECTORS OF A TOTAL AMOUNT OF FEES NOT TO EXCEED USD 800,000 FOR THE YEAR ENDED DECEMBER 31, 2019 Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 148 of 721 NT SMALL CAP BPER BANCA S.P.A.
Security: T1325T119 Agenda Number: 711287347 Ticker: Meeting Type: EGM ISIN: IT0000066123 Meeting Date: 04-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 PROPOSAL TO GRANT THE BOARD OF Mgmt For For DIRECTORS, PURSUANT TO ARTICLE 2443 OF THE ITALIAN CIVIL CODE, THE POWER TO INCREASE THE SHARE CAPITAL AGAINST PAYMENT, BY 31 DECEMBER 2019, IN ONE TRANCHE AND WITHOUT PRE-EMPTIVE RIGHTS PURSUANT TO ARTICLE 2441, PARAGRAPH 4, FIRST SENTENCE, OF THE ITALIAN CIVIL CODE, FOR A TOTAL MAXIMUM AMOUNT OF EURO 171,708,624.00, TO BE RESERVED TO FONDAZIONE DI SARDEGNA, THROUGH THE ISSUANCE OF NO. 33,000,000 ORDINARY BPER SHARES, WITH NO PAR VALUE, TO BE PAID IN KIND AND IN A SINGLE INSTALMENT THROUGH THE CONTRIBUTION OF NO. 10,731,789 ORDINARY SHARES OF BANCO DI SARDEGNA S.P.A. AMENDMENT OF ARTICLE 5 OF THE ARTICLES OF ASSOCIATION. RELATED AND CONSEQUENT RESOLUTIONS
2 PROPOSAL TO GRANT THE BOARD OF Mgmt For For DIRECTORS, PURSUANT TO ARTICLE 2420-TER OF THE ITALIAN CIVIL CODE, THE POWER TO RESOLVE, BY 31 DECEMBER 2019, UPON: (I) THE ISSUANCE OF A CONVERTIBLE BOND ADDITIONAL TIER 1, FOR A MAXIMUM NOMINAL AMOUNT OF EURO 150,000,000, TO BE ENTIRELY OFFERED IN SUBSCRIPTION TO FONDAZIONE DI SARDEGNA AND THEREFORE (II) TO INCREASE THE SHARE CAPITAL AGAINST PAYMENT, IN ONE OR MORE TRANCHES AND IN DIVISIBLE FORM, FOR A TOTAL MAXIMUM AMOUNT OF EURO 150,000,000, IN EXCLUSIVE AND IRREVOCABLE CONNECTION WITH THE CONVERSION OF SUCH BOND, THROUGH THE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 149 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
ISSUANCE OF NO. 35,714,286 ORDINARY BPER SHARES, WITH NO PAR VALUE. AMENDMENT OF ARTICLE 5 OF THE ARTICLES OF ASSOCIATION. RELATED AND CONSEQUENT RESOLUTIONS
3 PROPOSAL TO GRANT THE BOARD OF Mgmt For For DIRECTORS, PURSUANT TO ARTICLE 2443 OF THE ITALIAN CIVIL CODE THE POWER TO INCREASE THE SHARE CAPITAL AGAINST PAYMENT, BY 31 DECEMBER 2019, IN ONE OR MORE TRANCHES AND IN DIVISIBLE FORM, WITHOUT PRE-EMPTION RIGHTS PURSUANT TO ARTICLE 2441, PARAGRAPH 4, FIRST SENTENCE, OF THE ITALIAN CIVIL CODE, FOR A MAXIMUM TOTAL AMOUNT OF EURO 40,993,513.60, THROUGH THE ISSUANCE OF MAXIMUM NO. 7,883,368 BPER ORDINARY SHARES, WITH NO PAR VALUE, WHOSE ISSUANCE VALUE WILL BE DETERMINED BY THE BOARD OF DIRECTORS PURSUANT TO THE PROVISIONS OF LAW, IN CONNECTION WITH A VOLUNTARY PUBLIC EXCHANGE OFFER ON SAVINGS SHARES OF BANCO DI SARDEGNA S.P.A. AMENDMENT OF ARTICLE 5 OF THE ARTICLES OF ASSOCIATION. RELATED AND CONSEQUENT RESOLUTIONS
4 PROPOSAL TO GRANT THE BOARD OF Mgmt For For DIRECTORS, PURSUANT TO ARTICLE 2443 OF THE ITALIAN CIVIL CODE, THE POWER TO INCREASE THE SHARE CAPITAL AGAINST PAYMENT, WITHIN FIVE YEARS FROM THE DATE OF THE RELEVANT SHAREHOLDERS' MEETING RESOLUTION, IN ONE OR MORE TRANCHES AND IN DIVISIBLE FORM, WITHOUT PRE-EMPTION RIGHTS PURSUANT TO ARTICLE 2441, PARAGRAPH 4 AND/OR ARTICLE 2441, PARAGRAPH 5 OF THE ITALIAN CIVIL CODE, FOR A MAXIMUM TOTAL AMOUNT OF EURO 13,000,000.00, THROUGH THE ISSUANCE OF MAXIMUM NO. 2,500,000 BPER ORDINARY SHARES, WITH NO PAR VALUE, WHOSE ISSUANCE VALUE WILL BE DETERMINED BY THE BOARD OF Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 150 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
DIRECTORS PURSUANT TO THE PROVISIONS OF LAW. AMENDMENT OF ARTICLE 5 OF THE ARTICLES OF ASSOCIATION. RELATED AND CONSEQUENT RESOLUTIONS
5 PROPOSAL TO AMEND ARTICLE 5 OF THE Mgmt For For ARTICLES OF ASSOCIATION. RELATED AND CONSEQUENT RESOLUTIONS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 151 of 721 NT SMALL CAP BRAEMAR HOTELS & RESORTS INC.
Security: 10482B101 Agenda Number: 935059142 Ticker: BHR Meeting Type: Annual ISIN: US10482B1017 Meeting Date: 31-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Monty J. Bennett Mgmt Withheld Against
2 Stefani D. Carter Mgmt For For
3 Candace Evans Mgmt For For
4 Kenneth H. Fearn Mgmt For For
5 Curtis B. McWilliams Mgmt For For
6 Matthew D. Rinaldi Mgmt For For
7 Abteen Vaziri Mgmt For For
2. To ratify the appointment of BDO USA, LLP, a Mgmt For For national public accounting firm, as our independent auditors for the fiscal year ending December 31, 2019. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 152 of 721 NT SMALL CAP BREMBO SPA
Security: T2204N116 Agenda Number: 711362513 Ticker: Meeting Type: OGM ISIN: IT0005252728 Meeting Date: 29-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO APPOINT ONE DIRECTOR AS PER ART. Mgmt For For 2386 OF THE ITALIAN CIVIL CODE UNTIL THE END OF THE TERM OF OFFICE OF THE CURRENT BOARD OF DIRECTORS. RESOLUTIONS RELATED THERETO: DANIELE SCHILLACI
2 TO PROPOSE THE AMENDMENT OF THE Mgmt Against Against EMOLUMENT OF THE BOARD OF DIRECTORS. RESOLUTIONS RELATED THERETO
CMMT 01 JUL 2019: PLEASE NOTE THAT THIS IS Non-Voting A REVISION DUE TO MODIFICATION OF THE TEXT IN RESOLUTION 1. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 153 of 721 NT SMALL CAP BRIGHTSPHERE INVESTMENT GROUP PLC
Security: G1644T109 Agenda Number: 935049672 Ticker: BSIG Meeting Type: Annual ISIN: GB00BQVC8B38 Meeting Date: 02-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. Approval of the Scheme (with or without Mgmt For For modification) Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 154 of 721 NT SMALL CAP BRIGHTSPHERE INVESTMENT GROUP PLC
Security: G1644T109 Agenda Number: 935050966 Ticker: BSIG Meeting Type: Special ISIN: GB00BQVC8B38 Meeting Date: 02-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. Special Resolution: (a) directors of the Mgmt For For Company be authorised to take all such action as they may consider necessary or appropriate for carrying the Scheme into effect (b) articles of association of Company be amended on terms described in Notice of General Meeting set out in Scheme Circular (c) there be approved (i) adoption and assumption of sponsorship of Equity Plans by BrightSphere Investment Group Inc.; (ii) amendment and restatement of Equity Plans; (iii) substitution of BrightSphere Investment Group Inc. for Company as granting corporation. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 155 of 721 NT SMALL CAP BRIGHTSPHERE INVESTMENT GROUP, INC.
Security: 10948W103 Agenda Number: 935072671 Ticker: BSIG Meeting Type: Annual ISIN: US10948W1036 Meeting Date: 17-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1.1 Election of Director: Mary Elizabeth Beams Mgmt For For
1.2 Election of Director: Robert J. Chersi Mgmt For For
1.3 Election of Director: Andrew Kim Mgmt For For
1.4 Election of Director: Reginald Love Mgmt For For
1.5 Election of Director: John Paulson Mgmt For For
1.6 Election of Director: Barbara Trebbi Mgmt For For
1.7 Election of Director: Guang Yang Mgmt For For
2. Ratification of the appointment of KPMG LLP Mgmt For For as BrightSphere's independent registered public accounting firm.
3. Advisory vote to approve executive Mgmt For For compensation. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 156 of 721 NT SMALL CAP BURCKHARDT COMPRESSION HOLDING AG
Security: H12013100 Agenda Number: 711304357 Ticker: Meeting Type: AGM ISIN: CH0025536027 Meeting Date: 06-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PART 2 OF THIS MEETING IS FOR VOTING Non-Voting ON AGENDA AND MEETING ATTENDANCE REQUESTS ONLY. PLEASE ENSURE THAT YOU HAVE FIRST VOTED IN FAVOUR OF THE REGISTRATION OF SHARES IN PART 1 OF THE MEETING. IT IS A MARKET REQUIREMENT FOR MEETINGS OF THIS TYPE THAT THE SHARES ARE REGISTERED AND MOVED TO A REGISTERED LOCATION AT THE CSD, AND SPECIFIC POLICIES AT THE INDIVIDUAL SUB-CUSTODIANS MAY VARY. UPON RECEIPT OF THE VOTE INSTRUCTION, IT IS POSSIBLE THAT A MARKER MAY BE PLACED ON YOUR SHARES TO ALLOW FOR RECONCILIATION AND RE-REGISTRATION FOLLOWING A TRADE. THEREFORE WHILST THIS DOES NOT PREVENT THE TRADING OF SHARES, ANY THAT ARE REGISTERED MUST BE FIRST DEREGISTERED IF REQUIRED FOR SETTLEMENT. DEREGISTRATION CAN AFFECT THE VOTING RIGHTS OF THOSE SHARES. IF YOU HAVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE
2 APPROVAL OF ANNUAL REPORT, Mgmt For For CONSOLIDATED AND ANNUAL FINANCIAL STATEMENTS AND ACKNOWLEDGMENT OF AUDITORS REPORT FOR FISCAL YEAR 2018
3 ALLOCATION OF DISPOSABLE PROFIT Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 157 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4 DISCHARGE OF THE BOARD OF Mgmt For For DIRECTORS AND THE EXECUTIVE BOARD
5.1 RENEWAL OF AUTHORIZED CAPITAL Mgmt Against Against
5.2 ADAPTATION OF ARTICLE 9 PARAGRAPH Mgmt For For 5 (BARRIER TO REQUEST DISCUSSION)
6.1.1 RE-ELECTION OF VALENTIN VOGT AS Mgmt For For BOARD OF DIRECTOR
6.1.2 RE-ELECTION OF URS LEINHAEUSER AS Mgmt Against Against BOARD OF DIRECTOR
6.1.3 RE-ELECTION OF DR. MONIKA KRUESI AS Mgmt For For BOARD OF DIRECTOR
6.1.4 RE-ELECTION OF DR. STEPHAN BROSS Mgmt For For AS BOARD OF DIRECTOR
6.1.5 ELECTION OF DAVID DEAN AS BOARD OF Mgmt For For DIRECTOR
6.2 RE-ELECTION OF THE CHAIRMAN OF THE Mgmt For For BOARD OF DIRECTOR: VALENTIN VOGT
6.3.1 RE-ELECTION OF DR. STEPHAN BROSS Mgmt For For AS MEMBER OF THE NOMINATION AND COMPENSATION COMMITTEE
6.3.2 ELECTION OF DR. MONIKA KRUESI AS Mgmt For For MEMBER OF THE NOMINATION AND COMPENSATION COMMITTEE
6.4 RE-ELECTION OF THE AUDITOR: Mgmt For For PRICEWATERHOUSECOOPERS AG Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 158 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
6.5 ELECTION OF THE INDEPENDENT PROXY Mgmt For For HOLDER: KELLER KLG, ATTORNEY
7.1 ELECTIONS ON THE COMPENSATION OF Mgmt For For THE BOARD OF DIRECTORS AND THE EXECUTIVE BOARD: APPROVAL OF THE MAXIMUM AGGREGATE AMOUNT OF VARIABLE COMPENSATION FOR THE EXECUTIVE BOARD FISCAL YEAR 2018
7.2 ELECTIONS ON THE COMPENSATION OF Mgmt For For THE BOARD OF DIRECTORS AND THE EXECUTIVE BOARD: CONSULTATIVE VOTE ON THE COMPENSATION REPORT FOR FISCAL YEAR 2018
7.3 ELECTIONS ON THE COMPENSATION OF Mgmt For For THE BOARD OF DIRECTORS AND THE EXECUTIVE BOARD: APPROVAL OF THE MAXIMUM AGGREGATE AMOUNT OF FIXED COMPENSATION FOR MEMBERS OF THE BOARD OF DIRECTORS FISCAL YEAR 2020
7.4 ELECTIONS ON THE COMPENSATION OF Mgmt For For THE BOARD OF DIRECTORS AND THE EXECUTIVE BOARD: APPROVAL OF THE MAXIMUM AGGREGATE AMOUNT OF FIXED COMPENSATION FOR THE MEMBERS OF THE OF THE EXECUTIVE BOARD FISCAL YEAR 2020
CMMT 10 JUN 2019: PLEASE NOTE THAT THIS IS Non-Voting A REVISION DUE TO MODIFICATION OF TEXT OF RESOLUTION 4. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 159 of 721 NT SMALL CAP C&C GROUP PLC
Security: G1826G107 Agenda Number: 711304787 Ticker: Meeting Type: AGM ISIN: IE00B010DT83 Meeting Date: 04-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO CONSIDER THE FINANCIAL Mgmt For For STATEMENTS FOR THE YEAR ENDED 28 FEBRUARY 2019 AND THE REPORTS OF THE DIRECTORS AND THE AUDITORS THEREON
2 TO CONFIRM AND DECLARE DIVIDENDS: Mgmt For For 9.98 CENT PER SHARE
3.A TO ELECT JILL CASEBERRY AS A Mgmt For For DIRECTOR
3.B TO ELECT HELEN PITCHER AS A Mgmt For For DIRECTOR
3.C TO ELECT JIM THOMPSON AS A Mgmt For For DIRECTOR
3.D TO RE-ELECT STEWART GILLILAND AS A Mgmt For For DIRECTOR
3.E TO RE-ELECT STEPHEN GLANCEY AS A Mgmt For For DIRECTOR
3.F TO RE-ELECT ANDREA POZZI AS A Mgmt For For DIRECTOR
3.G TO RE-ELECT JONATHAN SOLESBURY AS Mgmt For For A DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 160 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3.H TO RE-ELECT JIM CLERKIN AS A Mgmt For For DIRECTOR
3.I TO RE-ELECT VINCENT CROWLEY AS A Mgmt For For DIRECTOR
3.J TO RE-ELECT EMER FINNAN AS A Mgmt For For DIRECTOR
4 TO AUTHORISE THE DIRECTORS TO FIX Mgmt For For THE AUDITORS' REMUNERATION
5 TO RECEIVE AND CONSIDER THE Mgmt For For REPORT OF THE REMUNERATION COMMITTEE ON DIRECTORS' REMUNERATION FOR THE YEAR ENDED 28 FEBRUARY 2019
6 TO AUTHORISE THE ALLOTMENT OF Mgmt For For SHARES
7 TO AUTHORISE THE LIMITED Mgmt For For DISAPPLICATION OF STATUTORY PRE- EMPTION RIGHTS
8 TO AUTHORISE THE ADDITIONAL 5 Mgmt For For PERCENT DISAPPLICATION OF PRE- EMPTION RIGHTS
9 TO AUTHORISE THE PURCHASE BY THE Mgmt For For COMPANY OF ITS OWN SHARES
10 TO DETERMINE THE PRICE RANGE AT Mgmt For For WHICH TREASURY SHARES MAY BE RE- ISSUED OFF-MARKET Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 161 of 721 NT SMALL CAP CAESARS ENTERTAINMENT CORPORATION
Security: 127686103 Agenda Number: 935034861 Ticker: CZR Meeting Type: Annual ISIN: US1276861036 Meeting Date: 02-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: Thomas Benninger Mgmt For For
1b. Election of Director: Juliana Chugg Mgmt For For
1c. Election of Director: Keith Cozza Mgmt Abstain Against
1d. Election of Director: John Dionne Mgmt For For
1e. Election of Director: James Hunt Mgmt For For
1f. Election of Director: Courtney Mather Mgmt Abstain Against
1g. Election of Director: Anthony Rodio Mgmt For For
1h. Election of Director: Richard Schifter Mgmt For For
2. To approve, on an advisory, non-binding Mgmt For For basis, named executive officer compensation.
3. To select, on an advisory, non binding basis, Mgmt 1 Year For the frequency of future advisory votes on named executive officer compensation. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 162 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4. To ratify the appointment of Deloitte & Touche Mgmt For For LLP as the Company's independent registered public accounting firm for the year ending December 31, 2019.
5. To approve a proposed amendment to the Mgmt For For Company's Charter to enable shareholders who beneficially own at least 15% of the Company's outstanding common stock to call special meetings.
6. To approve a proposed amendment to the Mgmt For For Company's Charter to restrict the Company's ability to adopt any "rights plan" or "poison pill". Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 163 of 721 NT SMALL CAP CALAMP CORP.
Security: 128126109 Agenda Number: 935051879 Ticker: CAMP Meeting Type: Annual ISIN: US1281261099 Meeting Date: 24-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: A.J. "Bert" Moyer Mgmt For For
1b. Election of Director: Scott Arnold Mgmt For For
1c. Election of Director: Michael Burdiek Mgmt For For
1d. Election of Director: Jason Cohenour Mgmt For For
1e. Election of Director: Jeffery Gardner Mgmt For For
1f. Election of Director: Amal Johnson Mgmt For For
1g. Election of Director: Roxanne Oulman Mgmt For For
1h. Election of Director: Jorge Titinger Mgmt For For
1i. Election of Director: Larry Wolfe Mgmt For For
2. To approve, on a non-binding advisory basis, Mgmt For For the compensation of the named executive officers as disclosed in the proxy statement. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 164 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3. Ratification of the appointment of Deloitte & Mgmt For For Touche LLP as the independent registered public accounting firm for the Company for the fiscal year ending February 29, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 165 of 721 NT SMALL CAP CARROLS RESTAURANT GROUP, INC.
Security: 14574X104 Agenda Number: 935062771 Ticker: TAST Meeting Type: Annual ISIN: US14574X1046 Meeting Date: 29-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. To elect as Class I director of Carrols Mgmt For For Restaurant Group, Inc.: Daniel T. Accordino
1b. To elect as Class I director of Carrols Mgmt For For Restaurant Group, Inc.: Matthew Perelman
2. To adopt, on an advisory basis, a resolution Mgmt For For approving the compensation of the Company's Named Executive Officers, as described in the Proxy Statement under "Executive Compensation".
3. To approve the conversion of Carrols Mgmt For For Restaurant Group, Inc.'s outstanding Series C Convertible Preferred Stock into shares of Carrols Restaurant Group, Inc. common stock by the removal of the restriction that prohibits such conversion.
4. To approve an amendment to Carrols Mgmt For For Restaurant Group, Inc.'s Amended and Restated Certificate of Incorporation, as amended, amending the Certificate of Designation of the Series B Convertible Preferred Stock to modify the definition of "Director-Step Down Date" and "Director Cessation Date".
5. To amend Carrols Restaurant Group, Inc.'s Mgmt For For Amended and Restated Certificate of Incorporation, as amended, to eliminate the ability of a majority of Carrols Restaurant Group, Inc.'s entire board of directors to remove directors for cause. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 166 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
6. To approve an amendment to the Amended Mgmt For For and Restated Certificate of Incorporation, as amended, of Carrols Holdco Inc., Carrols Restaurant Group, Inc.'s wholly-owned subsidiary, to remove a provision that requires the vote of stockholders of Carrols Restaurant Group, Inc., in addition to the vote of Carrols Restaurant Group, Inc. (as sole stockholder) in order for Carrols Holdco Inc. to take certain actions.
7. To ratify the appointment of Deloitte & Touche Mgmt For For LLP as the independent registered public accounting firm of the Company for the 2019 fiscal year. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 167 of 721 NT SMALL CAP CASEY'S GENERAL STORES, INC.
Security: 147528103 Agenda Number: 935061197 Ticker: CASY Meeting Type: Annual ISIN: US1475281036 Meeting Date: 04-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1.1 Election of Director: H. Lynn Horak Mgmt For For
1.2 Election of Director: Judy A. Schmeling Mgmt For For
1.3 Election of Director: Allison M. Wing Mgmt For For
1.4 Election of Director: Darren M. Rebelez Mgmt For For
2. To ratify the appointment of KPMG LLP as the Mgmt For For independent registered public accounting firm of the Company for the fiscal year ending April 30, 2020.
3. To hold an advisory vote on our named Mgmt For For executive officer compensation.
4. To approve an amendment to the Company's Mgmt For For Articles of Incorporation to increase the permissible range of the Board of Directors from 4-9 directors to 7-12 directors with the precise number of directors to be determined by the Board of Directors from time to time. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 168 of 721 NT SMALL CAP CAVCO INDUSTRIES, INC.
Security: 149568107 Agenda Number: 935052150 Ticker: CVCO Meeting Type: Annual ISIN: US1495681074 Meeting Date: 09-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 David A. Greenblatt Mgmt For For
2 Richard A. Kerley Mgmt For For
3 Julia W. Sze Mgmt For For
2. Ratification of the appointment of independent Mgmt For For auditor for fiscal 2020.
3. Proposal to approve the advisory (non- Mgmt For For binding) resolution relating to executive compensation. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 169 of 721 NT SMALL CAP CHESAPEAKE LODGING TRUST
Security: 165240102 Agenda Number: 935066630 Ticker: CHSP Meeting Type: Special ISIN: US1652401027 Meeting Date: 10-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. Consider and vote on a proposal to approve Mgmt For For the merger of Chesapeake Lodging Trust with and into a subsidary of Park Hotels & Resorts Inc. ("Park") pursuant to the Agreement and Plan of Merger, dated as of May 5, 2019 (the "Merger Agreement"), by and among Park, PK Domestic Property LLC, PK Domestic Sub LLC and Chesapeake Lodging Trust, as it may be amended from time to time (the "Merger Proposal").
2. Consider and vote upon a non-binding Mgmt For For advisory proposal to approve compensation that may be paid or become payable to Chesapeake Lodging Trust's named executive officers in connection with the Merger, Merger Agreement and the transactions contemplated by the Merger Agreement (the "Chesapeake Compensation Proposal").
3. Consider and vote upon a proposal to Mgmt For For approve one or more adjournments of the Special Meeting of Shareholders of Chesapeake Lodging Trust, if necessary or appropriate, for the purpose of soliciting additional votes for the approval of the Merger Proposal (the "Chesapeake Adjournment Proposal"). Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 170 of 721 NT SMALL CAP CHUY'S HOLDINGS, INC.
Security: 171604101 Agenda Number: 935050574 Ticker: CHUY Meeting Type: Annual ISIN: US1716041017 Meeting Date: 01-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Saed Mohseni Mgmt For For
2 Ira Zecher Mgmt For For
2. Approval of the non-binding, advisory vote on Mgmt For For executive compensation
3. The ratification of the appointment of RSM US Mgmt For For LLP as the Company's independent registered public accounting firm for 2019 Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 171 of 721 NT SMALL CAP CIRRUS LOGIC, INC.
Security: 172755100 Agenda Number: 935050687 Ticker: CRUS Meeting Type: Annual ISIN: US1727551004 Meeting Date: 02-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 John C. Carter Mgmt For For
2 Alexander M. Davern Mgmt For For
3 Timothy R. Dehne Mgmt For For
4 Deirdre Hanford Mgmt For For
5 Jason P. Rhode Mgmt For For
6 Alan R. Schuele Mgmt For For
7 David J. Tupman Mgmt For For
2. Ratification of the appointment of Ernst & Mgmt For For Young LLP as the Company's independent registered public accounting firm for the fiscal year ending March 28, 2020.
3. Advisory vote to approve executive Mgmt For For compensation. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 172 of 721 NT SMALL CAP CISION LTD.
Security: G1992S109 Agenda Number: 935071390 Ticker: CISN Meeting Type: Annual ISIN: KYG1992S1093 Meeting Date: 28-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1.1 Election of Class II Director: Kevin Akeroyd Mgmt For For
1.2 Election of Class II Director: Susan Vobejda Mgmt For For
1.3 Election of Class II Director: Stuart J. Mgmt For For Yarbrough
2. To ratify the appointment of Mgmt For For PricewaterhouseCoopers LLP as our independent registered public accounting firm for the year ending December 31, 2019.
3. To approve, on an advisory basis, the Mgmt For For compensation of our named executive officers for the year ending December 31, 2018.
4. To approve, on an advisory basis, the Mgmt 1 Year For frequency of future advisory votes on the compensation of our named executive officers.
5. To approve the Cision Ltd. 2017 Omnibus Mgmt For For Incentive Plan (as amended and restated effective July 24, 2019).
6. To approve the Cision Ltd. 2018 Employee Mgmt For For Stock Purchase Plan. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 173 of 721 NT SMALL CAP CIVITAS SOCIAL HOUSING PLC
Security: G2251U108 Agenda Number: 711407014 Ticker: Meeting Type: AGM ISIN: GB00BD8HBD32 Meeting Date: 05-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE STRATEGIC REPORT, Mgmt For For DIRECTORS' REPORT, AND THE CONSOLIDATED FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019, TOGETHER WITH THE INDEPENDENT AUDITOR'S REPORT ON THOSE AUDITED FINANCIAL STATEMENTS
2 TO RECEIVE AND APPROVE THE Mgmt For For DIRECTORS' REMUNERATION REPORT (EXCLUDING THE DIRECTORS' REMUNERATION POLICY), FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019, AS SET OUT IN THE COMPANY'S ANNUAL REPORT AND FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019
3 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION POLICY, AS SET OUT IN THE DIRECTORS' REMUNERATION REPORT IN THE COMPANY'S ANNUAL REPORT AND FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019
4 TO RE-ELECT MICHAEL WROBEL AS A Mgmt For For DIRECTOR OF THE COMPANY
5 TO RE-ELECT PETER BAXTER AS A Mgmt For For DIRECTOR OF THE COMPANY
6 TO RE-ELECT CAROLINE GULLIVER AS A Mgmt For For DIRECTOR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 174 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
7 TO RE-ELECT ALASTAIR MOSS AS A Mgmt For For DIRECTOR OF THE COMPANY
8 TO RE-APPOINT Mgmt For For PRICEWATERHOUSECOOPERS LLP AS AUDITORS OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT GENERAL MEETING AT WHICH THE COMPANY'S ANNUAL ACCOUNTS ARE LAID BEFORE THE MEETING
9 TO AUTHORISE THE AUDIT AND Mgmt For For MANAGEMENT ENGAGEMENT COMMITTEE TO DETERMINE THE REMUNERATION OF THE AUDITORS
10 TO AUTHORISE THE DIRECTORS TO Mgmt For For DECLARE AND PAY ALL DIVIDENDS OF THE COMPANY AS INTERIM DIVIDENDS AND FOR THE LAST DIVIDEND REFERABLE TO A FINANCIAL YEAR NOT TO BE CATEGORISED AS A FINAL DIVIDEND THAT WOULD ORDINARILY BE SUBJECT TO SHAREHOLDER APPROVAL
11 TO APPROVE AN AMENDMENT TO THE Mgmt For For COMPANY'S PUBLISHED INVESTMENT POLICY AND INVESTMENT RESTRICTIONS BY REPLACING REFERENCES TO "ENGLAND AND WALES" WITH "THE UNITED KINGDOM"
12 THAT, IN ACCORDANCE WITH ARTICLE 94 Mgmt For For OF THE COMPANY'S ARTICLES OF ASSOCIATION, ARTICLE 94 OF THE COMPANY'S ARTICLES OF ASSOCIATION BE AMENDED BY DELETING THE FIGURE "GBP 200,000" AND REPLACING IT WITH THE FIGURE "GBP 250,000"
13 DIRECTORS' AUTHORITY TO ALLOT Mgmt For For SHARES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 175 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
14 DISAPPLICATION OF PRE-EMPTION Mgmt For For RIGHTS
15 AUTHORITY TO PURCHASE OWN SHARES Mgmt For For
16 THAT A GENERAL MEETING OTHER THAN Mgmt For For AN ANNUAL GENERAL MEETING MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 176 of 721 NT SMALL CAP CLAS OHLSON AB
Security: W22137108 Agenda Number: 711484458 Ticker: Meeting Type: AGM ISIN: SE0000584948 Meeting Date: 07-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT AN ABSTAIN VOTE CAN HAVE THE SAME Non-Voting EFFECT AS AN AGAINST VOTE IF THE MEETING REQUIRE APPROVAL FROM MAJORITY OF PARTICIPANTS TO PASS A RESOLUTION.
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE
1 OPENING OF THE AGM Non-Voting
2 ELECTION OF CHAIRMAN OF THE AGM: Non-Voting KENNETH BENGTSSON Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 177 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3 PREPARATION AND APPROVAL OF THE Non-Voting VOTING LIST
4 APPROVAL OF THE AGENDA Non-Voting
5 ELECTION OF ONE OR TWO MINUTES Non-Voting CHECKERS
6 DETERMINATION OF WHETHER THE Non-Voting MEETING HAS BEEN DULY CONVENED
7 PRESENTATION OF THE ANNUAL REPORT Non-Voting AND AUDITORS' REPORT AND THE CONSOLIDATED FINANCIAL STATEMENTS AND THE AUDITORS' REPORT ON THE CONSOLIDATED FINANCIAL STATEMENTS FOR 2018/19
8 STATEMENT BY THE CEO Non-Voting
9 CHAIRMAN OF THE BOARD'S REPORT ON Non-Voting THE WORK OF THE BOARD AND THE REMUNERATION AND AUDIT COMMITTEES
10 QUESTION TIME Non-Voting
11 RESOLUTION CONCERNING THE Mgmt For For ADOPTION OF THE INCOME STATEMENT AND BALANCE SHEET AND THE CONSOLIDATED INCOME STATEMENT AND CONSOLIDATED BALANCE SHEET FOR 2018/19 Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 178 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
12 RESOLUTION CONCERNING THE Mgmt For For DISPOSITION OF THE COMPANY'S PROFITS IN ACCORDANCE WITH THE BALANCE SHEET ADOPTED FOR 2018/19 AND DETERMINATION OF THE RECORD DATE FOR THE DIVIDEND: DIVIDEND (6.25 SEK PER SHARE)
13 RESOLUTION CONCERNING THE Mgmt For For DISCHARGE OF BOARD MEMBERS AND THE CEO FROM LIABILITY FOR THE 2018/19 FINANCIAL YEAR
CMMT PLEASE NOTE THAT RESOLUTIONS 14 TO Non-Voting 16 ARE PROPOSED BY NOMINATION COMMITTEE AND BOARD DOES NOT MAKE ANY RECOMMENDATION ON THIS PROPOSAL. THE STANDING INSTRUCTIONS ARE DISABLED FOR THIS MEETING
14 DETERMINATION OF THE NUMBER OF Mgmt For BOARD MEMBERS, AUDITORS AND DEPUTY AUDITORS TO BE ELECTED BY THE AGM: THE NOMINATION COMMITTEE PROPOSES THAT THE NUMBER OF BOARD MEMBERS BE EIGHT AND THAT ONE AUDITOR AND NO DEPUTY AUDITOR BE APPOINTED
15 DETERMINATION OF THE FEES TO BE Mgmt For PAID TO BOARD MEMBERS AND THE AUDITORS, AND REMUNERATION FOR COMMITTEE WORK
16 ELECTION OF BOARD MEMBERS, Mgmt For CHAIRMAN OF THE BOARD, AUDITORS AND ANY DEPUTY AUDITORS: THE NOMINATION COMMITTEE PROPOSES THE RE-ELECTION OF BOARD MEMBERS KENNETH BENGTSSON, MATHIAS HAID, MARGARETA LEHMANN, HAKAN LUNDSTEDT, CHARLOTTE STROMBERG, GORAN SUNDSTROM, GORAN NASHOLM AND ANNE THORSTVEDT SJOBERG. THE NOMINATION COMMITTEE PROPOSES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 179 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
THAT KENNETH BENGTSSON BE RE- ELECTED AS CHAIRMAN OF THE BOARD. THE NOMINATION COMMITTEE PROPOSES THAT DELOITTE BE APPOINTED THE COMPANY'S AUDITOR FOR THE PERIOD FROM THE CLOSE OF THE 2019 AGM UNTIL THE CLOSE OF THE 2020 AGM, IN ACCORDANCE WITH THE AUDIT COMMITTEE'S RECOMMENDATION
17 THE BOARD OF DIRECTORS' MOTION Mgmt For For CONCERNING ADOPTION OF GUIDELINES FOR REMUNERATION AND OTHER TERMS OF EMPLOYMENT FOR SENIOR MANAGEMENT
18 THE BOARD OF DIRECTORS' MOTION Mgmt For For CONCERNING ADOPTION OF A LONG- TERM INCENTIVE PLAN ("LTI 2020")
19.A APPROVE EQUITY PLAN FINANCING Mgmt For For THROUGH REPURCHASE OF SHARES
19.B APPROVE EQUITY PLAN FINANCING Mgmt For For THROUGH REISSUANCE OF SHARES
19.C APPROVE EQUITY PLAN FINANCING Mgmt For For THROUGH TRANSFER OF SHARES
20 CLOSING OF THE AGM Non-Voting Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 180 of 721 NT SMALL CAP COBHAM PLC
Security: G41440143 Agenda Number: 711516041 Ticker: Meeting Type: CRT ISIN: GB00B07KD360 Meeting Date: 16-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT ABSTAIN IS NOT A Non-Voting VALID VOTE OPTION FOR THIS MEETING TYPE. PLEASE CHOOSE BETWEEN "FOR" AND "AGAINST" ONLY. SHOULD YOU CHOOSE TO VOTE ABSTAIN FOR THIS MEETING THEN YOUR VOTE WILL BE DISREGARDED BY THE ISSUER OR ISSUERS AGENT
1 FOR THE PURPOSE OF CONSIDERING Mgmt For For AND, IF THOUGHT FIT, APPROVING (WITH OR WITHOUT MODIFICATION) A SCHEME OF ARRANGEMENT PURSUANT TO PART 26 OF THE COMPANIES ACT 2006 (THE SCHEME) BETWEEN THE COMPANY AND THE HOLDERS OF SCHEME SHARES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 181 of 721 NT SMALL CAP COBHAM PLC
Security: G41440143 Agenda Number: 711516053 Ticker: Meeting Type: OGM ISIN: GB00B07KD360 Meeting Date: 16-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO GIVE EFFECT TO THE SCHEME, AS Mgmt For For SET OUT IN THE NOTICE OF GENERAL MEETING, INCLUDING THE AMENDMENTS TO THE ARTICLES OF ASSOCIATION OF COBHAM PLC
2 TO RE-REGISTER COBHAM PLC AS A Mgmt For For PRIVATE LIMITED COMPANY (SUBJECT TO AND CONDITIONAL UPON THE SCHEME BECOMING EFFECTIVE) Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 182 of 721 NT SMALL CAP COLUMBUS MCKINNON CORPORATION
Security: 199333105 Agenda Number: 935050586 Ticker: CMCO Meeting Type: Annual ISIN: US1993331057 Meeting Date: 22-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Richard H. Fleming Mgmt For For
2 Ernest R. Verebelyi Mgmt For For
3 Mark D. Morelli Mgmt For For
4 Nicholas T. Pinchuk Mgmt For For
5 Liam G. McCarthy Mgmt For For
6 R. Scott Trumbull Mgmt For For
7 Heath A. Mitts Mgmt For For
8 Kathryn V. Roedel Mgmt For For
9 Aziz S. Aghili Mgmt For For
2. To ratify the appointment of Ernst & Young Mgmt For For LLP as independent registered public accounting firm for the fiscal year ending March 31, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 183 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3. To conduct a shareholder advisory vote on Mgmt For For the compensation of our named executive officers.
4. To vote upon the approval and adoption of the Mgmt For For Columbus McKinnon Corporation 2016 Long Term Incentive Plan as amended and restated, effective June 5, 2019. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 184 of 721 NT SMALL CAP COMMVAULT SYSTEMS, INC.
Security: 204166102 Agenda Number: 935059178 Ticker: CVLT Meeting Type: Annual ISIN: US2041661024 Meeting Date: 22-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1.1 Election of Director: Nicholas Adamo Mgmt For For
1.2 Election of Director: Martha H. Bejar Mgmt For For
1.3 Election of Director: David F. Walker Mgmt For For
2. Ratify appointment of Ernst & Young LLP as Mgmt For For independent public accountants for the fiscal year ending March 31, 2020.
3. Approve amendment providing additional Mgmt For For shares for grant under the Company's Omnibus Incentive Plan.
4. Approve, by non-binding vote, the Company's Mgmt For For executive compensation. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 185 of 721 NT SMALL CAP CONTROL4 CORPORATION
Security: 21240D107 Agenda Number: 935056716 Ticker: CTRL Meeting Type: Special ISIN: US21240D1072 Meeting Date: 30-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. To adopt the Agreement and Plan of Merger, Mgmt For For dated as of May 8, 2019 (as it may be amended from time to time, the "merger agreement"), by and among Control4 Corporation, a Delaware corporation (the "Company"), Wirepath Home Systems, LLC, a North Carolina limited liability company ("Parent"), and Copper Merger Sub Inc., a Delaware corporation and a direct wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub will be merged with and into the Company (the "merger").
2. To approve, on an advisory (non-binding) Mgmt For For basis, certain compensation that may be paid or become payable to the Company's named executive officers in connection with the merger.
3. To approve the adjournment of the special Mgmt For For meeting, if necessary or appropriate, including to solicit additional proxies if there are insufficient votes at the time of the special meeting to approve the proposal to adopt the merger agreement. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 186 of 721 NT SMALL CAP CONZZETA AG
Security: H16351118 Agenda Number: 711558760 Ticker: Meeting Type: EGM ISIN: CH0244017502 Meeting Date: 27-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT BENEFICIAL OWNER Non-Voting DETAILS IS REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU.
CMMT PART 2 OF THIS MEETING IS FOR VOTING Non-Voting ON AGENDA AND MEETING ATTENDANCE REQUESTS ONLY. PLEASE ENSURE THAT YOU HAVE FIRST VOTED IN FAVOUR OF THE REGISTRATION OF SHARES IN PART 1 OF THE MEETING. IT IS A MARKET REQUIREMENT FOR MEETINGS OF THIS TYPE THAT THE SHARES ARE REGISTERED AND MOVED TO A REGISTERED LOCATION AT THE CSD, AND SPECIFIC POLICIES AT THE INDIVIDUAL SUB-CUSTODIANS MAY VARY. UPON RECEIPT OF THE VOTE INSTRUCTION, IT IS POSSIBLE THAT A MARKER MAY BE PLACED ON YOUR SHARES TO ALLOW FOR RECONCILIATION AND RE-REGISTRATION FOLLOWING A TRADE. THEREFORE WHILST THIS DOES NOT PREVENT THE TRADING OF SHARES, ANY THAT ARE REGISTERED MUST BE FIRST DEREGISTERED IF REQUIRED FOR SETTLEMENT. DEREGISTRATION CAN AFFECT THE VOTING RIGHTS OF THOSE SHARES. IF YOU HAVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE
1 USE OF THE TOTAL SUM AVAILABLE FOR Mgmt For For APPROPRIATION (SPECIAL DIVIDEND) Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 187 of 721 NT SMALL CAP CORBION NV
Security: N2334V109 Agenda Number: 711339045 Ticker: Meeting Type: EGM ISIN: NL0010583399 Meeting Date: 05-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 OPENING OF THE GENERAL MEETING Non-Voting
2 IT IS PROPOSED TO APPOINT MR. Mgmt For For OLIVIER RIGAUD AS MEMBER OF THE SUPERVISORY BOARD WHERE ALL DETAILS AS LAID DOWN IN ARTICLE 2:158 PARAGRAPH 5, SECTION 2: 142 PARAGRAPH 3 OF THE DUTCH CIVIL CODE ARE AVAILABLE FOR THE GENERAL MEETING OF SHAREHOLDERS
3 ANY OTHER BUSINESS Non-Voting
4 CLOSING OF THE GENERAL MEETING Non-Voting Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 188 of 721 NT SMALL CAP CORVEL CORPORATION
Security: 221006109 Agenda Number: 935055992 Ticker: CRVL Meeting Type: Annual ISIN: US2210061097 Meeting Date: 08-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 V. Gordon Clemons Mgmt For For
2 Steven J. Hamerslag Mgmt For For
3 Alan R. Hoops Mgmt For For
4 R. Judd Jessup Mgmt For For
5 Jean H. Macino Mgmt For For
6 Jeffrey J. Michael Mgmt For For
2. To ratify the appointment of Haskell & White Mgmt For For LLP as our independent registered public accounting firm for the fiscal year ending March 31, 2020.
3. Stockholder proposal requesting the issuance Shr For Against of a public report detailing the potential risks associated with omitting "sexual orientation" and "gender identity" from our equal employment opportunity policy. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 189 of 721 NT SMALL CAP CRANSWICK PLC
Security: G2504J108 Agenda Number: 711362272 Ticker: Meeting Type: AGM ISIN: GB0002318888 Meeting Date: 29-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE AND ADOPT THE STRATEGIC Mgmt For For REPORT AND THE REPORT OF THE DIRECTORS AND THE ACCOUNTS FOR THE YEAR ENDED 31 MARCH 2019
2 TO RECEIVE AND APPROVE THE Mgmt For For REMUNERATION COMMITTEE REPORT FOR THE YEAR ENDED 31 MARCH 2019
3 TO DECLARE A FINAL DIVIDEND OF 40P Mgmt For For PER SHARE ON THE EXISTING ORDINARY SHARE CAPITAL
4 TO RE-ELECT KATE ALLUM AS A Mgmt For For DIRECTOR
5 TO RE-ELECT MARK BOTTOMLEY AS A Mgmt For For DIRECTOR
6 TO RE-ELECT JIM BRISBY AS A DIRECTOR Mgmt For For
7 TO RE-ELECT ADAM COUCH AS A Mgmt For For DIRECTOR
8 TO RE-ELECT MARTIN DAVEY AS A Mgmt For For DIRECTOR
9 TO RE- ELECT PAM POWELL AS A Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 190 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO RE-ELECT MARK RECKITT AS A Mgmt For For DIRECTOR
11 TO RE- ELECT TIM SMITH AS A DIRECTOR Mgmt For For
12 TO RE-APPOINT Mgmt For For PRICEWATERHOUSECOOPERS LLP AS AUDITORS
13 TO AUTHORISE THE DIRECTORS TO Mgmt For For DETERMINE THE AUDITORS' REMUNERATION
14 AUTHORITY TO ALLOT SHARES Mgmt For For
15 DISAPPLICATION OF PRE-EMPTION Mgmt For For RIGHTS (GENERAL)
16 DISAPPLICATION OF PRE-EMPTION Mgmt For For RIGHTS (ACQUISITIONS)
17 AUTHORITY TO BUY OWN ORDINARY Mgmt For For SHARES
18 THAT A GENERAL MEETING OTHER THAN Mgmt For For AN ANNUAL GENERAL MEETING MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 191 of 721 NT SMALL CAP CRAY INC.
Security: 225223304 Agenda Number: 935058241 Ticker: CRAY Meeting Type: Special ISIN: US2252233042 Meeting Date: 27-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. To approve the Agreement and Plan of Mgmt For For Merger (the "Merger Agreement"), dated as of May 16, 2019, by and among Hewlett Packard Enterprise Company, a Delaware corporation ("HPE"), Canopy Merger Sub, Inc., a Washington corporation and wholly owned subsidiary of HPE, and Cray Inc., a Washington corporation ("Cray"), as such agreement may be amended from time to time.
2. To approve, on a non-binding advisory basis, Mgmt For For certain compensation that may be paid or become payable to Cray's named executive officers in connection with the merger.
3. To approve the adjournment of the special Mgmt For For meeting to a later date if Cray's board of directors determines that it is necessary or appropriate, and is permitted by the Merger Agreement, to solicit additional proxies if there is not a quorum present or there are not sufficient votes in favor of the approval of the Merger Agreement at the time of the special meeting. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 192 of 721 NT SMALL CAP CSW INDUSTRIALS, INC.
Security: 126402106 Agenda Number: 935059849 Ticker: CSWI Meeting Type: Annual ISIN: US1264021064 Meeting Date: 13-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Joseph Armes Mgmt For For
2 Michael Gambrell Mgmt For For
3 Terry Johnston Mgmt For For
4 Robert Swartz Mgmt For For
5 Kent Sweezey Mgmt For For
2. To approve, by non-binding vote, executive Mgmt For For compensation.
3. The ratification of Grant Thornton LLP to Mgmt For For serve as independent registered public accounting firm for the fiscal year ended March 31, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 193 of 721 NT SMALL CAP CYPRESS SEMICONDUCTOR CORPORATION
Security: 232806109 Agenda Number: 935063987 Ticker: CY Meeting Type: Special ISIN: US2328061096 Meeting Date: 27-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. To adopt the Agreement and Plan of Merger, Mgmt For For dated as of June 3, 2019, as it may be amended or modified from time to time, among Cypress Semiconductor Corporation ("Cypress"), Infineon Technologies AG and IFX Merger Sub Inc. (the "merger agreement") and the merger described therein.
2. To approve, on a non-binding, advisory basis, Mgmt For For certain compensation that will or may be paid by Cypress to its named executive officers that is based on or otherwise relates to the merger.
3. To approve any proposal to adjourn the Mgmt For For special meeting from time to time, if necessary or appropriate, for the purpose of soliciting additional votes for the approval of the merger agreement. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 194 of 721 NT SMALL CAP DART GROUP PLC
Security: G2657C132 Agenda Number: 711497657 Ticker: Meeting Type: AGM ISIN: GB00B1722W11 Meeting Date: 05-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE REPORTS OF THE Mgmt For For DIRECTORS AND THE AUDITED ACCOUNTS OF THE COMPANY FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019, TOGETHER WITH THE REPORT OF THE AUDITORS ON THOSE ACCOUNTS
2 TO DECLARE A FINAL DIVIDEND FOR THE Mgmt For For FINANCIAL YEAR ENDED 31 MARCH 2019 OF 7.4 PENCE PER ORDINARY SHARE OF 1.25 PENCE
3 TO ELECT RICHARD GREEN AS A Mgmt Against Against DIRECTOR OF THE COMPANY
4 TO RE-ELECT PHILIP HUGH MEESON AS A Mgmt Abstain Against DIRECTOR OF THE COMPANY
5 TO RE-ELECT STEPHEN PAUL HEAPY AS Mgmt Abstain Against A DIRECTOR OF THE COMPANY
6 TO RE-ELECT MARK AUBREY SEYMOUR Mgmt Against Against LAURENCE AS A DIRECTOR OF THE COMPANY
7 TO REAPPOINT KPMG LLP AS AUDITOR Mgmt For For OF THE COMPANY
8 TO AUTHORISE THE DIRECTORS TO FIX Mgmt For For THE AUDITOR'S REMUNERATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 195 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
9 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT SHARES
10 DISAPPLICATION OF PRE-EMPTION Mgmt For For RIGHTS
11 ADDITIONAL DISAPPLICATION OF PRE- Mgmt For For EMPTION RIGHTS
12 TO AUTHORISE MARKET PURCHASES OF Mgmt For For THE COMPANY'S SHARES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 196 of 721 NT SMALL CAP DE LA RUE PLC
Security: G2702K139 Agenda Number: 711339350 Ticker: Meeting Type: AGM ISIN: GB00B3DGH821 Meeting Date: 25-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE STRATEGIC REPORT, Mgmt For For THE DIRECTORS' REPORT AND THE FINANCIAL STATEMENTS OF THE COMPANY, TOGETHER WITH THE REPORT OF THE AUDITORS
2 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT
3 TO DECLARE A FINAL DIVIDEND: 16.7P Mgmt For For PER ORDINARY SHARE
4 TO ELECT HELEN WILLIS AS A DIRECTOR Mgmt For For
5 TO RE-ELECT NICK BRAY AS A DIRECTOR Mgmt For For
6 TO RE-ELECT SABRI CHALLAH AS A Mgmt For For DIRECTOR
7 TO RE-ELECT MARIA DA CUNHA AS A Mgmt For For DIRECTOR
8 TO RE-ELECT PHILIP ROGERSON AS A Mgmt For For DIRECTOR
9 TO RE-ELECT ANDREW STEVENS AS A Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 197 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO RE-ELECT MARTIN SUTHERLAND AS A Mgmt For For DIRECTOR
11 TO RE-APPOINT ERNST & YOUNG LLP AS Mgmt For For AUDITOR
12 TO AUTHORISE THE DIRECTORS TO Mgmt For For DETERMINE THE AUDITOR'S REMUNERATION
13 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT SHARES UNDER SECTION 551 OF THE COMPANIES ACT
14 TO AUTHORISE POLITICAL DONATIONS Mgmt For For AND POLITICAL EXPENDITURE
15 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT SHARES AS IF SECTION 561 OF THE COMPANIES ACT DID NOT APPLY
16 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT ADDITIONAL SHARES AS IF SECTION 561 OF THE COMPANIES ACT DID NOT APPLY
17 TO AUTHORISE THE COMPANY TO MAKE Mgmt For For MARKET PURCHASES OF ITS OWN SHARES
18 THAT A GENERAL MEETING OTHER THAN Mgmt For For AN ANNUAL GENERAL MEETING MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 198 of 721 NT SMALL CAP DECKERS OUTDOOR CORPORATION
Security: 243537107 Agenda Number: 935065424 Ticker: DECK Meeting Type: Annual ISIN: US2435371073 Meeting Date: 13-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 John M. Gibbons Mgmt For For
2 Nelson C. Chan Mgmt For For
3 Cynthia L. Davis Mgmt For For
4 Michael F. Devine III Mgmt For For
5 Dave Powers Mgmt For For
6 James Quinn Mgmt For For
7 Lauri M. Shanahan Mgmt For For
8 Brian A. Spaly Mgmt For For
9 Bonita C. Stewart Mgmt For For
2. To ratify the selection of KPMG LLP as our Mgmt For For independent registered public accounting firm for fiscal year 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 199 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3. To approve, on a non-binding advisory basis, Mgmt For For the compensation of our Named Executive Officers, as disclosed in the Compensation Discussion and Analysis section of the Proxy Statement. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 200 of 721 NT SMALL CAP DFDS A/S
Security: K29758164 Agenda Number: 711304698 Ticker: Meeting Type: EGM ISIN: DK0060655629 Meeting Date: 01-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT IN THE MAJORITY OF MEETINGS THE Non-Voting VOTES ARE CAST WITH THE REGISTRAR WHO WILL FOLLOW CLIENT INSTRUCTIONS. IN A SMALL PERCENTAGE OF MEETINGS THERE IS NO REGISTRAR AND CLIENTS VOTES MAY BE CAST BY THE CHAIRMAN OF THE BOARD OR A BOARD MEMBER AS PROXY. CLIENTS CAN ONLY EXPECT THEM TO ACCEPT PRO-MANAGEMENT VOTES. THE ONLY WAY TO GUARANTEE THAT ABSTAIN AND/OR AGAINST VOTES ARE REPRESENTED AT THE MEETING IS TO SEND YOUR OWN REPRESENTATIVE OR ATTEND THE MEETING IN PERSON. THE SUB CUSTODIAN BANKS OFFER REPRESENTATION SERVICES FOR AN ADDED FEE IF REQUESTED. THANK YOU
CMMT PLEASE BE ADVISED THAT SPLIT AND Non-Voting PARTIAL VOTING IS NOT AUTHORISED FOR A BENEFICIAL OWNER IN THE DANISH MARKET. PLEASE CONTACT YOUR GLOBAL CUSTODIAN FOR FURTHER INFORMATION.
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 201 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 ELECTION OF A NEW MEMBER OF THE Mgmt For For BOARD OF DIRECTORS: MR. DIRK REICH
2 AUTHORISATION TO THE CHAIRMAN OF Mgmt For For THE MEETING: THE BOARD OF DIRECTORS PROPOSES THAT THE GENERAL MEETING AUTHORISES THE CHAIRMAN OF THE MEETING WITH THE RIGHT OF SUBSTITUTION TO REGISTER THE APPROVED PROPOSAL IN THE IT SYSTEM OF THE DANISH BUSINESS AUTHORITY AND TO MAKE THE CORRESPONDING CHANGES REQUIRED OR RECOMMENDED BY THE DANISH BUSINESS AUTHORITY OR OTHER AUTHORITIES WITH A VIEW TO REGISTERING OR APPROVING THE PROPOSALS APPROVED Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 202 of 721 NT SMALL CAP DIXONS CARPHONE PLC
Security: G2903R107 Agenda Number: 711416087 Ticker: Meeting Type: AGM ISIN: GB00B4Y7R145 Meeting Date: 05-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE ACCOUNTS INCLUDING Mgmt For For THE STRATEGIC REPORT AND THE REPORTS OF THE DIRECTORS AND AUDITOR FOR THE PERIOD ENDED 27- APR-19
2 TO APPROVE THE DIRECTORS Mgmt For For REMUNERATION REPORT OTHER THAN THE DIRECTORS REMUNERATION POLICY
3 TO APPROVE THE DIRECTORS Mgmt For For REMUNERATION POLICY
4 TO DECLARE A FINAL DIVIDEND OF 4.5P Mgmt For For PER ORDINARY SHARE
5 TO ELECT EILEEN BURBIDGE MBE AS A Mgmt For For DIRECTOR
6 TO RE-ELECT ALEX BALDOCK AS A Mgmt For For DIRECTOR
7 TO RE-ELECT TONY DENUNZIO CBE AS A Mgmt For For DIRECTOR
8 TO RE-ELECT ANDREA GISLE JOOSEN AS Mgmt For For A DIRECTOR
9 TO RE-ELECT LORD LIVINGSTON OF Mgmt For For PARKHEAD AS A DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 203 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO RE-ELECT JONNY MASON AS A Mgmt For For DIRECTOR
11 TO RE-ELECT FIONA MCBAIN AS A Mgmt For For DIRECTOR
12 TO RE-ELECT GERRY MURPHY AS A Mgmt For For DIRECTOR
13 TO RE-APPOINT DELOITTE LLP AS Mgmt For For AUDITOR OF THE COMPANY
14 AUTHORITY FOR THE DIRECTORS TO Mgmt For For DETERMINE THE AUDITORS REMUNERATION
15 AUTHORITY TO MAKE POLITICAL Mgmt For For DONATIONS NOT EXCEEDING 25000 POUNDS IN TOTAL
16 APPROVAL OF THE COLLEAGUE Mgmt For For SHAREHOLDER SCHEME
17 APPROVAL OF THE SHARE INCENTIVE Mgmt For For PLAN
18 AUTHORITY TO ALLOT SHARES Mgmt For For
19 POWER TO DIS-APPLY PRE-EMPTION Mgmt For For RIGHTS
20 AUTHORITY FOR THE COMPANY TO Mgmt For For PURCHASE ITS OWN SHARES
21 AUTHORITY TO CALL GENERAL Mgmt For For MEETINGS AT SHORT NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 204 of 721 NT SMALL CAP DO & CO AG
Security: A1447E107 Agenda Number: 711327696 Ticker: Meeting Type: OGM ISIN: AT0000818802 Meeting Date: 18-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 PRESENTATION OF ANNUAL REPORTS Non-Voting
2 ALLOCATION OF NET PROFITS: EUR 0.85 Mgmt For For PER SHARE
3 DISCHARGE OF MANAGEMENT BOARD Mgmt For For
4 DISCHARGE OF SUPERVISORY BOARD Mgmt For For
5 APPROVAL OF REMUNERATION FOR Mgmt For For SUPERVISORY BOARD
6 ELECTION OF EXTERNAL AUDITOR: PKF Mgmt For For CENTURION
7 ELECTION TO SUPERVISORY BOARD: Mgmt For For DANIELA NEUBERGER
8 APPROVAL OF BUY BACK OF OWN Mgmt For For SHARES, USAGE OF SUCH SHARES, CANCELLATION OF OLD RESOLUTION (27/07/2017) Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 205 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT 03 JUL 2019: PLEASE NOTE THAT THIS IS Non-Voting A REVISION DUE TO RECEIPT OF DIVIDEND AMOUNT AND MODIFICATION OF THE TEXT IN RESOLUTION 6 AND 7. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 206 of 721 NT SMALL CAP DOMINO'S PIZZA GROUP PLC
Security: G28113101 Agenda Number: 711286787 Ticker: Meeting Type: OGM ISIN: GB00BYN59130 Meeting Date: 01-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO AMEND THE COMPANY'S BORROWING Mgmt For For POWERS IN THE ARTICLES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 207 of 721 NT SMALL CAP DS SMITH PLC
Security: G2848Q123 Agenda Number: 711407002 Ticker: Meeting Type: AGM ISIN: GB0008220112 Meeting Date: 03-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE AND ADOPT THE ANNUAL Mgmt For For REPORT AND ACCOUNTS
2 TO DECLARE A FINAL DIVIDEND Mgmt For For
3 TO APPROVE THE ANNUAL REPORT ON Mgmt For For REMUNERATION
4 TO RE-ELECT MR DAVIS AS A DIRECTOR Mgmt For For
5 TO RE-ELECT MR ROBERTS AS A Mgmt For For DIRECTOR
6 TO RE-ELECT MR MARSH AS A DIRECTOR Mgmt For For
7 TO RE-ELECT MR BRITTON AS A Mgmt For For DIRECTOR
8 TO RE-ELECT MS ODONOVAN AS A Mgmt For For DIRECTOR
9 TO ELECT MR ROBBIE AS A DIRECTOR Mgmt For For
10 TO RE-ELECT MS SMALLEY AS A Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 208 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 TO ELECT MR SOAMES AS A DIRECTOR Mgmt For For
12 TO RE-APPOINT DELOITTE LLP AS Mgmt For For AUDITORS OF THE COMPANY
13 TO AUTHORISE THE AUDIT COMMITTEE Mgmt For For TO DETERMINE THE REMUNERATION OF THE AUDITORS
14 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT SHARES
15 TO AUTHORISE DIRECTORS GENERAL Mgmt For For POWERS TO DISAPPLY PRE-EMPTION RIGHTS UP TO FIVE PER CENT OF THE ISSUED SHARE CAPITAL
16 TO AUTHORISE DIRECTORS ADDITIONAL Mgmt For For POWERS TO DISAPPLY PRE-EMPTION RIGHTS FOR AN ADDITIONAL FIVE PER CENT FOR CERTAIN TRANSACTIONS
17 TO RENEW THE AUTHORITY FOR THE Mgmt For For COMPANY TO PURCHASE ITS OWN ORDINARY SHARES
18 TO MAINTAIN THE NOTICE PERIOD FOR Mgmt For For GENERAL MEETINGS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 209 of 721 NT SMALL CAP EAGLE MATERIALS INC
Security: 26969P108 Agenda Number: 935056401 Ticker: EXP Meeting Type: Annual ISIN: US26969P1084 Meeting Date: 06-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1A. Election of Director: George J. Damiris Mgmt Against Against
1B. Election of Director: Martin M. Ellen Mgmt For For
1C. Election of Director: David B. Powers Mgmt For For
2. Advisory resolution regarding the Mgmt For For compensation of our named executive officers.
3. To approve the expected appointment of Mgmt For For Ernst & Young LLP as independent auditors for fiscal year 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 210 of 721 NT SMALL CAP EBIX, INC.
Security: 278715206 Agenda Number: 935064319 Ticker: EBIX Meeting Type: Annual ISIN: US2787152063 Meeting Date: 15-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Hans U. Benz Mgmt For For
2 Pavan Bhalla Mgmt For For
3 Neil D. Eckert Mgmt Withheld Against
4 Rolf Herter Mgmt For For
5 Hans Ueli Keller Mgmt For For
6 George W. Hebard III Mgmt For For
7 Robin Raina Mgmt For For
2. To ratify the appointment of RSM US LLP as Mgmt For For our independent registered certified public accounting firm for the year ending December 31, 2019.
3. To approve, by a non-binding advisory vote, Mgmt Against Against the compensation of our named executive officers. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 211 of 721 NT SMALL CAP EDREAMS ODIGEO S.A.
Security: L2841H108 Agenda Number: 711549367 Ticker: Meeting Type: AGM ISIN: LU1048328220 Meeting Date: 30-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT THIS IS AN Non-Voting AMENDMENT TO MEETING ID 286435 DUE TO CHANGE IN VOTING STATUS OF RESOLUTION 13. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU
1 PRESENTATION OF THE INTEGRATED Non-Voting ANNUAL REPORT FOR THE FINANCIAL YEAR ENDED ON 31 MARCH 2019, WITH INCLUSION OF: (I) THE MANAGEMENT REPORT, CONTAINING THE REPORT OF THE BOARD OF DIRECTORS OF THE COMPANY IN RELATION TO THE FINANCIAL STATEMENTS, A NON- FINANCIAL INFORMATION STATEMENT AND A DECLARATION CONCERNING THE COMPANY'S CORPORATE GOVERNANCE; (II) THE GROUP CONSOLIDATED FINANCIAL STATEMENTS, CONSISTING IN THE CONSOLIDATED BALANCE SHEET, THE CONSOLIDATED PROFIT AND LOSS ACCOUNT AND THE NOTES TO THE CONSOLIDATED ACCOUNTS, FOR THE COMPANY AND ITS SUBSIDIARY UNDERTAKINGS AS OF 31 MARCH 2019 (THE "CONSOLIDATED ACCOUNTS") AND THE REPORT PREPARED BY ERNST & YOUNG CONCERNING THE CONSOLIDATED ACCOUNTS; AND (III) THE STANDALONE FINANCIAL STATEMENTS, CONSISTING IN THE BALANCE SHEET, THE PROFIT AND LOSS ACCOUNT AND THE NOTES TO THE ACCOUNTS, FOR THE COMPANY'S FINANCIAL YEAR ENDED ON 31 MARCH 2019 (THE "ANNUAL Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 212 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
ACCOUNTS") AND THE REPORT PREPARED BY ERNST & YOUNG, THE INDEPENDENT AUDITOR OF THE COMPANY, CONCERNING THE ANNUAL ACCOUNTS
2 AFTER PRESENTATION AND REVIEW OF Mgmt For For (I) THE CONSOLIDATED ACCOUNTS AND (II) THE REPORT PREPARED BY ERNST & YOUNG, THE INDEPENDENT AUDITOR OF THE COMPANY CONCERNING THE CONSOLIDATED ACCOUNTS, THE GENERAL MEETING RESOLVES TO APPROVE THE CONSOLIDATED ACCOUNTS FOR THE COMPANY AND ITS SUBSIDIARY UNDERTAKINGS AS OF 31 MARCH 2019
3 AFTER PRESENTATION AND REVIEW OF Mgmt For For (I) THE ANNUAL ACCOUNTS AND (II) THE REPORT PREPARED BY ERNST & YOUNG, THE INDEPENDENT AUDITOR OF THE COMPANY CONCERNING THE ANNUAL ACCOUNTS, THE GENERAL MEETING RESOLVES TO APPROVE THE ANNUAL ACCOUNTS OF THE COMPANY FOR THE FINANCIAL YEAR ENDED ON 31 MARCH 2019
4 THE GENERAL MEETING RESOLVES TO Mgmt For For CARRY FORWARD THE RESULTS OF THE COMPANY FOR THE FINANCIAL YEAR ENDED ON 31 MARCH 2019 BEING A LOSS OF EUR 8.450.891 AS INDICATED IN THE ANNUAL ACCOUNTS
5 THE GENERAL MEETING RESOLVES TO Mgmt For For GIVE FULL DISCHARGE TO ERNST & YOUNG FOR ITS MANDATE AS INDEPENDENT AUDITOR OF THE COMPANY IN RESPECT OF THE PERFORMANCE OF ITS DUTIES DURING THE FINANCIAL YEAR ENDED ON 31 MARCH 2019 Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 213 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
6 PURSUANT THE APPLICABLE LAWS AND Mgmt For For LEGISLATION, THE GENERAL MEETING RESOLVES TO RENEW THE MANDATE OF ERNST & YOUNG AS INDEPENDENT AUDITOR OF THE COMPANY UNTIL THE ANNUAL GENERAL MEETING OF THE SHAREHOLDERS OF THE COMPANY TO BE HELD IN 2020
7 IN ACCORDANCE WITH ARTICLE 74 OF Mgmt For For THE LUXEMBOURG LAW OF 10 AUGUST 1915 ON COMMERCIAL COMPANIES, AS AMENDED, THE GENERAL MEETING RESOLVES TO GIVE FULL DISCHARGE TO THE MEMBERS OF THE BOARD OF DIRECTORS OF THE COMPANY IN RESPECT OF THE PERFORMANCE OF THEIR DUTIES DURING THE FINANCIAL YEAR ENDED ON 31 MARCH 2019
8 THE GENERAL MEETING RESOLVES TO Mgmt Abstain Against APPOINT MR THOMAS VOLLMOELLER AS NEW INDEPENDENT DIRECTOR OF THE COMPANY, BEING HIS MANDATE EFFECTIVE AS OF 1 JANUARY 2020. THEREFORE, MR VOLLMOELLER WILL HOLD OFFICE AS DIRECTOR OF THE COMPANY FOR A TERM OF THREE (3) FINANCIAL YEARS EXPIRING ON 31 MARCH 2022
9 THE GENERAL MEETING RESOLVES THAT Mgmt Against Against THE MAXIMUM AGGREGATE AMOUNT TO BE PAID TO THE MEMBERS OF THE BOARD OF DIRECTORS OF THE COMPANY, IN THEIR CONDITION AS SUCH, SHALL NOT EXCEED EUR 500.000 FOR THE FINANCIAL YEAR ENDING ON 31 MARCH 2020, IN LINE WITH THE DIRECTOR REMUNERATION POLICY TO BE APPROVED AT THIS GENERAL MEETING FOR THE FISCAL YEARS 2020, 2021 AND 2022 Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 214 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 THE GENERAL MEETING RESOLVES TO Mgmt For For APPROVE THE DIRECTOR REMUNERATION POLICY OF THE COMPANY
11 PURSUANT TO APPLICABLE LAWS AND Mgmt For For LEGISLATION, THE GENERAL MEETING RESOLVES TO APPROVE THE ANNUAL REMUNERATION REPORT OF THE COMPANY
12 PURSUANT TO APPLICABLE LAWS AND Mgmt For For LEGISLATION, THE GENERAL MEETING RESOLVES TO APPROVE THE ANNUAL REPORT ON COMPANY'S CORPORATE GOVERNANCE
13 MISCELLANEOUS Non-Voting Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 215 of 721 NT SMALL CAP EDREAMS ODIGEO S.A.
Security: L2841H108 Agenda Number: 711549355 Ticker: Meeting Type: EGM ISIN: LU1048328220 Meeting Date: 30-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT THIS IS AN Non-Voting AMENDMENT TO MEETING ID 286609 DUE TO CHANGE IN VOTING STATUS OF RESOLUTION 4. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU
1 THE GENERAL MEETING OF Mgmt Against Against SHAREHOLDERS APPROVES THE SPECIAL REPORT OF THE BOARD OF DIRECTORS WITH RESPECT TO THE RENEWAL AND AMENDMENTS OF THE EXISTING AUTHORISED CAPITAL, AND RESOLVES TO (I) RENEW AND GRANT THE AUTHORISATIONS OF THE BOARD OF DIRECTORS TO ISSUE SHARES SUBJECT TO THE TERMS OF THE AUTHORISED CAPITAL FOR A PERIOD OF FIVE (5) YEARS FROM THE DATE OF THE PRESENT GENERAL MEETING, (II) GRANT AN ADDITIONAL AUTHORISATION PERIOD OF THE BOARD OF DIRECTORS TO ISSUE AN ADDITIONAL NUMBER OF SHARES TO BE ISSUED TO EXECUTE THE LONG- TERM INCENTIVE PLAN PROGRAM SUBJECT TO THE TERMS OF THE AUTHORISED CAPITAL FOR A PERIOD OF FIVE (5) YEARS FROM THE DATE OF THE PRESENT GENERAL MEETING, (III) TO SPECIFICALLY AUTHORISE THE BOARD OF DIRECTORS TO SUPPRESS THE PREFERENTIAL SUBSCRIPTION RIGHTS OF EXISTING SHAREHOLDERS IN THE FRAMEWORK OF, AND SUBJECT TO THE TERMS OF SUCH AUTHORISED CAPITAL, (IV) TO AUTHORISE THE BOARD OF DIRECTORS TO ISSUE SHARES TO EMPLOYEES AND MEMBERS OF CORPORATE BODIES OF THE GROUP, WITHOUT CONSIDERATION, AND FOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 216 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
WHICH NO PREFERENTIAL SUBSCRIPTION RIGHT OF EXISTING SHAREHOLDERS APPLIES, AS FURTHER SET FORTH IN ARTICLE 5 OF THE ARTICLES OF ASSOCIATION, AND (V) TO AMEND THE TERMS OF THE AUTHORISED CAPITAL AND GRANT THE AUTHORISATIONS TO THE BOARD TO ISSUE BOARD ISSUED SHARES (WITHOUT INCREASING THE TOTAL AMOUNT OF THE AUTHORISED CAPITAL OR AMENDING THE ISSUED SHARE CAPITAL) AS SET FORTH IN THE PROPOSED ARTICLE 5 OF THE ARTICLES OF INCORPORATION AND THE SPECIAL REPORT
2 THE GENERAL MEETING RESOLVES TO (I) Mgmt For For RENEW AND GRANT THE AUTHORISATIONS OF THE BOARD OF DIRECTORS TO ISSUE SHARES SUBJECT TO THE TERMS OF THE AUTHORISED CAPITAL FOR A PERIOD OF FIVE (5) YEARS FROM THE DATE OF THE PRESENT GENERAL MEETING, (II) GRANT AN ADDITIONAL AUTHORISATION PERIOD OF THE BOARD OF DIRECTORS TO ISSUE AN ADDITIONAL NUMBER OF SHARES TO BE ISSUED TO EXECUTE THE LONG- TERM INCENTIVE PLAN PROGRAM SUBJECT TO THE TERMS OF THE AUTHORISED CAPITAL FOR A PERIOD OF FIVE (5) YEARS FROM THE DATE OF THE PRESENT GENERAL MEETING, (III) TO SPECIFICALLY AUTHORISE THE BOARD OF DIRECTORS TO SUPPRESS THE PREFERENTIAL SUBSCRIPTION RIGHTS OF EXISTING SHAREHOLDERS IN THE FRAMEWORK OF, AND SUBJECT TO THE TERMS OF SUCH AUTHORISED CAPITAL, (IV) TO AUTHORISE THE BOARD OF DIRECTORS TO ISSUE SHARES TO EMPLOYEES AND MEMBERS OF CORPORATE BODIES OF THE GROUP, WITHOUT CONSIDERATION, AND FOR WHICH NO PREFERENTIAL SUBSCRIPTION RIGHT OF EXISTING SHAREHOLDERS APPLIES, AS FURTHER SET FORTH IN ARTICLE 5 OF THE ARTICLES OF ASSOCIATION, AND (V) TO AMEND THE TERMS OF THE AUTHORISED CAPITAL AND GRANT THE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 217 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
AUTHORISATIONS TO THE BOARD TO ISSUE BOARD ISSUED SHARES (WITHOUT INCREASING THE TOTAL AMOUNT OF THE AUTHORISED CAPITAL OR AMENDING THE ISSUED SHARE CAPITAL) AS SET FORTH IN THE PROPOSED ARTICLE 5 OF THE ARTICLES OF INCORPORATION AND THE SPECIAL REPORT
3 AMENDMENT OF ARTICLE 5 OF THE Mgmt Against Against ARTICLES OF ASSOCIATION OF THE COMPANY
4 MISCELLANEOUS Non-Voting Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 218 of 721 NT SMALL CAP EI GROUP PLC
Security: G3002S103 Agenda Number: 711501242 Ticker: Meeting Type: CRT ISIN: GB00B1L8B624 Meeting Date: 12-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT ABSTAIN IS NOT A Non-Voting VALID VOTE OPTION FOR THIS MEETING TYPE. PLEASE CHOOSE BETWEEN "FOR" AND "AGAINST" ONLY. SHOULD YOU CHOOSE TO VOTE ABSTAIN FOR THIS MEETING THEN YOUR VOTE WILL BE DISREGARDED BY THE ISSUER OR ISSUERS AGENT
1 APPROVAL OF THE SCHEME Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 219 of 721 NT SMALL CAP EI GROUP PLC
Security: G3002S103 Agenda Number: 711501230 Ticker: Meeting Type: OGM ISIN: GB00B1L8B624 Meeting Date: 12-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 THAT: 1. THE DIRECTORS OF THE Mgmt For For COMPANY BE AUTHORISED TO TAKE ALL SUCH ACTIONS AS THEY MAY CONSIDER NECESSARY OR APPROPRIATE FOR CARRYING THE SCHEME INTO EFFECT; AND 2. WITH EFFECT FROM THE PASSING OF THIS RESOLUTION, THE ARTICLES OF ASSOCIATION OF THE COMPANY BE AMENDED BY THE ADOPTION AND INCLUSION OF THE NEW ARTICLE 146, AS SET OUT IN THE NOTICE OF THE GENERAL MEETING Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 220 of 721 NT SMALL CAP EL PASO ELECTRIC COMPANY
Security: 283677854 Agenda Number: 935069511 Ticker: EE Meeting Type: Special ISIN: US2836778546 Meeting Date: 19-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. To approve the Agreement and Plan of Mgmt For For Merger, dated as of June 1, 2019, by and among El Paso Electric Company (the Company), Sun Jupiter Holdings LLC (Parent) and Sun Merger Sub Inc., a wholly-owned subsidiary of Parent (Merger Sub), and the transactions contemplated thereby, including the merger of Merger Sub with and into the Company.
2. To approve by non-binding advisory Mgmt For For resolution, the compensation of the named executive officers of the Company that will or may become payable in connection with the merger.
3. To approve any motion to adjourn the special Mgmt For For meeting to a later date or dates, if necessary, to solicit additional proxies if there are insufficient votes to approve proposal 1 at the time of the special meeting. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 221 of 721 NT SMALL CAP ELECTROCOMPONENTS PLC
Security: G29848101 Agenda Number: 711311528 Ticker: Meeting Type: AGM ISIN: GB0003096442 Meeting Date: 17-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE COMPANY'S ACCOUNTS Mgmt For For AND THE REPORTS OF THE DIRECTORS AND THE AUDITOR FOR THE YEAR ENDED 31 MARCH 2019
2 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION POLICY AS SET OUT ON PAGES 81 TO 88 OF THE 2019 ANNUAL REPORT
3 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT FOR THE YEAR ENDED 31 MARCH 2019 AS SET OUT ON PAGES 79 TO 80 AND 89 TO 96 OF THE 2019 ANNUAL REPORT
4 TO DECLARE A FINAL DIVIDEND Mgmt For For RECOMMENDED BY THE DIRECTORS OF 9.5P PER ORDINARY SHARE FOR THE YEAR ENDED 31 MARCH 2019
5 TO ELECT BESSIE LEE AS A DIRECTOR Mgmt For For
6 TO ELECT DAVID SLEATH AS A DIRECTOR Mgmt For For
7 TO RE-ELECT BERTRAND BODSON AS A Mgmt For For DIRECTOR
8 TO RE-ELECT LOUISA BURDETT AS A Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 222 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
9 TO RE-ELECT DAVID EGAN AS A Mgmt For For DIRECTOR
10 TO RE-ELECT KAREN GUERRA AS A Mgmt For For DIRECTOR
11 TO RE-ELECT PETER JOHNSON AS A Mgmt For For DIRECTOR
12 TO RE-ELECT JOHN PATTULLO AS A Mgmt For For DIRECTOR
13 TO RE-ELECT SIMON PRYCE AS A Mgmt For For DIRECTOR
14 TO RE-ELECT LINDSLEY RUTH AS A Mgmt For For DIRECTOR
15 TO RE-APPOINT Mgmt For For PRICEWATERHOUSECOOPERS LLP AS AUDITOR OF THE COMPANY FROM THE CONCLUSION OF THE AGM
16 TO AUTHORISE THE DIRECTORS TO Mgmt For For AGREE THE REMUNERATION OF THE AUDITOR
17 TO AUTHORISE THE DIRECTORS POWER Mgmt For For TO ALLOT SHARES
18 TO AUTHORISE THE DIRECTORS POWER Mgmt For For TO DISAPPLY PRE-EMPTION RIGHTS FOR UP TO 5% OF ISSUED SHARE CAPITAL
19 TO AUTHORISE THE DIRECTORS POWER Mgmt For For TO DISAPPLY PRE-EMPTION RIGHTS FOR ADDITIONAL 5% OF ISSUED SHARE CAPITAL Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 223 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
20 TO AUTHORISE THE COMPANY TO MAKE Mgmt For For MARKET PURCHASES OF ITS OWN ORDINARY SHARES
21 THAT A GENERAL MEETING, OTHER THAN Mgmt For For AN ANNUAL GENERAL MEETING, MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS' NOTICE
22 APPROVAL OF UK SHARE INCENTIVE Mgmt For For PLAN
23 APPROVAL OF GLOBAL SHARE Mgmt For For PURCHASE PLAN Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 224 of 721 NT SMALL CAP ELEKTA AB
Security: W2479G107 Agenda Number: 711455964 Ticker: Meeting Type: AGM ISIN: SE0000163628 Meeting Date: 22-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT AN ABSTAIN VOTE CAN HAVE THE SAME Non-Voting EFFECT AS AN AGAINST VOTE IF THE MEETING REQUIRE APPROVAL FROM MAJORITY OF PARTICIPANTS TO PASS A RESOLUTION.
