|
AKORN, INC.
|
|
|||||||||||||||||
|
Security
|
009728106
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
AKRX
|
Meeting Date
|
01-Jul-2016
|
|||||||||||||||
|
ISIN
|
US0097281069
|
Agenda
|
934429437 - Management
|
|||||||||||||||
|
Record Date
|
11-May-2016
|
Holding Recon Date
|
11-May-2016
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
30-Jun-2016
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
JOHN KAPOOR, PHD
|
For
|
For
|
|||||||||||||||
|
2
|
KENNETH ABRAMOWITZ
|
For
|
For
|
|||||||||||||||
|
3
|
ADRIENNE GRAVES, PHD
|
For
|
For
|
|||||||||||||||
|
4
|
RONALD JOHNSON
|
For
|
For
|
|||||||||||||||
|
5
|
STEVEN MEYER
|
For
|
For
|
|||||||||||||||
|
6
|
TERRY ALLISON RAPPUHN
|
For
|
For
|
|||||||||||||||
|
7
|
BRIAN TAMBI
|
For
|
For
|
|||||||||||||||
|
8
|
ALAN WEINSTEIN
|
For
|
For
|
|||||||||||||||
|
2.
|
PROPOSAL TO RATIFY THE APPOINTMENT OF BDO USA, LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR YEAR ENDING DECEMBER 31, 2016.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
PROPOSAL TO APPROVE, THROUGH A NON- BINDING ADVISORY VOTE, THE COMPANY'S EXECUTIVE COMPENSATION PROGRAM AS DESCRIBED IN THE COMPANY'S 2016 PROXY STATEMENT.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
9,000
|
18,800
|
21-May-2016
|
21-May-2016
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
5,500
|
46,700
|
21-May-2016
|
21-May-2016
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
5,200
|
111,100
|
21-May-2016
|
21-May-2016
|
|||||||||||
|
HERCULES CAPITAL INC
|
|
|||||||||||||||||
|
Security
|
427096508
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
HTGC
|
Meeting Date
|
07-Jul-2016
|
|||||||||||||||
|
ISIN
|
US4270965084
|
Agenda
|
934423079 - Management
|
|||||||||||||||
|
Record Date
|
15-Apr-2016
|
Holding Recon Date
|
15-Apr-2016
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
06-Jul-2016
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: MANUEL A. HENRIQUEZ
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: JOSEPH F. HOFFMAN
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
APPROVE, ON AN ADVISORY BASIS, THE COMPANY'S NAMED EXECUTIVE OFFICER COMPENSATION.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
RATIFICATION OF PRICEWATERHOUSECOOPERS LLP TO SERVE AS OUR INDEPENDENT PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2016.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLV
|
GLV
|
997GLV
|
STATE STREET BANK & TRUST CO
|
37,900
|
0
|
11-May-2016
|
08-Jul-2016
|
|||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
61,900
|
0
|
11-May-2016
|
08-Jul-2016
|
|||||||||||
|
ARMSTRONG WORLD INDUSTRIES, INC.
|
|
|||||||||||||||||
|
Security
|
04247X102
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
AWI
|
Meeting Date
|
08-Jul-2016
|
|||||||||||||||
|
ISIN
|
US04247X1028
|
Agenda
|
934420237 - Management
|
|||||||||||||||
|
Record Date
|
15-Apr-2016
|
Holding Recon Date
|
15-Apr-2016
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
07-Jul-2016
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
STAN A. ASKREN
|
For
|
For
|
|||||||||||||||
|
2
|
VICTOR D. GRIZZLE
|
For
|
For
|
|||||||||||||||
|
3
|
TAO HUANG
|
For
|
For
|
|||||||||||||||
|
4
|
LARRY S. MCWILLIAMS
|
For
|
For
|
|||||||||||||||
|
5
|
JAMES C. MELVILLE
|
For
|
For
|
|||||||||||||||
|
6
|
JAMES J. O'CONNOR
|
For
|
For
|
|||||||||||||||
|
7
|
JOHN J. ROBERTS
|
For
|
For
|
|||||||||||||||
|
8
|
GREGORY P. SPIVY
|
For
|
For
|
|||||||||||||||
|
9
|
CHERRYL T. THOMAS
|
For
|
For
|
|||||||||||||||
|
2.
|
TO RATIFY THE SELECTION OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2016.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
TO APPROVE OF THE ARMSTRONG WORLD INDUSTRIES, INC. 2016 DIRECTORS' STOCK UNIT PLAN.
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
TO APPROVE OF THE ARMSTRONG WORLD INDUSTRIES, INC. 2016 LONG-TERM INCENTIVE PLAN.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
113,400
|
0
|
07-May-2016
|
11-Jul-2016
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
27,400
|
0
|
07-May-2016
|
11-Jul-2016
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
45,200
|
0
|
07-May-2016
|
11-Jul-2016
|
|||||||||||
|
CHINA LONGYUAN POWER GROUP CORPORATION LTD
|
|
|||||||||||||||||
|
Security
|
Y1501T101
|
Meeting Type
|
ExtraOrdinary General Meeting
|
|||||||||||||||
|
Ticker Symbol
|
Meeting Date
|
12-Aug-2016
|
||||||||||||||||
|
ISIN
|
CNE100000HD4
|
Agenda
|
707215744 - Management
|
|||||||||||||||
|
Record Date
|
11-Jul-2016
|
Holding Recon Date
|
11-Jul-2016
|
|||||||||||||||
|
City /
|
Country
|
BEIJING
|
/
|
China
|
Vote Deadline Date
|
08-Aug-2016
|
||||||||||||
|
SEDOL(s)
|
B3MFW30 - B4Q2TX3 - B4XWG35 - BP3RS86
|
Quick Code
|
||||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
CMMT
|
PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/SEHK/2016/ 0624/LTN20160624371.pdf-,- http://www.hkexnews.hk/listedco/listconews/SEHK/2016/ 0624/LTN20160624389.pdf
|
Non-Voting
|
||||||||||||||||
|
1
|
TO CONSIDER AND APPROVE THE APPOINTMENT OF MR. LUAN BAOXING AS A NONEXECUTIVE DIRECTOR OF THE COMPANY TO FILL THE VACANCY LEFT BY RESIGNATION OF MR. SHAO GUOYONG, WITH EFFECT FROM THE DATE OF THE EGM WHEN THE NOMINATION IS APPROVED BY THE SHAREHOLDERS OF THE COMPANY AND UNTIL THE EXPIRATION OF THE TERM OF THE CURRENT SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY (THE "BOARD"). MEANWHILE, TO AUTHORIZE THE REMUNERATION AND ASSESSMENT COMMITTEE OF THE BOARD TO DETERMINE THE REMUNERATION OF THE NEW DIRECTORS ACCORDING TO THE DIRECTORS' AND SUPERVISORS' REMUNERATION PLAN FOR THE YEAR 2016 AS APPROVED AT THE ANNUAL GENERAL MEETING UPON THE CANDIDATES FOR THE NEW DIRECTORS AS APPROVED AT THE EGM, AND TO AUTHORIZE THE CHAIRMAN OF THE BOARD OF THE COMPANY OR ANY ONE OF THE EXECUTIVE DIRECTORS TO ENTER INTO A SERVICE CONTRACT WITH EACH OF THE NEW DIRECTORS AND HANDLE OTHER RELEVANT MATTERS ON BEHALF OF THE COMPANY UPON THE CANDIDATES FOR THE NEW DIRECTORS BEING APPROVED AT THE EGM
|
Management
|
For
|
For
|
||||||||||||||
|
2
|
TO CONSIDER AND APPROVE THE APPOINTMENT OF MR. YANG XIANGBIN AS A NONEXECUTIVE DIRECTOR OF THE COMPANY TO FILL THE VACANCY LEFT BY RESIGNATION OF MR. CHEN JINGDONG, WITH EFFECT FROM THE DATE OF THE EGM WHEN THE NOMINATION IS APPROVED BY THE SHAREHOLDERS OF THE COMPANY AND UNTIL THE EXPIRATION OF THE TERM OF THE CURRENT SESSION OF THE BOARD. MEANWHILE, TO AUTHORIZE THE REMUNERATION AND
|
Management
|
For
|
For
|
||||||||||||||
|
ASSESSMENT COMMITTEE OF THE BOARD TO DETERMINE THE REMUNERATION OF THE NEW DIRECTORS ACCORDING TO THE DIRECTORS' AND SUPERVISORS' REMUNERATION PLAN FOR THE YEAR 2016 AS APPROVED AT THE ANNUAL GENERAL MEETING UPON THE CANDIDATES FOR THE NEW DIRECTORS AS APPROVED AT THE EGM, AND TO AUTHORIZE THE CHAIRMAN OF THE BOARD OF THE COMPANY OR ANY ONE OF THE EXECUTIVE DIRECTORS TO ENTER INTO A SERVICE CONTRACT WITH EACH OF THE NEW DIRECTORS AND HANDLE OTHER RELEVANT MATTERS ON BEHALF OF THE COMPANY UPON THE CANDIDATES FOR THE NEW DIRECTORS BEING APPROVED AT THE EGM.