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE
1 OPENING OF THE MEETING Non-Voting
2 ELECTION OF THE CHAIRMAN OF THE Non-Voting MEETING: THE NOMINATION COMMITTEE PROPOSES BERTIL VILLARD, ATTORNEY AT LAW, AS CHAIRMAN OF THE ANNUAL GENERAL MEETING Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 225 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3 PREPARATION AND APPROVAL OF THE Non-Voting LIST OF SHAREHOLDERS ENTITLED TO VOTE AT THE MEETING
4 APPROVAL OF THE AGENDA Non-Voting
5 ELECTION OF ONE OR TWO MINUTES- Non-Voting CHECKERS
6 DETERMINATION OF WHETHER THE Non-Voting MEETING HAS BEEN DULY CONVENED
7 PRESENTATION OF THE ANNUAL REPORT Non-Voting AND THE AUDITORS' REPORT AND THE CONSOLIDATED ACCOUNTS AND THE AUDITORS' REPORT FOR THE GROUP
8 ADDRESS BY THE PRESIDENT AND CEO Non-Voting AND REPORT ON THE WORK OF THE BOARD OF DIRECTORS AND COMMITTEES OF THE BOARD OF DIRECTORS BY THE CHAIRMAN OF THE BOARD OF DIRECTORS
9 RESOLUTION CONCERNING ADOPTION Mgmt For For OF THE BALANCE SHEET AND INCOME STATEMENT AND THE CONSOLIDATED BALANCE SHEET AND CONSOLIDATED INCOME STATEMENT
10 RESOLUTION CONCERNING APPROVAL Mgmt For For OF THE DISPOSITION OF THE COMPANY'S EARNINGS AS SHOWN IN THE BALANCE SHEET ADOPTED BY THE MEETING: SEK 1.80 PER SHARE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 226 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 RESOLUTION CONCERNING THE Mgmt For For DISCHARGE OF THE MEMBERS OF THE BOARD OF DIRECTORS AND THE PRESIDENT AND CEO FROM PERSONAL LIABILITY
12 REPORT ON THE WORK OF THE Non-Voting NOMINATION COMMITTEE
CMMT PLEASE NOTE THAT RESOLUTIONS 13 TO Non-Voting 16 AND 21 ARE PROPOSED BY NOMINATION COMMITTEE AND BOARD DOES NOT MAKE ANY RECOMMENDATION ON THESE PROPOSALS. THE STANDING INSTRUCTIONS ARE DISABLED FOR THIS MEETING. THANK YOU
13 DETERMINATION OF THE NUMBER OF Mgmt For MEMBERS AND ANY DEPUTY MEMBERS OF THE BOARD OF DIRECTORS: EIGHT (NINE) MEMBERS, WITHOUT DEPUTY MEMBERS
14 DETERMINATION OF THE FEES TO BE Mgmt For PAID TO THE MEMBERS OF THE BOARD OF DIRECTORS AND THE AUDITOR
15 ELECTION OF BOARD MEMBERS AND Mgmt Against ANY DEPUTY BOARD MEMBERS: THE NOMINATION COMMITTEE PROPOSES THAT EACH OF LAURENT LEKSELL, CAROLINE LEKSELL COOKE, JOHAN MALMQUIST, TOMAS PUUSEPP, WOLFGANG REIM, JAN SECHER, BIRGITTA STYMNE GORANSSON AND CECILIA WIKSTROM ARE RE-ELECTED AS MEMBERS OF THE BOARD OF DIRECTORS FOR THE PERIOD UNTIL THE END OF THE NEXT ANNUAL GENERAL MEETING. THE NOMINATION COMMITTEE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 227 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
FURTHER PROPOSES THAT LAURENT LEKSELL IS RE-ELECTED CHAIRMAN OF THE BOARD OF DIRECTORS. ANNIKA ESPANDER JANSSON HAS DECLINED RE- ELECTION
16 ELECTION OF AUDITOR: THE Mgmt For NOMINATION COMMITTEE PROPOSES, IN ACCORDANCE WITH THE RECOMMENDATION FROM THE AUDIT COMMITTEE, THAT THE REGISTERED PUBLIC ACCOUNTING FIRM ERNST & YOUNG AB ("EY") IS ELECTED AS AUDITOR FOR THE PERIOD UNTIL THE END OF THE NEXT ANNUAL GENERAL MEETING. EY HAS INFORMED THE NOMINATION COMMITTEE THAT IF EY IS ELECTED, THE AUTHORIZED PUBLIC ACCOUNTANT RICKARD ANDERSSON WILL BE APPOINTED AS AUDITOR IN CHARGE
17 RESOLUTION REGARDING GUIDELINES Mgmt For For FOR REMUNERATION TO EXECUTIVE MANAGEMENT
18.A RESOLUTION REGARDING: Mgmt For For PERFORMANCE SHARE PLAN 2019
18.B RESOLUTION REGARDING: TRANSFER OF Mgmt For For OWN SHARES IN CONJUNCTION WITH THE PERFORMANCE SHARE PLAN 2019
19 RESOLUTION REGARDING Mgmt For For AUTHORIZATION FOR THE BOARD OF DIRECTORS TO DECIDE UPON TRANSFER OF OWN SHARES IN CONJUNCTION WITH THE PERFORMANCE SHARE PLAN 2017 AND 2018 Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 228 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
20.A RESOLUTION REGARDING: Mgmt For For AUTHORIZATION FOR THE BOARD OF DIRECTORS TO DECIDE UPON ACQUISITION OF OWN SHARES
20.B RESOLUTION REGARDING: Mgmt For For AUTHORIZATION FOR THE BOARD OF DIRECTORS TO DECIDE UPON TRANSFER OF OWN SHARES
21 APPOINTMENT OF THE NOMINATION Mgmt For COMMITTEE
22.A PLEASE NOTE THAT THIS IS THE Shr Against SHAREHOLDER PROPOSAL: PROPOSED RESOLUTION BY SHAREHOLDER THORWALD ARVIDSSON: THAT THE SECOND PARAGRAPH OF ARTICLE 5 OF THE ARTICLES OF ASSOCIATION SHALL READ AS FOLLOWS: "EACH SHARE ENTITLES THE HOLDER TO ONE VOTE"
22.B PLEASE NOTE THAT THIS IS THE Shr Against SHAREHOLDER PROPOSAL: PROPOSED RESOLUTION BY SHAREHOLDER THORWALD ARVIDSSON: THAT THE FOLLOWING PARAGRAPHS IN ARTICLE 5 SHALL BE DELETED
22.C PLEASE NOTE THAT THIS IS THE Shr Against SHAREHOLDER PROPOSAL: PROPOSED RESOLUTION BY SHAREHOLDER THORWALD ARVIDSSON: THAT ALL SHARES OF BOTH SERIES A AND SERIES B SHALL BE CONVERTED INTO SHARES WITHOUT SERIAL DESIGNATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 229 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
22.D PLEASE NOTE THAT THIS IS THE Shr Against SHAREHOLDER PROPOSAL: PROPOSED RESOLUTION BY SHAREHOLDER THORWALD ARVIDSSON: TO INSTRUCT THE BOARD OF DIRECTORS TO WORK FOR THE SWEDISH COMPANIES ACT TO BE AMENDED SO THAT THE POSSIBILITY OF DIFFERENTIATION OF VOTING RIGHTS IS ABOLISHED, PRIMARILY BY REFERRING TO THE GOVERNMENT
22.E PLEASE NOTE THAT THIS IS THE Shr Against SHAREHOLDER PROPOSAL: PROPOSED RESOLUTION BY SHAREHOLDER THORWALD ARVIDSSON: TO FURTHER INSTRUCT THE BOARD OF DIRECTORS TO PREPARE A PROPOSAL FOR REPRESENTATION OF THE SMALL AND MEDIUM-SIZED SHAREHOLDERS IN BOTH THE BOARD OF DIRECTORS AND THE NOMINATION COMMITTEE. THE ASSIGNMENT SHALL ALSO INCLUDE PROMOTING A CHANGE OF THE NATIONAL LEGAL FRAMEWORK, PRIMARILY BY REFERRING TO THE GOVERNMENT
23 CLOSING OF THE MEETING Non-Voting
CMMT PLEASE NOTE THAT THIS IS AN Non-Voting AMENDMENT TO MEETING ID 270124 DUE TO RECEIPT OF UPDATED AGENDA. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 230 of 721 NT SMALL CAP ENERSYS
Security: 29275Y102 Agenda Number: 935053986 Ticker: ENS Meeting Type: Annual ISIN: US29275Y1029 Meeting Date: 01-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1A Election of Class III Director: Howard I. Hoffen Mgmt For For
1B Election of Class III Director: David M. Shaffer Mgmt For For
1C Election of Class III Director: Ronald P. Vargo Mgmt For For
2. To ratify the appointment of Ernst & Young Mgmt For For LLP as the Company's independent registered public accounting firm for fiscal year ending March 31, 2020.
3. An advisory vote to approve the Mgmt For For compensation of EnerSys' named executive officers. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 231 of 721 NT SMALL CAP ENNIS, INC.
Security: 293389102 Agenda Number: 935048935 Ticker: EBF Meeting Type: Annual ISIN: US2933891028 Meeting Date: 18-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1A Election of Director for Term ending in 2022: Mgmt For For John R. Blind
1B Election of Director for Term ending in 2022: Mgmt For For Barbara T. Clemens
1C Election of Director for Term ending in 2022: Mgmt For For Michael J. Schaefer
2. Ratification of Grant Thornton LLP as our Mgmt For For independent registered public accounting firm for fiscal year 2020.
3. To approve, by non-binding advisory vote, Mgmt For For executive compensation.
4. In their discretion, the Proxies are authorized Mgmt Against Against to vote upon such other business as may properly come before the meeting. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 232 of 721 NT SMALL CAP EPLUS INC.
Security: 294268107 Agenda Number: 935068759 Ticker: PLUS Meeting Type: Annual ISIN: US2942681071 Meeting Date: 18-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 BRUCE M. BOWEN Mgmt For For
2 JOHN E. CALLIES Mgmt For For
3 C. THOMAS FAULDERS, III Mgmt For For
4 ERIC D. HOVDE Mgmt For For
5 IRA A. HUNT, III Mgmt For For
6 MARK P. MARRON Mgmt For For
7 MAUREEN F. MORRISON Mgmt For For
8 BEN XIANG Mgmt For For
2. ADVISORY VOTE ON NAMED EXECUTIVE Mgmt For For OFFICER COMPENSATION, AS DISCLOSED IN THE PROXY. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 233 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3. PROPOSAL TO RATIFY THE SELECTION Mgmt For For OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 234 of 721 NT SMALL CAP EQT CORPORATION
Security: 26884L109 Agenda Number: 935035041 Ticker: EQT Meeting Type: Contested Annual ISIN: US26884L1098 Meeting Date: 10-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1A RICE TEAM NOMINEE: Lydia I. Beebe You Mgmt For * may only vote "FOR" 12 Nominees in proposals 1A to 1R. Rice Team recommends a 'FOR' vote for this Nominee
1B RICE TEAM NOMINEE: Lee M. Canaan You Mgmt For * may only vote "FOR" 12 Nominees in proposals 1A to 1R. Rice Team recommends a 'FOR' vote for this Nominee
1C RICE TEAM NOMINEE: Dr. Kathryn J. Mgmt For * Jackson You may only vote "FOR" 12 Nominees in proposals 1A to 1R. Rice Team recommends a 'FOR' vote for this Nominee
1D RICE TEAM NOMINEE: John F. McCartney Mgmt For * You may only vote "FOR" 12 Nominees in proposals 1A to 1R. Rice Team recommends a 'FOR' vote for this Nominee
1E RICE TEAM NOMINEE: Daniel J. Rice IV You Mgmt For * may only vote "FOR" 12 Nominees in proposals 1A to 1R. Rice Team recommends a 'FOR' vote for this Nominee
1F RICE TEAM NOMINEE: Toby Z. Rice You Mgmt For * may only vote "FOR" 12 Nominees in proposals 1A to 1R. Rice Team recommends a 'FOR' vote for this Nominee
1G RICE TEAM NOMINEE: Hallie A. Vanderhider Mgmt For * You may only vote "FOR" 12 Nominees in proposals 1A to 1R. Rice Team recommends a 'FOR' vote for this Nominee Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 235 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1H EQT NOMINEE: Dr. Philip Behrman You may Mgmt For * only vote "FOR" 12 Nominees in proposals 1A to 1R. Rice Team recommends a 'FOR' vote for this Nominee
1I EQT NOMINEE: Janet L. Carrig You may only Mgmt For * vote "FOR" 12 Nominees in proposals 1A to 1R. Rice Team recommends a 'FOR' vote for this Nominee
1J EQT NOMINEE: James T. McManus II You Mgmt For * may only vote "FOR" 12 Nominees in proposals 1A to 1R. Rice Team recommends a 'FOR' vote for this Nominee
1K EQT NOMINEE: Anita M. Powers You may Mgmt For * only vote "FOR" 12 Nominees in proposals 1A to 1R. Rice Team recommends a 'FOR' vote for this Nominee
1L EQT NOMINEE: Stephen A. Thorington You Mgmt For * may only vote "FOR" 12 Nominees in proposals 1A to 1R. Rice Team recommends a 'FOR' vote for this Nominee
1M EQT NOMINEE OPPOSED BY THE RICE Mgmt Abstain TEAM: Christina A. Cassotis You may only vote "FOR" 12 Nominees in proposals 1A to 1R. Rice Team recommends a NO vote for this Nominee
1N EQT NOMINEE OPPOSED BY THE RICE Mgmt Abstain TEAM: William M. Lambert You may only vote "FOR" 12 Nominees in proposals 1A to 1R. Rice Team recommends a NO vote for this Nominee
1O EQT NOMINEE OPPOSED BY THE RICE Mgmt Abstain TEAM: Gerald F. MacCleary You may only vote "FOR" 12 Nominees in proposals 1A to 1R. Rice Team recommends a NO vote for this Nominee Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 236 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1P EQT NOMINEE OPPOSED BY THE RICE Mgmt Abstain TEAM: Valerie A. Mitchell You may only vote "FOR" 12 Nominees in proposals 1A to 1R. Rice Team recommends a NO vote for this Nominee
1Q EQT NOMINEE OPPOSED BY THE RICE Mgmt Abstain TEAM: Robert J. McNally You may only vote "FOR" 12 Nominees in proposals 1A to 1R. Rice Team recommends a NO vote for this Nominee
1R EQT NOMINEE OPPOSED BY THE RICE Mgmt Abstain TEAM: Christine J. Toretti You may only vote "FOR" 12 Nominees in proposals 1A to 1R. Rice Team recommends a NO vote for this Nominee
2. Approval of the Company's Non-Binding Mgmt For * Resolution Regarding the Compensation of the Company's Named Executive Officers for 2018 (Say-on-Pay).
3. Approval of the EQT Corporation 2019 Long- Mgmt For * Term Incentive Plan.
4. Ratification of the appointment of Ernst & Mgmt For * Young LLP as the Company's Independent registered public accounting firm for 2019.
An * in the For/Against management field indicates management position unknown since information regarding non-U.S. issuers is not readily available. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 237 of 721 NT SMALL CAP EUSKALTEL, S.A.
Security: E4R02W105 Agenda Number: 711304763 Ticker: Meeting Type: EGM ISIN: ES0105075008 Meeting Date: 10-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE IN THE EVENT THE Non-Voting MEETING DOES NOT REACH QUORUM, THERE WILL BE A SECOND CALL ON 11 JUL 2019. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU
1 NUMBER OF MEMBERS OF THE BOARD Mgmt Against Against OF DIRECTORS: 13
2 APPOINTMENT OF MR ROBERT W. Mgmt Against Against SAMUELSON AS DIRECTOR
3 RATIFICATION OF APPOINTMENT OF MR Mgmt For For JOSE MIGUEL GARCIA FERNANDEZ AS DIRECTOR
4 RATIFICATION OF APPOINTMENT OF MR Mgmt Against Against EAMONN OHARE AS DIRECTOR
5 DELEGATION OF POWERS TO THE Mgmt For For BOARD OF DIRECTORS TO IMPLEMENT AGREEMENTS ADOPTED BY SHAREHOLDERS AT THE GENERAL MEETING
CMMT 12 JUNE 2019: PLEASE NOTE THAT THIS Non-Voting IS A REVISION DUE TO MODIFICATION OF TEXT OF RESOLUTION 1. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 238 of 721 NT SMALL CAP EVRY ASA
Security: R2R97G122 Agenda Number: 711487620 Ticker: Meeting Type: EGM ISIN: NO0010019649 Meeting Date: 02-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT SHARES HELD IN AN OMNIBUS/NOMINEE Non-Voting ACCOUNT NEED TO BE RE-REGISTERED IN THE BENEFICIAL OWNERS NAME TO BE ALLOWED TO VOTE AT MEETINGS. SHARES WILL BE TEMPORARILY TRANSFERRED TO A SEPARATE ACCOUNT IN THE BENEFICIAL OWNER'S NAME ON THE PROXY DEADLINE AND TRANSFERRED BACK TO THE OMNIBUS/NOMINEE ACCOUNT THE DAY AFTER THE MEETING.
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED
1 ELECTION OF CHAIR OF THE MEETING Mgmt No vote AND ONE PERSON TO CO-SIGN THE MINUTES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 239 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
2 APPROVAL OF THE NOTICE AND AGENDA Mgmt No vote
3 APPROVAL OF MERGER WITH TIETO OYJ Mgmt No vote Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 240 of 721 NT SMALL CAP FACC AG
Security: A20248109 Agenda Number: 711301161 Ticker: Meeting Type: AGM ISIN: AT00000FACC2 Meeting Date: 09-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT THE MEETING HAS Non-Voting BEEN SET UP USING THE RECORD DATE 28 JUN 2019, SINCE AT THIS TIME WE ARE UNABLE TO SYSTEMATICALLY UPDATE THE ACTUAL RECORD DATE. THE TRUE RECORD DATE FOR THIS MEETING IS 29 JUN 2019. THANK YOU
1 PRESENTATION OF ANNUAL REPORTS Non-Voting
2 ALLOCATION OF NET PROFITS: EUR 0.15 Mgmt For For PER SHARE
3 DISCHARGE OF MANAGEMENT BOARD Mgmt For For
4 DISCHARGE OF SUPERVISORY BOARD Mgmt For For
5 REMUNERATION FOR SUPERVISORY Mgmt For For BOARD
6 AMENDMENT OF ARTICLES PAR. 26 Mgmt For For
7 NEW AUTHORIZED CAPITAL Mgmt Against Against
8 NEW AUTHORIZED CONDITIONAL Mgmt Against Against CAPITAL Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 241 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
9 ELECTION OF EXTERNAL AUDITOR: Mgmt For For ERNST YOUNG
CMMT 24 JUN 2019: PLEASE NOTE THAT THE Non-Voting MEETING TYPE WAS CHANGED FROM OGM TO AGM AND RECEIPT OF DIVIDEND AMOUNT AND AUDITOR NAME FOR RESOLUTIONS 2 AND 9. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 242 of 721 NT SMALL CAP FIGEAC AERO SA
Security: F3R50B103 Agenda Number: 711497556 Ticker: Meeting Type: MIX ISIN: FR0011665280 Meeting Date: 20-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE IN THE FRENCH MARKET Non-Voting THAT THE ONLY VALID VOTE OPTIONS ARE "FOR" AND "AGAINST" A VOTE OF "ABSTAIN" WILL BE TREATED AS AN "AGAINST" VOTE.
CMMT THE FOLLOWING APPLIES TO Non-Voting SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE
CMMT IN CASE AMENDMENTS OR NEW Non-Voting RESOLUTIONS ARE PRESENTED DURING THE MEETING, YOUR VOTE WILL DEFAULT TO 'ABSTAIN'. SHARES CAN ALTERNATIVELY BE PASSED TO THE CHAIRMAN OR A NAMED THIRD PARTY TO VOTE ON ANY SUCH ITEM RAISED. SHOULD YOU WISH TO PASS CONTROL OF YOUR SHARES IN THIS WAY, PLEASE CONTACT YOUR BROADRIDGE CLIENT SERVICE REPRESENTATIVE. THANK YOU Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 243 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT IMPORTANT Non-Voting ADDITIONAL MEETING INFORMATION IS AVAILABLE BY CLICKING ON THE MATERIAL URL LINK: https://www.journal- officiel.gouv.fr/publications/balo/pdf/2019/081 4/201908141904149.pdf
O.1 APPROVAL OF THE CORPORATE Mgmt For For FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019
O.2 APPROVAL OF THE CONSOLIDATED Mgmt For For FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019
O.3 ALLOCATION OF INCOME FOR THE Mgmt For For FINANCIAL YEAR ENDED 31 MARCH 2019
O.4 STATUTORY AUDITORS' SPECIAL REPORT Mgmt For For ON THE REGULATED AGREEMENTS AND APPROVAL OF THE SAID AGREEMENTS
O.5 APPROVAL OF THE REMUNERATION Mgmt For For POLICY APPLICABLE TO THE CHAIRMAN AND CHIEF EXECUTIVE OFFICER
O.6 APPROVAL OF THE COMPENSATION Mgmt For For ELEMENTS PAID OR AWARDED FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019 TO MR. JEAN-CLAUDE MAILLARD, CHAIRMAN AND CHIEF EXECUTIVE OFFICER
O.7 SETTING OF THE ATTENDANCE FEES Mgmt For For ALLOCATED TO THE BOARD OF DIRECTORS
O.8 RENEWAL OF THE TERM OF OFFICE OF Mgmt For For KPMG SA AS PRINCIPAL STATUTORY AUDITOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 244 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
O.9 AUTHORIZATION TO BE GRANTED TO THE Mgmt Against Against BOARD OF DIRECTORS TO TRADE IN THE SHARES OF THE COMPANY
E.10 DELEGATION OF AUTHORITY TO BE Mgmt Against Against GRANTED TO THE BOARD OF DIRECTORS TO ISSUE, WITH RETENTION OF THE PRE- EMPTIVE SUBSCRIPTION RIGHT, SHARES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO NEW SHARES OF THE COMPANY
E.11 DELEGATION OF AUTHORITY TO BE Mgmt Against Against GRANTED TO THE BOARD OF DIRECTORS TO ISSUE, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, SHARES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO NEW SHARES OF THE COMPANY IN ACCORDANCE WITH ARTICLE L. 225-136 OF THE FRENCH COMMERCIAL CODE, PARTICULARLY IN THE CONTEXT OF A PUBLIC OFFERING
E.12 AUTHORIZATION TO BE GRANTED TO THE Mgmt Against Against BOARD OF DIRECTORS TO HAVE RECOURSE TO AN OFFER REFERRED TO IN SECTION II OF ARTICLE L. 411-2 OF THE FRENCH MONETARY AND FINANCIAL CODE TO IMPLEMENT THE 11TH RESOLUTION, IN ACCORDANCE WITH ARTICLE L. 225-136 OF THE FRENCH COMMERCIAL CODE
E.13 AUTHORIZATION TO BE GRANTED TO THE Mgmt Against Against BOARD OF DIRECTORS TO DEROGATE FROM THE CONDITIONS SET BY THE 11TH RESOLUTION TO DETERMINE THE ISSUE PRICE OF THE SHARES WITHIN THE LIMIT OF AN IMMEDIATE CAPITAL INCREASE REPRESENTING LESS THAN 10% OF THE SHARE CAPITAL PER YEAR, IN ACCORDANCE WITH ARTICLE L. 225- 136 OF THE FRENCH COMMERCIAL CODE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 245 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
E.14 AUTHORIZATION TO BE GRANTED TO THE Mgmt Against Against BOARD OF DIRECTORS TO INCREASE, IN ACCORDANCE WITH ARTICLE L. 225-135-1 OF THE FRENCH COMMERCIAL CODE, THE NUMBER OF SECURITIES TO BE ISSUED ON THE OCCASION OF ISSUES CARRIED OUT WITH RETENTION OR CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT
E.15 DELEGATION OF AUTHORITY TO BE Mgmt For For GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO PROCEED WITH THE ISSUE RESERVED FOR EMPLOYEES WHO ARE MEMBERS OF A COMPANY SAVINGS PLAN, WITH CANCELLATION OF THE PRE- EMPTIVE SUBSCRIPTION RIGHT FOR THE BENEFIT OF THE LATTER, OF SHARES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO NEW SHARES OF THE COMPANY IN ACCORDANCE WITH ARTICLE L 225-138-1 OF THE FRENCH COMMERCIAL CODE
E.16 OVERALL LIMITATION OF CASH ISSUE Mgmt For For AUTHORIZATIONS
E.17 DELEGATION OF POWERS TO BE Mgmt Against Against GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO INCREASE THE SHARE CAPITAL BY ISSUING SHARES IN THE EVENT OF A PUBLIC EXCHANGE OFFER (OPE) INITIATED BY THE COMPANY
E.18 DELEGATION OF POWERS TO BE Mgmt Against Against GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO INCREASE THE SHARE CAPITAL BY ISSUING SHARES IN CONSIDERATION OF CONTRIBUTIONS IN KIND WITHIN THE LIMIT OF 10% OF THE SHARE CAPITAL, EXCEPT IN THE EVENT OF A PUBLIC EXCHANGE OFFER Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 246 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
E.19 DELEGATION OF POWERS TO BE Mgmt Against Against GRANTED TO THE BOARD OF DIRECTORS TO ISSUE TRANSFERABLE SECURITIES GRANTING ACCESS TO NEW SHARES OF THE COMPANY, WITHOUT THE PRE- EMPTIVE SUBSCRIPTION RIGHT, IN THE CONTEXT OF AN EXCHANGE OF FINANCIAL SECURITIES
E.20 AUTHORIZATION TO BE GRANTED TO THE Mgmt For For BOARD OF DIRECTORS TO PROCEED WITH THE FREE ALLOTMENT OF SHARES FOR THE BENEFIT OF ELIGIBLE EMPLOYEES OR CORPORATE OFFICERS OF THE COMPANY AND RELATED COMPANIES
E.21 AUTHORIZATION TO BE GRANTED TO THE Mgmt Against Against BOARD OF DIRECTORS IN ORDER TO GRANT SHARE SUBSCRIPTION OR SHARE PURCHASE OPTIONS TO ELIGIBLE EMPLOYEES OR CORPORATE OFFICERS OF THE COMPANY OR RELATED COMPANIES
E.22 DELEGATION OF POWERS TO BE Mgmt Against Against GRANTED TO THE BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY INCORPORATION OF RESERVES, PREMIUMS, PROFITS OR OTHERS IN ACCORDANCE WITH ARTICLE L. 225-130 OF THE FRENCH COMMERCIAL CODE
E.23 AUTHORIZATION TO BE GRANTED TO THE Mgmt For For BOARD OF DIRECTORS TO REDUCE THE SHARE CAPITAL BY CANCELLING SHARES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 247 of 721 NT SMALL CAP FIRSTGROUP PLC
Security: G34604101 Agenda Number: 711341862 Ticker: Meeting Type: AGM ISIN: GB0003452173 Meeting Date: 25-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE ANNUAL REPORT AND Mgmt For For FINANCIAL STATEMENTS FOR THE YEAR ENDED 31 MARCH 2019
2 TO APPROVE THE DIRECTORS Mgmt For For REMUNERATION POLICY
3 TO ELECT STEVE GUNNING AS A Mgmt For For DIRECTOR
4 TO ELECT JULIA STEYN AS A DIRECTOR Mgmt For For
5 TO ELECT RYAN MANGOLD AS A Mgmt For For DIRECTOR
6 TO RE-ELECT WARWICK BRADY AS A Mgmt For For DIRECTOR
7 TO RE-ELECT MATTHEW GREGORY AS A Mgmt For For DIRECTOR
8 TO RE-ELECT JIMMY GROOMBRIDGE AS A Mgmt For For DIRECTOR
9 TO RE-ELECT MARTHA POULTER AS A Mgmt For For DIRECTOR
10 TO RE-ELECT DAVID ROBBIE AS A Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 248 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 TO RE-ELECT IMELDA WALSH AS A Mgmt For For DIRECTOR
12 TO RE-ELECT JIM WINESTOCK AS A Mgmt For For DIRECTOR
13 TO RE-APPOINT DELOITTE LLP AS Mgmt For For AUDITORS
14 TO AUTHORISE THE DIRECTORS TO Mgmt For For DETERMINE THE REMUNERATION OF THE AUDITORS
15 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT SHARES
16 TO AUTHORISE THE DIRECTORS TO Mgmt For For DISAPPLY PRE-EMPTION RIGHTS
17 TO DISAPPLY PRE-EMPTION RIGHTS FOR Mgmt For For ACQUISITIONS OR OTHER CAPITAL INVESTMENTS
18 TO AUTHORISE THE DIRECTORS TO Mgmt For For MAKE MARKET PURCHASES OF THE COMPANYS SHARES
19 TO AUTHORISE THE COMPANY TO MAKE Mgmt For For POLITICAL DONATIONS AND INCUR POLITICAL EXPENDITURE
20 TO AUTHORISE THE CALLING OF Mgmt For For GENERAL MEETINGS ON 14 CLEAR DAYS NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 249 of 721 NT SMALL CAP FLEX LNG LTD
Security: G35947202 Agenda Number: 711513045 Ticker: Meeting Type: AGM ISIN: BMG359472021 Meeting Date: 13-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO SET THE MAXIMUM NUMBER OF Mgmt For For DIRECTORS TO BE NOT MORE THAN EIGHT
2 TO RESOLVE THAT VACANCIES IN THE Mgmt Against Against NUMBER OF DIRECTORS BE DESIGNATED AS CASUAL VACANCIES AND THAT THE BOARD OF DIRECTORS BE AUTHORISED TO FILL SUCH VACANCIES AS AND WHEN IT DEEMS FIT
3 TO RE-ELECT DAVID MCMANUS AS A Mgmt For For DIRECTOR OF THE COMPANY
4 TO RE-ELECT OLA LORENTZON AS A Mgmt For For DIRECTOR OF THE COMPANY
5 TO RE-ELECT MARIUS HERMANSEN AS A Mgmt For For DIRECTOR OF THE COMPANY
6 TO RE-ELECT NIKOLAI GRIGORIEV AS A Mgmt For For DIRECTOR OF THE COMPANY
7 TO ELECT JOAO SARAIVA E SILVA AS A Mgmt For For DIRECTOR OF THE COMPANY
8 TO RE-APPOINT ERNST AND YOUNG AS Mgmt For For OF OSLO, NORWAY, AS AUDITOR AND TO AUTHORIZE THE DIRECTORS TO DETERMINE THEIR REMUNERATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 250 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
9 TO APPROVE AMENDED AND RESTATED Mgmt Against Against BYE LAWS BEING ADOPTED AS THE NEW BYE LAWS OF THE COMPANY IN SUBSTITUTION AND REPLACEMENT FOR THE EXISTING BYE LAWS
10 TO APPROVE THE REMUNERATION OF Mgmt For For THE COMPANY'S BOARD OF DIRECTORS, POST THE 2019 ANNUAL GENERAL MEETING
11 TO AUTHORIZE THE BOARD TO ISSUE Mgmt For For SHARES AS REMUNERATION TO THE DIRECTORS, POST THE 2019 ANNUAL GENERAL MEETING UPON THE TERMS AND CONDITIONS DESCRIBED IN PROPOSAL 9
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 251 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT SHARES HELD IN AN OMNIBUS/NOMINEE Non-Voting ACCOUNT NEED TO BE RE-REGISTERED IN THE BENEFICIAL OWNERS NAME TO BE ALLOWED TO VOTE AT MEETINGS. SHARES WILL BE TEMPORARILY TRANSFERRED TO A SEPARATE ACCOUNT IN THE BENEFICIAL OWNER'S NAME ON THE PROXY DEADLINE AND TRANSFERRED BACK TO THE OMNIBUS/NOMINEE ACCOUNT THE DAY AFTER THE MEETING. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 252 of 721 NT SMALL CAP FRESHPET, INC.
Security: 358039105 Agenda Number: 935070069 Ticker: FRPT Meeting Type: Annual ISIN: US3580391056 Meeting Date: 26-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 J. David Basto Mgmt For For
2 Lawrence S. Coben Mgmt For For
3 Walter N. George III Mgmt For For
4 Craig D. Steeneck Mgmt For For
2. To ratify the appointment of KPMG LLP as the Mgmt For For independent registered public accounting firm for 2019.
3. Advisory vote to approve named executive Mgmt For For officer compensation.
4. Advisory vote on the frequency of future Mgmt 1 Year For advisory votes on named executive officer compensation. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 253 of 721 NT SMALL CAP FRONTLINE LTD
Security: G3682E192 Agenda Number: 711498015 Ticker: Meeting Type: AGM ISIN: BMG3682E1921 Meeting Date: 13-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO SET THE MAXIMUM NUMBER OF Mgmt For For DIRECTORS TO BE NOT MORE THAN EIGHT
2 TO RESOLVE THAT VACANCIES IN THE Mgmt For For NUMBER OF DIRECTORS BE DESIGNATED AS CASUAL VACANCIES AND THAT THE BOARD OF DIRECTORS BE AUTHORISED TO FILL SUCH VACANCIES AS AND WHEN IT DEEMS FIT
3 TO RE-ELECT JOHN FREDRIKSEN AS A Mgmt Against Against DIRECTOR OF THE COMPANY
4 TO RE-ELECT JAMES O'SHAUGHNESSY Mgmt For For AS A DIRECTOR OF THE COMPANY
5 TO RE-ELECT ULRIKA LAURIN AS A Mgmt For For DIRECTOR OF THE COMPANY
6 TO RE-ELECT OLA LORENTZON AS A Mgmt For For DIRECTOR OF THE COMPANY
7 TO RE-APPOINT Mgmt For For PRICEWATERHOUSECOOPERS AS OF OSLO, NORWAY AS AUDITORS AND TO AUTHORISE THE DIRECTORS TO DETERMINE THEIR REMUNERATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 254 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8 TO APPROVE THE REMUNERATION OF Mgmt For For THE COMPANY'S BOARD OF DIRECTORS OF A TOTAL AMOUNT OF FEES NOT TO EXCEED USD 600,000 FOR THE YEAR ENDED DECEMBER 31, 2019
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE
CMMT SHARES HELD IN AN OMNIBUS/NOMINEE Non-Voting ACCOUNT NEED TO BE RE-REGISTERED IN THE BENEFICIAL OWNERS NAME TO BE ALLOWED TO VOTE AT MEETINGS. SHARES WILL BE TEMPORARILY TRANSFERRED TO A SEPARATE ACCOUNT IN THE BENEFICIAL OWNER'S NAME ON THE PROXY DEADLINE AND TRANSFERRED BACK TO THE OMNIBUS/NOMINEE ACCOUNT THE DAY AFTER THE MEETING. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 255 of 721 NT SMALL CAP FUTUREFUEL CORP
Security: 36116M106 Agenda Number: 935067202 Ticker: FF Meeting Type: Annual ISIN: US36116M1062 Meeting Date: 10-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Donald C. Bedell Mgmt For For
2 Edwin A. Levy Mgmt Withheld Against
3 Terrance C.Z. Egger Mgmt For For
2. To ratify the appointment of RSM US LLP as Mgmt For For our independent auditor for the year ending December 31, 2019.
3. To transact such other business as may Mgmt Against Against properly come before the meeting. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 256 of 721 NT SMALL CAP GAMES WORKSHOP GROUP PLC
Security: G3715N102 Agenda Number: 711466474 Ticker: Meeting Type: AGM ISIN: GB0003718474 Meeting Date: 18-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE REPORT OF THE Mgmt For For DIRECTORS AND THE ANNUAL ACCOUNTS FOR THE YEAR ENDED 2 JUNE 2019
2 TO RE-ELECT K D ROUNTREE AS A Mgmt For For DIRECTOR
3 TO RE-ELECT R F TONGUE AS A Mgmt For For DIRECTOR
4 TO RE-ELECT N J DONALDSON AS A Mgmt For For DIRECTOR
5 TO RE-ELECT E ODONNELL AS A Mgmt For For DIRECTOR
6 TO RE-ELECT J R A BREWIS AS A Mgmt For For DIRECTOR
7 TO ELECT K MARSH AS A DIRECTOR Mgmt For For
8 TO RE-APPOINT Mgmt For For PRICEWATERHOUSECOOPERS LLP AS AUDITORS
9 TO AUTHORISE THE DIRECTORS TO FIX Mgmt For For THE AUDITORS REMUNERATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 257 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO APPROVE THE REMUNERATION Mgmt For For REPORT EXCLUDING THE DIRECTORS REMUNERATION POLICY FOR THE YEAR ENDED 2 JUNE 2019
11 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT RELEVANT SECURITIES
12 TO DISAPPLY PRE-EMPTION RIGHTS Mgmt For For
13 TO AUTHORISE THE DIRECTORS TO Mgmt For For MAKE MARKET PURCHASES OF THE COMPANY'S OWN SHARES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 258 of 721 NT SMALL CAP GB GROUP PLC
Security: G3770M106 Agenda Number: 711363109 Ticker: Meeting Type: AGM ISIN: GB0006870611 Meeting Date: 25-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE COMPANY'S ANNUAL Mgmt For For ACCOUNTS FOR THE YEAR ENDED 31 MARCH 2019 TOGETHER WITH THE DIRECTORS' REPORT AND AUDITOR'S REPORT ON THOSE ACCOUNTS
2 TO DECLARE A FINAL DIVIDEND IN THE Mgmt For For SUM OF 2.99 PENCE PER ORDINARY SHARE FOR THE YEAR ENDED 31 MARCH 2019
3 TO REAPPOINT NICHOLAS RICHARD Mgmt For For BROWN AS A DIRECTOR OF THE COMPANY
4 TO REAPPOINT CHARMAINE BRIDGET Mgmt For For CARMICHAEL AS A DIRECTOR OF THE COMPANY
5 TO RECEIVE AND APPROVE THE REPORT Mgmt For For ON DIRECTORS' REMUNERATION AS SET OUT IN THE COMPANY'S ANNUAL REPORT AND ACCOUNTS FOR THE YEAR ENDED 31 MARCH 2019
6 TO REAPPOINT ERNST & YOUNG LLP AS Mgmt For For THE COMPANY'S AUDITOR TO HOLD OFFICE FROM THE CONCLUSION OF THIS MEETING UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING AT WHICH ACCOUNTS ARE LAID BEFORE THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 259 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
7 TO AUTHORISE THE DIRECTORS TO Mgmt For For DETERMINE THE AUDITOR'S REMUNERATION
8 RENEWAL OF AUTHORITY TO ALLOT Mgmt For For SHARES
9 THAT SUBJECT TO THE PASSING OF Mgmt For For RESOLUTION 8 ABOVE, THE BOARD BE AUTHORISED TO ALLOT EQUITY SECURITIES (AS DEFINED IN SECTION 560 OF THE ACT) FOR CASH UNDER THE AUTHORITY GIVEN BY THAT RESOLUTION 8 AND/OR TO SELL ORDINARY SHARES HELD BY THE COMPANY AS TREASURY SHARES FOR CASH AS IF SECTION 561 OF THE ACT DID NOT APPLY TO ANY SUCH ALLOTMENT OR SALE, PROVIDED THAT SUCH AUTHORITY SHALL BE LIMITED TO (A) THE ALLOTMENT OF EQUITY SECURITIES IN CONNECTION WITH AN OFFER OF EQUITY SECURITIES (BUT, IN THE CASE OF THE AUTHORITY GRANTED UNDER RESOLUTION 8 (A) (II), BY WAY OF A RIGHTS ISSUE ONLY): (I) TO THE HOLDERS OF ORDINARY SHARES IN PROPORTION (AS NEARLY AS MAY BE PRACTICABLE) TO THEIR RESPECTIVE HOLDINGS; AND (II) TO HOLDERS OF OTHER EQUITY SECURITIES AS REQUIRED BY THE RIGHTS OF THOSE SECURITIES OR AS THE DIRECTORS OTHERWISE CONSIDER NECESSARY, BUT SUBJECT TO SUCH EXCLUSIONS OR OTHER ARRANGEMENTS AS THE DIRECTORS MAY DEEM NECESSARY OR EXPEDIENT IN RELATION TO TREASURY SHARES, FRACTIONAL ENTITLEMENTS, RECORD DATES, LEGAL OR PRACTICAL PROBLEMS IN OR UNDER THE LAWS OF ANY TERRITORY OR THE REQUIREMENTS OF ANY REGULATORY BODY OR STOCK EXCHANGE; AND (B) THE ALLOTMENT OF EQUITY SECURITIES OR SALE OF TREASURY SHARES (OTHERWISE THAN PURSUANT TO PARAGRAPH (A) OF THIS RESOLUTION 9) TO ANY PERSON UP TO AN AGGREGATE NOMINAL AMOUNT OF GBP 241,098. THE AUTHORITY GRANTED BY THIS RESOLUTION 9 SHALL EXPIRE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 260 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
ON THE EARLIER OF THE DATE 15 MONTHS FROM THE PASSING OF THIS RESOLUTION OR THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AFTER THE PASSING OF THIS RESOLUTION (WHICHEVER IS THE EARLIER) SAVE THAT SUCH AUTHORITY SHALL EXTEND TO THE MAKING BEFORE SUCH EXPIRY OF AN OFFER OR ARRANGEMENT THAT WOULD, OR MIGHT, REQUIRE EQUITY SECURITIES TO BE ALLOTTED AFTER SUCH EXPIRY AND THE DIRECTORS MAY ALLOT EQUITY SECURITIES IN PURSUANCE OF THAT OFFER OR ARRANGEMENT AS IF THE AUTHORITY CONFERRED HEREBY HAD NOT EXPIRED. THE AUTHORITY GRANTED BY THIS RESOLUTION 9 SHALL REVOKE AND REPLACE ALL UNEXERCISED POWERS PREVIOUSLY GRANTED TO THE DIRECTORS TO ALLOT EQUITY SECURITIES OR SELL TREASURY SHARES AS IF SECTION 561 OF THE ACT DID NOT APPLY BUT WITHOUT PREJUDICE TO ANY ALLOTMENT OF EQUITY SECURITIES OR SALE OF TREASURY SHARES ALREADY MADE OR AGREED TO BE MADE PURSUANT TO SUCH AUTHORITIES
10 THAT SUBJECT TO THE PASSING OF Mgmt For For RESOLUTIONS 8 AND 9 ABOVE, THE DIRECTORS BE AUTHORISED IN ADDITION TO ANY AUTHORITY GRANTED UNDER RESOLUTION 9 TO ALLOT EQUITY SECURITIES (AS DEFINED IN SECTION 560 OF THE ACT) FOR CASH UNDER THE AUTHORITY GIVEN BY THAT RESOLUTION 8 AND/OR TO SELL ORDINARY SHARES HELD BY THE COMPANY AS TREASURY SHARES AS IF SECTION 561 OF THE ACT DID NOT APPLY TO ANY SUCH ALLOTMENT OR SALE, PROVIDED THAT SUCH AUTHORITY SHALL BE: (A) LIMITED TO THE ALLOTMENT OF EQUITY SECURITIES OR SALE OF TREASURY SHARES UP TO AN AGGREGATE NOMINAL AMOUNT OF GBP 241,098; AND (B) USED ONLY FOR THE PURPOSE OF FINANCING (OR REFINANCING, IF THE AUTHORITY IS TO BE USED WITHIN 6 MONTHS AFTER THE ORIGINAL TRANSACTION) A Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 261 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
TRANSACTION WHICH THE DIRECTORS DETERMINE TO BE AN ACQUISITION OR OTHER CAPITAL INVESTMENT OF A KIND CONTEMPLATED BY THE STATEMENT OF PRINCIPLES ON DISAPPLYING PRE- EMPTION RIGHTS MOST RECENTLY PUBLISHED BY THE PRE-EMPTION GROUP PRIOR TO THE DATE OF THIS NOTICE. THE AUTHORITY GRANTED BY THIS RESOLUTION 10 SHALL EXPIRE ON THE EARLIER OF THE DATE 15 MONTHS FROM THE PASSING OF THIS RESOLUTION OR THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AFTER THE PASSING OF THIS RESOLUTION (WHICHEVER IS THE EARLIER) SAVE THAT SUCH AUTHORITY SHALL EXTEND TO THE MAKING BEFORE SUCH EXPIRY OF AN OFFER OR ARRANGEMENT THAT WOULD, OR MIGHT, REQUIRE EQUITY SECURITIES TO BE ALLOTTED AFTER SUCH EXPIRY AND THE DIRECTORS MAY ALLOT EQUITY SECURITIES IN PURSUANCE OF THAT OFFER OR ARRANGEMENT AS IF THE AUTHORITY CONFERRED HEREBY HAD NOT EXPIRED. THE AUTHORITY GRANTED BY THIS RESOLUTION 10 SHALL REVOKE AND REPLACE ALL UNEXERCISED POWERS PREVIOUSLY GRANTED TO THE DIRECTORS TO ALLOT EQUITY SECURITIES OR SELL TREASURY SHARES AS IF SECTION 561 OF THE ACT DID NOT APPLY BUT WITHOUT PREJUDICE TO ANY ALLOTMENT OF EQUITY SECURITIES OR SALE OF TREASURY SHARES ALREADY MADE OR AGREED TO BE MADE PURSUANT TO SUCH AUTHORITIES
11 PURCHASE OF THE COMPANY'S OWN Mgmt For For SHARES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 262 of 721 NT SMALL CAP GIMA TT S.P.A.
Security: T5R298108 Agenda Number: 711415059 Ticker: Meeting Type: EGM ISIN: IT0005279143 Meeting Date: 08-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO APPROVE THE PROJECT OF MERGER Mgmt For For BY INCORPORATION OF GIMA TT S.P.A. INTO I.M.A. INDUSTRIA MACCHINE AUTOMATICHE S.P.A., RESOLUTIONS RELATED THERETO Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 263 of 721 NT SMALL CAP GLOBAL BRASS AND COPPER HOLDINGS, INC.
Security: 37953G103 Agenda Number: 935050269 Ticker: BRSS Meeting Type: Special ISIN: US37953G1031 Meeting Date: 09-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. Proposal to adopt the Agreement and Plan of Mgmt For For Merger, dated as of April 9, 2019 (the "merger agreement"), by and among Global Brass and Copper Holdings, Inc., Elephant Acquisition Corp. and Wieland-Werke Aktiengesellschaft, pursuant to which Merger Sub will be merged with and into the Company (the "merger"), with the Company surviving the merger.
2. Proposal to approve, on an advisory (non- Mgmt For For binding) basis, certain compensation that may be paid or become payable to the Company's named executive officers in connection with the merger.
3. Proposal to approve the adjournment of the Mgmt For For special meeting, if necessary or appropriate as determined by the Company, including to solicit additional proxies if there are insufficient votes at the time of the special meeting to approve the proposal to adopt the merger agreement or in the absence of a quorum. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 264 of 721 NT SMALL CAP GOLDEN OCEAN GROUP LTD
Security: G39637205 Agenda Number: 711487973 Ticker: Meeting Type: AGM ISIN: BMG396372051 Meeting Date: 13-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE
CMMT SHARES HELD IN AN OMNIBUS/NOMINEE Non-Voting ACCOUNT NEED TO BE RE-REGISTERED IN THE BENEFICIAL OWNERS NAME TO BE ALLOWED TO VOTE AT MEETINGS. SHARES WILL BE TEMPORARILY TRANSFERRED TO A SEPARATE ACCOUNT IN THE BENEFICIAL OWNER'S NAME ON THE PROXY DEADLINE AND TRANSFERRED BACK TO THE OMNIBUS/NOMINEE ACCOUNT THE DAY AFTER THE MEETING
1 FIX NUMBER OF DIRECTORS Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 265 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
2 AUTHORIZE BOARD TO FILL VACANCIES Mgmt For For
3 ELECT DIRECTOR JOHN FREDRIKSEN Mgmt Against Against
4 ELECT DIRECTOR OLA LORENTZON Mgmt Against Against
5 ELECT DIRECTOR JAMES Mgmt For For O'SHAUGHNESSY
6 ELECT DIRECTOR ULRIKA LAURIN Mgmt For For
7 ELECT DIRECTOR MARIUS HERMANSEN Mgmt Against Against
8 APPROVE PRICEWATERHOUSECOOPERS Mgmt For For AS AUDITORS AND AUTHORIZE BOARD TO FIX THEIR REMUNERATION
9 APPROVE REMUNERATION OF Mgmt For For DIRECTORS
CMMT PLEASE NOTE THAT SHAREHOLDERS Non-Voting ARE ALLOWED TO VOTE 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION 2. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 266 of 721 NT SMALL CAP GREAT PORTLAND ESTATES PLC
Security: G40712211 Agenda Number: 711269779 Ticker: Meeting Type: AGM ISIN: GB00BF5H9P87 Meeting Date: 04-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE AUDITED FINANCIAL Mgmt For For STATEMENTS TOGETHER WITH THE DIRECTORS' AND AUDITOR'S REPORTS FOR THE YEAR ENDED 31 MARCH 2019
2 TO DECLARE A FINAL DIVIDEND FOR THE Mgmt For For YEAR ENDED 31 MARCH 2019
3 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT
4 TO RE-ELECT TOBY COURTAULD AS A Mgmt For For DIRECTOR OF THE COMPANY
5 TO RE-ELECT NICK SANDERSON AS A Mgmt For For DIRECTOR OF THE COMPANY
6 TO RE-ELECT RICHARD MULLY AS A Mgmt For For DIRECTOR OF THE COMPANY
7 TO RE-ELECT CHARLES PHILIPPS AS A Mgmt For For DIRECTOR OF THE COMPANY
8 TO RE-ELECT WENDY BECKER AS A Mgmt For For DIRECTOR OF THE COMPANY
9 TO RE-ELECT NICK HAMPTON AS A Mgmt For For DIRECTOR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 267 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO RE-ELECT ALISON ROSE AS A Mgmt For For DIRECTOR OF THE COMPANY
11 TO REAPPOINT DELOITTE LLP AS Mgmt For For AUDITOR
12 TO AUTHORISE THE AUDIT COMMITTEE Mgmt For For TO AGREE THE REMUNERATION OF THE AUDITOR
13 TO RENEW THE DIRECTORS' AUTHORITY Mgmt For For TO ALLOT SHARES
14 TO RENEW THE DIRECTORS' LIMITED Mgmt For For AUTHORITY TO ALLOT SHARES FOR CASH
15 TO GIVE THE DIRECTORS ADDITIONAL Mgmt For For LIMITED AUTHORITY TO ALLOT SHARES FOR CASH IN CONNECTION WITH AN ACQUISITION OR SPECIFIED CAPITAL INVESTMENT, AND INCLUDING DEVELOPMENT AND/OR REFURBISHMENT EXPENDITURE
16 TO RENEW THE AUTHORITY ENABLING Mgmt For For THE COMPANY TO BUY ITS OWN SHARES
17 TO AUTHORISE THE CALLING OF Mgmt For For GENERAL MEETINGS (OTHER THAN AN ANNUAL GENERAL MEETING) ON NOT LESS THAN 14 CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 268 of 721 NT SMALL CAP GREENE KING PLC
Security: G40880133 Agenda Number: 711488432 Ticker: Meeting Type: AGM ISIN: GB00B0HZP136 Meeting Date: 06-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 ACCEPT FINANCIAL STATEMENTS AND Mgmt For For STATUTORY REPORTS
2 APPROVE REMUNERATION REPORT Mgmt For For
3 APPROVE FINAL DIVIDEND Mgmt For For
4 RE-ELECT MIKE COUPE AS DIRECTOR Mgmt For For
5 RE-ELECT GORDON FRYETT AS Mgmt For For DIRECTOR
6 RE-ELECT ROB ROWLEY AS DIRECTOR Mgmt For For
7 RE-ELECT RICHARD SMOTHERS AS Mgmt For For DIRECTOR
8 RE-ELECT LYNNE WEEDALL AS Mgmt For For DIRECTOR
9 RE-ELECT PHILIP YEA AS DIRECTOR Mgmt For For
10 ELECT NICK MACKENZIE AS DIRECTOR Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 269 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 ELECT SANDRA TURNER AS DIRECTOR Mgmt For For
12 REAPPOINT ERNST YOUNG LLP AS Mgmt For For AUDITORS
13 AUTHORISE BOARD TO FIX Mgmt For For REMUNERATION OF AUDITORS
14 AUTHORISE ISSUE OF EQUITY Mgmt For For
15 AUTHORISE ISSUE OF EQUITY WITHOUT Mgmt For For PRE-EMPTIVE RIGHTS
16 AUTHORISE MARKET PURCHASE OF Mgmt For For ORDINARY SHARES
17 AUTHORISE THE COMPANY TO CALL Mgmt For For GENERAL MEETING WITH TWO WEEKS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 270 of 721 NT SMALL CAP HAEMONETICS CORPORATION
Security: 405024100 Agenda Number: 935050043 Ticker: HAE Meeting Type: Annual ISIN: US4050241003 Meeting Date: 25-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Mark W. Kroll Mgmt For For
2 Claire Pomeroy Mgmt For For
3 Ellen M. Zane Mgmt For For
2. Advisory vote to approve the compensation of Mgmt For For our named executive officers.
3. Ratification of Ernst & Young LLP as our Mgmt For For independent registered public accounting firm for the fiscal year ending March 28, 2020.
4. Amendments to the Company's Restated Mgmt For For Articles of Organization to provide for the annual election of directors.
5. Approval of the Haemonetics Corporation Mgmt For For 2019 Long-Term Incentive Compensation Plan. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 271 of 721 NT SMALL CAP HALFORDS GROUP PLC
Security: G4280E105 Agenda Number: 711328991 Ticker: Meeting Type: AGM ISIN: GB00B012TP20 Meeting Date: 31-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE AUDITED ANNUAL Mgmt For For FINANCIAL STATEMENTS FOR THE PERIOD ENDED 29 MARCH 2019 AND THE REPORTS OF THE DIRECTORS AND AUDITORS THEREON
2 TO DECLARE A FINAL DIVIDEND FOR THE Mgmt For For PERIOD ENDED 29 MARCH 2019 OF 12.39 PENCE FOR EACH ORDINARY SHARE, AS RECOMMENDED BY THE DIRECTORS
3 TO APPROVE THE DIRECTORS' ANNUAL Mgmt For For REPORT ON REMUNERATION, FOR THE PERIOD ENDED 29 MARCH 2019 AS SET OUT ON PAGES 99 TO 108 OF THE COMPANY'S 2019 ANNUAL REPORT
4 TO ELECT LORAINE WOODHOUSE AS A Mgmt For For DIRECTOR
5 TO ELECT JILL CASEBERRY AS A Mgmt For For DIRECTOR
6 TO RE-ELECT GRAHAM STAPLETON AS A Mgmt For For DIRECTOR
7 TO RE-ELECT KEITH WILLIAMS AS A Mgmt For For DIRECTOR
8 TO RE-ELECT DAVID ADAMS AS A Mgmt Abstain Against DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 272 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
9 TO RE-ELECT HELEN JONES AS A Mgmt For For DIRECTOR
10 TO APPOINT BDO LLP AS AUDITOR OF Mgmt For For THE COMPANY TO HOLD OFFICE FROM THE CONCLUSION OF THE 2019 ANNUAL GENERAL MEETING UNTIL THE NEXT GENERAL MEETING
11 TO AUTHORISE THE AUDIT COMMITTEE Mgmt For For FOR AND ON BEHALF OF THE BOARD OF DIRECTORS TO DETERMINE THE REMUNERATION TO BE PAID TO THE AUDITOR OF THE COMPANY
12 AUTHORITY TO MAKE POLITICAL Mgmt For For DONATIONS
13 AUTHORITY TO ALLOT SECURITIES Mgmt For For
14 DISAPPLICATION OF STATUTORY PRE- Mgmt For For EMPTION RIGHTS
15 AUTHORITY TO PURCHASE OWN SHARES Mgmt For For
16 AUTHORITY TO CALL GENERAL Mgmt For For MEETINGS ON 14 DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 273 of 721 NT SMALL CAP HAMILTON LANE INCORPORATED
Security: 407497106 Agenda Number: 935063153 Ticker: HLNE Meeting Type: Annual ISIN: US4074971064 Meeting Date: 05-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Hartley R. Rogers Mgmt Withheld Against
2 Mario L. Giannini Mgmt Withheld Against
2. Advisory, non-binding vote to approve named Mgmt For For executive officer compensation.
3. Advisory, non-binding vote on the frequency Mgmt 1 Year For of future advisory votes to approve named executive officer compensation.
4. To ratify the appointment of Ernst & Young Mgmt For For LLP as our independent registered public accounting firm for our fiscal year ending March 31, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 274 of 721 NT SMALL CAP HAWKINS, INC.
Security: 420261109 Agenda Number: 935057390 Ticker: HWKN Meeting Type: Annual ISIN: US4202611095 Meeting Date: 01-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 John S. McKeon Mgmt For For
2 Patrick H. Hawkins Mgmt For For
3 James A. Faulconbridge Mgmt For For
4 Duane M. Jergenson Mgmt For For
5 Mary J. Schumacher Mgmt For For
6 Daniel J. Stauber Mgmt For For
7 James T. Thompson Mgmt For For
8 Jeffrey L. Wright Mgmt For For
2. To approve the Hawkins, Inc. 2019 Equity Mgmt For For Incentive Plan.
3. Non-binding advisory vote to approve Mgmt For For executive compensation ("say-on-pay"). Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 275 of 721 NT SMALL CAP HEALTHCARE TRUST OF AMERICA, INC.
Security: 42225P501 Agenda Number: 935010188 Ticker: HTA Meeting Type: Annual ISIN: US42225P5017 Meeting Date: 09-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: Scott D. Peters Mgmt For For
1b. Election of Director: W. Bradley Blair, II Mgmt For For
1c. Election of Director: Vicki U. Booth Mgmt For For
1d. Election of Director: Maurice J. DeWald Mgmt For For
1e. Election of Director: Warren D. Fix Mgmt For For
1f. Election of Director: Peter N. Foss Mgmt For For
1g. Election of Director: Daniel S. Henson Mgmt For For
1h. Election of Director: Larry L. Mathis Mgmt For For
1i. Election of Director: Gary T. Wescombe Mgmt For For
2. To approve, on a non-binding, advisory basis, Mgmt For For the compensation of our named executive officers. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 276 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3. The ratification of the appointment of Deloitte Mgmt For For & Touche LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2019. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 277 of 721 NT SMALL CAP HEIDELBERGER DRUCKMASCHINEN AG
Security: D3166C103 Agenda Number: 711341038 Ticker: Meeting Type: AGM ISIN: DE0007314007 Meeting Date: 25-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT ACCORDING TO GERMAN LAW, IN CASE Non-Voting OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL. THANK YOU
CMMT PLEASE NOTE THAT THE TRUE RECORD Non-Voting DATE FOR THIS MEETING IS 04 JULY 19, WHEREAS THE MEETING HAS BEEN SETUP USING THE ACTUAL RECORD DATE - 1 BUSINESS DAY. THIS IS DONE TO ENSURE THAT ALL POSITIONS REPORTED ARE IN CONCURRENCE WITH THE GERMAN LAW. THANK YOU
CMMT COUNTER PROPOSALS MAY BE Non-Voting SUBMITTED UNTIL 10.07.2019. FURTHER INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER'S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 278 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY'S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED IN THE BALLOT ON PROXYEDGE
1 RECEIVE FINANCIAL STATEMENTS AND Non-Voting STATUTORY REPORTS FOR FISCAL 2018/19
2 APPROVE DISCHARGE OF MANAGEMENT Mgmt For For BOARD FOR FISCAL 2018/19
3 APPROVE DISCHARGE OF SUPERVISORY Mgmt For For BOARD FOR FISCAL 2018/19
4 RATIFY PRICEWATERHOUSECOOPERS Mgmt For For GMBH AS AUDITORS FOR FISCAL 2019/20
5 ELECT LI LI TO THE SUPERVISORY Mgmt For For BOARD
6 APPROVE ISSUANCE OF Mgmt For For WARRANTS/BONDS WITH WARRANTS ATTACHED/CONVERTIBLE BONDS WITHOUT PREEMPTIVE RIGHTS UP TO AGGREGATE NOMINAL AMOUNT OF EUR 200 MILLION APPROVE CREATION OF EUR 77.9 MILLION POOL OF CAPITAL TO GUARANTEE CONVERSION RIGHTS
7 APPROVE CREATION OF EUR Mgmt For For 185.6MILLION POOL OF CAPITAL WITH PARTIAL EXCLUSION OF PREEMPTIVE RIGHTS
8.1 AMEND AFFILIATION AGREEMENT WITH Mgmt For For HEIDELBERG BOXMEER BETEILIGUNGS- GMBH Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 279 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8.2 AMEND AFFILIATION AGREEMENT WITH Mgmt For For HEIDELBERG CHINA-HOLDING GMBH
8.3 AMEND AFFILIATION AGREEMENT WITH Mgmt For For HEIDELBERG POST PRESS DEUTSCHLAND GMBH
8.4 AMEND AFFILIATION AGREEMENT WITH Mgmt For For HEIDELBERG CATERING SERVICES GMBH Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 280 of 721 NT SMALL CAP HELEN OF TROY LIMITED
Security: G4388N106 Agenda Number: 935060107 Ticker: HELE Meeting Type: Annual ISIN: BMG4388N1065 Meeting Date: 21-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: Gary B. Abromovitz Mgmt For For
1b. Election of Director: Krista L. Berry Mgmt For For
1c. Election of Director: Vincent D. Carson Mgmt For For
1d. Election of Director: Thurman K. Case Mgmt For For
1e. Election of Director: Timothy F. Meeker Mgmt For For
1f. Election of Director: Julien R. Mininberg Mgmt For For
1g. Election of Director: Beryl B. Raff Mgmt For For
1h. Election of Director: William F. Susetka Mgmt For For
1i. Election of Director: Darren G. Woody Mgmt For For
2. To provide advisory approval of the Mgmt For For Company's executive compensation. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 281 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3. To appoint Grant Thornton LLP as the Mgmt For For Company's auditor and independent registered public accounting firm to serve for the 2020 fiscal year and to authorize the Audit Committee of the Board of Directors to set the auditor's remuneration. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 282 of 721 NT SMALL CAP HELICAL PLC
Security: G43904195 Agenda Number: 711311631 Ticker: Meeting Type: AGM ISIN: GB00B0FYMT95 Meeting Date: 11-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE AND CONSIDER THE Mgmt For For ACCOUNTS OF THE COMPANY FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019
2 TO DECLARE A FINAL DIVIDEND OF 7.50 Mgmt For For PENCE PER ORDINARY SHARE IN RESPECT OF THE YEAR ENDED 31 MARCH 2019, TO BE PAID ON 19 JULY 2019
3 TO RE-ELECT R. J. GRANT AS A Mgmt For For DIRECTOR OF THE COMPANY
4 TO RE-ELECT G. A. KAYE AS A DIRECTOR Mgmt For For OF THE COMPANY
5 TO RE-ELECT T. J. MURPHY AS A Mgmt For For DIRECTOR OF THE COMPANY
6 TO RE-ELECT M. C. BONNING-SNOOK AS Mgmt For For A DIRECTOR OF THE COMPANY
7 TO RE-ELECT S. V. CLAYTON AS A Mgmt For For DIRECTOR OF THE COMPANY
8 TO RE-ELECT R. R. COTTON AS A Mgmt For For DIRECTOR OF THE COMPANY
9 TO ELECT J. J. LISTER AS A DIRECTOR OF Mgmt For For THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 283 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO ELECT S. J. FARR AS A DIRECTOR OF Mgmt For For THE COMPANY
11 TO RE-APPOINT DELOITTE LLP AS THE Mgmt For For COMPANY'S AUDITOR
12 TO AUTHORISE THE AUDIT AND RISK Mgmt For For COMMITTEE TO DETERMINE THE REMUNERATION OF THE AUDITORS ON BEHALF OF THE BOARD
13 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT, OTHER THAN THE PART CONTAINING THE DIRECTORS' REMUNERATION POLICY
14 THAT THE DIRECTORS BE AUTHORISED Mgmt For For TO ALLOT SHARES IN THE COMPANY
15 THAT THE DIRECTORS BE EMPOWERED Mgmt For For TO ALLOT EQUITY SECURITIES OF, AND/OR SELL ORDINARY SHARES HELD BY, THE COMPANY
16 THAT, IN ADDITION TO AUTHORITY Mgmt For For GRANTED UNDER RESOLUTION 15, THE DIRECTORS BE GIVEN POWER TO ALLOT EQUITY SECURITIES AND/OR SELL ORDINARY SHARES
17 THAT THE COMPANY IS AUTHORISED TO Mgmt For For MAKE ONE OR MORE MARKET PURCHASES OF ANY OF ITS ORDINARY SHARES
18 TO AUTHORISE THE DIRECTORS TO CALL Mgmt For For A GENERAL MEETING OF THE COMPANY (OTHER THAN AN AGM) ON NOT LESS THAN 14 CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 284 of 721 NT SMALL CAP HERITAGE COMMERCE CORP
Security: 426927109 Agenda Number: 935063975 Ticker: HTBK Meeting Type: Special ISIN: US4269271098 Meeting Date: 27-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. Approval of the merger and issuance of Mgmt For For common stock of Heritage Commerce Corp to shareholders of Presidio Bank pursuant to the Agreement and Plan of Merger and Reorganization, dated as of May 16, 2019, by and among Heritage Commerce Corp., Heritage Bank of Commerce and Presidio Bank.
2. Amendment to the Company's Articles of Mgmt For For Incorporation to increase the number of authorized shares of common stock.
3. Adjournment of the Heritage Commerce Corp Mgmt For For Special Meeting, if necessary or appropriate, and if a quorum is present, to solicit additional votes in favor of Proposal 1 and Proposal 2. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 285 of 721 NT SMALL CAP HFF, INC.
Security: 40418F108 Agenda Number: 935048175 Ticker: HF Meeting Type: Annual ISIN: US40418F1084 Meeting Date: 01-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. VOTE TO ADOPT THE AGREEMENT AND Mgmt For For PLAN OF MERGER, DATED MARCH 18, 2019, AS AMENDED FROM TIME TO TIME, AMONG HFF, INC. ("HFF"), JONES LANG LASALLE INCORPORATED ("JLL"), JLL CM, INC. AND JLL CMG, LLC PURSUANT TO WHICH A WHOLLY OWNED SUBSIDIARY OF JLL WILL MERGE WITH AND INTO HFF (THE "MERGER")
2. ADVISORY VOTE TO APPROVE THE Mgmt For For COMPENSATION THAT MAY BE PAID OR BECOME PAYABLE TO HFF'S EXECUTIVE OFFICERS THAT IS BASED ON OR OTHERWISE RELATES TO THE MERGER
3. DIRECTOR
1 Deborah H. McAneny Mgmt For For
2 Steven E. Wheeler Mgmt For For
4. RATIFICATION OF HFF'S INDEPENDENT, Mgmt For For REGISTERED CERTIFIED PUBLIC ACCOUNTANTS
5. ADVISORY VOTE TO APPROVE HFF'S Mgmt For For NAMED EXECUTIVE OFFICER COMPENSATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 286 of 721 NT SMALL CAP HIBERNIA REIT PLC
Security: G4432Z105 Agenda Number: 711363957 Ticker: Meeting Type: AGM ISIN: IE00BGHQ1986 Meeting Date: 31-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 CONSIDERATION OF THE ANNUAL Mgmt For For REPORT AND REPORTS OF THE DIRECTORS AND AUDITOR
2 TO DECLARE A FINAL DIVIDEND OF 2.0 Mgmt For For CENT PER SHARE
3.A TO RE-APPOINT THE FOLLOWING Mgmt For For DIRECTOR: DANIEL KITCHEN
3.B TO RE-APPOINT THE FOLLOWING Mgmt For For DIRECTOR: KEVIN NOWLAN
3.C TO RE-APPOINT THE FOLLOWING Mgmt For For DIRECTOR: THOMAS EDWARDS-MOSS
3.D TO RE-APPOINT THE FOLLOWING Mgmt Against Against DIRECTOR: COLM BARRINGTON
3.E TO RE-APPOINT THE FOLLOWING Mgmt For For DIRECTOR: ROISIN BRENNAN
3.F TO RE-APPOINT THE FOLLOWING Mgmt For For DIRECTOR: STEWART HARRINGTON
3.G TO RE-APPOINT THE FOLLOWING Mgmt For For DIRECTOR: FRANK KENNY
3.H TO RE-APPOINT THE FOLLOWING Mgmt For For DIRECTOR: TERENCE O'ROURKE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 287 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4 TO AUTHORISE THE DIRECTORS TO Mgmt For For DETERMINE THE REMUNERATION OF THE AUDITOR
5 TO CONSIDER THE CONTINUATION IN Mgmt For For OFFICE OF THE AUDITOR: DELOITTE
6 AUTHORITY TO ALLOT RELEVANT Mgmt For For SECURITIES UP TO CUSTOMARY LIMITS
7 TO RECEIVE AND CONSIDER THE Mgmt For For DIRECTORS' ANNUAL REPORT ON REMUNERATION
8 TO AUTHORISE THE DIRECTORS TO Mgmt For For HOLD CERTAIN EGMS ON 14 DAYS' NOTICE
9 AUTHORITY TO DISAPPLY STATUTORY Mgmt For For PRE-EMPTION RIGHTS IN SPECIFIED CIRCUMSTANCES
10 AUTHORITY TO DISAPPLY PRE-EMPTION Mgmt For For RIGHTS IN ADDITIONAL SPECIFIED CIRCUMSTANCES
11 AUTHORITY TO MAKE MARKET Mgmt For For PURCHASES AND OVERSEAS MARKET PURCHASES OF THE COMPANY'S OWN SHARES
12 DETERMINATION OF THE PRICE RANGE Mgmt For For FOR THE RE-ISSUE OF TREASURY SHARES OFF-MARKET
13 TO APPROVE THE COMPANY'S CAPITAL Mgmt For For REORGANISATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 288 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT 05 JUL 2019: PLEASE NOTE THAT THIS IS Non-Voting A REVISION DUE TO RECEIPT OF AUDITOR NAME. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 289 of 721 NT SMALL CAP HILLTOP HOLDINGS INC.
Security: 432748101 Agenda Number: 935051398 Ticker: HTH Meeting Type: Annual ISIN: US4327481010 Meeting Date: 25-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Charlotte J. Anderson Mgmt For For
2 Rhodes R. Bobbitt Mgmt For For
3 Tracy A. Bolt Mgmt For For
4 W. Joris Brinkerhoff Mgmt For For
5 J. Taylor Crandall Mgmt For For
6 Charles R. Cummings Mgmt For For
7 Hill A. Feinberg Mgmt For For
8 Gerald J. Ford Mgmt For For
9 Jeremy B. Ford Mgmt For For
10 J. Markham Green Mgmt For For
11 William T. Hill, Jr. Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 290 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
12 Lee Lewis Mgmt For For
13 Andrew J. Littlefair Mgmt For For
14 W. Robert Nichols, III Mgmt Withheld Against
15 C. Clifton Robinson Mgmt For For
16 Kenneth D. Russell Mgmt Withheld Against
17 A. Haag Sherman Mgmt For For
18 Jonathan S. Sobel Mgmt For For
19 Robert C. Taylor, Jr. Mgmt For For
20 Carl B. Webb Mgmt For For
2. Advisory vote to approve executive Mgmt For For compensation.
3. Ratification of the appointment of Mgmt For For PricewaterhouseCoopers LLP as Hilltop Holdings Inc.'s independent registered public accounting firm for the 2019 fiscal year. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 291 of 721 NT SMALL CAP HOMESERVE PLC
Security: G4639X119 Agenda Number: 711314106 Ticker: Meeting Type: AGM ISIN: GB00BYYTFB60 Meeting Date: 19-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE ANNUAL REPORT & Mgmt For For ACCOUNTS
2 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT
3 TO APPROVE THE FINAL DIVIDEND Mgmt For For
4 TO RE-ELECT J M BARRY GIBSON AS A Mgmt For For DIRECTOR
5 TO RE-ELECT RICHARD HARPIN AS A Mgmt For For DIRECTOR
6 TO RE-ELECT DAVID BOWER AS A Mgmt For For DIRECTOR
7 TO RE-ELECT TOM RUSIN AS A DIRECTOR Mgmt For For
8 TO RE-ELECT KATRINA CLIFFE AS A Mgmt For For DIRECTOR
9 TO RE-ELECT STELLA DAVID AS A Mgmt For For DIRECTOR
10 TO RE-ELECT EDWARD FITZMAURICE AS Mgmt For For A DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 292 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 TO RE-ELECT RON MCMILLAN AS Mgmt For For DIRECTOR
12 TO ELECT OLIVIER GREMILLON Mgmt For For
13 TO RE-APPOINT DELOITTE LLP AS Mgmt For For AUDITOR
14 TO AUTHORISE THE DIRECTORS TO Mgmt For For DETERMINE THE REMUNERATION OF THE AUDITOR
15 AUTHORITY TO ALLOT SHARES Mgmt For For
16 GENERAL AUTHORITY TO DISAPPLY PRE- Mgmt For For EMPTION RIGHTS
17 ADDITIONAL AUTHORITY TO DISAPPLY Mgmt For For PRE-EMPTION RIGHTS
18 AUTHORITY TO PURCHASE OWN SHARES Mgmt For For
19 NOTICE OF GENERAL MEETINGS Mgmt For For
CMMT 13 JUN 2019: PLEASE NOTE THAT THIS IS Non-Voting A REVISION DUE TO CHANGE IN NUMBERING OF RESOLUTION 10. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 293 of 721 NT SMALL CAP HORNBACH HOLDING AG & CO. KGAA
Security: D33875119 Agenda Number: 711299607 Ticker: Meeting Type: AGM ISIN: DE0006083405 Meeting Date: 05-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT ACCORDING TO GERMAN LAW, IN CASE Non-Voting OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL. THANK YOU
CMMT PLEASE NOTE THAT THE TRUE RECORD Non-Voting DATE FOR THIS MEETING IS 14 JUNE 2019, WHEREAS THE MEETING HAS BEEN SETUP USING THE ACTUAL RECORD DATE - 1 BUSINESS DAY. THIS IS DONE TO ENSURE THAT ALL POSITIONS REPORTED ARE IN CONCURRENCE WITH THE GERMAN LAW. THANK YOU
CMMT COUNTER PROPOSALS MAY BE Non-Voting SUBMITTED UNTIL 20.06.2019. FURTHER INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER'S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 294 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY'S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED IN THE BALLOT ON PROXYEDGE
1 RECEIVE FINANCIAL STATEMENTS AND Mgmt For For STATUTORY REPORTS FOR FISCAL 2018/2019
2 APPROVE ALLOCATION OF INCOME AND Mgmt For For DIVIDENDS OF EUR 1.50 PER ORDINARY SHARE
3 APPROVE DISCHARGE OF PERSONALLY Mgmt For For LIABLE PARTNER FOR FISCAL 2018/2019
4 APPROVE DISCHARGE OF SUPERVISORY Mgmt For For BOARD FOR FISCAL 2018/2019
5 RATIFY DELOITTE GMBH AS AUDITORS Mgmt For For FOR FISCAL 2019/2020 Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 295 of 721 NT SMALL CAP HOULIHAN LOKEY, INC.
Security: 441593100 Agenda Number: 935066894 Ticker: HLI Meeting Type: Annual ISIN: US4415931009 Meeting Date: 24-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Scott L. Beiser Mgmt Withheld Against
2 Paul A. Zuber Mgmt For For
3 Jacqueline B. Kosecoff Mgmt For For
2. To approve, on an advisory basis, the Mgmt For For compensation of our Named Executive Officers.
3. To ratify the appointment of KPMG LLP as the Mgmt For For Company's independent registered public accounting firm for the fiscal year ending March 31, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 296 of 721 NT SMALL CAP IG GROUP HOLDINGS PLC
Security: G4753Q106 Agenda Number: 711501393 Ticker: Meeting Type: AGM ISIN: GB00B06QFB75 Meeting Date: 19-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE COMPANY'S ACCOUNTS Mgmt For For AND THE REPORTS OF THE DIRECTORS AND THE AUDITORS FOR THE YEAR ENDED 31 MAY 2019
2 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT FOR THE YEAR ENDED 31 MAY 2019
3 TO DECLARE A FINAL DIVIDEND ON THE Mgmt For For ORDINARY SHARES OF THE COMPANY FOR THE YEAR ENDED 31 MAY 2019 OF 30.24 PENCE PER ORDINARY SHARE
4 TO RE-ELECT JUNE FELIX (EXECUTIVE Mgmt For For DIRECTOR) AS A DIRECTOR OF THE COMPANY
5 TO RE-ELECT STEPHEN HILL (NON- Mgmt For For EXECUTIVE DIRECTOR) AS A DIRECTOR OF THE COMPANY
6 TO RE-ELECT MALCOLM LE MAY (NON- Mgmt For For EXECUTIVE DIRECTOR) AS A DIRECTOR OF THE COMPANY
7 TO RE-ELECT PAUL MAINWARING Mgmt For For (EXECUTIVE DIRECTOR) AS A DIRECTOR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 297 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8 TO RE-ELECT BRIDGET MESSER Mgmt For For (EXECUTIVE DIRECTOR) AS A DIRECTOR OF THE COMPANY
9 TO RE-ELECT JIM NEWMAN (NON- Mgmt For For EXECUTIVE DIRECTOR) AS A DIRECTOR OF THE COMPANY
10 TO RE-ELECT JON NOBLE (EXECUTIVE Mgmt For For DIRECTOR) AS A DIRECTOR OF THE COMPANY
11 TO ELECT SALLY-ANN HIBBERD (NON- Mgmt For For EXECUTIVE DIRECTOR) AS A DIRECTOR OF THE COMPANY
12 TO ELECT JONATHAN MOULDS (NON- Mgmt For For EXECUTIVE DIRECTOR) AS A DIRECTOR OF THE COMPANY
13 TO RE-APPOINT Mgmt For For PRICEWATERHOUSECOOPERS LLP AS THE AUDITORS OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING AT WHICH ACCOUNTS ARE LAID
14 TO AUTHORISE THE AUDIT COMMITTEE Mgmt For For OF THE BOARD TO DETERMINE THE AUDITORS' REMUNERATION
15 THAT THE DIRECTORS BE AND ARE Mgmt For For GENERALLY AND UNCONDITIONALLY AUTHORISED PURSUANT TO AND IN ACCORDANCE WITH SECTION 551 OF THE COMPANIES ACT 2006 (THE '2006 ACT') TO EXERCISE ALL THE POWERS OF THE COMPANY TO ALLOT SHARES OR GRANT RIGHTS TO SUBSCRIBE FOR OR TO CONVERT ANY SECURITY INTO SHARES: (I) UP TO A NOMINAL AMOUNT OF GBP 6,000; AND (II) COMPRISING EQUITY SECURITIES (AS DEFINED IN SECTION 560(1) OF THE 2006 ACT) UP TO Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 298 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
A FURTHER NOMINAL AMOUNT OF GBP 6,000 IN CONNECTION WITH AN OFFER BY WAY OF A RIGHTS ISSUE; SUCH AUTHORITIES TO APPLY IN SUBSTITUTION FOR ALL PREVIOUS AUTHORITIES PURSUANT TO SECTION 551 OF THE 2006 ACT AND TO EXPIRE AT THE END OF THE NEXT ANNUAL GENERAL MEETING OR ON 5 DECEMBER 2020, WHICHEVER IS EARLIER BUT, IN EACH CASE, SO THAT THE COMPANY MAY MAKE OFFERS AND ENTER INTO AGREEMENTS DURING THE RELEVANT PERIOD WHICH WOULD, OR MIGHT, REQUIRE SHARES TO BE ALLOTTED OR RIGHTS TO SUBSCRIBE FOR OR TO CONVERT ANY SECURITY INTO SHARES TO BE GRANTED AFTER THE AUTHORITY ENDS. FOR THE PURPOSES OF THIS RESOLUTION, 'RIGHTS ISSUE' MEANS AN OFFER TO: (I) ORDINARY SHAREHOLDERS IN PROPORTION (AS NEARLY AS MAY BE PRACTICABLE) TO THEIR EXISTING HOLDINGS; AND (II) PEOPLE WHO ARE HOLDERS OF OTHER EQUITY SECURITIES IF THIS IS REQUIRED BY THE RIGHTS OF THOSE SECURITIES OR, IF THE DIRECTORS CONSIDER IT NECESSARY, AS PERMITTED BY THE RIGHTS OF THOSE SECURITIES, TO SUBSCRIBE FOR FURTHER SECURITIES BY MEANS OF THE ISSUE OF A RENOUNCEABLE LETTER (OR OTHER NEGOTIABLE DOCUMENT) WHICH MAY BE TRADED FOR A PERIOD BEFORE PAYMENT FOR THE SECURITIES IS DUE, BUT SUBJECT IN BOTH CASES TO SUCH EXCLUSIONS OR OTHER ARRANGEMENTS AS THE DIRECTORS MAY DEEM NECESSARY OR EXPEDIENT IN RELATION TO TREASURY SHARES, FRACTIONAL ENTITLEMENTS, RECORD DATES OR LEGAL, REGULATORY OR PRACTICAL PROBLEMS IN, OR UNDER THE LAWS OF, ANY TERRITORY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 299 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
16 THAT, SUBJECT TO THE PASSING OF Mgmt For For RESOLUTION 15 ABOVE, THE DIRECTORS BE AUTHORISED TO ALLOT EQUITY SECURITIES (AS DEFINED IN SECTION 560(1) OF THE 2006 ACT) WHOLLY FOR CASH: (I) PURSUANT TO THE AUTHORITY GIVEN BY PARAGRAPH (I) OF RESOLUTION 15 ABOVE OR WHERE THE ALLOTMENT CONSTITUTES AN ALLOTMENT OF EQUITY SECURITIES BY VIRTUE OF SECTION 560(2)(B) OF THE 2006 ACT IN EACH CASE: (I) IN CONNECTION WITH A PRE-EMPTIVE OFFER; AND (II) OTHERWISE THAN IN CONNECTION WITH A PRE-EMPTIVE OFFER, UP TO AN AGGREGATE NOMINAL AMOUNT OF GBP 900; AND (III) PURSUANT TO THE AUTHORITY GIVEN BY PARAGRAPH (II) OF RESOLUTION 15 ABOVE IN CONNECTION WITH A RIGHTS ISSUE, AS IF SECTION 561(1) OF THE 2006 ACT DID NOT APPLY TO ANY SUCH ALLOTMENT; SUCH AUTHORITY TO EXPIRE AT THE END OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY OR AT THE CLOSE OF BUSINESS ON 5 DECEMBER 2020, WHICHEVER IS EARLIER PROVIDED THAT THE COMPANY MAY MAKE OFFERS AND ENTER INTO AGREEMENTS BEFORE THE EXPIRY OF SUCH AUTHORITY WHICH WOULD, OR MIGHT, REQUIRE EQUITY SECURITIES TO BE ALLOTTED AND TREASURY SHARES TO BE SOLD AFTER SUCH EXPIRY AND THE DIRECTORS SHALL BE ENTITLED TO ALLOT EQUITY SECURITIES OR SELL TREASURY SHARES PURSUANT TO ANY SUCH OFFER OR AGREEMENT AS IF THE AUTHORITY HAD NOT EXPIRED. FOR THE PURPOSES OF THIS RESOLUTION: (I) 'RIGHTS ISSUE' HAS THE SAME MEANING AS IN RESOLUTION 15 ABOVE; (II) 'PRE- EMPTIVE OFFER' MEANS AN OFFER OF EQUITY SECURITIES OPEN FOR ACCEPTANCE FOR A PERIOD FIXED BY THE DIRECTORS TO HOLDERS (OTHER THAN THE COMPANY) ON THE REGISTER ON A RECORD DATE FIXED BY THE DIRECTORS OF ORDINARY SHARES IN PROPORTION TO THEIR RESPECTIVE HOLDINGS BUT SUBJECT TO SUCH EXCLUSIONS OR OTHER Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 300 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
ARRANGEMENTS AS THE DIRECTORS MAY DEEM NECESSARY OR EXPEDIENT IN RELATION TO TREASURY SHARES, FRACTIONAL ENTITLEMENTS, RECORD DATES OR LEGAL, REGULATORY OR PRACTICAL PROBLEMS IN, OR UNDER THE LAWS OF, ANY TERRITORY; (III) REFERENCES TO AN ALLOTMENT OF EQUITY SECURITIES SHALL INCLUDE A SALE OF TREASURY SHARES; AND (IV) THE NOMINAL AMOUNT OF ANY SECURITIES SHALL BE TAKEN TO BE, IN THE CASE OF RIGHTS TO SUBSCRIBE FOR OR CONVERT ANY SECURITIES INTO SHARES OF THE COMPANY, THE NOMINAL AMOUNT OF SUCH SHARES WHICH MAY BE ALLOTTED PURSUANT TO SUCH RIGHTS
17 THAT, SUBJECT TO THE PASSING OF Mgmt For For RESOLUTION 15 ABOVE, AND IN ADDITION TO ANY AUTHORITY GRANTED BY RESOLUTION 16 ABOVE, THE DIRECTORS BE AUTHORISED PURSUANT TO SECTION 570 AND SECTION 573 OF THE 2006 ACT TO ALLOT EQUITY SECURITIES (WITHIN THE MEANING OF SECTION 560(1) OF THE 2006 ACT) FOR CASH UNDER THE AUTHORITY CONFERRED BY RESOLUTION 16 ABOVE AND/OR TO SELL TREASURY SHARES FOR CASH AS IF SECTION 561(1) OF THE 2006 ACT DID NOT APPLY TO ANY SUCH ALLOTMENT OR SALE, PROVIDED THAT THIS AUTHORITY SHALL BE: (I) LIMITED TO THE ALLOTMENT OF EQUITY SECURITIES OR SALE OF TREASURY SHARES UP TO AN AGGREGATE NOMINAL AMOUNT OF GBP 900; AND (II) USED ONLY FOR THE PURPOSES OF FINANCING (OR REFINANCING, IF THE AUTHORITY IS TO BE USED WITHIN SIX MONTHS AFTER THE ORIGINAL TRANSACTION) A TRANSACTION WHICH THE DIRECTORS DETERMINE TO BE AN ACQUISITION OR OTHER CAPITAL INVESTMENT OF A KIND CONTEMPLATED BY THE STATEMENT OF PRINCIPLES ON DISAPPLYING PRE- EMPTION RIGHTS MOST RECENTLY PUBLISHED BY THE PRE-EMPTION GROUP PRIOR TO THE DATE OF THIS NOTICE; SUCH AUTHORITY TO EXPIRE AT Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 301 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
THE END OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY OR AT THE CLOSE OF BUSINESS ON 5 DECEMBER 2020, WHICHEVER IS EARLIER PROVIDED THAT THE COMPANY MAY MAKE OFFERS AND ENTER INTO AGREEMENTS BEFORE THE EXPIRY OF SUCH AUTHORITY WHICH WOULD, OR MIGHT, REQUIRE EQUITY SECURITIES TO BE ALLOTTED AND TREASURY SHARES TO BE SOLD AFTER SUCH EXPIRY AND THE DIRECTORS SHALL BE ENTITLED TO ALLOT EQUITY SECURITIES AND SELL TREASURY SHARES PURSUANT TO ANY SUCH OFFER OR AGREEMENT AS IF THE AUTHORITY HAD NOT EXPIRED
18 THAT THE COMPANY BE AND IS HEREBY Mgmt For For UNCONDITIONALLY AND GENERALLY AUTHORISED FOR THE PURPOSE OF SECTION 701 OF THE 2006 ACT TO MAKE MARKET PURCHASES (AS DEFINED IN SECTION 693 OF THE 2006 ACT) OF ORDINARY SHARES OF 0.005 PENCE EACH IN THE CAPITAL OF THE COMPANY PROVIDED THAT: (I) THE MAXIMUM NUMBER OF SHARES WHICH MAY BE PURCHASED IS 36,943,945 (REPRESENTING AN AMOUNT EQUAL TO 10 PER CENT. OF THE COMPANY'S TOTAL ISSUED ORDINARY SHARE CAPITAL AS AT 5 AUGUST 2019); (II) THE MINIMUM PRICE WHICH MAY BE PAID FOR EACH SHARE IS 0.005 PENCE; (III) THE MAXIMUM PRICE WHICH MAY BE PAID FOR A SHARE IS AN AMOUNT EQUAL TO THE HIGHER OF: (I) 105 PER CENT OF THE AVERAGE OF THE CLOSING PRICE OF THE COMPANY'S ORDINARY SHARES AS DERIVED FROM THE LONDON STOCK EXCHANGE DAILY OFFICIAL LIST FOR THE 5 BUSINESS DAYS IMMEDIATELY PRECEDING THE DAY ON WHICH SUCH SHARE IS CONTRACTED TO BE PURCHASED; OR (II) THE HIGHER OF THE PRICE OF THE LAST INDEPENDENT TRADE AND THE HIGHEST CURRENT BID AS STIPULATED BY COMMISSION-ADOPTED REGULATORY TECHNICAL STANDARDS PURSUANT TO ARTICLE 5(6) OF THE MARKET ABUSE REGULATION; AND (IV) THIS AUTHORITY SHALL EXPIRE AT THE CONCLUSION OF Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 302 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY OR ON 5 DECEMBER 2020, WHICHEVER IS EARLIER (EXCEPT IN RELATION TO THE PURCHASE OF SHARES, THE CONTRACT FOR WHICH WAS CONCLUDED BEFORE THE EXPIRY OF SUCH AUTHORITY AND WHICH MIGHT BE EXECUTED WHOLLY OR PARTLY AFTER SUCH EXPIRY) UNLESS SUCH AUTHORITY IS RENEWED PRIOR TO SUCH TIME
19 THAT A GENERAL MEETING OTHER THAN Mgmt For For AN ANNUAL GENERAL MEETING MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 303 of 721 NT SMALL CAP INDUSTRIA MACCHINE AUTOMATICHE IMA SPA
Security: T54003107 Agenda Number: 711415061 Ticker: Meeting Type: EGM ISIN: IT0001049623 Meeting Date: 08-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO APPROVE THE PROJECT OF MERGER Mgmt For For BY INCORPORATION OF GIMA TT S.P.A. INTO I.M.A. INDUSTRIA MACCHINE AUTOMATICHE S.P.A., RESOLUTIONS RELATED THERETO Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 304 of 721 NT SMALL CAP INTER PARFUMS, INC.
Security: 458334109 Agenda Number: 935065397 Ticker: IPAR Meeting Type: Annual ISIN: US4583341098 Meeting Date: 12-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Jean Madar Mgmt For For
2 Philippe Benacin Mgmt For For
3 Russell Greenberg Mgmt For For
4 Philippe Santi Mgmt For For
5 Francois Heilbronn Mgmt For For
6 Robert Bensoussan Mgmt For For
7 Patrick Choel Mgmt For For
8 Michel Dyens Mgmt For For
9 Veronique Gabai-Pinsky Mgmt For For
10 Gilbert Harrison Mgmt For For
2. To vote for the advisory resolution to approve Mgmt For For executive compensation Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 305 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3. To approve the adoption of an amendment to Mgmt For For our 2016 Option Plan to increase the number of shares issuable upon exercise of the options to be granted solely to nonemployee directors annually from 1,000 shares to 1,500 shares commencing on February 1, 2020 and continuing on each February 1 thereafter. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 306 of 721 NT SMALL CAP INTERMEDIATE CAPITAL GROUP PLC
Security: G4807D192 Agenda Number: 711323535 Ticker: Meeting Type: AGM ISIN: GB00BYT1DJ19 Meeting Date: 25-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE COMPANY'S FINANCIAL Mgmt For For STATEMENTS AND REPORTS OF THE DIRECTORS OF THE COMPANY (THE "DIRECTORS") AND OF THE AUDITORS FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019
2 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT (EXCLUDING THE DIRECTORS' REMUNERATION POLICY) AS SET OUT IN THE ANNUAL REPORT AND ACCOUNTS FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019
3 TO RE-APPOINT DELOITTE LLP AS Mgmt For For AUDITORS OF THE COMPANY TO HOLD OFFICE AS THE COMPANY'S AUDITORS FROM THE CONCLUSION OF THIS ANNUAL GENERAL MEETING UNTIL THE CONCLUSION OF THE NEXT GENERAL MEETING OF THE COMPANY AT WHICH ACCOUNTS ARE LAID
4 TO AUTHORISE THE AUDIT COMMITTEE, Mgmt For For FOR AND ON BEHALF OF THE BOARD, TO DETERMINE THE REMUNERATION OF THE AUDITORS
5 TO DECLARE A FINAL DIVIDEND OF 35 Mgmt For For PENCE PER ORDINARY SHARE FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019 PAYABLE ON 6 AUGUST 2019
6 TO RE-APPOINT KEVIN PARRY OBE AS A Mgmt For For DIRECTOR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 307 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
7 TO RE-APPOINT BENOIT DURTESTE AS A Mgmt For For DIRECTOR OF THE COMPANY
8 TO RE-APPOINT VIRGINIA HOLMES AS A Mgmt For For DIRECTOR OF THE COMPANY
9 TO RE-APPOINT MICHAEL NELLIGAN AS A Mgmt For For DIRECTOR OF THE COMPANY
10 TO RE-APPOINT KATHRYN PURVES AS A Mgmt For For DIRECTOR OF THE COMPANY
11 TO RE-APPOINT AMY SCHIOLDAGER AS A Mgmt For For DIRECTOR OF THE COMPANY
12 TO RE-APPOINT ANDREW SYKES AS A Mgmt For For DIRECTOR OF THE COMPANY
13 TO RE-APPOINT STEPHEN WELTON AS A Mgmt For For DIRECTOR OF THE COMPANY
14 TO APPOINT VIJAY BHARADIA AS A Mgmt For For DIRECTOR OF THE COMPANY
15 THAT, IN SUBSTITUTION FOR ALL Mgmt For For EXISTING AUTHORITIES, THE DIRECTORS BE GENERALLY AND UNCONDITIONALLY AUTHORISED FOR THE PURPOSES OF SECTION 551 OF THE COMPANIES ACT 2006 (THE "ACT"), TO EXERCISE ALL THE POWERS OF THE COMPANY TO ALLOT SHARES IN THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 308 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
16 THAT, IN SUBSTITUTION FOR ALL Mgmt For For EXISTING AUTHORITIES AND SUBJECT TO THE PASSING OF RESOLUTION 15, THE DIRECTORS BE GENERALLY EMPOWERED PURSUANT TO SECTION 570 OF THE ACT TO ALLOT EQUITY SECURITIES FOR CASH
17 THAT, IN ADDITION TO ANY AUTHORITY Mgmt For For GRANTED UNDER RESOLUTION 16, AND SUBJECT TO THE PASSING OF RESOLUTION 15, THE DIRECTORS BE GENERALLY EMPOWERED PURSUANT TO SECTION 570 OF THE ACT TO ALLOT EQUITY SECURITIES FOR CASH
18 THAT THE COMPANY BE GENERALLY AND Mgmt For For UNCONDITIONALLY AUTHORISED TO MAKE ONE OR MORE MARKET PURCHASES OF ORDINARY SHARES IN THE COMPANY
19 TO AUTHORISE THE DIRECTORS TO CALL Mgmt For For A GENERAL MEETING OF THE COMPANY OTHER THAN AN ANNUAL GENERAL MEETING ON NOT LESS THAN 14 CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 309 of 721 NT SMALL CAP IOMART GROUP PLC
Security: G49330106 Agenda Number: 711463911 Ticker: Meeting Type: AGM ISIN: GB0004281639 Meeting Date: 27-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 ACCEPT FINANCIAL STATEMENTS AND Mgmt For For STATUTORY REPORTS
2 APPROVE REMUNERATION REPORT Mgmt For For
3 ELECT SCOTT CUNNINGHAM AS Mgmt For For DIRECTOR
4 ELECT KARYN LAMONT AS DIRECTOR Mgmt For For
5 RE-ELECT RICHARD MASTERS AS Mgmt For For DIRECTOR
6 TO DECLARE A FINAL DIVIDEND FOR THE Mgmt For For YEAR ENDED 31 MARCH 2019 OF 5.01 P PER SHARE
7 APPOINT DELOITTE LLP AS AUDITORS Mgmt For For AND AUTHORISE THEIR REMUNERATION
8 S551 AUTHORITY TO ALLOT SHARES Mgmt For For
9 S570 AUTHORITY TO ALLOT SHARES ON A Mgmt For For NON PRE-EMPTIVE BASIS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 310 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO DISAPPLY STATUTORY PRE-EMPTION Mgmt For For RIGHTS UNDER S561 IN RELATION TO ACQUISITIONS OR OTHER CAPITAL INVESTMENTS
11 S701 AUTHORITY TO MAKE MARKET Mgmt For For PURCHASES
CMMT 31 JUL 2019: PLEASE NOTE THAT THIS IS Non-Voting A REVISION DUE TO MODIFICATION OF THE TEXT OF RESOLUTIONS 6 AND 8 TO 11. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 311 of 721 NT SMALL CAP IRISH RESIDENTIAL PROPERTIES REIT PLC
Security: G49456109 Agenda Number: 711322292 Ticker: Meeting Type: EGM ISIN: IE00BJ34P519 Meeting Date: 09-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO AUTHORISE THE DISAPPLICATION OF Mgmt For For STATUTORY PRE-EMPTION RIGHTS UP TO A SPECIFIED LIMIT Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 312 of 721 NT SMALL CAP JD SPORTS FASHION PLC
Security: G5144Y112 Agenda Number: 711263119 Ticker: Meeting Type: AGM ISIN: GB00BYX91H57 Meeting Date: 03-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECIEVE THE AUDITED FINANCIAL Mgmt For For STATEMENTS TOGETHER WITH THE REPORTS OF THE DIRECTORS AND THE AUDITORS FOR THE YEAR ENDED 2 FEBRUARY 2019
2 TO APPROVE THE DIRECTORS Mgmt For For REMUNERATION REPORT EXCLUDING THE SUMMARY OF THE DIRECTORS REMUNERATION POLICY FOR THE YEAR ENDED 2 FEBRUARY 2019
3 TO DECLARE A FINAL DIVIDEND OF 1.44 Mgmt For For PENCE PER ORDINARY SHARE
4 TO RE-ELECT PETER COWGILL AS A Mgmt Against Against DIRECTOR
5 TO RE-ELECT NEIL GREENHALGH AS A Mgmt For For DIRECTOR
6 TO RE-ELECT ANDREW LESLIE AS A Mgmt Against Against DIRECTOR
7 TO RE-ELECT MARTIN DAVIES AS A Mgmt For For DIRECTOR
8 TO RE-ELECT HEATHER JACKSON AS A Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 313 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
9 TO RE-ELECT KATH SMITH AS DIRECTOR Mgmt For For
10 TO RE-ELECT ANDREW RUBIN AS A Mgmt For For DIRECTOR
11 TO APPROVE THE SPECIAL BONUS FOR Mgmt Against Against THE EXECUTIVE CHAIRMAN
12 TO RE-APPOINT KPMG LLP AS AUDITORS Mgmt For For
13 TO AUTHORISE THE AUDIT COMMITTEE Mgmt For For TO DETERMINE THE AUDITORS REMUNERATION
14 TO AUTHORISE POLITICAL DONATIONS Mgmt For For
15 TO AUTHORISE GENERAL MEETINGS Mgmt For For OTHER THAN ANNUAL GENERAL MEETINGS TO BE CALLED ON NOT LESS THAN 14 CLEAR DAYS NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 314 of 721 NT SMALL CAP JOHN MENZIES PLC
Security: G59892110 Agenda Number: 711516089 Ticker: Meeting Type: OGM ISIN: GB0005790059 Meeting Date: 17-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 THAT THE DIRECTORS' REMUNERATION Mgmt For For POLICY (AS THAT TERM IS USED IN SECTION 439A OF THE COMPANIES ACT 2006), AS SET OUT IN PART IV (REVISED REMUNERATION POLICY) OF THE CIRCULAR TO SHAREHOLDERS OF THE COMPANY DATED 22 AUGUST 2019 OF WHICH THIS NOTICE OF GENERAL MEETING OF SHAREHOLDERS FORMS PART, BE AND IS HEREBY APPROVED AND WILL TAKE EFFECT IMMEDIATELY AFTER THE END OF THIS GENERAL MEETING OF SHAREHOLDERS ON 17 SEPTEMBER 2019
2 THAT, SUBJECT TO THE PASSING OF Mgmt For For RESOLUTION 1 ABOVE, THE RULES OF THE JOHN MENZIES PLC 2019 LONG TERM INCENTIVE PLAN (THE ''2019 LTIP'') (THE PRINCIPAL FEATURES OF WHICH ARE SUMMARISED IN PART II (SUMMARY OF PRINCIPAL TERMS OF THE JOHN MENZIES PLC 2019 LONG TERM INCENTIVE PLAN) OF THE CIRCULAR TO SHAREHOLDERS OF THE COMPANY DATED 22 AUGUST 2019 OF WHICH THIS NOTICE OF GENERAL MEETING OF SHAREHOLDERS FORMS PART) BE AND ARE HEREBY APPROVED AND THE DIRECTORS OF THE COMPANY (THE ''DIRECTORS'') BE AUTHORISED TO: A) DO ALL SUCH THINGS IN ACCORDANCE WITH APPLICABLE LAW AS MAY BE NECESSARY OR DESIRABLE TO CARRY THE 2019 LTIP INTO EFFECT, INCLUDING MAKING SUCH MODIFICATIONS AS THE DIRECTORS CONSIDER APPROPRIATE TO TAKE ACCOUNT OF THE REQUIREMENTS OF THE FINANCIAL CONDUCT AUTHORITY, HER MAJEST'S REVENUE AND CUSTOMS AND BEST PRACTICE; AND B) ADOPT FURTHER SCHEMES FOR THE BENEFIT OF EMPLOYEES OUTSIDE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 315 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
THE UNITED KINGDOM BASED ON THE 2019 LTIP BUT MODIFIED TO TAKE ACCOUNT OF LOCAL TAX, EXCHANGE CONTROL OR SECURITIES LAW IN OVERSEAS TERRITORIES, PROVIDED THAT ANY SHARES MADE AVAILABLE UNDER SUCH FURTHER SCHEMES ARE TREATED AS COUNTING AGAINST ANY LIMITS ON INDIVIDUAL OR OVERALL PARTICIPATION IN THE 2019 LTIP
3 THAT, SUBJECT TO THE PASSING OF Mgmt For For RESOLUTION 1 ABOVE, THE RULES OF THE JOHN MENZIES PLC 2019 TRANSFORMATION INCENTIVE PLAN (THE ''2019 TIP'') (THE PRINCIPAL FEATURES OF WHICH ARE SUMMARISED IN PART III (SUMMARY OF PRINCIPAL TERMS OF THE JOHN MENZIES PLC 2019 TRANSFORMATION INCENTIVE PLAN) OF THE CIRCULAR TO SHAREHOLDERS OF THE COMPANY DATED 22 AUGUST 2019 OF WHICH THIS NOTICE OF GENERAL MEETING OF SHAREHOLDERS FORMS PART) BE AND ARE HEREBY APPROVED AND THE DIRECTORS OF THE COMPANY (THE ''DIRECTORS'') BE AUTHORISED TO: A) DO ALL SUCH THINGS IN ACCORDANCE WITH APPLICABLE LAW AS MAY BE NECESSARY OR DESIRABLE TO CARRY THE 2019 TIP INTO EFFECT, INCLUDING MAKING SUCH MODIFICATIONS AS THE DIRECTORS CONSIDER APPROPRIATE TO TAKE ACCOUNT OF THE REQUIREMENTS OF THE FINANCIAL CONDUCT AUTHORITY, HER MAJESTY'S REVENUE AND CUSTOMS AND BEST PRACTICE; AND B) ADOPT FURTHER SCHEMES FOR THE BENEFIT OF EMPLOYEES OUTSIDE THE UNITED KINGDOM BASED ON THE 2019 TIP BUT MODIFIED TO TAKE ACCOUNT OF LOCAL TAX, EXCHANGE CONTROL OR SECURITIES LAW IN OVERSEAS TERRITORIES, PROVIDED THAT ANY SHARES MADE AVAILABLE UNDER SUCH FURTHER SCHEMES ARE TREATED AS COUNTING AGAINST ANY LIMITS ON INDIVIDUAL OR OVERALL PARTICIPATION IN THE 2019 TIP Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 316 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4 THAT, SUBJECT TO AND CONDITIONAL ON Mgmt For For THE PASSING OF RESOLUTION 5 BELOW, THE DIRECTORS OF THE COMPANY (''DIRECTORS'') BE GENERALLY AND UNCONDITIONALLY AUTHORISED IN ACCORDANCE WITH SECTION 551 OF THE COMPANIES ACT 2006 TO EXERCISE ALL THE POWERS OF THE COMPANY TO ALLOT ORDINARY SHARES OF GBP 0.25 EACH IN THE CAPITAL OF THE COMPANY (THE ''ORDINARY SHARES'') AND TO GRANT RIGHTS TO SUBSCRIBE FOR, OR CONVERT ANY SECURITY INTO, ORDINARY SHARES UP TO AN AGGREGATE NOMINAL AMOUNT OF GBP 99,613.50 PURSUANT TO OR IN CONNECTION WITH THE REPAYMENT AND CANCELLATION OF THE PREFERENCE SHARES OF GBP 1.00 EACH IN THE CAPITAL OF THE COMPANY (''PREFERENCE SHARES'') TO HOLDERS OF PREFERENCE SHARES ON THE COMPANY'S REGISTER OF MEMBERS AT CLOSE OF BUSINESS ON 31 OCTOBER 2019, SUCH AUTHORITY TO APPLY UNTIL THE CONCLUSION OF THE ANNUAL GENERAL MEETING OF THE COMPANY TO BE HELD IN 2020 OR ON 30 JUNE 2020, IF EARLIER, BUT, IN EACH CASE, SO THAT THE COMPANY MAY, BEFORE SUCH EXPIRY, MAKE OFFERS AND ENTER INTO AGREEMENTS WHICH WOULD, OR MIGHT, REQUIRE ORDINARY SHARES TO BE ALLOTTED OR RIGHTS TO SUBSCRIBE FOR OR TO CONVERT ANY SECURITY INTO ORDINARY SHARES TO BE GRANTED AFTER THE AUTHORITY GIVEN BY THIS RESOLUTION 4 HAS EXPIRED AND THE DIRECTORS SHALL BE ENTITLED TO ALLOT SUCH ORDINARY SHARES AND TO GRANT SUCH RIGHTS PURSUANT TO ANY SUCH OFFER OR AGREEMENT AS IF THE AUTHORITY CONFERRED BY THIS RESOLUTION 4 HAD NOT EXPIRED Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 317 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
5 THAT, SUBJECT TO THE CONFIRMATION Mgmt For For OF THE COURT OF SESSION, EDINBURGH, THE ISSUED SHARE CAPITAL OF THE COMPANY BE REDUCED BY CANCELLING AND REPAYING THE ISSUED PREFERENCE SHARES OF GBP 1.00 EACH IN THE CAPITAL OF THE COMPANY (''PREFERENCE SHARES''), THE REPAYMENT TO BE ON SUCH TERMS THAT EACH HOLDER OF PREFERENCE SHARES SHALL RECEIVE ORDINARY SHARES OF GBP 0.25 EACH IN THE CAPITAL OF THE COMPANY (''ORDINARY SHARES'') IN THE AMOUNT OF 2 ORDINARY SHARES FOR EVERY 7 PREFERENCE SHARES HELD AND SO IN PROPORTION FOR ANY OTHER NUMBER OF PREFERENCE SHARES AND OTHERWISE IN ACCORDANCE WITH PARAGRAPH 4 OF PART I OF THE DOCUMENT OF WHICH THE NOTICE OF THIS SPECIAL RESOLUTION FORMS PART Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 318 of 721 NT SMALL CAP JOHN WILEY & SONS, INC.
Security: 968223206 Agenda Number: 935070956 Ticker: JWA Meeting Type: Annual ISIN: US9682232064 Meeting Date: 26-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Beth Birnbaum Mgmt For For
2 David C. Dobson Mgmt For For
3 William Pence Mgmt For For
2. Ratification of the appointment of KPMG LLP Mgmt For For as independent accountants for the fiscal year ending April 30, 2020.
3. Approval, on an advisory basis, of the Mgmt For For compensation of the named executive officers. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 319 of 721 NT SMALL CAP JPJ GROUP PLC
Security: G5210K103 Agenda Number: 711363286 Ticker: Meeting Type: OGM ISIN: GB00BZ14BX56 Meeting Date: 31-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 THAT, SUBJECT TO AND CONDITIONAL Mgmt For For UPON RESOLUTION 2 BEING PASSED BY THE REQUISITE MAJORITY, THE PROPOSED ACQUISITION OF THE TARGET BUSINESS BY THE COMPANY (ON THE TERMS AND CONDITIONS SET OUT IN THE COMPANY'S COMBINED CIRCULAR AND PROSPECTUS DATED ON OR AROUND 27 JUNE 2019) BE AND IS HEREBY APPROVED.
2 THAT, SUBJECT TO AND CONDITIONAL Mgmt For For UPON RESOLUTION 1 BEING PASSED BY THE REQUISITE MAJORITY THE JPJ DIRECTORS BE AUTHORISED TO ALLOT AND ISSUE JPJ SHARES UP TO AN AGGREGATE NOMINAL AMOUNT OF GBP 3,365,384.60.
CMMT 03 JUL 2019: PLEASE NOTE THAT THIS IS Non-Voting A REVISION DUE TO MODIFICATION OF THE TEXT IN ALL RESOLUTIONS AND MEETING TYPE HAS BEEN REVISED TO OGM. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 320 of 721 NT SMALL CAP JYSKE BANK A/S
Security: K55633117 Agenda Number: 711511003 Ticker: Meeting Type: EGM ISIN: DK0010307958 Meeting Date: 11-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT IN THE MAJORITY OF MEETINGS THE Non-Voting VOTES ARE CAST WITH THE REGISTRAR WHO WILL FOLLOW CLIENT INSTRUCTIONS. IN A SMALL PERCENTAGE OF MEETINGS THERE IS NO REGISTRAR AND CLIENTS VOTES MAY BE CAST BY THE CHAIRMAN OF THE BOARD OR A BOARD MEMBER AS PROXY. CLIENTS CAN ONLY EXPECT THEM TO ACCEPT PRO-MANAGEMENT VOTES. THE ONLY WAY TO GUARANTEE THAT ABSTAIN AND/OR AGAINST VOTES ARE REPRESENTED AT THE MEETING IS TO SEND YOUR OWN REPRESENTATIVE OR ATTEND THE MEETING IN PERSON. THE SUB CUSTODIAN BANKS OFFER REPRESENTATION SERVICES FOR AN ADDED FEE IF REQUESTED. THANK YOU
CMMT PLEASE BE ADVISED THAT SPLIT AND Non-Voting PARTIAL VOTING IS NOT AUTHORISED FOR A BENEFICIAL OWNER IN THE DANISH MARKET. PLEASE CONTACT YOUR GLOBAL CUSTODIAN FOR FURTHER INFORMATION.
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 321 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
A MOTION PROPOSED BY THE Mgmt For For SUPERVISORY BOARD: REDUCTION OF JYSKE BANK'S SHARE CAPITAL Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 322 of 721 NT SMALL CAP KAINOS GROUP PLC
Security: G5209U104 Agenda Number: 711516065 Ticker: Meeting Type: AGM ISIN: GB00BZ0D6727 Meeting Date: 26-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE COMPANY'S AUDITED Mgmt For For ACCOUNTS AND FINANCIAL STATEMENTS AND THE AUDITOR'S AND DIRECTORS' REPORTS ON THE ACCOUNTS AND FINANCIAL STATEMENTS FOR THE YEAR ENDED 31 MARCH 2019
2 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT (EXCLUDING THE DIRECTORS' REMUNERATION POLICY) FOR THE YEAR ENDED 31 MARCH 2019
3 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION POLICY (AS CONTAINED IN THE DIRECTORS' REMUNERATION REPORT FOR THE YEAR ENDED 31 MARCH 2019)
4 TO DECLARE A FINAL DIVIDEND OF 6.5 Mgmt For For PENCE PER ORDINARY SHARE IN RESPECT OF THE YEAR ENDED 31 MARCH 2019
5 TO RE-ELECT DR BRENDAN MOONEY AS Mgmt For For A DIRECTOR OF THE COMPANY
6 TO RE-ELECT MR RICHARD MCCANN AS A Mgmt For For DIRECTOR OF THE COMPANY
7 TO RE-ELECT MR PAUL GANNON AS A Mgmt For For DIRECTOR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 323 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8 TO RE-ELECT MR ANDY MALPASS AS A Mgmt For For DIRECTOR OF THE COMPANY
9 TO RE-ELECT MR CHRIS COWAN AS A Mgmt Against Against DIRECTOR OF THE COMPANY
10 TO RE-ELECT MR TOM BURNET AS A Mgmt Against Against DIRECTOR OF THE COMPANY
11 TO RE-APPOINT DELOITTE LLP AS THE Mgmt For For COMPANY'S AUDITOR
12 TO AUTHORISE THE AUDIT COMMITTEE Mgmt For For TO AGREE THE REMUNERATION OF THE AUDITOR OF THE COMPANY
13 TO AUTHORISE THE DIRECTORS Mgmt For For GENERALLY AND UNCONDITIONALLY, PURSUANT TO SECTION 551 OF THE COMPANIES ACT 2006 (THE ACT), TO EXERCISE ALL POWERS OF THE COMPANY TO ALLOT SHARES IN THE COMPANY AND/ OR TO GRANT RIGHTS TO SUBSCRIBE FOR, OR TO CONVERT ANY SECURITY INTO SHARES IN THE COMPANY: (A) UP TO A MAXIMUM AGGREGATE NOMINAL AMOUNT OF GBP 200,347 (SUCH AMOUNT TO BE REDUCED BY THE NOMINAL AMOUNT OF ANY EQUITY SECURITIES (WITHIN THE MEANING OF SECTION 560 OF THE ACT) ALLOTTED UNDER PARAGRAPH (B) BELOW; AND (B) COMPRISING EQUITY SECURITIES (WITHIN THE MEANING OF SECTION 560 OF THE ACT) IN CONNECTION WITH A RIGHTS ISSUE (AS REFERRED TO IN THE FINANCIAL CONDUCT AUTHORITY'S LISTING RULES) OR PURSUANT TO ANY ARRANGEMENTS MADE FOR THE PLACING OR UNDERWRITING OR OTHER ALLOCATION OF ANY SHARES OR OTHER SECURITIES INCLUDED IN, BUT NOT TAKEN UP UNDER, SUCH RIGHTS ISSUE UP TO A MAXIMUM AGGREGATE NOMINAL AMOUNT OF GBP 400,694 (SUCH AMOUNT Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 324 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
TO BE REDUCED BY ANY SHARES ALLOTTED OR RIGHTS GRANTED UNDER SUBPARAGRAPH (A) ABOVE), PROVIDED THAT THESE AUTHORITIES REPLACE ANY EXISTING AUTHORITIES VESTED IN THE DIRECTORS ON THE DATE OF THIS NOTICE OF ANNUAL GENERAL MEETING TO ALLOT SHARES AND/OR GRANT RIGHTS THAT REMAIN UNEXERCISED AT THE COMMENCEMENT OF THE 2019 ANNUAL GENERAL MEETING AND UNLESS RENEWED OR REVOKED, SHALL EXPIRE ON THE EARLIER OF THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AND THE CLOSE OF BUSINESS ON 30 SEPTEMBER 2020 BUT SO AS TO ENABLE THE COMPANY BEFORE SUCH DATE TO MAKE OFFERS OR AGREEMENTS WHICH WOULD OR MIGHT REQUIRE SHARES TO BE ALLOTTED AND/OR RIGHTS TO BE GRANTED AFTER SUCH EXPIRY AND THE DIRECTORS MAY ALLOT SHARES AND/OR GRANT RIGHTS IN PURSUANCE OF SUCH OFFER OR AGREEMENT AS IF THE AUTHORITIES CONFERRED UNDER THIS RESOLUTION HAD NOT EXPIRED
14 SUBJECT TO THE PASSING OF Mgmt For For RESOLUTION 13 ABOVE, TO EMPOWER THE DIRECTORS IN ACCORDANCE WITH SECTIONS 570 TO 573 OF THE ACT, UNTIL THE EARLIER OF CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AND THE CLOSE OF BUSINESS ON 30 SEPTEMBER 2020, TO MAKE ALLOTMENTS OF EQUITY SECURITIES (AS CONSTRUED IN ACCORDANCE WITH SECTION 560 OF THE ACT) FOR CASH UNDER THE AUTHORITIES CONFERRED BY RESOLUTION 13 ABOVE OR BY WAY OF SALE OF TREASURY SHARES, AS IF SECTION 561 OF THE ACT DID NOT APPLY TO ANY SUCH ALLOTMENT (OR SALE), SUCH POWERS BEING LIMITED TO THE ALLOTMENT OF EQUITY SECURITIES OR SALE OF TREASURY SHARES: (A) IN CONNECTION WITH AN ISSUE OR OFFER BY WAY OF RIGHTS IN FAVOUR OF HOLDERS OF EQUITY SECURITIES AND OF ANY OTHER PERSON IN PROPORTION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 325 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
(AS NEARLY AS MAY BE PRACTICABLE) TO THEIR RESPECTIVE HOLDINGS OR IN ACCORDANCE WITH THE RIGHTS ATTACHING THERETO (BUT WITH SUCH EXCLUSIONS OR OTHER ARRANGEMENTS AS THE DIRECTORS MAY DEEM NECESSARY OR EXPEDIENT TO DEAL WITH FRACTIONAL ENTITLEMENTS, THE USE OF MORE THAN ONE CURRENCY FOR THE MAKING OF PAYMENTS IN RESPECT OF SUCH OFFER, RECORD DATES OR OTHER LEGAL OR PRACTICAL PROBLEMS IN OR UNDER THE LAWS OF, OR ANY REQUIREMENTS OF ANY RECOGNISED REGULATORY BODY OR STOCK EXCHANGE IN, ANY TERRITORY OR AS REGARDS SHARES HELD BY AN APPROVED DEPOSITARY OR IN ISSUE IN UNCERTIFICATED FORM OR OTHERWISE HOWEVER); AND (B) OTHERWISE THAN PURSUANT TO SUB- PARAGRAPH (A) ABOVE UP TO A MAXIMUM AGGREGATE NOMINAL AMOUNT OF GBP 30,356, SAVE THAT THE COMPANY MAY, BEFORE EXPIRY OF THOSE POWERS, MAKE AN OFFER OR AGREEMENT WHICH WOULD, OR MIGHT, REQUIRE EQUITY SECURITIES TO BE ALLOTTED AFTER SUCH EXPIRY AND THE DIRECTORS MAY ALLOT EQUITY SECURITIES (AND SELL TREASURY SHARES) PURSUANT TO ANY SUCH OFFER OR AGREEMENT AS IF THE POWERS HAD NOT EXPIRED
15 SUBJECT TO THE PASSING OF Mgmt For For RESOLUTION 13, AND IN ADDITION TO THE POWERS CONTAINED IN RESOLUTION 14, TO EMPOWER THE DIRECTORS, UNTIL THE EARLIER OF THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AND THE CLOSE OF BUSINESS ON 30 SEPTEMBER 2020, TO MAKE ALLOTMENT OF EQUITY SECURITIES (AS CONSTRUED IN ACCORDANCE WITH SECTION 560 OF THE ACT) FOR CASH PURSUANT TO THE AUTHORITIES THAT WERE CONFERRED ON THE DIRECTORS BY RESOLUTION 13 ABOVE OR BY WAY OF SALE OF TREASURY SHARES AS IF SECTION 561 OF THE ACT DID NOT APPLY TO ANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 326 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
SUCH ALLOTMENT OR SALE, SUCH POWERS BEING LIMITED TO THE ALLOTMENT OF EQUITY SECURITIES OR THE SALE OF TREASURY SHARES: (A) UP TO A MAXIMUM AGGREGATE NOMINAL AMOUNT OF GBP 30,356; AND (B) USED ONLY FOR THE PURPOSES OF FINANCING (OR RE- FINANCING, IF SUCH RE-FINANCING OCCURS WITHIN SIX MONTHS AFTER THE DATE OF THE ORIGINAL TRANSACTION) A TRANSACTION WHICH THE DIRECTORS DETERMINE TO BE AN ACQUISITION OR OTHER CAPITAL INVESTMENT OF A KIND CONTEMPLATED BY THE STATEMENT OF PRINCIPLES ON DISAPPLYING PRE- EMPTION RIGHTS MOST RECENTLY PUBLISHED BY THE PRE-EMPTION GROUP PRIOR TO THE DATE OF THIS NOTICE OF ANNUAL GENERAL MEETING, SAVE THAT THE COMPANY MAY, BEFORE EXPIRY OF THOSE POWERS, MAKE AN OFFER OR AGREEMENT WHICH WOULD, OR MIGHT, REQUIRE EQUITY SECURITIES TO BE ALLOTTED (AND TREASURY SHARES TO BE SOLD) AFTER SUCH EXPIRY AND THE DIRECTORS MAY ALLOT EQUITY SECURITIES (AND SELL TREASURY SHARES) PURSUANT TO ANY SUCH OFFER OR AGREEMENT AS IF SUCH POWERS HAD NOT EXPIRED
16 THAT THE COMPANY IS GENERALLY AND Mgmt For For UNCONDITIONALLY AUTHORISED FOR THE PURPOSES OF SECTION 701 OF THE ACT TO MAKE MARKET PURCHASES (AS DEFINED IN SECTION 693 OF THE ACT) OF ITS ORDINARY SHARES UPON SUCH TERMS AND IN SUCH MANNER AS THE DIRECTORS OF THE COMPANY SHALL DETERMINE PROVIDED THAT: (A) THE MAXIMUM NUMBER OF ORDINARY SHARES HEREBY AUTHORISED TO BE PURCHASED IS 12,142,235; (B) THE MINIMUM PRICE (EXCLUSIVE OF EXPENSES) WHICH MAY BE PAID FOR SUCH A SHARE IS ITS NOMINAL VALUE; (C) THE MAXIMUM PRICE (EXCLUSIVE OF EXPENSES) WHICH MAY BE PAID FOR SUCH A SHARE SHALL BE THE HIGHER OF: (I) 5% ABOVE THE AVERAGE OF THE MIDDLE MARKET QUOTATION OF AN Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 327 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
ORDINARY SHARE OF THE COMPANY TAKEN FROM THE LONDON STOCK EXCHANGE DAILY OFFICIAL LIST FOR THE FIVE BUSINESS DAYS IMMEDIATELY PRECEDING THE DATE ON WHICH THE PURCHASE IS MADE; AND/OR (II) THE PRICE OF THE LAST INDEPENDENT TRADE AND THE HIGHEST CURRENT INDEPENDENT TRADE ON THE TRADING VENUES WHERE THE PURCHASE IS CARRIED OUT AND THE HIGHEST CURRENT INDEPENDENT BID ON THE TRADING VENUES WHERE THE PURCHASE IS CARRIED OUT; (D) THE AUTHORITY HEREBY CONFERRED SHALL (UNLESS PREVIOUSLY RENEWED OR REVOKED) EXPIRE ON THE EARLIER OF THE CONCLUSION OF THE COMPANY'S NEXT ANNUAL GENERAL MEETING AND THE CLOSE OF BUSINESS ON 30 SEPTEMBER 2020; (E) THE COMPANY MAY MAKE A CONTRACT OR CONTRACTS TO PURCHASE ORDINARY SHARES UNDER THE AUTHORITY HEREBY CONFERRED PRIOR TO THE EXPIRY OF SUCH AUTHORITY WHICH WILL OR MAY BE EXECUTED WHOLLY OR PARTLY AFTER THE EXPIRY OF SUCH AUTHORITY AND MAY MAKE A PURCHASE OF ORDINARY SHARES IN PURSUANCE OF ANY SUCH CONTRACT OR CONTRACTS AS IF THE AUTHORITY CONFERRED HAD NOT EXPIRED
17 THAT ANY GENERAL MEETING OF THE Mgmt For For COMPANY, OTHER THAN AN ANNUAL GENERAL MEETING, MAY BE CALLED BY NOT LESS THAN 14 CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 328 of 721 NT SMALL CAP KEMET CORPORATION
Security: 488360207 Agenda Number: 935053633 Ticker: KEM Meeting Type: Annual ISIN: US4883602074 Meeting Date: 31-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1.1 Election of Director: Jacob T. Kotzubei Mgmt For For
1.2 Election of Director: Robert G. Paul Mgmt For For
1.3 Election of Director: Yasuko Matsumoto Mgmt For For
2. The ratification of the appointment of Ernst & Mgmt For For Young LLP as the Company's independent registered public accounting firm for the fiscal year ending March 31, 2020.
3. Advisory approval of the compensation paid Mgmt For For to the Company's Named Executive Officers. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 329 of 721 NT SMALL CAP KLX ENERGY SERVICES HOLDINGS, INC.
Security: 48253L106 Agenda Number: 935059382 Ticker: KLXE Meeting Type: Annual ISIN: US48253L1061 Meeting Date: 22-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Richard G. Hamermesh Mgmt Withheld Against
2 Theodore L. Weise Mgmt For For
3 John T. Whates, Esq. Mgmt For For
2. Proposal to ratify the appointment of Deloitte Mgmt For For & Touche LLP as the Company's independent registered public accounting firm for the 2019 fiscal year. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 330 of 721 NT SMALL CAP KONINKLIJKE WESSANEN NV
Security: N95242165 Agenda Number: 711431003 Ticker: Meeting Type: EGM ISIN: NL0000395317 Meeting Date: 29-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT BENEFICIAL OWNER Non-Voting DETAILS IS REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU.
1 OPENING Non-Voting
2 EXPLANATION OF THE RECOMMENDED Non-Voting CASH OFFER
3 POST-CLOSING RESTRUCTURING Mgmt For For RESOLUTION
4 APPOINTMENT OF MR DE GANTES AS Mgmt For For MEMBER OF THE EXECUTIVE BOARD
5.A CONDITIONAL APPOINTMENT OF MRS Mgmt For For D'ENGREMONT AS MEMBER OF THE SUPERVISORY BOARD
5.B CONDITIONAL APPOINTMENT OF MR Mgmt For For MONIER AS MEMBER OF THE SUPERVISORY BOARD
5.C CONDITIONAL APPOINTMENT OF MRS Mgmt For For SIMONSE AS MEMBER OF THE SUPERVISORY BOARD Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 331 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
5.D CONDITIONAL APPOINTMENT OF MR Mgmt For For JOBSON AS MEMBER OF THE SUPERVISORY BOARD
5.E CONDITIONAL APPOINTMENT OF MR Mgmt For For SUBERBIELLE AS MEMBER OF THE SUPERVISORY BOARD
6 CONDITIONAL GRANTING OF FULL AND Mgmt For For FINAL DISCHARGE FROM LIABILITY TO ALL MEMBERS OF THE SUPERVISORY BOARD
7 CONDITIONAL GRANTING OF FULL AND Mgmt For For FINAL DISCHARGE FROM LIABILITY TO THE MEMBERS OF THE EXECUTIVE BOARD
8 CONDITIONAL CONVERSION AND Mgmt For For AMENDMENT ARTICLES OF ASSOCIATION OF WESSANEN
9 QUESTIONS AND CLOSE OF THE Non-Voting MEETING Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 332 of 721 NT SMALL CAP LA-Z-BOY INCORPORATED
Security: 505336107 Agenda Number: 935061161 Ticker: LZB Meeting Type: Annual ISIN: US5053361078 Meeting Date: 27-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Kurt L. Darrow Mgmt For For
2 Sarah M. Gallagher Mgmt For For
3 Edwin J. Holman Mgmt For For
4 Janet E. Kerr Mgmt For For
5 Michael T. Lawton Mgmt For For
6 H. George Levy, MD Mgmt For For
7 W. Alan McCollough Mgmt For For
8 Rebecca L. O'Grady Mgmt For For
9 Lauren B. Peters Mgmt For For
10 Dr. Nido R. Qubein Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 333 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
2. To ratify the selection of Mgmt For For PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2020.
3. To approve, through a non-binding advisory Mgmt For For vote, the compensation of the company's named executive officers as disclosed in the Proxy Statement. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 334 of 721 NT SMALL CAP LEGG MASON, INC.
Security: 524901105 Agenda Number: 935053950 Ticker: LM Meeting Type: Annual ISIN: US5249011058 Meeting Date: 30-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Robert E. Angelica Mgmt For For
2 Carol Anthony Davidson Mgmt For For
3 Edward P. Garden Mgmt For For
4 Michelle J. Goldberg Mgmt For For
5 Stephen C. Hooley Mgmt For For
6 John V. Murphy Mgmt For For
7 Nelson Peltz Mgmt For For
8 Alison A. Quirk Mgmt For For
9 Joseph A. Sullivan Mgmt For For
2. An advisory vote to approve the Mgmt For For compensation of Legg Mason's named executive officers. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 335 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3. Ratification of the appointment of Mgmt For For PricewaterhouseCoopers LLP as Legg Mason's independent registered public accounting firm for the fiscal year ending March 31, 2020.
4. Consideration of a shareholder proposal to Shr For remove supermajority voting provisions from our charter and bylaws. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 336 of 721 NT SMALL CAP LEONTEQ AG
Security: H7249V109 Agenda Number: 711523452 Ticker: Meeting Type: EGM ISIN: CH0190891181 Meeting Date: 19-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT BENEFICIAL OWNER Non-Voting DETAILS IS REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU.
CMMT PART 2 OF THIS MEETING IS FOR VOTING Non-Voting ON AGENDA AND MEETING ATTENDANCE REQUESTS ONLY. PLEASE ENSURE THAT YOU HAVE FIRST VOTED IN FAVOUR OF THE REGISTRATION OF SHARES IN PART 1 OF THE MEETING. IT IS A MARKET REQUIREMENT FOR MEETINGS OF THIS TYPE THAT THE SHARES ARE REGISTERED AND MOVED TO A REGISTERED LOCATION AT THE CSD, AND SPECIFIC POLICIES AT THE INDIVIDUAL SUB-CUSTODIANS MAY VARY. UPON RECEIPT OF THE VOTE INSTRUCTION, IT IS POSSIBLE THAT A MARKER MAY BE PLACED ON YOUR SHARES TO ALLOW FOR RECONCILIATION AND RE-REGISTRATION FOLLOWING A TRADE. THEREFORE WHILST THIS DOES NOT PREVENT THE TRADING OF SHARES, ANY THAT ARE REGISTERED MUST BE FIRST DEREGISTERED IF REQUIRED FOR SETTLEMENT. DEREGISTRATION CAN AFFECT THE VOTING RIGHTS OF THOSE SHARES. IF YOU HAVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE
1 ELECTION OF DOMINIK SCHAERER TO Mgmt For For THE BOARD OF DIRECTORS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 337 of 721 NT SMALL CAP LEOVEGAS AB
Security: W5S14M117 Agenda Number: 711460927 Ticker: Meeting Type: EGM ISIN: SE0008091904 Meeting Date: 28-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT AN ABSTAIN VOTE CAN HAVE THE SAME Non-Voting EFFECT AS AN AGAINST VOTE IF THE MEETING REQUIRE APPROVAL FROM MAJORITY OF PARTICIPANTS TO PASS A RESOLUTION.
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE
CMMT PLEASE NOTE THAT THIS IS AN Non-Voting AMENDMENT TO MEETING ID 275279 DUE TO RESOLUTIONS 6.A AND 6.B ARE SINGLE RESOLUTION. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 338 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 OPENING OF THE MEETING AND Non-Voting ELECTION OF THE CHAIRMAN OF THE GENERAL MEETING: CARL SVERNLOV, ATTORNEY AT LAW, BAKER & MCKENZIE ADVOKATBYRA
2 PREPARATION AND APPROVAL OF Non-Voting VOTING LIST
3 ELECTION OF ONE OR TWO PERSON TO Non-Voting CERTIFY THE MINUTES
4 DETERMINATION OF WHETHER THE Non-Voting GENERAL MEETING HAS BEEN DULY CONVENED
5 APPROVAL OF THE AGENDA Non-Voting
6 RESOLUTION REGARDING WARRANT Mgmt For For PROGRAM AND ISSUE OF WARRANTS 2019/2022: A. ISSUE OF WARRANTS TO THE SUBSIDIARY 2019/2022, B. APPROVAL OF TRANSFER OF WARRANTS, C. FURTHER INFORMATION REGARDING THE WARRANT PROGRAM
7 CLOSING OF THE MEETING Non-Voting Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 339 of 721 NT SMALL CAP LIBERTY EXPEDIA HOLDINGS, INC.
Security: 53046P109 Agenda Number: 935058265 Ticker: LEXEA Meeting Type: Special ISIN: US53046P1093 Meeting Date: 26-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. To approve the adoption of Agreement & Plan Mgmt For For of Merger (as may be amended from time to time, merger agreement), by and among Expedia Group, Inc. (Expedia Group), LEMS I LLC (Merger LLC), LEMS II Inc. (Merger Sub) and Liberty Expedia Holdings, Inc. (Liberty Expedia), pursuant to which Merger Sub will merge with & into Liberty Expedia (first merger) & immediately thereafter, Liberty Expedia as the surviving corporation of first merger will merge with & into Merger LLC, with Merger LLC surviving as the surviving company (together with first merger, mergers).
2. A proposal to approve, by advisory (non- Mgmt For For binding) vote, certain compensation that may be paid or become payable to the named executive officers of Liberty Expedia in connection with the completion of the mergers.
3. A proposal to approve the adjournment of the Mgmt For For Liberty Expedia special meeting, if necessary or appropriate, to solicit additional proxies in favor of the proposal to approve the merger agreement, if there are insufficient votes at the time of such adjournment to approve such proposal. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 340 of 721 NT SMALL CAP LIONS GATE ENTERTAINMENT CORP.
Security: 535919401 Agenda Number: 935065599 Ticker: LGFA Meeting Type: Annual ISIN: CA5359194019 Meeting Date: 10-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: Michael Burns Mgmt For For
1b. Election of Director: Gordon Crawford Mgmt For For
1c. Election of Director: Arthur Evrensel Mgmt For For
1d. Election of Director: Jon Feltheimer Mgmt For For
1e. Election of Director: Emily Fine Mgmt For For
1f. Election of Director: Michael T. Fries Mgmt Abstain Against
1g. Election of Director: Sir Lucian Grainge Mgmt For For
1h. Election of Director: Susan McCaw Mgmt For For
1i. Election of Director: Mark H. Rachesky, M.D. Mgmt Abstain Against
1j. Election of Director: Daniel Sanchez Mgmt For For
1k. Election of Director: Daryl Simm Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 341 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1l. Election of Director: Hardwick Simmons Mgmt For For
1m. Election of Director: David M. Zaslav Mgmt Abstain Against
2. Appointment of Auditors: To reappoint Ernst & Mgmt For For Young LLP as the independent registered public accounting firm for the Company for the fiscal year ending March 31, 2020 at a remuneration to be determined by the Audit & Risk Committee. See the section entitled "Proposal 2: Re-Appointment of Independent Registered Public Accounting Firm" in the Notice and Proxy Statement.
3. Advisory Vote on Executive Compensation: To Mgmt Against Against pass a non-binding advisory resolution to approve the compensation paid to the Company's Named Executive Officers. See the section entitled "Proposal 3: Advisory Vote to Approve Executive Compensation" in the Notice and Proxy Statement.
4. Lions Gate Entertainment Corp. 2019 Mgmt For For Performance Incentive Plan: To approve the Lions Gate Entertainment 2019 Performance Incentive Plan. See the section entitled "Proposal 4: Proposal to Approve Lions Gate Entertainment Corp. 2019 Performance Incentive Plan" in the Notice and Proxy Statement.
5. In their discretion, the proxies are authorized Mgmt Against Against to vote upon such other business as may properly come before the Meeting and any continuations, adjournments or postponements thereof. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 342 of 721 NT SMALL CAP LIVERAMP HOLDINGS, INC.
Security: 53815P108 Agenda Number: 935056110 Ticker: RAMP Meeting Type: Annual ISIN: US53815P1084 Meeting Date: 13-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: Richard P. Fox Mgmt For For
1b. Election of Director: Clark M. Kokich Mgmt For For
2. Advisory (non-binding) vote to approve the Mgmt For For compensation of the Company's named executive officers.
3. Ratification of KPMG LLP as the Company's Mgmt For For independent registered public accountant for Fiscal Year 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 343 of 721 NT SMALL CAP LOGITECH INTERNATIONAL SA
Security: H50430232 Agenda Number: 711456790 Ticker: Meeting Type: AGM ISIN: CH0025751329 Meeting Date: 04-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 APPROVAL OF THE ANNUAL REPORT, THE Mgmt For For CONSOLIDATED FINANCIAL STATEMENTS AND THE STATUTORY FINANCIAL STATEMENTS OF LOGITECH INTERNATIONAL S.A. FOR FISCAL YEAR 2019
2 ADVISORY VOTE TO APPROVE Mgmt For For EXECUTIVE COMPENSATION
3 APPROPRIATION OF RETAINED Mgmt For For EARNINGS AND DECLARATION OF DIVIDEND: CHF 0.7346 PER SHARE
4 RELEASE OF THE BOARD OF DIRECTORS Mgmt For For AND EXECUTIVE OFFICERS FROM LIABILITY FOR ACTIVITIES DURING FISCAL YEAR 2019
5.A RE-ELECTION OF DR. PATRICK Mgmt For For AEBISCHER TO THE BOARD OF DIRECTORS
5.B RE-ELECTION MS. WENDY BECKER TO Mgmt For For THE BOARD OF DIRECTORS
5.C RE-ELECTION OF DR. EDOUARD Mgmt For For BUGNION TO THE BOARD OF DIRECTORS
5.D RE-ELECTION OF MR. BRACKEN Mgmt For For DARRELL TO THE BOARD OF DIRECTORS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 344 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
5.E RE-ELECTION OF MR. GUERRINO DE Mgmt For For LUCA TO THE BOARD OF DIRECTORS
5.F RE-ELECTION OF MR. DIDIER HIRSCH TO Mgmt For For THE BOARD OF DIRECTORS
5.G RE-ELECTION OF DR. NEIL HUNT TO THE Mgmt For For BOARD OF DIRECTORS
5.H RE-ELECTION OF MS. MARJORIE LAO TO Mgmt For For THE BOARD OF DIRECTORS
5.I RE-ELECTION OF MS. NEELA Mgmt For For MONTGOMERY TO THE BOARD OF DIRECTORS
5.J ELECTION OF MR. GUY GECHT TO THE Mgmt For For BOARD OF DIRECTORS
5.K ELECTION OF MR. MICHAEL POLK TO THE Mgmt For For BOARD OF DIRECTORS
6 ELECTION OF THE CHAIRPERSON OF Mgmt For For THE BOARD: MS. WENDY BECKER
7.A RE-ELECTION OF DR. EDOUARD Mgmt For For BUGNION TO THE COMPENSATION COMMITTEE
7.B RE-ELECTION OF DR. NEIL HUNT TO THE Mgmt For For COMPENSATION COMMITTEE
7.C ELECTION OF MR. MICHAEL POLK TO THE Mgmt For For COMPENSATION COMMITTEE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 345 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8 APPROVAL OF COMPENSATION FOR THE Mgmt For For BOARD OF DIRECTORS FOR THE 2019 TO 2020 BOARD YEAR
9 APPROVAL OF COMPENSATION FOR THE Mgmt For For GROUP MANAGEMENT TEAM FOR FISCAL YEAR 2021
10 RE-ELECTION OF KPMG AG AS Mgmt For For LOGITECH'S AUDITORS AND RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS LOGITECH'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2020
11 RE-ELECTION OF ETUDE REGINA Mgmt For For WENGER & SARAH KEISER-WUGER AS INDEPENDENT REPRESENTATIVE
CMMT PART 2 OF THIS MEETING IS FOR VOTING Non-Voting ON AGENDA AND MEETING ATTENDANCE REQUESTS ONLY. PLEASE ENSURE THAT YOU HAVE FIRST VOTED IN FAVOUR OF THE REGISTRATION OF SHARES IN PART 1 OF THE MEETING. IT IS A MARKET REQUIREMENT FOR MEETINGS OF THIS TYPE THAT THE SHARES ARE REGISTERED AND MOVED TO A REGISTERED LOCATION AT THE CSD, AND SPECIFIC POLICIES AT THE INDIVIDUAL SUB-CUSTODIANS MAY VARY. UPON RECEIPT OF THE VOTE INSTRUCTION, IT IS POSSIBLE THAT A MARKER MAY BE PLACED ON YOUR SHARES TO ALLOW FOR RECONCILIATION AND RE-REGISTRATION FOLLOWING A TRADE. THEREFORE WHILST THIS DOES NOT PREVENT THE TRADING OF SHARES, ANY THAT ARE REGISTERED MUST BE FIRST DEREGISTERED IF REQUIRED FOR SETTLEMENT. DEREGISTRATION CAN Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 346 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
AFFECT THE VOTING RIGHTS OF THOSE SHARES. IF YOU HAVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE
CMMT PLEASE NOTE THAT BENEFICIAL OWNER Non-Voting DETAILS IS REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 347 of 721 NT SMALL CAP LONDONMETRIC PROPERTY PLC
Security: G5689W109 Agenda Number: 711316124 Ticker: Meeting Type: AGM ISIN: GB00B4WFW713 Meeting Date: 11-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO CONSIDER AND APPROVE THE Mgmt For For ANNUAL REPORT AND AUDITED FINANCIAL STATEMENTS FOR THE YEAR ENDED 31 MARCH 2019
2 TO APPROVE THE ANNUAL REPORT ON Mgmt For For REMUNERATION IN THE FORM SET OUT IN THE ANNUAL REPORT AND AUDITED FINANCIAL STATEMENTS FOR THE YEAR ENDED 31 MARCH 2019
3 TO REAPPOINT DELOITTE LLP AS Mgmt For For AUDITOR OF THE COMPANY, TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT GENERAL MEETING AT WHICH ACCOUNTS ARE LAID BEFORE THE COMPANY
4 TO AUTHORISE THE DIRECTORS TO Mgmt For For DETERMINE THE REMUNERATION OF THE AUDITOR
5 TO APPROVE THE RE-ELECTION OF Mgmt For For PATRICK VAUGHAN AS A DIRECTOR
6 TO APPROVE THE RE-ELECTION OF Mgmt For For ANDREW JONES AS A DIRECTOR
7 TO APPROVE THE RE-ELECTION OF Mgmt For For MARTIN MCGANN AS A DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 348 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8 TO APPROVE THE RE-ELECTION OF Mgmt For For JAMES DEAN AS A DIRECTOR
9 TO APPROVE THE RE-ELECTION OF Mgmt For For ROSALYN WILTON AS A DIRECTOR
10 TO APPROVE THE RE-ELECTION OF Mgmt For For ANDREW LIVINGSTON AS A DIRECTOR
11 TO APPROVE THE RE-ELECTION OF Mgmt For For SUZANNE AVERY AS A DIRECTOR
12 TO APPROVE THE ELECTION OF ROBERT Mgmt For For FOWLDS AS A DIRECTOR
13 TO AUTHORISE THE DIRECTORS, IN Mgmt For For ACCORDANCE WITH SECTION 551 OF THE COMPANIES ACT 2006, TO ALLOT SHARES AND EQUITY SECURITIES IN THE COMPANY
14 TO AUTHORISE THE DIRECTORS TO Mgmt For For OFFER ORDINARY SHARES IN LIEU OF A CASH DIVIDEND
15 TO DISAPPLY SECTION 561 OF THE Mgmt For For COMPANIES ACT 2006 IN RESPECT OF ALLOTMENTS
16 TO DISAPPLY SECTION 561 OF THE Mgmt For For COMPANIES ACT 2006 IN RESPECT OF SPECIFIED ALLOTMENTS
17 TO AUTHORISE THE COMPANY, IN Mgmt For For ACCORDANCE WITH SECTION 701 OF THE COMPANIES ACT 2006, TO MAKE MARKET PURCHASES OF ORDINARY SHARES IN THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 349 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
18 TO AUTHORISE THE COMPANY TO CALL Mgmt For For ANY GENERAL MEETING (OTHER THAN AN ANNUAL GENERAL MEETING) OF THE COMPANY ON NOTICE OF AT LEAST 14 CLEAR DAYS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 350 of 721 NT SMALL CAP LOOMIS AB
Security: W5650X104 Agenda Number: 711430556 Ticker: Meeting Type: EGM ISIN: SE0002683557 Meeting Date: 28-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT AN ABSTAIN VOTE CAN HAVE THE SAME Non-Voting EFFECT AS AN AGAINST VOTE IF THE MEETING REQUIRE APPROVAL FROM MAJORITY OF PARTICIPANTS TO PASS A RESOLUTION.
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE
1 OPENING OF THE MEETING Non-Voting
2 ELECTION OF CHAIRMAN OF THE Non-Voting MEETING: ALF GORANSSON Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 351 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3 PREPARATION AND APPROVAL OF THE Non-Voting VOTING LIST
4 APPROVAL OF THE AGENDA Non-Voting
5 ELECTION OF ONE OR TWO PERSON(S) Non-Voting TO APPROVE THE MINUTES
6 DETERMINATION OF COMPLIANCE WITH Non-Voting THE RULES OF CONVOCATION
CMMT PLEASE NOTE THAT RESOLUTIONS 7 TO Non-Voting 9 ARE PROPOSED BY NOMINATION COMMITTEE AND BOARD DOES NOT MAKE ANY RECOMMENDATION ON THESE PROPOSALS. THE STANDING INSTRUCTIONS ARE DISABLED FOR THIS MEETING
7 DETERMINATION OF THE NUMBER OF Mgmt For BOARD MEMBERS: THE NUMBER OF BOARD MEMBERS SHALL BE SEVEN, WITHOUT DEPUTIES
8 ELECTION OF BOARD MEMBERS: NEW Mgmt For ELECTION OF LARS BLECKO AND JOHAN LUNDBERG AS BOARD MEMBERS FOR THE TIME UP TO AND INCLUDING THE CLOSE OF THE NEXT ANNUAL GENERAL MEETING. GUN NILSSON HAS DECLARED THAT SHE IS NO LONGER AT THE DISPOSAL FOR THE BOARD. IT IS NOTED THAT THE BOARD AFTER THE ELECTION THEREBY WILL CONSIST OF ALF GORANSSON (CHAIRMAN), PATRIK ANDERSSON, LARS BLECKO, INGRID BONDE, CECILIA DAUN WENNBORG, JOHAN LUNDBERG AND JAN SVENSSON
9 DETERMINATION OF FEES TO BOARD Mgmt For MEMBERS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 352 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 CLOSING OF THE MEETING Non-Voting Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 353 of 721 NT SMALL CAP MEDIASET ESPANA COMUNICACION SA.
Security: E7418Y101 Agenda Number: 711378009 Ticker: Meeting Type: EGM ISIN: ES0152503035 Meeting Date: 04-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT THIS IS AN Non-Voting AMENDMENT TO MEETING ID 265059 DUE TO THERE IS A CHANGE IN VOTING STATUS OF RESOLUTIONS.1.1, 1.3, 2.1 AND 2.3. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU
1.1 RECORDING OF INFORMATION ON Non-Voting SIGNIFICANT CHANGES IN THE ASSETS OR LIABILITIES OF COMPANIES PARTICIPATING IN THE SEGREGATION BETWEEN THE DATE OF THE SEGREGATION PROJECT AND THE HOLDING OF THE EXTRAORDINARY GENERAL MEETING
1.2 APPROVAL OF THE SEGREGATION AS Mgmt Against Against PROVIDED FOR IN THE SEGREGATION DRAFT
1.3 RECORDING OF THE INCREASE IN THE Non-Voting CAPITAL OF GA MEDIASET
2.1 RECORDING OF INFORMATION ON Non-Voting MATERIAL CHANGES IN ASSETS OR OF THE LIABILITIES OF THE COMPANIES PARTICIPATING IN THE MERGER BETWEEN THE DATE OF JOINT FUSION PROJECT AND THE HOLDING OF THE EXTRAORDINARY GENERAL MEETING Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 354 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
2.2 APPROVAL OF THE MERGER IN THE Mgmt Against Against TERMS PROVIDED FOR IN THE JOINT FUSION PROJECT
2.3 RECORDING OF MEDIASET INVESTMENT Non-Voting S CAPITAL INCREASE
3 AUTHORISATION OF THE BOARD OF Mgmt For For DIRECTORS FOR THE ACQUISITION OF SHARES IN OF THE COMPANY IN THE TERMS PROVIDED FOR IN THE LAW WITH EXPRESS POWER TO APPLY THEM TO REMUNERATION PROGRAMMES AND/OR FOR SALE, AND REVOKE THE AUTHORISATION GRANTED BY THE ORDINARY GENERAL MEETING OF SHAREHOLDERS ON 13 APRIL 2016, IN RESPECT OF AMOUNTS NOT USED TO ACQUIRE SHARES IN AUTO WALLET
4 DELEGATION OF POWERS Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 355 of 721 NT SMALL CAP MEDIASET SPA
Security: T6688Q107 Agenda Number: 711308165 Ticker: Meeting Type: EGM ISIN: IT0001063210 Meeting Date: 04-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO APPROVE THE COMMON DRAFT Mgmt Against Against TERMS OF THE CROSS-BORDER MERGER BY INCORPORATION OF MEDIASET S.P.A. AND MEDIASET ESPANA COMUNICACION S.A., COMPANY UNDER SPANISH LAW DIRECTLY CONTROLLED BY MEDIASET S.P.A., INTO MEDIASET INVESTMENT N.V., COMPANY UNDER DUTCH LAW DIRECTLY CONTROLLED BY MEDIASET S.P.A, RESOLUTIONS RELATED THERETO
CMMT 11 JUN 2019: PLEASE NOTE THAT THE Non-Voting ITALIAN LANGUAGE AGENDA IS AVAILABLE BY CLICKING ON THE URL LINK: HTTPS://MATERIALS.PROXYVOTE.COM/AP PROVED/99999Z/19840101/NPS_399602.P DF
CMMT 11 JUN 2019: PLEASE NOTE THAT THIS IS Non-Voting A REVISION DUE TO ADDITION OF COMMENTS. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
CMMT 11 JUN 2019: PLEASE NOTE THAT THERE Non-Voting IS WITHDRAWAL RIGHTS FOR THIS MEETING. PLEASE CONTACT YOUR CUSTODIAN CORPORATE ACTIONS TEAM FOR FURTHER INFORMATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 356 of 721 NT SMALL CAP MEDICLINIC INTERNATIONAL PLC
Security: G5960R100 Agenda Number: 711331936 Ticker: Meeting Type: AGM ISIN: GB00B8HX8Z88 Meeting Date: 24-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 ANNUAL FINANCIAL STATEMENTS, AND Mgmt For For DIRECTORS' AND AUDITOR'S REPORTS
2 DIRECTORS' REMUNERATION REPORT Mgmt For For
3 FINAL DIVIDEND: TO DECLARE A FINAL Mgmt For For CASH DIVIDEND RECOMMENDED BY THE BOARD FOR THE YEAR ENDED 31 MARCH 2019 OF 4.70 PENCE PER ORDINARY SHARE
4 TO ELECT DR ANJA OSWALD, SERVING Mgmt For For AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR, AS A DIRECTOR OF THE COMPANY
5 TO RE-ELECT DR RONNIE VAN DER Mgmt For For MERWE, SERVING AS THE CHIEF EXECUTIVE OFFICER ("CEO") OF THE COMPANY, AS A DIRECTOR OF THE COMPANY
6 TO RE-ELECT MR JURGENS MYBURGH, Mgmt For For SERVING AS THE CHIEF FINANCIAL OFFICER ("CFO") OF THE COMPANY, AS A DIRECTOR OF THE COMPANY
7 TO RE-ELECT DR EDWIN HERTZOG, Mgmt For For SERVING AS THE NON-EXECUTIVE CHAIRMAN OF THE COMPANY, AS A DIRECTOR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 357 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8 TO RE-ELECT DR MUHADDITHA AL Mgmt For For HASHIMI, SERVING AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY, AS A DIRECTOR OF THE COMPANY
9 TO RE-ELECT MR JANNIE DURAND, Mgmt Against Against SERVING AS A NON-EXECUTIVE DIRECTOR OF THE COMPANY, AS A DIRECTOR OF THE COMPANY
10 TO RE-ELECT MR ALAN GRIEVE, SERVING Mgmt For For AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY, AS A DIRECTOR OF THE COMPANY
11 TO RE-ELECT DR FELICITY HARVEY, Mgmt For For SERVING AS AN INDEPENDENT NON- EXECUTIVE DIRECTOR OF THE COMPANY, AS A DIRECTOR OF THE COMPANY
12 TO RE-ELECT MR SEAMUS KEATING, Mgmt For For SERVING AS AN INDEPENDENT NON- EXECUTIVE DIRECTOR OF THE COMPANY, AS A DIRECTOR OF THE COMPANY
13 TO RE-ELECT MR DANIE MEINTJES, Mgmt For For SERVING AS A NON-EXECUTIVE DIRECTOR OF THE COMPANY, AS A DIRECTOR OF THE COMPANY
14 TO RE-ELECT MR TREVOR PETERSEN, Mgmt For For SERVING AS AN INDEPENDENT NON- EXECUTIVE DIRECTOR OF THE COMPANY, AS A DIRECTOR OF THE COMPANY
15 RE-APPOINTMENT OF AUDITOR: Mgmt For For PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S AUDITOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 358 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
16 REMUNERATION OF AUDITOR Mgmt For For
17 AUTHORITY TO MAKE POLITICAL Mgmt For For DONATIONS
18 AUTHORITY TO ALLOT ORDINARY Mgmt For For SHARES
19 AUTHORITY TO DISAPPLY PRE-EMPTION Mgmt For For RIGHTS
20 ADDITIONAL AUTHORITY TO DISAPPLY Mgmt For For PRE-EMPTION RIGHTS FOR PURPOSES OF ACQUISITIONS OR CAPITAL INVESTMENTS
21 NOTICE OF GENERAL MEETINGS, OTHER Mgmt For For THAN ANNUAL GENERAL MEETINGS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 359 of 721 NT SMALL CAP MEDIDATA SOLUTIONS, INC.
Security: 58471A105 Agenda Number: 935064941 Ticker: MDSO Meeting Type: Special ISIN: US58471A1051 Meeting Date: 16-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. A proposal to adopt the Agreement and Plan Mgmt For For of Merger (as it may be amended from time to time, the "merger agreement"), dated as of June 11, 2019, by and among Medidata Solutions, Inc., Dassault Systèmes SE, Dassault Systèmes Americas Corp., and 3DS Acquisition 6 Corp.
2. A proposal to approve, on an advisory (non- Mgmt For For binding) basis, specified compensation that may be paid or become payable to Medidata Solutions, Inc.'s principal executive officers, principal financial officer and three most highly compensated executive officers other than the principal executive officers and principal financial officer in connection with the merger.
3. A proposal to approve the adjournment of the Mgmt For For special meeting, if necessary or appropriate, including to solicit additional proxies if there are insufficient votes at the time of the special meeting to approve the proposal to adopt the merger agreement. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 360 of 721 NT SMALL CAP MELLANOX TECHNOLOGIES LTD.
Security: M51363113 Agenda Number: 935056994 Ticker: MLNX Meeting Type: Annual ISIN: IL0011017329 Meeting Date: 25-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: Glenda Dorchak Mgmt For For
1b. Election of Director: Irwin Federman Mgmt For For
1c. Election of Director: Amal M. Johnson Mgmt For For
1d. Election of Director: Jack Lazar Mgmt For For
1e. Election of Director: Jon A. Olson Mgmt For For
1f. Election of Director: Umesh Padval Mgmt For For
1g. Election of Director: David Perlmutter Mgmt For For
1h. Election of Director: Steve Sanghi Mgmt Against Against
1i. Election of Director: Eyal Waldman Mgmt For For
1j. Election of Director: Gregory Waters Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 361 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
2. Advisory vote to approve the compensation of Mgmt For For the Company's named executive officers ("say-on-pay vote") as disclosed in the compensation discussion and analysis, compensation tables and narrative discussion set forth in the proxy statement.
3. Approval of the Fourth Restated Plan. Mgmt Against Against
4. Approval of certain changes to the annual Mgmt For For retainer fees and equity awards to the Company's non-employee directors.
5a. Do you have a Personal Interest (as defined Mgmt For in the Proxy Statement) with regards to Proposal 5b? By selecting FOR I confirm that I DO NOT HAVE a Personal Interest and by selecting AGAINST I confirm I DO HAVE a Personal Interest in voting this proposal.
5b. Approval of the Company's Compensation Mgmt For For Philosophy.
6. Approval of the appointment of EY Israel as Mgmt For For the Company's independent registered public accounting firm for the fiscal year ending December 31, 2019 and authorization of audit committee to determine its fiscal 2019 remuneration in accordance with the volume and nature of its services. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 362 of 721 NT SMALL CAP METHODE ELECTRONICS, INC.
Security: 591520200 Agenda Number: 935064155 Ticker: MEI Meeting Type: Annual ISIN: US5915202007 Meeting Date: 12-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: Walter J. Aspatore Mgmt For For
1b. Election of Director: Brian J. Cadwallader Mgmt For For
1c. Election of Director: Bruce K. Crowther Mgmt For For
1d. Election of Director: Darren M. Dawson Mgmt For For
1e. Election of Director: Donald W. Duda Mgmt For For
1f. Election of Director: Isabelle C. Goossen Mgmt For For
1g. Election of Director: Mark D. Schwabero Mgmt For For
1h. Election of Director: Lawrence B. Skatoff Mgmt For For
2. The ratification of the Audit Committee's Mgmt For For selection of Ernst & Young LLP to serve as our independent registered public accounting firm for the fiscal year ending May 2, 2020.
3. The advisory approval of Methode's named Mgmt For For executive officer compensation. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 363 of 721 NT SMALL CAP MITIE GROUP PLC
Security: G6164F157 Agenda Number: 711363262 Ticker: Meeting Type: AGM ISIN: GB0004657408 Meeting Date: 30-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 ACCEPT FINANCIAL STATEMENTS AND Mgmt For For STATUTORY REPORTS
2 APPROVE REMUNERATION REPORT Mgmt For For
3 APPROVE FINAL DIVIDEND Mgmt For For
4 RE-ELECT DEREK MAPP AS DIRECTOR Mgmt For For
5 RE-ELECT PHIL BENTLEY AS DIRECTOR Mgmt For For
6 RE-ELECT PAUL WOOLF AS DIRECTOR Mgmt For For
7 RE-ELECT NIVEDITA BHAGAT AS Mgmt For For DIRECTOR
8 RE-ELECT PHILIPPA COUTTIE AS Mgmt For For DIRECTOR
9 RE-ELECT JENNIFER DUVALIER AS Mgmt For For DIRECTOR
10 RE-ELECT MARY REILLY AS DIRECTOR Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 364 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 RE-ELECT ROGER YATES AS DIRECTOR Mgmt For For
12 RE-APPOINT BDO LLP AS AUDITORS Mgmt For For
13 AUTHORISE THE AUDIT COMMITTEE TO Mgmt For For FIX REMUNERATION OF AUDITORS
14 AUTHORISE EU POLITICAL DONATIONS Mgmt For For AND EXPENDITURE
15 AUTHORISE ISSUE OF EQUITY Mgmt For For
16 AUTHORISE ISSUE OF EQUITY WITHOUT Mgmt For For PRE-EMPTIVE RIGHTS
17 AUTHORISE ISSUE OF EQUITY WITHOUT Mgmt For For PRE-EMPTIVE RIGHTS IN CONNECTION WITH AN ACQUISITION OR OTHER CAPITAL INVESTMENT
18 AUTHORISE MARKET PURCHASE OF Mgmt For For ORDINARY SHARES
19 AUTHORISE THE COMPANY TO CALL Mgmt For For GENERAL MEETING WITH TWO WEEKS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 365 of 721 NT SMALL CAP MODINE MANUFACTURING COMPANY
Security: 607828100 Agenda Number: 935056033 Ticker: MOD Meeting Type: Annual ISIN: US6078281002 Meeting Date: 25-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: Mr. David G. Bills Mgmt For For
1b. Election of Director: Mr. Thomas A. Burke Mgmt For For
1c. Election of Director: Mr. Charles P. Cooley Mgmt For For
2. Advisory vote to approve of the Company's Mgmt For For named executive officer compensation.
3. Ratification of the appointment of the Mgmt For For Company's independent registered public accounting firm. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 366 of 721 NT SMALL CAP MONRO, INC.
Security: 610236101 Agenda Number: 935062252 Ticker: MNRO Meeting Type: Annual ISIN: US6102361010 Meeting Date: 13-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Frederick M. Danziger Mgmt For For
2 Stephen C. McCluski Mgmt For For
3 Robert E. Mellor Mgmt For For
4 Peter J. Solomon Mgmt For For
2. To approve, on a non-binding basis, the Mgmt For For compensation paid to the Company's Named Executive Officers.
3. To ratify the re-appointment of Mgmt For For PricewaterhouseCoopers LLP as the independent registered public accounting firm of the Company for the fiscal year ending March 28, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 367 of 721 NT SMALL CAP MOTORCAR PARTS OF AMERICA, INC.
Security: 620071100 Agenda Number: 935067238 Ticker: MPAA Meeting Type: Annual ISIN: US6200711009 Meeting Date: 05-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1.1 Election of Director: Selwyn Joffe Mgmt For For
1.2 Election of Director: Scott J. Adelson Mgmt For For
1.3 Election of Director: David Bryan Mgmt For For
1.4 Election of Director: Rudolph J. Borneo Mgmt For For
1.5 Election of Director: Joseph Ferguson Mgmt For For
1.6 Election of Director: Philip Gay Mgmt For For
1.7 Election of Director: Duane Miller Mgmt For For
1.8 Election of Director: Jeffrey Mirvis Mgmt For For
1.9 Election of Director: Barbara L. Whittaker Mgmt For For
2. Proposal to ratify the appointment of Ernst & Mgmt For For Young LLP as the Company's independent registered public accountants for the fiscal year ending March 31, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 368 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3. Advisory vote on the compensation of our Mgmt For For named executive officers. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 369 of 721 NT SMALL CAP MYOVANT SCIENCES LTD.
Security: G637AM102 Agenda Number: 935066248 Ticker: MYOV Meeting Type: Annual ISIN: BMG637AM1024 Meeting Date: 23-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1A. Election of Director for a one year term: Terrie Mgmt For For Curran
1B. Election of Director for a one year term: Mark Mgmt For For Guinan
1C. Election of Director for a one year term: Mgmt Against Against Myrtle Potter
1D. Election of Director for a one year term: Vivek Mgmt For For Ramaswamy
1E. Election of Director for a one year term: Mgmt For For Kathleen Sebelius
1F. Election of Director for a one year term: Lynn Mgmt For For Seely, M.D.
1G. Election of Director for a one year term: Frank Mgmt For For Torti, M.D.
2. To ratify the selection by the Audit Committee Mgmt For For of the Board of Ernst & Young LLP as Myovant's independent registered public accounting firm for Myovant's fiscal year ending March 31, 2020, to appoint Ernst & Young LLP as auditor for statutory purposes under the Bermuda Companies Act 1981, as amended, for Myovant's fiscal year ending Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 370 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
March 31, 2020, and to authorize the Board, through the Audit Committee, to set the remuneration for Ernst & Young LLP as Myovant's auditor for Myovant's fiscal year ending March 31, 2020.
3. To approve, on an advisory basis, the Mgmt For For compensation of Myovant's named executive officers, as described in the Proxy Statement.
4. To indicate, on an advisory basis, the Mgmt 1 Year For preferred frequency of future advisory votes on the compensation of Myovant's named executive officers. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 371 of 721 NT SMALL CAP N BROWN GROUP PLC
Security: G64036125 Agenda Number: 711267624 Ticker: Meeting Type: AGM ISIN: GB00B1P6ZR11 Meeting Date: 09-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE ANNUAL ACCOUNTS OF Mgmt For For THE COMPANY FOR THE 52 WEEKS ENDED 2 MARCH 2019 TOGETHER WITH THE DIRECTORS' AND AUDITORS' REPORT ON THOSE ACCOUNTS
2 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION POLICY
3 TO APPROVE THE DIRECTORS Mgmt For For REMUNERATION REPORT FOR THE YEAR ENDED 2 MARCH 2019
4 TO DECLARE A FINAL DIVIDEND OF 4.27 Mgmt For For PENCE PER ORDINARY SHARE FOR THE 52 WEEKS ENDED 2 MARCH 2019
5 TO ELECT AS A DIRECTOR STEVE Mgmt For For JOHNSON
6 TO RE-ELECT AS A DIRECTOR MATT Mgmt For For DAVIES
7 TO RE-ELECT AS A DIRECTOR LORD Mgmt For For ALLIANCE OF MANCHESTER CBE
8 TO RE-ELECT AS A DIRECTOR RON Mgmt For For MCMILLAN
9 TO RE-ELECT AS A DIRECTOR LESLEY Mgmt For For JONES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 372 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO RE-ELECT AS A DIRECTOR RICHARD Mgmt For For MOROSS
11 TO RE-ELECT AS A DIRECTOR MICHAEL Mgmt For For ROSS
12 TO RE-ELECT AS A DIRECTOR GILL BARR Mgmt For For
13 TO RE-ELECT AS A DIRECTOR CRAIG Mgmt For For LOVELACE
14 TO RE-APPOINT KPMG LLP AS THE Mgmt For For COMPANY'S AUDITORS AND TO AUTHORISE THE DIRECTORS TO FIX THEIR REMUNERATION
15 THAT THE DIRECTORS BE AUTHORISED Mgmt For For TO ALLOT SHARES IN THE COMPANY
16 THAT THE DIRECTORS BE AUTHORISED Mgmt For For TO ALLOT EQUITY SECURITIES FOR CASH AS IF SECTION 561 OF THE 2006 ACT DID NOT APPLY
17 THAT, A GENERAL MEETING OTHER THAN Mgmt For For AN ANNUAL GENERAL MEETING MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 373 of 721 NT SMALL CAP NCC GROUP PLC
Security: G64319109 Agenda Number: 711516039 Ticker: Meeting Type: AGM ISIN: GB00B01QGK86 Meeting Date: 25-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE REPORT AND Mgmt For For ACCOUNTS FOR THE YEAR ENDED 31 MAY 2019
2 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT (OTHER THAN THE DIRECTORS' REMUNERATION POLICY) FOR THE FINANCIAL YEAR ENDED 31 MAY 2019
3 TO DECLARE A FINAL DIVIDEND OF 3.15P Mgmt For For PER SHARE
4 TO RE-APPOINT KPMG LLP AS AUDITOR Mgmt For For
5 TO AUTHORISE THE AUDIT COMMITTEE Mgmt For For TO DETERMINE THE AUDITOR'S REMUNERATION
6 TO RE-ELECT ADAM PALSER AS A Mgmt For For DIRECTOR
7 TO RE-ELECT CHRIS STONE AS A Mgmt For For DIRECTOR
8 TO RE-ELECT JONATHAN BROOKS AS A Mgmt For For DIRECTOR
9 TO RE-ELECT CHRIS BATTERHAM AS A Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 374 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO RE-ELECT JENNIFER DUVALIER AS A Mgmt For For DIRECTOR
11 TO RE-ELECT MIKE ETTLING AS A Mgmt For For DIRECTOR
12 TO RE-ELECT TIM KOWALSKI AS A Mgmt For For DIRECTOR
13 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT SHARES
14 TO AUTHORISE THE DIRECTORS TO Mgmt For For DISAPPLY PRE-EMPTION RIGHTS UP TO 5 PER CENT OF THE ISSUED SHARE CAPITAL
15 TO AUTHORISE THE DIRECTORS TO Mgmt For For DISAPPLY PRE-EMPTION RIGHTS FOR AN ADDITIONAL 5 PER CENT IN RELATION TO AN ACQUISITION OR OTHER CAPITAL INVESTMENT
16 TO AUTHORISE THE PURCHASE OF OWN Mgmt For For SHARES PURSUANT TO SECTION 701 OF THE COMPANIES ACT 2006
17 TO REDUCE THE NOTICE PERIOD Mgmt For For REQUIRED FOR GENERAL MEETINGS
18 TO AUTHORISE THE MAKING OF Mgmt For For POLITICAL DONATIONS AND INCURRING POLITICAL EXPENDITURE
19 TO APPROVE ADOPTION OF THE NCC Mgmt For For GROUP SHARE INCENTIVE PLAN Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 375 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
20 TO APPROVE ADOPTION OF NCC GROUP Mgmt For For PLC NEW ARTICLES OF ASSOCIATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 376 of 721 NT SMALL CAP NETCOMPANY GROUP A/S
Security: K7020C102 Agenda Number: 711464266 Ticker: Meeting Type: EGM ISIN: DK0060952919 Meeting Date: 20-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT IN THE MAJORITY OF MEETINGS THE Non-Voting VOTES ARE CAST WITH THE REGISTRAR WHO WILL FOLLOW CLIENT INSTRUCTIONS. IN A SMALL PERCENTAGE OF MEETINGS THERE IS NO REGISTRAR AND CLIENTS VOTES MAY BE CAST BY THE CHAIRMAN OF THE BOARD OR A BOARD MEMBER AS PROXY. CLIENTS CAN ONLY EXPECT THEM TO ACCEPT PRO-MANAGEMENT VOTES. THE ONLY WAY TO GUARANTEE THAT ABSTAIN AND/OR AGAINST VOTES ARE REPRESENTED AT THE MEETING IS TO SEND YOUR OWN REPRESENTATIVE OR ATTEND THE MEETING IN PERSON. THE SUB CUSTODIAN BANKS OFFER REPRESENTATION SERVICES FOR AN ADDED FEE IF REQUESTED. THANK YOU
CMMT PLEASE BE ADVISED THAT SPLIT AND Non-Voting PARTIAL VOTING IS NOT AUTHORISED FOR A BENEFICIAL OWNER IN THE DANISH MARKET. PLEASE CONTACT YOUR GLOBAL CUSTODIAN FOR FURTHER INFORMATION.