|
||||||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
GLV
|
GLV
|
STATE STREET BANK
|
771,000
|
0
|
25-Jun-2016
|
10-Aug-2016
|
||||||||||||
|
GLQ
|
GLQ
|
STATE STREET BANK
|
1,253,000
|
0
|
25-Jun-2016
|
10-Aug-2016
|
||||||||||||
|
GLO
|
GLO
|
STATE STREET BANK
|
3,161,000
|
0
|
25-Jun-2016
|
10-Aug-2016
|
||||||||||||
|
LIBERTY MEDIA CORPORATION
|
|
|||||||||||||||||
|
Security
|
531229409
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
LSXMA
|
Meeting Date
|
23-Aug-2016
|
|||||||||||||||
|
ISIN
|
US5312294094
|
Agenda
|
934458870 - Management
|
|||||||||||||||
|
Record Date
|
01-Jul-2016
|
Holding Recon Date
|
01-Jul-2016
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
22-Aug-2016
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
JOHN C. MALONE
|
For
|
For
|
|||||||||||||||
|
2
|
ROBERT R. BENNETT
|
For
|
For
|
|||||||||||||||
|
3
|
M. IAN G. GILCHRIST
|
For
|
For
|
|||||||||||||||
|
2.
|
A PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP AS OUR INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2016.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
1,656
|
113,800
|
09-Jul-2016
|
24-Aug-2016
|
|||||||||||
|
997AL61
|
GLQ MS PLEDGE
|
997AL61
|
STATE STREET BANK & TRUST CO
|
9,168
|
0
|
09-Jul-2016
|
24-Aug-2016
|
|||||||||||
|
LIBERTY INTERACTIVE CORPORATION
|
|
|||||||||||||||||
|
Security
|
53071M880
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
LVNTA
|
Meeting Date
|
23-Aug-2016
|
|||||||||||||||
|
ISIN
|
US53071M8800
|
Agenda
|
934458882 - Management
|
|||||||||||||||
|
Record Date
|
01-Jul-2016
|
Holding Recon Date
|
01-Jul-2016
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
22-Aug-2016
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
JOHN C. MALONE
|
For
|
For
|
|||||||||||||||
|
2
|
M. IAN G. GILCHRIST
|
For
|
For
|
|||||||||||||||
|
3
|
MARK C. VADON
|
For
|
For
|
|||||||||||||||
|
4
|
ANDREA L. WONG
|
For
|
For
|
|||||||||||||||
|
2.
|
A PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP AS OUR INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2016.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
A PROPOSAL TO ADOPT THE LIBERTY INTERACTIVE CORPORATION 2016 OMNIBUS INCENTIVE PLAN.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLV
|
GLV
|
997GLV
|
STATE STREET BANK & TRUST CO
|
24,200
|
0
|
09-Jul-2016
|
24-Aug-2016
|
|||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
26,100
|
0
|
09-Jul-2016
|
24-Aug-2016
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
65,800
|
0
|
09-Jul-2016
|
24-Aug-2016
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
10,872
|
0
|
09-Jul-2016
|
24-Aug-2016
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
3,403
|
64,000
|
09-Jul-2016
|
24-Aug-2016
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
14,471
|
109,900
|
09-Jul-2016
|
24-Aug-2016
|
|||||||||||
|
997AL60
|
GLV MS PLEDGE
|
997AL60
|
STATE STREET BANK & TRUST CO
|
24,000
|
0
|
09-Jul-2016
|
24-Aug-2016
|
|||||||||||
|
VIASAT, INC.
|
|
|||||||||||||||||
|
Security
|
92552V100
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
VSAT
|
Meeting Date
|
08-Sep-2016
|
|||||||||||||||
|
ISIN
|
US92552V1008
|
Agenda
|
934463643 - Management
|
|||||||||||||||
|
Record Date
|
15-Jul-2016
|
Holding Recon Date
|
15-Jul-2016
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
07-Sep-2016
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
RICHARD BALDRIDGE
|
For
|
For
|
|||||||||||||||
|
2
|
B. ALLEN LAY
|
For
|
For
|
|||||||||||||||
|
3
|
DR. JEFFREY NASH
|
For
|
For
|
|||||||||||||||
|
2.
|
RATIFICATION OF APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS VIASAT'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2017
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
ADVISORY VOTE ON EXECUTIVE COMPENSATION
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
149
|
34,500
|
26-Jul-2016
|
09-Sep-2016
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
142
|
63,600
|
26-Jul-2016
|
09-Sep-2016
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
135
|
145,600
|
26-Jul-2016
|
09-Sep-2016
|
|||||||||||
|
GOLDMAN SACHS BDC, INC.
|
|
|||||||||||||||||
|
Security
|
38147U107
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
GSBD
|
Meeting Date
|
29-Sep-2016
|
|||||||||||||||
|
ISIN
|
US38147U1079
|
Agenda
|
934387362 - Management
|
|||||||||||||||
|
Record Date
|
04-Apr-2016
|
Holding Recon Date
|
04-Apr-2016
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
28-Sep-2016
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF CLASS II DIRECTOR: JAIME ARDILA
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF CLASS II DIRECTOR: RICHARD P. STRUBEL
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF CLASS II DIRECTOR: KATHERINE ("KAYSIE") UNIACKE
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
TO AUTHORIZE THE COMPANY, WITH THE APPROVAL OF THE COMPANY'S BOARD OF DIRECTORS, TO SELL OR OTHERWISE ISSUE SHARES OF THE COMPANY'S COMMON STOCK (DURING THE 12 MONTHS FOLLOWING SUCH AUTHORIZATION) AT A PRICE BELOW THE THEN- CURRENT NET ASSET VALUE PER SHARE, PROVIDED THAT THE NUMBER OF SHARES ISSUED DOES NOT EXCEED 25% OF THE COMPANY'S THEN- OUTSTANDING COMMON STOCK.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
53,000
|
0
|
13-Apr-2016
|
30-Sep-2016
|
|||||||||||
|
HILTON WORLDWIDE HOLDINGS INC.
|
|
|||||||||||||||||
|
Security
|
43300A104
|
Meeting Type
|
Special
|
|||||||||||||||
|
Ticker Symbol
|
HLT
|
Meeting Date
|
04-Oct-2016
|
|||||||||||||||
|
ISIN
|
US43300A1043
|
Agenda
|
934479216 - Management
|
|||||||||||||||
|
Record Date
|
26-Aug-2016
|
Holding Recon Date
|
26-Aug-2016
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
03-Oct-2016
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
TO APPROVE AND ADOPT AN AMENDMENT TO THE COMPANY'S CERTIFICATE OF INCORPORATION TO EFFECT A REVERSE STOCK SPLIT AND DECREASE AUTHORIZED SHARES.