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 377 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT SHAREHOLDERS Non-Voting ARE ALLOWED TO VOTE 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBER 1. THANK YOU
1.A ELECTION OF NEW MEMBER TO THE Mgmt For For BOARD OF DIRECTORS: ROBBERT KUPPENS
CMMT 05 AUG 2019: PLEASE NOTE THAT THIS IS Non-Voting A REVISION DUE TO CHANGE IN NUMBERING. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 378 of 721 NT SMALL CAP NETSCOUT SYSTEMS, INC.
Security: 64115T104 Agenda Number: 935065107 Ticker: NTCT Meeting Type: Annual ISIN: US64115T1043 Meeting Date: 12-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Anil K. Singhal Mgmt For For
2 John R. Egan Mgmt For For
3 Robert E. Donahue Mgmt For For
2. To approve the NetScout Systems, Inc. 2019 Mgmt For For Equity Incentive Plan as described in Proposal 2 in the proxy statement.
3. To ratify the appointment of Mgmt For For PricewaterhouseCoopers LLP as NetScout's independent registered public accounting firm for the fiscal year ended March 31, 2020.
4. To approve, on an advisory basis, the Mgmt For For compensation of NetScout's named executive officers as disclosed in the proxy statement in accordance with Securities and Exchange Commission rules. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 379 of 721 NT SMALL CAP NEW RELIC, INC.
Security: 64829B100 Agenda Number: 935057922 Ticker: NEWR Meeting Type: Annual ISIN: US64829B1008 Meeting Date: 22-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Caroline W. Carlisle Mgmt For For
2 Dan Scholnick Mgmt For For
3 James Tolonen Mgmt For For
2. To approve, on an advisory basis, the Mgmt For For compensation of the Company's Named Executive Officers as disclosed in the Proxy Statement.
3. To ratify the selection by the Audit Committee Mgmt For For of the Board of Directors of Deloitte & Touche LLP as the independent registered public accounting firm of the Company for its fiscal year ending March 31, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 380 of 721 NT SMALL CAP NEWMARK GROUP, INC.
Security: 65158N102 Agenda Number: 935067656 Ticker: NMRK Meeting Type: Annual ISIN: US65158N1028 Meeting Date: 24-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Howard W. Lutnick Mgmt Withheld Against
2 Michael Snow Mgmt For For
3 Virginia S. Bauer Mgmt For For
4 Peter F. Cervinka Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 381 of 721 NT SMALL CAP NEWRIVER REIT PLC
Security: G64950101 Agenda Number: 711332255 Ticker: Meeting Type: AGM ISIN: GB00BD7XPJ64 Meeting Date: 25-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 ACCEPT FINANCIAL STATEMENTS AND Mgmt For For STATUTORY REPORTS
2 APPROVE REMUNERATION REPORT Mgmt For For
3 ELECT COLIN RUTHERFORD AS Mgmt For For DIRECTOR
4 RE-ELECT MARGARET FORD AS Mgmt For For DIRECTOR
5 RE-ELECT DAVID LOCKHART AS Mgmt For For DIRECTOR
6 RE-ELECT ALLAN LOCKHART AS Mgmt For For DIRECTOR
7 RE-ELECT MARK DAVIES AS DIRECTOR Mgmt For For
8 RE-ELECT KAY CHALDECOTT AS Mgmt For For DIRECTOR
9 RE-ELECT ALASTAIR MILLER AS Mgmt For For DIRECTOR
10 RATIFY PRICEWATERHOUSECOOPERS Mgmt For For LLP AS AUDITORS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 382 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 AUTHORISE THE AUDIT COMMITTEE TO Mgmt For For FIX REMUNERATION OF AUDITORS
12 APPROVE INTERIM DIVIDENDS Mgmt For For
13 AUTHORISE ISSUE OF EQUITY Mgmt For For
14 AUTHORISE ISSUE OF EQUITY WITHOUT Mgmt For For PRE-EMPTIVE RIGHTS
15 AUTHORISE ISSUE OF EQUITY WITHOUT Mgmt For For PRE-EMPTIVE RIGHTS IN CONNECTION WITH AN ACQUISITION OR OTHER CAPITAL INVESTMENT
16 AUTHORISE MARKET PURCHASE OF Mgmt For For ORDINARY SHARES
17 AUTHORISE THE COMPANY TO CALL Mgmt For For GENERAL MEETING WITH TWO WEEKS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 383 of 721 NT SMALL CAP NEXTGEN HEALTHCARE, INC.
Security: 65343C102 Agenda Number: 935057338 Ticker: NXGN Meeting Type: Annual ISIN: US65343C1027 Meeting Date: 15-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Rusty Frantz Mgmt For For
2 Craig A. Barbarosh Mgmt For For
3 George H. Bristol Mgmt For For
4 Julie D. Klapstein Mgmt For For
5 James C. Malone Mgmt For For
6 Jeffrey H. Margolis Mgmt For For
7 Morris Panner Mgmt For For
8 Sheldon Razin Mgmt For For
9 Lance E. Rosenzweig Mgmt Withheld Against
2. Advisory vote to approve the compensation of Mgmt For For our named executive officers (Say-on-Pay). Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 384 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3. Ratification of the appointment of Mgmt For For PricewaterhouseCoopers LLP as our independent registered public accounting firm for the fiscal year ending March 31, 2020.
4. Amendment of NextGen Healthcare, Inc. Mgmt For For Amended 2015 Equity Incentive Plan. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 385 of 721 NT SMALL CAP NORTHERN DRILLING LTD
Security: G6624L109 Agenda Number: 711532588 Ticker: Meeting Type: AGM ISIN: BMG6624L1090 Meeting Date: 13-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO SET THE MAXIMUM NUMBER OF Mgmt For For DIRECTORS TO BE NOT MORE THAN EIGHT
2 TO RESOLVE THAT VACANCIES IN THE Mgmt Against Against NUMBER OF DIRECTORS BE DESIGNATED AS CASUAL VACANCIES AND THAT THE BOARD OF DIRECTORS BE AUTHORISED TO FILL SUCH VACANCIES AS AND WHEN IT DEEMS FIT
3 TO RE-ELECT GARY W. CASSWELL AS A Mgmt Against Against DIRECTOR OF THE COMPANY
4 TO RE-ELECT JON OLAV OSTHUS AS A Mgmt Against Against DIRECTOR OF THE COMPANY
5 TO RE-ELECT GUNNAR ELIASSEN AS A Mgmt Against Against DIRECTOR OF THE COMPANY
6 TO RE-ELECT KEESJAN CORDIA AS A Mgmt Against Against DIRECTOR OF THE COMPANY
7 TO RE-APPOINT Mgmt Against Against PRICEWATERHOUSECOOPERS OF OSLO, NORWAY, AS AUDITOR AND TO AUTHORIZE THE DIRECTORS TO DETERMINE THEIR REMUNERATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 386 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8 TO APPROVE THE REMUNERATION OF Mgmt For For THE COMPANY'S BOARD OF DIRECTORS, POST THE 2019 ANNUAL GENERAL MEETING
9 TO AUTHORIZE THE BOARD TO ISSUE Mgmt For For SHARES AS REMUNERATION TO THE DIRECTORS, POST THE 2019 ANNUAL GENERAL MEETING UPON THE TERMS AND CONDITIONS DESCRIBED IN PROPOSAL 8
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE
CMMT SHARES HELD IN AN OMNIBUS/NOMINEE Non-Voting ACCOUNT NEED TO BE RE-REGISTERED IN THE BENEFICIAL OWNERS NAME TO BE ALLOWED TO VOTE AT MEETINGS. SHARES WILL BE TEMPORARILY TRANSFERRED TO A SEPARATE ACCOUNT IN THE BENEFICIAL OWNER'S NAME ON THE PROXY DEADLINE AND TRANSFERRED BACK TO THE OMNIBUS/NOMINEE ACCOUNT THE DAY AFTER THE MEETING. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 387 of 721 NT SMALL CAP NORTHGATE PLC
Security: G6644T140 Agenda Number: 711469850 Ticker: Meeting Type: AGM ISIN: GB00B41H7391 Meeting Date: 23-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE DIRECTORS' REPORT Mgmt For For AND AUDITED ACCOUNTS OF THE COMPANY FOR THE YEAR ENDED 30 APRIL 2019 ("2019 ANNUAL REPORTS AND ACCOUNTS")
2 TO DECLARE A FINAL DIVIDEND OF 12.1P Mgmt For For PER ORDINARY SHARE RECOMMENDED BY THE DIRECTORS
3 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT (OTHER THAN THE PART CONTAINING THE DIRECTORS' REMUNERATION POLICY REFERRED TO IN RESOLUTION 4 BELOW) IN THE FORM SET OUT ON PAGES 58 TO 74 OF THE 2019 ANNUAL REPORT AND ACCOUNTS
4 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION POLICY IN THE FORM SET OUT ON PAGES 58 TO 74 OF THE DIRECTORS' REMUNERATION REPORT IN THE 2019 ANNUAL REPORT AND ACCOUNTS
5 TO APPOINT Mgmt For For PRICEWATERHOUSECOOPERS LLP AS AUDITOR OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING
6 TO AUTHORISE THE AUDIT AND RISK Mgmt For For COMMITTEE, FOR AND ON BEHALF OF THE BOARD, TO DETERMINE THE REMUNERATION OF THE AUDITOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 388 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
7 TO ELECT MR J PATTULLO AS A Mgmt For For DIRECTOR
8 TO RE-ELECT MR B SPENCER AS A Mgmt For For DIRECTOR
9 TO RE-ELECT MISS J CASEBERRY AS A Mgmt For For DIRECTOR
10 TO RE-ELECT MRS C MILES AS A Mgmt For For DIRECTOR
11 TO RE-ELECT MR K BRADSHAW AS A Mgmt For For DIRECTOR
12 TO RE-ELECT MR P VINCENT AS A Mgmt For For DIRECTOR
13 THAT THE BOARD BE AND IT IS HEREBY Mgmt For For GENERALLY AND UNCONDITIONALLY AUTHORISED PURSUANT TO S551 OF THE COMPANIES ACT 2006 ('THE ACT') TO EXERCISE ALL POWERS OF THE COMPANY TO ALLOT SHARES IN THE COMPANY AND TO GRANT RIGHTS TO SUBSCRIBE FOR OR TO CONVERT ANY SECURITY INTO SHARES IN THE COMPANY UP TO AN AGGREGATE NOMINAL AMOUNT OF GBP 22,000,000 (REPRESENTING APPROXIMATELY 33% OF THE ISSUED SHARE CAPITAL) PROVIDED THAT THIS AUTHORITY SHALL EXPIRE ON THE DATE OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AFTER THE PASSING OF THIS RESOLUTION SAVE THAT THE COMPANY MAY BEFORE SUCH EXPIRY MAKE AN OFFER OR AGREEMENT WHICH WOULD OR MIGHT REQUIRE SHARES TO BE ALLOTTED OR RIGHTS TO SUBSCRIBE FOR OR CONVERT SECURITIES INTO SHARES TO BE GRANTED AFTER SUCH EXPIRY AND THE BOARD MAY ALLOT SHARES OR GRANT RIGHTS TO Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 389 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
SUBSCRIBE FOR OR CONVERT SECURITIES INTO SHARES IN PURSUANCE OF SUCH AN OFFER OR AGREEMENT AS IF THE AUTHORITY CONFERRED HEREBY HAD NOT EXPIRED
14 THAT SUBJECT TO THE PASSING OF Mgmt For For RESOLUTION 13 THE BOARD BE AUTHORISED TO ALLOT EQUITY SECURITIES (AS DEFINED IN THE COMPANIES ACT 2006) FOR CASH UNDER THE AUTHORITY GIVEN BY THAT RESOLUTION AND/OR TO SELL ORDINARY SHARES HELD BY THE COMPANY AS TREASURY SHARES FOR CASH AS IF SECTION 561 OF THE COMPANIES ACT 2006 DID NOT APPLY TO ANY SUCH ALLOTMENT OR SALE, SUCH AUTHORITY TO BE LIMITED: A. TO THE ALLOTMENT OF EQUITY SECURITIES IN FAVOUR OF ORDINARY SHAREHOLDERS WHERE THE EQUITY SECURITIES RESPECTIVELY ATTRIBUTABLE TO THE INTERESTS OF ALL ORDINARY SHAREHOLDERS ARE PROPORTIONATE (AS NEARLY AS MAY BE) TO THE RESPECTIVE NUMBERS OF ORDINARY SHARES HELD BY THEM; AND B. TO THE ALLOTMENT OF EQUITY SECURITIES OR SALE OF TREASURY SHARES (OTHERWISE THAN UNDER PARAGRAPH (A) ABOVE) UP TO A NOMINAL AMOUNT OF GBP 3,330,000 (REPRESENTING APPROXIMATELY 5% OF THE ISSUED SHARE CAPITAL), SUCH AUTHORITY TO EXPIRE AT THE END OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY (OR, IF EARLIER, AT THE CLOSE OF BUSINESS ON 23 DECEMBER 2020) BUT, IN EACH CASE, PRIOR TO ITS EXPIRY THE COMPANY MAY MAKE OFFERS, AND ENTER INTO AGREEMENTS, WHICH WOULD, OR MIGHT, REQUIRE EQUITY SECURITIES TO BE ALLOTTED (AND TREASURY SHARES TO BE SOLD) AFTER THE AUTHORITY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 390 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
EXPIRES AND THE BOARD MAY ALLOT EQUITY SECURITIES (AND SELL TREASURY SHARES) UNDER ANY SUCH OFFER OR AGREEMENT AS IF THE AUTHORITY HAD NOT EXPIRED
15 THAT SUBJECT TO THE PASSING OF Mgmt For For RESOLUTION 13, THE BOARD BE AUTHORISED IN ADDITION TO ANY AUTHORITY GRANTED UNDER RESOLUTION 16 TO ALLOT EQUITY SECURITIES (AS DEFINED IN THE COMPANIES ACT 2006) FOR CASH UNDER THE AUTHORITY GIVEN BY THAT RESOLUTION AND/OR TO SELL ORDINARY SHARES HELD BY THE COMPANY AS TREASURY SHARES FOR CASH AS IF SECTION 561 OF THE COMPANIES ACT 2006 DID NOT APPLY TO ANY SUCH ALLOTMENT OR SALE, SUCH AUTHORITY TO BE: A. LIMITED TO THE ALLOTMENT OF EQUITY SECURITIES OR SALE OF TREASURY SHARES UP TO A NOMINAL AMOUNT OF GBP 3,330,000 "(REPRESENTING APPROXIMATELY 5% OF THE ISSUED SHARE CAPITAL)"; AND B. USED ONLY FOR THE PURPOSES OF FINANCING (OR REFINANCING, IF THE AUTHORITY IS TO BE USED WITHIN SIX MONTHS AFTER THE ORIGINAL TRANSACTION) A TRANSACTION WHICH THE BOARD OF THE COMPANY DETERMINES TO BE AN ACQUISITION OR OTHER CAPITAL INVESTMENT OF A KIND CONTEMPLATED BY THE STATEMENT OF PRINCIPLES ON DISAPPLYING PRE- EMPTION RIGHTS MOST RECENTLY PUBLISHED BY THE PRE-EMPTION GROUP PRIOR TO THE DATE OF THIS NOTICE, SUCH AUTHORITY TO EXPIRE AT THE END OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY (OR, IF EARLIER, AT THE CLOSE OF BUSINESS ON 23 DECEMBER 2020) BUT, IN EACH CASE, PRIOR TO ITS EXPIRY THE COMPANY MAY MAKE OFFERS, AND ENTER INTO AGREEMENTS, WHICH WOULD, OR MIGHT, REQUIRE EQUITY SECURITIES TO BE ALLOTTED (AND TREASURY SHARES TO BE SOLD) AFTER Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 391 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
THE AUTHORITY EXPIRES AND THE BOARD MAY ALLOT EQUITY SECURITIES (AND SELL TREASURY SHARES) UNDER ANY SUCH OFFER OR AGREEMENT AS IF THE AUTHORITY HAD NOT EXPIRED
16 THAT A GENERAL MEETING, OTHER THAN Mgmt For For AN ANNUAL GENERAL MEETING, MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS' NOTICE
17 THAT THE COMPANY BE GENERALLY AND Mgmt For For UNCONDITIONALLY AUTHORISED TO MAKE MARKET PURCHASES (WITHIN THE MEANING OF S693(4) OF THE COMPANIES ACT 2006) OF ORDINARY SHARES OF 50P EACH OF THE COMPANY ON SUCH TERMS AND IN SUCH MANNER AS THE DIRECTORS MAY FROM TIME TO TIME DETERMINE, PROVIDED THAT: A. THE MAXIMUM NUMBER OF ORDINARY SHARES HEREBY AUTHORISED TO BE ACQUIRED IS 13,300,000, REPRESENTING APPROXIMATELY 10% OF THE ISSUED ORDINARY SHARE CAPITAL OF THE COMPANY AS AT 25 JUNE 2019; B. THE MINIMUM PRICE WHICH MAY BE PAID FOR ANY SUCH ORDINARY SHARE IS 50P; C. THE MAXIMUM PRICE (EXCLUDING EXPENSES) WHICH MAY BE PAID FOR ANY SUCH ORDINARY SHARE IS AN AMOUNT EQUAL TO 105% OF THE AVERAGE OF THE MIDDLE MARKET QUOTATIONS FOR AN ORDINARY SHARE IN THE COMPANY AS DERIVED FROM THE LONDON STOCK EXCHANGE DAILY OFFICIAL LIST FOR THE FIVE BUSINESS DAYS IMMEDIATELY PRECEDING THE DAY ON WHICH SUCH SHARE IS CONTRACTED TO BE PURCHASED; D. THE AUTHORITY HEREBY CONFERRED SHALL EXPIRE AT THE END OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AFTER THE PASSING OF THIS RESOLUTION UNLESS PREVIOUSLY RENEWED, VARIED OR REVOKED BY THE COMPANY IN GENERAL MEETING; AND E. THE COMPANY MAY MAKE A CONTRACT TO PURCHASE ITS ORDINARY SHARES UNDER THE AUTHORITY HEREBY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 392 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CONFERRED PRIOR TO THE EXPIRY OF SUCH AUTHORITY, WHICH CONTRACT WILL OR MAY BE EXECUTED WHOLLY OR PARTLY AFTER THE EXPIRY OF SUCH AUTHORITY, AND MAY PURCHASE ITS ORDINARY SHARES IN PURSUANCE OF ANY SUCH CONTRACT
18 THAT THE EXECUTIVE PERFORMANCE Mgmt For For SHARE PLAN (THE "EPSP"), THE PRINCIPAL TERMS OF WHICH ARE SUMMARISED IN THE EXPLANATORY NOTE TO THIS RESOLUTION AND AS SHOWN IN THE RULES OF THE EPSP SUBMITTED TO THE MEETING MARKED "A" AND SIGNED BY THE CHAIRMAN OF THE MEETING FOR THE PURPOSES OF IDENTIFICATION, BE RENEWED AND HEREBY APPROVED AND THAT THE DIRECTORS BE AND ARE HEREBY AUTHORISED TO DO ALL SUCH ACTS AND THINGS THAT THEY MAY CONSIDER APPROPRIATE TO IMPLEMENT THE EPSP, INCLUDING THE MAKING OF ANY AMENDMENTS TO THE RULES AND ANY ESTABLISHMENT OF ANY SUBPLANS FOR THE BENEFIT OF EMPLOYEES OUTSIDE THE UK (MODIFIED AS NECESSARY TO TAKE ACCOUNT OF RELEVANT EXCHANGE CONTROL, TAXATION AND SECURITIES LAWS OF THE RELEVANT JURISDICTION) Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 393 of 721 NT SMALL CAP NORTHSTAR REALTY EUROPE CORP.
Security: 66706L101 Agenda Number: 935062187 Ticker: NRE Meeting Type: Annual ISIN: US66706L1017 Meeting Date: 14-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Thomas J. Barrack, Jr. Mgmt Withheld Against
2 Mahbod Nia Mgmt For For
3 Mario Chisholm Mgmt For For
4 Judith A. Hannaway Mgmt For For
5 Dianne Hurley Mgmt For For
6 Oscar Junquera Mgmt For For
7 Wesley D. Minami Mgmt For For
2. Ratification of the appointment of Mgmt For For PricewaterhouseCoopers, Société coopérative as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2019. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 394 of 721 NT SMALL CAP NORTHSTAR REALTY EUROPE CORP.
Security: 66706L101 Agenda Number: 935072532 Ticker: NRE Meeting Type: Special ISIN: US66706L1017 Meeting Date: 25-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. A proposal to approve the merger of the Mgmt For For Company with and into Nighthawk Merger Sub LLC ("Merger Sub"), a wholly-owned subsidiary of CoRE PANEURO 2019 13 S.a.r.l. ("Parent"), with Merger Sub surviving the merger, pursuant to the terms of the Agreement and Plan of Merger, dated July 3, 2019, among Parent, Merger Sub, the Company, NorthStar Realty Europe Limited Partnership and Nighthawk Partnership Merger Sub LLC, as it may be amended from time to time in accordance with its terms (the "merger proposal"). Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 395 of 721 NT SMALL CAP NV BEKAERT SA
Security: B6346B111 Agenda Number: 711255706 Ticker: Meeting Type: EGM ISIN: BE0974258874 Meeting Date: 03-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE
1 RENEWAL OF THE AUTHORITY TO Mgmt Against Against PURCHASE THE COMPANY'S SHARES
2 INTERIM PROVISIONS Mgmt For For
CMMT PLEASE NOTE THAT THIS IS A Non-Voting POSTPONEMENT OF THE MEETING HELD ON 08 MAY 2019 Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 396 of 721 NT SMALL CAP NVE CORPORATION
Security: 629445206 Agenda Number: 935052124 Ticker: NVEC Meeting Type: Annual ISIN: US6294452064 Meeting Date: 01-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Terrence W. Glarner Mgmt For For
2 Daniel A. Baker Mgmt For For
3 Patricia M. Hollister Mgmt For For
4 Richard W. Kramp Mgmt For For
5 Gary R. Maharaj Mgmt For For
2. Advisory approval of named executive officer Mgmt For For compensation.
3. Ratify the selection of Boulay PLLP as our Mgmt For For independent registered public accounting firm for the fiscal year ending March 31, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 397 of 721 NT SMALL CAP PANALPINA WELTTRANSPORT (HOLDING) AG
Security: H60147107 Agenda Number: 711432194 Ticker: Meeting Type: EGM ISIN: CH0002168083 Meeting Date: 06-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT THE NOTICE FOR Non-Voting THIS MEETING WAS RECEIVED AFTER THE REGISTRATION DEADLINE. IF YOUR SHARES WERE REGISTERED PRIOR TO THE DEADLINE OF 12 JUL 2019, YOUR VOTING INSTRUCTIONS WILL BE ACCEPTED FOR THIS MEETING. HOWEVER, VOTING INSTRUCTIONS FOR SHARES THAT WERE NOT REGISTERED PRIOR TO THE REGISTRATION DEADLINE WILL NOT BE ACCEPTED
1 ANNULMENT OF THE RESTRICTION ON Mgmt For For TRANSFERABILITY OF REGISTERED SHARES AND THE MAXIMUM VOTING MAJORITY CLAUSE
2.1 ELECTION OF KURT K. LARSEN AS A Mgmt For For DIRECTOR AND CHAIRMAN OF THE BOARD OF DIRECTORS
2.2 ELECTION OF THOMAS PLENBORG AS Mgmt For For MEMBER OF THE BOARD OF DIRECTORS
2.3 ELECTION OF JENS BJRN ANDERSEN AS Mgmt For For MEMBER OF THE BOARD OF DIRECTORS
2.4 ELECTION OF JENS H. LUND AS MEMBER Mgmt For For OF THE BOARD OF DIRECTORS
3.1 APPOINT JENS ANDERSEN AS MEMBER Mgmt For For OF THE COMPENSATION COMMITTEE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 398 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3.2 APPOINT JENS LUND AS MEMBER OF THE Mgmt For For COMPENSATION COMMITTEE
CMMT PLEASE NOTE THAT BENEFICIAL OWNER Non-Voting DETAILS IS REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 399 of 721 NT SMALL CAP PATTERSON COMPANIES, INC.
Security: 703395103 Agenda Number: 935065462 Ticker: PDCO Meeting Type: Annual ISIN: US7033951036 Meeting Date: 16-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: John D. Buck Mgmt For For
1b. Election of Director: Alex N. Blanco Mgmt For For
1c. Election of Director: Jody H. Feragen Mgmt For For
1d. Election of Director: Robert C. Frenzel Mgmt For For
1e. Election of Director: Francis J. Malecha Mgmt For For
1f. Election of Director: Ellen A. Rudnick Mgmt For For
1g. Election of Director: Neil A. Schrimsher Mgmt For For
1h. Election of Director: Mark S. Walchirk Mgmt For For
2. Approval of amendment to Amended and Mgmt For For Restated Employee Stock Purchase Plan.
3. Advisory approval of executive compensation. Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 400 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4. To ratify the selection of Ernst & Young LLP Mgmt For For as our independent registered public accounting firm for the fiscal year ending April 25, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 401 of 721 NT SMALL CAP PDVWIRELESS, INC.
Security: 69290R104 Agenda Number: 935060082 Ticker: ATEX Meeting Type: Annual ISIN: US69290R1041 Meeting Date: 06-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1.1 Election of Director: Brian D. McAuley Mgmt For For
1.2 Election of Director: Morgan E. O'Brien Mgmt For For
1.3 Election of Director: T. Clark Akers Mgmt For For
1.4 Election of Director: Rachelle B. Chong Mgmt For For
1.5 Election of Director: Greg W. Cominos Mgmt For For
1.6 Election of Director: Gregory A. Haller Mgmt For For
1.7 Election of Director: Mark J. Hennessy Mgmt For For
1.8 Election of Director: Singleton B. McAllister Mgmt For For
1.9 Election of Director: Paul Saleh Mgmt For For
2. To ratify the appointment of Grant Thornton Mgmt For For LLP as our independent registered public accounting firm for the fiscal year ending March 31, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 402 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3. To amend our Amended and Restated Mgmt For For Certificate of Incorporation to change our corporate name from "pdvWireless, Inc." to "Anterix Inc." Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 403 of 721 NT SMALL CAP PENN VIRGINIA CORPORATION
Security: 70788V102 Agenda Number: 935059205 Ticker: PVAC Meeting Type: Annual ISIN: US70788V1026 Meeting Date: 31-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 John A. Brooks Mgmt For For
2 Darin G. Holderness Mgmt For For
3 V. Frank Pottow Mgmt Withheld Against
4 Jerry Schuyler Mgmt For For
5 Brian Steck Mgmt For For
2. To approve, on an advisory basis, the Mgmt For For compensation paid to the Company's named executive officers.
3. To ratify the appointment of Grant Thornton Mgmt For For LLP as the Company's independent registered public accounting firm for the fiscal year ended December 31, 2019.
4. To approve the Penn Virginia 2019 Mgmt For For Management Incentive Plan. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 404 of 721 NT SMALL CAP PENNON GROUP PLC
Security: G8295T213 Agenda Number: 711340707 Ticker: Meeting Type: AGM ISIN: GB00B18V8630 Meeting Date: 25-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE AND ADOPT THE ANNUAL Mgmt For For ACCOUNTS AND REPORTS FOR THE YEAR ENDED 31 MARCH 2019
2 TO DECLARE A FINAL DIVIDEND OF Mgmt For For 28.22P PER ORDINARY SHARE FOR THE YEAR ENDED 31 MARCH 2019
3 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT
4 TO RE-ELECT SIR JOHN PARKER AS A Mgmt For For DIRECTOR
5 TO RE-ELECT NEIL COOPER AS A Mgmt For For DIRECTOR
6 TO RE-ELECT SUSAN DAVY AS A Mgmt For For DIRECTOR
7 TO ELECT IAIN EVANS AS A DIRECTOR Mgmt For For
8 TO RE-ELECT CHRISTOPHER LOUGHLIN Mgmt For For AS A DIRECTOR
9 TO RE-ELECT GILL RIDER AS A DIRECTOR Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 405 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO RE-APPOINT ERNST & YOUNG LLP AS Mgmt For For AUDITOR OF THE COMPANY
11 TO AUTHORISE THE AUDIT COMMITTEE Mgmt For For TO DETERMINE THE REMUNERATION OF THE AUDITOR ON BEHALF OF THE BOARD
12 TO AUTHORISE THE COMPANY AND ITS Mgmt For For SUBSIDIARIES TO MAKE POLITICAL DONATIONS/INCUR POLITICAL EXPENDITURE UP TO A SPECIFIED LIMIT
13 TO GRANT THE DIRECTORS AUTHORITY Mgmt For For TO ALLOT SHARES
14 TO AUTHORISE THE PARTIAL Mgmt For For DISAPPLICATION OF PRE-EMPTION RIGHTS
15 TO AUTHORISE THE PARTIAL Mgmt For For DISAPPLICATION OF PRE-EMPTION RIGHTS IN CONNECTION WITH AN ACQUISITION OR SPECIFIED CAPITAL INVESTMENT
16 TO AUTHORISE THE PURCHASE OF THE Mgmt For For COMPANY'S OWN SHARES
17 TO AUTHORISE A GENERAL MEETING Mgmt For For OTHER THAN AN AGM TO BE CALLED ON NOT LESS THAN 14 CLEAR DAYS' NOTICE
18 TO AMEND THE COMPANY'S ARTICLES OF Mgmt For For ASSOCIATION TO DEFINE THE RIGHTS ATTACHED TO THE WATERSHARE+ SHARE: ARTICLE 5, ARTICLE 5.A
19 TO GRANT THE DIRECTORS AUTHORITY Mgmt For For TO ISSUE THE WATERSHARE+ SHARE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 406 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT 12 JUL 2019: PLEASE NOTE THAT THIS IS Non-Voting A REVISION DUE TO MODIFICATION OF THE TEXT OF RESOLUTION 7. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 407 of 721 NT SMALL CAP PERSPECTA INC.
Security: 715347100 Agenda Number: 935057326 Ticker: PRSP Meeting Type: Annual ISIN: US7153471005 Meeting Date: 13-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: Sanju K. Bansal Mgmt For For
1b. Election of Director: Sondra L. Barbour Mgmt For For
1c. Election of Director: John M. Curtis Mgmt For For
1d. Election of Director: Lisa S. Disbrow Mgmt For For
1e. Election of Director: Glenn A. Eisenberg Mgmt For For
1f. Election of Director: Pamela O. Kimmet Mgmt For For
1g. Election of Director: J. Michael Lawrie Mgmt For For
1h. Election of Director: Ramzi M. Musallam Mgmt For For
1i. Election of Director: Philip O. Nolan Mgmt For For
1j. Election of Director: Michael E. Ventling Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 408 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
2. Ratification of the appointment of Deloitte & Mgmt For For Touche as our independent registered public accounting firm for the fiscal year ending March 31, 2020
3. Approval, on an advisory basis, of our named Mgmt For For executive officer compensation
4. Approval, on an advisory basis, of the Mgmt 1 Year For frequency of holding future non-binding advisory votes to approve our named executive officer compensation Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 409 of 721 NT SMALL CAP PETMED EXPRESS, INC.
Security: 716382106 Agenda Number: 935051211 Ticker: PETS Meeting Type: Annual ISIN: US7163821066 Meeting Date: 26-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1A Election of Director: Menderes Akdag Mgmt For For
1B Election of Director: Leslie C.G. Campbell Mgmt For For
1C Election of Director: Frank J. Formica Mgmt For For
1D Election of Director: Gian M. Fulgoni Mgmt For For
1E Election of Director: Ronald J. Korn Mgmt For For
1F Election of Director: Robert C. Schweitzer Mgmt For For
2. Approval of amendments to the Company's Mgmt For For existing First Amended and Restated Bylaws to make certain changes reflecting current practices in corporate governance.
3. An advisory (non-binding) vote on executive Mgmt For For compensation.
4. To ratify the appointment of RSM US LLP as Mgmt For For the independent registered public accounting firm for the Company to serve for the 2020 fiscal year. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 410 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
5. A shareholder proposal regarding simple Shr For Against majority vote. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 411 of 721 NT SMALL CAP PETS AT HOME GROUP PLC
Security: G7041J107 Agenda Number: 711311516 Ticker: Meeting Type: AGM ISIN: GB00BJ62K685 Meeting Date: 11-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE COMPANY'S AUDITED Mgmt For For FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 28 MARCH 2019, TOGETHER WITH THE DIRECTORS' REPORTS AND THE AUDITORS' REPORTS SET OUT IN THE ANNUAL REPORT FOR THE YEAR ENDED 28 MARCH 2019 ('2019 ANNUAL REPORT')
2 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT FOR THE YEAR ENDED 28 MARCH 2019 AS SET OUT IN PAGES 101 TO 106 OF THE 2019 ANNUAL REPORT
3 TO DECLARE A FINAL DIVIDEND Mgmt For For RECOMMENDED BY THE DIRECTORS OF 5 PENCE PER ORDINARY SHARE
4.A TO RE-ELECT TONY DENUNZIO AS A Mgmt For For DIRECTOR OF THE COMPANY
4.B TO RE-ELECT PETER PRITCHARD AS A Mgmt For For DIRECTOR OF THE COMPANY
4.C TO RE-ELECT MIKE IDDON AS A Mgmt For For DIRECTOR OF THE COMPANY
4.D TO RE-ELECT DENNIS MILLARD AS A Mgmt For For DIRECTOR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 412 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4.E TO RE-ELECT PAUL MOODY AS A Mgmt For For DIRECTOR OF THE COMPANY
4.F TO RE-ELECT SHARON FLOOD AS A Mgmt For For DIRECTOR OF THE COMPANY
4.G TO RE-ELECT STANISLAS LAURENT AS A Mgmt For For DIRECTOR OF THE COMPANY
4.H TO RE-ELECT SUSAN DAWSON AS A Mgmt For For DIRECTOR OF THE COMPANY
5 TO RE-APPOINT KPMG LLP AS AUDITOR Mgmt For For OF THE COMPANY
6 TO AUTHORISE THE DIRECTORS TO SET Mgmt For For THE FEES PAID TO THE AUDITOR OF THE COMPANY
7 AUTHORITY TO ALLOT SHARES Mgmt For For
8 AUTHORITY TO MAKE POLITICAL Mgmt For For DONATIONS AND EXPENDITURE
9 PARTIAL DISAPPLICATION OF PRE- Mgmt For For EMPTION RIGHTS
10 ADDITIONAL PARTIAL DISAPPLICATION OF Mgmt For For PRE-EMPTION RIGHTS
11 AUTHORITY TO PURCHASE OWN SHARES Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 413 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
12 THAT A GENERAL MEETING, OTHER THAN Mgmt For For AN ANNUAL GENERAL MEETING MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 414 of 721 NT SMALL CAP PLAYAGS, INC.
Security: 72814N104 Agenda Number: 935065474 Ticker: AGS Meeting Type: Annual ISIN: US72814N1046 Meeting Date: 10-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Adam Chibib Mgmt For For
2. Advisory vote to approve named executive Mgmt For For officer compensation.
3. To ratify the appointment of Mgmt For For PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2019. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 415 of 721 NT SMALL CAP PRESTIGE CONSUMER HEALTHCARE INC.
Security: 74112D101 Agenda Number: 935058429 Ticker: PBH Meeting Type: Annual ISIN: US74112D1019 Meeting Date: 30-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Ronald M. Lombardi Mgmt For For
2 John E. Byom Mgmt For For
3 Gary E. Costley Mgmt For For
4 Sheila A. Hopkins Mgmt For For
5 James M. Jenness Mgmt For For
6 Natale S. Ricciardi Mgmt For For
7 Christopher J. Coughlin Mgmt For For
2. To ratify the appointment of Mgmt For For PricewaterhouseCoopers LLP as the independent registered public accounting firm of Prestige Consumer Healthcare Inc. for the fiscal year ending March 31, 2020.
3. Say on Pay - An advisory vote on the Mgmt For For resolution to approve the compensation of Prestige Consumer Healthcare Inc.'s named executive officers. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 416 of 721 NT SMALL CAP PROGENICS PHARMACEUTICALS, INC.
Security: 743187106 Agenda Number: 935045042 Ticker: PGNX Meeting Type: Contested Annual ISIN: US7431871067 Meeting Date: 11-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: Peter J. Crowley Mgmt For For
1b. Election of Director: Mark R. Baker Mgmt For For
1c. Election of Director: Bradley L. Campbell Mgmt For For
1d. Election of Director: Karen J. Ferrante Mgmt For For
1e. Election of Director: Michael D. Kishbauch Mgmt For For
1f. Election of Director: David A. Scheinberg Mgmt For For
1g. Election of Director: Nicole S. Williams Mgmt For For
2. Company Proposal: Ratifying the Board of Mgmt For For Directors' election of Ernst & Young LLP to serve as the Company's independent registered public accounting firm for 2019.
3. Company Proposal: Approving, on an Mgmt For For advisory basis, the compensation of the Company's named executive officers as disclosed in the Proxy Statement. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 417 of 721 NT SMALL CAP PZ CUSSONS PLC
Security: G6850S109 Agenda Number: 711522715 Ticker: Meeting Type: AGM ISIN: GB00B19Z1432 Meeting Date: 25-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE AUDITED FINANCIAL Mgmt For For STATEMENTS FOR THE YEAR ENDED 31 MAY 2019 AND THE REPORTS OF THE DIRECTORS AND THE AUDITOR THEREON
2 TO APPROVE THE REPORT ON Mgmt For For DIRECTORS' REMUNERATION (OTHER THAN THE PART CONTAINING THE DIRECTORS' REMUNERATION POLICY) FOR THE YEAR ENDED 31 MAY 2019
3 TO DECLARE A FINAL DIVIDEND FOR THE Mgmt For For YEAR ENDED 31 MAY 2019 OF 5.61P PER ORDINARY SHARE OF 1P EACH IN THE COMPANY
4 TO RE-ELECT G A KANELLIS AS A Mgmt For For DIRECTOR
5 TO RE-ELECT C L SILVER AS A DIRECTOR Mgmt For For
6 TO RE-ELECT D KUCZ AS A DIRECTOR Mgmt For For
7 TO RE-ELECT J K MAIDEN AS A DIRECTOR Mgmt For For
8 TO RE-ELECT T MINICK-SCOKALO AS A Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 418 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
9 TO RE-ELECT J R NICOLSON AS A Mgmt For For DIRECTOR
10 TO RE-ELECT H OWERS AS A DIRECTOR Mgmt For For
11 TO RE-APPOINT DELOITTE LLP AS THE Mgmt For For AUDITOR OF THE COMPANY
12 TO AUTHORISE THE AUDIT & RISK Mgmt For For COMMITTEE TO FIX THE REMUNERATION OF THE AUDITOR
13 THAT THE DIRECTORS ARE GENERALLY Mgmt For For AND UNCONDITIONALLY AUTHORISED PURSUANT TO SECTION 551 OF THE COMPANIES ACT 2006 TO EXERCISE ALL THE POWERS OF THE COMPANY TO ALLOT SHARES
14 THAT, SUBJECT TO THE PASSING OF Mgmt For For RESOLUTION 13, THE DIRECTORS ARE EMPOWERED PURSUANT TO SECTIONS 570 AND 573 OF THE COMPANIES ACT 2006 TO ALLOT EQUITY SECURITIES FOR CASH
15 THAT THE COMPANY IS GENERALLY AND Mgmt For For UNCONDITIONALLY AUTHORISED PURSUANT TO SECTION 701 OF THE COMPANIES ACT 2006 TO MAKE MARKET PURCHASES OF ORDINARY SHARES
16 THAT ANY GENERAL MEETING OF THE Mgmt For For COMPANY OTHER THAN AN AGM MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 419 of 721 NT SMALL CAP QINETIQ GROUP PLC
Security: G7303P106 Agenda Number: 711315045 Ticker: Meeting Type: AGM ISIN: GB00B0WMWD03 Meeting Date: 24-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE REPORT AND Mgmt For For ACCOUNTS
2 TO APPROVE THE DIRECTORS Mgmt For For REMUNERATION REPORT
3 TO DECLARE A DIVIDEND Mgmt For For
4 TO RE-ELECT LYNN BRUBAKER AS A Mgmt For For DIRECTOR
5 TO RE-ELECT ADMIRAL SIR JAMES Mgmt For For BURNELL-NUGENT AS A DIRECTOR
6 TO RE-ELECT MICHAEL HARPER AS A Mgmt For For DIRECTOR
7 TO ELECT NEIL JOHNSON AS A DIRECTOR Mgmt Abstain Against
8 TO RE-ELECT IAN MASON AS A DIRECTOR Mgmt For For
9 TO RE-ELECT PAUL MURRAY AS A Mgmt For For DIRECTOR
10 TO RE-ELECT SUSAN SEARLE AS A Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 420 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 TO RE-ELECT DAVID SMITH AS A Mgmt For For DIRECTOR
12 TO RE-ELECT STEVE WADEY AS A Mgmt For For DIRECTOR
13 TO RE-APPOINT Mgmt For For PRICEWATERHOUSECOOPERS LLP AS AUDITOR
14 TO AUTHORISE THE AUDIT COMMITTEE Mgmt For For TO DETERMINE THE AUDITORS REMUNERATION
15 TO MAKE POLITICAL DONATIONS Mgmt For For
16 AUTHORITY TO ALLOT NEW SHARES Mgmt For For
17 TO DISAPPLY PRE-EMPTION RIGHTS Mgmt For For STANDARD
18 TO DISAPPLY PRE-EMPTION RIGHTS Mgmt For For ACQUISITIONS
19 TO AUTHORISE THE PURCHASE OF OWN Mgmt For For SHARES
20 NOTICE PERIOD FOR EXTRAORDINARY Mgmt For For GENERAL MEETINGS
21 TO ADOPT NEW ARTICLES OF Mgmt For For ASSOCIATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 421 of 721 NT SMALL CAP RBC BEARINGS INCORPORATED
Security: 75524B104 Agenda Number: 935066250 Ticker: ROLL Meeting Type: Annual ISIN: US75524B1044 Meeting Date: 11-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Edward D. Stewart Mgmt Withheld Against
2 Daniel A. Bergeron Mgmt For For
3 Michael H. Ambrose Mgmt For For
2. To ratify the appointment of Ernst & Young Mgmt For For LLP as the Company's independent registered public accounting firm for the fiscal year 2020.
3. To consider a resolution regarding the Mgmt For For stockholder advisory vote on named executive officer compensation. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 422 of 721 NT SMALL CAP RENEWI PLC
Security: G7492H105 Agenda Number: 711307517 Ticker: Meeting Type: AGM ISIN: GB0007995243 Meeting Date: 11-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE AND ADOPT THE REPORTS Mgmt For For OF THE DIRECTORS AND THE FINANCIAL STATEMENTS FOR THE YEAR ENDED 31 MARCH 2019 TOGETHER WITH THE AUDITORS' REPORT
2 TO APPROVE THE ANNUAL STATEMENT Mgmt For For BY THE CHAIRMAN OF THE REMUNERATION COMMITTEE AND THE ANNUAL REPORT ON DIRECTORS' REMUNERATION FOR THE YEAR ENDED 31 MARCH 2019
3 TO DECLARE A FINAL DIVIDEND OF 0.5 Mgmt For For PENCE PER ORDINARY SHARE FOR THE YEAR ENDED 31 MARCH 2019
4 TO ELECT MR OTTO DE BONT AS A Mgmt For For DIRECTOR
5 TO ELECT MR NEIL HARTLEY AS A Mgmt For For DIRECTOR
6 TO RE-ELECT MR COLIN MATTHEWS AS A Mgmt For For DIRECTOR
7 TO RE-ELECT MR ALLARD CASTELEIN AS Mgmt For For A DIRECTOR
8 TO RE-ELECT MS MARINA WYATT AS A Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 423 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
9 TO RE-ELECT MS JOLANDE SAP AS A Mgmt For For DIRECTOR
10 TO RE-ELECT MR LUC STERCKX AS A Mgmt For For DIRECTOR
11 TO RE-ELECT MR JACQUES PETRY AS A Mgmt For For DIRECTOR
12 TO RE-ELECT MR TOBY WOOLRYCH AS A Mgmt For For DIRECTOR
13 TO RE-APPOINT Mgmt For For PRICEWATERHOUSECOOPERS LLP AS AUDITORS OF THE COMPANY
14 TO AUTHORISE THE AUDIT COMMITTEE Mgmt For For TO DETERMINE THE REMUNERATION OF THE COMPANY'S AUDITORS
15 TO PROVIDE LIMITED AUTHORITY TO Mgmt For For MAKE POLITICAL DONATIONS AND TO INCUR POLITICAL EXPENDITURE
16 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT SHARES AND GRANT RIGHTS TO SUBSCRIBE FOR SHARES
17 TO DISAPPLY PRE-EMPTION RIGHTS UP Mgmt For For TO A MAXIMUM OF 5% OF THE ISSUED SHARE CAPITAL
18 TO DISAPPLY PRE-EMPTION RIGHTS FOR Mgmt For For A FURTHER 5% OF THE ISSUED SHARE CAPITAL TO BE USED ONLY FOR THE PURPOSES SET OUT IN THE PRE- EMPTION GROUP'S GUIDELINES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 424 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
19 TO AUTHORISE THE COMPANY TO MAKE Mgmt For For MARKET PURCHASES OF ITS OWN ORDINARY SHARES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 425 of 721 NT SMALL CAP RETAIL ESTATES SA
Security: B7081U108 Agenda Number: 711329258 Ticker: Meeting Type: AGM ISIN: BE0003720340 Meeting Date: 22-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE
1 PRESENTATION OF THE ANNUAL REPORT Non-Voting
2 PRESENTATION OF THE REPORT OF THE Non-Voting STATUTORY AUDITOR
3 PRESENTATION OF THE CONSOLIDATED Non-Voting ANNUAL ACCOUNTS
4.A APPROVAL OF THE STATUTORY ANNUAL Mgmt For For ACCOUNTS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 426 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4.B APPROVAL OF THE STATUTORY ANNUAL Mgmt For For ACCOUNTS CLOSED 31 MARCH 2019 AND ALLOCATION OF THE FINANCIAL RESULTS: PROPOSAL FOR THE ALLOCATION OF A GROSS END OF FINANCIAL YEAR DIVIDEND OF EUR 0 PER SHARE (FOR A TOTAL OF 11,422,593 SHARES), IN VIEW OF THE INTERIM DIVIDEND ALLOCATED EARLIER BY THE BOARD OF DIRECTORS IN THE FORM OF AN OPTIONAL DIVIDEND
5 APPROVAL OF THE REMUNERATION Mgmt For For REPORT
6 DISCHARGE TO THE DIRECTORS Mgmt For For
7 DISCHARGE TO THE STATUTORY Mgmt For For AUDITOR
8 APPOINTMENT OF MR. STIJN ELEBAUT AS Mgmt Against Against DIRECTOR
9 APPOINTMENT OF MICHEL VAN GEYTE AS Mgmt Against Against DIRECTOR
10 APPROVAL OF THE ANNUAL ACCOUNTS Mgmt For For OF "LIBRAJEM BVBA"
11 DISCHARGE TO THE DIRECTORS OF Mgmt For For "LIBRAJEM BVBA"
12 DISCHARGE TO THE STATUTORY Mgmt For For AUDITOR OF "LIBRAJEM BVBA"
13 APPROVAL OF THE ANNUAL ACCOUNTS Mgmt For For OF "HEERZELE NV" Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 427 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
14 DISCHARGE TO THE DIRECTORS OF Mgmt For For "HEERZELE NV"
15 DISCHARGE TO THE STATUTORY Mgmt For For AUDITOR OF "HEERZELE NV"
16.A APPROVAL CERTAIN CLAUSES IN THE Mgmt For For FINANCING AGREEMENTS: TERM LOAN FACILITIES WITH ING BANK OF 26 MARCH 2019
16.B APPROVAL CERTAIN CLAUSES IN THE Mgmt For For FINANCING AGREEMENTS: GENERAL CREDIT TERMS KBC BANK OF 8 JUNE 2018 Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 428 of 721 NT SMALL CAP REXNORD CORPORATION
Security: 76169B102 Agenda Number: 935045484 Ticker: RXN Meeting Type: Annual ISIN: US76169B1026 Meeting Date: 25-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Mark S. Bartlett Mgmt For For
2 David C. Longren Mgmt For For
3 George C. Moore Mgmt For For
2. Advisory vote to approve the compensation of Mgmt For For the Company's named executive officers, as disclosed in "Compensation Discussion and Analysis" and "Executive Compensation" in the Proxy Statement.
3. Approval of the amendment to, and Mgmt For For restatement of, the Rexnord Corporation Performance Incentive Plan.
4. Ratification of the selection of Ernst & Young Mgmt For For LLP as the Company's independent registered public accounting firm for fiscal 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 429 of 721 NT SMALL CAP RH
Security: 74967X103 Agenda Number: 935055207 Ticker: RH Meeting Type: Annual ISIN: US74967X1037 Meeting Date: 24-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Eri Chaya Mgmt For For
2 Mark Demilio Mgmt For For
3 Leonard Schlesinger Mgmt For For
2. Advisory vote to approve named executive Mgmt For For officer compensation.
3. Ratification of the appointment of Mgmt For For PricewaterhouseCoopers LLP as our independent registered public accounting firm for the 2019 fiscal year. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 430 of 721 NT SMALL CAP RITE AID CORPORATION
Security: 767754872 Agenda Number: 935051893 Ticker: RAD Meeting Type: Annual ISIN: US7677548726 Meeting Date: 17-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: Bruce G. Bodaken Mgmt For For
1b. Election of Director: Elizabeth 'Busy' Burr Mgmt For For
1c. Election of Director: Robert E. Knowling, Jr. Mgmt For For
1d. Election of Director: Kevin E. Lofton Mgmt For For
1e. Election of Director: Louis P. Miramontes Mgmt For For
1f. Election of Director: Arun Nayar Mgmt For For
1g. Election of Director: Katherine Quinn Mgmt For For
1h. Election of Director: Marcy Syms Mgmt For For
2. Ratify the appointment of Deloitte & Touche Mgmt For For LLP as our independent registered public accounting firm.
3. Approve, on an advisory basis, the Mgmt For For compensation of our named executive officers as presented in the proxy statement. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 431 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4. Consider a stockholder proposal, if properly Shr For Against presented at the Annual Meeting, seeking a By-Law amendment for a 10% ownership threshold for stockholders to call special meetings. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 432 of 721 NT SMALL CAP ROYAL MAIL PLC
Security: G7368G108 Agenda Number: 711320589 Ticker: Meeting Type: AGM ISIN: GB00BDVZYZ77 Meeting Date: 18-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE COMPANY'S ANNUAL Mgmt For For FINANCIAL STATEMENTS AND THE DIRECTORS AND AUDITORS REPORTS
2 TO APPROVE THE DIRECTORS Mgmt For For REMUNERATION REPORT
3 TO APPROVE THE DIRECTORS Mgmt For For REMUNERATION POLICY
4 TO DECLARE A FINAL DIVIDEND OF 17.0 Mgmt For For PENCE PER ORDINARY SHARE
5 TO RE-APPOINT KEITH WILLIAMS AS A Mgmt For For DIRECTOR OF THE COMPANY
6 TO RE-APPOINT RICO BACK AS A Mgmt For For DIRECTOR OF THE COMPANY
7 TO RE-APPOINT STUART SIMPSON AS A Mgmt For For DIRECTOR OF THE COMPANY
8 TO RE-APPOINT MARIA DA CUNHA AS A Mgmt For For DIRECTOR OF THE COMPANY
9 TO RE-APPOINT MICHAEL FINDLAY AS A Mgmt For For DIRECTOR OF THE COMPANY
10 TO RE-APPOINT RITA GRIFFIN AS A Mgmt For For DIRECTOR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 433 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 TO RE-APPOINT SIMON THOMPSON AS A Mgmt For For DIRECTOR OF THE COMPANY
12 TO RE-APPOINT KPMG LLP AS AUDITOR Mgmt For For OF THE COMPANY
13 TO AUTHORISE THE AUDIT AND RISK Mgmt For For COMMITTEE TO DETERMINE THE REMUNERATION OF THE AUDITOR
14 TO AUTHORISE THE COMPANY TO MAKE Mgmt For For POLITICAL DONATIONS AND INCUR POLITICAL EXPENDITURE
15 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT SHARES
16 TO AUTHORISE THE DIRECTORS TO Mgmt For For DISAPPLY PRE-EMPTION RIGHTS
17 TO AUTHORISE THE DIRECTORS TO Mgmt For For DISAPPLY ADDITIONAL PRE-EMPTION RIGHTS
18 TO AUTHORISE THE COMPANY TO Mgmt For For PURCHASE ITS OWN SHARES
19 TO AUTHORISE THE COMPANY TO CALL Mgmt For For GENERAL MEETINGS OTHER THAN AN AGM ON NOT LESS THAN 14 CLEAR DAYS NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 434 of 721 NT SMALL CAP SCAPA GROUP PLC
Security: G78486134 Agenda Number: 711311693 Ticker: Meeting Type: AGM ISIN: GB0007281198 Meeting Date: 23-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE ANNUAL REPORT AND Mgmt For For ACCOUNTS OF THE COMPANY FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019
2 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT (EXCLUDING THE DIRECTORS' REMUNERATION POLICY) CONTAINED WITHIN THE ANNUAL REPORT OF THE COMPANY FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019
3 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION POLICY CONTAINED WITHIN THE ANNUAL REPORT OF THE COMPANY FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019
4 TO DECLARE A FINAL DIVIDEND OF 2.9P Mgmt For For PER ORDINARY SHARE IN RESPECT OF THE FINANCIAL YEAR ENDED 31 MARCH 2019
5 TO RE-ELECT AS A DIRECTOR MR L C Mgmt For For PENTZ
6 TO RE-ELECT AS A DIRECTOR MR H R Mgmt For For CHAE
7 TO RE-ELECT AS A DIRECTOR MR D C Mgmt For For BLACKWOOD Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 435 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8 TO RE-ELECT AS A DIRECTOR MR P R M Mgmt For For GUYOT
9 TO RE-ELECT AS A DIRECTOR MR B P Mgmt For For MCATAMNEY
10 TO ELECT AS A DIRECTOR MR O ZAHN Mgmt For For
11 TO ELECT AS A DIRECTOR MR S Mgmt For For DEMIRDOGEN
12 TO ELECT AS A DIRECTOR MR J Mgmt For For DOHERTY
13 TO ELECT AS A DIRECTOR MRS J Mgmt Against Against THOMPSON
14 TO REAPPOINT DELOITTE LLP AS Mgmt For For AUDITOR OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT GENERAL MEETING AT WHICH ACCOUNTS ARE LAID BEFORE THE COMPANY
15 TO AUTHORISE THE DIRECTORS TO FIX Mgmt For For THE REMUNERATION OF THE AUDITOR
16 THAT THE RULES OF THE SCAPA GROUP Mgmt For For PLC 2019 LONG TERM INCENTIVE PLAN IN THE FORM PRODUCED TO THE MEETING AND INITIALLED BY THE CHAIRMAN OF THE MEETING FOR THE PURPOSES OF IDENTIFICATION (THE '2019 LTIP'), THE PRINCIPAL TERMS OF WHICH ARE SUMMARISED IN THE APPENDIX TO THIS NOTICE OF MEETING, ARE APPROVED, AND THE DIRECTORS OF THE COMPANY ARE AUTHORISED TO: (A) ADOPT THE 2019 LTIP AND DO ALL ACTS AND THINGS WHICH THEY MAY, IN THEIR ABSOLUTE DISCRETION, CONSIDER NECESSARY OR EXPEDIENT TO ESTABLISH AND GIVE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 436 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
EFFECT TO THE 2019 LTIP; AND (B) ADOPT FURTHER PLANS BASED ON THE 2019 LTIP BUT MODIFIED TO TAKE ACCOUNT OF LOCAL TAX, EXCHANGE CONTROL OR SECURITIES LAWS IN OVERSEAS TERRITORIES, PROVIDED THAT ANY SHARES MADE AVAILABLE UNDER SUCH FURTHER PLANS ARE TREATED AS COUNTING AGAINST THE LIMITS ON INDIVIDUAL OR OVERALL PARTICIPATION IN THE 2019 LTIP
17 THAT IN ACCORDANCE WITH SECTIONS Mgmt For For 366 AND 367 OF THE COMPANIES ACT 2006 THE COMPANY AND ANY COMPANY WHICH IS OR BECOMES A SUBSIDIARY OF THE COMPANY DURING THE PERIOD TO WHICH THIS RESOLUTION RELATES ARE AUTHORISED: (A) TO MAKE POLITICAL DONATIONS TO POLITICAL PARTIES OR INDEPENDENT ELECTORAL CANDIDATES, AS DEFINED IN SECTIONS 363 AND 364 OF THAT ACT, NOT EXCEEDING GBP 50,000 IN TOTAL; (B) TO MAKE POLITICAL DONATIONS TO POLITICAL ORGANISATIONS OTHER THAN POLITICAL PARTIES, AS DEFINED IN SECTIONS 363 AND 364 OF THAT ACT, NOT EXCEEDING GBP 50,000 IN TOTAL; AND (C) TO INCUR POLITICAL EXPENDITURE, AS DEFINED IN SECTION 365 OF THAT ACT, NOT EXCEEDING GBP 50,000 IN TOTAL, DURING THE PERIOD BEGINNING WITH THE DATE OF THE PASSING OF THIS RESOLUTION AND ENDING AT THE CONCLUSION OF THE COMPANY'S NEXT ANNUAL GENERAL MEETING OR AT THE CLOSE OF BUSINESS ON 30 SEPTEMBER 2020, WHICHEVER IS THE EARLIER (AND FOR THE PURPOSES OF THIS RESOLUTION ANY SUM WHICH IS PAID OR INCURRED IN A CURRENCY OTHER THAN STERLING SHALL BE CONVERTED INTO STERLING AT SUCH RATE AS THE DIRECTORS CONSIDER APPROPRIATE) Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 437 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
18 THAT THE DIRECTORS ARE GENERALLY Mgmt For For AND UNCONDITIONALLY AUTHORISED PURSUANT TO SECTION 551 OF THE COMPANIES ACT 2006 TO EXERCISE ALL THE AUTHORITIES OF THE COMPANY TO ALLOT SHARES IN THE COMPANY AND TO GRANT RIGHTS TO SUBSCRIBE FOR OR TO CONVERT ANY SECURITY INTO SUCH SHARES ('ALLOTMENT RIGHTS'), BUT SO THAT: (A) THE MAXIMUM AMOUNT OF SHARES THAT MAY BE ALLOTTED OR MADE THE SUBJECT OF ALLOTMENT RIGHTS UNDER THIS AUTHORITY ARE SHARES WITH AN AGGREGATE NOMINAL VALUE OF GBP 5,119,288, OF WHICH: I. GBP 2,559,644 MAY BE ALLOTTED OR MADE THE SUBJECT OF ALLOTMENT RIGHTS IN ANY CIRCUMSTANCES; AND II. GBP 2,559,644 MAY BE ALLOTTED OR MADE THE SUBJECT OF ALLOTMENT RIGHTS ONLY PURSUANT TO ANY RIGHTS ISSUE OR PURSUANT TO ANY ARRANGEMENTS MADE FOR THE PLACING OR UNDERWRITING OR OTHER ALLOCATION OF ANY SHARES OR OTHER SECURITIES INCLUDED IN, BUT NOT TAKEN UP UNDER, ANY SUCH RIGHTS ISSUE; (B) THIS AUTHORITY SHALL EXPIRE AT THE CONCLUSION OF THE COMPANY'S ANNUAL GENERAL MEETING IN 2020 OR AT THE CLOSE OF BUSINESS ON 30 SEPTEMBER 2020, WHICHEVER IS THE EARLIER; (C) THE COMPANY MAY MAKE ANY OFFER OR AGREEMENT BEFORE SUCH EXPIRY WHICH WOULD OR MIGHT REQUIRE SHARES TO BE ALLOTTED OR ALLOTMENT RIGHTS TO BE GRANTED AFTER SUCH EXPIRY; AND (D) ALL AUTHORITIES VESTED IN THE DIRECTORS ON THE DATE OF THE NOTICE OF THIS MEETING TO ALLOT SHARES OR TO GRANT ALLOTMENT RIGHTS THAT REMAIN UNEXERCISED AT THE COMMENCEMENT OF THIS MEETING ARE REVOKED Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 438 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
19 THAT THE DIRECTORS ARE EMPOWERED Mgmt For For PURSUANT TO SECTIONS 570 AND 573 OF THE COMPANIES ACT 2006 TO ALLOT EQUITY SECURITIES, AS DEFINED IN SECTION 560 OF THAT ACT, FOR CASH PURSUANT TO THE AUTHORITY CONFERRED ON THEM BY RESOLUTION 18 IN THE NOTICE OF THIS MEETING OR BY WAY OF A SALE OF TREASURY SHARES AS IF SECTION 561 OF THAT ACT DID NOT APPLY TO ANY SUCH ALLOTMENT, PROVIDED THAT THIS POWER IS LIMITED TO: (A) THE ALLOTMENT OF EQUITY SECURITIES IN CONNECTION WITH ANY RIGHTS ISSUE OR OPEN OFFER OR ANY OTHER PRE- EMPTIVE OFFER THAT IS OPEN FOR ACCEPTANCE FOR A PERIOD DETERMINED BY THE DIRECTORS TO THE HOLDERS OF ORDINARY SHARES ON THE REGISTER ON ANY FIXED RECORD DATE IN PROPORTION TO THEIR HOLDINGS OF ORDINARY SHARES (AND, IF APPLICABLE, TO THE HOLDERS OF ANY OTHER CLASS OF EQUITY SECURITY IN ACCORDANCE WITH THE RIGHTS ATTACHED TO SUCH CLASS), SUBJECT IN EACH CASE TO SUCH EXCLUSIONS OR OTHER ARRANGEMENTS AS THE DIRECTORS MAY DEEM NECESSARY OR APPROPRIATE IN RELATION TO FRACTIONS OF SUCH SECURITIES, THE USE OF MORE THAN ONE CURRENCY FOR MAKING PAYMENTS IN RESPECT OF SUCH OFFER, TREASURY SHARES, ANY LEGAL OR PRACTICAL PROBLEMS IN RELATION TO ANY TERRITORY OR THE REQUIREMENTS OF ANY REGULATORY BODY OR ANY STOCK EXCHANGE; AND (B) THE ALLOTMENT OF EQUITY SECURITIES (OTHER THAN PURSUANT TO PARAGRAPH (A) ABOVE) WITH AN AGGREGATE NOMINAL VALUE OF UP TO GBP 387,825, AND SHALL EXPIRE WHEN THE AUTHORITY CONFERRED ON THE DIRECTORS BY RESOLUTION 18 IN THE NOTICE OF THIS MEETING EXPIRES SAVE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 439 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
THAT, BEFORE SUCH EXPIRY, THE COMPANY MAY MAKE ANY OFFER OR AGREEMENT WHICH WOULD OR MIGHT REQUIRE EQUITY SECURITIES TO BE ALLOTTED AFTER SUCH EXPIRY
20 THAT THE DIRECTORS ARE EMPOWERED Mgmt For For PURSUANT TO SECTIONS 570 AND 573 OF THE COMPANIES ACT 2006, IN ADDITION TO ANY POWER GRANTED UNDER RESOLUTION 19, TO ALLOT EQUITY SECURITIES, AS DEFINED IN SECTION 560 OF THAT ACT, FOR CASH PURSUANT TO THE AUTHORITY CONFERRED ON THEM BY RESOLUTION 18 IN THE NOTICE OF THIS MEETING OR BY WAY OF A SALE OF TREASURY SHARES AS IF SECTION 561 OF THAT ACT DID NOT APPLY TO ANY SUCH ALLOTMENT, PROVIDED THAT THIS POWER IS: (A) LIMITED TO THE ALLOTMENT OF EQUITY SECURITIES WITH AN AGGREGATE NOMINAL VALUE OF UP TO GBP 387,825; AND (B) USED ONLY FOR THE PURPOSES OF FINANCING (OR REFINANCING, IF THE POWER IS USED WITHIN SIX MONTHS AFTER THE DATE OF THE ORIGINAL TRANSACTION) A TRANSACTION WHICH THE DIRECTORS DETERMINE TO BE AN ACQUISITION OR OTHER CAPITAL INVESTMENT OF A KIND CONTEMPLATED BY THE STATEMENT OF PRINCIPLES ON DISAPPLYING PRE-EMPTION RIGHTS MOST RECENTLY PUBLISHED BY THE PRE-EMPTION GROUP PRIOR TO THE DATE OF THE NOTICE OF THIS MEETING, AND SHALL EXPIRE WHEN THE AUTHORITY CONFERRED ON THE DIRECTORS BY RESOLUTION 18 IN THE NOTICE OF THIS MEETING EXPIRES SAVE THAT, BEFORE SUCH EXPIRY, THE COMPANY MAY MAKE ANY OFFER OR AGREEMENT WHICH WOULD OR MIGHT REQUIRE EQUITY SECURITIES TO BE ALLOTTED AFTER SUCH EXPIRY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 440 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
21 THAT THE COMPANY IS GENERALLY AND Mgmt For For UNCONDITIONALLY AUTHORISED IN ACCORDANCE WITH SECTION 701 OF THE COMPANIES ACT 2006 TO MAKE ONE OR MORE MARKET PURCHASES (WITHIN THE MEANING OF SECTION 693(4) OF THAT ACT) OF ORDINARY SHARES IN THE CAPITAL OF THE COMPANY, PROVIDED THAT: (A) THE MAXIMUM NUMBER OF ORDINARY SHARES HEREBY AUTHORISED TO BE PURCHASED IS 15,512,995; (B) THE MINIMUM PRICE WHICH MAY BE PAID FOR ANY SHARE (EXCLUDING EXPENSES) IS ITS NOMINAL VALUE; (C) THE MAXIMUM PRICE PER SHARE AT WHICH ANY SHARE MAY BE PURCHASED (EXCLUDING EXPENSES) SHALL NOT BE MORE THAN 105% OF THE AVERAGE OF THE MIDDLE MARKET QUOTATIONS FOR AN ORDINARY SHARE AS DERIVED FROM THE LONDON STOCK EXCHANGE'S DAILY OFFICIAL LIST FOR THE FIVE BUSINESS DAYS IMMEDIATELY PRECEDING THE DATE ON WHICH THE SHARE IS CONTRACTED TO BE PURCHASED OR, IN THE CASE OF A TENDER OFFER, THE TERMS OF THE TENDER OFFER ARE ANNOUNCED; (D) THE AUTHORITY TO PURCHASE HEREBY CONFERRED SHALL, UNLESS PREVIOUSLY RENEWED, VARIED OR REVOKED, EXPIRE AT THE CONCLUSION OF THE COMPANY'S ANNUAL GENERAL MEETING IN 2020 OR AT THE CLOSE OF BUSINESS ON 30 SEPTEMBER 2020, WHICHEVER IS THE EARLIER; AND (E) THE COMPANY MAY PRIOR TO THE EXPIRY OF SUCH AUTHORITY MAKE A CONTRACT OR CONTRACTS TO PURCHASE ORDINARY SHARES UNDER THE AUTHORITY HEREBY CONFERRED WHICH WILL OR MAY BE EXECUTED WHOLLY OR PARTLY AFTER THE EXPIRY OF SUCH AUTHORITY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 441 of 721 NT SMALL CAP SCHOLASTIC CORPORATION
Security: 807066105 Agenda Number: 935068177 Ticker: SCHL Meeting Type: Annual ISIN: US8070661058 Meeting Date: 18-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 James W. Barge Mgmt For For
2 John L. Davies Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 442 of 721 NT SMALL CAP SCOUT24 AG
Security: D345XT105 Agenda Number: 711458061 Ticker: Meeting Type: AGM ISIN: DE000A12DM80 Meeting Date: 30-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT THIS IS AN Non-Voting AMENDMENT TO MEETING ID 275310 DUE TO SPLITTING OF RESOLUTION 7. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU
CMMT PLEASE NOTE THAT FOLLOWING THE Non-Voting AMENDMENT TO PARAGRAPH 21 OF THE SECURITIES TRADE ACT ON 9TH JULY 2015 AND THE OVER-RULING OF THE DISTRICT COURT IN COLOGNE JUDGMENT FROM 6TH JUNE 2012 THE VOTING PROCESS HAS NOW CHANGED WITH REGARD TO THE GERMAN REGISTERED SHARES. AS A RESULT, IT IS NOW THE RESPONSIBILITY OF THE END- INVESTOR (I.E. FINAL BENEFICIARY) AND NOT THE INTERMEDIARY TO DISCLOSE RESPECTIVE FINAL BENEFICIARY VOTING RIGHTS THEREFORE THE CUSTODIAN BANK / AGENT IN THE MARKET WILL BE SENDING THE VOTING DIRECTLY TO MARKET AND IT IS THE END INVESTORS RESPONSIBILITY TO ENSURE THE REGISTRATION ELEMENT IS COMPLETE WITH THE ISSUER DIRECTLY, SHOULD THEY HOLD MORE THAN 3 % OF THE TOTAL SHARE CAPITAL. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 443 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT THE VOTE/REGISTRATION DEADLINE AS Non-Voting DISPLAYED ON PROXYEDGE IS SUBJECT TO CHANGE AND WILL BE UPDATED AS SOON AS BROADRIDGE RECEIVES CONFIRMATION FROM THE SUB CUSTODIANS REGARDING THEIR INSTRUCTION DEADLINE. FOR ANY QUERIES PLEASE CONTACT YOUR CLIENT SERVICES REPRESENTATIVE.
CMMT ACCORDING TO GERMAN LAW, IN CASE Non-Voting OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL. THANK YOU.
CMMT COUNTER PROPOSALS MAY BE Non-Voting SUBMITTED UNTIL 15.08.2019. FURTHER INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER'S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY'S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED IN THE BALLOT ON PROXYEDGE. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 444 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 RECEIVE FINANCIAL STATEMENTS AND Non-Voting STATUTORY REPORTS FOR FISCAL 2018
2 APPROVE ALLOCATION OF INCOME AND Mgmt For For DIVIDENDS OF EUR 0.64 PER SHARE
3 APPROVE DISCHARGE OF MANAGEMENT Mgmt For For BOARD FOR FISCAL 2018
4 APPROVE DISCHARGE OF SUPERVISORY Mgmt For For BOARD FOR FISCAL 2018
5 RATIFY KPMG AG AS AUDITORS FOR Mgmt For For FISCAL 2019
6.A ELECT MATHIAS HEDLUND TO THE Mgmt For For SUPERVISORY BOARD
6.B ELECT ANDRE SCHWAEMMLEIN TO THE Mgmt For For SUPERVISORY BOARD
6.C ELECT FRANK LUTZ TO THE Mgmt For For SUPERVISORY BOARD
7.A APPROVE AFFILIATION AGREEMENT WITH Mgmt For For CONSUMER FIRST SERVICES GMBH
7.B.1 AMEND AFFILIATION AGREEMENT WITH Mgmt For For IMMOBILIEN SCOUT GMBH
7.B.2 APPROVE AFFILIATION AGREEMENT WITH Mgmt For For AUTOSCOUT24 GMBH Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 445 of 721 NT SMALL CAP SEADRILL LIMITED (NEW)
Security: G7998G106 Agenda Number: 711339312 Ticker: Meeting Type: OTH ISIN: BMG7998G1069 Meeting Date: 01-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 THE SIZE OF THE BOARD BE INCREASED Mgmt No vote TO A MAXIMUM OF 7 DIRECTORS
2 VACANCIES ON THE BOARD UNFILLED BY Mgmt No vote THE MEMBERS PURSUANT TO BYE LAW 103 BE DEEMED CASUAL VACANCIES WHICH MAY BE FILLED BY THE BOARD
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 446 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT SHARES HELD IN AN OMNIBUS/NOMINEE Non-Voting ACCOUNT NEED TO BE RE-REGISTERED IN THE BENEFICIAL OWNERS NAME TO BE ALLOWED TO VOTE AT MEETINGS. SHARES WILL BE TEMPORARILY TRANSFERRED TO A SEPARATE ACCOUNT IN THE BENEFICIAL OWNER'S NAME ON THE PROXY DEADLINE AND TRANSFERRED BACK TO THE OMNIBUS/NOMINEE ACCOUNT THE DAY AFTER THE MEETING.
CMMT PLEASE NOTE THAT THIS IS A WRITTEN Non-Voting RESOLUTION, A PHYSICAL MEETING IS NOT BEING HELD FOR THIS COMPANY. THEREFORE, IF YOU WISH TO VOTE, YOU MUST RETURN YOUR INSTRUCTIONS BY THE INDICATED CUTOFF DATE. THANK YOU
CMMT 28 JUN 2019: PLEASE NOTE THAT THIS IS Non-Voting A REVISION DUE TO POSTPONEMENT OF THE MEETING DATE FROM 28 JUN 2019 TO 01 JUL 2019. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 447 of 721 NT SMALL CAP SHUTTERFLY, INC.
Security: 82568P304 Agenda Number: 935067973 Ticker: SFLY Meeting Type: Special ISIN: US82568P3047 Meeting Date: 28-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. Adopt Agreement and Plan of Merger, among Mgmt For For Photo Holdings, LLC, a Delaware limited liability company ("Newco"), Photo Holdings Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Newco, and Shutterfly, Inc., a Delaware corporation ("Shutterfly"), as such agreement may be amended from time to time. Upon the terms and subject to the conditions of the Merger Agreement, if the merger is completed, Merger Sub will merge with & into Shutterfly (the "Merger"), and Shutterfly will continue as surviving corporation.
2. To approve, on a non-binding advisory basis, Mgmt For For the compensation that may be paid or become payable to Shutterfly's named executive officers that is based on or otherwise relates to the Merger.
3. To approve the adjournment of the special Mgmt For For meeting to a later date or dates, if Shutterfly's board of directors determines that it is necessary or appropriate and is permitted by the Merger Agreement, to solicit additional proxies if (a) there is not a quorum present or represented by proxy or (b) there are insufficient votes to adopt the Merger Agreement, in each case, at the time of then- scheduled special meeting, or to give holders of Shutterfly's common stock additional time to evaluate new material information or disclosure. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 448 of 721 NT SMALL CAP SIRIUS REAL ESTATE LIMITED
Security: G8187C104 Agenda Number: 711327278 Ticker: Meeting Type: AGM ISIN: GG00B1W3VF54 Meeting Date: 29-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 THE REPORTS OF THE DIRECTORS OF Mgmt For For THE COMPANY (THE "DIRECTORS") AND THE AUDITED ACCOUNTS OF THE COMPANY FOR THE YEAR ENDED 31 MARCH 2019 TOGETHER WITH THE REPORT OF THE AUDITORS ON THOSE AUDITED ACCOUNTS BE RECEIVED
2 JUSTIN ATKINSON BE RE-ELECTED AS A Mgmt For For DIRECTOR OF THE COMPANY
3 MARK CHERRY BE ELECTED AS A Mgmt For For DIRECTOR OF THE COMPANY
4 ANDREW COOMBS BE RE-ELECTED AS A Mgmt For For DIRECTOR OF THE COMPANY
5 DANIEL KITCHEN BE ELECTED AS A Mgmt For For DIRECTOR OF THE COMPANY
6 ALISTAIR MARKS BE RE-ELECTED AS A Mgmt For For DIRECTOR OF THE COMPANY
7 JILL MAY BE RE-ELECTED AS A DIRECTOR Mgmt For For OF THE COMPANY
8 JAMES PEGGIE BE RE-ELECTED AS A Mgmt For For DIRECTOR OF THE COMPANY
9 ERNST & YOUNG LLP BE REAPPOINTED Mgmt For For AS THE AUDITORS OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 449 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 THE AUDIT COMMITTEE BE AUTHORISED Mgmt For For TO FIX THE AUDITORS' REMUNERATION
11 THE FINAL DIVIDEND DECLARED FOR Mgmt For For THE YEAR ENDED 31 MARCH 2019 BE FORMALLY RATIFIED AND APPROVED: EUR 0.0173 PER ORDINARY SHARE
12 THE COMPANY'S REMUNERATION POLICY Mgmt For For BE APPROVED (A NON-BINDING ENDORSEMENT)
13 THE IMPLEMENTATION REPORT ON THE Mgmt For For COMPANY'S REMUNERATION POLICY BE APPROVED (A NON-BINDING ENDORSEMENT)
14 AUTHORISATION BE GIVEN FOR A SCRIP Mgmt For For DIVIDEND SCHEME FOR THE FINANCIAL YEAR ENDED 31 MARCH 2020
15 THE DIRECTORS BE AUTHORISED Mgmt For For GENERALLY AND UNCONDITIONALLY TO ALLOT EQUITY SECURITIES
16 THAT THE DIRECTORS BE AUTHORISED Mgmt For For TO ISSUE OR SELL FROM TREASURY SHARES EQUAL TO UP TO FIVE PER CENT (5%) OF ISSUED SHARE CAPITAL AS IF PRE-EMPTION RIGHTS DID NOT APPLY
17 THAT THE DIRECTORS BE AUTHORISED Mgmt For For TO ISSUE OR SELL FROM TREASURY SHARES EQUAL AN ADDITIONAL FIVE PER CENT (5%) OF ISSUED SHARE CAPITAL AS IF PRE-EMPTION RIGHTS DID NOT APPLY SOLELY FOR ACQUISITIONS OR OTHER CAPITAL INVESTMENTS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 450 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
18 THAT THE COMPANY BE AUTHORISED TO Mgmt For For PURCHASE ITS OWN ORDINARY SHARES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 451 of 721 NT SMALL CAP SKYLINE CHAMPION
Security: 830830105 Agenda Number: 935053621 Ticker: SKY Meeting Type: Annual ISIN: US8308301055 Meeting Date: 30-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Keith Anderson Mgmt For For
2 Timothy Bernlohr Mgmt For For
3 Michael Berman Mgmt For For
4 John C. Firth Mgmt Withheld Against
5 Michael Kaufman Mgmt For For
6 Gary E. Robinette Mgmt For For
7 Mark Yost Mgmt For For
2. To ratify the appointment of Ernst & Young Mgmt For For LLP as Skyline Champion's independent registered public accounting firm.
3. To consider a non-binding advisory vote on Mgmt For For fiscal 2019 compensation paid to Skyline Champion's named executive officers. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 452 of 721 NT SMALL CAP SOITEC SA
Security: F8582K389 Agenda Number: 711334069 Ticker: Meeting Type: MIX ISIN: FR0013227113 Meeting Date: 26-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE IN THE FRENCH MARKET Non-Voting THAT THE ONLY VALID VOTE OPTIONS ARE "FOR" AND "AGAINST" A VOTE OF "ABSTAIN" WILL BE TREATED AS AN "AGAINST" VOTE.
CMMT THE FOLLOWING APPLIES TO Non-Voting SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE
CMMT IN CASE AMENDMENTS OR NEW Non-Voting RESOLUTIONS ARE PRESENTED DURING THE MEETING, YOUR VOTE WILL DEFAULT TO 'ABSTAIN'. SHARES CAN ALTERNATIVELY BE PASSED TO THE CHAIRMAN OR A NAMED THIRD PARTY TO VOTE ON ANY SUCH ITEM RAISED. SHOULD YOU WISH TO PASS CONTROL OF YOUR SHARES IN THIS WAY, PLEASE CONTACT YOUR BROADRIDGE CLIENT SERVICE REPRESENTATIVE. THANK YOU
CMMT 10 JUL 2019: PLEASE NOTE THAT Non-Voting IMPORTANT ADDITIONAL MEETING INFORMATION IS AVAILABLE BY CLICKING ON THE MATERIAL URL LINK: https://www.journal- officiel.gouv.fr/publications/balo/pdf/2019/062 1/201906211903135.pdf, https://www.journal- Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 453 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
officiel.gouv.fr/publications/balo/pdf/2019/070 3/201907031903438.pdf AND https://www.journal- officiel.gouv.fr/publications/balo/pdf/2019/071 0/201907101903642.pdf; PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF BALO LINK AND MODIFICATION OF THE TEXT IN RESOLUTION O.5. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
O.1 APPROVAL OF THE CORPORATE Mgmt For For FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019
O.2 APPROVAL OF THE CONSOLIDATED Mgmt For For FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019
O.3 ALLOCATION OF INCOME FOR THE Mgmt For For FINANCIAL YEAR ENDED 31 MARCH 2019
O.4 APPROVAL OF THE REGULATED Mgmt For For AGREEMENTS AND COMMITMENTS, SUBJECT TO THE PROVISIONS OF ARTICLES L. 225-38 AND FOLLOWING OF THE FRENCH COMMERCIAL CODE
O.5 APPOINTMENT OF MRS. FRANCOISE Mgmt For For CHOMBAR AS NEW DIRECTOR
O.6 APPOINTMENT OF MRS. SHUO ZHANG AS Mgmt For For NEW DIRECTOR
O.7 RATIFICATION OF THE CO-OPTATION OF Mgmt Against Against MR. KAI SEIKKU AS DIRECTOR, AS A REPLACEMENT FOR MR. NABEEL GAREEB WHO RESIGNED Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 454 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
O.8 RATIFICATION OF THE CO-OPTATION OF Mgmt Against Against MR. JEFFREY WANG AS DIRECTOR, AS A REPLACEMENT FOR MR. WEIDONG (LEO) REN WHO RESIGNED
O.9 RENEWAL OF THE TERM OF OFFICE OF Mgmt For For MR. PAUL BOUDRE AS DIRECTOR
O.10 RENEWAL OF THE TERM OF OFFICE OF Mgmt Against Against BPIFRANCE PARTICIPATIONS AS DIRECTOR
O.11 RENEWAL OF THE TERM OF OFFICE OF Mgmt Against Against CEA INVESTISSEMENT AS DIRECTOR
O.12 RENEWAL OF THE TERM OF OFFICE OF Mgmt For For MRS. LAURENCE DELPY AS DIRECTOR
O.13 RENEWAL OF THE TERM OF OFFICE OF Mgmt Against Against MR. CHRISTOPHE GEGOUT AS DIRECTOR
O.14 RENEWAL OF THE TERM OF OFFICE OF Mgmt Against Against MR. KAI SEIKKU AS DIRECTOR
O.15 RENEWAL OF THE TERM OF OFFICE OF Mgmt Against Against MR. THIERRY SOMMELET AS DIRECTOR
O.16 RENEWAL OF THE TERM OF OFFICE OF Mgmt Against Against MR. JEFFREY WANG AS DIRECTOR
O.17 APPROVAL OF THE FIXED, VARIABLE AND Mgmt For For EXCEPTIONAL COMPONENTS MAKING UP THE TOTAL COMPENSATION AND BENEFITS OF ALL KINDS PAID OR AWARDED TO MR. PAUL BOUDRE, CHIEF EXECUTIVE OFFICER, FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019 Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 455 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
O.18 APPROVAL OF THE FIXED, VARIABLE AND Mgmt For For EXCEPTIONAL COMPONENTS MAKING UP THE TOTAL COMPENSATION AND BENEFITS OF ALL KINDS PAID OR AWARDED TO MR. THIERRY SOMMELET, CHAIRMAN OF THE BOARD OF DIRECTORS UNTIL 27 MARCH 2019, FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019
O.19 APPROVAL OF THE FIXED, VARIABLE AND Mgmt For For EXCEPTIONAL COMPONENTS MAKING UP THE TOTAL COMPENSATION AND BENEFITS OF ALL KINDS PAID OR AWARDED TO MR. ERIC MEURICE, CHAIRMAN OF THE BOARD OF DIRECTORS SINCE 27 MARCH 2019, FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019
O.20 APPROVAL OF THE COMPENSATION Mgmt For For POLICY OF EXECUTIVE CORPORATE OFFICERS FOR THE CURRENT FINANCIAL YEAR TO END ON 31 MARCH 2020
O.21 AUTHORIZATION TO BE GRANTED TO THE Mgmt For For BOARD OF DIRECTORS TO TRADE IN THE SHARES OF THE COMPANY
E.22 DELEGATION OF AUTHORITY TO BE Mgmt For For GRANTED TO THE BOARD OF DIRECTORS, TO PROCEED WITH THE INCREASE OF THE COMPANY'S SHARE CAPITAL BY ISSUING, WITH RETENTION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHTS, SHARES AND/OR ANY TRANSFERABLE SECURITIES GRANTING ACCESS, IMMEDIATELY OR IN THE FUTURE, TO THE CAPITAL OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 456 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
E.23 DELEGATION OF AUTHORITY TO BE Mgmt For For GRANTED TO THE BOARD OF DIRECTORS, TO PROCEED WITH THE INCREASE OF THE COMPANY'S SHARE CAPITAL BY ISSUING, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHTS, SHARES AND/OR ANY TRANSFERABLE SECURITIES GRANTING ACCESS, IMMEDIATELY OR IN THE FUTURE, TO THE CAPITAL OF THE COMPANY, BY PUBLIC OFFERING
E.24 DELEGATION OF AUTHORITY TO BE Mgmt For For GRANTED TO THE BOARD OF DIRECTORS TO ISSUE, BY AN OFFER REFERRED TO IN ARTICLE L. 411-2 SECTION II OF THE FRENCH MONETARY AND FINANCIAL CODE, SHARES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS, IMMEDIATELY OR IN THE FUTURE, TO THE CAPITAL OF THE COMPANY, WITH CANCELLATION OF THE SHAREHOLDERS' PRE-EMPTIVE SUBSCRIPTION RIGHT
E.25 DELEGATION OF AUTHORITY TO BE Mgmt For For GRANTED TO THE BOARD OF DIRECTORS TO ISSUE SHARES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS, IMMEDIATELY OR IN THE FUTURE, TO THE COMPANY'S CAPITAL, WITH CANCELLATION OF THE SHAREHOLDERS' PRE-EMPTIVE SUBSCRIPTION RIGHT FOR THE BENEFIT OF PERSONS MEETING CERTAIN CHARACTERISTICS
E.26 DELEGATION OF AUTHORITY TO BE Mgmt For For GRANTED TO THE BOARD OF DIRECTORS TO INCREASE THE ISSUE AMOUNT CARRIED OUT WITH RETENTION OR CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT WITHIN THE LIMIT OF 15% OF THE INITIAL ISSUE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 457 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
E.27 AUTHORIZATION TO BE GRANTED TO THE Mgmt For For BOARD OF DIRECTORS IN THE EVENT OF ISSUING, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, SHARES AND/OR ANY TRANSFERABLE SECURITIES GRANTING ACCESS, IMMEDIATELY OR IN THE FUTURE, TO THE COMPANY'S CAPITAL, IN ORDER TO SET THE ISSUE PRICE WITHIN THE LIMIT OF 10% OF THE COMPANY'S SHARE CAPITAL IN ACCORDANCE WITH THE TERMS AND CONDITIONS SET BY THE GENERAL MEETING
E.28 DELEGATION OF POWERS TO BE Mgmt For For GRANTED TO THE BOARD OF DIRECTORS TO PROCEED WITH THE INCREASE OF THE COMPANY'S SHARE CAPITAL IN CONSIDERATION FOR CONTRIBUTIONS IN KIND CONSISTING OF SHARES OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL OF THE COMPANY
E.29 DELEGATION OF AUTHORITY TO BE Mgmt For For GRANTED TO THE BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY CAPITALIZATION OF PREMIUMS, RESERVES, PROFITS OR ANY OTHER AMOUNT WHOSE CAPITALIZATION WOULD BE ALLOWED
E.30 DELEGATION OF AUTHORITY TO BE Mgmt For For GRANTED TO THE BOARD OF DIRECTORS TO PROCEED WITH THE INCREASE OF THE SHARE CAPITAL BY ISSUING SHARES OR TRANSFERABLE SECURITIES GRANTING ACCESS, IMMEDIATELY OR IN THE FUTURE, TO THE SHARE CAPITAL OF THE COMPANY IN CONSIDERATION FOR CONTRIBUTIONS OF SECURITIES MADE AS PART OF A PUBLIC EXCHANGE OFFER INITIATED BY THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 458 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
E.31 DELEGATION OF AUTHORITY TO BE Mgmt For For GRANTED TO THE BOARD OF DIRECTORS TO PROCEED WITH THE INCREASE OF THE SHARE CAPITAL BY ISSUING SHARES OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL RESERVED FOR MEMBERS OF THE COMPANY SAVINGS PLANS WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT FOR THE BENEFIT OF THE LATTER
E.32 AUTHORIZATION TO BE GRANTED TO THE Mgmt Against Against BOARD OF DIRECTORS IN ORDER TO PROCEED WITH THE FREE ALLOTMENT OF SHARES
E.33 CREATION OF A NEW CATEGORY OF Mgmt For For PREFERENCE SHARES CONVERTIBLE INTO COMMON SHARES AND CORRELATIVE AMENDMENT TO THE BY- LAWS
E.34 AUTHORIZATION TO BE GRANTED TO THE Mgmt Against Against BOARD OF DIRECTORS TO FREELY ALLOT, IN ACCORDANCE WITH THE PROVISIONS OF ARTICLES L. 225-197-1 AND FOLLOWING OF THE FRENCH COMMERCIAL CODE, THE COMPANY'S ADP 2 FOR THE BENEFIT OF EMPLOYEES AND/OR CORPORATE OFFICERS OF THE COMPANY AND/OR COMPANIES OR GROUPS THAT ARE DIRECTLY OR INDIRECTLY RELATED TO IT, ENTAILING WAIVER BY THE SHAREHOLDERS OF THEIR PRE-EMPTIVE SUBSCRIPTION RIGHT
E.35 DELEGATION OF AUTHORITY TO BE Mgmt For For GRANTED TO THE BOARD OF DIRECTORS TO ISSUE THE ADP 2, WITH CANCELLATION OF THE SHAREHOLDERS' PRE-EMPTIVE SUBSCRIPTION RIGHT, FOR THE BENEFIT OF PERSONS MEETING SPECIFIC CHARACTERISTICS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 459 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
E.36 AUTHORIZATION TO BE GRANTED TO THE Mgmt For For BOARD OF DIRECTORS TO CANCEL, IF APPLICABLE, TREASURY SHARES HELD BY THE COMPANY, UP TO A MAXIMUM OF 10%
E.37 POWERS TO CARRY OUT FORMALITIES Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 460 of 721 NT SMALL CAP SOLGOLD PLC
Security: G8255T104 Agenda Number: 711523844 Ticker: Meeting Type: MIX ISIN: GB00B0WD0R35 Meeting Date: 20-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE AUDITED Mgmt For For CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY FOR THE FINANCIAL YEAR ENDED JUNE 30, 2019, TOGETHER WITH THE REPORT OF THE BOARD OF DIRECTORS (THE "DIRECTORS") AND AUDITORS THEREON
2 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT FOR THE YEAR ENDED JUNE 30, 2019. THIS IS AN ADVISORY VOTE IN ACCORDANCE WITH THE COMPANIES ACT 2006 (UNITED KINGDOM) (THE "ACT")
3 TO RE-APPOINT MR. BRIAN MOLLER AS A Mgmt Against Against DIRECTOR OF THE COMPANY, WHO RETIRES IN ACCORDANCE WITH THE ARTICLES OF ASSOCIATION OF THE COMPANY AND IS ELIGIBLE FOR RE- APPOINTMENT
4 TO RATIFY THE APPOINTMENT OF MR. Mgmt For For JASON WARD AS A DIRECTOR OF THE COMPANY, WHO WAS APPOINTED BY THE DIRECTORS ON JUNE 17, 2019
5 TO RATIFY THE APPOINTMENT OF MS. Mgmt For For ANNA LEGGE AS A DIRECTOR OF THE COMPANY, WHO WAS APPOINTED BY THE DIRECTORS ON JUNE 17, 2019 Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 461 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
6 TO RATIFY THE APPOINTMENT OF MR. Mgmt For For LIAM TWIGGER AS A DIRECTOR OF THE COMPANY, WHO WAS APPOINTED BY THE DIRECTORS ON JUNE 17, 2019
7 TO RE-APPOINT BDO (UK) LLP AS Mgmt For For AUDITORS OF THE COMPANY TO HOLD OFFICE FROM THE CONCLUSION OF THE MEETING TO THE CONCLUSION OF THE NEXT MEETING AT WHICH ACCOUNTS ARE LAID BEFORE THE COMPANY AT A REMUNERATION TO BE DETERMINED BY THE DIRECTORS
8 TO APPROVE THE GRANT OF 5,000,000 Mgmt For For DIRECTOR OPTIONS TO MR. LIAM TWIGGER (NON-EXECUTIVE DIRECTOR)
9 TO INCREASE THE MAXIMUM NUMBER OF Mgmt For For DIRECTORS OF THE COMPANY REFERRED TO IN SUB-PARAGRAPH 18.1 OF THE ARTICLES OF ASSOCIATION OF THE COMPANY TO A MAXIMUM OF TEN DIRECTORS
10 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT AND ISSUE OR GRANT RIGHTS TO SUBSCRIBE FOR OR TO CONVERT ANY SECURITIES INTO ORDINARY SHARES IN THE COMPANY
11 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT AND ISSUE OR GRANT RIGHTS TO SUBSCRIBE FOR OR TO CONVERT ANY SECURITIES INTO ORDINARY SHARES IN THE COMPANY IN CONNECTION WITH THE PROPOSED OFFER FOR CORNERSTONE
12 DISAPPLICATION OF PRE-EMPTION Mgmt Against Against RIGHTS OF EXISTING SHAREHOLDERS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 462 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
13 DISAPPLICATION OF PRE-EMPTION Mgmt For For RIGHTS OF EXISTING SHAREHOLDERS FOR SHARES TO BE ALLOTTED IN CONNECTION WITH THE CORNERSTONE OFFER
14 TO AUTHORISE A GENERAL MEETING OF Mgmt For For THE COMPANY OTHER THAN AN ANNUAL GENERAL MEETING TO BE CALLED ON NOT LESS THAN FOURTEEN (14) CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 463 of 721 NT SMALL CAP SOPHOS GROUP PLC
Security: G8T826102 Agenda Number: 711322610 Ticker: Meeting Type: AGM ISIN: GB00BYZFZ918 Meeting Date: 25-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE COMPANY'S ANNUAL Mgmt For For ACCOUNTS, THE STRATEGIC REPORT, THE DIRECTOR'S REPORT AND THE AUDITORS' REPORT FOR THE YEAR ENDED 31 MARCH 2019
2 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION POLICY SET OUT ON PAGES 82 TO 90 OF THE 2019 ANNUAL REPORT AND ACCOUNTS
3 TO APPROVE THE ANNUAL REPORT ON Mgmt For For REMUNERATION (THE ARR) AS SET OUT ON PAGES 91 TO 101 OF THE 2019 ANNUAL REPORT AND ACCOUNTS
4 TO DECLARE A FINAL DIVIDEND OF USD Mgmt For For 3.7 CENTS TO HOLDERS OF ORDINARY SHARES OF 3 PENCE EACH IN THE COMPANY FOR FY2019
5 TO RE-ELECT SANDRA BERGERON AS A Mgmt For For DIRECTOR OF THE COMPANY WITH EFFECT FROM THE END OF THE MEETING
6 TO RE-ELECT NICK BRAY AS A DIRECTOR Mgmt For For OF THE COMPANY WITH EFFECT FROM THE END OF THE MEETING
7 TO RE-ELECT PETER GYENES AS A Mgmt For For DIRECTOR OF THE COMPANY WITH EFFECT FROM THE END OF THE MEETING Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 464 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8 TO RE-ELECT KRIS HAGERMAN AS A Mgmt For For DIRECTOR OF THE COMPANY WITH EFFECT FROM THE END OF THE MEETING
9 TO RE-ELECT ROY MACKENZIE AS A Mgmt For For DIRECTOR OF THE COMPANY WITH EFFECT FROM THE END OF THE MEETING
10 TO RE-ELECT RICK MEDLOCK AS A Mgmt For For DIRECTOR OF THE COMPANY WITH EFFECT FROM THE END OF THE MEETING
11 TO RE-ELECT VIN MURRIA AS A Mgmt For For DIRECTOR OF THE COMPANY WITH EFFECT FROM THE END OF THE MEETING
12 TO RE-ELECT PAUL WALKER AS A Mgmt For For DIRECTOR OF THE COMPANY WITH EFFECT FROM THE END OF THE MEETING
13 TO RE-APPOINT KPMG LLP AS THE Mgmt For For COMPANY'S AUDITORS UNTIL THE CONCLUSION OF THE NEXT GENERAL MEETING OF THE COMPANY AT WHICH ACCOUNTS ARE LAID
14 TO AUTHORISE THE AUDIT AND RISK Mgmt For For COMMITTEE, FOR AND ON BEHALF OF THE BOARD, TO AGREE THE AUDITORS' REMUNERATION
15 THAT THE COMPANY BE AUTHORISED TO Mgmt For For MAKE DONATIONS TO POLITICAL PARTIES AND INDEPENDENT ELECTION CANDIDATES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 465 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
16 THAT THE DIRECTORS BE AUTHORISED Mgmt For For TO ALLOT SHARES IN THE COMPANY, AND TO GRANT RIGHTS TO SUBSCRIBE FOR OR TO CONVERT ANY SECURITY INTO SHARES
17 THAT THE DIRECTORS BE GENERALLY Mgmt For For EMPOWERED TO ALLOT EQUITY SECURITIES OR SELL ORDINARY SHARES HELD BY THE COMPANY
18 THAT THE DIRECTORS BE EMPOWERED Mgmt For For PURSUANT TO SECTION 570 AND SECTION 573 OF THE ACT TO ALLOT EQUITY SECURITIES FOR CASH
19 THAT THE COMPANY BE Mgmt For For UNCONDITIONALLY AUTHORISED FOR THE PURPOSE OF SECTION 701 OF THE ACT TO MAKE MARKET PURCHASES OF ITS ORDINARY SHARES
20 THAT A GENERAL MEETING OF THE Mgmt For For COMPANY, OTHER THAN AN ANNUAL GENERAL MEETING, MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 466 of 721 NT SMALL CAP SORRENTO THERAPEUTICS, INC
Security: 83587F202 Agenda Number: 935073015 Ticker: SRNE Meeting Type: Annual ISIN: US83587F2020 Meeting Date: 20-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Henry Ji, Ph.D. Mgmt For For
2 Dorman Followwill Mgmt For For
3 Kim D. Janda, Ph.D. Mgmt For For
4 David Lemus Mgmt For For
5 Jaisim Shah Mgmt For For
6 Yue Alexander Wu, Ph.D. Mgmt For For
2. Proposal to ratify the appointment of Deloitte Mgmt For For & Touche LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2019.
3. Proposal to approve the Sorrento Mgmt For For Therapeutics, Inc. 2019 Stock Incentive Plan.
4. Proposal to approve the compensation of Dr. Mgmt For For Henry Ji as Executive Chairperson of Scilex Holding Company. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 467 of 721 NT SMALL CAP SOTHEBY'S
Security: 835898107 Agenda Number: 935070134 Ticker: BID Meeting Type: Special ISIN: US8358981079 Meeting Date: 05-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. To consider and vote on a proposal to adopt Mgmt For For the Agreement and Plan of Merger, dated as of June 16, 2019, as it may be amended from time to time (the "merger agreement"), by and among Sotheby's, BidFair USA LLC, ("Parent"), and BidFair MergeRight Inc., a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the merger agreement, Merger Sub will be merged with and into Sotheby's (the "merger"), with Sotheby's continuing as the surviving corporation and a wholly owned subsidiary of Parent.
2. To consider and vote on a proposal to Mgmt For For approve, by non-binding, advisory vote, certain compensation arrangements for Sotheby's named executive officers in connection with the merger. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 468 of 721 NT SMALL CAP SPARK THERAPEUTICS, INC.
Security: 84652J103 Agenda Number: 935063494 Ticker: ONCE Meeting Type: Annual ISIN: US84652J1034 Meeting Date: 05-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Anand Mehra, MD Mgmt For For
2 Robert J. Perez Mgmt For For
3 Lota Zoth Mgmt For For
2. To approve, on an advisory basis, the Mgmt For For compensation paid to the Company's named executive officers.
3. To ratify the appointment of KPMG LLP as the Mgmt For For Company's independent registered public accounting firm for the fiscal year ending December 31, 2019. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 469 of 721 NT SMALL CAP SPECTRUM BRANDS HOLDINGS, INC.
Security: 84790A105 Agenda Number: 935044141 Ticker: SPB Meeting Type: Annual ISIN: US84790A1051 Meeting Date: 10-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1.1 Election of the Class I Director: Sherianne Mgmt For For James
1.2 Election of the Class I Director: Norman Mgmt For For Matthews
1.3 Election of the Class I Director: Joseph Mgmt For For Steinberg
2. Ratify the appointment of KPMG LLP Mgmt For For ("KPMG") as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2019 ("Fiscal 2019").
3. To approve, on an advisory basis, the Mgmt For For compensation of the Company's executive officers. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 470 of 721 NT SMALL CAP SPIRIT MTA REIT
Security: 84861U105 Agenda Number: 935068684 Ticker: SMTA Meeting Type: Special ISIN: US84861U1051 Meeting Date: 04-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. To approve the Sale (constituting the sale of Mgmt For For substantially all of the assets of Sprit MTA REIT ("SMTA")) pursuant to the terms and conditions of the Equity Purchase Agreement, dated as of June 2, 2019, among SMTA, SMTA Financing JV, LLC, Banner NewCo LLC and Hospitality Properties Trust (the "Sale Proposal")
2. To approve the Plan of Voluntary Liquidation Mgmt For For of SMTA providing for the winding-up and complete liquidation of SMTA, and dissolution and termination of SMTA or the conversion of SMTA to another liquidating entity, subject to approval of the Sale Proposal and completion of the Sale (the "Liquidation Proposal")
3. To approve the adjournment of the special Mgmt For For meeting, if necessary, to solicit additional votes to approve the Sale Proposal and/or the Liquidation Proposal (the "Adjournment Proposal") Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 471 of 721 NT SMALL CAP SPORTS DIRECT INTERNATIONAL PLC
Security: G83694102 Agenda Number: 711497063 Ticker: Meeting Type: AGM ISIN: GB00B1QH8P22 Meeting Date: 11-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE ANNUAL REPORT AND Mgmt For For ACCOUNTS FOR 2018-19
2 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT
3 THAT DAVID DALY BE RE-ELECTED AS A Mgmt For For DIRECTOR
4 THAT MIKE ASHLEY BE RE-ELECTED AS A Mgmt Against Against DIRECTOR
5 THAT DAVID BRAYSHAW BE RE-ELECTED Mgmt For For AS A DIRECTOR
6 THAT RICHARD BOTTOMLEY BE ELECTED Mgmt For For AS A DIRECTOR
7 THAT CALLY PRICE BE ELECTED AS A Mgmt For For DIRECTOR
8 THAT NICOLA FRAMPTON BE ELECTED AS Mgmt For For A DIRECTOR
9 TO RE-APPOINT GRANT THORNTON UK Mgmt Abstain Against LLP AS THE COMPANY'S AUDITORS
10 TO AUTHORISE THE DIRECTORS TO Mgmt For For DETERMINE THE REMUNERATION OF THE AUDITORS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 472 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 TO GRANT AUTHORITY FOR THE Mgmt For For DIRECTORS TO ALLOT SHARES
12 TO GRANT ADDITIONAL AUTHORITY FOR Mgmt For For THE DIRECTORS TO ALLOT SHARES IN CONNECTION WITH A RIGHTS ISSUE
13 THAT THE BOARD BE AND HEREBY IS Mgmt For For EMPOWERED PURSUANT TO SECTION 570 AND 573 OF THE ACT TO ALLOT EQUITY SECURITIES (WITHIN THE MEANING OF SECTION 560 OF THE ACT) FOR CASH PURSUANT TO THE AUTHORITY GIVEN BY RESOLUTIONS 11 AND 12 (AS APPLICABLE) AND/OR WHERE THE ALLOTMENT CONSTITUTES AN ALLOTMENT OF EQUITY SECURITIES BY VIRTUE OF SECTION 560(2) OF THE ACT AS IF SECTION 561(1) OF THE ACT DID NOT APPLY TO SUCH ALLOTMENT PROVIDED THAT THIS POWER SHALL BE LIMITED: A. TO THE ALLOTMENT OF EQUITY SECURITIES IN CONNECTION WITH AN OFFER OF EQUITY SECURITIES (BUT IN THE CASE OF THE AUTHORITY GRANTED UNDER RESOLUTION 12, BY WAY OF A RIGHTS ISSUE ONLY): I. TO ORDINARY SHAREHOLDERS IN PROPORTION (AS NEARLY AS MAY BE PRACTICABLE) TO THEIR EXISTING HOLDINGS; AND II. TO PEOPLE WHO ARE HOLDERS OF OTHER EQUITY SECURITIES, IF THIS IS REQUIRED BY THE RIGHTS OF THOSE OR IF THE BOARD CONSIDERS IT NECESSARY, AS PERMITTED BY THE RIGHTS OF THOSE SECURITIES, AND SO THAT THE BOARD MAY IMPOSE ANY LIMITS OR RESTRICTIONS AND MAKE ANY ARRANGEMENTS WHICH IT CONSIDERS NECESSARY OR APPROPRIATE TO DEAL WITH TREASURY SHARES, FRACTIONAL ENTITLEMENTS, RECORD DATES, LEGAL, REGULATORY OR PRACTICAL PROBLEMS IN, OR UNDER THE LAWS OF, ANY TERRITORY OR ANY OTHER MATTER; AND B. IN THE CASE OF THE AUTHORITY GRANTED UNDER RESOLUTION 11, TO THE ALLOTMENT (OTHERWISE THAN UNDER 13(A) ABOVE) OF EQUITY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 473 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
SECURITIES WITH AN AGGREGATE NOMINAL VALUE OF UP TO GBP 2,666,973; AND PROVIDED FURTHER THAT THIS POWER SHALL EXPIRE AT THE CLOSE OF THE NEXT AGM OF THE COMPANY, SAVE THAT THE COMPANY MAY BEFORE SUCH EXPIRY MAKE OFFERS AND ENTER INTO AGREEMENTS WHICH WOULD, OR MIGHT, REQUIRE EQUITY SECURITIES TO BE ALLOTTED AFTER THIS POWER EXPIRES AND THE BOARD MAY ALLOT EQUITY SECURITIES UNDER ANY SUCH OFFER OR AGREEMENT AS IF THIS POWER HAD NOT EXPIRED
14 THAT SUBJECT TO THE PASSING OF Mgmt For For RESOLUTIONS 11, 12 AND 13, AND IN ADDITION TO THE POWER GIVEN TO IT PURSUANT TO RESOLUTION 13, THE BOARD BE GENERALLY EMPOWERED PURSUANT TO SECTION 570 AND SECTION 573 OF THE ACT TO ALLOT EQUITY SECURITIES (WITHIN THE MEANING OF SECTION 560 OF THE ACT) FOR CASH, PURSUANT TO THE AUTHORITY CONFERRED BY RESOLUTIONS 11 AND 12 (AS APPLICABLE) AS IF SECTION 561(1) OF THE ACT DID NOT APPLY TO SUCH ALLOTMENT PROVIDED THAT THIS POWER SHALL BE LIMITED TO THE ALLOTMENT OF EQUITY SECURITIES FOR CASH UP TO AN AGGREGATE NOMINAL AMOUNT OF GBP 2,666,973 AND PROVIDED THAT THE ALLOTMENT IS FOR THE PURPOSES OF FINANCING (OR REFINANCING, IF THE POWER IS USED WITHIN SIX MONTHS OF THE ORIGINAL TRANSACTION) A TRANSACTION WHICH THE BOARD DETERMINES TO BE AN ACQUISITION OR OTHER CAPITAL INVESTMENT OF A KIND CONTEMPLATED BY THE STATEMENT OF PRINCIPLES ON DISAPPLYING PRE-EMPTION RIGHTS MOST RECENTLY PUBLISHED BY THE PRE-EMPTION GROUP PRIOR TO THE DATE OF THIS NOTICE, AND PROVIDED FURTHER THAT THIS POWER SHALL EXPIRE AT THE CLOSE OF THE NEXT AGM OF THE COMPANY, SAVE THAT THE COMPANY MAY BEFORE SUCH EXPIRY MAKE OFFERS AND ENTER INTO Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 474 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
AGREEMENTS WHICH WOULD, OR MIGHT, REQUIRE EQUITY SECURITIES TO BE ALLOTTED AFTER THIS POWER EXPIRES AND THE BOARD MAY ALLOT EQUITY SECURITIES UNDER ANY SUCH OFFER OR AGREEMENT AS IF THIS POWER HAD NOT EXPIRED
15 TO AUTHORISE THE COMPANY TO Mgmt For For PURCHASE ITS OWN SHARES
16 TO REDUCE THE NOTICE PERIOD FOR Mgmt For For ALL GENERAL MEETINGS OTHER THAN ANNUAL GENERAL MEETINGS
17 TO AUTHORISE THE MAKING OF Mgmt For For POLITICAL DONATIONS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 475 of 721 NT SMALL CAP STAGECOACH GROUP PLC
Security: G8403M233 Agenda Number: 711420769 Ticker: Meeting Type: AGM ISIN: GB00B6YTLS95 Meeting Date: 30-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE 2019 ANNUAL REPORT Mgmt For For AND THE REPORTS OF THE DIRECTORS AND AUDITORS THEREON
2 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT (OTHER THAN THE SUMMARY OF THE DIRECTORS' REMUNERATION POLICY)
3 TO DECLARE A DIVIDEND Mgmt For For
4 TO RE-ELECT GREGOR ALEXANDER AS A Mgmt For For DIRECTOR OF THE COMPANY
5 TO RE-ELECT JAMES BILEFIELD AS A Mgmt For For DIRECTOR OF THE COMPANY
6 TO RE-ELECT SIR EWAN BROWN CBE AS Mgmt For For A DIRECTOR OF THE COMPANY
7 TO RE-ELECT DAME ANN GLOAG OBE AS Mgmt For For A DIRECTOR OF THE COMPANY
8 TO RE-ELECT MARTIN GRIFFITHS AS A Mgmt For For DIRECTOR OF THE COMPANY
9 TO RE-ELECT ROSS PATERSON AS A Mgmt For For DIRECTOR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 476 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO RE-ELECT SIR BRIAN SOUTER AS A Mgmt For For DIRECTOR OF THE COMPANY
11 TO RE-ELECT RAY O'TOOLE AS A Mgmt For For DIRECTOR OF THE COMPANY
12 TO RE-ELECT KAREN THOMSON AS A Mgmt For For DIRECTOR OF THE COMPANY
13 TO RE-ELECT WILL WHITEHORN AS A Mgmt For For DIRECTOR OF THE COMPANY
14 TO RE-APPOINT ERNST AND YOUNG LLP Mgmt For For AS AUDITORS OF THE COMPANY
15 TO AUTHORISE THE AUDIT COMMITTEE Mgmt For For TO DETERMINE THE AUDITORS' REMUNERATION
16 TO AUTHORISE POLITICAL DONATIONS Mgmt For For
17 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT SHARES
18 TO DISAPPLY STATUTORY PRE-EMPTION Mgmt For For RIGHTS ATTACHING TO SHARES
19 TO DISAPPLY STATUTORY PRE-EMPTION Mgmt For For RIGHTS ATTACHING TO SHARES IN CONNECTION WITH AN ACQUISITION OR SPECIFIED CAPITAL INVESTMENT
20 TO AUTHORISE THE COMPANY TO Mgmt For For PURCHASE ITS ORDINARY SHARES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 477 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
21 TO APPROVE THE NOTICE PERIOD FOR Mgmt For For CALLING GENERAL MEETINGS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 478 of 721 NT SMALL CAP STEELCASE INC.
Security: 858155203 Agenda Number: 935034873 Ticker: SCS Meeting Type: Annual ISIN: US8581552036 Meeting Date: 10-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: Lawrence J. Blanford Mgmt For For
1b. Election of Director: Timothy C. E. Brown Mgmt For For
1c. Election of Director: Connie K. Duckworth Mgmt For For
1d. Election of Director: James P. Keane Mgmt For For
1e. Election of Director: Todd P. Kelsey Mgmt For For
1f. Election of Director: Jennifer C. Niemann Mgmt For For
1g. Election of Director: Robert C. Pew III Mgmt For For
1h. Election of Director: Cathy D. Ross Mgmt For For
1i. Election of Director: Peter M. Wege II Mgmt For For
1j. Election of Director: Kate Pew Wolters Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 479 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
2. Advisory vote to approve named executive Mgmt For For officer compensation
3. Ratification of independent registered public Mgmt For For accounting firm Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 480 of 721 NT SMALL CAP STERIS PLC
Security: G8473T100 Agenda Number: 935051817 Ticker: STE Meeting Type: Annual ISIN: IE00BFY8C754 Meeting Date: 30-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Re-election of Director: Richard C. Breeden Mgmt For For
1b. Re-election of Director: Cynthia L. Feldmann Mgmt For For
1c. Re-election of Director: Dr. Jacqueline B. Mgmt For For Kosecoff
1d. Re-election of Director: David B. Lewis Mgmt For For
1e. Re-election of Director: Walter M Mgmt For For Rosebrough, Jr.
1f. Re-election of Director: Dr. Nirav R. Shah Mgmt For For
1g. Re-election of Director: Dr. Mohsen M. Sohi Mgmt For For
1h. Re-election of Director: Dr. Richard M. Mgmt For For Steeves
2. To ratify the appointment of Ernst & Young Mgmt For For LLP as the Company's independent registered public accounting firm for the year ending March 31, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 481 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3. To appoint Ernst & Young Chartered Mgmt For For Accountants as the Company's Irish statutory auditor under the Act to hold office until the conclusion of the Company's next Annual General Meeting.
4. To authorize the Directors of the Company or Mgmt For For the Audit Committee to determine the remuneration of Ernst & Young Chartered Accountants as the Company's Irish statutory auditor.
5. To approve, on a non-binding advisory basis, Mgmt For For the compensation of the Company's named executive officers as disclosed pursuant to the disclosure rules of the Securities and Exchange Commission, including the Compensation Discussion and Analysis and the tabular and narrative disclosure contained in the Company's proxy statement dated June 12, 2019. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 482 of 721 NT SMALL CAP STERIS PLC
Security: G8473T100 Agenda Number: 711299811 Ticker: Meeting Type: AGM ISIN: IE00BFY8C754 Meeting Date: 30-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1.A ELECT DIRECTOR RICHARD C. BREEDEN Mgmt For For
1.B ELECT DIRECTOR CYNTHIA L. FELDMANN Mgmt For For
1.C ELECT DIRECTOR JACQUELINE B. Mgmt For For KOSECOFF
1.D ELECT DIRECTOR DAVID B. LEWIS Mgmt For For
1.E ELECT DIRECTOR WALTER M. Mgmt For For ROSEBROUGH, JR
1.F ELECT DIRECTOR NIRAV R. SHAH Mgmt For For
1.G ELECT DIRECTOR MOHSEN M. SOHI Mgmt For For
1.H ELECT DIRECTOR RICHARD M. STEEVES Mgmt For For
2 RATIFY ERNST YOUNG LLP AS AUDITOR Mgmt For For
3 APPOINT ERNST YOUNG CHARTERED Mgmt For For ACCOUNTANTS AS IRISH STATUTORY AUDITOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 483 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4 AUTHORIZE BOARD TO FIX Mgmt For For REMUNERATION OF AUDITORS
5 ADVISORY VOTE TO RATIFY NAMED Mgmt For For EXECUTIVE OFFICERS' COMPENSATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 484 of 721 NT SMALL CAP STOBART GROUP LTD
Security: G7736S156 Agenda Number: 711332243 Ticker: Meeting Type: AGM ISIN: GB00B03HDJ73 Meeting Date: 23-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 ACCEPT FINANCIAL STATEMENTS AND Mgmt For For STATUTORY REPORTS
2 APPROVE FINAL DIVIDEND: 3.0 PENCE Mgmt For For ORDINARY SHARE
3 RE-ELECT WARWICK BRADY AS Mgmt For For DIRECTOR
4 RE-ELECT JOHN COOMBS AS DIRECTOR Mgmt Against Against
5 ELECT NICK DILWORTH AS DIRECTOR Mgmt For For
6 ELECT GINNY PULBROOK AS DIRECTOR Mgmt For For
7 ELECT DAVID BLACKWOOD AS DIRECTOR Mgmt For For
8 ELECT LEWIS GIRDWOOD AS DIRECTOR Mgmt For For
9 ELECT DAVID SHEARER AS DIRECTOR Mgmt For For
10 REAPPOINT KPMG LLP AS AUDITORS Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 485 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 AUTHORISE BOARD TO FIX Mgmt For For REMUNERATION OF AUDITORS
12 APPROVE REMUNERATION REPORT Mgmt For For
13 AUTHORISE ISSUE OF EQUITY Mgmt For For
14 AUTHORISE ISSUE OF EQUITY WITHOUT Mgmt For For PRE-EMPTIVE RIGHTS
15 APPROVE GRANT OF PUT OPTION AND Mgmt For For AUTHORISE ISSUE OF EQUITY WITHOUT PRE-EMPTIVE RIGHTS IN RELATION TO PUT OPTION UNDER THE COMMITMENT AGREEMENT
16 AUTHORISE MARKET PURCHASE OF Mgmt For For ORDINARY SHARES
CMMT 24 JUN 2019: PLEASE NOTE THAT THIS IS Non-Voting A REVISION DUE TO RECIEPT OF DIVIDEND AMOUNT FOR RESOLUTION 2. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 486 of 721 NT SMALL CAP SUEDZUCKER AG
Security: D82781101 Agenda Number: 711295293 Ticker: Meeting Type: AGM ISIN: DE0007297004 Meeting Date: 18-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT ACCORDING TO GERMAN LAW, IN CASE Non-Voting OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL. THANK YOU
CMMT PLEASE NOTE THAT THE TRUE RECORD Non-Voting DATE FOR THIS MEETING IS 27 JUN 19, WHEREAS THE MEETING HAS BEEN SETUP USING THE ACTUAL RECORD DATE - 1 BUSINESS DAY. THIS IS DONE TO ENSURE THAT ALL POSITIONS REPORTED ARE IN CONCURRENCE WITH THE GERMAN LAW. THANK YOU
CMMT COUNTER PROPOSALS MAY BE Non-Voting SUBMITTED UNTIL 03.07.2019. FURTHER INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER'S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 487 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY'S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED IN THE BALLOT ON PROXYEDGE
1 RECEIVE FINANCIAL STATEMENTS AND Non-Voting STATUTORY REPORTS FOR FISCAL 2018/19
2 APPROVE ALLOCATION OF INCOME AND Mgmt For For DIVIDENDS OF EUR 0.20 PER SHARE
3 APPROVE DISCHARGE OF MANAGEMENT Mgmt For For BOARD FOR FISCAL 2018/19
4 APPROVE DISCHARGE OF SUPERVISORY Mgmt For For BOARD FOR FISCAL 2018/19
5 ELECT WALTER MANZ TO THE Mgmt Against Against SUPERVISORY BOARD
6 RATIFY PRICEWATERHOUSECOOPERS Mgmt For For GMBH AS AUDITORS FOR FISCAL 2019/2020
7 APPROVE CREATION OF EUR 20 MILLION Mgmt For For POOL OF CAPITAL WITHOUT PREEMPTIVE RIGHTS
8 AUTHORIZE SHARE REPURCHASE Mgmt For For PROGRAM AND REISSUANCE OR CANCELLATION OF REPURCHASED SHARES
9 AUTHORIZE USE OF FINANCIAL Mgmt Against Against DERIVATIVES WHEN REPURCHASING SHARES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 488 of 721 NT SMALL CAP SUPERDRY PLC
Security: G8585P103 Agenda Number: 711494512 Ticker: Meeting Type: AGM ISIN: GB00B60BD277 Meeting Date: 11-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 ACCEPT FINANCIAL STATEMENTS AND Mgmt For For STATUTORY REPORTS
2 APPROVE REMUNERATION REPORT Mgmt For For
3 APPROVE FINAL DIVIDEND Mgmt For For
4 RE-ELECT JULIAN DUNKERTON AS Mgmt For For DIRECTOR
5 RE-ELECT PETER WILLIAMS AS Mgmt For For DIRECTOR
6 ELECT NICK GRESHAM AS DIRECTOR Mgmt For For
7 ELECT ALASTAIR MILLER AS DIRECTOR Mgmt For For
8 ELECT HELEN WEIR AS DIRECTOR Mgmt For For
9 ELECT FAISAL GALARIA AS DIRECTOR Mgmt For For
10 ELECT GEORGINA HARVEY AS DIRECTOR Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 489 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 REAPPOINT DELOITTE LLP AS AUDITORS Mgmt For For
12 AUTHORISE BOARD TO FIX Mgmt For For REMUNERATION OF AUDITORS
13 AUTHORISE EU POLITICAL DONATIONS Mgmt For For AND EXPENDITURE
14 AUTHORISE ISSUE OF EQUITY Mgmt For For
15 AUTHORISE ISSUE OF EQUITY WITHOUT Mgmt For For PRE-EMPTIVE RIGHTS
16 AUTHORISE ISSUE OF EQUITY WITHOUT Mgmt For For PRE-EMPTIVE RIGHTS IN CONNECTION WITH AN ACQUISITION OR OTHER CAPITAL INVESTMENT
17 AUTHORISE MARKET PURCHASE OF Mgmt For For ORDINARY SHARES
18 AUTHORISE THE COMPANY TO CALL Mgmt For For GENERAL MEETING WITH TWO WEEKS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 490 of 721 NT SMALL CAP SYNTHOMER PLC
Security: G8650C102 Agenda Number: 711418699 Ticker: Meeting Type: OGM ISIN: GB0009887422 Meeting Date: 31-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 APPROVE ACQUISITION OF OMNOVA Mgmt For For SOLUTIONS INC
2 APPROVE INCREASE IN BORROWING Mgmt For For POWER Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 491 of 721 NT SMALL CAP TALKTALK TELECOM GROUP PLC
Security: G8668X106 Agenda Number: 711321909 Ticker: Meeting Type: AGM ISIN: GB00B4YCDF59 Meeting Date: 17-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE ACCOUNTS AND Mgmt For For REPORTS OF THE DIRECTORS AND AUDITOR FOR THE PERIOD ENDED 31 MARCH 2019
2 TO APPROVE THE ANNUAL REPORT ON Mgmt For For REMUNERATION
3 TO DECLARE A FINAL DIVIDEND Mgmt For For
4 TO RE-ELECT SIR CHARLES DUNSTONE Mgmt Against Against AS A DIRECTOR
5 TO RE-ELECT KATE FERRY AS A Mgmt For For DIRECTOR
6 TO RE-ELECT TRISTIA HARRISON AS A Mgmt For For DIRECTOR
7 TO RE-ELECT IAN WEST AS A DIRECTOR Mgmt For For
8 TO RE-ELECT JOHN GILDERSLEEVE AS A Mgmt Against Against DIRECTOR
9 TO RE-ELECT JOHN ALLWOOD AS A Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 492 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO RE-ELECT CATH KEERS AS A Mgmt For For DIRECTOR
11 TO RE-ELECT ROGER TAYLOR AS A Mgmt Against Against DIRECTOR
12 TO RE-ELECT SIR HOWARD STRINGER AS Mgmt For For A DIRECTOR
13 TO RE-ELECT NIGEL LANGSTAFF AS A Mgmt Against Against DIRECTOR
14 TO ELECT PHIL JORDAN AS A DIRECTOR Mgmt For For
15 TO RE-APPOINT DELOITTE LLP AS Mgmt For For AUDITORS
16 TO AUTHORISE THE DIRECTORS TO Mgmt For For DETERMINE THE AUDITORS REMUNERATION
17 TO ALLOT SHARES Mgmt For For
18 TO CALL A GENERAL MEETING OTHER Mgmt For For THAN AN AGM ON NOT LESS THAN 14 DAYS NOTICE
19 TO DISAPPLY PRE-EMPTION RIGHTS Mgmt For For
20 TO DISAPPLY PRE-EMPTION RIGHTS FOR Mgmt For For ACQUISITIONS AND OTHER CAPITAL INVESTMENTS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 493 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
21 TO AUTHORISE THE PURCHASE OF Mgmt For For SHARES BY THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 494 of 721 NT SMALL CAP TATE & LYLE PLC
Security: G86838128 Agenda Number: 711309028 Ticker: Meeting Type: AGM ISIN: GB0008754136 Meeting Date: 25-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE REPORTS AND Mgmt For For ACCOUNTS OF THE DIRECTORS AND THE REPORT OF THE AUDITORS FOR THE YEAR ENDED 31 MARCH 2019
2 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT (EXCLUDING THE SUMMARY OF THE DIRECTORS' REMUNERATION POLICY) FOR THE YEAR ENDED 31 MARCH 2019
3 TO DECLARE A FINAL DIVIDEND ON THE Mgmt For For ORDINARY SHARES OF THE COMPANY: 20.8 PENCE PER ORDINARY SHARE
4 TO RE-ELECT DR GERRY MURPHY AS A Mgmt For For DIRECTOR OF THE COMPANY
5 TO RE-ELECT NICK HAMPTON AS A Mgmt For For DIRECTOR OF THE COMPANY
6 TO ELECT IMRAN NAWAZ AS A DIRECTOR Mgmt For For OF THE COMPANY
7 TO RE-ELECT PAUL FORMAN AS A Mgmt For For DIRECTOR OF THE COMPANY
8 TO RE-ELECT LARS FREDERIKSEN AS A Mgmt For For DIRECTOR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 495 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
9 TO RE-ELECT ANNE MINTO AS A Mgmt For For DIRECTOR OF THE COMPANY
10 TO ELECT KIMBERLY NELSON AS A Mgmt For For DIRECTOR OF THE COMPANY
11 TO RE-ELECT DR AJAI PURI AS A Mgmt For For DIRECTOR OF THE COMPANY
12 TO RE-ELECT SYBELLA STANLEY AS A Mgmt For For DIRECTOR OF THE COMPANY
13 TO ELECT WARREN TUCKER AS A Mgmt For For DIRECTOR OF THE COMPANY
14 TO RE-APPOINT ERNST & YOUNG LLP AS Mgmt For For AUDITORS TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT GENERAL MEETING AT WHICH REPORTS AND AUDITED ACCOUNTS ARE LAID BEFORE THE COMPANY
15 TO AUTHORISE THE AUDIT COMMITTEE Mgmt For For (FOR AND ON BEHALF OF THE BOARD OF DIRECTORS) TO SET THE REMUNERATION OF THE AUDITORS
16 THAT THE COMPANY AND THOSE Mgmt For For COMPANIES WHICH ARE SUBSIDIARIES OF THE COMPANY AT ANY TIME DURING THE PERIOD FOR WHICH THIS RESOLUTION HAS EFFECT ARE AUTHORISED FOR THE PURPOSES OF PART 14 OF THE ACT DURING THE PERIOD FROM THE DATE OF THE PASSING OF THIS RESOLUTION TO THE EARLIER OF THE CONCLUSION OF THE COMPANY'S ANNUAL GENERAL MEETING IN 2020 OR THE CLOSE OF BUSINESS ON 30 SEPTEMBER 2020: (A) TO MAKE POLITICAL DONATIONS TO POLITICAL PARTIES, AND/OR INDEPENDENT ELECTION CANDIDATES, AND/OR TO POLITICAL ORGANISATIONS OTHER THAN Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 496 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
POLITICAL PARTIES NOT EXCEEDING GBP 100,000 IN TOTAL; AND (B) TO INCUR POLITICAL EXPENDITURE NOT EXCEEDING (WHEN AGGREGATED WITH ANY DONATIONS MADE UNDER THE AUTHORITY GRANTED IN PARAGRAPH (A) ABOVE) GBP 100,000 IN TOTAL. ANY SUCH AMOUNTS MAY COMPRISE SUMS PAID OR INCURRED IN ONE OR MORE CURRENCIES. ANY SUM PAID OR INCURRED IN A CURRENCY OTHER THAN STERLING SHALL BE CONVERTED INTO STERLING AT SUCH RATE AS THE BOARD MAY DECIDE IS APPROPRIATE. ALL EXISTING AUTHORISATIONS AND APPROVALS RELATING TO POLITICAL DONATIONS OR EXPENDITURE UNDER PART 14 OF THE ACT ARE HEREBY REVOKED WITHOUT PREJUDICE TO ANY DONATION MADE OR EXPENDITURE INCURRED PRIOR TO THE DATE HEREOF PURSUANT TO SUCH AUTHORISATION OR APPROVAL. WORDS AND EXPRESSIONS DEFINED FOR THE PURPOSE OF THE ACT SHALL HAVE THE SAME MEANING IN THIS RESOLUTION
17 THAT THE DIRECTORS ARE GENERALLY Mgmt For For AND UNCONDITIONALLY AUTHORISED PURSUANT TO AND IN ACCORDANCE WITH SECTION 551 OF THE ACT TO EXERCISE ALL THE POWERS OF THE COMPANY TO ALLOT SHARES IN THE COMPANY OR GRANT RIGHTS TO SUBSCRIBE FOR OR TO CONVERT ANY SECURITY INTO SHARES IN THE COMPANY: (A) UP TO AN AGGREGATE NOMINAL AMOUNT OF GBP 38,639,981; (B) COMPRISING EQUITY SECURITIES (AS DEFINED IN SECTION 560(1) OF THE ACT) UP TO A FURTHER NOMINAL AMOUNT OF GBP 38,639,981 IN CONNECTION WITH AN OFFER BY WAY OF A RIGHTS ISSUE; SUCH AUTHORITIES TO EXPIRE AT THE CONCLUSION OF THE COMPANY'S ANNUAL GENERAL MEETING IN 2020 OR AT THE CLOSE OF BUSINESS ON 30 SEPTEMBER 2020, WHICHEVER IS THE EARLIER, BUT, IN EACH CASE, SO THAT THE COMPANY MAY, BEFORE SUCH EXPIRY, MAKE OFFERS AND ENTER INTO AGREEMENTS WHICH WOULD, OR MIGHT, Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 497 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
REQUIRE SHARES TO BE ALLOTTED OR RIGHTS TO SUBSCRIBE FOR OR TO CONVERT ANY SECURITY INTO SHARES TO BE GRANTED AFTER THE AUTHORITY GIVEN BY THIS RESOLUTION HAS EXPIRED. ALL AUTHORITIES VESTED IN THE DIRECTORS ON THE DATE OF THE NOTICE OF THIS MEETING TO ALLOT SHARES OR TO GRANT RIGHTS THAT REMAIN UNEXERCISED AT THE COMMENCEMENT OF THIS MEETING ARE REVOKED. FOR THE PURPOSES OF THIS RESOLUTION, 'RIGHTS ISSUE' MEANS AN OFFER TO: (I) ORDINARY SHAREHOLDERS IN PROPORTION (AS NEARLY AS MAY BE PRACTICABLE) TO THEIR EXISTING HOLDINGS; AND (II) PEOPLE WHO ARE HOLDERS OF OTHER EQUITY SECURITIES IF THIS IS REQUIRED BY THE RIGHTS OF THOSE SECURITIES OR, IF THE DIRECTORS CONSIDER IT NECESSARY, AS PERMITTED BY THE RIGHTS OF THOSE SECURITIES, TO SUBSCRIBE FOR FURTHER SECURITIES BY MEANS OF THE ISSUE OF A RENOUNCEABLE LETTER (OR OTHER NEGOTIABLE INSTRUMENT) WHICH MAY BE TRADED FOR A PERIOD BEFORE PAYMENT FOR THE SECURITIES IS DUE, BUT SUBJECT IN BOTH CASES TO SUCH EXCLUSIONS OR OTHER ARRANGEMENTS AS THE DIRECTORS MAY DEEM NECESSARY OR EXPEDIENT IN RELATION TO TREASURY SHARES, FRACTIONAL ENTITLEMENTS, RECORD DATES OR LEGAL, REGULATORY OR PRACTICAL PROBLEMS IN, OR UNDER THE LAWS OF, ANY TERRITORY
18 THAT, SUBJECT TO THE PASSING OF Mgmt For For RESOLUTION 17 ABOVE, THE DIRECTORS ARE EMPOWERED TO ALLOT EQUITY SECURITIES (AS DEFINED IN SECTION 560(1) OF THE ACT) WHOLLY FOR CASH: (A) PURSUANT TO THE AUTHORITY GIVEN BY PARAGRAPH (A) OF RESOLUTION 17 ABOVE OR WHERE THE ALLOTMENT CONSTITUTES AN ALLOTMENT OF EQUITY SECURITIES BY VIRTUE OF SECTION 560(3) OF THE ACT IN EACH CASE: (I) IN CONNECTION WITH A PRE- EMPTIVE OFFER; AND (II) OTHERWISE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 498 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
THAN IN CONNECTION WITH A PRE- EMPTIVE OFFER, UP TO AN AGGREGATE NOMINAL AMOUNT OF GBP 5,854,542; AND (B) PURSUANT TO THE AUTHORITY GIVEN BY PARAGRAPH (B) OF RESOLUTION 17 ABOVE IN CONNECTION WITH A PRE- EMPTIVE RIGHTS ISSUE, AS IF SECTION 561(1) OF THE ACT DID NOT APPLY TO ANY SUCH ALLOTMENT; SUCH POWER TO EXPIRE AT THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY OR AT THE CLOSE OF BUSINESS ON 30 SEPTEMBER 2020, WHICHEVER IS THE EARLIER BUT SO THAT THE COMPANY MAY, BEFORE SUCH EXPIRY, MAKE OFFERS AND ENTER INTO AGREEMENTS WHICH WOULD, OR MIGHT, REQUIRE EQUITY SECURITIES TO BE ALLOTTED AND TREASURY SHARES TO BE SOLD AFTER THE POWER GRANTED BY THIS RESOLUTION HAS EXPIRED AND THE DIRECTORS MAY ALLOT EQUITY SECURITIES AND SELL TREASURY SHARES UNDER ANY SUCH OFFER OR AGREEMENT AS IF THE POWER HAD NOT EXPIRED. FOR THE PURPOSES OF THIS RESOLUTION: (I) 'RIGHTS ISSUE' HAS THE SAME MEANING AS IN RESOLUTION 17 ABOVE; (II) 'PRE-EMPTIVE OFFER' MEANS AN OFFER OF EQUITY SECURITIES OPEN FOR ACCEPTANCE FOR A PERIOD FIXED BY THE DIRECTORS TO (A) HOLDERS (OTHER THAN THE COMPANY) ON THE REGISTER ON A RECORD DATE FIXED BY THE DIRECTORS OF ORDINARY SHARES IN PROPORTION TO THEIR RESPECTIVE HOLDINGS AND (B) OTHER PERSONS SO ENTITLED BY VIRTUE OF THE RIGHTS ATTACHING TO ANY OTHER EQUITY SECURITIES HELD BY THEM, BUT SUBJECT IN BOTH CASES TO SUCH EXCLUSIONS OR OTHER ARRANGEMENTS AS THE DIRECTORS MAY DEEM NECESSARY OR EXPEDIENT IN RELATION TO TREASURY SHARES, FRACTIONAL ENTITLEMENTS, RECORD DATES OR LEGAL, REGULATORY OR PRACTICAL PROBLEMS IN, OR UNDER THE LAWS OF, ANY TERRITORY; (III) REFERENCES TO AN ALLOTMENT OF EQUITY SECURITIES SHALL INCLUDE A SALE OF TREASURY SHARES; AND (IV) THE NOMINAL AMOUNT OF ANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 499 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
SECURITIES SHALL BE TAKEN TO BE, IN THE CASE OF RIGHTS TO SUBSCRIBE FOR OR CONVERT ANY SECURITIES INTO SHARES OF THE COMPANY, THE NOMINAL AMOUNT OF SUCH SHARES WHICH MAY BE ALLOTTED PURSUANT TO SUCH RIGHTS
19 THAT, SUBJECT TO THE PASSING OF Mgmt For For RESOLUTION 17 ABOVE AND IN ADDITION TO ANY POWER GRANTED UNDER RESOLUTION 18 ABOVE, THE DIRECTORS ARE EMPOWERED TO ALLOT EQUITY SECURITIES (AS DEFINED IN SECTION 560(1) OF THE ACT) WHOLLY FOR CASH PURSUANT TO THE AUTHORITY GIVEN BY RESOLUTION 17 ABOVE OR WHERE THE ALLOTMENT CONSTITUTES AN ALLOTMENT OF EQUITY SECURITIES BY VIRTUE OF SECTION 560(3) OF THE ACT AS IF SECTION 561(1) OF THE ACT DID NOT APPLY TO ANY SUCH ALLOTMENT, SUCH POWER TO BE: (A) LIMITED TO THE ALLOTMENT OF EQUITY SECURITIES OR SALE OF TREASURY SHARES UP TO AN AGGREGATE NOMINAL AMOUNT OF GBP 5,854,542; AND (B) USED ONLY FOR THE PURPOSES OF FINANCING (OR REFINANCING, IF THE POWER IS TO BE EXERCISED WITHIN SIX MONTHS AFTER THE DATE OF THE ORIGINAL TRANSACTION) A TRANSACTION WHICH THE BOARD DETERMINES TO BE AN ACQUISITION OR OTHER CAPITAL INVESTMENT OF A KIND CONTEMPLATED BY THE STATEMENT OF PRINCIPLES ON THE DISAPPLICATION OF PRE-EMPTION RIGHTS MOST RECENTLY PUBLISHED BY THE PRE-EMPTION GROUP PRIOR TO THE DATE OF THIS NOTICE OF MEETING, AND SUCH POWER TO EXPIRE AT THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY OR AT THE CLOSE OF BUSINESS ON 30 SEPTEMBER 2020, WHICHEVER IS THE EARLIER, BUT SO THAT THE COMPANY MAY, BEFORE SUCH EXPIRY, MAKE OFFERS AND ENTER INTO AGREEMENTS WHICH WOULD, OR MIGHT, REQUIRE EQUITY SECURITIES TO BE ALLOTTED AND TREASURY SHARES TO BE SOLD AFTER THE POWER GRANTED BY THIS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 500 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
RESOLUTION HAS EXPIRED AND THE DIRECTORS MAY ALLOT EQUITY SECURITIES AND SELL TREASURY SHARES UNDER ANY SUCH OFFER OR AGREEMENT AS IF THE POWER HAD NOT EXPIRED
20 THAT THE COMPANY IS HEREBY Mgmt For For UNCONDITIONALLY AND GENERALLY AUTHORISED FOR THE PURPOSE OF SECTION 701 OF THE ACT TO MAKE MARKET PURCHASES (AS DEFINED IN SECTION 693 OF THE ACT) OF ORDINARY SHARES OF 25P EACH IN THE CAPITAL OF THE COMPANY, PROVIDED THAT: (A) THE MAXIMUM AGGREGATE NUMBER OF SHARES WHICH MAY BE PURCHASED UNDER THIS AUTHORITY IS 46,836,341; (B) THE MINIMUM PRICE WHICH MAY BE PAID FOR A SHARE IS THE NOMINAL VALUE OF THAT SHARE; (C) THE MAXIMUM PRICE WHICH MAY BE PAID FOR A SHARE IS THE HIGHER OF (I) 105% OF THE AVERAGE OF THE CLOSING PRICE OF THE COMPANY'S ORDINARY SHARES AS DERIVED FROM THE LONDON STOCK EXCHANGE DAILY OFFICIAL LIST FOR THE FIVE BUSINESS DAYS IMMEDIATELY PRECEDING THE DAY ON WHICH SUCH SHARES ARE CONTRACTED TO BE PURCHASED, AND (II) THE HIGHER OF THE PRICE OF THE LAST INDEPENDENT TRADE AND THE HIGHEST CURRENT INDEPENDENT BID ON THE LONDON STOCK EXCHANGE AS STIPULATED IN COMMISSION-ADOPTED REGULATORY TECHNICAL STANDARDS PURSUANT TO ARTICLE 5(6) OF THE MARKET ABUSE REGULATION; AND (D) THIS AUTHORITY SHALL EXPIRE AT THE CONCLUSION OF THE ANNUAL GENERAL MEETING IN 2020 OR AT THE CLOSE OF BUSINESS ON 30 SEPTEMBER 2020, WHICHEVER IS EARLIER (EXCEPT IN RELATION TO THE PURCHASE OF SHARES THE CONTRACT FOR WHICH WAS CONCLUDED BEFORE THE EXPIRY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 501 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
OF SUCH AUTHORITY AND WHICH MIGHT BE EXECUTED WHOLLY OR PARTLY AFTER SUCH EXPIRY), UNLESS SUCH AUTHORITY IS RENEWED PRIOR TO SUCH TIME
21 THAT A GENERAL MEETING OF THE Mgmt For For COMPANY, OTHER THAN AN ANNUAL GENERAL MEETING, MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS' NOTICE
22 THAT, WITH EFFECT FROM THE Mgmt For For CONCLUSION OF THE AGM, THE ARTICLES OF ASSOCIATION OF THE COMPANY PRODUCED TO THE MEETING AND INITIALLED BY THE CHAIRMAN (FOR THE PURPOSE OF IDENTIFICATION) BE ADOPTED AS THE ARTICLES OF ASSOCIATION OF THE COMPANY, IN SUBSTITUTION FOR, AND TO THE EXCLUSION OF, THE EXISTING ARTICLES OF ASSOCIATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 502 of 721 NT SMALL CAP TELECOM PLUS PLC
Security: G8729H108 Agenda Number: 711341278 Ticker: Meeting Type: AGM ISIN: GB0008794710 Meeting Date: 25-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE REPORTS OF THE Mgmt For For DIRECTORS AND THE AUDITOR AND THE ACCOUNTS OF THE COMPANY FOR THE YEAR ENDED 31 MARCH 2019
2 TO RECEIVE AND APPROVE THE Mgmt For For DIRECTORS' ANNUAL REPORT ON REMUNERATION FOR THE YEAR ENDED 31 MARCH 2019
3 TO RECEIVE AND APPROVE THE REVISED Mgmt For For REMUNERATION POLICY WHICH WILL TAKE EFFECT IMMEDIATELY AFTER THE END OF THE AGM
4 TO DECLARE A FINAL DIVIDEND FOR THE Mgmt For For YEAR ENDED 31 MARCH 2019 OF 27.0P ON EACH OF THE ORDINARY SHARES OF 5P AND THE DIRECTORS BE AND ARE HEREBY AUTHORISED TO PAY SUCH DIVIDEND TO THOSE PERSONS REGISTERED AS HOLDERS OF SHARES IN THE CAPITAL OF THE COMPANY AT THE CLOSE OF BUSINESS ON 12 JULY 2019
5 TO RE-ELECT CHARLES WIGODER AS A Mgmt For For DIRECTOR OF THE COMPANY
6 TO RE-ELECT JULIAN SCHILD AS A Mgmt For For DIRECTOR OF THE COMPANY
7 TO RE-ELECT ANDREW LINDSAY AS A Mgmt For For DIRECTOR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 503 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8 TO RE-ELECT NICHOLAS SCHOENFELD Mgmt For For AS A DIRECTOR OF THE COMPANY
9 TO RE-ELECT ANDREW BLOWERS AS A Mgmt For For DIRECTOR OF THE COMPANY
10 TO RE-ELECT BEATRICE HOLLOND AS A Mgmt For For DIRECTOR OF THE COMPANY
11 TO RE-ELECT MELVIN LAWSON AS A Mgmt For For DIRECTOR OF THE COMPANY
12 TO APPOINT KPMG LLP AS AUDITOR OF Mgmt For For THE COMPANY, TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AT WHICH ACCOUNTS ARE LAID BEFORE THE COMPANY
13 TO AUTHORISE THE DIRECTORS TO Mgmt For For DETERMINE THE AUDITOR'S REMUNERATION
14 THAT THE COMPANY BE AND IS Mgmt For For GENERALLY AND UNCONDITIONALLY AUTHORISED FOR THE PURPOSES OF SECTION 701 OF THE COMPANIES ACT 2006 ("COMPANIES ACT") TO MAKE ONE OR MORE MARKET PURCHASES (WITHIN THE MEANING OF SECTION 693(4) OF THE COMPANIES ACT) ON THE LONDON STOCK EXCHANGE OF ITS OWN FULLY PAID ORDINARY SHARES OF 5P EACH IN THE CAPITAL OF THE COMPANY ("ORDINARY SHARES") ON SUCH TERMS AND IN SUCH MANNER AS THE DIRECTORS MAY FROM TIME TO TIME DETERMINE PROVIDED THAT: A) THE MAXIMUM AGGREGATE NUMBER OF ORDINARY SHARES WHICH MAY BE PURCHASED IS 7,839,558, BEING APPROXIMATELY 10 PER CENT OF THE ISSUED ORDINARY SHARE CAPITAL (EXCLUDING TREASURY SHARES) AS AT 21 JUNE 2019; B) THE MINIMUM PRICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 504 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
WHICH MAY BE PAID FOR AN ORDINARY SHARE IS 5P (EXCLUSIVE OF EXPENSES PAYABLE BY THE COMPANY); C) THE MAXIMUM PRICE WHICH MAY BE PAID FOR AN ORDINARY SHARE (EXCLUSIVE OF EXPENSES PAYABLE BY THE COMPANY) CANNOT BE MORE THAN THE HIGHER OF: I. 105 PER CENT OF THE AVERAGE MARKET VALUE OF AN ORDINARY SHARE FOR THE FIVE BUSINESS DAYS PRIOR TO THE DAY ON WHICH THE ORDINARY SHARE IS CONTRACTED TO BE PURCHASED; AND II. THE VALUE OF AN ORDINARY SHARE CALCULATED ON THE BASIS OF THE HIGHER OF: A. THE LAST INDEPENDENT TRADE OF; OR B. THE HIGHEST CURRENT INDEPENDENT BID FOR, ANY NUMBER OF ORDINARY SHARES ON THE TRADING VENUE WHERE THE MARKET PURCHASE BY THE COMPANY WILL BE CARRIED OUT; AND III. THE AUTHORITY CONFERRED SHALL EXPIRE AT THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY OR, IF EARLIER 30 SEPTEMBER 2020, EXCEPT THAT THE COMPANY MAY BEFORE SUCH EXPIRY MAKE A CONTRACT TO PURCHASE ITS OWN SHARES WHICH WILL OR MAY BE COMPLETED OR EXECUTED WHOLLY OR PARTLY AFTER SUCH EXPIRY
15 THAT THE DIRECTORS BE AND THEY ARE Mgmt For For HEREBY GENERALLY AND UNCONDITIONALLY AUTHORISED, IN ACCORDANCE WITH SECTION 551 OF THE COMPANIES ACT, IN SUBSTITUTION FOR ALL EXISTING AUTHORITIES: A) TO EXERCISE ALL THE POWERS OF THE COMPANY TO ALLOT SHARES AND TO MAKE OFFERS OR AGREEMENTS TO ALLOT SHARES IN THE COMPANY OR GRANT RIGHTS TO SUBSCRIBE FOR OR TO CONVERT ANY SECURITY INTO SHARES IN THE COMPANY (TOGETHER "RELEVANT SECURITIES") UP TO AN AGGREGATE NOMINAL AMOUNT OF GBP 1,306,593; AND B) TO EXERCISE ALL THE POWERS OF THE COMPANY TO ALLOT EQUITY SECURITIES (AS DEFINED IN SECTION 560(1) OF THE COMPANIES ACT) Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 505 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
UP TO AN ADDITIONAL AGGREGATE NOMINAL AMOUNT OF GBP 1,306,593 PROVIDED THAT THIS AUTHORITY MAY ONLY BE USED IN CONNECTION WITH A RIGHTS ISSUE IN FAVOUR OF HOLDERS OF ORDINARY SHARES AND OTHER PERSONS ENTITLED TO PARTICIPATE THEREIN WHERE THE EQUITY SECURITIES RESPECTIVELY ATTRIBUTABLE TO THE INTERESTS OF ALL THOSE PERSONS AT SUCH RECORD DATES AS THE DIRECTORS MAY DETERMINE ARE PROPORTIONATE (AS NEARLY AS MAY BE) TO THE RESPECTIVE NUMBERS OF EQUITY SECURITIES HELD OR DEEMED TO BE HELD BY THEM OR ARE OTHERWISE ALLOTTED IN ACCORDANCE WITH THE RIGHTS ATTACHING TO SUCH EQUITY SECURITIES SUBJECT TO SUCH EXCLUSIONS OR OTHER ARRANGEMENTS AS THE DIRECTORS MAY CONSIDER NECESSARY OR EXPEDIENT TO DEAL WITH FRACTIONAL ENTITLEMENTS OR LEGAL DIFFICULTIES UNDER THE LAWS OF ANY TERRITORY OR THE REQUIREMENTS OF A REGULATORY BODY OR STOCK EXCHANGE OR BY VIRTUE OF SHARES BEING REPRESENTED BY DEPOSITARY RECEIPTS OR ANY OTHER MATTER WHATSOEVER, PROVIDED THAT THE AUTHORITIES IN PARAGRAPHS (A) AND (B) ABOVE SHALL EXPIRE AT THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY OR, IF EARLIER, 30 SEPTEMBER 2020, EXCEPT THAT THE COMPANY MAY BEFORE SUCH EXPIRY MAKE AN OFFER OR AGREEMENT WHICH WOULD OR MIGHT REQUIRE RELEVANT SECURITIES OR EQUITY SECURITIES AS THE CASE MAY BE TO BE ALLOTTED AFTER SUCH EXPIRY AND THE DIRECTORS MAY ALLOT RELEVANT SECURITIES OR EQUITY SECURITIES IN PURSUANCE OF ANY SUCH OFFER OR AGREEMENT AS IF THE AUTHORITY IN QUESTION HAD NOT EXPIRED Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 506 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
16 THAT, IF RESOLUTION 15 IS PASSED, THE Mgmt For For DIRECTORS BE AND THEY ARE HEREBY EMPOWERED TO ALLOT EQUITY SECURITIES (AS DEFINED IN THE COMPANIES ACT) FOR CASH UNDER THE AUTHORITY GIVEN BY THAT RESOLUTION AND/OR TO SELL ORDINARY SHARES HELD BY THE COMPANY AS TREASURY SHARES FOR CASH AS IF SECTION 561 OF THE COMPANIES ACT DID NOT APPLY TO SUCH ALLOTMENT OR SALE, PROVIDED THAT THIS POWER SHALL BE LIMITED TO: A) THE ALLOTMENT OF EQUITY SECURITIES IN CONNECTION WITH A RIGHTS ISSUE OR OTHER PRO RATA OFFER (BUT, IN THE CASE OF THE AUTHORITY CONFERRED BY PARAGRAPH (B) OF RESOLUTION 15, BY WAY OF A RIGHTS ISSUE ONLY) IN FAVOUR OF HOLDERS OF ORDINARY SHARES AND OTHER PERSONS ENTITLED TO PARTICIPATE THEREIN WHERE THE EQUITY SECURITIES RESPECTIVELY ATTRIBUTABLE TO THE INTERESTS OF ALL THOSE PERSONS AT SUCH RECORD DATES AS THE DIRECTORS MAY DETERMINE ARE PROPORTIONATE (AS NEARLY AS MAY BE) TO THE RESPECTIVE NUMBERS OF EQUITY SECURITIES HELD OR DEEMED TO BE HELD BY THEM OR ARE OTHERWISE ALLOTTED IN ACCORDANCE WITH THE RIGHTS ATTACHING TO SUCH EQUITY SECURITIES, SUBJECT IN EACH CASE TO SUCH EXCLUSIONS OR OTHER ARRANGEMENTS AS THE DIRECTORS MAY CONSIDER NECESSARY OR EXPEDIENT TO DEAL WITH FRACTIONAL ENTITLEMENTS OR LEGAL DIFFICULTIES UNDER THE LAWS OF ANY TERRITORY OR THE REQUIREMENTS OF A REGULATORY BODY OR STOCK EXCHANGE OR BY VIRTUE OF SHARES BEING REPRESENTED BY DEPOSITARY RECEIPTS OR ANY OTHER MATTER WHATSOEVER; AND B) TO THE ALLOTMENT OF EQUITY SECURITIES OR SALE OF TREASURY SHARES (OTHERWISE THAN PURSUANT TO PARAGRAPH (A) OF RESOLUTION 15 ABOVE) UP TO A NOMINAL AMOUNT OF GBP 195,989, SUCH AUTHORITY TO EXPIRE AT THE CONCLUSION OF THE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 507 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
NEXT AGM OF THE COMPANY (OR, IF EARLIER, 30 SEPTEMBER 2020) BUT, IN EACH CASE, THE COMPANY MAY BEFORE SUCH EXPIRY MAKE OFFERS OR ENTER AGREEMENTS WHICH WOULD OR MIGHT REQUIRE EQUITY SECURITIES TO BE ALLOTTED OR SHARES HELD BY THE COMPANY IN TREASURY TO BE SOLD OR TRANSFERRED, AFTER THE AUTHORITY EXPIRES AND THE DIRECTORS MAY ALLOT EQUITY SECURITIES AND/OR SELL OR TRANSFER SHARES HELD BY THE COMPANY IN TREASURY UNDER ANY SUCH OFFER OR AGREEMENT AS IF THE POWER CONFERRED BY THIS RESOLUTION HAD NOT EXPIRED
17 THAT, IF RESOLUTION 15 IS PASSED, THE Mgmt For For DIRECTORS BE AND THEY ARE HEREBY EMPOWERED, IN ADDITION TO ANY AUTHORITY GRANTED UNDER RESOLUTION 16, TO ALLOT EQUITY SECURITIES (AS DEFINED IN THE COMPANIES ACT) FOR CASH UNDER THE AUTHORITY GIVEN BY THAT RESOLUTION AND/OR TO SELL ORDINARY SHARES HELD BY THE COMPANY AS TREASURY SHARES FOR CASH AS IF SECTION 561 OF THE COMPANIES ACT DID NOT APPLY TO ANY SUCH ALLOTMENT OR SALE, PROVIDED THAT THIS POWER SHALL BE LIMITED TO: A) THE ALLOTMENT OF EQUITY SECURITIES OR SALE OF TREASURY SHARES UP TO A NOMINAL AMOUNT OF GBP 195,989; AND B) USED ONLY FOR THE PURPOSES OF FINANCING (OR REFINANCING, IF THE AUTHORITY IS USED WITHIN SIX MONTHS AFTER THE ORIGINAL TRANSACTION) A TRANSACTION WHICH THE BOARD OF THE COMPANY DETERMINES TO BE AN ACQUISITION OR OTHER CAPITAL INVESTMENT OF A KIND CONTEMPLATED BY THE STATEMENT OF PRINCIPLES ON DISAPPLYING PRE-EMPTION RIGHTS MOST RECENTLY PUBLISHED BY THE PRE-EMPTION GROUP PRIOR TO THE DATE OF THIS NOTICE, SUCH AUTHORITY TO EXPIRE AT THE CONCLUSION OF THE NEXT AGM OF THE COMPANY (OR, IF EARLIER, 30 SEPTEMBER 2020) BUT, IN EACH CASE, Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 508 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
THE COMPANY MAY BEFORE SUCH EXPIRY MAKE OFFERS OR ENTER AGREEMENTS WHICH WOULD OR MIGHT REQUIRE EQUITY SECURITIES TO BE ALLOTTED OR SHARES HELD BY THE COMPANY IN TREASURY TO BE SOLD OR TRANSFERRED, AFTER THE AUTHORITY EXPIRES AND THE DIRECTORS MAY ALLOT EQUITY SECURITIES AND/OR SELL OR TRANSFER SHARES HELD BY THE COMPANY IN TREASURY UNDER ANY SUCH OFFER OR AGREEMENT AS IF THE POWER CONFERRED BY THIS RESOLUTION HAD NOT EXPIRED
18 THAT IN ACCORDANCE WITH SECTIONS Mgmt For For 366 AND 367 OF THE COMPANIES ACT THE COMPANY AND ALL COMPANIES WHICH ARE SUBSIDIARIES OF THE COMPANY AT THE DATE ON WHICH THIS RESOLUTION 18 IS PASSED OR DURING THE PERIOD WHEN THIS RESOLUTION 18 HAS EFFECT ARE AUTHORISED TO: A) MAKE POLITICAL DONATIONS TO POLITICAL PARTIES OR INDEPENDENT ELECTION CANDIDATES, AS DEFINED IN THE COMPANIES ACT, NOT EXCEEDING GBP 50,000 IN TOTAL; B) MAKE POLITICAL DONATIONS TO POLITICAL ORGANISATIONS OTHER THAN POLITICAL PARTIES, AS DEFINED IN THE COMPANIES ACT, NOT EXCEEDING GBP 50,000 IN TOTAL; AND C) INCUR POLITICAL EXPENDITURE, AS DEFINED IN THE COMPANIES ACT, NOT EXCEEDING GBP 50,000 IN TOTAL, DURING THAT PERIOD BEGINNING WITH THE DATE OF THE PASSING OF THIS RESOLUTION AND ENDING ON THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY, PROVIDED THAT THE AUTHORISED SUMS REFERRED TO IN PARAGRAPHS (A), (B) AND (C) ABOVE MAY BE COMPRISED OF ONE OR MORE AMOUNTS IN DIFFERENT CURRENCIES WHICH, FOR THE PURPOSES OF CALCULATING THE SAID SUMS, SHALL BE CONVERTED INTO POUNDS STERLING AT THE EXCHANGE RATE PUBLISHED IN THE LONDON EDITION OF THE FINANCIAL TIMES ON THE DATE ON WHICH THE RELEVANT DONATION IS MADE OR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 509 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
EXPENDITURE INCURRED (OR THE FIRST BUSINESS DAY THEREAFTER), OR, IF EARLIER, ON THE DAY ON WHICH THE COMPANY ENTERS INTO ANY CONTRACT OR UNDERTAKING IN RELATION TO THE SAME
19 THAT THE COMPANY IS AUTHORISED TO Mgmt For For CALL ANY GENERAL MEETING OF THE COMPANY OTHER THAN THE ANNUAL GENERAL MEETING BY NOTICE OF AT LEAST 14 CLEAR DAYS DURING THE PERIOD BEGINNING ON THE DATE OF THE PASSING OF THIS RESOLUTION AND ENDING ON THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 510 of 721 NT SMALL CAP TESSENDERLO GROUP N.V.
Security: B9132B105 Agenda Number: 711304701 Ticker: Meeting Type: EGM ISIN: BE0003555639 Meeting Date: 10-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE
1 ADDITIONAL AMENDMENT TO THE Mgmt For For ARTICLES OF ASSOCIATION IN RESPONSE TO THE OP-IN OF THE BELGIAN CODE OF COMPANIES AND ASSOCIATIONS (THE "BCCA")
2 INTRODUCTION OF A LOYALTY VOTING Mgmt Against Against RIGHT IN ACCORDANCE WITH ARTICLE 7:53 BCCA Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 511 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE IN THE EVENT THE Non-Voting MEETING DOES NOT REACH QUORUM, THERE WILL BE A SECOND CALL ON 31 JUL 2019. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 512 of 721 NT SMALL CAP THERMON GROUP HOLDINGS, INC.
Security: 88362T103 Agenda Number: 935051259 Ticker: THR Meeting Type: Annual ISIN: US88362T1034 Meeting Date: 25-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Linda A. Dalgetty Mgmt For For
2 Marcus J. George Mgmt For For
3 Kevin J. McGinty Mgmt For For
4 John T. Nesser, III Mgmt For For
5 Michael W. Press Mgmt For For
6 Charles A. Sorrentino Mgmt For For
7 Bruce A. Thames Mgmt For For
2. To ratify the appointment of KPMG LLP as the Mgmt For For Company's independent registered public accounting firm for the fiscal year ending March 31, 2020.
3. To approve, on a non-binding advisory basis, Mgmt For For the compensation of the Company's executive officers as described in the proxy statement. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 513 of 721 NT SMALL CAP THQ NORDIC AB
Security: W9608Z104 Agenda Number: 711498229 Ticker: Meeting Type: AGM ISIN: SE0009241706 Meeting Date: 17-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT AN ABSTAIN VOTE CAN HAVE THE SAME Non-Voting EFFECT AS AN AGAINST VOTE IF THE MEETING REQUIRE APPROVAL FROM MAJORITY OF PARTICIPANTS TO PASS A RESOLUTION.
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE
1 OPENING OF THE MEETING Non-Voting
2 ELECTION OF CHAIRMAN OF THE Non-Voting MEETING: KICKI WALLJE-LUND Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 514 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3 PREPARATION AND APPROVAL OF Non-Voting VOTING LIST
4 ELECTION OF ONE OR TWO PERSONS TO Non-Voting CERTIFY THE MINUTES
5 QUESTION WHETHER THE GENERAL Non-Voting MEETING HAS BEEN DULY CONVENED
6 APPROVAL OF THE AGENDA Non-Voting
7 PRESENTATION OF THE BUSINESS Non-Voting ACTIVITIES IN THE THQ GROUP
8 PRESENTATION OF THE ANNUAL REPORT Non-Voting AND THE AUDITORS REPORT AND THE GROUP ANNUAL REPORT AND THE GROUP AUDITOR'S REPORT
9.A RESOLUTION REGARDING: ADOPTION OF Mgmt No Action INCOME STATEMENT AND BALANCE SHEET AND THE GROUP INCOME STATEMENT AND THE GROUP BALANCE SHEET
9.B RESOLUTION REGARDING: DECISION Mgmt No Action REGARDING THE PROFIT OR LOSS OF THE COMPANY IN ACCORDANCE WITH THE ADOPTED BALANCE SHEET
9.C RESOLUTION REGARDING: DISCHARGE Mgmt No Action FROM LIABILITY OF THE BOARD OF DIRECTORS AND THE MANAGING DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 515 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 PLEASE NOTE THAT THIS RESOLUTION IS Shr No Action A SHAREHOLDER PROPOSAL: DETERMINATION OF THE NUMBER OF DIRECTORS AND AUDITORS: IT IS PROPOSED THAT THE BOARD OF DIRECTORS SHALL COMPRISE OF FIVE DIRECTORS WITHOUT DEPUTIES. THE NUMBER OF AUDITORS SHALL BE ONE REGISTERED AUDIT FIRM
11 PLEASE NOTE THAT THIS RESOLUTION IS Shr No Action A SHAREHOLDER PROPOSAL: DETERMINATION OF FEES TO THE BOARD OF DIRECTORS AND TO THE AUDITORS
12 PLEASE NOTE THAT THIS RESOLUTION IS Shr No Action A SHAREHOLDER PROPOSAL: ELECTION OF THE BOARD OF DIRECTORS AND AUDITORS: IT IS PROPOSED RE- ELECTION OF THE DIRECTORS KICKI WALLJE-LUND, ULF HJALMARSSON, JACOB JONMYREN, ERIK STENBERG AND LARS WINGEFORS. FURTHERMORE, KICKI WALLJE-LUND IS PROPOSED TO BE RE-ELECTED AS CHAIRMAN OF THE BOARD OF DIRECTORS. RE-ELECTION OF THE REGISTERED AUDIT FIRM ERNST & YOUNG AKTIEBOLAG FOR THE PERIOD UNTIL THE END OF THE ANNUAL GENERAL MEETING 2020. ERNST & YOUNG AKTIEBOLAG HAS ANNOUNCED ITS APPOINTMENT OF ULRICH ADOLFSSON AS MAIN RESPONSIBLE AUDITOR
13 RESOLUTION REGARDING AMENDMENTS Mgmt No Action OF THE ARTICLES OF ASSOCIATION REGARDING LIMITS FOR THE NUMBER OF SHARES AND THE SHARE CAPITAL
14 RESOLUTION REGARDING SHARE SPLIT Mgmt No Action Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 516 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
15 RESOLUTION REGARDING AMENDMENTS Mgmt No Action OF THE ARTICLES OF ASSOCIATION REGARDING COMPANY NAME: EMBRACER GROUP AB
16 RESOLUTION REGARDING Mgmt No Action AUTHORIZATION FOR THE BOARD TO ISSUE SHARES, CONVERTIBLES AND OR WARRANTS
17 CLOSING OF THE MEETING Non-Voting
CMMT 22 AUG 2019: PLEASE NOTE THAT THIS IS Non-Voting A REVISION DUE TO RECEIPT OF COMPANY NAME FOR RESOLUTION 15. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 517 of 721 NT SMALL CAP TIETO CORPORATION
Security: X90409115 Agenda Number: 711449163 Ticker: Meeting Type: EGM ISIN: FI0009000277 Meeting Date: 03-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED
CMMT A POA IS NEEDED TO APPOINT OWN Non-Voting REPRESENTATIVE BUT IS NOT NEEDED IF A FINNISH SUB/BANK IS APPOINTED EXCEPT IF THE SHAREHOLDER IS FINNISH THEN A POA WOULD STILL BE REQUIRED.