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
TO APPROVE AN ADJOURNMENT OF THE SPECIAL MEETING.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLV
|
GLV
|
997GLV
|
STATE STREET BANK & TRUST CO
|
20,000
|
0
|
09-Sep-2016
|
05-Oct-2016
|
|||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
30,000
|
0
|
09-Sep-2016
|
05-Oct-2016
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
2,400
|
0
|
09-Sep-2016
|
05-Oct-2016
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
100
|
159,900
|
09-Sep-2016
|
05-Oct-2016
|
|||||||||||
|
997AL60
|
GLV MS PLEDGE
|
997AL60
|
STATE STREET BANK & TRUST CO
|
19,800
|
0
|
09-Sep-2016
|
05-Oct-2016
|
|||||||||||
|
997AL61
|
GLQ MS PLEDGE
|
997AL61
|
STATE STREET BANK & TRUST CO
|
34,300
|
0
|
09-Sep-2016
|
05-Oct-2016
|
|||||||||||
|
SINOPHARM GROUP CO. LTD.
|
|
|||||||||||||||||
|
Security
|
Y8008N107
|
Meeting Type
|
ExtraOrdinary General Meeting
|
|||||||||||||||
|
Ticker Symbol
|
Meeting Date
|
18-Oct-2016
|
||||||||||||||||
|
ISIN
|
CNE100000FN7
|
Agenda
|
707423264 - Management
|
|||||||||||||||
|
Record Date
|
15-Sep-2016
|
Holding Recon Date
|
15-Sep-2016
|
|||||||||||||||
|
City /
|
Country
|
SHANGH AI
|
/
|
China
|
Vote Deadline Date
|
04-Oct-2016
|
||||||||||||
|
SEDOL(s)
|
B3ZVDV0 - B4M8B73 - B5NVZ21 - BP3RXT2
|
Quick Code
|
||||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
CMMT
|
PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 675300 DUE TO ADDITION OF- RESOLUTION 2. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED-AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU
|
Non-Voting
|
||||||||||||||||
|
CMMT
|
NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING ON THE-URL LINKS:- http://www.hkexnews.hk/listedco/listconews/sehk/2016/0 930/ltn20160930476.pdf,- http://www.hkexnews.hk/listedco/listconews/sehk/2016/0 930/ltn20160930421.pdf,- http://www.hkexnews.hk/listedco/listconews/sehk/2016/0 901/ltn201609011181.pdf-AND- http://www.hkexnews.hk/listedco/listconews/sehk/2016/0 901/ltn201609011318.pdf
|
Non-Voting
|
||||||||||||||||
|
CMMT
|
PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" WILL BE TREATED-THE SAME AS A "TAKE NO ACTION" VOTE
|
Non-Voting
|
||||||||||||||||
|
1
|
TO CONSIDER AND, IF THOUGHT FIT, TO APPROVE: "THAT (I) THE ADOPTION OF THE SCHEME (AS DEFINED IN THE CIRCULAR DATED 1 SEPTEMBER 2016 DESPATCHED TO THE SHAREHOLDERS OF THE COMPANY) BY THE COMPANY AND THE DELEGATION OF AUTHORIZATION TO ANY DIRECTOR OF THE COMPANY OR AUTHORIZED REPRESENTATIVE OF THE BOARD TO EXECUTE ANY DOCUMENTS AND INSTRUMENTS AS MAY BE NECESSARY OR INCIDENTAL TO THE ADOPTION OF THE SCHEME AND TO DO ALL SUCH ACTS AND THINGS AS THEY CONSIDER NECESSARY OR EXPEDIENT OR DESIRABLE IN CONNECTION WITH THE IMPLEMENTATION OF THE SCHEME; AND (II) THE BOARD BE AND IS HEREBY AUTHORIZED TO IMPLEMENT THE SCHEME AS WELL AS TO APPROVE GRANTS OF RESTRICTED SHARES UNDER THE SCHEME FROM TIME TO TIME (INCLUDING BUT NOT LIMITED TO THE INITIAL GRANT OF THE SCHEME)"
|
Management
|
For
|
For
|
||||||||||||||
|
2
|
TO CONSIDER AND, IF THOUGHT FIT, TO APPROVE THE APPOINTMENT OF MR. MA PING AS A NON- EXECUTIVE DIRECTOR OF THE COMPANY, TO AUTHORISE THE BOARD OF DIRECTORS OF THE COMPANY TO DETERMINE HIS REMUNERATION, AND TO AUTHORISE ANY EXECUTIVE DIRECTOR OF THE COMPANY TO EXECUTE A SERVICE CONTRACT OR SUCH OTHER DOCUMENTS OR SUPPLEMENTAL AGREEMENTS OR DEEDS ON BEHALF OF THE COMPANY
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
GLV
|
GLV
|
STATE STREET BANK
|
142,400
|
0
|
01-Oct-2016
|
12-Oct-2016
|
||||||||||||
|
GLQ
|
GLQ
|
STATE STREET BANK
|
236,800
|
0
|
01-Oct-2016
|
12-Oct-2016
|
||||||||||||
|
GLO
|
GLO
|
STATE STREET BANK
|
583,600
|
0
|
01-Oct-2016
|
12-Oct-2016
|
||||||||||||
|
BYD COMPANY LTD, SHENZHEN
|
|
|||||||||||||||||
|
Security
|
Y1023R104
|
Meeting Type
|
ExtraOrdinary General Meeting
|
|||||||||||||||
|
Ticker Symbol
|
Meeting Date
|
01-Nov-2016
|
||||||||||||||||
|
ISIN
|
CNE100000296
|
Agenda
|
707516110 - Management
|
|||||||||||||||
|
Record Date
|
30-Sep-2016
|
Holding Recon Date
|
30-Sep-2016
|
|||||||||||||||
|
City /
|
Country
|
SHENZH EN
|
/
|
China
|
Vote Deadline Date
|
04-Oct-2016
|
||||||||||||
|
SEDOL(s)
|
6536651 - B01XKF2 - B0WVS95 - BD8GJR0
|
Quick Code
|
||||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
CMMT
|
PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 681715 DUE TO ADDITION OF- RESOLUTION 3. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED-IF VOTE DEADLINE EXTENSIONS ARE GRANTED. THEREFORE PLEASE REINSTRUCT ON THIS- MEETING NOTICE ON THE NEW JOB. IF HOWEVER VOTE DEADLINE EXTENSIONS ARE NOT-GRANTED IN THE MARKET, THIS MEETING WILL BE INACTIVATED AND YOUR VOTE-INTENTIONS ON THE ORIGINAL MEETING WILL BE APPLICABLE. PLEASE ENSURE VOTING-IS SUBMITTED PRIOR TO CUTOFF ON THE ORIGINAL MEETING, AND AS SOON AS POSSIBLE-ON THIS NEW AMENDED MEETING. THANK YOU.