1 OPENING OF THE MEETING Non-Voting
2 CALLING THE MEETING TO ORDER Non-Voting
3 ELECTION OF PERSONS TO SCRUTINIZE Non-Voting THE MINUTES AND TO SUPERVISE THE COUNTING OF VOTES
4 RECORDING THE LEGALITY OF THE Non-Voting MEETING Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 518 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
5 RECORDING THE ATTENDANCE AT THE Non-Voting MEETING AND ADOPTION OF THE LIST OF VOTES
6.1 RESOLUTION RELATING TO THE MERGER Non-Voting OF TIETO CORPORATION AND EVRY ASA: INTRODUCTION
6.2 RESOLUTION RELATING TO THE MERGER Mgmt For For OF TIETO CORPORATION AND EVRY ASA: RESOLUTION ON THE MERGER
7 CLOSING OF THE MEETING Non-Voting Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 519 of 721 NT SMALL CAP TRIUMPH GROUP, INC.
Security: 896818101 Agenda Number: 935048808 Ticker: TGI Meeting Type: Annual ISIN: US8968181011 Meeting Date: 18-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1.1 Election of Director: Paul Bourgon Mgmt For For
1.2 Election of Director: Daniel J. Crowley Mgmt For For
1.3 Election of Director: Ralph E. Eberhart Mgmt For For
1.4 Election of Director: Daniel P. Garton Mgmt For For
1.5 Election of Director: Dawne S. Hickton Mgmt For For
1.6 Election of Director: William L. Mansfield Mgmt For For
1.7 Election of Director: Adam J. Palmer Mgmt For For
1.8 Election of Director: Larry O. Spencer Mgmt For For
2. To approve, by advisory vote, the Mgmt For For compensation paid to our named executive officers for fiscal year 2019. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 520 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3. To approve an amendment to the Company's Mgmt For For Amended and Restated Certificate of Incorporation to permit the issuance of Preferred Stock in connection with a plan intended to help avoid the imposition of certain limitations on the Company's ability to fully use certain tax attributes, including, without limitation, the Tax Benefits Preservation Plan, dated as of March 13, 2019, by and between the Company and Computershare Trust Company, N.A., as may be amended or extended in accordance with its terms (the Plan).
4. To approve the adoption of the Plan by the Mgmt For For Company's Board of Directors.
5. To ratify the selection of Ernst & Young LLP Mgmt For For as our independent registered public accounting firm for the fiscal year ending March 31, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 521 of 721 NT SMALL CAP TUCOWS INC.
Security: 898697206 Agenda Number: 935064307 Ticker: TCX Meeting Type: Annual ISIN: US8986972060 Meeting Date: 09-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Allen Karp Mgmt For For
2 Rawleigh Ralls Mgmt For For
3 Jeffrey Schwartz Mgmt For For
4 Erez Gissin Mgmt For For
5 Robin Chase Mgmt For For
6 Elliot Noss Mgmt For For
7 Brad Burnham Mgmt For For
2. To ratify the selection of the independent Mgmt For For accounting firm for the fiscal year ending December 31, 2019. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 522 of 721 NT SMALL CAP UNICAJA BANCO S.A.
Security: E92589105 Agenda Number: 711362602 Ticker: Meeting Type: EGM ISIN: ES0180907000 Meeting Date: 30-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 ELECT ANGEL RODRIGUEZ DE GRACIA AS Mgmt For For DIRECTOR
2 NOVATION OF THE AGREEMENT Mgmt For For ADOPTED BY THE GENERAL MEETING OF SHAREHOLDERS HELD 22 APRIL 2016 UNDER THE FOURTH ITEM ON THE AGENDA "AUTHORISATION OF THE COUNCIL ADMINISTRATION FOR THE DERIVATIVE ACQUISITION AND/OR THE ACCEPTANCE IN GUARANTEE OF OWN SHARES WITH IN ACCORDANCE WITH THE LIMITS AND REQUIREMENTS LAID DOWN IN THE CAPITAL COMPANIES ACT"
3 DELEGATION OF POWERS TO Mgmt For For FORMALIZE, INTERPRET, COMPLEMENT, DEVELOP, TO REMEDY AND IMPLEMENT THE AGREEMENTS ADOPTED BY THE GENERAL MEETING OF SHAREHOLDERS
CMMT PLEASE NOTE IN THE EVENT THE Non-Voting MEETING DOES NOT REACH QUORUM, THERE WILL BE A SECOND CALL ON 31 JUL 2019. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 523 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT 03 JULY 2019: PLEASE NOTE THAT THIS IS Non-Voting A REVISION DUE TO CHANGE IN RECORD DATE FROM 26 JULY 2019 TO 25 JULY 2019 AND ALSO DUE TO CHANGE IN TEXT OF RESOLUTION 1 AND ADDITION OF COMMENT.TO IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
CMMT 03 JULY 2019: SHAREHOLDERS HOLDING Non-Voting LESS THAN "1000" SHARES (MINIMUM AMOUNT TO ATTEND THE MEETING) MAY GRANT A PROXY TO ANOTHER SHAREHOLDER ENTITLED TO LEGAL ASSISTANCE OR GROUP THEM TO REACH AT LEAST THAT NUMBER, GIVING REPRESENTATION TO A SHAREHOLDER OF THE GROUPED OR OTHER PERSONAL SHAREHOLDER ENTITLED TO ATTEND THE MEETING. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 524 of 721 NT SMALL CAP UNITE GROUP PLC
Security: G9283N101 Agenda Number: 711384266 Ticker: Meeting Type: OGM ISIN: GB0006928617 Meeting Date: 23-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 APPROVE MATTERS RELATING TO THE Mgmt For For ACQUISITION OF LIBERTY LIVING
CMMT 08 JUL 2019: PLEASE NOTE THAT THE Non-Voting MEETING TYPE WAS CHANGED FROM EGM TO OGM. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 525 of 721 NT SMALL CAP VIASAT, INC.
Security: 92552V100 Agenda Number: 935063519 Ticker: VSAT Meeting Type: Annual ISIN: US92552V1008 Meeting Date: 04-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Richard Baldridge Mgmt For For
2 Sean Pak Mgmt For For
2. Ratification of Appointment of Mgmt For For PricewaterhouseCoopers LLP as ViaSat's Independent Registered Public Accounting Firm for fiscal year 2020.
3. Advisory Vote on Executive Compensation. Mgmt Against Against
4. Amendment and Restatement of the Mgmt For For Employee Stock Purchase Plan.
5. Amendment and Restatement of the 1996 Mgmt For For Equity Participation Plan. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 526 of 721 NT SMALL CAP VICTORIA PLC
Security: G93509100 Agenda Number: 711476146 Ticker: Meeting Type: AGM ISIN: GB00BZC0LC10 Meeting Date: 03-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 ADOPTION OF ACCOUNTS Mgmt For For
2 RE-ELECTION OF MICHAEL SCOTT Mgmt For For
3 ELECTION OF ZACHARY STERNBERG Mgmt Against Against
4 RE-APPOINTMENT OF GRANT THORNTON Mgmt For For UK LLP AS AUDITOR
5 GRANTING THE DIRECTORS AUTHORITY Mgmt For For TO ALLOT SHARES
6 DISAPPLICATION OF STATUTORY PRE- Mgmt For For EMPTION RIGHTS
7 AUTHORISING THE COMPANY TO MAKE Mgmt For For MARKET PURCHASES OF ITS OWN SHARES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 527 of 721 NT SMALL CAP VIRTUSA CORPORATION
Security: 92827P102 Agenda Number: 935068216 Ticker: VRTU Meeting Type: Annual ISIN: US92827P1021 Meeting Date: 17-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Kris Canekeratne Mgmt For For
2 Barry R. Nearhos Mgmt For For
2. To ratify the appointment of the firm of KPMG Mgmt For For LLP, as our independent registered public accounting firm, for the fiscal year ending March 31, 2020.
3. To approve, on an advisory basis, the Mgmt For For compensation of our named executive officers. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 528 of 721 NT SMALL CAP VISTA OUTDOOR INC
Security: 928377100 Agenda Number: 935053948 Ticker: VSTO Meeting Type: Annual ISIN: US9283771007 Meeting Date: 06-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: April H. Foley Mgmt For For
1b. Election of Director: Tig H. Krekel Mgmt For For
1c. Election of Director: Michael D. Robinson Mgmt For For
2. Advisory Vote to Approve Compensation of Mgmt For For Vista Outdoor's Named Executive Officers
3. Ratification of the Appointment of Vista Mgmt For For Outdoor's Independent Registered Public Accounting Firm for the fiscal year ending March 31, 2020
4. Approve an Amendment to the 2014 Stock Mgmt For For Incentive Plan to Increase the Individual Annual Performance Share Limit. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 529 of 721 NT SMALL CAP WAGEWORKS, INC.
Security: 930427109 Agenda Number: 935067478 Ticker: WAGE Meeting Type: Special ISIN: US9304271094 Meeting Date: 28-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. To consider and vote on a proposal to adopt Mgmt For For the Agreement and Plan of Merger, dated as of June 26, 2019 by and among WageWorks, Inc., a Delaware corporation, HealthEquity, Inc., a Delaware corporation ("HealthEquity"), and Pacific Merger Sub Inc., a Delaware corporation and a wholly owned subsidiary of HealthEquity ("Merger Sub"), pursuant to which Merger Sub will be merged with and into WageWorks (the "merger") and WageWorks will survive the merger and become a wholly owned subsidiary of HealthEquity.
2. To approve the adjournment of the special Mgmt For For meeting, if necessary or appropriate, to solicit additional proxies if there are insufficient votes at the time of the special meeting to approve the proposal to adopt the merger agreement.
3. To approve, on an advisory (non-binding) Mgmt For For basis, certain compensation that will or may become payable to the named executive officers of WageWorks in connection with the merger. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 530 of 721 NT SMALL CAP WAREHOUSES DE PAUW SCA
Security: B9774V120 Agenda Number: 711493899 Ticker: Meeting Type: EGM ISIN: BE0003763779 Meeting Date: 11-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE
1 MANDATE REGARDING THE AUTHORISED Non-Voting CAPITAL: REPORTING
2.I PROPOSAL - RENEWAL AND EXPANSION Mgmt For For OF AUTHORIZED CAPITAL: 50% OF THE CAPITAL AMOUNT - CAPITAL INCREASE IN CASH WITH THE OPTION FOR SHAREHOLDERS TO EXERCISE THEIR PREFERENTIAL RIGHT OR IRREDUCIBLE ALLOCATION RIGHT Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 531 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
2.II PROPOSAL - RENEWAL AND EXPANSION Mgmt For For OF AUTHORIZED CAPITAL: 50% OF THE CAPITAL AMOUNT - CAPITAL INCREASE WITHIN THE CONTEXT OF PAYING AN OPTIONAL DIVIDEND
2.III PROPOSAL - RENEWAL AND EXPANSION Mgmt For For OF AUTHORIZED CAPITAL: 10% OF THE CAPITAL AMOUNT - (A) A CAPITAL INCREASE IN KIND OR (B) A CAPITAL INCREASE BY A CONTRIBUTION IN CASH WITHOUT THE OPTION FOR SHAREHOLDERS TO EXERCISE THEIR PREFERENTIAL RIGHT OR IRREDUCIBLE ALLOCATION RIGHT OR (C) A CAPITAL INCREASE IN ANY OTHER FORM
3 PROPOSAL REGARDING ACQUISITION, Mgmt For For ACCEPTANCE AS PLEDGE AND RESALE OF SECURITIES AND CERTIFICATES THAT RELATE THERETO
4 VOLUNTARY EARLY APPLICATION OF THE Non-Voting CODE OF COMPANIES AND ASSOCIATIONS (OPT-IN) AND SWITCH TO A PUBLIC LIMITED COMPANY WITH A (ONE-TIER) BOARD OF DIRECTORS: REPORTING
5.A PROPOSAL - OPT-IN AND CONVERSION Mgmt For For
5.B PROPOSAL - DISMISSAL AND Mgmt For For PROVISIONALLY DISCHARGE OF THE STATUTORY MANAGER
5.C.I PROPOSAL - APPOINTMENT RIK Mgmt For For VANDENBERGHE
5C.II PROPOSAL - APPOINTMENT FRANK Mgmt For For MEYSMAN Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 532 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
5CIII PROPOSAL - APPOINTMENT ANNE Mgmt For For LECLERCQ
5C.IV PROPOSAL - APPOINTMENT CYNTHIA VAN Mgmt For For HULLE
5C.V PROPOSAL - APPOINTMENT JURGEN Mgmt For For INGELS
5C.VI PROPOSAL - APPOINTMENT TONY DE Mgmt For For PAUW
5CVII PROPOSAL - APPOINTMENT JOOST Mgmt For For UWENTS
5.D PROPOSAL - REMUNERATION NON- Mgmt For For EXECUTIVE DIRECTOR AND CHAIRPERSON OF THE BOARD OF DIRECTORS
6 PROPOSAL - SPLIT OF EACH SHARE WITH Mgmt For For A FACTOR OF 7
7 PROPOSAL - POWERS IN ORDER TO Mgmt For For ENSURE COMPLETION OF THE FORMALITIES
CMMT PLEASE NOTE IN THE EVENT THE Non-Voting MEETING DOES NOT REACH QUORUM, THERE WILL BE A SECOND CALL ON 30 SEP 2019. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 533 of 721 NT SMALL CAP WAVE LIFE SCIENCES LTD.
Security: Y95308105 Agenda Number: 935058506 Ticker: WVE Meeting Type: Annual ISIN: SG9999014716 Meeting Date: 08-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1a. Election of Director: Paul B. Bolno, M.D., Mgmt For For MBA
1b. Election of Director: Christian Henry Mgmt Against Against
1c. Election of Director: Peter Kolchinsky, Ph.D. Mgmt For For
1d. Election of Director: Koji Miura Mgmt For For
1e. Election of Director: Adrian Rawcliffe Mgmt For For
1f. Election of Director: Ken Takanashi Mgmt For For
1g. Election of Director: Gregory L. Verdine, Mgmt For For Ph.D.
2. To approve the re-appointment of KPMG LLP Mgmt For For 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 Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 534 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3. To approve the Company's payment of cash Mgmt For For 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"
4. To authorize the Board of Directors to allot Mgmt For For and issue Ordinary Shares of Wave Life Sciences Ltd.
5. To approve the Company's 2019 Employee Mgmt For For Share Purchase Plan
6. To approve by a non-binding advisory vote Mgmt For For the compensation of our named executive officers as disclosed in the proxy statement
7. To approve by a non-binding advisory vote Mgmt 1 Year For the frequency of holding future advisory votes on the compensation of our named executive officers Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 535 of 721 NT SMALL CAP WERELDHAVE NV
Security: N95060120 Agenda Number: 711249486 Ticker: Meeting Type: EGM ISIN: NL0000289213 Meeting Date: 09-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 OPENING OF THE GENERAL MEETING Non-Voting
2 IT IS PROPOSED TO APPOINT M.STORM Mgmt For For AS MEMBER OF THE MANAGING BOARD AND CEO. THE APPOINTMENT WILL BE MADE FOR A PERIOD OF 3 YEARS AND 9 MONTHS, STARTING AUGUST 1, 2019 UNTIL THE CONCLUSION OF THE ANNUAL GENERAL MEETING IN APRIL 2023
3 ANY OTHER BUSINESS Non-Voting
4 CLOSING OF THE GENERAL MEETING Non-Voting Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 536 of 721 NT SMALL CAP WORKSPACE GROUP PLC
Security: G5595E136 Agenda Number: 711312936 Ticker: Meeting Type: AGM ISIN: GB00B67G5X01 Meeting Date: 11-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE AND ADOPT THE ANNUAL Mgmt For For REPORT AND ACCOUNTS
2 TO APPROVE THE 2019 ANNUAL Mgmt For For REMUNERATION REPORT (OTHER THAN THE PART CONTAINING THE COMPANY'S REMUNERATION POLICY) AS SET OUT IN THE ANNUAL REPORT AND ACCOUNTS
3 TO DECLARE A FINAL DIVIDEND OF 22.26 Mgmt For For PENCE PER ORDINARY SHARE IN RESPECT OF THE FINANCIAL YEAR ENDED 31 MARCH 2019
4 TO RE-ELECT MR DANIEL KITCHEN AS A Mgmt Against Against DIRECTOR
5 TO RE-ELECT MR GRAHAM CLEMETT AS Mgmt For For A DIRECTOR
6 TO RE-ELECT DR MARIA MOLONEY AS A Mgmt For For DIRECTOR
7 TO RE-ELECT MR CHRIS GIRLING AS A Mgmt For For DIRECTOR
8 TO RE-ELECT MR DAMON RUSSELL AS A Mgmt For For DIRECTOR
9 TO RE-ELECT MR STEPHEN HUBBARD AS Mgmt Against Against A DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 537 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO RE-ELECT MS ISHBEL MACPHERSON Mgmt For For AS A DIRECTOR
11 TO RE-APPOINT KPMG LLP AS AUDITORS Mgmt For For OF THE COMPANY
12 TO AUTHORISE THE BOARD, ACTING Mgmt For For THROUGH THE AUDIT COMMITTEE, TO DETERMINE THE REMUNERATION OF THE AUDITORS
13 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT EQUITY SECURITIES
14 TO AUTHORISE THE COMPANY TO MAKE Mgmt For For POLITICAL DONATIONS
15 TO DISAPPLY PRE-EMPTION RIGHTS Mgmt For For
16 TO AUTHORISE THE COMPANY TO MAKE Mgmt For For MARKET PURCHASES OF ITS OWN ORDINARY SHARES
17 TO AUTHORISE A GENERAL MEETING Mgmt For For (OTHER THAN AN ANNUAL GENERAL MEETING) OF THE COMPANY TO BE CALLED ON NOT LESS THAN 14 CLEAR DAYS' NOTICE
CMMT 12 JUN 2019: PLEASE NOTE THAT THIS IS Non-Voting A REVISION DUE TO MODIFICATION OF TEXT OF RESOLUTIONS 10 AND 12. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 538 of 721 NT SMALL CAP WORLD ACCEPTANCE CORPORATION
Security: 981419104 Agenda Number: 935061781 Ticker: WRLD Meeting Type: Annual ISIN: US9814191048 Meeting Date: 22-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Ken R. Bramlett, Jr. Mgmt For For
2 R. Chad Prashad Mgmt For For
3 Scott J. Vassalluzzo Mgmt Withheld Against
4 Charles D. Way Mgmt For For
5 Darrell E. Whitaker Mgmt For For
2. APPROVE, ON AN ADVISORY (NON- Mgmt For For BINDING) BASIS, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS
3. RATIFY THE APPOINTMENT OF RSM US Mgmt For For LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 539 of 721 NT SMALL CAP WORTHINGTON INDUSTRIES, INC.
Security: 981811102 Agenda Number: 935069321 Ticker: WOR Meeting Type: Annual ISIN: US9818111026 Meeting Date: 25-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. DIRECTOR
1 Kerrii B. Anderson Mgmt For For
2 David P. Blom Mgmt For For
3 John P. McConnell Mgmt For For
4 Mary Schiavo Mgmt For For
2. Approval of advisory resolution on executive Mgmt For For compensation.
3. Approval of the Fourth Amendment to the Mgmt For For Worthington Industries, Inc. Amended and Restated 1997 Long-Term Incentive Plan, to authorize 1,500,000 additional common shares.
4. Ratification of selection of KPMG LLP as the Mgmt For For independent registered public accounting firm of the Company for the fiscal year ending May 31, 2020. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 540 of 721 NT SMALL CAP XXL ASA
Security: R989MJ109 Agenda Number: 711330528 Ticker: Meeting Type: EGM ISIN: NO0010716863 Meeting Date: 11-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT SHARES HELD IN AN OMNIBUS/NOMINEE Non-Voting ACCOUNT NEED TO BE RE-REGISTERED IN THE BENEFICIAL OWNERS NAME TO BE ALLOWED TO VOTE AT MEETINGS. SHARES WILL BE TEMPORARILY TRANSFERRED TO A SEPARATE ACCOUNT IN THE BENEFICIAL OWNER'S NAME ON THE PROXY DEADLINE AND TRANSFERRED BACK TO THE OMNIBUS/NOMINEE ACCOUNT THE DAY AFTER THE MEETING.
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED
1 ELECTION OF A CHAIRPERSON OF THE Mgmt No vote MEETING AND A PERSON TO CO-SIGN THE MINUTES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 541 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
2 APPROVAL OF THE NOTICE AND THE Mgmt No vote AGENDA
3 AMENDED UTILIZATION OF TREASURY Mgmt No vote SHARES ACQUIRED PURSUANT TO A BOARD AUTHORIZATION
4 ELECT HUGO MAURSTAD AS NEW Mgmt No vote DIRECTOR
CMMT 27 JUN 2019: PLEASE NOTE THAT THIS IS Non-Voting A REVISION DUE TO CHANGE IN RECORD DATE AND MODIFICATION OF THE TEXT OF RESOLUTION 4. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 542 of 721 Northern Trust ACTIVIA PROPERTIES INC.
Security: J00089102 Agenda Number: 711459544 Ticker: Meeting Type: EGM ISIN: JP3047490002 Meeting Date: 09-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 Amend Articles to: Change Company Mgmt For For Location within TOKYO, Update the Structure of Fee to be received by Asset Management Firm
2 Appoint an Executive Director Sato, Kazushi Mgmt For For
3 Appoint a Substitute Executive Director Mgmt For For Murayama, Kazuyuki
4.1 Appoint a Supervisory Director Yamada, Mgmt For For Yonosuke
4.2 Appoint a Supervisory Director Ariga, Mgmt For For Yoshinori Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 543 of 721 Northern Trust ATRIUM EUROPEAN REAL ESTATE LIMITED
Security: G0621C113 Agenda Number: 711385422 Ticker: Meeting Type: AGM ISIN: JE00B3DCF752 Meeting Date: 24-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 THAT THE ACCOUNTS OF THE COMPANY Mgmt For For FOR THE YEAR ENDED 31 DECEMBER 2018 AND THE REPORT OF THE DIRECTORS AND AUDITORS THEREON BE AND ARE HEREBY RECEIVED
2 THAT CHAIM KATZMAN BE AND IS Mgmt Against Against HEREBY RE-ELECTED AS A DIRECTOR OF THE COMPANY
3 THAT MICHAEL ERRICHETTI BE AND IS Mgmt Against Against HEREBY RE-ELECTED AS A DIRECTOR OF THE COMPANY
4 THAT NEIL FLANZRAICH BE AND IS Mgmt Against Against HEREBY RE-ELECTED AS A DIRECTOR OF THE COMPANY
5 THAT SIMON RADFORD BE AND IS Mgmt Against Against HEREBY RE-ELECTED AS A DIRECTOR OF THE COMPANY
6 THAT ANDREW WIGNALL BE AND IS Mgmt Against Against HEREBY RE-ELECTED AS A DIRECTOR OF THE COMPANY
7 THAT LUCY LILLEY BE AND IS HEREBY Mgmt Against Against RE-ELECTED AS A DIRECTOR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 544 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8 THAT PRICEWATERHOUSECOOPERS CI Mgmt For For LLP BE AND ARE HEREBY REAPPOINTED AS THE COMPANY'S AUDITORS
9 THAT THE DIRECTORS BE AND ARE Mgmt For For HEREBY AUTHORISED TO AGREE THE AUDITORS' REMUNERATION
10 THAT THE COMPANY BE AND IS HEREBY Mgmt For For GENERALLY AND UNCONDITIONALLY AUTHORISED IN ACCORDANCE WITH THE COMPANIES (JERSEY) LAW 1991, AS AMENDED, TO MAKE PURCHASES OF ITS SHARES (EITHER FOR RETENTION AS TREASURY SHARES FOR RESALE OR TRANSFER, OR FOR CANCELLATION), PROVIDED THAT: (A) THE MAXIMUM NUMBER OF SHARES AUTHORISED TO BE PURCHASED IS 50 MILLION SHARES IN THE CAPITAL OF THE COMPANY; (B) THE MINIMUM PRICE (EXCLUSIVE OF EXPENSES) WHICH MAY BE PAID FOR A SHARE SHALL BE EUR 0.01; (C) THE MAXIMUM PRICE (EXCLUSIVE OF EXPENSES) WHICH MAY BE PAID FOR A SHARE IS, IN RESPECT OF A SHARE CONTRACTED TO BE PURCHASED ON ANY DAY, AN AMOUNT EQUAL TO THE EPRA NET ASSET VALUE ("EPRA NAV") PER SHARE LAST PUBLISHED BY THE COMPANY PRIOR TO THE DATE ON WHICH THE SHARES ARE CONTRACTED TO BE PURCHASED; (D) THE AUTHORITY HEREBY CONFERRED SHALL EXPIRE AT THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY FOLLOWING THE PASSING OF THIS RESOLUTION, UNLESS SUCH AUTHORITY IS VARIED, REVOKED OR RENEWED PRIOR TO SUCH TIME BY A SPECIAL RESOLUTION OF THE COMPANY IN A GENERAL MEETING, AND IN ANY EVENT THIS AUTHORITY SHALL EXPIRE NO LATER THAN 31 JULY 2020; AND (E) THE COMPANY MAY CONCLUDE A CONTRACT TO PURCHASE SHARES UNDER THE AUTHORITY HEREBY CONFERRED PRIOR TO THE EXPIRY OF SUCH AUTHORITY WHICH WILL OR MAY BE COMPLETED WHOLLY OR PARTLY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 545 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
AFTER SUCH EXPIRY, AND MAY MAKE A PURCHASE OF SHARES IN PURSUANCE OF ANY SUCH CONTRACT AS IF THE AUTHORITY HEREBY CONFERRED HAD NOT EXPIRED. IN THIS SPECIAL RESOLUTION A REFERENCE TO A SHARE SHALL MEAN AN ORDINARY SHARE IN THE CAPITAL OF THE COMPANY OR A BOOK ENTRY INTEREST IN SHARES AND REFERENCE TO BUSINESS DAY SHALL MEAN A DAY ON WHICH THE RELEVANT MARKET IS OPEN FOR BUSINESS (OTHER THAN A DAY ON WHICH THE RELEVANT MARKET IS SCHEDULED TO OR DOES CLOSE PRIOR TO ITS REGULAR WEEKDAY CLOSING TIME)
11 THAT THE DIRECTORS BE GENERALLY Mgmt For For AND UNCONDITIONALLY AUTHORISED TO ISSUE SHARES AND/OR SECURITIES CONVERTIBLE INTO SHARES ("CONVERTIBLE SECURITIES"), PROVIDED THAT (1) THE SHARES SO ISSUED AND (2) THE SHARES THAT WOULD BE ISSUED FOLLOWING THE CONVERSION OF ANY SUCH CONVERTIBLE SECURITIES DO NOT EXCEED AN AGGREGATE OF 75 MILLION SHARES, TO SUCH PERSONS AT SUCH TIMES AND GENERALLY ON SUCH TERMS AND CONDITIONS AS THEY THINK FIT FOR A PERIOD EXPIRING AT THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY FOLLOWING THE PASSING OF THIS RESOLUTION, UNLESS THIS AUTHORITY IS VARIED, REVOKED OR RENEWED PRIOR TO SUCH TIME BY A SPECIAL RESOLUTION OF THE COMPANY IN A GENERAL MEETING, AND IN ANY EVENT THIS AUTHORITY SHALL EXPIRE NO LATER THAN 31 JULY 2020, AND TO MAKE AN OFFER OR AGREEMENT PURSUANT TO THIS AUTHORITY PRIOR TO THE EXPIRY OF THIS AUTHORITY WHICH WOULD OR MIGHT REQUIRE SHARES AND/OR CONVERTIBLE SECURITIES TO BE ISSUED AFTER THE EXPIRY OF THIS AUTHORITY AND THE DIRECTORS MAY ISSUE SHARES AND/OR CONVERTIBLE SECURITIES PURSUANT TO THAT OFFER OR AGREEMENT AS IF THE AUTHORITY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 546 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
HEREBY CONFERRED HAD NOT EXPIRED. IN THIS SPECIAL RESOLUTION A REFERENCE TO A SHARE SHALL MEAN AN ORDINARY SHARE IN THE CAPITAL OF THE COMPANY
CMMT PLEASE NOTE THAT THIS IS AN Non-Voting AMENDMENT TO MEETING ID 267103 DUE TO RECEIPT OF UPDATED AGENDA. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 547 of 721 Northern Trust BIG YELLOW GROUP PLC
Security: G1093E108 Agenda Number: 711329866 Ticker: Meeting Type: AGM ISIN: GB0002869419 Meeting Date: 19-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE DIRECTORS' REPORT Mgmt For For AND ACCOUNTS AND THE AUDITORS' REPORT THEREON FOR THE YEAR ENDED 31 MARCH 2019
2 TO APPROVE THE DIRECTORS' Mgmt Against Against REMUNERATION REPORT FOR THE YEAR ENDED 31 MARCH 2019 (OTHER THAN THE PART CONTAINING THE DIRECTORS' REMUNERATION POLICY)
3 TO DECLARE A FINAL DIVIDEND: 16.5 Mgmt For For PENCE PER ORDINARY SHARE
4 TO RE-ELECT RICHARD COTTON AS A Mgmt For For DIRECTOR
5 TO RE-ELECT JAMES GIBSON AS A Mgmt For For DIRECTOR
6 TO RE-ELECT GEORGINA HARVEY AS A Mgmt For For DIRECTOR
7 TO RE-ELECT STEVE JOHNSON AS A Mgmt For For DIRECTOR
8 TO RE-ELECT DR ANNA KEAY AS A Mgmt For For DIRECTOR
9 TO RE-ELECT ADRIAN LEE AS A Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 548 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO RE-ELECT VINCE NIBLETT AS A Mgmt For For DIRECTOR
11 TO RE-ELECT JOHN TROTMAN AS A Mgmt For For DIRECTOR
12 TO RE-ELECT NICHOLAS VETCH AS A Mgmt For For DIRECTOR
13 TO RE-APPOINT KPMG LLP AS AUDITORS Mgmt For For OF THE COMPANY
14 TO AUTHORISE THE DIRECTORS TO Mgmt For For DETERMINE THE AUDITORS' REMUNERATION
15 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT SHARES PURSUANT TO SECTION 551 OF THE COMPANIES ACT 2006
16 TO EMPOWER THE DIRECTORS TO ALLOT Mgmt For For EQUITY SECURITIES AND/OR SELL EQUITY SECURITIES HELD AS TREASURY SHARES AS IF SECTION 561 OF THE COMPANIES ACT 2006 DID NOT APPLY
17 TO AUTHORISE THE DIRECTORS TO Mgmt For For DISAPPLY STATUTORY PRE-EMPTION RIGHTS IN RESPECT OF AN ADDITIONAL 5% OF THE COMPANY'S ISSUED SHARE CAPITAL, IN CERTAIN CIRCUMSTANCES
18 TO AUTHORISE THE COMPANY TO Mgmt For For PURCHASE ITS OWN SHARES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 549 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
19 TO AUTHORISE THE DIRECTORS TO CALL Mgmt For For A GENERAL MEETING OF THE COMPANY, OTHER THAN AN ANNUAL GENERAL MEETING, ON NOT LESS THAN 14 CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 550 of 721 Northern Trust BRITISH LAND COMPANY PLC
Security: G15540118 Agenda Number: 711315021 Ticker: Meeting Type: AGM ISIN: GB0001367019 Meeting Date: 19-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE ANNUAL REPORT AND Mgmt For For AUDITED FINANCIAL STATEMENTS FOR THE YEAR ENDED 31 MARCH 2019
2 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT FOR THE YEAR ENDED 31 MARCH 2019
3 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION POLICY
4 TO DECLARE A FINAL DIVIDEND Mgmt For For
5 TO RE-ELECT SIMON CARTER AS A Mgmt For For DIRECTOR
6 TO RE-ELECT LYNN GLADDEN AS A Mgmt For For DIRECTOR
7 TO RE-ELECT CHRIS GRIGG AS A Mgmt For For DIRECTOR
8 TO RE-ELECT ALASTAIR HUGHES AS A Mgmt For For DIRECTOR
9 TO RE-ELECT WILLIAM JACKSON AS A Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 551 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO RE-ELECT NICHOLAS MACPHERSON Mgmt For For AS A DIRECTOR
11 TO RE-ELECT PREBEN PREBENSEN AS A Mgmt For For DIRECTOR
12 TO RE-ELECT TIM SCORE AS A DIRECTOR Mgmt For For
13 TO RE-ELECT LAURA WADE-GERY AS A Mgmt For For DIRECTOR
14 TO RE-ELECT REBECCA WORTHINGTON Mgmt For For AS A DIRECTOR
15 TO RE-APPOINT Mgmt For For PRICEWATERHOUSECOOPERS LLP AS AUDITOR OF THE COMPANY
16 TO AUTHORISE THE AUDIT COMMITTEE Mgmt For For TO AGREE THE AUDITOR'S REMUNERATION
17 TO AUTHORISE THE COMPANY TO MAKE Mgmt For For POLITICAL DONATIONS AND POLITICAL EXPENDITURE OF NOT MORE THAN GBP 20,000 IN TOTAL
18 TO AUTHORISE THE DIRECTORS TO PAY Mgmt For For DIVIDENDS AS SHARES (SCRIP DIVIDENDS)
19 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT SHARES, UP TO A LIMITED AMOUNT Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 552 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
20 TO EMPOWER THE DIRECTORS TO ALLOT Mgmt For For SHARES FOR CASH, WITHOUT MAKING A PRE-EMPTIVE OFFER TO SHAREHOLDERS, UP TO THE SPECIFIED AMOUNT
21 TO EMPOWER THE DIRECTORS TO ALLOT Mgmt For For ADDITIONAL SHARES FOR CASH, WITHOUT MAKING A PRE-EMPTIVE OFFER TO SHAREHOLDERS, UP TO THE SPECIFIED AMOUNT FOR USE IN CONNECTION WITH AN ACQUISITION OR CAPITAL INVESTMENT
22 TO AUTHORISE THE COMPANY TO Mgmt For For PURCHASE ITS OWN SHARES, UP TO THE SPECIFIED LIMIT
23 TO AUTHORISE THE CALLING OF Mgmt For For GENERAL MEETINGS (OTHER THAN AN ANNUAL GENERAL MEETING) ON NOT LESS THAN 14 CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 553 of 721 Northern Trust CAPITALAND COMMERCIAL TRUST
Security: Y1091N100 Agenda Number: 711502080 Ticker: Meeting Type: EGM ISIN: SG1P32918333 Meeting Date: 06-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT SHAREHOLDERS Non-Voting ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR RESOLUTION 1, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING
1 TO APPROVE THE PROPOSED Mgmt For For ACQUISITION OF 94.9% OF THE SHARES IN THE COMPANIES WHICH HOLD MAIN AIRPORT CENTER Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 554 of 721 Northern Trust FRASERS LOGISTICS & INDUSTRIAL TRUST
Security: Y26465107 Agenda Number: 711465763 Ticker: Meeting Type: EGM ISIN: SG1CI9000006 Meeting Date: 20-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT SHAREHOLDERS Non-Voting ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR RESOLUTION 1 , ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING
1 TO APPROVE THE PROPOSED Mgmt For For ACQUISITION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 555 of 721 Northern Trust GREAT PORTLAND ESTATES PLC
Security: G40712211 Agenda Number: 711269779 Ticker: Meeting Type: AGM ISIN: GB00BF5H9P87 Meeting Date: 04-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE AUDITED FINANCIAL Mgmt For For STATEMENTS TOGETHER WITH THE DIRECTORS' AND AUDITOR'S REPORTS FOR THE YEAR ENDED 31 MARCH 2019
2 TO DECLARE A FINAL DIVIDEND FOR THE Mgmt For For YEAR ENDED 31 MARCH 2019
3 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT
4 TO RE-ELECT TOBY COURTAULD AS A Mgmt For For DIRECTOR OF THE COMPANY
5 TO RE-ELECT NICK SANDERSON AS A Mgmt For For DIRECTOR OF THE COMPANY
6 TO RE-ELECT RICHARD MULLY AS A Mgmt For For DIRECTOR OF THE COMPANY
7 TO RE-ELECT CHARLES PHILIPPS AS A Mgmt For For DIRECTOR OF THE COMPANY
8 TO RE-ELECT WENDY BECKER AS A Mgmt For For DIRECTOR OF THE COMPANY
9 TO RE-ELECT NICK HAMPTON AS A Mgmt For For DIRECTOR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 556 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO RE-ELECT ALISON ROSE AS A Mgmt For For DIRECTOR OF THE COMPANY
11 TO REAPPOINT DELOITTE LLP AS Mgmt For For AUDITOR
12 TO AUTHORISE THE AUDIT COMMITTEE Mgmt For For TO AGREE THE REMUNERATION OF THE AUDITOR
13 TO RENEW THE DIRECTORS' AUTHORITY Mgmt For For TO ALLOT SHARES
14 TO RENEW THE DIRECTORS' LIMITED Mgmt For For AUTHORITY TO ALLOT SHARES FOR CASH
15 TO GIVE THE DIRECTORS ADDITIONAL Mgmt For For LIMITED AUTHORITY TO ALLOT SHARES FOR CASH IN CONNECTION WITH AN ACQUISITION OR SPECIFIED CAPITAL INVESTMENT, AND INCLUDING DEVELOPMENT AND/OR REFURBISHMENT EXPENDITURE
16 TO RENEW THE AUTHORITY ENABLING Mgmt For For THE COMPANY TO BUY ITS OWN SHARES
17 TO AUTHORISE THE CALLING OF Mgmt For For GENERAL MEETINGS (OTHER THAN AN ANNUAL GENERAL MEETING) ON NOT LESS THAN 14 CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 557 of 721 Northern Trust HEIWA REAL ESTATE REIT,INC.
Security: J1927C101 Agenda Number: 711498178 Ticker: Meeting Type: EGM ISIN: JP3046220004 Meeting Date: 30-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 Amend Articles to: Increase Quorum Mgmt For For Requirement for Investors Meeting Resolutions, Update the Articles Related to Stipulating the Terms of Accounting Auditor's Fee, Update the Structure of Fee to be received by Asset Management Firm, Approve Minor Revisions
2 Appoint an Executive Director Motomura, Aya Mgmt For For
3 Appoint a Substitute Executive Director Mgmt For For Ichikawa, Takaya
4.1 Appoint a Supervisory Director Katayama, Mgmt For For Noriyuki
4.2 Appoint a Supervisory Director Suzuki, Toshio Mgmt Against Against Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 558 of 721 Northern Trust HIBERNIA REIT PLC
Security: G4432Z105 Agenda Number: 711363957 Ticker: Meeting Type: AGM ISIN: IE00BGHQ1986 Meeting Date: 31-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 CONSIDERATION OF THE ANNUAL Mgmt For For REPORT AND REPORTS OF THE DIRECTORS AND AUDITOR
2 TO DECLARE A FINAL DIVIDEND OF 2.0 Mgmt For For CENT PER SHARE
3.A TO RE-APPOINT THE FOLLOWING Mgmt Against Against DIRECTOR: DANIEL KITCHEN
3.B TO RE-APPOINT THE FOLLOWING Mgmt For For DIRECTOR: KEVIN NOWLAN
3.C TO RE-APPOINT THE FOLLOWING Mgmt For For DIRECTOR: THOMAS EDWARDS-MOSS
3.D TO RE-APPOINT THE FOLLOWING Mgmt For For DIRECTOR: COLM BARRINGTON
3.E TO RE-APPOINT THE FOLLOWING Mgmt For For DIRECTOR: ROISIN BRENNAN
3.F TO RE-APPOINT THE FOLLOWING Mgmt For For DIRECTOR: STEWART HARRINGTON
3.G TO RE-APPOINT THE FOLLOWING Mgmt For For DIRECTOR: FRANK KENNY
3.H TO RE-APPOINT THE FOLLOWING Mgmt For For DIRECTOR: TERENCE O'ROURKE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 559 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4 TO AUTHORISE THE DIRECTORS TO Mgmt For For DETERMINE THE REMUNERATION OF THE AUDITOR
5 TO CONSIDER THE CONTINUATION IN Mgmt For For OFFICE OF THE AUDITOR: DELOITTE
6 AUTHORITY TO ALLOT RELEVANT Mgmt For For SECURITIES UP TO CUSTOMARY LIMITS
7 TO RECEIVE AND CONSIDER THE Mgmt Against Against DIRECTORS' ANNUAL REPORT ON REMUNERATION
8 TO AUTHORISE THE DIRECTORS TO Mgmt For For HOLD CERTAIN EGMS ON 14 DAYS' NOTICE
9 AUTHORITY TO DISAPPLY STATUTORY Mgmt For For PRE-EMPTION RIGHTS IN SPECIFIED CIRCUMSTANCES
10 AUTHORITY TO DISAPPLY PRE-EMPTION Mgmt For For RIGHTS IN ADDITIONAL SPECIFIED CIRCUMSTANCES
11 AUTHORITY TO MAKE MARKET Mgmt For For PURCHASES AND OVERSEAS MARKET PURCHASES OF THE COMPANY'S OWN SHARES
12 DETERMINATION OF THE PRICE RANGE Mgmt For For FOR THE RE-ISSUE OF TREASURY SHARES OFF-MARKET
13 TO APPROVE THE COMPANY'S CAPITAL Mgmt For For REORGANISATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 560 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT 05 JUL 2019: PLEASE NOTE THAT THIS IS Non-Voting A REVISION DUE TO RECEIPT OF AUDITOR NAME. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 561 of 721 Northern Trust JAPAN EXCELLENT,INC.
Security: J2739K109 Agenda Number: 711548163 Ticker: Meeting Type: EGM ISIN: JP3046420000 Meeting Date: 26-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 Appoint an Executive Director Ogawa, Mgmt For For Hidehiko
2 Appoint a Substitute Executive Director Mgmt For For Sasaki, Toshihiko
3.1 Appoint a Supervisory Director Maekawa, Mgmt For For Shunichi
3.2 Appoint a Supervisory Director Takagi, Eiji Mgmt Against Against
3.3 Appoint a Supervisory Director Hirakawa, Mgmt For For Osamu Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 562 of 721 Northern Trust JAPAN PRIME REALTY INVESTMENT CORPORATION
Security: J2741H102 Agenda Number: 711513211 Ticker: Meeting Type: EGM ISIN: JP3040890000 Meeting Date: 05-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 Amend Articles to: Update the Structure of Mgmt For For Fee to be received by Asset Management Firm, Expand Investment Lines
2 Appoint an Executive Director Jozaki, Mgmt For For Yoshihiro
3 Appoint a Substitute Executive Director Mgmt For For Nomura, Yoshinaga
4.1 Appoint a Supervisory Director Denawa, Mgmt For For Masato
4.2 Appoint a Supervisory Director Kusanagi, Mgmt For For Nobuhisa
5 Appoint a Substitute Supervisory Director Mgmt For For Kawaguchi, Akihiro Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 563 of 721 Northern Trust LAND SECURITIES GROUP PLC R.E.I.T
Security: G5375M142 Agenda Number: 711311629 Ticker: Meeting Type: AGM ISIN: GB00BYW0PQ60 Meeting Date: 11-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE 2019 ANNUAL REPORT Mgmt For For
2 TO APPROVE THE ANNUAL REPORT ON Mgmt Against Against REMUNERATION
3 TO DECLARE A FINAL DIVIDEND OF 11.65P Mgmt For For PER ORDINARY SHARE
4 TO ELECT MADELEINE COSGRAVE AS A Mgmt For For DIRECTOR
5 TO ELECT CHRISTOPHE EVAIN AS A Mgmt For For DIRECTOR
6 TO RE-ELECT ROBERT NOEL AS A Mgmt For For DIRECTOR
7 TO RE-ELECT MARTIN GREENSLADE AS A Mgmt For For DIRECTOR
8 TO RE-ELECT COLETTE OSHEA AS A Mgmt For For DIRECTOR
9 TO RE-ELECT CHRISTOPHER BARTRAM Mgmt For For AS DIRECTOR
10 TO RE-ELECT EDWARD BONHAM CARTER Mgmt For For AS A DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 564 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 TO RE-ELECT NICHOLAS CADBURY AS A Mgmt For For DIRECTOR
12 TO RE-ELECT CRESSIDA HOGG AS A Mgmt For For DIRECTOR
13 TO RE-ELECT STACEY RAUCH AS A Mgmt For For DIRECTOR
14 TO RE-APPOINT ERNST AND YOUNG LLP Mgmt For For AS AUDITOR
15 TO AUTHORISE THE DIRECTORS TO Mgmt For For DETERMINE THE REMUNERATION OF THE AUDITOR
16 TO AUTHORISE THE COMPANY TO MAKE Mgmt For For POLITICAL DONATIONS
17 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT SECURITIES
18 TO AUTHORISE THE DIRECTORS TO Mgmt For For DISAPPLY PRE-EMPTION RIGHTS
19 TO AUTHORISE THE DIRECTORS TO Mgmt For For DISAPPLY PRE-EMPTION RIGHTS FOR THE PURPOSES OF ACQUISITIONS OR CAPITAL INVESTMENTS
20 TO AUTHORISE THE COMPANY TO MAKE Mgmt For For MARKET PURCHASES OF ITS OWN SHARES
21 TO ADOPT NEW ARTICLES OF Mgmt For For ASSOCIATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 565 of 721 Northern Trust LINK REAL ESTATE INVESTMENT TRUST
Security: Y5281M111 Agenda Number: 711328787 Ticker: Meeting Type: AGM ISIN: HK0823032773 Meeting Date: 24-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE IN THE HONG KONG Non-Voting MARKET THAT A VOTE OF "ABSTAIN" WILL BE TREATED THE SAME AS A "TAKE NO ACTION" VOTE.
CMMT PLEASE NOTE THAT THE COMPANY Non-Voting NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING ON THE URL LINKS: https://www1.hkexnews.hk/listedco/listconews /sehk/2019/0620/ltn20190620924.pdf AND https://www1.hkexnews.hk/listedco/listconews /sehk/2019/0620/ltn20190620938.pdf
3.1 TO RE-ELECT MR ED CHAN YIU CHEONG Mgmt For For AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR
3.2 TO RE-ELECT MR BLAIR CHILTON Mgmt For For PICKERELL AS AN INDEPENDENT NON- EXECUTIVE DIRECTOR
3.3 TO RE-ELECT MS MAY SIEW BOI TAN AS Mgmt For For AN INDEPENDENT NON-EXECUTIVE DIRECTOR
4 TO GRANT A GENERAL MANDATE TO THE Mgmt For For MANAGER TO BUY BACK UNITS OF LINK Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 566 of 721 Northern Trust LONDONMETRIC PROPERTY PLC
Security: G5689W109 Agenda Number: 711316124 Ticker: Meeting Type: AGM ISIN: GB00B4WFW713 Meeting Date: 11-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO CONSIDER AND APPROVE THE Mgmt For For ANNUAL REPORT AND AUDITED FINANCIAL STATEMENTS FOR THE YEAR ENDED 31 MARCH 2019
2 TO APPROVE THE ANNUAL REPORT ON Mgmt For For REMUNERATION IN THE FORM SET OUT IN THE ANNUAL REPORT AND AUDITED FINANCIAL STATEMENTS FOR THE YEAR ENDED 31 MARCH 2019
3 TO REAPPOINT DELOITTE LLP AS Mgmt For For AUDITOR OF THE COMPANY, TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT GENERAL MEETING AT WHICH ACCOUNTS ARE LAID BEFORE THE COMPANY
4 TO AUTHORISE THE DIRECTORS TO Mgmt For For DETERMINE THE REMUNERATION OF THE AUDITOR
5 TO APPROVE THE RE-ELECTION OF Mgmt For For PATRICK VAUGHAN AS A DIRECTOR
6 TO APPROVE THE RE-ELECTION OF Mgmt For For ANDREW JONES AS A DIRECTOR
7 TO APPROVE THE RE-ELECTION OF Mgmt For For MARTIN MCGANN AS A DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 567 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8 TO APPROVE THE RE-ELECTION OF Mgmt For For JAMES DEAN AS A DIRECTOR
9 TO APPROVE THE RE-ELECTION OF Mgmt For For ROSALYN WILTON AS A DIRECTOR
10 TO APPROVE THE RE-ELECTION OF Mgmt For For ANDREW LIVINGSTON AS A DIRECTOR
11 TO APPROVE THE RE-ELECTION OF Mgmt For For SUZANNE AVERY AS A DIRECTOR
12 TO APPROVE THE ELECTION OF ROBERT Mgmt For For FOWLDS AS A DIRECTOR
13 TO AUTHORISE THE DIRECTORS, IN Mgmt For For ACCORDANCE WITH SECTION 551 OF THE COMPANIES ACT 2006, TO ALLOT SHARES AND EQUITY SECURITIES IN THE COMPANY
14 TO AUTHORISE THE DIRECTORS TO Mgmt For For OFFER ORDINARY SHARES IN LIEU OF A CASH DIVIDEND
15 TO DISAPPLY SECTION 561 OF THE Mgmt For For COMPANIES ACT 2006 IN RESPECT OF ALLOTMENTS
16 TO DISAPPLY SECTION 561 OF THE Mgmt For For COMPANIES ACT 2006 IN RESPECT OF SPECIFIED ALLOTMENTS
17 TO AUTHORISE THE COMPANY, IN Mgmt For For ACCORDANCE WITH SECTION 701 OF THE COMPANIES ACT 2006, TO MAKE MARKET PURCHASES OF ORDINARY SHARES IN THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 568 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
18 TO AUTHORISE THE COMPANY TO CALL Mgmt For For ANY GENERAL MEETING (OTHER THAN AN ANNUAL GENERAL MEETING) OF THE COMPANY ON NOTICE OF AT LEAST 14 CLEAR DAYS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 569 of 721 Northern Trust NEWRIVER REIT PLC
Security: G64950101 Agenda Number: 711332255 Ticker: Meeting Type: AGM ISIN: GB00BD7XPJ64 Meeting Date: 25-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 ACCEPT FINANCIAL STATEMENTS AND Mgmt For For STATUTORY REPORTS
2 APPROVE REMUNERATION REPORT Mgmt For For
3 ELECT COLIN RUTHERFORD AS Mgmt For For DIRECTOR
4 RE-ELECT MARGARET FORD AS Mgmt For For DIRECTOR
5 RE-ELECT DAVID LOCKHART AS Mgmt For For DIRECTOR
6 RE-ELECT ALLAN LOCKHART AS Mgmt For For DIRECTOR
7 RE-ELECT MARK DAVIES AS DIRECTOR Mgmt For For
8 RE-ELECT KAY CHALDECOTT AS Mgmt For For DIRECTOR
9 RE-ELECT ALASTAIR MILLER AS Mgmt For For DIRECTOR
10 RATIFY PRICEWATERHOUSECOOPERS Mgmt For For LLP AS AUDITORS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 570 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 AUTHORISE THE AUDIT COMMITTEE TO Mgmt For For FIX REMUNERATION OF AUDITORS
12 APPROVE INTERIM DIVIDENDS Mgmt For For
13 AUTHORISE ISSUE OF EQUITY Mgmt For For
14 AUTHORISE ISSUE OF EQUITY WITHOUT Mgmt For For PRE-EMPTIVE RIGHTS
15 AUTHORISE ISSUE OF EQUITY WITHOUT Mgmt For For PRE-EMPTIVE RIGHTS IN CONNECTION WITH AN ACQUISITION OR OTHER CAPITAL INVESTMENT
16 AUTHORISE MARKET PURCHASE OF Mgmt For For ORDINARY SHARES
17 AUTHORISE THE COMPANY TO CALL Mgmt For For GENERAL MEETING WITH TWO WEEKS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 571 of 721 Northern Trust NIPPON REIT INVESTMENT CORPORATION
Security: J5530Q100 Agenda Number: 711534570 Ticker: Meeting Type: EGM ISIN: JP3047750009 Meeting Date: 20-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 Amend Articles to: Update the Articles Mgmt For For Related to Stipulating the Terms of Accounting Auditor's Fee, Update the Structure of Fee to be received by Asset Management Firm
2 Appoint an Executive Director Sugita, Toshio Mgmt For For
3 Appoint a Substitute Executive Director Mgmt For For Hayashi, Yukihiro
4.1 Appoint a Supervisory Director Shimada, Mgmt Against Against Yasuhiro
4.2 Appoint a Supervisory Director Yahagi, Mgmt For For Hisashi
5 Appoint a Substitute Supervisory Director Mgmt For For Tsuchihashi, Yasuko Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 572 of 721 Northern Trust SCHRODER REAL ESTATE INVESTMENT TRUST LTD
Security: G8094P107 Agenda Number: 711496528 Ticker: Meeting Type: AGM ISIN: GB00B01HM147 Meeting Date: 18-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE, CONSIDER AND APPROVE Mgmt For For THE CONSOLIDATED ANNUAL REPORT AND FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR ENDED 31 MARCH 2019
2 TO APPROVE THE REMUNERATION Mgmt For For REPORT FOR THE YEAR ENDED 31 MARCH 2019
3 TO RE-ELECT MS LORRAINE BALDRY AS A Mgmt Against Against DIRECTOR OF THE COMPANY
4 TO RE-ELECT MR STEPHEN BLIGH AS A Mgmt For For DIRECTOR OF THE COMPANY
5 TO RE-ELECT MR ALASTAIR HUGHES AS A Mgmt For For DIRECTOR OF THE COMPANY
6 TO RE-ELECT MR GRAHAM BASHAM AS A Mgmt For For DIRECTOR OF THE COMPANY
7 TO RE-APPOINT KPMG CHANNEL Mgmt For For ISLANDS LIMITED AS AUDITOR OF THE COMPANY UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING
8 TO AUTHORISE THE BOARD OF Mgmt For For DIRECTORS TO DETERMINE THE AUDITOR'S REMUNERATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 573 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
9 TO RECEIVE AND APPROVE THE Mgmt For For COMPANY'S DIVIDEND POLICY WHICH APPEARS ON PAGE 40 OF THE ANNUAL REPORT
10 THAT THE COMPANY BE AUTHORISED, IN Mgmt For For ACCORDANCE WITH SECTION 315 OF THE COMPANIES (GUERNSEY) LAW, 2008, AS AMENDED (THE "COMPANIES LAW"), TO MAKE MARKET ACQUISITIONS OF ORDINARY SHARES OF THE COMPANY, AS OUTLINED WITHIN THE NOTICE OF ANNUAL GENERAL MEETING
11 THAT PURSUANT TO ARTICLE 13 OF THE Mgmt For For COMPANY'S ARTICLES OF INCORPORATION THE DIRECTORS OF THE COMPANY BE AND ARE HEREBY EMPOWERED TO ALLOT EQUITY SECURITIES AND THE PROVISION OF PRE-EMPTION RIGHTS GRANTED TO SHAREHOLDERS BE DISAPPLIED AS OUTLINED WITHIN THE NOTICE OF THE ANNUAL GENERAL MEETING
CMMT PLEASE NOTE THAT THIS IS AN Non-Voting AMENDMENT TO MEETING ID 273082 DUE TO RECEIPT OF UPDATED AGENDA WITH 11 RESOLUTIONS. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 574 of 721 Northern Trust UNITE GROUP PLC
Security: G9283N101 Agenda Number: 711384266 Ticker: Meeting Type: OGM ISIN: GB0006928617 Meeting Date: 23-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 APPROVE MATTERS RELATING TO THE Mgmt For For ACQUISITION OF LIBERTY LIVING
CMMT 08 JUL 2019: PLEASE NOTE THAT THE Non-Voting MEETING TYPE WAS CHANGED FROM EGM TO OGM. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 575 of 721 Northern Trust UNITED URBAN INVESTMENT CORPORATION
Security: J9427E105 Agenda Number: 711497986 Ticker: Meeting Type: EGM ISIN: JP3045540006 Meeting Date: 29-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 Amend Articles to: Approve Minor Revisions Mgmt For For
2 Appoint an Executive Director Yoshida, Ikuo Mgmt For For
3 Appoint a Substitute Executive Director Gaun, Mgmt For For Norimasa
4.1 Appoint a Supervisory Director Okamura, Mgmt For For Kenichiro
4.2 Appoint a Supervisory Director Sekine, Mgmt For For Kumiko
5 Appoint a Substitute Supervisory Director Mgmt For For Shimizu, Fumi Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 576 of 721 Northern Trust VORNADO REALTY TRUST
Security: 929042109 Agenda Number: 935054887 Ticker: VNO Meeting Type: Special ISIN: US9290421091 Meeting Date: 07-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. APPROVAL OF AN AMENDMENT TO THE Mgmt For For COMPANY'S DECLARATION OF TRUST RELATED TO THE COMPANY'S QUALIFICATION AS A "DOMESTICALLY CONTROLLED QUALIFIED INVESTMENT ENTITY" WITHIN THE MEANING OF SECTION 897(H)(4)(B) OF THE INTERNAL REVENUE CODE OF 1986, AS AMENDED. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 577 of 721 Northern Trust WERELDHAVE NV
Security: N95060120 Agenda Number: 711249486 Ticker: Meeting Type: EGM ISIN: NL0000289213 Meeting Date: 09-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 OPENING OF THE GENERAL MEETING Non-Voting
2 IT IS PROPOSED TO APPOINT M.STORM Mgmt For For AS MEMBER OF THE MANAGING BOARD AND CEO. THE APPOINTMENT WILL BE MADE FOR A PERIOD OF 3 YEARS AND 9 MONTHS, STARTING AUGUST 1, 2019 UNTIL THE CONCLUSION OF THE ANNUAL GENERAL MEETING IN APRIL 2023
3 ANY OTHER BUSINESS Non-Voting
4 CLOSING OF THE GENERAL MEETING Non-Voting Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 578 of 721 Northern Trust WORKSPACE GROUP PLC
Security: G5595E136 Agenda Number: 711312936 Ticker: Meeting Type: AGM ISIN: GB00B67G5X01 Meeting Date: 11-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE AND ADOPT THE ANNUAL Mgmt For For REPORT AND ACCOUNTS
2 TO APPROVE THE 2019 ANNUAL Mgmt For For REMUNERATION REPORT (OTHER THAN THE PART CONTAINING THE COMPANY'S REMUNERATION POLICY) AS SET OUT IN THE ANNUAL REPORT AND ACCOUNTS
3 TO DECLARE A FINAL DIVIDEND OF 22.26 Mgmt For For PENCE PER ORDINARY SHARE IN RESPECT OF THE FINANCIAL YEAR ENDED 31 MARCH 2019
4 TO RE-ELECT MR DANIEL KITCHEN AS A Mgmt For For DIRECTOR
5 TO RE-ELECT MR GRAHAM CLEMETT AS Mgmt For For A DIRECTOR
6 TO RE-ELECT DR MARIA MOLONEY AS A Mgmt For For DIRECTOR
7 TO RE-ELECT MR CHRIS GIRLING AS A Mgmt For For DIRECTOR
8 TO RE-ELECT MR DAMON RUSSELL AS A Mgmt For For DIRECTOR
9 TO RE-ELECT MR STEPHEN HUBBARD AS Mgmt Against Against A DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 579 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO RE-ELECT MS ISHBEL MACPHERSON Mgmt For For AS A DIRECTOR
11 TO RE-APPOINT KPMG LLP AS AUDITORS Mgmt For For OF THE COMPANY
12 TO AUTHORISE THE BOARD, ACTING Mgmt For For THROUGH THE AUDIT COMMITTEE, TO DETERMINE THE REMUNERATION OF THE AUDITORS
13 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT EQUITY SECURITIES
14 TO AUTHORISE THE COMPANY TO MAKE Mgmt For For POLITICAL DONATIONS
15 TO DISAPPLY PRE-EMPTION RIGHTS Mgmt For For
16 TO AUTHORISE THE COMPANY TO MAKE Mgmt For For MARKET PURCHASES OF ITS OWN ORDINARY SHARES
17 TO AUTHORISE A GENERAL MEETING Mgmt For For (OTHER THAN AN ANNUAL GENERAL MEETING) OF THE COMPANY TO BE CALLED ON NOT LESS THAN 14 CLEAR DAYS' NOTICE
CMMT 12 JUN 2019: PLEASE NOTE THAT THIS IS Non-Voting A REVISION DUE TO MODIFICATION OF TEXT OF RESOLUTIONS 10 AND 12. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 580 of 721 Principal ALIBABA GROUP HOLDING LIMITED
Security: 01609W102 Agenda Number: 935052302 Ticker: BABA Meeting Type: Annual ISIN: US01609W1027 Meeting Date: 15-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1. Effect an increase in the number of authorized Mgmt For For Ordinary Shares to 32,000,000,000 and effect a one-to-eight share subdivision of the Company's Ordinary Shares.
2.1 Election of Director for a three year term: Mgmt Against Against DANIEL ZHANG
2.2 Election of Director for a three year term: Mgmt For For CHEE HWA TUNG
2.3 Election of Director for a three year term: Mgmt For For JERRY YANG
2.4 Election of Director for a three year term: Mgmt For For WAN LING MARTELLO
3. Ratify the appointment of Mgmt For For PricewaterhouseCoopers as the independent registered public accounting firm of the Company. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 581 of 721 Principal AXIS BANK LTD
Security: Y0487S137 Agenda Number: 711441725 Ticker: Meeting Type: OTH ISIN: INE238A01034 Meeting Date: 21-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT THIS IS A POSTAL Non-Voting MEETING ANNOUNCEMENT. A PHYSICAL MEETING IS NOT BEING HELD FOR THIS COMPANY. THEREFORE, MEETING ATTENDANCE REQUESTS ARE NOT VALID FOR THIS MEETING. IF YOU WISH TO VOTE, YOU MUST RETURN YOUR INSTRUCTIONS BY THE INDICATED CUTOFF DATE. PLEASE ALSO NOTE THAT ABSTAIN IS NOT A VALID VOTE OPTION AT POSTAL BALLOT MEETINGS. THANK YOU
1 RAISING OF FUNDS THROUGH ISSUE OF Mgmt For For EQUITY SHARES/ DEPOSITORY RECEIPTS AND/OR ANY OTHER INSTRUMENTS OR SECURITIES REPRESENTING EITHER EQUITY SHARES AND/OR CONVERTIBLE SECURITIES LINKED TO EQUITY SHARES INCLUDING THROUGH QUALIFIED INSTITUTIONS PLACEMENT / AMERICAN DEPOSITORY RECEIPTS / GLOBAL DEPOSITORY RECEIPTS/ PREFERENTIAL ALLOTMENT OR SUCH OTHER PERMISSIBLE MODE OR COMBINATIONS THEREOF Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 582 of 721 Principal GAIL (INDIA) LIMITED
Security: Y2R78N114 Agenda Number: 711274186 Ticker: Meeting Type: OTH ISIN: INE129A01019 Meeting Date: 01-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT THIS IS A POSTAL Non-Voting MEETING ANNOUNCEMENT. A PHYSICAL MEETING IS NOT BEING HELD FOR THIS COMPANY. THEREFORE, MEETING ATTENDANCE REQUESTS ARE NOT VALID FOR THIS MEETING. IF YOU WISH TO VOTE, YOU MUST RETURN YOUR INSTRUCTIONS BY THE INDICATED CUTOFF DATE. PLEASE ALSO NOTE THAT ABSTAIN IS NOT A VALID VOTE OPTION AT POSTAL BALLOT MEETINGS. THANK YOU
1 ORDINARY RESOLUTION FOR ISSUANCE Mgmt For For OF BONUS SHARES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 583 of 721 Principal HDFC BANK LTD
Security: Y3119P174 Agenda Number: 711314005 Ticker: Meeting Type: AGM ISIN: INE040A01026 Meeting Date: 12-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 ADOPTION OF THE AUDITED FINANCIAL Mgmt For For STATEMENTS (STANDALONE) FOR THE YEAR ENDED MARCH 31, 2019 AND REPORTS OF THE BOARD OF DIRECTORS AND AUDITORS THEREON
2 ADOPTION OF THE AUDITED FINANCIAL Mgmt For For STATEMENTS (CONSOLIDATED) FOR THE YEAR ENDED MARCH 31, 2019 AND REPORT OF THE AUDITORS THEREON
3 DECLARATION OF DIVIDEND ON EQUITY Mgmt For For SHARES
4 APPOINTMENT OF DIRECTOR IN PLACE Mgmt For For OF MR. SRIKANTH NADHAMUNI (DIN 02551389), WHO RETIRES BY ROTATION AND BEING ELIGIBLE, OFFERS HIMSELF FOR RE-APPOINTMENT
5 APPOINTMENT OF STATUTORY AUDITORS Mgmt For For AND FIXING OF THEIR REMUNERATION: MSKA & ASSOCIATES, CHARTERED ACCOUNTANTS
6 RATIFICATION OF REMUNERATION / FEES Mgmt For For PAID TO THE ERSTWHILE
7 APPOINTMENT OF MR. SANJIV SACHAR Mgmt For For (DIN 02013812) AS INDEPENDENT DIRECTOR OF THE BANK Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 584 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8 APPOINTMENT OF MR. SANDEEP PAREKH Mgmt For For (DIN 03268043) AS INDEPENDENT DIRECTOR OF THE BANK
9 APPOINTMENT OF MR. M. D. RANGANATH Mgmt For For (DIN 07565125) AS INDEPENDENT DIRECTOR OF THE BANK
10 APPROVAL OF RELATED PARTY Mgmt For For TRANSACTIONS WITH HOUSING DEVELOPMENT FINANCE CORPORATION LIMITED PURSUANT TO APPLICABLE PROVISIONS
11 APPROVAL OF RELATED PARTY Mgmt For For TRANSACTIONS WITH HDB FINANCIAL SERVICES LIMITED PURSUANT TO APPLICABLE PROVISIONS
12 RAISING OF ADDITIONAL CAPITAL BY Mgmt For For ISSUE OF DEBT INSTRUMENTS
13 SUB-DIVISION OF EQUITY SHARES FROM Mgmt For For FACE VALUE OF RS. 2/- EACH TO FACE VALUE OF RS. 1/- EACH
14 ALTERATION OF CLAUSE V OF THE Mgmt For For MEMORANDUM OF ASSOCIATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 585 of 721 Principal LENOVO GROUP LTD
Security: Y5257Y107 Agenda Number: 711295320 Ticker: Meeting Type: AGM ISIN: HK0992009065 Meeting Date: 09-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE IN THE HONG KONG Non-Voting MARKET THAT A VOTE OF "ABSTAIN" WILL BE TREATED THE SAME AS A "TAKE NO ACTION" VOTE.
CMMT PLEASE NOTE THAT THE COMPANY Non-Voting NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING ON THE URL LINKS: HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/ LISTCONEWS/SEHK/2019/0605/LTN201906 051302.PDF & HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/ LISTCONEWS/SEHK/2019/0605/LTN201906 051318.PDF
1 TO RECEIVE AND CONSIDER THE Mgmt For For AUDITED CONSOLIDATED FINANCIAL STATEMENTS AND THE REPORTS OF THE DIRECTORS AND THE INDEPENDENT AUDITOR FOR THE YEAR ENDED MARCH 31, 2019
2 TO DECLARE A FINAL DIVIDEND FOR THE Mgmt For For ISSUED SHARES OF THE COMPANY FOR THE YEAR ENDED MARCH 31, 2019
3.A TO RE-ELECT MR. ZHU LINAN AS Mgmt For For DIRECTOR
3.B TO RE-ELECT MR. YANG CHIH-YUAN Mgmt For For JERRY AS DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 586 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3.C TO RE-ELECT MR. GORDON ROBERT Mgmt For For HALYBURTON ORR AS DIRECTOR
3.D TO RE-ELECT MR. WOO CHIN WAN Mgmt For For RAYMOND AS DIRECTOR
3.E TO RESOLVE NOT TO FILL UP THE Mgmt For For VACATED OFFICE RESULTED FROM THE RETIREMENT OF DR. TIAN SUNING AS DIRECTOR
3.F TO AUTHORIZE THE BOARD OF Mgmt For For DIRECTORS TO FIX DIRECTORS' FEES
4 TO RE-APPOINT Mgmt For For PRICEWATERHOUSECOOPERS AS AUDITOR AND AUTHORIZE THE BOARD OF DIRECTORS OF THE COMPANY TO FIX AUDITOR'S REMUNERATION
5 ORDINARY RESOLUTION - TO GRANT A Mgmt Against Against GENERAL MANDATE TO THE DIRECTORS TO ALLOT, ISSUE AND DEAL WITH ADDITIONAL SHARES NOT EXCEEDING 20% OF THE AGGREGATE NUMBER OF SHARES IN ISSUE OF THE COMPANY
6 ORDINARY RESOLUTION - TO GRANT A Mgmt For For GENERAL MANDATE TO THE DIRECTORS TO BUY BACK SHARES NOT EXCEEDING 10% OF THE AGGREGATE NUMBER OF SHARES IN ISSUE OF THE COMPANY
7 ORDINARY RESOLUTION - TO EXTEND Mgmt Against Against THE GENERAL MANDATE TO THE DIRECTORS TO ISSUE NEW SHARES OF THE COMPANY BY ADDING THE NUMBER OF THE SHARES BOUGHT BACK Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 587 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8 ORDINARY RESOLUTION - TO APPROVE Mgmt Against Against THE AWARD PLANS AND THE CALIFORNIA SUB-PLANS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 588 of 721 Principal NESTLE INDIA LIMITED
Security: Y6268T111 Agenda Number: 711267179 Ticker: Meeting Type: OTH ISIN: INE239A01016 Meeting Date: 02-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT THIS IS A POSTAL Non-Voting MEETING ANNOUNCEMENT. A PHYSICAL MEETING IS NOT BEING HELD FOR THIS COMPANY. THEREFORE, MEETING ATTENDANCE REQUESTS ARE NOT VALID FOR THIS MEETING. IF YOU WISH TO VOTE, YOU MUST RETURN YOUR INSTRUCTIONS BY THE INDICATED CUTOFF DATE. PLEASE ALSO NOTE THAT ABSTAIN IS NOT A VALID VOTE OPTION AT POSTAL BALLOT MEETINGS. THANK YOU.
1 ORDINARY RESOLUTION FOR RE- Mgmt For For APPOINTMENT OF MR. SHOBINDER DUGGAL (DIN 00039580) AS A WHOLE- TIME DIRECTOR OF THE COMPANY, DESIGNATED AS EXECUTIVE DIRECTOR - FINANCE & CONTROL AND CHIEF FINANCIAL OFFICER", FOR THE PERIOD EFFECTIVE FROM 10TH MAY, 2019 UNTIL 31ST DECEMBER, 2019 AND THE TERMS AND CONDITIONS OF RE-APPOINTMENT AND REMUNERATION PAYABLE TO MR. DUGGAL Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 589 of 721 SSGA ALIMENTATION COUCHE-TARD INC
Security: 01626P403 Agenda Number: 711461169 Ticker: Meeting Type: AGM ISIN: CA01626P4033 Meeting Date: 18-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT SHAREHOLDERS Non-Voting ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' ONLY FOR RESOLUTION 3 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBERS 1 AND 2.1 TO 2.13. THANK YOU
1 APPOINT THE AUDITOR UNTIL THE NEXT Mgmt For For ANNUAL MEETING AND AUTHORIZE THE BOARD OF DIRECTORS TO SET THEIR REMUNERATION: PRICEWATERHOUSECOOPERS LLP
2.1 ELECTION OF DIRECTOR: ALAIN Mgmt For For BOUCHARD
2.2 ELECTION OF DIRECTOR: MELANIE KAU Mgmt Abstain Against
2.3 ELECTION OF DIRECTOR: JEAN BERNIER Mgmt For For
2.4 ELECTION OF DIRECTOR: NATHALIE Mgmt For For BOURQUE
2.5 ELECTION OF DIRECTOR: ERIC BOYKO Mgmt For For
2.6 ELECTION OF DIRECTOR: JACQUES Mgmt Abstain Against D'AMOURS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 590 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
2.7 ELECTION OF DIRECTOR: RICHARD Mgmt Abstain Against FORTIN
2.8 ELECTION OF DIRECTOR: BRIAN Mgmt For For HANNASCH
2.9 ELECTION OF DIRECTOR: MARIE JOSEE Mgmt For For LAMOTHE
2.10 ELECTION OF DIRECTOR: MONIQUE F. Mgmt For For LEROUX
2.11 ELECTION OF DIRECTOR: REAL PLOURDE Mgmt Abstain Against
2.12 ELECTION OF DIRECTOR: DANIEL Mgmt For For RABINOWICZ
2.13 ELECTION OF DIRECTOR: LOUIS TETU Mgmt For For
3 ON AN ADVISORY BASIS AND NOT TO Mgmt Against Against DIMINISH THE ROLE AND RESPONSIBILITIES OF THE BOARD OF DIRECTORS THAT THE SHAREHOLDERS ACCEPT THE APPROACH TO EXECUTIVE COMPENSATION AS DISCLOSED IN OUR 2019 MANAGEMENT PROXY CIRCULAR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 591 of 721 SSGA ALSTOM SA
Security: F0259M475 Agenda Number: 711275176 Ticker: Meeting Type: MIX ISIN: FR0010220475 Meeting Date: 10-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE IN THE FRENCH MARKET Non-Voting THAT THE ONLY VALID VOTE OPTIONS ARE "FOR" AND "AGAINST" A VOTE OF "ABSTAIN" WILL BE TREATED AS AN "AGAINST" VOTE.
CMMT THE FOLLOWING APPLIES TO Non-Voting SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE
CMMT IN CASE AMENDMENTS OR NEW Non-Voting RESOLUTIONS ARE PRESENTED DURING THE MEETING, YOUR VOTE WILL DEFAULT TO 'ABSTAIN'. SHARES CAN ALTERNATIVELY BE PASSED TO THE CHAIRMAN OR A NAMED THIRD PARTY TO VOTE ON ANY SUCH ITEM RAISED. SHOULD YOU WISH TO PASS CONTROL OF YOUR SHARES IN THIS WAY, PLEASE CONTACT YOUR BROADRIDGE CLIENT SERVICE REPRESENTATIVE. THANK YOU
CMMT 21 JUN 2019: PLEASE NOTE THAT Non-Voting IMPORTANT ADDITIONAL MEETING INFORMATION IS AVAILABLE BY CLICKING ON THE MATERIAL URL LINK: https://www.journal- officiel.gouv.fr/publications/balo/pdf/2019/060 3/201906031902540.pdf AND Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 592 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
https://www.journal- officiel.gouv.fr/publications/balo/pdf/2019/062 1/201906211903210.pdf; PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF URL LINK. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
O.1 APPROVAL OF THE CORPORATE Mgmt For For FINANCIAL STATEMENTS AND OPERATIONS FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019
O.2 APPROVAL OF THE CONSOLIDATED Mgmt For For FINANCIAL STATEMENTS AND OPERATIONS FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019
O.3 PROPOSAL TO ALLOCATE INCOME FOR Mgmt For For THE FINANCIAL YEAR ENDED 31 MARCH 2019 AND DISTRIBUTION OF A DIVIDEND
O.4 RENEWAL OF THE TERM OF OFFICE OF Mgmt Against Against MR. HENRI POUPART-LAFARGE AS DIRECTOR
O.5 RENEWAL OF THE TERM OF OFFICE OF Mgmt For For MRS. SYLVIE KANDE DE BEAUPUY AS DIRECTOR
O.6 RENEWAL OF THE TERM OF OFFICE OF Mgmt For For MRS. SYLVIE RUCAR AS DIRECTOR
O.7 APPROVAL OF THE COMMITMENTS Mgmt For For RELATING TO A NON-COMPETITION CLAUSE IN FAVOUR OF MR. HENRI POUPART-LAFARGE IN ACCORDANCE WITH THE PROVISIONS OF ARTICLE L. 225-42-1 OF THE FRENCH COMMERCIAL CODE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 593 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
O.8 APPROVAL OF THE COMMITMENTS Mgmt For For RELATING TO THE DEFINED CONTRIBUTION PENSION PLANS MADE IN FAVOUR OF MR. HENRI POUPART- LAFARGE IN ACCORDANCE WITH THE PROVISIONS OF ARTICLE L. 225-42-1 OF THE FRENCH COMMERCIAL CODE
O.9 APPROVAL OF THE FIXED, VARIABLE AND Mgmt Against Against EXCEPTIONAL ELEMENTS MAKING UP THE TOTAL COMPENSATION AND BENEFITS OF ANY KIND PAID OR ALLOCATED TO THE CHAIRMAN AND CHIEF EXECUTIVE OFFICER FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019
O.10 APPROVAL OF THE PRINCIPLES AND Mgmt For For CRITERIA FOR DETERMINING, DISTRIBUTING AND ALLOCATING THE FIXED, VARIABLE AND EXCEPTIONAL ELEMENTS MAKING UP THE TOTAL COMPENSATION AND BENEFITS OF ANY KIND ATTRIBUTABLE TO THE CHAIRMAN AND CHIEF EXECUTIVE OFFICER FOR THE FINANCIAL YEAR 2019/20 AND APPLICABLE AS OF THIS GENERAL MEETING
O.11 AUTHORIZATION TO BE GRANTED TO THE Mgmt For For BOARD OF DIRECTORS TO TRADE IN THE COMPANY'S SHARES
E.12 DELEGATION OF AUTHORITY TO BE Mgmt For For GRANTED TO THE BOARD OF DIRECTORS TO DECIDE TO INCREASE THE COMPANY'S SHARE CAPITAL BY ISSUING SHARES OR TRANSFERABLE SECURITIES RESERVED FOR MEMBERS OF A COMPANY OR GROUP SAVINGS PLAN; WITH CANCELLATION OF THE SHAREHOLDERS' PRE-EMPTIVE SUBSCRIPTION RIGHT Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 594 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
E.13 DELEGATION OF AUTHORITY TO BE Mgmt For For GRANTED TO THE BOARD OF DIRECTORS TO DECIDE TO INCREASE THE COMPANY'S SHARE CAPITAL RESERVED FOR A CATEGORY OF BENEFICIARIES; WITH CANCELLATION OF THE SHAREHOLDERS' PRE-EMPTIVE SUBSCRIPTION RIGHT
E.14 AUTHORIZATION TO BE GRANTED TO THE Mgmt For For BOARD OF DIRECTORS TO PROCEED WITH THE FREE ALLOTMENT OF EXISTING SHARES OR SHARES TO BE ISSUED OF THE COMPANY, WITHIN THE LIMIT OF 5,000,000 SHARES, INCLUDING A MAXIMUM NUMBER OF 200,000 SHARES TO THE COMPANY'S EXECUTIVE CORPORATE OFFICERS; WITH CANCELLATION OF THE SHAREHOLDERS' PRE-EMPTIVE SUBSCRIPTION RIGHT
E.15 POWERS TO CARRY OUT FORMALITIES Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 595 of 721 SSGA ASAHI INTECC CO.,LTD.