|
Non-Voting
|
||||||||||||||||
|
CMMT
|
PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/SEHK/2016/ 0913/LTN20160913500.pdf,- http://www.hkexnews.hk/listedco/listconews/SEHK/2016/ 1019/LTN20161019505.pdf-AND- http://www.hkexnews.hk/listedco/listconews/SEHK/2016/ 0913/LTN20160913545.pdf,- http://www.hkexnews.hk/listedco/listconews/SEHK/2016/ 1019/LTN20161019509.pdf
|
Non-Voting
|
||||||||||||||||
|
1
|
TO CONSIDER AND APPROVE THE INTERIM PROFIT DISTRIBUTION PLAN OF THE COMPANY FOR THE SIX MONTHS ENDED 30 JUNE 2016
|
Management
|
For
|
For
|
||||||||||||||
|
2
|
TO CONSIDER AND APPROVE THE PROPOSED CHANGE OF THE COMPANY'S BUSINESS SCOPE AND AMENDMENT TO THE ARTICLES OF ASSOCIATION OF THE COMPANY: ARTICLE 11
|
Management
|
For
|
For
|
||||||||||||||
|
3
|
TO CONSIDER AND APPROVE THE PROPOSED FURTHER CHANGE OF THE COMPANY'S BUSINESS SCOPE AND AMENDMENT TO THE ARTICLES OF ASSOCIATION OF THE COMPANY: ARTICLE 11
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
GLQ
|
GLQ
|
STATE STREET BANK
|
150,500
|
0
|
20-Oct-2016
|
27-Oct-2016
|
||||||||||||
|
GLO
|
GLO
|
STATE STREET BANK
|
380,000
|
0
|
20-Oct-2016
|
27-Oct-2016
|
||||||||||||
|
LIBERTY INTERACTIVE CORPORATION
|
|
|||||||||||||||||
|
Security
|
53071M880
|
Meeting Type
|
Special
|
|||||||||||||||
|
Ticker Symbol
|
LVNTA
|
Meeting Date
|
01-Nov-2016
|
|||||||||||||||
|
ISIN
|
US53071M8800
|
Agenda
|
934488152 - Management
|
|||||||||||||||
|
Record Date
|
28-Sep-2016
|
Holding Recon Date
|
28-Sep-2016
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
31-Oct-2016
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
A PROPOSAL TO APPROVE THE REDEMPTION BY LIBERTY INTERACTIVE CORPORATION OF A PORTION OF THE OUTSTANDING SHARES OF LIBERTY VENTURES COMMON STOCK FOR ALL OF THE OUTSTANDING SHARES OF LIBERTY EXPEDIA HOLDINGS, INC., WHICH WOULD HOLD LIBERTY INTERACTIVE CORPORATION'S OWNERSHIP AND VOTING INTERESTS IN .. (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
A PROPOSAL TO AUTHORIZE THE ADJOURNMENT OF THE SPECIAL MEETING BY LIBERTY INTERACTIVE CORPORATION TO PERMIT FURTHER SOLICITATION OF PROXIES, IF NECESSARY OR APPROPRIATE, IF SUFFICIENT VOTES ARE NOT REPRESENTED AT THE SPECIAL MEETING TO APPROVE THE OTHER PROPOSAL TO BE PRESENTED AT THE SPECIAL MEETING.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLV
|
GLV
|
997GLV
|
STATE STREET BANK & TRUST CO
|
1,572
|
0
|
05-Oct-2016
|
02-Nov-2016
|
|||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
4,200
|
0
|
05-Oct-2016
|
02-Nov-2016
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
15,003
|
44,000
|
05-Oct-2016
|
02-Nov-2016
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
3,871
|
109,900
|
05-Oct-2016
|
02-Nov-2016
|
|||||||||||
|
997AL60
|
GLV MS PLEDGE
|
997AL60
|
STATE STREET BANK & TRUST CO
|
24,000
|
0
|
05-Oct-2016
|
02-Nov-2016
|
|||||||||||
|
THE WILLIAMS COMPANIES, INC.
|
|
|||||||||||||||||
|
Security
|
969457100
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
WMB
|
Meeting Date
|
23-Nov-2016
|
|||||||||||||||
|
ISIN
|
US9694571004
|
Agenda
|
934492579 - Management
|
|||||||||||||||
|
Record Date
|
07-Oct-2016
|
Holding Recon Date
|
07-Oct-2016
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
22-Nov-2016
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: ALAN S. ARMSTRONG
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: STEPHEN W. BERGSTROM
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF DIRECTOR: STEPHEN I. CHAZEN
|
Management
|
For
|
For
|
||||||||||||||
|
1D.
|
ELECTION OF DIRECTOR: KATHLEEN B. COOPER
|
Management
|
For
|
For
|
||||||||||||||
|
1E.
|
ELECTION OF DIRECTOR: PETER A. RAGAUSS
|
Management
|
For
|
For
|
||||||||||||||
|
1F.
|
ELECTION OF DIRECTOR: SCOTT D. SHEFFIELD
|
Management
|
For
|
For
|
||||||||||||||
|
1G.
|
ELECTION OF DIRECTOR: MURRAY D. SMITH
|
Management
|
For
|
For
|
||||||||||||||
|
1H.
|
ELECTION OF DIRECTOR: WILLIAM H. SPENCE
|
Management
|
For
|
For
|
||||||||||||||
|
1I.
|
ELECTION OF DIRECTOR: JANICE D. STONEY
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
RATIFICATION OF ERNST & YOUNG LLP AS AUDITORS FOR 2016.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
APPROVAL, BY NONBINDING ADVISORY VOTE, OF THE COMPANY'S EXECUTIVE COMPENSATION.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
100
|
63,100
|
20-Oct-2016
|
20-Oct-2016
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
100
|
159,700
|
20-Oct-2016
|
20-Oct-2016
|
|||||||||||
|
997AL60
|
GLV MS PLEDGE
|
997AL60
|
STATE STREET BANK & TRUST CO
|
39,100
|
0
|
20-Oct-2016
|
20-Oct-2016
|
|||||||||||
|
AMSURG CORP.
|
|
|||||||||||||||||
|
Security
|
03232P405
|
Meeting Type
|
Special
|
|||||||||||||||
|
Ticker Symbol
|
AMSG
|
Meeting Date
|
28-Nov-2016
|
|||||||||||||||
|
ISIN
|
US03232P4054
|
Agenda
|
934494826 - Management
|
|||||||||||||||
|
Record Date
|
07-Oct-2016
|
Holding Recon Date
|
07-Oct-2016
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
25-Nov-2016
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
TO CONSIDER AND VOTE ON A PROPOSAL TO APPROVE THE AGREEMENT AND PLAN OF MERGER, DATED AS OF JUNE 15, 2016 (THE "MERGER AGREEMENT"), BY AND AMONG ENVISION HEALTHCARE HOLDINGS, INC., AMSURG CORP. AND NEW AMETHYST CORP., AND THE TRANSACTIONS CONTEMPLATED BY THE MERGER AGREEMENT.
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
TO CONSIDER AND VOTE ON A NON-BINDING, ADVISORY PROPOSAL TO APPROVE THE COMPENSATION THAT MAY BECOME PAYABLE TO AMSURG'S NAMED EXECUTIVE OFFICERS IN CONNECTION WITH THE CONSUMMATION OF THE MERGER.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
TO CONSIDER A VOTE ON A PROPOSAL TO APPROVE ANY MOTION TO ADJOURN THE AMSURG SPECIAL MEETING IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
6,400
|
0
|
26-Oct-2016
|
29-Nov-2016
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
2,200
|
6,200
|
26-Oct-2016
|
29-Nov-2016
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
2,700
|
13,600
|
26-Oct-2016
|
29-Nov-2016
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
100
|
34,500
|
26-Oct-2016
|
29-Nov-2016
|
|||||||||||
|
CHR. HANSEN HOLDING A/S
|
|
|||||||||||||||||
|
Security
|
K1830B107
|
Meeting Type
|
Annual General Meeting
|
|||||||||||||||
|
Ticker Symbol
|
Meeting Date
|
29-Nov-2016
|
||||||||||||||||
|
ISIN
|
DK0060227585
|
Agenda
|
707583793 - Management
|
|||||||||||||||
|
Record Date
|
22-Nov-2016
|
Holding Recon Date
|
22-Nov-2016
|
|||||||||||||||
|
City /
|
Country
|
HORSHO LM
|
/
|
Denmark
|
Vote Deadline Date
|
18-Nov-2016
|
||||||||||||
|
SEDOL(s)
|
B3LL574 - B3SMD32 - B573M11 - B63NJ00 - BHZLC88
|
Quick Code
|
||||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
CMMT
|
IN THE MAJORITY OF MEETINGS THE 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
|
Non-Voting
|
||||||||||||||||
|
CMMT
|
PLEASE BE ADVISED THAT SPLIT AND PARTIAL VOTING IS NOT AUTHORISED FOR A-BENEFICIAL OWNER IN THE DANISH MARKET. PLEASE CONTACT YOUR GLOBAL CUSTODIAN-FOR FURTHER INFORMATION.
|
Non-Voting
|
||||||||||||||||
|
CMMT
|
IMPORTANT MARKET PROCESSING 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
|
Non-Voting
|
||||||||||||||||
|
CMMT
|
PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'ABSTAIN'-ONLY FOR RESOLUTIONS 6.A.A, 6.B.A TO 6.B.F AND 7.A. THANK YOU
|
Non-Voting
|
||||||||||||||||
|
1
|
REPORT ON THE COMPANY'S ACTIVITIES
|
Non-Voting
|
||||||||||||||||
|
2
|
APPROVAL OF THE 2015/16 ANNUAL REPORT
|
Management
|
For
|
For
|
||||||||||||||
|
3
|
RESOLUTION ON THE APPROPRIATION OF PROFIT OR COVERING OF LOSS: DKK 5.23 PER SHARE
|
Management
|
For
|
For
|
||||||||||||||
|
4
|
DECISION ON REMUNERATION OF MEMBERS OF THE BOARD OF DIRECTORS
|
Management
|
For
|
For
|
||||||||||||||
|
5.A
|
PROPOSALS FROM THE BOARD OF DIRECTOR: AMENDMENT OF ARTICLES OF ASSOCIATION TO REFLECT COMPUTERSHARE A/S AS NEW COMPANY REGISTRAR
|
Management
|
For
|
For
|
||||||||||||||
|
5.B
|
PROPOSALS FROM THE BOARD OF DIRECTOR: AMENDMENT OF ARTICLES OF ASSOCIATION TO REFLECT LEGAL NAME CHANGE OF NASDAQ OMX COPENHAGEN A/S
|
Management
|
For
|
For
|
||||||||||||||
|
6.A.A
|
RE-ELECTION OF CHAIRMAN OF THE BOARD OF DIRECTOR: OLE ANDERSEN
|
Management
|
For
|
For
|
||||||||||||||
|
6.B.A
|
RE-ELECTION OF OTHER MEMBERS OF THE BOARD OF DIRECTOR: FREDERIC STEVENIN
|
Management
|
For
|
For
|
||||||||||||||
|
6.B.B
|
RE-ELECTION OF OTHER MEMBERS OF THE BOARD OF DIRECTOR: MARK WILSON
|
Management
|
For
|
For
|
||||||||||||||
|
6.B.C
|
RE-ELECTION OF OTHER MEMBERS OF THE BOARD OF DIRECTOR: DOMINIQUE REINICHE
|
Management
|
For
|
For
|
||||||||||||||
|
6.B.D
|
RE-ELECTION OF OTHER MEMBERS OF THE BOARD OF DIRECTOR: TIINA MATTILA-SANDHOLM
|
Management
|
For
|
For
|
||||||||||||||
|
6.B.E
|
RE-ELECTION OF OTHER MEMBERS OF THE BOARD OF DIRECTOR: KRISTIAN VILLUMSEN
|
Management
|
For
|
For
|
||||||||||||||
|
6.B.F
|
ELECTION OF OTHER MEMBERS OF THE BOARD OF DIRECTOR: LUIS CANTARELL ROCAMORA
|
Management
|
For
|
For
|
||||||||||||||
|
7.A
|
RE-ELECTION OF PRICEWATERHOUSECOOPERS STATSAUTORISERET REVISIONSPARTNERSELSKAB
|
Management
|
For
|
For
|
||||||||||||||
|
8
|
AUTHORIZATION OF THE CHAIRMAN OF THE ANNUAL GENERAL MEETING
|
Management
|
For
|
For
|
||||||||||||||
|
CMMT
|
07 NOV 2016: PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF DIVIDEND-AMOUNT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN-UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
|
Non-Voting
|
||||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
GLV
|
GLV
|
STATE STREET BANK
|
19,244
|
0
|
05-Nov-2016
|
22-Nov-2016
|
||||||||||||
|
GLQ
|
GLQ
|
STATE STREET BANK
|
31,409
|
0
|
05-Nov-2016
|
22-Nov-2016
|
||||||||||||
|
GLO
|
GLO
|
STATE STREET BANK
|
78,002
|
0
|
05-Nov-2016
|
22-Nov-2016
|
||||||||||||
|
MICROSOFT CORPORATION
|
|
|||||||||||||||||
|
Security
|
594918104
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
MSFT
|
Meeting Date
|
30-Nov-2016
|
|||||||||||||||
|
ISIN
|
US5949181045
|
Agenda
|
934491224 - Management
|
|||||||||||||||
|
Record Date
|
30-Sep-2016
|
Holding Recon Date
|
30-Sep-2016
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
29-Nov-2016
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: WILLIAM H. GATES III
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: TERI L. LIST-STOLL
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF DIRECTOR: G. MASON MORFIT
|
Management
|
For
|
For
|
||||||||||||||
|
1D.
|
ELECTION OF DIRECTOR: SATYA NADELLA
|
Management
|
For
|
For
|
||||||||||||||
|
1E.
|
ELECTION OF DIRECTOR: CHARLES H. NOSKI
|
Management
|
For
|
For
|
||||||||||||||
|
1F.
|
ELECTION OF DIRECTOR: HELMUT PANKE
|
Management
|
For
|
For
|
||||||||||||||
|
1G.
|
ELECTION OF DIRECTOR: SANDRA E. PETERSON
|
Management
|
For
|
For
|
||||||||||||||
|
1H.
|
ELECTION OF DIRECTOR: CHARLES W. SCHARF
|
Management
|
For
|
For
|
||||||||||||||
|
1I.
|
ELECTION OF DIRECTOR: JOHN W. STANTON
|
Management
|
For
|
For
|
||||||||||||||
|
1J.
|
ELECTION OF DIRECTOR: JOHN W. THOMPSON
|
Management
|
For
|
For
|
||||||||||||||
|
1K.