Security: J0279C107 Agenda Number: 711529531 Ticker: Meeting Type: AGM ISIN: JP3110650003 Meeting Date: 27-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
Please reference meeting materials. Non-Voting
1 Approve Appropriation of Surplus Mgmt For For
2.1 Appoint a Director who is not Audit and Mgmt For For Supervisory Committee Member Miyata, Masahiko
2.2 Appoint a Director who is not Audit and Mgmt For For Supervisory Committee Member Miyata, Kenji
2.3 Appoint a Director who is not Audit and Mgmt For For Supervisory Committee Member Kato, Tadakazu
2.4 Appoint a Director who is not Audit and Mgmt For For Supervisory Committee Member Yugawa, Ippei
2.5 Appoint a Director who is not Audit and Mgmt For For Supervisory Committee Member Terai, Yoshinori
2.6 Appoint a Director who is not Audit and Mgmt For For Supervisory Committee Member Matsumoto, Munechika
2.7 Appoint a Director who is not Audit and Mgmt For For Supervisory Committee Member Ito, Mizuho Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 596 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
2.8 Appoint a Director who is not Audit and Mgmt For For Supervisory Committee Member Nishiuchi, Makoto
2.9 Appoint a Director who is not Audit and Mgmt For For Supervisory Committee Member Ito, Kiyomichi
2.10 Appoint a Director who is not Audit and Mgmt For For Supervisory Committee Member Shibazaki, Akinori
2.11 Appoint a Director who is not Audit and Mgmt For For Supervisory Committee Member Sato, Masami Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 597 of 721 SSGA ASCENDAS REAL ESTATE INVESTMENT TRUST
Security: Y0205X103 Agenda Number: 711332267 Ticker: Meeting Type: AGM ISIN: SG1M77906915 Meeting Date: 09-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE AND ADOPT THE REPORT OF Mgmt For For THE TRUSTEE OF ASCENDAS REIT ISSUED BY HSBC INSTITUTIONAL TRUST SERVICES (SINGAPORE) LIMITED (AS TRUSTEE OF ASCENDAS REIT) (THE "TRUSTEE"), THE STATEMENT BY THE MANAGER ISSUED BY ASCENDAS FUNDS MANAGEMENT (S) LIMITED (AS MANAGER OF ASCENDAS REIT) (THE "MANAGER"), AND THE AUDITED FINANCIAL STATEMENTS OF ASCENDAS REIT FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019 AND THE AUDITORS' REPORT THEREON
2 TO RE-APPOINT ERNST & YOUNG LLP AS Mgmt For For AUDITORS OF ASCENDAS REIT TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT AGM OF ASCENDAS REIT, AND TO AUTHORISE THE MANAGER TO FIX THEIR REMUNERATION
3 THAT AUTHORITY BE AND IS HEREBY Mgmt For For GIVEN TO THE MANAGER, TO: (A) (I) ISSUE UNITS IN ASCENDAS REIT ("UNITS") WHETHER BY WAY OF RIGHTS, BONUS OR OTHERWISE; AND/OR (II) MAKE OR GRANT OFFERS, AGREEMENTS OR OPTIONS (COLLECTIVELY, "INSTRUMENTS") THAT MIGHT OR WOULD REQUIRE UNITS TO BE ISSUED, INCLUDING BUT NOT LIMITED TO THE CREATION AND ISSUE OF (AS WELL AS ADJUSTMENTS TO) SECURITIES, WARRANTS, DEBENTURES OR OTHER INSTRUMENTS CONVERTIBLE INTO UNITS, AT ANY TIME AND UPON SUCH TERMS AND CONDITIONS AND FOR SUCH PURPOSES AND TO SUCH PERSONS AS THE MANAGER MAY IN ITS ABSOLUTE DISCRETION DEEM FIT; AND (B) ISSUE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 598 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
UNITS IN PURSUANCE OF ANY INSTRUMENT MADE OR GRANTED BY THE MANAGER WHILE THIS RESOLUTION WAS IN FORCE (NOTWITHSTANDING THAT THE AUTHORITY CONFERRED BY THIS RESOLUTION MAY HAVE CEASED TO BE IN FORCE AT THE TIME SUCH UNITS ARE ISSUED), PROVIDED THAT: (1) THE AGGREGATE NUMBER OF UNITS TO BE ISSUED PURSUANT TO THIS RESOLUTION (INCLUDING UNITS TO BE ISSUED IN PURSUANCE OF INSTRUMENTS MADE OR GRANTED PURSUANT TO THIS RESOLUTION) SHALL NOT EXCEED FIFTY PER CENT (50%) OF THE TOTAL NUMBER OF ISSUED UNITS (EXCLUDING TREASURY UNITS, IF ANY) (AS CALCULATED IN ACCORDANCE WITH SUB-PARAGRAPH (2) BELOW), OF WHICH THE AGGREGATE NUMBER OF UNITS TO BE ISSUED OTHER THAN ON A PRO RATA BASIS TO UNITHOLDERS SHALL NOT EXCEED TWENTY PER CENT (20%) OF THE TOTAL NUMBER OF ISSUED UNITS (EXCLUDING TREASURY UNITS, IF ANY) (AS CALCULATED IN ACCORDANCE WITH SUB-PARAGRAPH (2) BELOW); (2) SUBJECT TO SUCH MANNER OF CALCULATION AS MAY BE PRESCRIBED BY SINGAPORE EXCHANGE SECURITIES TRADING LIMITED ("SGX-ST") FOR THE PURPOSE OF DETERMINING THE AGGREGATE NUMBER OF UNITS THAT MAY BE ISSUED UNDER SUB-PARAGRAPH (1) ABOVE, THE TOTAL NUMBER OF ISSUED UNITS (EXCLUDING TREASURY UNITS, IF ANY) SHALL BE BASED ON THE NUMBER OF ISSUED UNITS (EXCLUDING TREASURY UNITS, IF ANY) AT THE TIME THIS RESOLUTION IS PASSED, AFTER ADJUSTING FOR: (A) ANY NEW UNITS ARISING FROM THE CONVERSION OR EXERCISE OF ANY INSTRUMENTS WHICH ARE OUTSTANDING AT THE TIME THIS RESOLUTION IS PASSED; AND (B) ANY SUBSEQUENT BONUS ISSUE, CONSOLIDATION OR SUBDIVISION OF UNITS; (3) IN EXERCISING THE AUTHORITY CONFERRED BY THIS RESOLUTION, THE MANAGER SHALL COMPLY WITH THE PROVISIONS OF THE LISTING MANUAL OF THE SGX-ST (THE "LISTING MANUAL") FOR THE TIME BEING Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 599 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
IN FORCE (UNLESS SUCH COMPLIANCE HAS BEEN WAIVED BY THE SGX-ST) AND THE TRUST DEED CONSTITUTING ASCENDAS REIT (AS AMENDED) (THE "TRUST DEED") FOR THE TIME BEING IN FORCE (UNLESS OTHERWISE EXEMPTED OR WAIVED BY THE MONETARY AUTHORITY OF SINGAPORE); (4) (UNLESS REVOKED OR VARIED BY THE UNITHOLDERS IN A GENERAL MEETING) THE AUTHORITY CONFERRED BY THIS RESOLUTION SHALL CONTINUE IN FORCE UNTIL (I) THE CONCLUSION OF THE NEXT AGM OF ASCENDAS REIT OR (II) THE DATE BY WHICH THE NEXT AGM OF ASCENDAS REIT IS REQUIRED BY APPLICABLE REGULATIONS TO BE HELD, WHICHEVER IS EARLIER; (5) WHERE THE TERMS OF THE ISSUE OF THE INSTRUMENTS PROVIDE FOR ADJUSTMENT TO THE NUMBER OF INSTRUMENTS OR UNITS INTO WHICH THE INSTRUMENTS MAY BE CONVERTED, IN THE EVENT OF RIGHTS, BONUS OR OTHER CAPITALISATION ISSUES OR ANY OTHER EVENTS, THE MANAGER IS AUTHORISED TO ISSUE ADDITIONAL INSTRUMENTS OR UNITS PURSUANT TO SUCH ADJUSTMENT NOTWITHSTANDING THAT THE AUTHORITY CONFERRED BY THIS RESOLUTION MAY HAVE CEASED TO BE IN FORCE AT THE TIME THE INSTRUMENTS OR UNITS ARE ISSUED; AND (6) THE MANAGER AND THE TRUSTEE BE AND ARE HEREBY SEVERALLY AUTHORISED TO COMPLETE AND DO ALL SUCH ACTS AND THINGS (INCLUDING EXECUTING ALL SUCH DOCUMENTS AS MAY BE REQUIRED) AS THE MANAGER OR, AS THE CASE MAY BE, THE TRUSTEE MAY CONSIDER EXPEDIENT OR NECESSARY OR IN THE INTEREST OF ASCENDAS REIT TO GIVE EFFECT TO THE AUTHORITY CONFERRED BY THIS RESOLUTION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 600 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4 THAT: (A) THE EXERCISE OF ALL THE Mgmt For For POWERS OF THE MANAGER TO REPURCHASE ISSUED UNITS FOR AND ON BEHALF OF ASCENDAS REIT NOT EXCEEDING IN AGGREGATE THE MAXIMUM LIMIT (AS HEREAFTER DEFINED), AT SUCH PRICE OR PRICES AS MAY BE DETERMINED BY THE MANAGER FROM TIME TO TIME UP TO THE MAXIMUM PRICE (AS HEREAFTER DEFINED), WHETHER BY WAY OF: (1) MARKET REPURCHASE(S) ON THE SGX- ST AND/OR, AS THE CASE MAY BE, SUCH OTHER STOCK EXCHANGE FOR THE TIME BEING ON WHICH THE UNITS MAY BE LISTED AND QUOTED; AND/OR (2) OFF- MARKET REPURCHASE(S) (WHICH ARE NOT MARKET REPURCHASE(S)) IN ACCORDANCE WITH ANY EQUAL ACCESS SCHEME(S) AS MAY BE DETERMINED OR FORMULATED BY THE MANAGER AS IT CONSIDERS FIT IN ACCORDANCE WITH THE TRUST DEED, AND OTHERWISE IN ACCORDANCE WITH ALL APPLICABLE LAWS AND REGULATIONS INCLUDING THE LISTING MANUAL OF THE SGX-ST, OR, AS THE CASE MAY BE, SUCH OTHER STOCK EXCHANGE FOR THE TIME BEING ON WHICH THE UNITS MAY BE LISTED AND QUOTED, BE AND IS HEREBY AUTHORISED AND APPROVED GENERALLY AND UNCONDITIONALLY (THE "UNIT BUY-BACK MANDATE"); (B) (UNLESS REVOKED OR VARIED BY THE UNITHOLDERS IN A GENERAL MEETING) THE AUTHORITY CONFERRED ON THE MANAGER PURSUANT TO THE UNIT BUY- BACK MANDATE MAY BE EXERCISED BY THE MANAGER AT ANY TIME AND FROM TIME TO TIME DURING THE PERIOD COMMENCING FROM THE DATE OF THE PASSING OF THIS RESOLUTION AND EXPIRING ON THE EARLIEST OF: (1) THE DATE ON WHICH THE NEXT AGM OF ASCENDAS REIT IS HELD; (2) THE DATE BY WHICH THE NEXT AGM OF ASCENDAS REIT IS REQUIRED BY APPLICABLE LAWS AND REGULATIONS OR THE TRUST DEED TO BE HELD; AND (3) THE DATE ON WHICH REPURCHASE OF UNITS PURSUANT TO THE UNIT BUY-BACK MANDATE IS CARRIED OUT TO THE FULL EXTENT MANDATED; (C) IN THIS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 601 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
RESOLUTION: "AVERAGE CLOSING PRICE" MEANS THE AVERAGE OF THE CLOSING MARKET PRICES OF THE UNITS OVER THE LAST FIVE MARKET DAYS, ON WHICH TRANSACTIONS IN THE UNITS WERE RECORDED, IMMEDIATELY PRECEDING THE DATE OF THE MARKET REPURCHASE OR, AS THE CASE MAY BE, THE DATE OF THE MAKING OF THE OFFER PURSUANT TO THE OFF-MARKET REPURCHASE, AND DEEMED TO BE ADJUSTED FOR ANY CORPORATE ACTION THAT OCCURS AFTER THE RELEVANT FIVE MARKET DAYS; "DATE OF THE MAKING OF THE OFFER" MEANS THE DATE ON WHICH THE MANAGER MAKES AN OFFER FOR AN OFF-MARKET REPURCHASE, STATING THEREIN THE REPURCHASE PRICE (WHICH SHALL NOT BE MORE THAN THE MAXIMUM PRICE FOR AN OFF-MARKET REPURCHASE) FOR EACH UNIT AND THE RELEVANT TERMS OF THE EQUAL ACCESS SCHEME FOR EFFECTING THE OFF-MARKET REPURCHASE; "MARKET DAY" MEANS A DAY ON WHICH THE SGX-ST OR, AS THE CASE MAY BE, SUCH OTHER STOCK EXCHANGE FOR THE TIME BEING ON WHICH THE UNITS MAY BE LISTED AND QUOTED, IS OPEN FOR TRADING IN SECURITIES; "MAXIMUM LIMIT" MEANS THAT NUMBER OF UNITS REPRESENTING 3.0% OF THE TOTAL NUMBER OF ISSUED UNITS AS AT THE DATE OF THE PASSING OF THIS RESOLUTION (EXCLUDING TREASURY UNITS, IF ANY); AND "MAXIMUM PRICE" IN RELATION TO THE UNITS TO BE REPURCHASED, MEANS THE REPURCHASE PRICE (EXCLUDING BROKERAGE, STAMP DUTY, COMMISSION, APPLICABLE GOODS AND SERVICES TAX AND OTHER RELATED EXPENSES) WHICH SHALL NOT EXCEED: (1) IN THE CASE OF A MARKET REPURCHASE OF THE UNITS, 105.0% OF THE AVERAGE CLOSING PRICE; AND (2) IN THE CASE OF AN OFF-MARKET REPURCHASE OF THE UNITS, 105.0% OF THE AVERAGE CLOSING PRICE; AND (D) THE MANAGER AND THE TRUSTEE, BE AND ARE HEREBY SEVERALLY AUTHORISED TO COMPLETE AND DO ALL SUCH ACTS AND THINGS (INCLUDING Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 602 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
EXECUTING SUCH DOCUMENTS AS MAY BE REQUIRED) AS THE MANAGER OR, AS THE CASE MAY BE, THE TRUSTEE MAY CONSIDER EXPEDIENT OR NECESSARY OR IN THE INTERESTS OF ASCENDAS REIT TO GIVE EFFECT TO THE TRANSACTIONS CONTEMPLATED AND/OR AUTHORISED BY THIS RESOLUTION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 603 of 721 SSGA ASHTEAD GROUP PLC
Security: G05320109 Agenda Number: 711456916 Ticker: Meeting Type: AGM ISIN: GB0000536739 Meeting Date: 10-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 RECEIVING REPORT AND ACCOUNTS Mgmt For For
2 APPROVAL OF THE DIRECTORS Mgmt For For REMUNERATION REPORT EXCLUDING REMUNERATION POLICY
3 APPROVAL OF THE DIRECTORS Mgmt For For REMUNERATION POLICY
4 DECLARATION OF A FINAL DIVIDEND: Mgmt For For 33.5P PER ORDINARY SHARE
5 RE-ELECTION OF PAUL WALKER Mgmt For For
6 RE-ELECTION OF BRENDAN HORGAN Mgmt For For
7 RE-ELECTION OF MICHAEL PRATT Mgmt For For
8 ELECTION OF ANGUS COCKBURN Mgmt For For
9 RE-ELECTION OF LUCINDA RICHES Mgmt For For
10 RE-ELECTION OF TANYA FRATTO Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 604 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 ELECTION OF LINDSLEY RUTH Mgmt For For
12 REAPPOINTMENT OF AUDITOR: DELOITTE Mgmt For For LLP
13 AUTHORITY TO SET THE REMUNERATION Mgmt For For OF THE AUDITOR
14 DIRECTORS AUTHORITY TO ALLOT Mgmt For For SHARES
15 DISAPPLICATION OF PRE-EMPTION Mgmt For For RIGHTS
16 ADDITIONAL DISAPPLICATION OF PRE- Mgmt For For EMPTION RIGHTS
17 AUTHORITY FOR THE COMPANY TO Mgmt For For PURCHASE ITS OWN SHARES
18 NOTICE PERIOD FOR GENERAL Mgmt For For MEETINGS
CMMT 26 JUL 2019: PLEASE NOTE THAT THIS IS Non-Voting A REVISION DUE TO MODIFICATION OF THE TEXT IN RESOLUTION 12 AND RECIEPT OF DIVIDEND AMOUNT FOR RESOLUTION 4. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 605 of 721 SSGA ASX LIMITED
Security: Q0604U105 Agenda Number: 711497974 Ticker: Meeting Type: AGM ISIN: AU000000ASX7 Meeting Date: 24-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT VOTING EXCLUSIONS APPLY TO THIS Non-Voting MEETING FOR PROPOSALS 4, 5 AND VOTES CAST BY ANY INDIVIDUAL OR RELATED PARTY WHO BENEFIT FROM THE PASSING OF THE PROPOSAL/S WILL BE DISREGARDED BY THE COMPANY. HENCE, IF YOU HAVE OBTAINED BENEFIT OR EXPECT TO OBTAIN FUTURE BENEFIT (AS REFERRED IN THE COMPANY ANNOUNCEMENT) VOTE ABSTAIN ON THE RELEVANT PROPOSAL ITEMS. BY DOING SO, YOU ACKNOWLEDGE THAT YOU HAVE OBTAINED BENEFIT OR EXPECT TO OBTAIN BENEFIT BY THE PASSING OF THE RELEVANT PROPOSAL/S. BY VOTING (FOR OR AGAINST) ON THE ABOVE MENTIONED PROPOSAL/S, YOU ACKNOWLEDGE THAT YOU HAVE NOT OBTAINED BENEFIT NEITHER EXPECT TO OBTAIN BENEFIT BY THE PASSING OF THE RELEVANT PROPOSAL/S AND YOU COMPLY WITH THE VOTING EXCLUSION
3.A RE-ELECTION OF DIRECTOR, MS Mgmt For For MELINDA CONRAD
3.B RE-ELECTION OF DIRECTOR, DR KEN Mgmt Against Against HENRY AC
3.C ELECTION OF DIRECTOR, MR PETER Mgmt For For NASH
4 REMUNERATION REPORT Mgmt Against Against Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 606 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
5 GRANT OF PERFORMANCE RIGHTS TO Mgmt For For THE MANAGING DIRECTOR AND CEO Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 607 of 721 SSGA AUTO TRADER GROUP PLC
Security: G06708104 Agenda Number: 711364074 Ticker: Meeting Type: AGM ISIN: GB00BVYVFW23 Meeting Date: 19-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE COMPANY'S AUDITED Mgmt For For FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019, TOGETHER WITH THE DIRECTORS', AUDITORS' AND STRATEGIC REPORTS ON THOSE FINANCIAL STATEMENTS (COLLECTIVELY, THE 'ANNUAL REPORT AND ACCOUNTS')
2 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT (OTHER THAN THE PART CONTAINING THE DIRECTORS' REMUNERATION POLICY) FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019 SET OUT ON PAGES 66 TO 74 OF THE ANNUAL REPORT AND ACCOUNTS
3 TO DECLARE A FINAL DIVIDEND OF 4.6 Mgmt For For PENCE PER ORDINARY SHARE FOR THE YEAR ENDED 31 MARCH 2019
4 TO RE-ELECT ED WILLIAMS AS A Mgmt For For DIRECTOR OF THE COMPANY
5 TO RE-ELECT TREVOR MATHER AS A Mgmt For For DIRECTOR OF THE COMPANY
6 TO RE-ELECT NATHAN COE AS A Mgmt For For DIRECTOR OF THE COMPANY
7 TO RE-ELECT DAVID KEENS AS A Mgmt For For DIRECTOR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 608 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8 TO RE-ELECT JILL EASTERBROOK AS A Mgmt For For DIRECTOR OF THE COMPANY
9 TO RE-ELECT JENI MUNDY AS A Mgmt For For DIRECTOR OF THE COMPANY
10 TO ELECT CATHERINE FAIERS AS A Mgmt For For DIRECTOR OF THE COMPANY
11 TO RE-APPOINT KPMG LLP AS AUDITORS Mgmt For For OF THE COMPANY TO SERVE FROM THE CONCLUSION OF THIS AGM TO THE CONCLUSION OF THE NEXT AGM AT WHICH ACCOUNTS ARE LAID
12 TO AUTHORISE THE BOARD TO FIX THE Mgmt For For REMUNERATION OF THE AUDITORS
13 DIRECTORS' AUTHORITY TO ALLOT Mgmt For For SHARES
14 PARTIAL DISAPPLICATION OF PRE- Mgmt For For EMPTION RIGHTS
15 PARTIAL DISAPPLICATION OF PRE- Mgmt For For EMPTION RIGHTS IN CONNECTION WITH AN ACQUISITION OR SPECIFIED CAPITAL INVESTMENT
16 COMPANY'S AUTHORITY TO PURCHASE Mgmt For For ITS OWN SHARES
17 CALLING OF GENERAL MEETINGS ON 14 Mgmt For For DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 609 of 721 SSGA AZRIELI GROUP LTD
Security: M1571Q105 Agenda Number: 711429402 Ticker: Meeting Type: MIX ISIN: IL0011194789 Meeting Date: 11-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT AS A CONDITION OF VOTING, ISRAELI Non-Voting MARKET REGULATIONS REQUIRE THAT YOU DISCLOSE WHETHER YOU HAVE A) A PERSONAL INTEREST IN THIS COMPANY B) ARE A CONTROLLING SHAREHOLDER IN THIS COMPANY C) ARE A SENIOR OFFICER OF THIS COMPANY D) THAT YOU ARE AN INSTITUTIONAL CLIENT, JOINT INVESTMENT FUND MANAGER OR TRUST FUND. BY VOTING THROUGH THE PROXY EDGE PLATFORM YOU ARE CONFIRMING THE ANSWER FOR A, B AND C TO BE NO AND THE ANSWER FOR D TO BE YES. SHOULD THIS NOT BE THE CASE PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE SO THAT WE MAY LODGE YOUR VOTE INSTRUCTIONS ACCORDINGLY
1 APPROVE AMENDED COMPENSATION Mgmt Against Against POLICY FOR THE DIRECTORS AND OFFICERS OF THE COMPANY
CMMT PLEASE NOTE THAT PENDING APPROVAL Non-Voting OF ITEM 1, VOTE ON ITEM 2-3. THANK YOU
2 APPROVE AMENDED BONUS PLAN FOR Mgmt Against Against CEO
3 APPROVE AMENDED MANAGEMENT Mgmt For For SERVICES AGREEMENT WITH COMPANY OWNED BY DANNA AZRIELI HAKIM, ACTIVE CHAIRWOMAN Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 610 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4.1 ELECT EHUD RASSABI AS EXTERNAL Mgmt For For DIRECTOR
4.2 ELECT JOSEPH SHACHAK AS EXTERNAL Mgmt For For DIRECTOR
5 ELECT DAN YITSHAK GILLERMAN AS Mgmt For For DIRECTOR
6.1 REELECT DANNA AZRIELI HAKIM AS Mgmt For For DIRECTOR
6.2 REELECT SHARON RACHELLE AZRIELI AS Mgmt For For DIRECTOR
6.3 REELECT NAOMI SARA AZRIELI AS Mgmt For For DIRECTOR
6.4 REELECT MENACHEM EINAN AS Mgmt Against Against DIRECTOR
6.5 REELECT TZIPORA CARMON AS Mgmt For For DIRECTOR
6.6 REELECT ORAN DROR AS DIRECTOR Mgmt For For
7 REAPPOINT DELOITTE BRIGHTMAN Mgmt Against Against ALMAGOR ZOHAR AS AUDITORS
8 DISCUSS FINANCIAL STATEMENTS AND Non-Voting THE REPORT OF THE BOARD FOR 2017 Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 611 of 721 SSGA BANCO SANTANDER SA
Security: E19790109 Agenda Number: 711327127 Ticker: Meeting Type: EGM ISIN: ES0113900J37 Meeting Date: 22-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE IN THE EVENT THE Non-Voting MEETING DOES NOT REACH QUORUM, THERE WILL BE A SECOND CALL ON 23 JULY 2019. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU
1 INCREASES IN SHARE CAPITAL BY SUCH Mgmt For For AMOUNT AS MAY BE DETERMINED PURSUANT TO THE TERMS OF THE RESOLUTION, BY MEANS OF THE ISSUANCE AND PLACEMENT INTO CIRCULATION OF NEW ORDINARY SHARES THAT WILL BE FULLY SUBSCRIBED AND PAID UP BY MEANS OF IN-KIND CONTRIBUTIONS, TO BE USED TO ACQUIRE ALL OF THE SECURITIES REPRESENTING THE SHARE CAPITAL OF BANCO SANTANDER MEXICO, S .A., INSTITUCION DE BANCA MULTIPLE, GRUPO FINANCIERO SANTANDER MEXICO (SANTANDER MEXICO) NOT HELD BY THE SANTANDER GROUP IN AN EXCHANGE OFFER. THE TWO CAPITAL INCREASES WOULD BE USED TO SETTLE THE EXCHANGE OFFER IN TWO STEPS, ALTHOUGH ONLY ONE OF THEM MAY BE IMPLEMENTED IF THE SETTLEMENT FINALLY TAKES PLACE ALL AT ONCE: - INCREASE IN SHARE CAPITAL BY SUCH AMOUNT AS MAY BE DETERMINED PURSUANT TO THE TERMS OF THE RESOLUTION, BY MEANS OF THE ISSUANCE AND PLACEMENT INTO CIRCULATION OF NEW ORDINARY SHARES HAVING A PAR VALUE OF ONE- HALF (0.50) EURO EACH, WITH A SHARE PREMIUM TO BE DETERMINED BY THE BOARD OF DIRECTORS, OR BY ANY OF ITS DELEGATED DECISION-MAKING BODIES OR BY ANY DIRECTOR, BY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 612 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
DELEGATION THERE FROM, PURSUANT TO SECTION 297.1.A) OF THE SPANISH CAPITAL CORPORATIONS LAW, NO LATER THAN THE DATE OF IMPLEMENTATION OF THE RESOLUTION. THE NEW SHARES WILL BE FULLY SUBSCRIBED AND PAID UP BY MEANS OF IN-KIND CONTRIBUTIONS CONSISTING OF SECURITIES REPRESENTING THE SHARE CAPITAL OF SANTANDER MEXICO, I.E. ORDINARY SERIES B SHARES (INCLUDING THOSE REPRESENTED THROUGH AMERICAN DEPOSITARY SHARES (ADSS)) OF SANTANDER MEXICO, IN THE FORM TECHNICALLY AND LEGALLY APPROPRIATE TO COORDINATE THE VARIOUS CLEARING AND SETTLEMENT SYSTEMS AND THE LEGAL PROVISIONS APPLICABLE IN SPAIN, MEXICO AND THE UNITED STATES, INCLUDING, WITHOUT LIMITATION, THE ABILITY TO DELIVER RIGHTS TO SUCH SHARES, WHETHER OR NOT REPRESENTED BY CERTIFICATES (THE PRIMARY INCREASE). EXPRESS PROVISION FOR THE POSSIBILITY OF INCOMPLETE SUBSCRIPTION. - INCREASE IN SHARE CAPITAL BY SUCH AMOUNT AS MAY BE DETERMINED PURSUANT TO THE TERMS OF THE RESOLUTION, BY MEANS OF THE ISSUANCE AND PLACEMENT INTO CIRCULATION OF NEW ORDINARY SHARES HAVING A PAR VALUE OF ONE- HALF (0.50) EURO EACH, WITH A SHARE PREMIUM TO BE DETERMINED BY THE BOARD OF DIRECTORS, OR BY ANY OF ITS DELEGATED DECISION-MAKING BODIES OR BY ANY DIRECTOR, BY DELEGATION THERE FROM, PURSUANT TO SECTION 297.1.A) OF THE SPANISH CAPITAL CORPORATIONS LAW, NO LATER THAN THE DATE OF IMPLEMENTATION OF THE RESOLUTION. THE NEW SHARES WILL BE FULLY SUBSCRIBED AND PAID UP BY MEANS OF IN-KIND CONTRIBUTIONS CONSISTING OF SECURITIES REPRESENTING THE SHARE CAPITAL OF SANTANDER MEXICO, I.E. ORDINARY SERIES B SHARES (INCLUDING THOSE REPRESENTED THROUGH AMERICAN DEPOSITARY SHARES (ADSS)) OF SANTANDER Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 613 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
MEXICO, IN THE FORM TECHNICALLY AND LEGALLY APPROPRIATE TO COORDINATE THE VARIOUS CLEARING AND SETTLEMENT SYSTEMS AND THE LEGAL PROVISIONS APPLICABLE IN SPAIN, MEXICO AND THE UNITED STATES, INCLUDING, WITHOUT LIMITATION, THE ABILITY TO DELIVER RIGHTS TO SUCH SHARES, WHETHER OR NOT REPRESENTED BY CERTIFICATES (THE COMPLEMENTARY INCREASE). EXPRESS PROVISION FOR THE POSSIBILITY OF INCOMPLETE SUBSCRIPTION. DELEGATION OF POWERS TO THE BOARD OF DIRECTORS, WHICH MAY IN TURN DELEGATE SUCH POWERS TO ANY OF ITS DELEGATED DECISION-MAKING BODIES OR TO ANY DIRECTOR, TO ESTABLISH THE TERMS AND CONDITIONS OF THE INCREASES AS TO ALL MATTERS NOT PROVIDED FOR BY THE SHAREHOLDERS AT THE GENERAL SHAREHOLDERS MEETING, TO TAKE SUCH ACTIONS AS MAY BE REQUIRED FOR IMPLEMENTATION HEREOF, TO AMEND THE TEXT OF SECTIONS 1 AND 2 OF ARTICLE 5 OF THE BYLAWS TO REFLECT THE NEW AMOUNT OF SHARE CAPITAL, AND TO EXECUTE SUCH DOCUMENTS AS MAY BE NECESSARY OR APPROPRIATE TO CARRY OUT THE INCREASES. APPLICATION TO THE APPROPRIATE DOMESTIC AND FOREIGN AUTHORITIES FOR ADMISSION TO TRADING OF THE NEW SHARES ON THE MADRID, BARCELONA, VALENCIA AND BILBAO STOCK EXCHANGES THROUGH SPAINS AUTOMATED QUOTATION SYSTEM (CONTINUOUS MARKET) AND ON THE FOREIGN STOCK EXCHANGES ON WHICH THE SHARES OF THE BANK ARE LISTED (CURRENTLY LONDON, WARSAW AND, THROUGH ADSS, ON THE NEW YORK STOCK EXCHANGE), AS WELL AS ON THE MEXICAN STOCK EXCHANGE, ALL IN THE MANNER REQUIRED BY EACH OF SUCH STOCK EXCHANGES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 614 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
2 AUTHORISATION TO THE BOARD OF Mgmt For For DIRECTORS TO INTERPRET, REMEDY, SUPPLEMENT, IMPLEMENT AND DEVELOP THE RESOLUTIONS APPROVED BY THE SHAREHOLDERS AT THE MEETING, AS WELL AS TO DELEGATE THE POWERS RECEIVED FROM THE SHAREHOLDERS AT THE MEETING, AND GRANT OF POWERS TO CONVERT SUCH RESOLUTIONS INTO NOTARIAL INSTRUMENTS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 615 of 721 SSGA BANK HAPOALIM B.M.
Security: M1586M115 Agenda Number: 711323345 Ticker: Meeting Type: AGM ISIN: IL0006625771 Meeting Date: 18-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT AS A CONDITION OF VOTING, ISRAELI Non-Voting MARKET REGULATIONS REQUIRE THAT YOU DISCLOSE WHETHER YOU HAVE A) A PERSONAL INTEREST IN THIS COMPANY B) ARE A CONTROLLING SHAREHOLDER IN THIS COMPANY C) ARE A SENIOR OFFICER OF THIS COMPANY D) THAT YOU ARE AN INSTITUTIONAL CLIENT, JOINT INVESTMENT FUND MANAGER OR TRUST FUND. BY VOTING THROUGH THE PROXY EDGE PLATFORM YOU ARE CONFIRMING THE ANSWER FOR A, B AND C TO BE NO AND THE ANSWER FOR D TO BE YES. SHOULD THIS NOT BE THE CASE PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE SO THAT WE MAY LODGE YOUR VOTE INSTRUCTIONS ACCORDINGLY
1 DISCUSS FINANCIAL STATEMENTS AND Non-Voting THE REPORT OF THE BOARD
2 REAPPOINT SOMEKH CHAIKIN AND ZIV Mgmt For For HAFT AS JOINT AUDITORS
3 AMEND ARTICLES RE: BOARD-RELATED Mgmt For For MATTERS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 616 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT ALTHOUGH THERE Non-Voting ARE 2 CANDIDATES TO BE ELECTED AS DIRECTORS, THERE IS ONLY 1 VACANCY AVAILABLE TO BE FILLED AT THE MEETING. THE STANDING INSTRUCTIONS FOR THIS MEETING WILL BE DISABLED AND, IF YOU CHOOSE, YOU ARE REQUIRED TO VOTE FOR, AGAINST OR ABSTAIN ON ONLY 1 OF THE 2 DIRECTORS AND TO SELECT 'CLEAR' FOR THE OTHERS. THANK YOU
4.1 ELECT DAVID AVNER AS EXTERNAL Mgmt No vote DIRECTOR
4.2 ELECT ARIE ORLEV AS EXTERNAL Mgmt For For DIRECTOR
CMMT PLEASE NOTE THAT ALTHOUGH THERE Non-Voting ARE 3 OPTIONS TO INDICATE A PREFERENCE ON THIS RESOLUTION, ONLY TWO CAN BE SELECTED. THE STANDING INSTRUCTIONS FOR THIS MEETING WILL BE DISABLED AND, IF YOU CHOOSE, YOU ARE REQUIRED TO VOTE FOR ONLY 2 OF THE 3 OPTIONS BELOW, YOUR OTHER VOTES MUST BE EITHER AGAINST OR ABSTAIN THANK YOU
5.1 ELECT NOAM HANEGBI AS EXTERNAL Mgmt Abstain Against DIRECTOR
5.2 ELECT ISRAEL ZICHL AS EXTERNAL Mgmt For For DIRECTOR
5.3 REELECT RUBEN KRUPIK AS EXTERNAL Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 617 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT ALTHOUGH THERE Non-Voting ARE 3 OPTIONS TO INDICATE A PREFERENCE ON THIS RESOLUTION, ONLY TWO CAN BE SELECTED. THE STANDING INSTRUCTIONS FOR THIS MEETING WILL BE DISABLED AND, IF YOU CHOOSE, YOU ARE REQUIRED TO VOTE FOR ONLY 2 OF THE 3 OPTIONS BELOW, YOUR OTHER VOTES MUST BE EITHER AGAINST OR ABSTAIN THANK YOU
6.1 ELECT TAMAR BAR NOY GOTTLIN AS Mgmt Abstain Against DIRECTOR
6.2 REELECT ODED ERAN AS DIRECTOR Mgmt For For
6.3 ELECT DAVID ZVILICHOVSKY AS Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 618 of 721 SSGA BANK LEUMI LE-ISRAEL B.M.
Security: M16043107 Agenda Number: 711322583 Ticker: Meeting Type: OGM ISIN: IL0006046119 Meeting Date: 18-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT AS A CONDITION OF VOTING, ISRAELI Non-Voting MARKET REGULATIONS REQUIRE THAT YOU DISCLOSE WHETHER YOU HAVE A) A PERSONAL INTEREST IN THIS COMPANY B) ARE A CONTROLLING SHAREHOLDER IN THIS COMPANY C) ARE A SENIOR OFFICER OF THIS COMPANY D) THAT YOU ARE AN INSTITUTIONAL CLIENT, JOINT INVESTMENT FUND MANAGER OR TRUST FUND. BY VOTING THROUGH THE PROXY EDGE PLATFORM YOU ARE CONFIRMING THE ANSWER FOR A, B AND C TO BE NO AND THE ANSWER FOR D TO BE YES. SHOULD THIS NOT BE THE CASE PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE SO THAT WE MAY LODGE YOUR VOTE INSTRUCTIONS ACCORDINGLY
1 DEBATE OF BANK FINANCIAL Non-Voting STATEMENTS AND BOARD REPORT FOR THE YEAR ENDED DECEMBER 31ST 2018
2 REAPPOINTMENT OF THE SOMECH Mgmt For For HAIKIN (KPMG) AND KOST FORER GABBAY AND KASIERER (EY) CPA FIRMS AS BANK JOINT AUDITING ACCOUNTANTS, AND AUTHORIZATION OF BANK BOARD TO DETERMINE THEIR COMPENSATION
3 APPOINTMENT OF THE SOMECH HAIKIN Mgmt For For (KPMG) AND BRIGHTMAN ALMAGOR ZOHAR AND CO. (DELOITTE) CPA FIRMS AS BANK JOINT AUDITING ACCOUNTANTS, AND AUTHORIZATION OF BANK BOARD TO DETERMINE THEIR COMPENSATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 619 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT ALTHOUGH THERE Non-Voting ARE 2 CANDIDATES TO BE ELECTED AS DIRECTORS, THERE IS ONLY 1 VACANCY AVAILABLE TO BE FILLED AT THE MEETING. THE STANDING INSTRUCTIONS FOR THIS MEETING WILL BE DISABLED AND, IF YOU CHOOSE, YOU ARE REQUIRED TO VOTE FOR ONLY 1 OF THE 2 DIRECTORS. THANK YOU
4.1 APPOINTMENT OF DIRECTOR: MS. IRIT Mgmt For For SHLOMI
4.2 APPOINTMENT OF DIRECTOR: MR. HAIM Mgmt No vote JACOB KRUPSKY
5 APPROVAL OF BOARD CHAIRMAN'S Mgmt For For PARTICIPATION IN THE OFFER OF SHARES BY THE STATE TO BANK EMPLOYEES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 620 of 721 SSGA BRITISH LAND COMPANY PLC
Security: G15540118 Agenda Number: 711315021 Ticker: Meeting Type: AGM ISIN: GB0001367019 Meeting Date: 19-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE ANNUAL REPORT AND Mgmt For For AUDITED FINANCIAL STATEMENTS FOR THE YEAR ENDED 31 MARCH 2019
2 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION REPORT FOR THE YEAR ENDED 31 MARCH 2019
3 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION POLICY
4 TO DECLARE A FINAL DIVIDEND Mgmt For For
5 TO RE-ELECT SIMON CARTER AS A Mgmt For For DIRECTOR
6 TO RE-ELECT LYNN GLADDEN AS A Mgmt For For DIRECTOR
7 TO RE-ELECT CHRIS GRIGG AS A Mgmt For For DIRECTOR
8 TO RE-ELECT ALASTAIR HUGHES AS A Mgmt For For DIRECTOR
9 TO RE-ELECT WILLIAM JACKSON AS A Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 621 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO RE-ELECT NICHOLAS MACPHERSON Mgmt For For AS A DIRECTOR
11 TO RE-ELECT PREBEN PREBENSEN AS A Mgmt For For DIRECTOR
12 TO RE-ELECT TIM SCORE AS A DIRECTOR Mgmt For For
13 TO RE-ELECT LAURA WADE-GERY AS A Mgmt For For DIRECTOR
14 TO RE-ELECT REBECCA WORTHINGTON Mgmt For For AS A DIRECTOR
15 TO RE-APPOINT Mgmt For For PRICEWATERHOUSECOOPERS LLP AS AUDITOR OF THE COMPANY
16 TO AUTHORISE THE AUDIT COMMITTEE Mgmt For For TO AGREE THE AUDITOR'S REMUNERATION
17 TO AUTHORISE THE COMPANY TO MAKE Mgmt For For POLITICAL DONATIONS AND POLITICAL EXPENDITURE OF NOT MORE THAN GBP 20,000 IN TOTAL
18 TO AUTHORISE THE DIRECTORS TO PAY Mgmt For For DIVIDENDS AS SHARES (SCRIP DIVIDENDS)
19 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT SHARES, UP TO A LIMITED AMOUNT Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 622 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
20 TO EMPOWER THE DIRECTORS TO ALLOT Mgmt For For SHARES FOR CASH, WITHOUT MAKING A PRE-EMPTIVE OFFER TO SHAREHOLDERS, UP TO THE SPECIFIED AMOUNT
21 TO EMPOWER THE DIRECTORS TO ALLOT Mgmt For For ADDITIONAL SHARES FOR CASH, WITHOUT MAKING A PRE-EMPTIVE OFFER TO SHAREHOLDERS, UP TO THE SPECIFIED AMOUNT FOR USE IN CONNECTION WITH AN ACQUISITION OR CAPITAL INVESTMENT
22 TO AUTHORISE THE COMPANY TO Mgmt For For PURCHASE ITS OWN SHARES, UP TO THE SPECIFIED LIMIT
23 TO AUTHORISE THE CALLING OF Mgmt For For GENERAL MEETINGS (OTHER THAN AN ANNUAL GENERAL MEETING) ON NOT LESS THAN 14 CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 623 of 721 SSGA BT GROUP PLC
Security: G16612106 Agenda Number: 711238483 Ticker: Meeting Type: AGM ISIN: GB0030913577 Meeting Date: 10-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 ACCEPT FINANCIAL STATEMENTS AND Mgmt For For STATUTORY REPORTS
2 APPROVE REMUNERATION REPORT Mgmt For For
3 APPROVE FINAL DIVIDEND Mgmt For For
4 RE-ELECT JAN DU PLESSIS AS DIRECTOR Mgmt For For
5 RE-ELECT SIMON LOWTH AS DIRECTOR Mgmt For For
6 RE-ELECT IAIN CONN AS DIRECTOR Mgmt For For
7 RE-ELECT TIM HOTTGES AS DIRECTOR Mgmt For For
8 RE-ELECT ISABEL HUDSON AS DIRECTOR Mgmt For For
9 RE-ELECT MIKE INGLIS AS DIRECTOR Mgmt For For
10 RE-ELECT NICK ROSE AS DIRECTOR Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 624 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 RE-ELECT JASMINE WHITBREAD AS Mgmt For For DIRECTOR
12 ELECT PHILIP JANSEN AS DIRECTOR Mgmt For For
13 ELECT MATTHEW KEY AS DIRECTOR Mgmt For For
14 ELECT ALLISON KIRKBY AS DIRECTOR Mgmt For For
15 REAPPOINT KPMG LLP AS AUDITORS Mgmt For For
16 AUTHORISE THE AUDIT AND RISK Mgmt For For COMMITTEE TO FIX REMUNERATION OF AUDITORS
17 AUTHORISE ISSUE OF EQUITY Mgmt For For
18 AUTHORISE ISSUE OF EQUITY WITHOUT Mgmt For For PRE-EMPTIVE RIGHTS
19 AUTHORISE MARKET PURCHASE OF Mgmt For For ORDINARY SHARES
20 AUTHORISE THE COMPANY TO CALL Mgmt For For GENERAL MEETING WITH TWO WEEKS' NOTICE
21 AUTHORISE EU POLITICAL DONATIONS Mgmt For For AND EXPENDITURE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 625 of 721 SSGA BURBERRY GROUP PLC
Security: G1700D105 Agenda Number: 711301488 Ticker: Meeting Type: AGM ISIN: GB0031743007 Meeting Date: 17-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 ACCEPT FINANCIAL STATEMENTS AND Mgmt For For STATUTORY REPORTS
2 APPROVE REMUNERATION REPORT Mgmt For For
3 APPROVE FINAL DIVIDEND: 31.5P PER Mgmt For For ORDINARY SHARE
4 RE-ELECT DR GERRY MURPHY AS Mgmt For For DIRECTOR
5 RE-ELECT FABIOLA ARREDONDO AS Mgmt For For DIRECTOR
6 RE-ELECT JEREMY DARROCH AS Mgmt For For DIRECTOR
7 RE-ELECT RON FRASCH AS DIRECTOR Mgmt For For
8 RE-ELECT MATTHEW KEY AS DIRECTOR Mgmt For For
9 RE-ELECT DAME CAROLYN MCCALL AS Mgmt For For DIRECTOR
10 RE-ELECT ORNA NICHIONNA AS Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 626 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 RE-ELECT MARCO GOBBETTI AS Mgmt For For DIRECTOR
12 RE-ELECT JULIE BROWN AS DIRECTOR Mgmt For For
13 REAPPOINT Mgmt For For PRICEWATERHOUSECOOPERS LLP AS AUDITORS
14 AUTHORISE THE AUDIT COMMITTEE TO Mgmt For For FIX REMUNERATION OF AUDITORS
15 AUTHORISE EU POLITICAL DONATIONS Mgmt For For AND EXPENDITURE
16 AUTHORISE ISSUE OF EQUITY Mgmt For For
17 AUTHORISE ISSUE OF EQUITY WITHOUT Mgmt For For PRE-EMPTIVE RIGHTS
18 AUTHORISE MARKET PURCHASE OF Mgmt For For ORDINARY SHARES
19 AUTHORISE THE COMPANY TO CALL Mgmt For For GENERAL MEETING WITH TWO WEEKS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 627 of 721 SSGA CAE INC
Security: 124765108 Agenda Number: 711361117 Ticker: Meeting Type: AGM ISIN: CA1247651088 Meeting Date: 14-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT SHAREHOLDERS Non-Voting ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' ONLY FOR RESOLUTION 3 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBERS 1.1 TO 1.10 AND 2. THANK YOU
1.1 ELECTION OF DIRECTOR: MARGARET S. Mgmt For For BILLSON
1.2 ELECTION OF DIRECTOR: HON. MICHAEL Mgmt For For M. FORTIER
1.3 ELECTION OF DIRECTOR: MARIANNE Mgmt For For HARRISON
1.4 ELECTION OF DIRECTOR: ALAN N. Mgmt For For MACGIBBON
1.5 ELECTION OF DIRECTOR: HON. JOHN P. Mgmt For For MANLEY
1.6 ELECTION OF DIRECTOR: FRANCOIS Mgmt For For OLIVIER
1.7 ELECTION OF DIRECTOR: MARC PARENT Mgmt For For
1.8 ELECTION OF DIRECTOR: MICHAEL E. Mgmt For For ROACH Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 628 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1.9 ELECTION OF DIRECTOR: GEN NORTON Mgmt For For A. SCHWARTZ USAF (RET.)
1.10 ELECTION OF DIRECTOR: ANDREW J. Mgmt For For STEVENS
2 APPOINTMENT OF Mgmt For For PRICEWATERHOUSECOOPERS, LLP AS AUDITORS AND AUTHORIZATION OF THE DIRECTORS TO FIX THEIR REMUNERATION
3 CONSIDERING AN ADVISORY (NON- Mgmt Against Against BINDING) RESOLUTION ON EXECUTIVE COMPENSATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 629 of 721 SSGA CANOPY GROWTH CORP
Security: 138035100 Agenda Number: 711500517 Ticker: Meeting Type: AGM ISIN: CA1380351009 Meeting Date: 17-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT SHAREHOLDERS Non-Voting ARE ALLOWED TO VOTE 'IN FAVOR' OR 'ABSTAIN' FOR RESOLUTION NUMBERS 1.1 TO 1.7 AND 2. THANK YOU
1.1 ELECTION OF DIRECTOR: JOHN K. BELL Mgmt For For
1.2 ELECTION OF DIRECTOR: ROBERT Mgmt For For HANSON
1.3 ELECTION OF DIRECTOR: DAVID KLEIN Mgmt For For
1.4 ELECTION OF DIRECTOR: WILLIAM Mgmt For For NEWLANDS
1.5 ELECTION OF DIRECTOR: JUDY A. Mgmt For For SCHMELING
1.6 ELECTION OF DIRECTOR: PETER Mgmt For For STRINGHAM
1.7 ELECTION OF DIRECTOR: MARK ZEKULIN Mgmt For For
2 APPOINTMENT OF KPMG LLP AS Mgmt For For AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 630 of 721 SSGA COMPAGNIE FINANCIERE RICHEMONT SA
Security: H25662182 Agenda Number: 711446028 Ticker: Meeting Type: AGM ISIN: CH0210483332 Meeting Date: 11-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT BENEFICIAL OWNER Non-Voting DETAILS IS REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU.
1 THE BOARD OF DIRECTORS PROPOSES Mgmt For For THAT THE GENERAL MEETING, HAVING TAKEN NOTE OF THE REPORTS OF THE AUDITOR, APPROVE THE CONSOLIDATED FINANCIAL STATEMENTS OF THE GROUP, THE FINANCIAL STATEMENTS OF THE COMPANY AND THE DIRECTORS' REPORT FOR THE BUSINESS YEAR ENDED 31 MARCH 2019
2 APPROPRIATION OF PROFITS: CHF 2.00 Mgmt For For BE PAID PER RICHEMONT SHARE
3 THE BOARD OF DIRECTORS PROPOSES Mgmt For For THAT ITS MEMBERS AND THE MEMBERS OF THE SENIOR EXECUTIVE COMMITTEE BE RELEASED FROM THEIR LIABILITIES IN RESPECT OF THE BUSINESS YEAR ENDED 31 MARCH 2019
4.1 RE-ELECTION OF THE BOARD OF Mgmt Against Against DIRECTOR AND ITS CHAIRMAN: JOHANN RUPERT
4.2 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt Against Against JOSUA MALHERBE TO SERVE FOR A FURTHER TERM OF ONE YEAR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 631 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4.3 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt Against Against NIKESH ARORA TO SERVE FOR A FURTHER TERM OF ONE YEAR
4.4 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt For For NICOLAS BOS TO SERVE FOR A FURTHER TERM OF ONE YEAR
4.5 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt For For CLAY BRENDISH TO SERVE FOR A FURTHER TERM OF ONE YEAR
4.6 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt Against Against JEAN-BLAISE ECKERT TO SERVE FOR A FURTHER TERM OF ONE YEAR
4.7 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt For For BURKHART GRUND TO SERVE FOR A FURTHER TERM OF ONE YEAR
4.8 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt For For SOPHIE GUIEYSSE TO SERVE FOR A FURTHER TERM OF ONE YEAR
4.9 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt For For KEYU JIN TO SERVE FOR A FURTHER TERM OF ONE YEAR
4.10 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt For For JEROME LAMBERT TO SERVE FOR A FURTHER TERM OF ONE YEAR
4.11 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt Against Against RUGGERO MAGNONI TO SERVE FOR A FURTHER TERM OF ONE YEAR
4.12 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt For For JEFF MOSS TO SERVE FOR A FURTHER TERM OF ONE YEAR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 632 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4.13 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt For For VESNA NEVISTIC TO SERVE FOR A FURTHER TERM OF ONE YEAR
4.14 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt For For GUILLAUME PICTET TO SERVE FOR A FURTHER TERM OF ONE YEAR
4.15 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt Against Against ALAN QUASHA TO SERVE FOR A FURTHER TERM OF ONE YEAR
4.16 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt For For MARIA RAMOS TO SERVE FOR A FURTHER TERM OF ONE YEAR
4.17 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt Against Against ANTON RUPERT TO SERVE FOR A FURTHER TERM OF ONE YEAR
4.18 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt Against Against JAN RUPERT TO SERVE FOR A FURTHER TERM OF ONE YEAR
4.19 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt Against Against GARY SAAGE TO SERVE FOR A FURTHER TERM OF ONE YEAR
4.20 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt For For CYRILLE VIGNERON TO SERVE FOR A FURTHER TERM OF ONE YEAR
CMMT IF CLAY BRENDISH IS RE-ELECTED, THEN Non-Voting CLAY BRENDISH WILL BE APPOINTED CHAIRMAN OF THE COMPENSATION COMMITTEE. THANK YOU Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 633 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
5.1 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt For For CLAY BRENDISH TO THE COMPENSATION COMMITTEE FOR A TERM OF ONE YEAR
5.2 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt For For KEYU JIN TO THE COMPENSATION COMMITTEE FOR A TERM OF ONE YEAR
5.3 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt For For GUILLAUME PICTET TO THE COMPENSATION COMMITTEE FOR A TERM OF ONE YEAR
5.4 RE-ELECTION OF BOARD OF DIRECTOR: Mgmt For For MARIA RAMOS TO THE COMPENSATION COMMITTEE FOR A TERM OF ONE YEAR
6 RE-ELECTION OF THE AUDITOR: Mgmt For For PRICEWATERHOUSECOOPERS
7 ELECTION OF THE INDEPENDENT Mgmt For For REPRESENTATIVE: THE BOARD OF DIRECTORS PROPOSES THE ELECTION OF THE FIRM ETUDE GAMPERT & DEMIERRE, NOTAIRES, AS INDEPENDENT REPRESENTATIVE OF THE SHAREHOLDERS FOR A TERM OF ONE YEAR
8.1 APPROVAL OF THE MAXIMUM Mgmt For For AGGREGATE AMOUNT OF COMPENSATION OF THE MEMBERS OF THE BOARD OF DIRECTORS
8.2 APPROVAL OF THE MAXIMUM Mgmt For For AGGREGATE AMOUNT OF FIXED COMPENSATION OF THE MEMBERS OF THE SENIOR EXECUTIVE COMMITTEE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 634 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8.3 APPROVAL OF THE MAXIMUM Mgmt Against Against AGGREGATE AMOUNT OF VARIABLE COMPENSATION OF THE MEMBERS OF THE SENIOR EXECUTIVE COMMITTEE
CMMT PART 2 OF THIS MEETING IS FOR VOTING Non-Voting ON AGENDA AND MEETING ATTENDANCE REQUESTS ONLY. PLEASE ENSURE THAT YOU HAVE FIRST VOTED IN FAVOUR OF THE REGISTRATION OF SHARES IN PART 1 OF THE MEETING. IT IS A MARKET REQUIREMENT FOR MEETINGS OF THIS TYPE THAT THE SHARES ARE REGISTERED AND MOVED TO A REGISTERED LOCATION AT THE CSD, AND SPECIFIC POLICIES AT THE INDIVIDUAL SUB-CUSTODIANS MAY VARY. UPON RECEIPT OF THE VOTE INSTRUCTION, IT IS POSSIBLE THAT A MARKER MAY BE PLACED ON YOUR SHARES TO ALLOW FOR RECONCILIATION AND RE-REGISTRATION FOLLOWING A TRADE. THEREFORE WHILST THIS DOES NOT PREVENT THE TRADING OF SHARES, ANY THAT ARE REGISTERED MUST BE FIRST DEREGISTERED IF REQUIRED FOR SETTLEMENT. DEREGISTRATION CAN AFFECT THE VOTING RIGHTS OF THOSE SHARES. IF YOU HAVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 635 of 721 SSGA DCC PLC
Security: G2689P101 Agenda Number: 711318724 Ticker: Meeting Type: AGM ISIN: IE0002424939 Meeting Date: 12-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO REVIEW THE COMPANY'S AFFAIRS Mgmt For For AND TO RECEIVE AND CONSIDER THE FINANCIAL STATEMENTS FOR THE YEAR ENDED 31 MARCH 2019, TOGETHER WITH THE REPORTS OF THE DIRECTORS AND THE AUDITORS THEREON
2 TO DECLARE A FINAL DIVIDEND OF 93.37 Mgmt For For PENCE PER SHARE FOR THE YEAR ENDED 31 MARCH 2019
3 TO CONSIDER THE REMUNERATION Mgmt For For REPORT (EXCLUDING THE REMUNERATION POLICY) AS SET OUT ON PAGES 93 TO 118 OF THE 2019 ANNUAL REPORT AND ACCOUNTS
4.A TO RE-ELECT THE FOLLOWING Mgmt For For DIRECTOR: MARK BREUER
4.B TO RE-ELECT THE FOLLOWING Mgmt For For DIRECTOR: CAROLINE DOWLING
4.C TO RE-ELECT THE FOLLOWING Mgmt For For DIRECTOR: DAVID JUKES
4.D TO RE-ELECT THE FOLLOWING Mgmt For For DIRECTOR: PAMELA KIRBY
4.E TO RE-ELECT THE FOLLOWING Mgmt For For DIRECTOR: JANE LODGE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 636 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4.F TO RE-ELECT THE FOLLOWING Mgmt For For DIRECTOR: CORMAC MCCARTHY
4.G TO RE-ELECT THE FOLLOWING Mgmt For For DIRECTOR: JOHN MOLONEY
4.H TO RE-ELECT THE FOLLOWING Mgmt For For DIRECTOR: DONAL MURPHY
4.I TO RE-ELECT THE FOLLOWING Mgmt For For DIRECTOR: FERGAL O'DWYER
4.J TO RE-ELECT THE FOLLOWING Mgmt For For DIRECTOR: MARK RYAN
4.K TO RE-ELECT THE FOLLOWING Mgmt For For DIRECTOR: LESLIE VAN DE WALLE
5 TO AUTHORISE THE DIRECTORS TO Mgmt For For DETERMINE THE REMUNERATION OF THE AUDITORS
6 TO DETERMINE THE ORDINARY Mgmt For For REMUNERATION PAYABLE TO NON- EXECUTIVE DIRECTORS AT A MAXIMUM OF EUR 850,000 PER ANNUM
7 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT SHARES
8 TO AUTHORISE THE DIRECTORS TO DIS- Mgmt For For APPLY PRE-EMPTION RIGHTS IN CERTAIN CIRCUMSTANCES (RELATING TO RIGHTS ISSUES OR OTHER ISSUES UP TO A LIMIT OF 5% OF ISSUED SHARE CAPITAL (EXCLUDING TREASURY SHARES) Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 637 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
9 TO AUTHORISE THE DIRECTORS TO DIS- Mgmt For For APPLY PRE-EMPTION RIGHTS IN CERTAIN CIRCUMSTANCES (RELATING TO ACQUISITIONS OR OTHER CAPITAL INVESTMENTS UP TO A LIMIT OF 5% OF ISSUED SHARE CAPITAL (EXCLUDING TREASURY SHARES)
10 TO AUTHORISE THE DIRECTORS TO Mgmt For For MAKE MARKET PURCHASES OF THE COMPANY'S OWN SHARES
11 TO FIX THE RE-ISSUE PRICE OF THE Mgmt For For COMPANY'S SHARES HELD AS TREASURY SHARES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 638 of 721 SSGA DIAGEO PLC
Security: G42089113 Agenda Number: 711494093 Ticker: Meeting Type: AGM ISIN: GB0002374006 Meeting Date: 19-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 REPORT AND ACCOUNTS 2019 Mgmt For For
2 DIRECTORS' REMUNERATION REPORT Mgmt For For 2019
3 DECLARATION OF FINAL DIVIDEND Mgmt For For
4 ELECTION OF D CREW (1,3,4) AS A Mgmt For For DIRECTOR
5 RE-ELECTION OF LORD DAVIES (1,3,4) AS Mgmt For For A DIRECTOR
6 RE-ELECTION OF J FERRAN (3') AS A Mgmt For For DIRECTOR
7 RE-ELECTION OF S KILSBY (1,3,4') AS A Mgmt For For DIRECTOR
8 RE-ELECTION OF H KWONPING (1,3,4) AS Mgmt For For A DIRECTOR
9 RE-ELECTION OF N MENDELSOHN (1,3,4) Mgmt For For AS A DIRECTOR
10 RE-ELECTION OF I MENEZES (2') AS A Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 639 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 RE-ELECTION OF K MIKELLS (2) AS A Mgmt For For DIRECTOR
12 RE-ELECTION OF A STEWART (1',3,4) AS A Mgmt For For DIRECTOR
13 RE-APPOINTMENT OF AUDITOR: Mgmt For For PRICEWATERHOUSECOOPERS LLP
14 REMUNERATION OF AUDITOR Mgmt For For
15 AUTHORITY TO MAKE POLITICAL Mgmt For For DONATIONS AND/OR TO INCUR POLITICAL EXPENDITURE
16 AUTHORITY TO ALLOT SHARES Mgmt For For
17 APPROVAL OF THE IRISH SHARESAVE Mgmt For For SCHEME
18 DISAPPLICATION OF PRE-EMPTION Mgmt For For RIGHTS
19 AUTHORITY TO PURCHASE OWN SHARES Mgmt For For
20 REDUCED NOTICE OF A GENERAL Mgmt For For MEETING OTHER THAN AN AGM
21 APPROVAL AND ADOPTION OF NEW Mgmt For For ARTICLES OF ASSOCIATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 640 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT 13 AUG 2019: PLEASE NOTE THAT THIS IS Non-Voting A REVISION DUE TO RECEIPT OF AUDITOR'S NAME. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 641 of 721 SSGA EMPIRE CO LTD
Security: 291843407 Agenda Number: 711462084 Ticker: Meeting Type: AGM ISIN: CA2918434077 Meeting Date: 12-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT SHAREHOLDERS Non-Voting ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR RESOLUTION 1, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING
1 THE ADVISORY RESOLUTION ON THE Mgmt Against Against COMPANY'S APPROACH TO EXECUTIVE COMPENSATION AS SET OUT IN THE INFORMATION CIRCULAR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 642 of 721 SSGA ETN. FR. COLRUYT NV NAAMLOZE VENNOOTSCHAP
Security: B26882231 Agenda Number: 711525280 Ticker: Meeting Type: OGM ISIN: BE0974256852 Meeting Date: 25-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE
1 RECEIVE AND APPROVE DIRECTORS AND Mgmt For For AUDITORS REPORTS, AND REPORT OF THE WORKS COUNCIL
2 APPROVE REMUNERATION REPORT Mgmt Against Against
3.A ADOPT FINANCIAL STATEMENTS Mgmt For For
3.B ACCEPT CONSOLIDATED FINANCIAL Mgmt For For STATEMENTS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 643 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4 APPROVE DIVIDENDS OF EUR 1.31 PER Mgmt For For SHARE
5 APPROVE ALLOCATION OF INCOME Mgmt For For
6 APPROVE PROFIT PARTICIPATION OF Mgmt For For EMPLOYEES THROUGH ALLOTMENT OF REPURCHASED SHARES OF COLRUYT
7 APPROVE CO OPTATION OF FAST Mgmt For For FORWARD SERVICES BVBA, PERMANENTLY REPRESENTED BY RIKA COPPENS, AS INDEPENDENT DIRECTOR
8 REELECT 7 CAPITAL SPRL, Mgmt For For PERMANENTLY REPRESENTED BY CHANTAL DE VRIEZE, AS INDEPENDENT DIRECTOR
9 RATIFY ERNST AND YOUNG AS AUDITORS Mgmt For For
10 APPROVE DISCHARGE OF DIRECTORS Mgmt For For
11 APPROVE DISCHARGE OF AUDITORS Mgmt For For
12 TRANSACT OTHER BUSINESS Non-Voting
CMMT 30 AUG 2019: PLEASE NOTE THAT THE Non-Voting MEETING TYPE WAS CHANGED FROM AGM TO OGM. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 644 of 721 SSGA EXPERIAN PLC
Security: G32655105 Agenda Number: 711321935 Ticker: Meeting Type: AGM ISIN: GB00B19NLV48 Meeting Date: 24-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 RECEIPT OF THE ANNUAL REPORT AND Mgmt For For FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR ENDED 31 MARCH 2019
2 TO RECEIVE AND CONSIDER THE Mgmt For For REPORT ON DIRECTORS' REMUNERATION CONTAINED IN THE ANNUAL REPORT OF THE COMPANY FOR THE YEAR ENDED 31 MARCH 2019
3 TO RE-ELECT DR RUBA BORNO AS A Mgmt For For DIRECTOR OF THE COMPANY
4 TO RE-ELECT BRIAN CASSIN AS A Mgmt For For DIRECTOR OF THE COMPANY
5 TO RE-ELECT CAROLINE DONAHUE AS A Mgmt For For DIRECTOR OF THE COMPANY
6 TO RE-ELECT LUIZ FLEURY AS A Mgmt For For DIRECTOR OF THE COMPANY
7 TO RE-ELECT DEIRDRE MAHLAN AS A Mgmt For For DIRECTOR OF THE COMPANY
8 TO RE-ELECT LLOYD PITCHFORD AS A Mgmt For For DIRECTOR OF THE COMPANY
9 TO RE-ELECT MIKE ROGERS AS A Mgmt For For DIRECTOR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 645 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO RE-ELECT GEORGE ROSE AS A Mgmt For For DIRECTOR OF THE COMPANY
11 TO RE-ELECT KERRY WILLIAMS AS A Mgmt For For DIRECTOR OF THE COMPANY
12 TO RE-APPOINT KPMG LLP AS AUDITOR Mgmt For For OF THE COMPANY
13 DIRECTORS' AUTHORITY TO DETERMINE Mgmt For For THE AUDITOR'S REMUNERATION
14 DIRECTORS' AUTHORITY TO ALLOT Mgmt For For RELEVANT SECURITIES
15 DIRECTORS' AUTHORITY TO DISAPPLY Mgmt For For PRE-EMPTION RIGHTS
16 ADDITIONAL DIRECTORS' AUTHORITY TO Mgmt For For DISAPPLY PRE-EMPTION RIGHTS FOR ACQUISITIONS/SPECIFIED CAPITAL INVESTMENTS
17 DIRECTORS' AUTHORITY TO PURCHASE Mgmt For For THE COMPANY'S OWN SHARES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 646 of 721 SSGA FISHER & PAYKEL HEALTHCARE CORPORATION LTD
Security: Q38992105 Agenda Number: 711418384 Ticker: Meeting Type: AGM ISIN: NZFAPE0001S2 Meeting Date: 28-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT VOTING EXCLUSIONS APPLY TO THIS Non-Voting MEETING FOR PROPOSALS "5 AND 6" AND VOTES CAST BY ANY INDIVIDUAL OR RELATED PARTY WHO BENEFIT FROM THE PASSING OF THE PROPOSAL/S WILL BE DISREGARDED. HENCE, IF YOU HAVE OBTAINED BENEFIT OR DO EXPECT TO OBTAIN FUTURE BENEFIT YOU SHOULD NOT VOTE (OR VOTE "ABSTAIN") FOR THE RELEVANT PROPOSAL ITEMS
1 TO RE-ELECT LEWIS GRADON AS A Mgmt For For DIRECTOR
2 TO RE-ELECT DONAL O'DWYER AS A Mgmt For For DIRECTOR
3 TO ELECT NEVILLE MITCHELL AS A Mgmt For For DIRECTOR
4 TO AUTHORISE THE DIRECTORS TO FIX Mgmt For For THE FEES AND EXPENSES OF THE AUDITOR
5 TO APPROVE THE ISSUE OF SHARE Mgmt For For RIGHTS TO LEWIS GRADON
6 TO APPROVE THE ISSUE OF OPTIONS TO Mgmt For For LEWIS GRADON
7 TO AMEND THE CONSTITUTION OF THE Mgmt For For COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 647 of 721 SSGA HALMA PLC
Security: G42504103 Agenda Number: 711334184 Ticker: Meeting Type: AGM ISIN: GB0004052071 Meeting Date: 25-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE ACCOUNTS AND THE Mgmt For For REPORTS OF THE DIRECTORS (INCLUDING THE STRATEGIC REPORT) AND THE AUDITOR FOR THE YEAR ENDED 31 MARCH 2019
2 TO DECLARE A FINAL DIVIDEND OF 9.60P Mgmt For For PER SHARE FOR THE YEAR ENDED 31 MARCH 2019, PAYABLE ON 14 AUGUST 2019 TO SHAREHOLDERS ON THE REGISTER OF MEMBERS AT THE CLOSE OF BUSINESS ON 12 JULY 2019
3 TO APPROVE THE REMUNERATION Mgmt For For REPORT FOR THE YEAR ENDED 31 MARCH 2019 AS SET OUT ON PAGES 96 TO 107 OF THE ANNUAL REPORT AND ACCOUNTS 2019
4 TO RE-ELECT PAUL WALKER AS A Mgmt For For DIRECTOR OF THE COMPANY
5 TO RE-ELECT ANDREW WILLIAMS AS A Mgmt For For DIRECTOR OF THE COMPANY
6 TO RE-ELECT ADAM MEYERS AS A Mgmt For For DIRECTOR OF THE COMPANY
7 TO RE-ELECT DANIELA BARONE SOARES Mgmt For For AS A DIRECTOR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 648 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8 TO RE-ELECT ROY TWITE AS A DIRECTOR Mgmt For For OF THE COMPANY
9 TO RE-ELECT TONY RICE AS A DIRECTOR Mgmt For For OF THE COMPANY
10 TO RE-ELECT CAROLE CRAN AS A Mgmt For For DIRECTOR OF THE COMPANY
11 TO RE-ELECT JO HARLOW AS A Mgmt For For DIRECTOR OF THE COMPANY
12 TO RE-ELECT JENNIFER WARD AS A Mgmt For For DIRECTOR OF THE COMPANY
13 TO RE-ELECT MARC RONCHETTI AS A Mgmt For For DIRECTOR OF THE COMPANY
14 TO RE-APPOINT Mgmt For For PRICEWATERHOUSECOOPERS LLP AS AUDITOR OF THE COMPANY
15 TO AUTHORISE THE DIRECTORS TO Mgmt For For DETERMINE THE REMUNERATION OF THE AUDITOR
16 THAT THE DIRECTORS BE AND ARE Mgmt For For HEREBY GENERALLY AND UNCONDITIONALLY AUTHORISED PURSUANT TO SECTION 551 OF THE COMPANIES ACT 2006 (THE '2006 ACT') TO EXERCISE ALL THE POWERS OF THE COMPANY TO ALLOT SHARES, OR GRANT RIGHTS TO SUBSCRIBE FOR OR TO CONVERT SECURITIES INTO SHARES, UP TO AN AGGREGATE NOMINAL AMOUNT OF GBP 9,400,000 AND THAT THIS AUTHORITY SHALL EXPIRE ON THE EARLIER OF (I) THE CONCLUSION OF THE ANNUAL GENERAL MEETING OF THE COMPANY TO BE HELD IN 2020 AND (II) 31 AUGUST 2020 (UNLESS PREVIOUSLY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 649 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
RENEWED, VARIED OR REVOKED BY THE COMPANY), SAVE THAT THE COMPANY MAY BEFORE SUCH EXPIRY MAKE ANY OFFER OR AGREEMENT WHICH WOULD OR MIGHT REQUIRE SHARES TO BE ALLOTTED OR SUCH RIGHTS TO BE GRANTED AFTER SUCH EXPIRY AND THE DIRECTORS MAY ALLOT SHARES OR GRANT SUCH RIGHTS IN PURSUANCE OF SUCH OFFER OR AGREEMENT AS IF THE AUTHORITY CONFERRED HEREBY HAD NOT EXPIRED
17 THAT, SUBJECT TO THE PASSING OF Mgmt For For RESOLUTION 16, THE DIRECTORS BE AND ARE HEREBY EMPOWERED PURSUANT TO SECTION 570 OF THE 2006 ACT TO ALLOT OR TO MAKE ANY OFFER OR AGREEMENT TO ALLOT EQUITY SECURITIES (AS DEFINED IN SECTION 560 OF THE 2006 ACT) OF THE COMPANY PURSUANT TO THE AUTHORITY CONTAINED IN RESOLUTION 16 AND/OR SELL EQUITY SECURITIES HELD AS TREASURY SHARES FOR CASH PURSUANT TO SECTION 727 OF THE 2006 ACT, IN EACH CASE AS IF SECTION 561 OF THE 2006 ACT DID NOT APPLY TO ANY SUCH ALLOTMENT OR SALE, PROVIDED THAT SUCH POWER SHALL BE LIMITED TO: A. ANY SUCH ALLOTMENT, OFFER, AGREEMENT AND/OR SALE PURSUANT TO THE TERMS OF ANY SHARE SCHEME FOR EMPLOYEES APPROVED BY THE COMPANY IN GENERAL MEETING; B. ANY SUCH ALLOTMENT, OFFER, AGREEMENT AND/OR SALE IN CONNECTION WITH AN ISSUE OR OFFER (WHETHER BY WAY OF A RIGHTS ISSUE, OPEN OFFER OR OTHERWISE) IN FAVOUR OF ORDINARY SHAREHOLDERS (OTHER THAN THE COMPANY) ON A FIXED RECORD DATE WHERE THE EQUITY SECURITIES ATTRIBUTABLE TO SUCH ORDINARY SHAREHOLDERS ARE PROPORTIONATE (AS NEARLY AS MAY BE) TO THE RESPECTIVE NUMBER OF ORDINARY SHARES HELD BY THEM ON SUCH RECORD DATE, BUT SUBJECT TO SUCH EXCLUSIONS OR OTHER ARRANGEMENTS AS THE DIRECTORS MAY DEEM NECESSARY OR EXPEDIENT Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 650 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
TO DEAL WITH FRACTIONAL ENTITLEMENTS, LEGAL OR PRACTICAL PROBLEMS ARISING IN ANY OVERSEAS TERRITORY, THE REQUIREMENTS OF ANY REGULATORY BODY OR STOCK EXCHANGE OR ANY OTHER MATTER WHATSOEVER; AND C. OTHERWISE THAN PURSUANT TO SUB-PARAGRAPH (A) OR (B) ABOVE, ANY SUCH ALLOTMENT, OFFER, AGREEMENT AND/OR SALE UP TO AN AGGREGATE NOMINAL AMOUNT OF GBP 1,890,000; AND SHALL EXPIRE (UNLESS PREVIOUSLY RENEWED, REVOKED OR VARIED) WHEN THE AUTHORITY CONTAINED IN RESOLUTION 16 EXPIRES, SAVE THAT THE COMPANY MAY MAKE ANY OFFER OR AGREEMENT BEFORE SUCH EXPIRY WHICH WOULD OR MIGHT REQUIRE EQUITY SECURITIES TO BE ALLOTTED OR EQUITY SECURITIES HELD AS TREASURY SHARES TO BE SOLD AFTER SUCH EXPIRY
18 THAT, SUBJECT TO THE PASSING OF Mgmt For For RESOLUTION 16 AND IN ADDITION TO ANY AUTHORITY GRANTED UNDER RESOLUTION 17, THE DIRECTORS BE AND ARE HEREBY EMPOWERED PURSUANT TO SECTION 570 OF THE 2006 ACT TO ALLOT OR TO MAKE ANY OFFER OR AGREEMENT TO ALLOT EQUITY SECURITIES (AS DEFINED IN SECTION 560 OF THE 2006 ACT) OF THE COMPANY PURSUANT TO THE AUTHORITY CONTAINED IN RESOLUTION 16 AND/OR SELL EQUITY SECURITIES HELD AS TREASURY SHARES FOR CASH PURSUANT TO SECTION 727 OF THE 2006 ACT, IN EACH CASE AS IF SECTION 561 OF THE 2006 ACT DID NOT APPLY TO ANY SUCH ALLOTMENT OR SALE, PROVIDED THAT SUCH POWER SHALL BE: A. LIMITED TO ANY SUCH ALLOTMENT, OFFER, AGREEMENT AND/OR SALE UP TO AN AGGREGATE NOMINAL AMOUNT OF GBP 1,890,000; AND B. USED ONLY FOR THE PURPOSES OF FINANCING (OR REFINANCING, IF THE AUTHORITY IS TO BE USED WITHIN SIX MONTHS AFTER THE ORIGINAL TRANSACTION) A TRANSACTION WHICH THE DIRECTORS DETERMINE TO BE AN ACQUISITION OR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 651 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
OTHER CAPITAL INVESTMENT OF A KIND CONTEMPLATED BY THE STATEMENT OF PRINCIPLES ON DISAPPLYING PRE- EMPTION RIGHTS MOST RECENTLY PUBLISHED BY THE PRE-EMPTION GROUP PRIOR TO THE DATE OF THIS NOTICE; AND SHALL EXPIRE (UNLESS PREVIOUSLY RENEWED, REVOKED OR VARIED) WHEN THE AUTHORITY CONTAINED IN RESOLUTION 16 EXPIRES, SAVE THAT THE COMPANY MAY MAKE ANY OFFER OR AGREEMENT BEFORE SUCH EXPIRY WHICH WOULD OR MIGHT REQUIRE EQUITY SECURITIES TO BE ALLOTTED OR EQUITY SECURITIES HELD AS TREASURY SHARES TO BE SOLD AFTER SUCH EXPIRY
19 THAT THE COMPANY BE AND IS HEREBY Mgmt For For GENERALLY AND UNCONDITIONALLY AUTHORISED TO MAKE MARKET PURCHASES (WITHIN THE MEANING OF SECTION 693 OF THE 2006 ACT) OF ITS ORDINARY SHARES OF 10P EACH ('ORDINARY SHARES') PROVIDED THAT: A. THE MAXIMUM NUMBER OF ORDINARY SHARES HEREBY AUTHORISED TO BE ACQUIRED IS 37,900,000 ORDINARY SHARES, HAVING AN AGGREGATE NOMINAL VALUE OF GBP 3,790,000; B. THE MAXIMUM PRICE (EXCLUDING EXPENSES) WHICH MAY BE PAID FOR EACH ORDINARY SHARE IS AN AMOUNT EQUAL TO THE HIGHER OF (I) 105% OF THE AVERAGE OF THE CLOSING MID- MARKET PRICES FOR THE ORDINARY SHARES (DERIVED FROM THE LONDON STOCK EXCHANGE DAILY OFFICIAL LIST) FOR THE FIVE BUSINESS DAYS IMMEDIATELY PRECEDING THE DATE OF PURCHASE AND (II) THE PRICE STIPULATED BY COMMISSION ADOPTED REGULATORY TECHNICAL STANDARDS PURSUANT TO ARTICLE 5(6) OF THE MARKET ABUSE REGULATION; AND C. THE MINIMUM PRICE PER ORDINARY SHARE (EXCLUDING EXPENSES) IS ITS NOMINAL VALUE; AND THE AUTHORITY HEREBY CONFERRED SHALL EXPIRE ON THE EARLIER OF (I) THE CONCLUSION OF THE ANNUAL GENERAL MEETING OF THE COMPANY TO BE HELD IN 2020 AND (II) 31 Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 652 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
AUGUST 2020 (EXCEPT IN RELATION TO THE PURCHASE OF ORDINARY SHARES THE CONTRACT FOR WHICH WAS CONCLUDED BEFORE SUCH DATE AND WHICH WOULD OR MIGHT BE EXECUTED WHOLLY OR PARTLY AFTER SUCH DATE), UNLESS SUCH AUTHORITY IS RENEWED PRIOR TO SUCH TIME
20 THAT A GENERAL MEETING OTHER THAN Mgmt For For AN ANNUAL GENERAL MEETING MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 653 of 721 SSGA INDUSTRIA DE DISENO TEXTIL S.A.