|
ELECTION OF DIRECTOR: PADMASREE WARRIOR
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
RATIFICATION OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT AUDITOR FOR FISCAL YEAR 2017
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
APPROVAL OF AMENDMENT TO OUR AMENDED AND RESTATED ARTICLES OF INCORPORATION
|
Management
|
For
|
For
|
||||||||||||||
|
5.
|
APPROVAL OF FRENCH SUB PLAN UNDER THE 2001 STOCK PLAN
|
Management
|
For
|
For
|
||||||||||||||
|
6.
|
SHAREHOLDER PROPOSAL - REQUESTING CERTAIN PROXY ACCESS BYLAW AMENDMENTS
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
100
|
39,600
|
20-Oct-2016
|
01-Dec-2016
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
100
|
48,500
|
20-Oct-2016
|
01-Dec-2016
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
100
|
121,300
|
20-Oct-2016
|
01-Dec-2016
|
|||||||||||
|
997AL60
|
GLV MS PLEDGE
|
997AL60
|
STATE STREET BANK & TRUST CO
|
20,400
|
0
|
20-Oct-2016
|
01-Dec-2016
|
|||||||||||
|
DIAMONDBACK ENERGY, INC.
|
|
|||||||||||||||||
|
Security
|
25278X109
|
Meeting Type
|
Special
|
|||||||||||||||
|
Ticker Symbol
|
FANG
|
Meeting Date
|
07-Dec-2016
|
|||||||||||||||
|
ISIN
|
US25278X1090
|
Agenda
|
934506392 - Management
|
|||||||||||||||
|
Record Date
|
11-Nov-2016
|
Holding Recon Date
|
11-Nov-2016
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
06-Dec-2016
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
PROPOSAL TO APPROVE AN AMENDMENT TO DIAMONDBACK ENERGY, INC.'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO INCREASE THE TOTAL NUMBER OF AUTHORIZED SHARES OF COMMON STOCK FROM 100,000,000 TO 200,000,000.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
2,500
|
11,300
|
19-Nov-2016
|
08-Dec-2016
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
6,100
|
28,800
|
19-Nov-2016
|
08-Dec-2016
|
|||||||||||
|
AGNC INVESTMENT CORP
|
|
|||||||||||||||||
|
Security
|
00123Q104
|
Meeting Type
|
Special
|
|||||||||||||||
|
Ticker Symbol
|
AGNC
|
Meeting Date
|
09-Dec-2016
|
|||||||||||||||
|
ISIN
|
Agenda
|
934498127 - Management
|
||||||||||||||||
|
Record Date
|
24-Oct-2016
|
Holding Recon Date
|
24-Oct-2016
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
08-Dec-2016
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
APPROVAL OF THE AGNC INVESTMENT CORP. 2016 EQUITY AND INCENTIVE COMPENSATION PLAN.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
165,300
|
0
|
04-Nov-2016
|
12-Dec-2016
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
269,600
|
0
|
04-Nov-2016
|
12-Dec-2016
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
679,599
|
0
|
04-Nov-2016
|
12-Dec-2016
|
|||||||||||
|
ARES CAPITAL CORPORATION
|
|
|||||||||||||||||
|
Security
|
04010L103
|
Meeting Type
|
Special
|
|||||||||||||||
|
Ticker Symbol
|
ARCC
|
Meeting Date
|
15-Dec-2016
|
|||||||||||||||
|
ISIN
|
US04010L1035
|
Agenda
|
934494864 - Management
|
|||||||||||||||
|
Record Date
|
17-Oct-2016
|
Holding Recon Date
|
17-Oct-2016
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
14-Dec-2016
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
TO APPROVE THE ISSUANCE OF THE SHARES OF ARES CAPITAL COMMON STOCK TO BE ISSUED PURSUANT TO THE AGREEMENT AND PLAN OF MERGER, AS SUCH AGREEMENT MAY BE AMENDED FROM TIME TO TIME, DATED AS OF MAY 23, 2016 (THE "MERGER AGREEMENT"), BY AND AMONG ARES CAPITAL, AMERICAN CAPITAL, LTD., ORION ACQUISITION SUB, INC., IVY HILL ASSET MANAGEMENT, L.P. ("IHAM"), IVY HILL ASSET MANAGEMENT GP, LLC, IN ITS CAPACITY AS GENERAL PARTNER OF IHAM, AMERICAN CAPITAL ASSET MANAGEMENT, LLC, AND SOLELY FOR THE ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
TO APPROVE THE ISSUANCE OF THE SHARES OF ARES CAPITAL COMMON STOCK TO BE ISSUED PURSUANT TO THE MERGER AGREEMENT IN ACCORDANCE WITH NASDAQ LISTING RULE REQUIREMENTS.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
TO APPROVE THE ADJOURNMENT OF THE ARES CAPITAL SPECIAL MEETING, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IF THERE ARE NOT SUFFICIENT VOTES AT THE TIME OF THE ARES CAPITAL SPECIAL MEETING TO APPROVE PROPOSAL 1 OR PROPOSAL 2.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
57,900
|
0
|
26-Oct-2016
|
16-Dec-2016
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
291,600
|
0
|
26-Oct-2016
|
16-Dec-2016
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
335,300
|
0
|
26-Oct-2016
|
16-Dec-2016
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
964,300
|
0
|
26-Oct-2016
|
16-Dec-2016
|
|||||||||||
|
997AL53
|
GLO MS PLEDGE
|
997AL53
|
STATE STREET BANK & TRUST CO
|
80,000
|
0
|
26-Oct-2016
|
16-Dec-2016
|
|||||||||||
|
AKORN, INC.
|
|
|||||||||||||||||
|
Security
|
009728106
|
Meeting Type
|
Special
|
|||||||||||||||
|
Ticker Symbol
|
AKRX
|
Meeting Date
|
16-Dec-2016
|
|||||||||||||||
|
ISIN
|
US0097281069
|
Agenda
|
934505225 - Management
|
|||||||||||||||
|
Record Date
|
28-Oct-2016
|
Holding Recon Date
|
28-Oct-2016
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
15-Dec-2016
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
PROPOSAL TO APPROVE THE AKORN, INC. 2016 EMPLOYEE STOCK PURCHASE PLAN.
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
PROPOSAL TO APPROVE THE AMENDMENT AND RESTATEMENT OF THE AKORN, INC. 2014 STOCK OPTION PLAN.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLV
|
GLV
|
997GLV
|
STATE STREET BANK & TRUST CO
|
20,500
|
0
|
18-Nov-2016
|
19-Dec-2016
|
|||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
7,200
|
0
|
18-Nov-2016
|
19-Dec-2016
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
34,300
|
0
|
18-Nov-2016
|
19-Dec-2016
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
5,800
|
35,000
|
18-Nov-2016
|
19-Dec-2016
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
900
|
71,800
|
18-Nov-2016
|
19-Dec-2016
|
|||||||||||
|
SINOPHARM GROUP CO. LTD.
|
|
|||||||||||||||||
|
Security
|
Y8008N107
|
Meeting Type
|
ExtraOrdinary General Meeting
|
|||||||||||||||
|
Ticker Symbol
|
Meeting Date
|
30-Dec-2016
|
||||||||||||||||
|
ISIN
|
CNE100000FN7
|
Agenda
|
707595990 - Management
|
|||||||||||||||
|
Record Date
|
29-Nov-2016
|
Holding Recon Date
|
29-Nov-2016
|
|||||||||||||||
|
City /
|
Country
|
SHANGH AI
|
/
|
China
|
Vote Deadline Date
|
16-Dec-2016
|
||||||||||||
|
SEDOL(s)
|
B3ZVDV0 - B4M8B73 - B5NVZ21 - BP3RXT2
|
Quick Code
|
||||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
CMMT
|
PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/SEHK/2016/ 1114/LTN20161114274.pdf-AND- http://www.hkexnews.hk/listedco/listconews/SEHK/2016/ 1114/LTN20161114240.pdf
|
Non-Voting
|
||||||||||||||||
|
CMMT
|
PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF 'ABSTAIN' WILL BE TREATED-THE SAME AS A 'TAKE NO ACTION' VOTE
|
Non-Voting
|
||||||||||||||||
|
1
|
TO CONSIDER AND, IF THOUGHT FIT, TO APPROVE (I) THE ISSUE OF THE ACCOUNTS RECEIVABLE ASSET-BACKED SECURITIES IN THE PRC OF NO MORE THAN RMB8 BILLION IN SCALE (THE "ASSET- BACKED SECURITIES"); AND (II) THE AUTHORISATION TO THE BOARD OF DIRECTORS OF THE COMPANY OR THE PERSON(S) AUTHORISED BY IT DEAL WITH ALL SPECIFIC MATTERS PURSUANT TO THE PROPOSAL IN RESPECT OF THE ISSUE OF THE ASSET-BACKED SECURITIES AS SET OUT IN THE NOTICE OF EGM OF THE COMPANY DATED 14 NOVEMBER 2016
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
GLV
|
GLV
|
STATE STREET BANK
|
142,400
|
0
|
15-Nov-2016
|
22-Dec-2016
|
||||||||||||
|
GLQ
|
GLQ
|
STATE STREET BANK
|
236,800
|
0
|
15-Nov-2016
|
22-Dec-2016
|
||||||||||||
|
GLO
|
GLO
|
STATE STREET BANK
|
583,600
|
0
|
15-Nov-2016
|
22-Dec-2016
|
||||||||||||
|
D.R. HORTON, INC.
|
|
|||||||||||||||||
|
Security
|
23331A109
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
DHI
|
Meeting Date
|
19-Jan-2017
|
|||||||||||||||
|
ISIN
|
US23331A1097
|
Agenda
|
934514147 - Management
|
|||||||||||||||
|
Record Date
|
28-Nov-2016
|
Holding Recon Date
|
28-Nov-2016
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
18-Jan-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: DONALD R. HORTON
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: BARBARA K. ALLEN
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF DIRECTOR: BRAD S. ANDERSON
|
Management
|
For
|
For
|
||||||||||||||
|
1D.
|
ELECTION OF DIRECTOR: MICHAEL R. BUCHANAN
|
Management
|
For
|
For
|
||||||||||||||
|
1E.
|
ELECTION OF DIRECTOR: MICHAEL W. HEWATT
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
APPROVAL OF THE ADVISORY RESOLUTION ON EXECUTIVE COMPENSATION.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
14,626
|
61,500
|
13-Dec-2016
|
20-Jan-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
23,621
|
104,400
|
13-Dec-2016
|
20-Jan-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
59,001
|
256,300
|
13-Dec-2016
|
20-Jan-2017
|
|||||||||||
|
997AL61
|
GLQ MS PLEDGE
|
997AL61
|
STATE STREET BANK & TRUST CO
|
10,800
|
0
|
13-Dec-2016
|
20-Jan-2017
|
|||||||||||
|
GOLUB CAPITAL BDC, INC.
|
|
|||||||||||||||||
|
Security
|
38173M102
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
GBDC
|
Meeting Date
|
07-Feb-2017
|
|||||||||||||||
|
ISIN
|
US38173M1027
|
Agenda
|
934516557 - Management
|
|||||||||||||||
|
Record Date
|
12-Dec-2016
|
Holding Recon Date
|
12-Dec-2016
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
06-Feb-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.1
|
ELECTION OF CLASS I DIRECTOR: DAVID B. GOLUB
|
Management
|
For
|
For
|
||||||||||||||
|
1.2
|
ELECTION OF CLASS I DIRECTOR: ANITA R. ROSENBERG
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
TO RATIFY THE SELECTION OF ERNST & YOUNG LLP TO SERVE AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
24,000
|
0
|
22-Dec-2016
|
08-Feb-2017
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
100
|
128,300
|
22-Dec-2016
|
08-Feb-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
150,809
|
0
|
22-Dec-2016
|
08-Feb-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
157
|
454,300
|
22-Dec-2016
|
08-Feb-2017
|
|||||||||||
|
RSP PERMIAN INC
|
|
|||||||||||||||||
|
Security
|
74978Q105
|
Meeting Type
|
Special
|
|||||||||||||||
|
Ticker Symbol
|
RSPP
|
Meeting Date
|
24-Feb-2017
|
|||||||||||||||
|
ISIN
|
US74978Q1058
|
Agenda
|
934528108 - Management
|
|||||||||||||||
|
Record Date
|
19-Jan-2017
|
Holding Recon Date
|
19-Jan-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
23-Feb-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
APPROVAL OF THE ISSUANCE OF 16,019,638 SHARES OF RSP PERMIAN, INC.'S (THE "COMPANY'S") COMMON STOCK TO SILVER HILL ENERGY PARTNERS II, LLC (THE "SHEP II SELLER"), PURSUANT TO AND SUBJECT TO ADJUSTMENTS PROVIDED IN THE MEMBERSHIP INTEREST PURCHASE AND SALE AGREEMENT, DATED AS OF OCTOBER 13, 2016, BY ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
APPROVAL OF THE ADJOURNMENT OR POSTPONEMENT OF THE SPECIAL MEETING, IF NECESSARY OR APPROPRIATE TO SOLICIT ADDITIONAL PROXIES IF THERE ARE INSUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO APPROVE PROPOSAL 1.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
16,400
|
0
|
03-Feb-2017
|
27-Feb-2017
|
|||||||||||
|
APPLE INC.
|
|
|||||||||||||||||
|
Security
|
037833100
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
AAPL
|
Meeting Date
|
28-Feb-2017
|
|||||||||||||||
|
ISIN
|
US0378331005
|
Agenda
|
934520556 - Management
|
|||||||||||||||
|
Record Date
|
30-Dec-2016
|
Holding Recon Date
|
30-Dec-2016
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
27-Feb-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: JAMES BELL
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: TIM COOK
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF DIRECTOR: AL GORE
|
Management
|
For
|
For
|
||||||||||||||
|
1D.
|
ELECTION OF DIRECTOR: BOB IGER
|
Management
|
For
|
For
|
||||||||||||||
|
1E.
|
ELECTION OF DIRECTOR: ANDREA JUNG
|
Management
|
For
|
For
|
||||||||||||||
|
1F.
|
ELECTION OF DIRECTOR: ART LEVINSON
|
Management
|
For
|
For
|
||||||||||||||
|
1G.
|
ELECTION OF DIRECTOR: RON SUGAR
|
Management
|
For
|
For
|
||||||||||||||
|
1H.
|
ELECTION OF DIRECTOR: SUE WAGNER
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS APPLE'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2017
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
ADVISORY VOTE ON THE FREQUENCY OF SHAREHOLDER VOTES ON EXECUTIVE COMPENSATION
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
5.
|
A SHAREHOLDER PROPOSAL ENTITLED "CHARITABLE GIVING - RECIPIENTS, INTENTS AND BENEFITS"
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
6.
|
A SHAREHOLDER PROPOSAL REGARDING DIVERSITY AMONG OUR SENIOR MANAGEMENT AND BOARD OF DIRECTORS
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
7.