Security: E6282J125 Agenda Number: 711318104 Ticker: Meeting Type: OGM ISIN: ES0148396007 Meeting Date: 16-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 REVIEW AND APPROVAL, WHERE Mgmt For For APPROPRIATE, OF THE ANNUAL ACCOUNTS (BALANCE SHEET, INCOME STATEMENT, STATEMENT OF CHANGES IN EQUITY, STATEMENT OF CASH FLOWS AND NOTES TO THE ACCOUNTS) AND MANAGEMENT REPORT OF INDUSTRIA DE DISENO TEXTIL, SOCIEDAD ANONIMA, (INDITEX, S.A.) FOR FINANCIAL YEAR 2018, ENDED 31 JANUARY 2019
2 REVIEW AND APPROVAL, WHERE Mgmt For For APPROPRIATE, OF THE CONSOLIDATED ANNUAL ACCOUNTS (CONSOLIDATED BALANCE SHEET, CONSOLIDATED INCOME STATEMENT, CONSOLIDATED STATEMENT OF COMPREHENSIVE INCOME, CONSOLIDATED STATEMENT OF CHANGES IN EQUITY, CONSOLIDATED STATEMENT OF CASH FLOWS AND NOTES TO THE CONSOLIDATED ACCOUNTS) AND CONSOLIDATED MANAGEMENT REPORT OF THE INDITEX GROUP FOR FINANCIAL YEAR 2018, ENDED 31 JANUARY 2019, AND OF THE MANAGEMENT OF THE COMPANY
3 REVIEW AND APPROVAL, WHERE Mgmt For For APPROPRIATE OF THE STATEMENT ON NON-FINANCIAL INFORMATION (ACT 11/2018, OF 28 DECEMBER, ON MANDATORY DISCLOSURE OF NON- FINANCIAL INFORMATION)
4 DISTRIBUTION OF THE INCOME OR LOSS Mgmt For For OF THE FINANCIAL YEAR AND DECLARATION OF DIVIDENDS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 654 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
5 DETERMINING THE NEW NUMBER OF Mgmt For For DIRECTORS
6.A RE-ELECTION OF MR PABLO ISLA Mgmt For For ALVAREZ DE TEJERA TO THE BOARD OF DIRECTORS, AS EXECUTIVE DIRECTOR
6.B RE-ELECTION OF MR AMANCIO ORTEGA Mgmt Against Against GAONA TO THE BOARD OF DIRECTORS, AS NON-EXECUTIVE PROPRIETARY DIRECTOR
6.C APPOINTMENT OF MR CARLOS CRESPO Mgmt For For GONZALEZ TO THE BOARD OF DIRECTORS, AS EXECUTIVE DIRECTOR
6.D RE-ELECTION OF MR EMILIO SARACHO Mgmt For For RODRIGUEZ DE TORRES TO THE BOARD OF DIRECTORS, AS NON-EXECUTIVE INDEPENDENT DIRECTOR
6.E RE-ELECTION OF MR JOSE LUIS DURAN Mgmt For For SCHULZ TO THE BOARD OF DIRECTORS, AS NON-EXECUTIVE INDEPENDENT DIRECTOR
7.A AMENDMENT OF THE ARTICLES OF Mgmt For For ASSOCIATION TO BRING THEM INTO LINE WITH THE LATEST AMENDMENT OF THE COMPANIES ACT, THE RENAMING OF THE AUDIT AND CONTROL COMMITTEE (HEREINAFTER, "AUDIT AND COMPLIANCE COMMITTEE") AND THE FORMATION OF A NEW SUSTAINABILITY COMMITTEE: AMENDMENT OF ARTICLE 13 ("THE GENERAL MEETING OF SHAREHOLDERS") IN PART I ("GENERAL MEETING OF SHAREHOLDERS") CHAPTER III ("GOVERNING BODIES OF THE COMPANY") Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 655 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
7.B AMENDMENT OF THE ARTICLES OF Mgmt For For ASSOCIATION TO BRING THEM INTO LINE WITH THE LATEST AMENDMENT OF THE COMPANIES ACT, THE RENAMING OF THE AUDIT AND CONTROL COMMITTEE (HEREINAFTER, "AUDIT AND COMPLIANCE COMMITTEE") AND THE FORMATION OF A NEW SUSTAINABILITY COMMITTEE: AMENDMENT OF ARTICLE 22 ("BOARD OF DIRECTORS"), ARTICLE 28 ("AUDIT AND COMPLIANCE COMMITTEE"), ARTICLE 29 ("NOMINATION COMMITTEE") AND ARTICLE 30 ("REMUNERATION COMMITTEE", AND ADDITION OF A NEW ARTICLE 30BIS ("SUSTAINABILITY COMMITTEE"), ALL OF THEM IN PART II ("BOARD OF DIRECTORS") CHAPTER III ("GOVERNING BODIES OF THE COMPANY")
7.C AMENDMENT OF THE ARTICLES OF Mgmt For For ASSOCIATION TO BRING THEM INTO LINE WITH THE LATEST AMENDMENT OF THE COMPANIES ACT, THE RENAMING OF THE AUDIT AND CONTROL COMMITTEE (HEREINAFTER, "AUDIT AND COMPLIANCE COMMITTEE") AND THE FORMATION OF A NEW SUSTAINABILITY COMMITTEE: AMENDMENT OF ARTICLE 34 ("ANNUAL ACCOUNTS. ACCOUNTING DOCUMENTS. REVIEW OF THE ANNUAL ACCOUNTS"), ARTICLE 37 ("DECLARATION OF DIVIDENDS") AND ARTICLE 38 ("FILING OF ACCOUNTS"), IN CHAPTER IV ("FINANCIAL YEAR, ANNUAL ACCOUNTS: VERIFICATION, APPROVAL AND PUBLICATION. DISTRIBUTION OF INCOME OR LOSS")
8 RE-ELECTION OF DELOITTE, S.L. AS Mgmt For For STATUTORY AUDITOR OF THE COMPANY AND ITS GROUP FOR FY2019 Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 656 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
9 APPROVAL, WHERE APPROPRIATE, OF A Mgmt For For LONG-TERM INCENTIVE PLAN IN CASH AND IN SHARES, ADDRESSED TO MEMBERS OF MANAGEMENT, INCLUDING THE EXECUTIVE DIRECTORS, AND OTHER EMPLOYEES OF THE INDITEX GROUP
10 AUTHORIZATION TO THE BOARD OF Mgmt For For DIRECTORS FOR THE DERIVATIVE ACQUISITION OF OWN SHARES, SUPERSEDING THE AUTHORIZATION APPROVED BY THE ANNUAL GENERAL MEETING IN 2016
11 PARTIAL AMENDMENT OF THE Mgmt For For REMUNERATION POLICY FOR DIRECTORS FOR FINANCIAL YEARS 2019, 2020 Y 2021, IN ORDER TO ADD THE ANNUAL FIXED REMUNERATION OF MR CARLOS CRESPO GONZALEZ FOR THE PERFORMANCE OF EXECUTIVE FUNCTIONS
12 ADVISORY VOTE (SAY ON PAY) ON THE Mgmt Against Against ANNUAL REPORT ON THE REMUNERATION OF DIRECTORS
13 GRANTING OF POWERS TO IMPLEMENT Mgmt For For RESOLUTIONS
14 REPORTING TO THE ANNUAL GENERAL Mgmt Abstain Against MEETING ON THE AMENDMENT OF THE BOARD OF DIRECTORS' REGULATIONS AND THE FORMATION OF A NEW SUSTAINABILITY COMMITTEE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 657 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE IN THE EVENT THE Non-Voting MEETING DOES NOT REACH QUORUM, THERE WILL BE A SECOND CALL ON 17 JUL 2019. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 658 of 721 SSGA INVESTEC PLC
Security: G49188116 Agenda Number: 711378934 Ticker: Meeting Type: AGM ISIN: GB00B17BBQ50 Meeting Date: 08-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT RESOLUTIONS 1 TO Non-Voting 15 PERTAINS TO INVESTEC PLC AND INVESTEC LIMITED
1 TO RE-ELECT ZARINA BIBI MAHOMED Mgmt For For BASSA AS A DIRECTOR OF INVESTEC PLC AND INVESTEC LIMITED
2 TO RE-ELECT PEREGRINE KENNETH Mgmt For For OUGHTON CROSTHWAITE AS A DIRECTOR OF INVESTEC PLC AND INVESTEC LIMITED
3 TO RE-ELECT HENDRIK JACOBUS DU Mgmt For For TOIT AS A DIRECTOR OF INVESTEC PLC AND INVESTEC LIMITED
4 TO RE-ELECT DAVID FRIEDLAND AS A Mgmt For For DIRECTOR OF INVESTEC PLC AND INVESTEC LIMITED
5 TO RE-ELECT PHILIP ALAN HOURQUEBIE Mgmt For For AS A DIRECTOR OF INVESTEC PLC AND INVESTEC LIMITED
6 TO RE-ELECT CHARLES RICHARD Mgmt For For JACOBS AS A DIRECTOR OF INVESTEC PLC AND INVESTEC LIMITED
7 TO RE-ELECT IAN ROBERT KANTOR AS A Mgmt Against Against DIRECTOR OF INVESTEC PLC AND INVESTEC LIMITED Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 659 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8 TO RE-ELECT LORD MALLOCH-BROWN Mgmt For For AS A DIRECTOR OF INVESTEC PLC AND INVESTEC LIMITED
9 TO RE-ELECT KHUMO LESEGO Mgmt For For SHUENYANE AS A DIRECTOR OF INVESTEC PLC AND INVESTEC LIMITED
10 TO RE-ELECT FANI TITI AS A DIRECTOR Mgmt For For OF INVESTEC PLC AND INVESTEC LIMITED
11 TO ELECT KIM MARY MCFARLAND AS A Mgmt For For DIRECTOR OF INVESTEC PLC AND INVESTEC LIMITED
12 TO ELECT NISHLAN ANDRE SAMUJH AS A Mgmt For For DIRECTOR OF INVESTEC PLC AND INVESTEC LIMITED
13 TO APPROVE THE DUAL LISTED Mgmt For For COMPANIES' (DLC) DIRECTORS' REMUNERATION REPORT, INCLUDING THE IMPLEMENTATION REPORT, (OTHER THAN THE PART CONTAINING THE DIRECTORS' REMUNERATION POLICY) FOR THE YEAR ENDED 31 MARCH 2019
14 TO APPROVE THE DLC DIRECTORS' Mgmt For For REMUNERATION POLICY
15 AUTHORITY TO TAKE ACTION IN Mgmt For For RESPECT OF THE RESOLUTIONS
CMMT PLEASE NOTE THAT RESOLUTIONS 16 TO Non-Voting 27 PERTAINS TO INVESTEC LIMITED Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 660 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
16 TO PRESENT THE AUDITED FINANCIAL Non-Voting STATEMENTS OF INVESTEC LIMITED FOR THE YEAR ENDED 31 MARCH 2019, TOGETHER WITH THE REPORTS OF THE DIRECTORS, THE AUDITORS, THE CHAIRMAN OF THE DLC AUDIT COMMITTEE AND THE CHAIRMAN OF THE DLC SOCIAL AND ETHICS COMMITTEE
17 TO SANCTION THE INTERIM DIVIDEND Mgmt For For PAID BY INVESTEC LIMITED ON THE ORDINARY SHARES IN INVESTEC LIMITED FOR THE SIX-MONTH PERIOD ENDED 30 SEPTEMBER 2018
18 TO SANCTION THE INTERIM DIVIDEND Mgmt For For PAID ON THE SA DAS SHARE IN INVESTEC LIMITED FOR THE SIX-MONTH PERIOD ENDED 30 SEPTEMBER 2018
19 SUBJECT TO THE PASSING OF Mgmt For For RESOLUTION NO 30, TO DECLARE A FINAL DIVIDEND ON THE ORDINARY SHARES AND THE SA DAS SHARE IN INVESTEC LIMITED FOR THE YEAR ENDED 31 MARCH 2019: 251 CENTS PER ORDINARY SHARE
20 TO RE-APPOINT ERNST & YOUNG INC. AS Mgmt For For JOINT AUDITORS OF INVESTEC LIMITED
21 TO RE-APPOINT KPMG INC. AS JOINT Mgmt For For AUDITORS OF INVESTEC LIMITED
22 DIRECTORS' AUTHORITY TO ISSUE THE Mgmt For For UNISSUED VARIABLE RATE, CUMULATIVE, REDEEMABLE PREFERENCE SHARES AND THE UNISSUED NON-REDEEMABLE, NON-CUMULATIVE, NON-PARTICIPATING PREFERENCE SHARES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 661 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
23 DIRECTORS' AUTHORITY TO ISSUE THE Mgmt For For UNISSUED SPECIAL CONVERTIBLE REDEEMABLE PREFERENCE SHARES
24 SPECIAL RESOLUTION NO 1: DIRECTORS' Mgmt For For AUTHORITY TO ACQUIRE ORDINARY SHARES
25 SPECIAL RESOLUTION NO 2: DIRECTORS' Mgmt For For AUTHORITY TO ACQUIRE ANY REDEEMABLE, NON-PARTICIPATING PREFERENCE SHARES AND NON- REDEEMABLE, NON-CUMULATIVE, NON- PARTICIPATING PREFERENCE SHARES
26 SPECIAL RESOLUTION NO 3: FINANCIAL Mgmt For For ASSISTANCE
27 SPECIAL RESOLUTION NO 4: NON- Mgmt For For EXECUTIVE DIRECTORS' REMUNERATION
CMMT PLEASE NOTE THAT RESOLUTIONS 28 TO Non-Voting 36 PERTAINS TO INVESTEC PLC
28 TO RECEIVE AND ADOPT THE AUDITED Mgmt For For FINANCIAL STATEMENTS OF INVESTEC PLC FOR THE YEAR ENDED 31 MARCH 2019, TOGETHER WITH THE REPORTS OF THE DIRECTORS AND THE AUDITORS
29 TO SANCTION THE INTERIM DIVIDEND Mgmt For For PAID BY INVESTEC PLC ON THE ORDINARY SHARES IN INVESTEC PLC FOR THE SIX-MONTH PERIOD ENDED 30 SEPTEMBER 2018 Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 662 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
30 SUBJECT TO THE PASSING OF Mgmt For For RESOLUTION NO 19, TO DECLARE A FINAL DIVIDEND ON THE ORDINARY SHARES IN INVESTEC PLC FOR THE YEAR ENDED 31 MARCH 2019: 13.5 PENCE PER ORDINARY SHARE
31 TO RE-APPOINT ERNST & YOUNG LLP AS Mgmt For For AUDITORS OF INVESTEC PLC
32 TO AUTHORISE THE DIRECTORS OF Mgmt For For INVESTEC PLC TO SET THE REMUNERATION OF THE COMPANY'S AUDITORS
33 DIRECTORS' AUTHORITY TO ALLOT Mgmt For For INVESTEC PLC SPECIAL CONVERTING SHARES
34 DIRECTORS' AUTHORITY TO PURCHASE Mgmt For For ORDINARY SHARES
35 DIRECTORS' AUTHORITY TO PURCHASE Mgmt For For PREFERENCE SHARES
36 POLITICAL DONATIONS Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 663 of 721 SSGA J.SAINSBURY PLC
Security: G77732173 Agenda Number: 711296031 Ticker: Meeting Type: AGM ISIN: GB00B019KW72 Meeting Date: 04-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE AND ADOPT THE AUDITED Mgmt For For ACCOUNTS FOR THE 52 WEEKS TO 9 MARCH 2019 TOGETHER WITH THE REPORTS OF THE DIRECTORS AND AUDITOR
2 TO APPROVE THE DIRECTORS' ANNUAL Mgmt For For REMUNERATION REPORT
3 TO DECLARE A FINAL DIVIDEND OF 7.9 Mgmt For For PENCE PER ORDINARY SHARE
4 TO ELECT MARTIN SCICLUNA AS A Mgmt For For DIRECTOR
5 TO RE-ELECT MATT BRITTIN AS A Mgmt For For DIRECTOR
6 TO RE-ELECT BRIAN CASSIN AS A Mgmt For For DIRECTOR
7 TO RE-ELECT MIKE COUPE AS A Mgmt For For DIRECTOR
8 TO RE-ELECT JO HARLOW AS A Mgmt For For DIRECTOR
9 TO RE-ELECT DAVID KEENS AS A Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 664 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO RE-ELECT KEVIN O'BYRNE AS A Mgmt For For DIRECTOR
11 TO RE-ELECT DAME SUSAN RICE AS A Mgmt For For DIRECTOR
12 TO RE-ELECT JOHN ROGERS AS A Mgmt For For DIRECTOR
13 TO RE-ELECT JEAN TOMLIN AS A Mgmt For For DIRECTOR
14 TO RE-APPOINT ERNST & YOUNG LLP AS Mgmt For For AUDITOR
15 TO AUTHORISE THE AUDIT COMMITTEE Mgmt For For TO DETERMINE THE AUDITOR'S REMUNERATION
16 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT SHARES
17 AUTHORITY TO DISAPPLY PRE-EMPTION Mgmt For For WITHOUT RESTRICTION AS TO USE
18 AUTHORITY TO DISAPPLY PRE-EMPTION Mgmt For For FOR ACQUISITIONS OR SPECIFIED CAPITAL INVESTMENTS
19 TO AUTHORISE THE COMPANY TO MAKE Mgmt For For 'POLITICAL DONATIONS' AND INCUR 'POLITICAL EXPENDITURE'
20 TO AUTHORISE THE COMPANY TO Mgmt For For PURCHASE ITS OWN SHARES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 665 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
21 TO AUTHORISE THE COMPANY TO CALL A Mgmt For For GENERAL MEETING ON NOT LESS THAN 14 CLEAR DAYS' NOTICE
CMMT 06 JUN 2019: PLEASE NOTE THAT THIS IS Non-Voting A REVISION DUE TO MODIFICATION OF THE TEXT OF RESOLUTION 21. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 666 of 721 SSGA JOHNSON MATTHEY PLC
Security: G51604166 Agenda Number: 711320591 Ticker: Meeting Type: AGM ISIN: GB00BZ4BQC70 Meeting Date: 17-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE COMPANY'S ACCOUNTS Mgmt For For FOR THE YEAR ENDED 31ST MARCH 2019
2 TO APPROVE THE DIRECTORS Mgmt For For REMUNERATION REPORT OTHER THAN THE PART CONTAINING THE DIRECTORS REMUNERATION POLICY FOR THE YEAR ENDED 31ST MARCH 2019
3 TO DECLARE A FINAL DIVIDEND OF 62.25 Mgmt For For PENCE PER SHARE ON THE ORDINARY SHARES
4 TO ELECT MS X LIU AS A DIRECTOR OF Mgmt For For THE COMPANY
5 TO RE-ELECT MR AM FERGUSON AS A Mgmt For For DIRECTOR OF THE COMPANY
6 TO RE-ELECT DR JV GRIFFITHS AS A Mgmt For For DIRECTOR OF THE COMPANY
7 TO RE-ELECT MR RJ MACLEOD AS A Mgmt For For DIRECTOR OF THE COMPANY
8 TO RE-ELECT MRS AO MANZ AS A Mgmt For For DIRECTOR OF THE COMPANY
9 TO RE-ELECT MR CJ MOTTERSHEAD AS A Mgmt For For DIRECTOR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 667 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO RE-ELECT MR J OHIGGINS AS A Mgmt For For DIRECTOR OF THE COMPANY
11 TO RE-ELECT MR P THOMAS AS A Mgmt For For DIRECTOR OF THE COMPANY
12 TO RE-ELECT MR JF WALKER AS A Mgmt For For DIRECTOR OF THE COMPANY
13 TO RE-APPOINT Mgmt For For PRICEWATERHOUSECOOPERS LLP AS AUDITOR FOR THE FORTHCOMING YEAR
14 TO AUTHORISE THE AUDIT COMMITTEE Mgmt For For OF THE BOARD TO DETERMINE THE REMUNERATION OF THE AUDITOR
15 TO AUTHORISE THE COMPANY AND ITS Mgmt For For SUBSIDIARIES TO MAKE POLITICAL DONATIONS AND INCUR POLITICAL EXPENDITURE WITHIN CERTAIN LIMITS
16 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT SHARES
17 TO DISAPPLY THE STATUTORY PRE- Mgmt For For EMPTION RIGHTS ATTACHING TO SHARES
18 TO DISAPPLY THE STATUTORY PRE- Mgmt For For EMPTION RIGHTS ATTACHING TO SHARES IN CONNECTION WITH AN ACQUISITION OR OTHER CAPITAL INVESTMENT
19 TO AUTHORISE THE COMPANY TO MAKE Mgmt For For MARKET PURCHASES OF ITS OWN SHARES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 668 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
20 TO AUTHORISE THE COMPANY TO CALL Mgmt For For GENERAL MEETINGS OTHER THAN ANNUAL GENERAL MEETINGS ON NOT LESS THAN 14 CLEAR DAYS NOTICE
21 TO AMEND THE COMPANY'S ARTICLES OF Mgmt For For ASSOCIATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 669 of 721 SSGA KINGFISHER PLC
Security: G5256E441 Agenda Number: 711190645 Ticker: Meeting Type: AGM ISIN: GB0033195214 Meeting Date: 09-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 THAT THE COMPANY'S ANNUAL Mgmt For For ACCOUNTS FOR THE FINANCIAL YEAR ENDED 31 JANUARY 2019 BE RECEIVED
2 THAT THE DIRECTORS' REMUNERATION Mgmt Against Against REPORT (EXCLUDING THAT PART CONTAINING THE DIRECTORS' REMUNERATION POLICY) BE RECEIVED AND APPROVED
3 THAT THE DIRECTORS' REMUNERATION Mgmt For For POLICY BE RECEIVED AND APPROVED, TO TAKE EFFECT ON 9 JULY 2019
4 THAT A FINAL DIVIDEND OF 7.49 PENCE Mgmt For For PER ORDINARY SHARE BE DECLARED FOR PAYMENT ON 15 JULY 2019
5 THAT CLAUDIA ARNEY BE ELECTED AS A Mgmt For For DIRECTOR OF THE COMPANY
6 THAT SOPHIE GASPERMENT BE ELECTED Mgmt For For AS A DIRECTOR OF THE COMPANY
7 THAT ANDREW COSSLETT BE RE- Mgmt For For ELECTED AS A DIRECTOR OF THE COMPANY
8 THAT JEFF CARR BE RE-ELECTED AS A Mgmt For For DIRECTOR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 670 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
9 THAT PASCAL CAGNI BE RE-ELECTED AS Mgmt For For A DIRECTOR OF THE COMPANY
10 THAT CLARE CHAPMAN BE RE-ELECTED Mgmt For For AS A DIRECTOR OF THE COMPANY
11 THAT RAKHI GOSS-CUSTARD BE RE- Mgmt For For ELECTED AS A DIRECTOR OF THE COMPANY
12 THAT VERONIQUE LAURY BE RE- Mgmt For For ELECTED AS A DIRECTOR OF THE COMPANY
13 THAT MARK SELIGMAN BE RE-ELECTED Mgmt For For AS A DIRECTOR OF THE COMPANY
14 THAT DELOITTE LLP BE RE-APPOINTED Mgmt For For AS AUDITOR OF THE COMPANY
15 THAT THE AUDIT COMMITTEE BE Mgmt For For AUTHORISED TO DETERMINE THE REMUNERATION OF THE AUDITOR
16 THAT THE COMPANY BE AUTHORISED TO Mgmt For For MAKE POLITICAL DONATIONS
17 THAT THE COMPANY BE AUTHORISED TO Mgmt For For ALLOT NEW SHARES
18 THAT THE COMPANY BE AUTHORISED TO Mgmt For For DISAPPLY PRE-EMPTION RIGHTS
19 THAT THE COMPANY BE AUTHORISED TO Mgmt For For DISAPPLY ADDITIONAL PRE-EMPTION RIGHTS IN CONNECTION WITH AN ACQUISITION OR OTHER CAPITAL INVESTMENT Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 671 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
20 THAT THE COMPANY BE AUTHORISED TO Mgmt For For PURCHASE ITS OWN SHARES
21 THAT A GENERAL MEETING OTHER THAN Mgmt For For AN ANNUAL GENERAL MEETING MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS' NOTICE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 672 of 721 SSGA LAND SECURITIES GROUP PLC R.E.I.T
Security: G5375M142 Agenda Number: 711311629 Ticker: Meeting Type: AGM ISIN: GB00BYW0PQ60 Meeting Date: 11-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE 2019 ANNUAL REPORT Mgmt For For
2 TO APPROVE THE ANNUAL REPORT ON Mgmt Against Against REMUNERATION
3 TO DECLARE A FINAL DIVIDEND OF 11.65P Mgmt For For PER ORDINARY SHARE
4 TO ELECT MADELEINE COSGRAVE AS A Mgmt For For DIRECTOR
5 TO ELECT CHRISTOPHE EVAIN AS A Mgmt For For DIRECTOR
6 TO RE-ELECT ROBERT NOEL AS A Mgmt For For DIRECTOR
7 TO RE-ELECT MARTIN GREENSLADE AS A Mgmt For For DIRECTOR
8 TO RE-ELECT COLETTE OSHEA AS A Mgmt For For DIRECTOR
9 TO RE-ELECT CHRISTOPHER BARTRAM Mgmt For For AS DIRECTOR
10 TO RE-ELECT EDWARD BONHAM CARTER Mgmt For For AS A DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 673 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 TO RE-ELECT NICHOLAS CADBURY AS A Mgmt For For DIRECTOR
12 TO RE-ELECT CRESSIDA HOGG AS A Mgmt For For DIRECTOR
13 TO RE-ELECT STACEY RAUCH AS A Mgmt For For DIRECTOR
14 TO RE-APPOINT ERNST AND YOUNG LLP Mgmt For For AS AUDITOR
15 TO AUTHORISE THE DIRECTORS TO Mgmt For For DETERMINE THE REMUNERATION OF THE AUDITOR
16 TO AUTHORISE THE COMPANY TO MAKE Mgmt For For POLITICAL DONATIONS
17 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT SECURITIES
18 TO AUTHORISE THE DIRECTORS TO Mgmt For For DISAPPLY PRE-EMPTION RIGHTS
19 TO AUTHORISE THE DIRECTORS TO Mgmt For For DISAPPLY PRE-EMPTION RIGHTS FOR THE PURPOSES OF ACQUISITIONS OR CAPITAL INVESTMENTS
20 TO AUTHORISE THE COMPANY TO MAKE Mgmt For For MARKET PURCHASES OF ITS OWN SHARES
21 TO ADOPT NEW ARTICLES OF Mgmt For For ASSOCIATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 674 of 721 SSGA LINK REAL ESTATE INVESTMENT TRUST
Security: Y5281M111 Agenda Number: 711328787 Ticker: Meeting Type: AGM ISIN: HK0823032773 Meeting Date: 24-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE IN THE HONG KONG Non-Voting MARKET THAT A VOTE OF "ABSTAIN" WILL BE TREATED THE SAME AS A "TAKE NO ACTION" VOTE.
CMMT PLEASE NOTE THAT THE COMPANY Non-Voting NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING ON THE URL LINKS: https://www1.hkexnews.hk/listedco/listconews /sehk/2019/0620/ltn20190620924.pdf AND https://www1.hkexnews.hk/listedco/listconews /sehk/2019/0620/ltn20190620938.pdf
3.1 TO RE-ELECT MR ED CHAN YIU CHEONG Mgmt For For AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR
3.2 TO RE-ELECT MR BLAIR CHILTON Mgmt For For PICKERELL AS AN INDEPENDENT NON- EXECUTIVE DIRECTOR
3.3 TO RE-ELECT MS MAY SIEW BOI TAN AS Mgmt For For AN INDEPENDENT NON-EXECUTIVE DIRECTOR
4 TO GRANT A GENERAL MANDATE TO THE Mgmt For For MANAGER TO BUY BACK UNITS OF LINK Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 675 of 721 SSGA LUNDIN PETROLEUM AB
Security: W64566107 Agenda Number: 711406149 Ticker: Meeting Type: EGM ISIN: SE0000825820 Meeting Date: 31-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT AN ABSTAIN VOTE CAN HAVE THE SAME Non-Voting EFFECT AS AN AGAINST VOTE IF THE MEETING REQUIRE APPROVAL FROM MAJORITY OF PARTICIPANTS TO PASS A RESOLUTION.
CMMT MARKET RULES REQUIRE DISCLOSURE Non-Voting OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED
CMMT IMPORTANT MARKET PROCESSING Non-Voting REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE
1 OPENING OF THE EXTRAORDINARY Non-Voting GENERAL MEETING
2 ELECTION OF CHAIRMAN OF THE Non-Voting EXTRAORDINARY GENERAL MEETING: KLAES EDHALL Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 676 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3 PREPARATION AND APPROVAL OF THE Non-Voting VOTING REGISTER
4 APPROVAL OF THE AGENDA Non-Voting
5 ELECTION OF ONE OR TWO PERSONS TO Non-Voting APPROVE THE MINUTES
6 DETERMINATION AS TO WHETHER THE Non-Voting EXTRAORDINARY GENERAL MEETING HAS BEEN DULY CONVENED
7 RESOLUTION ON: A) APPROVAL OF Mgmt For For SHARE SWAP TRANSACTION IN RELATION TO 54,461,831 SHARES IN THE COMPANY B) REDUCTION OF THE SHARE CAPITAL WITH RETIREMENT OF 54,461,831 SHARES C) BONUS ISSUE
8 RESOLUTION ON APPROVAL OF LUNDIN Mgmt For For NORWAY AS SALE OF 2.6 PER CENT OF THE JOHAN SVERDRUP UNIT TO EQUINOR ENERGY AS
9 CLOSING OF THE EXTRAORDINARY Non-Voting GENERAL MEETING Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 677 of 721 SSGA MACQUARIE GROUP LTD
Security: Q57085286 Agenda Number: 711321353 Ticker: Meeting Type: AGM ISIN: AU000000MQG1 Meeting Date: 25-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT VOTING EXCLUSIONS APPLY TO THIS Non-Voting MEETING FOR PROPOSALS 3 TO 6 AND VOTES CAST BY ANY INDIVIDUAL OR RELATED PARTY WHO BENEFIT FROM THE PASSING OF THE PROPOSAL/S WILL BE DISREGARDED BY THE COMPANY. HENCE, IF YOU HAVE OBTAINED BENEFIT OR EXPECT TO OBTAIN FUTURE BENEFIT (AS REFERRED IN THE COMPANY ANNOUNCEMENT) VOTE ABSTAIN ON THE RELEVANT PROPOSAL ITEMS. BY DOING SO, YOU ACKNOWLEDGE THAT YOU HAVE OBTAINED BENEFIT OR EXPECT TO OBTAIN BENEFIT BY THE PASSING OF THE RELEVANT PROPOSAL/S. BY VOTING (FOR OR AGAINST) ON THE ABOVE MENTIONED PROPOSAL/S, YOU ACKNOWLEDGE THAT YOU HAVE NOT OBTAINED BENEFIT NEITHER EXPECT TO OBTAIN BENEFIT BY THE PASSING OF THE RELEVANT PROPOSAL/S AND YOU COMPLY WITH THE VOTING EXCLUSION
2.A RE-ELECTION OF MR MJ HAWKER AS A Mgmt For For VOTING DIRECTOR
2.B RE-ELECTION OF MR MJ COLEMAN AS A Mgmt For For VOTING DIRECTOR
2.C ELECTION OF MR PM COFFEY AS A Mgmt For For VOTING DIRECTOR
2.D ELECTION OF MS JR BROADBENT AS A Mgmt For For VOTING DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 678 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
3 REMUNERATION REPORT Mgmt Against Against
4 APPROVAL OF MANAGING DIRECTOR'S Mgmt Against Against PARTICIPATION IN THE MACQUARIE GROUP EMPLOYEE RETAINED EQUITY PLAN
5 TO INCREASE THE MAXIMUM Mgmt For For AGGREGATE NON-EXECUTIVE DIRECTOR REMUNERATION
6 APPROVAL OF THE ISSUE OF Mgmt For For MACQUARIE GROUP CAPITAL NOTES 4 Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 679 of 721 SSGA MARKS AND SPENCER GROUP PLC
Security: G5824M107 Agenda Number: 711255035 Ticker: Meeting Type: AGM ISIN: GB0031274896 Meeting Date: 09-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 RECEIVE ANNUAL REPORT AND Mgmt For For ACCOUNTS
2 APPROVE THE REMUNERATION REPORT Mgmt For For
3 DECLARE FINAL DIVIDEND Mgmt For For
4 RE-ELECT ARCHIE NORMAN Mgmt For For
5 RE-ELECT STEVE ROWE Mgmt For For
6 RE-ELECT HUMPHREY SINGER Mgmt For For
7 RE-ELECT KATIE BICKERSTAFFE Mgmt For For
8 RE-ELECT ALISON BRITTAIN Mgmt For For
9 RE-ELECT ANDREW FISHER Mgmt For For
10 RE-ELECT ANDY HALFORD Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 680 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 RE-ELECT PIP MCCROSTIE Mgmt For For
12 ELECT JUSTIN KING Mgmt For For
13 RE-ELECT DELOITTE LLP AS AUDITORS Mgmt For For
14 AUTHORISE AUDIT COMMITTEE TO Mgmt For For DETERMINE AUDITORS REMUNERATION
15 AUTHORISE ALLOTMENT OF SHARES Mgmt For For
16 GENERAL DISAPPLICATION OF PRE- Mgmt For For EMPTION RIGHTS
17 ADDITIONAL DISAPPLICATION OF PRE- Mgmt For For EMPTION RIGHTS
18 AUTHORISE PURCHASE OF OWN Mgmt For For SHARES
19 CALL GENERAL MEETINGS ON 14 DAYS Mgmt For For NOTICE
20 AUTHORISE THE COMPANY AND ITS Mgmt For For SUBSIDIARIES TO MAKE POLITICAL DONATIONS
21 RENEW THE ROI SHARESAVE PLAN 2019 Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 681 of 721 SSGA NEXON CO.,LTD.
Security: J4914X104 Agenda Number: 711562442 Ticker: Meeting Type: EGM ISIN: JP3758190007 Meeting Date: 25-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 Approve Issuance of New Shares to a Third Mgmt For For Party or Third Parties (1)
2 Approve Issuance of Share Acquisition Rights Mgmt For For to a Third Party or Third Parties (1)
3 Approve Issuance of Share Acquisition Rights Mgmt For For to a Third Party or Third Parties (2)
4 Approve Issuance of Share Acquisition Rights Mgmt For For to a Third Party or Third Parties (3)
5 Approve Issuance of Share Acquisition Rights Mgmt For For to a Third Party or Third Parties (4)
6 Approve Issuance of Share Acquisition Rights Mgmt For For to a Third Party or Third Parties (5)
7 Approve Issuance of Share Acquisition Rights Mgmt For For to a Third Party or Third Parties (6)
8 Approve Issuance of Share Acquisition Rights Mgmt For For to a Third Party or Third Parties (7)
9 Approve Issuance of Share Acquisition Rights Mgmt For For to a Third Party or Third Parties (8)
10 Approve Issuance of New Shares to a Third Mgmt For For Party or Third Parties (2) Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 682 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
11 Appoint a Director who is not Audit and Mgmt For For Supervisory Committee Member Hongwoo Lee Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 683 of 721 SSGA NICE LTD
Security: M7494X101 Agenda Number: 711510429 Ticker: Meeting Type: AGM ISIN: IL0002730112 Meeting Date: 18-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT AS A CONDITION OF VOTING, ISRAELI Non-Voting MARKET REGULATIONS REQUIRE THAT YOU DISCLOSE WHETHER YOU HAVE A) A PERSONAL INTEREST IN THIS COMPANY B) ARE A CONTROLLING SHAREHOLDER IN THIS COMPANY C) ARE A SENIOR OFFICER OF THIS COMPANY D) THAT YOU ARE AN INSTITUTIONAL CLIENT, JOINT INVESTMENT FUND MANAGER OR TRUST FUND. BY VOTING THROUGH THE PROXY EDGE PLATFORM YOU ARE CONFIRMING THE ANSWER FOR A, B AND C TO BE NO AND THE ANSWER FOR D TO BE YES. SHOULD THIS NOT BE THE CASE PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE SO THAT WE MAY LODGE YOUR VOTE INSTRUCTIONS ACCORDINGLY
1.A "RESOLVED, THAT MR. DAVID KOSTMAN Mgmt Against Against BE ELECTED TO SERVE AS A MEMBER OF THE BOARD OF THE COMPANY UNTIL THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY, EFFECTIVE IMMEDIATELY."
1.B "RESOLVED, THAT MR. RIMON BEN- Mgmt Against Against SHAOUL BE ELECTED TO SERVE AS A MEMBER OF THE BOARD OF THE COMPANY UNTIL THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY, EFFECTIVE IMMEDIATELY." Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 684 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1.C "RESOLVED, THAT MR. YEHOSHUA Mgmt For For (SHUKI) EHRLICH BE ELECTED TO SERVE AS A MEMBER OF THE BOARD OF THE COMPANY UNTIL THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY, EFFECTIVE IMMEDIATELY."
1.D "RESOLVED, THAT MR. LEO APOTHEKER Mgmt For For BE ELECTED TO SERVE AS A MEMBER OF THE BOARD OF THE COMPANY UNTIL THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY, EFFECTIVE IMMEDIATELY."
1.E "RESOLVED, THAT MR. JOSEPH (JOE) Mgmt For For COWAN BE ELECTED TO SERVE AS A MEMBER OF THE BOARD OF THE COMPANY UNTIL THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY, EFFECTIVE IMMEDIATELY."
2.A "RESOLVED, THAT MR. DAN FALK BE Mgmt Against Against ELECTED TO A THREE-YEAR TERM AS OUTSIDE DIRECTOR OF THE COMPANY, EFFECTIVE AS OF JANUARY 1, 2020."
2.B "RESOLVED, THAT MS. YOCHEVED DVIR Mgmt For For BE ELECTED TO A THREE-YEAR TERM AS OUTSIDE DIRECTOR OF THE COMPANY, EFFECTIVE AS JANUARY 1, 2020."
3 TO APPROVE AN AMENDMENT OF Mgmt Against Against EXECUTIVE EQUITY AWARD CAPS
4 TO APPROVE AN AMENDMENT OF NON- Mgmt Against Against EXECUTIVE DIRECTORS' EQUITY AWARD CAPS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 685 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
5 "RESOLVED, THAT KOST FORER GABAY & Mgmt For For KASIERER, CPA, A MEMBER OF ERNST & YOUNG GLOBAL, BE REAPPOINTED AS THE INDEPENDENT AUDITORS OF THE COMPANY UNTIL THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY, AND THAT THE BOARD OF DIRECTORS OF THE COMPANY BE AUTHORIZED TO SET THEIR COMPENSATION IN ACCORDANCE WITH THE AMOUNT AND NATURE OF THEIR SERVICES, OR TO DELEGATE SUCH POWER TO THE AUDIT COMMITTEE OF THE COMPANY."
6 TO DISCUSS THE COMPANY'S AUDITED Non-Voting ANNUAL FINANCIAL STATEMENTS FOR THE YEAR ENDED DECEMBER 31, 2018 Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 686 of 721 SSGA NN GROUP N.V.
Security: N64038107 Agenda Number: 711521078 Ticker: Meeting Type: EGM ISIN: NL0010773842 Meeting Date: 26-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT THIS IS AN Non-Voting INFORMATIONAL MEETING, AS THERE ARE NO PROPOSALS TO BE VOTED ON. SHOULD YOU WISH TO ATTEND THE MEETING PERSONALLY, YOU MAY REQUEST AN ENTRANCE CARD. THANK YOU.
1 OPENING Non-Voting
2 NOTICE OF THE INTENDED Non-Voting APPOINTMENT OF DAVID KNIBBE AS MEMBER OF THE EXECUTIVE BOARD
3 CLOSING Non-Voting Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 687 of 721 SSGA OPEN TEXT CORP
Security: 683715106 Agenda Number: 711498128 Ticker: Meeting Type: MIX ISIN: CA6837151068 Meeting Date: 04-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT SHAREHOLDERS Non-Voting ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' ONLY FOR RESOLUTIONS 3 AND 4 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBERS 1.1 TO 1.11 AND 2. THANK YOU
1.1 ELECTION OF DIRECTOR: P. THOMAS Mgmt Abstain Against JENKINS
1.2 ELECTION OF DIRECTOR: MARK J. Mgmt For For BARRENECHEA
1.3 ELECTION OF DIRECTOR: RANDY FOWLIE Mgmt Abstain Against
1.4 ELECTION OF DIRECTOR: DAVID FRASER Mgmt For For
1.5 ELECTION OF DIRECTOR: GAIL E. Mgmt For For HAMILTON
1.6 ELECTION OF DIRECTOR: STEPHEN J. Mgmt Abstain Against SADLER
1.7 ELECTION OF DIRECTOR: HARMIT SINGH Mgmt For For
1.8 ELECTION OF DIRECTOR: MICHAEL Mgmt Abstain Against SLAUNWHITE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 688 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1.9 ELECTION OF DIRECTOR: KATHARINE B. Mgmt For For STEVENSON
1.10 ELECTION OF DIRECTOR: C. JURGEN Mgmt For For TINGGREN
1.11 ELECTION OF DIRECTOR: DEBORAH Mgmt For For WEINSTEIN
2 RE-APPOINT KPMG LLP, CHARTERED Mgmt For For ACCOUNTANTS, AS INDEPENDENT AUDITORS FOR THE COMPANY
3 THE NON-BINDING SAY-ON-PAY Mgmt For For RESOLUTION, THE FULL TEXT OF WHICH IS ATTACHED AS SCHEDULE "A" TO THE CIRCULAR, WITH OR WITHOUT VARIATION, ON THE COMPANY'S APPROACH TO EXECUTIVE COMPENSATION, AS MORE PARTICULARLY DESCRIBED IN THE CIRCULAR
4 THE AMENDED AND RESTATED Mgmt For For SHAREHOLDER RIGHTS PLAN RESOLUTION, THE FULL TEXT OF WHICH IS ATTACHED AS "SCHEDULE B" TO THIS CIRCULAR, WITH OR WITHOUT VARIATION, TO CONTINUE, AMEND AND RESTATE THE COMPANY'S SHAREHOLDER RIGHTS PLAN, AS MORE PARTICULARLY DESCRIBED IN THE CIRCULAR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 689 of 721 SSGA ORACLE CORPORATION JAPAN
Security: J6165M109 Agenda Number: 711467402 Ticker: Meeting Type: AGM ISIN: JP3689500001 Meeting Date: 20-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1.1 Appoint a Director Frank Obermeier Mgmt For For
1.2 Appoint a Director Minato, Koji Mgmt For For
1.3 Appoint a Director Krishna Sivaraman Mgmt For For
1.4 Appoint a Director Edward Paterson Mgmt Against Against
1.5 Appoint a Director Kimberly Woolley Mgmt For For
1.6 Appoint a Director Fujimori, Yoshiaki Mgmt For For
1.7 Appoint a Director John L. Hall Mgmt Against Against
1.8 Appoint a Director Natsuno, Takeshi Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 690 of 721 SSGA PAN PACIFIC INTERNATIONAL HOLDINGS CORPORATION
Security: J1235L108 Agenda Number: 711548175 Ticker: Meeting Type: AGM ISIN: JP3639650005 Meeting Date: 25-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
Please reference meeting materials. Non-Voting
1 Approve Appropriation of Surplus Mgmt For For
2.1 Appoint a Director who is not Audit and Mgmt For For Supervisory Committee Member Yoshida, Naoki
2.2 Appoint a Director who is not Audit and Mgmt For For Supervisory Committee Member Matsumoto, Kazuhiro
2.3 Appoint a Director who is not Audit and Mgmt For For Supervisory Committee Member Nishii, Takeshi
2.4 Appoint a Director who is not Audit and Mgmt For For Supervisory Committee Member Sakakibara, Ken
2.5 Appoint a Director who is not Audit and Mgmt For For Supervisory Committee Member Sekiguchi, Kenji
2.6 Appoint a Director who is not Audit and Mgmt For For Supervisory Committee Member Maruyama, Tetsuji
2.7 Appoint a Director who is not Audit and Mgmt For For Supervisory Committee Member Ishii, Yuji Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 691 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
2.8 Appoint a Director who is not Audit and Mgmt For For Supervisory Committee Member Abe, Hiroshi
2.9 Appoint a Director who is not Audit and Mgmt For For Supervisory Committee Member Yasuda, Takao
3.1 Appoint a Director who is Audit and Mgmt For For Supervisory Committee Member Nishitani, Jumpei
3.2 Appoint a Director who is Audit and Mgmt For For Supervisory Committee Member Yoshino, Masaki Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 692 of 721 SSGA SATS LTD
Security: Y7992U101 Agenda Number: 711327254 Ticker: Meeting Type: AGM ISIN: SG1I52882764 Meeting Date: 18-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE AND ADOPT THE Mgmt For For DIRECTORS' STATEMENT AND AUDITED FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019 AND THE AUDITORS' REPORT THEREON
2 TO DECLARE A FINAL ORDINARY TAX- Mgmt For For EXEMPT (ONE-TIER) DIVIDEND OF 13 CENTS PER SHARE FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019
3 TO RE-ELECT MS EULEEN GOH YIU Mgmt For For KIANG, WHO WILL RETIRE BY ROTATION IN ACCORDANCE WITH ARTICLE 90 OF THE CONSTITUTION OF THE COMPANY AND WHO, BEING ELIGIBLE, OFFERS HERSELF FOR RE-ELECTION AS A DIRECTOR OF THE COMPANY
4 TO RE-ELECT MR YAP CHEE MENG, WHO Mgmt For For WILL RETIRE BY ROTATION IN ACCORDANCE WITH ARTICLE 90 OF THE CONSTITUTION OF THE COMPANY AND WHO, BEING ELIGIBLE, OFFERS HIMSELF FOR RE-ELECTION AS A DIRECTOR OF THE COMPANY
5 TO RE-ELECT MR MICHAEL KOK PAK Mgmt For For KUAN, WHO WILL RETIRE BY ROTATION IN ACCORDANCE WITH ARTICLE 90 OF THE CONSTITUTION OF THE COMPANY AND WHO, BEING ELIGIBLE, OFFERS HIMSELF FOR RE-ELECTION AS A DIRECTOR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 693 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
6 TO RE-ELECT MS JENNY LEE HONG WEI, Mgmt For For WHO WILL RETIRE IN ACCORDANCE WITH ARTICLE 96 OF THE CONSTITUTION OF THE COMPANY AND WHO, BEING ELIGIBLE, OFFERS HERSELF FOR RE- ELECTION AS A DIRECTOR OF THE COMPANY
7 TO APPROVE PAYMENT OF DIRECTORS' Mgmt For For FEES OF UP TO SGD 1,300,000 FOR THE FINANCIAL YEAR ENDING 31 MARCH 2020 (2019: UP TO SGD 1,300,000)
8 TO RE-APPOINT MESSRS KPMG LLP AS Mgmt For For AUDITORS OF THE COMPANY TO HOLD OFFICE UNTIL THE NEXT ANNUAL GENERAL MEETING AND TO AUTHORISE THE DIRECTORS TO FIX THEIR REMUNERATION
9 THAT AUTHORITY BE AND IS HEREBY Mgmt For For GIVEN TO THE DIRECTORS OF THE COMPANY TO: (A) (I) ISSUE SHARES OF THE COMPANY ("SHARES") WHETHER BY WAY OF RIGHTS, BONUS OR OTHERWISE; AND/OR (II) MAKE OR GRANT OFFERS, AGREEMENTS OR OPTIONS (COLLECTIVELY, "INSTRUMENTS") THAT MIGHT OR WOULD REQUIRE SHARES TO BE ISSUED, INCLUDING BUT NOT LIMITED TO THE CREATION AND ISSUE OF (AS WELL AS ADJUSTMENTS TO) WARRANTS, DEBENTURES OR OTHER INSTRUMENTS CONVERTIBLE INTO SHARES, AT ANY TIME AND UPON SUCH TERMS AND CONDITIONS AND FOR SUCH PURPOSES AND TO SUCH PERSONS AS THE DIRECTORS MAY IN THEIR ABSOLUTE DISCRETION DEEM FIT; AND (B) (NOTWITHSTANDING THE AUTHORITY CONFERRED BY THIS RESOLUTION MAY HAVE CEASED TO BE IN FORCE) ISSUE SHARES IN PURSUANCE OF ANY INSTRUMENTS MADE OR GRANTED BY THE DIRECTORS WHILE THIS RESOLUTION WAS IN FORCE, PROVIDED THAT: (I) THE AGGREGATE NUMBER OF SHARES TO BE ISSUED PURSUANT TO THIS RESOLUTION (INCLUDING SHARES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 694 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
TO BE ISSUED IN PURSUANCE OF INSTRUMENTS MADE OR GRANTED PURSUANT TO THIS RESOLUTION) DOES NOT EXCEED 50 PERCENT OF THE TOTAL NUMBER OF ISSUED SHARES (EXCLUDING TREASURY SHARES AND SUBSIDIARY HOLDINGS) (AS CALCULATED IN ACCORDANCE WITH SUB-PARAGRAPH (II) BELOW), OF WHICH THE AGGREGATE NUMBER OF SHARES TO BE ISSUED OTHER THAN ON A PRO RATA BASIS TO SHAREHOLDERS OF THE COMPANY (INCLUDING SHARES TO BE ISSUED IN PURSUANCE OF INSTRUMENTS MADE OR GRANTED PURSUANT TO THIS RESOLUTION) DOES NOT EXCEED 5 PERCENT OF THE TOTAL NUMBER OF ISSUED SHARES (EXCLUDING TREASURY SHARES AND SUBSIDIARY HOLDINGS) (AS CALCULATED IN ACCORDANCE WITH SUB-PARAGRAPH (II) BELOW); (II) (SUBJECT TO SUCH MANNER OF CALCULATION AS MAY BE PRESCRIBED BY THE SINGAPORE EXCHANGE SECURITIES TRADING LIMITED ("SGX- ST")) FOR THE PURPOSE OF DETERMINING THE AGGREGATE NUMBER OF SHARES THAT MAY BE ISSUED UNDER SUB-PARAGRAPH (I) ABOVE, THE PERCENTAGE OF ISSUED SHARES SHALL BE BASED ON THE TOTAL NUMBER OF ISSUED SHARES (EXCLUDING TREASURY SHARES AND SUBSIDIARY HOLDINGS) AT THE TIME THIS RESOLUTION IS PASSED, AFTER ADJUSTING FOR: (AA) NEW SHARES ARISING FROM THE CONVERSION OR EXERCISE OF ANY CONVERTIBLE SECURITIES OR EMPLOYEE SHARE OPTIONS OR VESTING OF SHARE AWARDS WHICH ARE OUTSTANDING OR SUBSISTING AT THE TIME THIS RESOLUTION IS PASSED; AND (BB) ANY SUBSEQUENT BONUS ISSUE, CONSOLIDATION OR SUBDIVISION OF SHARES, AND, IN SUB-PARAGRAPH (I) ABOVE AND THIS SUB-PARAGRAPH (II), "SUBSIDIARY HOLDINGS" HAS THE MEANING GIVEN TO IT IN THE LISTING MANUAL OF THE SGX-ST; (III) IN EXERCISING THE AUTHORITY CONFERRED BY THIS RESOLUTION, THE COMPANY SHALL COMPLY WITH THE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 695 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
PROVISIONS OF THE LISTING MANUAL OF THE SGX-ST FOR THE TIME BEING IN FORCE (UNLESS SUCH COMPLIANCE HAS BEEN WAIVED BY THE SGX-ST) AND THE CONSTITUTION OF THE COMPANY; AND (IV) (UNLESS REVOKED OR VARIED BY THE COMPANY IN GENERAL MEETING) THE AUTHORITY CONFERRED BY THIS RESOLUTION SHALL CONTINUE IN FORCE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY OR THE DATE BY WHICH THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY IS REQUIRED BY LAW TO BE HELD, WHICHEVER IS THE EARLIER
10 THAT: (A) EXISTING RULES 2, 3, 4, 5, 6, 7, Mgmt Against Against 8, 12 AND 13 OF THE SATS RESTRICTED SHARE PLAN BE ALTERED BY DELETING AND RESPECTIVELY SUBSTITUTING THEM WITH THE CORRESPONDING RULES SET OUT IN APPENDIX 1 TO THE LETTER TO SHAREHOLDERS DATED 19 JUNE 2019; AND (B) THE DIRECTORS BE AND ARE HEREBY AUTHORISED TO: (I) GRANT AWARDS IN ACCORDANCE WITH THE PROVISIONS OF THE SATS PERFORMANCE SHARE PLAN AND/OR THE SATS RESTRICTED SHARE PLAN (AS ALTERED); AND (II) ALLOT AND ISSUE FROM TIME TO TIME SUCH NUMBER OF ORDINARY SHARES OF THE COMPANY ("SHARES") AS MAY BE REQUIRED TO BE ISSUED PURSUANT TO THE VESTING OF AWARDS UNDER THE SATS PERFORMANCE SHARE PLAN AND/OR THE SATS RESTRICTED SHARE PLAN (AS ALTERED), PROVIDED THAT: (AA) THE AGGREGATE NUMBER OF NEW SHARES TO BE ALLOTTED AND ISSUED PURSUANT TO THE SATS PERFORMANCE SHARE PLAN, THE SATS RESTRICTED SHARE PLAN (AS ALTERED) AND THE SATS EMPLOYEE SHARE OPTION PLAN SHALL NOT EXCEED 15 PERCENT OF THE TOTAL NUMBER OF ISSUED SHARES (EXCLUDING TREASURY SHARES AND SUBSIDIARY HOLDINGS) FROM TIME TO TIME; AND (BB) THE AGGREGATE NUMBER OF SHARES UNDER AWARDS TO BE GRANTED PURSUANT TO THE SATS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 696 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
PERFORMANCE SHARE PLAN AND/OR THE SATS RESTRICTED SHARE PLAN (AS ALTERED) DURING THE PERIOD COMMENCING FROM THE DATE OF THIS ANNUAL GENERAL MEETING OF THE COMPANY AND ENDING ON THE DATE OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY OR THE DATE BY WHICH THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY IS REQUIRED BY LAW TO BE HELD, WHICHEVER IS THE EARLIER, SHALL NOT EXCEED 1 PERCENT OF THE TOTAL NUMBER OF ISSUED SHARES (EXCLUDING TREASURY SHARES AND SUBSIDIARY HOLDINGS) FROM TIME TO TIME, AND IN THIS RESOLUTION, "SUBSIDIARY HOLDINGS" HAS THE MEANING GIVEN TO IT IN THE LISTING MANUAL OF THE SINGAPORE EXCHANGE SECURITIES TRADING LIMITED
11 THAT: (A) APPROVAL BE AND IS HEREBY Mgmt For For GIVEN, FOR THE PURPOSES OF CHAPTER 9 OF THE LISTING MANUAL ("CHAPTER 9") OF THE SINGAPORE EXCHANGE SECURITIES TRADING LIMITED, FOR THE COMPANY, ITS SUBSIDIARIES AND ASSOCIATED COMPANIES THAT ARE ENTITIES AT RISK (AS THAT TERM IS USED IN CHAPTER 9), OR ANY OF THEM, TO ENTER INTO ANY OF THE TRANSACTIONS FALLING WITHIN THE TYPES OF INTERESTED PERSON TRANSACTIONS DESCRIBED IN APPENDIX 2 TO THE LETTER TO SHAREHOLDERS DATED 19 JUNE 2019 (THE "LETTER TO SHAREHOLDERS") WITH ANY PARTY WHO IS OF THE CLASS OF INTERESTED PERSONS DESCRIBED IN APPENDIX 2 TO THE LETTER TO SHAREHOLDERS, PROVIDED THAT SUCH TRANSACTIONS ARE MADE ON NORMAL COMMERCIAL TERMS AND IN ACCORDANCE WITH THE REVIEW PROCEDURES FOR SUCH INTERESTED PERSON TRANSACTIONS; (B) THE APPROVAL GIVEN IN PARAGRAPH (A) ABOVE (THE "IPT MANDATE") SHALL, UNLESS REVOKED OR VARIED BY THE COMPANY IN GENERAL MEETING, CONTINUE IN FORCE UNTIL THE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 697 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY; AND (C) THE DIRECTORS OF THE COMPANY AND/OR ANY OF THEM BE AND ARE HEREBY AUTHORISED TO COMPLETE AND DO ALL SUCH ACTS AND THINGS (INCLUDING EXECUTING ALL SUCH DOCUMENTS AS MAY BE REQUIRED) AS THEY AND/OR HE MAY CONSIDER EXPEDIENT OR NECESSARY OR IN THE INTERESTS OF THE COMPANY TO GIVE EFFECT TO THE IPT MANDATE AND/OR THIS RESOLUTION
12 THAT: (A) FOR THE PURPOSES OF Mgmt For For SECTIONS 76C AND 76E OF THE COMPANIES ACT, CHAPTER 50 OF SINGAPORE (THE "COMPANIES ACT"), THE EXERCISE BY THE DIRECTORS OF THE COMPANY OF ALL THE POWERS OF THE COMPANY TO PURCHASE OR OTHERWISE ACQUIRE ISSUED ORDINARY SHARES OF THE COMPANY ("SHARES") NOT EXCEEDING IN AGGREGATE THE MAXIMUM LIMIT (AS HEREAFTER DEFINED), AT SUCH PRICE OR PRICES AS MAY BE DETERMINED BY THE DIRECTORS OF THE COMPANY FROM TIME TO TIME UP TO THE MAXIMUM PRICE (AS HEREAFTER DEFINED), WHETHER BY WAY OF: (I) MARKET PURCHASE(S) ON THE SINGAPORE EXCHANGE SECURITIES TRADING LIMITED ("SGX-ST"); AND/OR (II) OFF- MARKET PURCHASE(S) (IF EFFECTED OTHERWISE THAN ON THE SGX-ST) IN ACCORDANCE WITH ANY EQUAL ACCESS SCHEME(S) AS MAY BE DETERMINED OR FORMULATED BY THE DIRECTORS OF THE COMPANY AS THEY CONSIDER FIT, WHICH SCHEME(S) SHALL SATISFY ALL THE CONDITIONS PRESCRIBED BY THE COMPANIES ACT, AND OTHERWISE IN ACCORDANCE WITH ALL OTHER LAWS AND REGULATIONS AND RULES OF THE SGX-ST AS MAY FOR THE TIME BEING BE APPLICABLE, BE AND IS HEREBY AUTHORISED AND APPROVED GENERALLY AND UNCONDITIONALLY (THE "SHARE PURCHASE MANDATE"); (B) UNLESS VARIED OR REVOKED BY THE COMPANY IN GENERAL MEETING, THE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 698 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
AUTHORITY CONFERRED ON THE DIRECTORS OF THE COMPANY PURSUANT TO THE SHARE PURCHASE MANDATE MAY BE EXERCISED BY THE DIRECTORS OF THE COMPANY AT ANY TIME AND FROM TIME TO TIME DURING THE PERIOD COMMENCING FROM THE DATE OF THE PASSING OF THIS RESOLUTION AND EXPIRING ON THE EARLIEST OF: (I) THE DATE ON WHICH THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY IS HELD; (II) THE DATE BY WHICH THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY IS REQUIRED BY LAW TO BE HELD; AND (III) THE DATE ON WHICH PURCHASES AND ACQUISITIONS OF SHARES PURSUANT TO THE SHARE PURCHASE MANDATE ARE CARRIED OUT TO THE FULL EXTENT MANDATED. (C) IN THIS RESOLUTION: "MAXIMUM LIMIT" MEANS THAT NUMBER OF ISSUED SHARES REPRESENTING 2 PERCENT OF THE ISSUED SHARES AS AT THE DATE OF THE PASSING OF THIS RESOLUTION (EXCLUDING TREASURY SHARES AND SUBSIDIARY HOLDINGS (AS DEFINED IN THE LISTING MANUAL OF THE SGX-ST)); AND "MAXIMUM PRICE" IN RELATION TO A SHARE TO BE PURCHASED OR ACQUIRED, MEANS THE PURCHASE PRICE (EXCLUDING RELATED BROKERAGE, COMMISSION, APPLICABLE GOODS AND SERVICES TAX, STAMP DUTIES, CLEARANCE FEES AND OTHER RELATED EXPENSES) WHICH SHALL NOT EXCEED, IN THE CASE OF BOTH A MARKET PURCHASE OF A SHARE AND AN OFF-MARKET PURCHASE OF A SHARE, 105 PERCENT OF THE AVERAGE CLOSING PRICE OF THE SHARES; WHERE: "AVERAGE CLOSING PRICE" MEANS THE AVERAGE OF THE LAST DEALT PRICES OF A SHARE FOR THE FIVE CONSECUTIVE TRADING DAYS ON WHICH THE SHARES ARE TRANSACTED ON THE SGX-ST IMMEDIATELY PRECEDING THE DATE OF THE MARKET PURCHASE BY THE COMPANY OR, AS THE CASE MAY BE, THE DATE OF THE MAKING OF THE OFFER PURSUANT TO THE OFF-MARKET PURCHASE, AND DEEMED TO BE ADJUSTED IN ACCORDANCE WITH THE LISTING RULES OF THE SGX-ST FOR ANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 699 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CORPORATE ACTION THAT OCCURS AFTER THE RELEVANT FIVE-DAY PERIOD; AND "DATE OF THE MAKING OF THE OFFER" MEANS THE DATE ON WHICH THE COMPANY ANNOUNCES ITS INTENTION TO MAKE AN OFFER FOR THE PURCHASE OR ACQUISITION OF SHARES FROM HOLDERS OF SHARES, STATING THEREIN THE PURCHASE PRICE (WHICH SHALL NOT BE MORE THAN THE MAXIMUM PRICE CALCULATED ON THE BASIS SET OUT HEREIN) FOR EACH SHARE AND THE RELEVANT TERMS OF THE EQUAL ACCESS SCHEME FOR EFFECTING THE OFF-MARKET PURCHASE; AND (D) THE DIRECTORS OF THE COMPANY AND/OR ANY OF THEM BE AND ARE HEREBY AUTHORISED TO COMPLETE AND DO ALL SUCH ACTS AND THINGS (INCLUDING EXECUTING SUCH DOCUMENTS AS MAY BE REQUIRED) AS THEY AND/OR HE MAY CONSIDER EXPEDIENT OR NECESSARY OR IN THE INTERESTS OF THE COMPANY TO GIVE EFFECT TO THE TRANSACTIONS CONTEMPLATED AND/OR AUTHORISED BY THIS RESOLUTION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 700 of 721 SSGA SINGAPORE TELECOMMUNICATIONS LTD
Security: Y79985209 Agenda Number: 711341280 Ticker: Meeting Type: AGM ISIN: SG1T75931496 Meeting Date: 23-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE THAT SHAREHOLDERS Non-Voting ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING
1 TO RECEIVE AND ADOPT THE Mgmt For For DIRECTORS' STATEMENT AND AUDITED FINANCIAL STATEMENTS AND AUDITORS' REPORT THEREON
2 TO DECLARE A FINAL DIVIDEND OF 10.7 Mgmt For For CENTS PER SHARE
3 TO RE-ELECT MS CHRISTINA HON KWEE Mgmt For For FONG (MRS CHRISTINA ONG) AS DIRECTOR
4 TO RE-ELECT MR SIMON CLAUDE ISRAEL Mgmt Against Against AS DIRECTOR
5 TO RE-ELECT MR DOMINIC STEPHEN Mgmt For For BARTON AS DIRECTOR
6 TO RE-ELECT MR BRADLEY JOSEPH Mgmt For For HOROWITZ AS DIRECTOR
7 TO RE-ELECT MRS GAIL PATRICIA KELLY Mgmt For For AS DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 701 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
8 TO APPROVE PAYMENT OF DIRECTORS' Mgmt Against Against FEES BY THE COMPANY FOR THE FINANCIAL YEAR ENDING 31 MARCH 2020
9 TO RE-APPOINT THE AUDITORS AND Mgmt For For AUTHORISE THE DIRECTORS TO FIX THEIR REMUNERATION
10 TO APPROVE THE PROPOSED SHARE Mgmt For For ISSUE MANDATE
11 TO AUTHORISE THE DIRECTORS TO Mgmt Against Against GRANT AWARDS AND ALLOT/ISSUE SHARES PURSUANT TO THE SINGTEL PERFORMANCE SHARE PLAN 2012
12 TO APPROVE THE PROPOSED RENEWAL Mgmt For For OF THE SHARE PURCHASE MANDATE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 702 of 721 SSGA SUNCORP GROUP LTD
Security: Q88040110 Agenda Number: 711520812 Ticker: Meeting Type: AGM ISIN: AU000000SUN6 Meeting Date: 26-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT VOTING EXCLUSIONS APPLY TO THIS Non-Voting MEETING FOR PROPOSALS 1, 2 AND 6 AND VOTES CAST BY ANY INDIVIDUAL OR RELATED PARTY WHO BENEFIT FROM THE PASSING OF THE PROPOSAL/S WILL BE DISREGARDED BY THE COMPANY. HENCE, IF YOU HAVE OBTAINED BENEFIT OR EXPECT TO OBTAIN FUTURE BENEFIT (AS REFERRED IN THE COMPANY ANNOUNCEMENT) VOTE ABSTAIN ON THE RELEVANT PROPOSAL ITEMS. BY DOING SO, YOU ACKNOWLEDGE THAT YOU HAVE OBTAINED BENEFIT OR EXPECT TO OBTAIN BENEFIT BY THE PASSING OF THE RELEVANT PROPOSAL/S. BY VOTING (FOR OR AGAINST) ON THE ABOVE MENTIONED PROPOSAL/S, YOU ACKNOWLEDGE THAT YOU HAVE NOT OBTAINED BENEFIT NEITHER EXPECT TO OBTAIN BENEFIT BY THE PASSING OF THE RELEVANT PROPOSAL/S AND YOU COMPLY WITH THE VOTING EXCLUSION
1 REMUNERATION REPORT Mgmt Against Against
2 GRANT OF PERFORMANCE RIGHTS TO Mgmt For For THE ACTING CHIEF EXECUTIVE OFFICER
3.A RE-ELECTION OF DIRECTOR - MS SALLY Mgmt For For HERMAN
3.B ELECTION OF DIRECTOR - MR IAN Mgmt For For HAMMOND Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 703 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
4 RETURN OF CAPITAL TO ORDINARY Mgmt For For SHAREHOLDERS
5 CONSOLIDATION OF ORDINARY SHARES Mgmt For For
6 SELECTIVE CAPITAL REDUCTION IN Mgmt For For RELATION TO SUNPE
7 REINSERTION OF PROPORTIONAL Mgmt For For TAKEOVER PROVISIONS IN THE CONSTITUTION
8 INSERTION OF ADDITIONAL NOTICE Mgmt For For PROVISION IN THE CONSTITUTION
CMMT PLEASE NOTE THAT RESOLUTIONS 9.A Non-Voting AND 9.B ARE SPONSORED BY MARKET FORCES AND REQUISITIONED BY SHAREHOLDERS HOLDING APPROXIMATELY 0.01% OF SUNCORP'S SHARES ON ISSUE THANK YOU.
9.A PLEASE NOTE THAT THIS RESOLUTION IS Shr Against For A SHAREHOLDER PROPOSAL: AMENDMENT TO THE CONSTITUTION: NEW SUB-CLAUSE 17.2(D)
9.B PLEASE NOTE THAT THIS RESOLUTION IS Shr Against For A SHAREHOLDER PROPOSAL: CONTINGENT RESOLUTION - FOSSIL FUEL EXPOSURE REDUCTION TARGETS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 704 of 721 SSGA THE BERKELEY GROUP HOLDINGS PLC
Security: G1191G120 Agenda Number: 711485296 Ticker: Meeting Type: AGM ISIN: GB00B02L3W35 Meeting Date: 06-Sep-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE ACCOUNTS FOR THE Mgmt For For YEAR ENDED 30 APRIL 2019, TOGETHER WITH THE REPORTS OF THE DIRECTORS AND AUDITOR THEREON
2 TO APPROVE THE DIRECTORS' Mgmt Against Against REMUNERATION POLICY
3 TO APPROVE THE ANNUAL REPORT ON Mgmt For For REMUNERATION FOR THE FINANCIAL YEAR ENDED 30 APRIL 2019
4 TO RE-ELECT A W PIDGLEY, CBE AS A Mgmt For For DIRECTOR OF THE COMPANY
5 TO RE-ELECT R C PERRINS AS A Mgmt For For DIRECTOR OF THE COMPANY
6 TO RE-ELECT R J STEARN AS A Mgmt For For DIRECTOR OF THE COMPANY
7 TO RE-ELECT K WHITEMAN AS A Mgmt For For DIRECTOR OF THE COMPANY
8 TO RE-ELECT S ELLIS AS A DIRECTOR OF Mgmt For For THE COMPANY
9 TO RE-ELECT SIR J ARMITT AS A Mgmt For For DIRECTOR OF THE COMPANY Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 705 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO RE-ELECT DAME A NIMMO AS A Mgmt For For DIRECTOR OF THE COMPANY
11 TO RE-ELECT V WADLEY, CBE AS A Mgmt For For DIRECTOR OF THE COMPANY
12 TO RE-ELECT G BARKER AS A DIRECTOR Mgmt For For OF THE COMPANY
13 TO RE-ELECT A LI AS A DIRECTOR OF THE Mgmt Against Against COMPANY
14 TO RE-ELECT A MYERS AS A DIRECTOR Mgmt For For OF THE COMPANY
15 TO RE-ELECT D BRIGHTMORE-ARMOUR Mgmt For For AS A DIRECTOR OF THE COMPANY
16 TO RE-ELECT J TIBALDI AS A DIRECTOR Mgmt For For OF THE COMPANY
17 TO RE-ELECT P VALLONE AS A DIRECTOR Mgmt For For OF THE COMPANY
18 TO RE-ELECT P VERNON AS A DIRECTOR Mgmt For For OF THE COMPANY
19 TO RE-ELECT R DOWNEY AS A DIRECTOR Mgmt For For OF THE COMPANY
20 TO RE-APPOINT KPMG LLP AS AUDITOR Mgmt For For OF THE COMPANY
21 TO AUTHORISE THE AUDIT COMMITTEE Mgmt For For TO DETERMINE THE AUDITOR'S REMUNERATION Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 706 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
22 THAT THE DIRECTORS BE AUTHORISED Mgmt For For TO EXERCISE ALL THE POWERS OF THE COMPANY TO ALLOT SHARES OR CONVERT ANY SECURITY INTO SHARES
CMMT PLEASE NOTE THAT RESOLUTIONS 23 Non-Voting AND 24 ARE SUBJECT TO RESOLUTION 22 BEING PASSED. THANK YOU
23 THAT THE BOARD BE AUTHORISED TO Mgmt For For ALLOT EQUITY SECURITIES FOR CASH AS IF SECTION 561 OF THE COMPANIES ACT 2006 DID NOT APPLY
24 THAT THE BOARD BE AUTHORISED TO Mgmt For For ALLOT EQUITY SECURITIES FOR CASH AND/OR TO SELL ORDINARY SHARES HELD BY THE COMPANY AS TREASURY SHARES FOR CASH
25 THAT THE COMPANY IS AUTHORISED TO Mgmt For For MAKE MARKET PURCHASES OF ITS ORDINARY SHARES OF 5P EACH IN THE CAPITAL OF THE COMPANY
26 THAT THE COMPANY IS HEREBY Mgmt For For AUTHORISED TO MAKE DONATIONS TO POLITICAL ORGANISATIONS, OTHER THAN POLITICAL PARTIES
27 THAT EXTRAORDINARY GENERAL Mgmt For For MEETINGS OF THE COMPANY (OTHER THAN ANNUAL GENERAL MEETINGS) MAY BE CALLED BY NOTICE OF NOT LESS THAN 14 CLEAR DAYS
28 THAT THE RULES OF THE BERKELEY Mgmt Against Against GROUP HOLDINGS PLC 2011 LONG TERM INCENTIVE PLAN BE AMENDED Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 707 of 721 SSGA TSURUHA HOLDINGS INC.
Security: J9348C105 Agenda Number: 711432651 Ticker: Meeting Type: AGM ISIN: JP3536150000 Meeting Date: 09-Aug-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
Please reference meeting materials. Non-Voting
1.1 Appoint a Director Tsuruha, Tatsuru Mgmt For For
1.2 Appoint a Director Horikawa, Masashi Mgmt For For
1.3 Appoint a Director Tsuruha, Jun Mgmt For For
1.4 Appoint a Director Goto, Teruaki Mgmt For For
1.5 Appoint a Director Abe, Mitsunobu Mgmt For For
1.6 Appoint a Director Mitsuhashi, Shinya Mgmt For For
1.7 Appoint a Director Ogawa, Hisaya Mgmt For For
1.8 Appoint a Director Okada, Motoya Mgmt For For
1.9 Appoint a Director Yamada, Eiji Mgmt For For
1.10 Appoint a Director Murakami, Shoichi Mgmt For For Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 708 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1.11 Appoint a Director Atsumi, Fumiaki Mgmt For For
1.12 Appoint a Director Fujii, Fumiyo Mgmt For For
1.13 Appoint a Director Sato, Harumi Mgmt For For
2 Appoint a Substitute Corporate Auditor Mgmt For For Yamazaki, Mikine Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 709 of 721 SSGA UBISOFT ENTERTAINMENT
Security: F9396N106 Agenda Number: 711245882 Ticker: Meeting Type: MIX ISIN: FR0000054470 Meeting Date: 02-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
CMMT PLEASE NOTE IN THE FRENCH MARKET Non-Voting THAT THE ONLY VALID VOTE OPTIONS ARE "FOR" AND "AGAINST" A VOTE OF "ABSTAIN" WILL BE TREATED AS AN "AGAINST" VOTE.
CMMT THE FOLLOWING APPLIES TO Non-Voting SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE
CMMT IN CASE AMENDMENTS OR NEW Non-Voting RESOLUTIONS ARE PRESENTED DURING THE MEETING, YOUR VOTE WILL DEFAULT TO 'ABSTAIN'. SHARES CAN ALTERNATIVELY BE PASSED TO THE CHAIRMAN OR A NAMED THIRD PARTY TO VOTE ON ANY SUCH ITEM RAISED. SHOULD YOU WISH TO PASS CONTROL OF YOUR SHARES IN THIS WAY, PLEASE CONTACT YOUR BROADRIDGE CLIENT SERVICE REPRESENTATIVE. THANK YOU
CMMT 17 JUN 2019: PLEASE NOTE THAT Non-Voting IMPORTANT ADDITIONAL MEETING INFORMATION IS AVAILABLE BY CLICKING ON THE MATERIAL URL LINK: https://www.journal- officiel.gouv.fr/publications/balo/pdf/2019/052 7/201905271902413.pdf AND Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 710 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
https://www.journal- officiel.gouv.fr/publications/balo/pdf/2019/061 7/201906171903008.pdf; PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF URL LINK. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
O.1 APPROVAL OF THE CORPORATE Mgmt For For FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019
O.2 ALLOCATION OF INCOME FOR THE Mgmt For For FINANCIAL YEAR ENDED 31 MARCH 2019
O.3 APPROVAL OF THE CONSOLIDATED Mgmt For For FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31MARCH 2019
O.4 APPROVAL OF THE REGULATED Mgmt For For AGREEMENTS AND COMMITMENTS
O.5 APPROVAL OF THE COMPENSATION Mgmt For For ELEMENTS AND BENEFITS PAID OR AWARDED FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019 TO MR. YVES GUILLEMOT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER
O.6 APPROVAL OF THE COMPENSATION Mgmt For For ELEMENTS AND BENEFITS PAID OR AWARDED FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019 TO MR. CLAUDE GUILLEMOT, DEPUTY CHIEF EXECUTIVE OFFICER Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 711 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
O.7 APPROVAL OF THE COMPENSATION Mgmt For For ELEMENTS AND BENEFITS PAID OR AWARDED FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019 TO MR. MICHEL GUILLEMOT, DEPUTY CHIEF EXECUTIVE OFFICER
O.8 APPROVAL OF THE COMPENSATION Mgmt For For ELEMENTS AND BENEFITS PAID OR AWARDED FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019 TO MR. GERARD GUILLEMOT, DEPUTY CHIEF EXECUTIVE OFFICER
O.9 APPROVAL OF THE COMPENSATION Mgmt For For ELEMENTS AND BENEFITS PAID OR AWARDED FOR THE FINANCIAL YEAR ENDED 31 MARCH 2019 TO MR. CHRISTIAN GUILLEMOT, DEPUTY CHIEF EXECUTIVE OFFICER
O.10 APPROVAL OF THE PRINCIPLES AND Mgmt For For CRITERIA FOR DETERMINING, DISTRIBUTING AND ALLOCATING THE ELEMENTS MAKING UP THE TOTAL COMPENSATION AND BENEFITS OF ANY KIND ATTRIBUTABLE TO THE CHAIRMAN AND CHIEF EXECUTIVE OFFICER
O.11 APPROVAL OF THE PRINCIPLES AND Mgmt For For CRITERIA FOR DETERMINING, DISTRIBUTING AND ALLOCATING THE ELEMENTS MAKING UP THE TOTAL COMPENSATION AND BENEFITS OF ANY KIND ATTRIBUTABLE TO THE DEPUTY CHIEF EXECUTIVE OFFICERS
O.12 RENEWAL OF THE TERM OF OFFICE OF Mgmt For For MRS. VIRGINIE HAAS AS DIRECTOR
O.13 RENEWAL OF THE TERM OF OFFICE OF Mgmt For For MRS. CORINNE FERNANDEZ- HANDELSMAN AS DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 712 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
O.14 RENEWAL OF THE TERM OF OFFICE OF Mgmt For For KPMG SA AS PRINCIPAL STATUTORY AUDITOR
O.15 NON-RENEWAL AND NON-REPLACEMENT Mgmt For For OF KPMG AUDIT IS SAS AS DEPUTY STATUTORY AUDITOR
O.16 AUTHORIZATION TO THE BOARD OF Mgmt For For DIRECTORS TO TRADE IN THE SHARES OF THE COMPANY
E.17 AUTHORIZATION TO THE BOARD OF Mgmt For For DIRECTORS TO REDUCE THE SHARE CAPITAL BY CANCELLING TREASURY SHARES HELD BY THE COMPANY
E.18 DELEGATION OF AUTHORITY TO THE Mgmt For For BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY CAPITALIZATION OF RESERVES, PROFITS, PREMIUMS OR OTHER SUMS WHOSE CAPITALIZATION WOULD BE ALLOWED
E.19 DELEGATION OF AUTHORITY TO THE Mgmt For For BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY ISSUING SHARES OF THE COMPANY AND/OR TRANSFERRABLE SECURITIES GRANTING ACCESS TO THE CAPITAL OF THE COMPANY OR ANY OF ITS SUBSIDIARIES AND/OR GRANTING ENTITLEMENT TO THE ALLOCATION OF DEBT SECURITIES, WITH RETENTION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT
E.20 DELEGATION OF AUTHORITY TO THE Mgmt For For BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY ISSUING SHARES OF THE COMPANY AND/OR TRANSFERRABLE SECURITIES GRANTING ACCESS TO THE CAPITAL OF THE COMPANY OR ANY OF ITS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 713 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
SUBSIDIARIES AND/OR GRANTING ENTITLEMENT TO THE ALLOCATION OF DEBT SECURITIES, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT BY PUBLIC OFFERING
E.21 DELEGATION OF AUTHORITY TO THE Mgmt For For BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY ISSUING SHARES OF THE COMPANY AND/OR TRANSFERRABLE SECURITIES GRANTING ACCESS TO THE CAPITAL OF THE COMPANY OR ANY OF ITS SUBSIDIARIES AND/OR GRANTING ENTITLEMENT TO THE ALLOCATION OF DEBT SECURITIES, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT BY PRIVATE PLACEMENT REFERRED TO IN SECTION II OF ARTICLE L.411-2 OF THE FRENCH MONETARY AND FINANCIAL CODE
E.22 AUTHORIZATION TO THE BOARD OF Mgmt For For DIRECTORS TO DETERMINE, WITHIN THE LIMIT OF 10% OF THE SHARE CAPITAL PER YEAR, THE ISSUE PRICE OF THE SHARES AND/OR TRANSFERRABLE SECURITIES GRANTING ACCESS TO THE CAPITAL AND/OR GRANTING RIGHT TO THE ALLOCATION OF DEBT SECURITIES, IN CASE OF ISSUE WITHOUT THE PRE- EMPTIVE SUBSCRIPTION RIGHT BY PUBLIC OFFERING AND/OR BY AN OFFER REFERRED TO IN SECTION II OF THE ARTICLE L.411-2 OF THE FRENCH MONETARY AND FINANCIAL CODE
E.23 DELEGATION OF POWERS TO THE Mgmt For For BOARD OF DIRECTORS TO ISSUE SHARES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL, TO REMUNERATE CONTRIBUTIONS IN KIND GRANTED TO THE COMPANY, WITHOUT THE SHAREHOLDERS' PRE-EMPTIVE SUBSCRIPTION RIGHT Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 714 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
E.24 DELEGATION OF AUTHORITY TO THE Mgmt For For BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY ISSUING COMMON SHARES AND/OR COMPOSITE TRANSFERRABLE SECURITIES, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT OF THE SHAREHOLDERS, FOR THE BENEFIT OF THE MEMBERS OF ONE OF THE GROUP COMPANY SAVINGS PLAN(S)
E.25 DELEGATION OF AUTHORITY TO THE Mgmt For For BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY ISSUING COMMON SHARES AND/OR COMPOSITE TRANSFERRABLE SECURITIES, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT RESERVED FOR EMPLOYEES AND/OR CORPORATE OFFICERS OF CERTAIN SUBSIDIARIES OF THE COMPANY ACCORDING TO ARTICLE L.233-16 OF THE FRENCH COMMERCIAL CODE, WHOSE THE REGISTERED OFFICE IS LOCATED OUT OF FRANCE, OUTSIDE THE COMPANY OR GROUP SAVINGS PLAN
E.26 DELEGATION OF AUTHORITY TO THE Mgmt For For BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY ISSUING COMMON SHARES AND/OR COMPOSITE TRANSFERRABLE SECURITIES, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, RESERVED FOR CATEGORIES OF BENEFICIARIES IN THE CONTEXT OF AN EMPLOYEE SHAREHOLDINGS OFFER
E.27 AUTHORIZATION TO THE BOARD OF Mgmt For For DIRECTORS TO ALLOCATE FREE COMMON SHARES OF THE COMPANY REFERRED TO IN ARTICLES L. 225-197-1 AND FOLLOWING OF THE FRENCH COMMERCIAL CODE FOR THE BENEFIT OF EMPLOYEES, INCLUDING ALL OR PART OF THE MEMBERS OF THE EXECUTIVE COMMITTEE OF UBISOFT GROUP REFERRED TO IN 4.1.2.4 OF THE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 715 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
REGISTRATION DOCUMENT, EXCLUDING EXECUTIVE CORPORATE OFFICERS OF THE COMPANY, RESULTING IN A WAIVER BY SHAREHOLDERS OF THEIR PRE- EMPTIVE SUBSCRIPTION RIGHT
E.28 OVERALL CEILING ON CAPITAL Mgmt For For INCREASES
E.29 AMENDMENT TO ARTICLE 8 OF THE BY- Mgmt For For LAWS TO ALLOW THE APPOINTMENT OF A DIRECTOR REPRESENTING EMPLOYEE SHAREHOLDERS IN ACCORDANCE WITH THE PROVISIONS OF ARTICLE L. 225-23 OF THE FRENCH COMMERCIAL CODE
E.30 ALIGNMENT OF ARTICLE 14 - TITLE V OF Mgmt For For THE BY-LAWS OF THE COMPANY "STATUTORY AUDITORS"
E.31 POWERS TO CARRY OUT ALL Mgmt For For FORMALITIES Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 716 of 721 SSGA UNITED UTILITIES GROUP PLC
Security: G92755100 Agenda Number: 711321911 Ticker: Meeting Type: AGM ISIN: GB00B39J2M42 Meeting Date: 26-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE FINANCIAL Mgmt For For STATEMENTS AND THE REPORTS FOR THE YEAR ENDED 31 MARCH 2019
2 TO DECLARE A FINAL DIVIDEND OF Mgmt For For 27.52P PER ORDINARY SHARE
3 TO APPROVE THE DIRECTORS' Mgmt Against Against REMUNERATION REPORT FOR THE YEAR ENDED 31 MARCH 2019
4 TO APPROVE THE DIRECTORS' Mgmt For For REMUNERATION POLICY
5 TO REAPPOINT DR JOHN MCADAM AS A Mgmt For For DIRECTOR
6 TO REAPPOINT STEVE MOGFORD AS A Mgmt For For DIRECTOR
7 TO REAPPOINT RUSS HOULDEN AS A Mgmt For For DIRECTOR
8 TO REAPPOINT STEVE FRASER AS A Mgmt For For DIRECTOR
9 TO REAPPOINT MARK CLARE AS A Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 717 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO REAPPOINT SARA WELLER AS A Mgmt For For DIRECTOR
11 TO REAPPOINT BRIAN MAY AS A Mgmt For For DIRECTOR
12 TO REAPPOINT STEPHEN CARTER AS A Mgmt For For DIRECTOR
13 TO REAPPOINT ALISON GOLIGHER AS A Mgmt For For DIRECTOR
14 TO REAPPOINT PAULETTE ROWE AS A Mgmt For For DIRECTOR
15 TO ELECT SIR DAVID HIGGINS AS A Mgmt For For DIRECTOR
16 TO REAPPOINT KPMG LLP AS THE Mgmt For For AUDITOR
17 TO AUTHORISE THE AUDIT COMMITTEE Mgmt For For OF THE BOARD TO SET THE AUDITOR'S REMUNERATION
18 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT SHARES
19 TO DISAPPLY STATUTORY PRE-EMPTION Mgmt For For RIGHTS
20 TO AUTHORISE SPECIFIC POWER TO Mgmt For For DISAPPLY PRE-EMPTION RIGHTS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 718 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
21 TO AUTHORISE THE COMPANY TO MAKE Mgmt For For MARKET PURCHASES OF ITS OWN SHARES
22 TO AUTHORISE THE DIRECTORS TO CALL Mgmt For For GENERAL MEETINGS ON NOT LESS THAN 14 WORKING DAYS' NOTICE
23 TO AUTHORISE POLITICAL DONATIONS Mgmt For For AND POLITICAL EXPENDITURE Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 719 of 721 SSGA VODAFONE GROUP PLC
Security: G93882192 Agenda Number: 711320464 Ticker: Meeting Type: AGM ISIN: GB00BH4HKS39 Meeting Date: 23-Jul-19
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
1 TO RECEIVE THE COMPANY'S Mgmt For For ACCOUNTS, THE STRATEGIC REPORT AND REPORTS OF THE DIRECTORS AND THE AUDITOR FOR THE YEAR ENDED 31 MARCH 2019
2 TO ELECT SANJIV AHUJA AS A DIRECTOR Mgmt For For
3 TO ELECT DAVID THODEY AS A DIRECTOR Mgmt For For
4 TO RE-ELECT GERARD KLEISTERLEE AS Mgmt For For A DIRECTOR
5 TO RE-ELECT NICK READ AS A DIRECTOR Mgmt For For
6 TO RE-ELECT MARGHERITA DELLA VALLE Mgmt For For AS A DIRECTOR
7 TO RE-ELECT SIR CRISPIN DAVIS AS A Mgmt For For DIRECTOR
8 TO RE-ELECT MICHEL DEMARE AS A Mgmt For For DIRECTOR
9 TO RE-ELECT DAME CLARA FURSE AS A Mgmt For For DIRECTOR Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 720 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
10 TO RE-ELECT VALERIE GOODING AS A Mgmt For For DIRECTOR
11 TO RE-ELECT RENEE JAMES AS A Mgmt For For DIRECTOR
12 TO RE-ELECT MARIA AMPARO MORALEDA Mgmt For For MARTINEZ AS A DIRECTOR
13 TO RE-ELECT DAVID NISH AS A DIRECTOR Mgmt For For
14 TO DECLARE A FINAL DIVIDEND OF 4.16 Mgmt For For EUROCENTS PER ORDINARY SHARE FOR THE YEAR ENDED 31 MARCH 2019
15 TO APPROVE THE ANNUAL REPORT ON Mgmt Against Against REMUNERATION CONTAINED IN THE REMUNERATION REPORT OF THE BOARD FOR THE YEAR ENDED 31 MARCH 2019
16 TO APPOINT ERNST & YOUNG LLP AS THE Mgmt For For COMPANY'S AUDITOR UNTIL THE END OF THE NEXT GENERAL MEETING AT WHICH ACCOUNTS ARE LAID BEFORE THE COMPANY
17 TO AUTHORISE THE AUDIT AND RISK Mgmt For For COMMITTEE TO DETERMINE THE REMUNERATION OF THE AUDITOR
18 TO AUTHORISE THE DIRECTORS TO Mgmt For For ALLOT SHARES
19 TO AUTHORISE THE DIRECTORS TO DIS- Mgmt For For APPLY PRE-EMPTION RIGHTS Investment Company Report
Meeting Date Range: 01-Jul-2019 - 30-Sep-2019 Report Date: 03-Oct-2019 Page 721 of 721
Prop. # Proposal Proposed Proposal Vote For/Against by Management's Recommendation
20 TO AUTHORISE THE DIRECTORS TO DIS- Mgmt For For APPLY PRE-EMPTION RIGHTS UP TO A FURTHER 5 PER CENT FOR THE PURPOSES OF FINANCING AN ACQUISITION OR OTHER CAPITAL INVESTMENT
21 TO AUTHORISE THE COMPANY TO Mgmt For For PURCHASE ITS OWN SHARES
22 TO AUTHORISE POLITICAL DONATIONS Mgmt For For AND EXPENDITURE
23 TO AUTHORISE THE COMPANY TO CALL Mgmt For For GENERAL MEETINGS (OTHER THAN AGMS) ON 14 CLEAR DAYS' NOTICE