|
A SHAREHOLDER PROPOSAL ENTITLED "SHAREHOLDER PROXY ACCESS AMENDMENTS"
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
8.
|
A SHAREHOLDER PROPOSAL ENTITLED "EXECUTIVE COMPENSATION REFORM"
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
9.
|
A SHAREHOLDER PROPOSAL ENTITLED "EXECUTIVES TO RETAIN SIGNIFICANT STOCK"
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLV
|
GLV
|
997GLV
|
STATE STREET BANK & TRUST CO
|
2,500
|
0
|
07-Jan-2017
|
01-Mar-2017
|
|||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
31,200
|
0
|
07-Jan-2017
|
01-Mar-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
39,600
|
0
|
07-Jan-2017
|
01-Mar-2017
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
100
|
27,500
|
07-Jan-2017
|
01-Mar-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
100
|
32,400
|
07-Jan-2017
|
01-Mar-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
100
|
81,900
|
07-Jan-2017
|
01-Mar-2017
|
|||||||||||
|
TRANSDIGM GROUP INCORPORATED
|
|
|||||||||||||||||
|
Security
|
893641100
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
TDG
|
Meeting Date
|
01-Mar-2017
|
|||||||||||||||
|
ISIN
|
US8936411003
|
Agenda
|
934523451 - Management
|
|||||||||||||||
|
Record Date
|
03-Jan-2017
|
Holding Recon Date
|
03-Jan-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
28-Feb-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
WILLIAM DRIES
|
For
|
For
|
|||||||||||||||
|
2
|
MERVIN DUNN
|
For
|
For
|
|||||||||||||||
|
3
|
MICHAEL GRAFF
|
For
|
For
|
|||||||||||||||
|
4
|
SEAN HENNESSY
|
For
|
For
|
|||||||||||||||
|
5
|
W. NICHOLAS HOWLEY
|
For
|
For
|
|||||||||||||||
|
6
|
RAYMOND LAUBENTHAL
|
For
|
For
|
|||||||||||||||
|
7
|
DOUGLAS PEACOCK
|
For
|
For
|
|||||||||||||||
|
8
|
ROBERT SMALL
|
For
|
For
|
|||||||||||||||
|
9
|
JOHN STAER
|
For
|
For
|
|||||||||||||||
|
2.
|
TO APPROVE (IN AN ADVISORY VOTE) COMPENSATION PAID TO THE COMPANY'S NAMED EXECUTIVE OFFICERS
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
TO DETERMINE HOW OFTEN TO CONDUCT THE ADVISORY VOTE REGARDING COMPENSATION PAID TO THE COMPANY'S NAMED EXECUTIVE OFFICERS
|
Management
|
3 Years
|
|||||||||||||||
|
4.
|
TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT ACCOUNTANTS FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2017
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
20,810
|
0
|
21-Jan-2017
|
02-Mar-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
33,850
|
0
|
21-Jan-2017
|
02-Mar-2017
|
|||||||||||
|
HOLOGIC, INC.
|
|
|||||||||||||||||
|
Security
|
436440101
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
HOLX
|
Meeting Date
|
08-Mar-2017
|
|||||||||||||||
|
ISIN
|
US4364401012
|
Agenda
|
934522423 - Management
|
|||||||||||||||
|
Record Date
|
09-Jan-2017
|
Holding Recon Date
|
09-Jan-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
07-Mar-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
CHRISTOPHER J. COUGHLIN
|
For
|
For
|
|||||||||||||||
|
2
|
SALLY W. CRAWFORD
|
For
|
For
|
|||||||||||||||
|
3
|
SCOTT T. GARRETT
|
For
|
For
|
|||||||||||||||
|
4
|
LAWRENCE M. LEVY
|
For
|
For
|
|||||||||||||||
|
5
|
STEPHEN P. MACMILLAN
|
For
|
For
|
|||||||||||||||
|
6
|
CHRISTIANA STAMOULIS
|
For
|
For
|
|||||||||||||||
|
7
|
ELAINE S. ULLIAN
|
For
|
For
|
|||||||||||||||
|
8
|
AMY M. WENDELL
|
For
|
For
|
|||||||||||||||
|
2.
|
A NON-BINDING ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
TO RECOMMEND, BY NON-BINDING VOTE, THE FREQUENCY OF EXECUTIVE COMPENSATION VOTES.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
4.
|
AMENDMENT TO HOLOGIC'S FIFTH AMENDED AND RESTATED BYLAWS.
|
Management
|
For
|
For
|
||||||||||||||
|
5.
|
RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
23,600
|
0
|
25-Jan-2017
|
09-Mar-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
100
|
28,500
|
25-Jan-2017
|
09-Mar-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
100
|
131,200
|
25-Jan-2017
|
09-Mar-2017
|
|||||||||||
|
GW PHARMACEUTICALS PLC
|
|
|||||||||||||||||
|
Security
|
36197T103
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
GWPH
|
Meeting Date
|
14-Mar-2017
|
|||||||||||||||
|
ISIN
|
US36197T1034
|
Agenda
|
934530660 - Management
|
|||||||||||||||
|
Record Date
|
07-Feb-2017
|
Holding Recon Date
|
07-Feb-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
06-Mar-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
O1
|
TO RECEIVE, CONSIDER AND ADOPT THE DIRECTORS' AND AUDITORS' REPORTS AND STATEMENT OF ACCOUNTS FOR THE YEAR ENDED 30 SEPTEMBER 2016 AND NOTE THAT THE DIRECTORS DO NOT RECOMMEND PAYMENT OF A DIVIDEND
|
Management
|
For
|
For
|
||||||||||||||
|
O2
|
TO APPROVE THE DIRECTORS' REMUNERATION REPORT
|
Management
|
For
|
For
|
||||||||||||||
|
O3
|
TO RE-ELECT GEOFFREY GUY AS A DIRECTOR
|
Management
|
For
|
For
|
||||||||||||||
|
O4
|
TO RE-ELECT THOMAS LYNCH AS A DIRECTOR
|
Management
|
For
|
For
|
||||||||||||||
|
O5
|
TO RE-ELECT CABOT BROWN AS A DIRECTOR
|
Management
|
For
|
For
|
||||||||||||||
|
O6
|
TO APPOINT DELOITTE LLP AS AUDITOR
|
Management
|
For
|
For
|
||||||||||||||
|
O7
|
TO AUTHORISE THE DIRECTORS TO DETERMINE THE AUDITOR'S REMUNERATION
|
Management
|
For
|
For
|
||||||||||||||
|
S8
|
TO APPROVE THE ADOPTION OF THE COMPANY'S LONG-TERM INCENTIVE PLAN
|
Management
|
For
|
For
|
||||||||||||||
|
S9
|
TO AUTHORISE THE DIRECTORS TO ALLOT EQUITY SECURITIES, UNDER SECTION 551 OF THE 2006 ACT
|
Management
|
For
|
For
|
||||||||||||||
|
S10
|
TO AUTHORISE THE DIRECTORS TO ALLOT EQUITY SECURITIES, UNDER SECTION 570 OF THE 2006 ACT AS IF SECTION 561(1) OF THE 2006 ACT DID NOT APPLY TO SUCH ALLOTMENT
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
1,600
|
0
|
15-Feb-2017
|
08-Mar-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
3,100
|
0
|
15-Feb-2017
|
08-Mar-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
4,300
|
0
|
15-Feb-2017
|
08-Mar-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
8,300
|
0
|
15-Feb-2017
|
08-Mar-2017
|
|||||||||||
|
SAMSUNG ELECTRONICS CO LTD, SUWON
|
|
|||||||||||||||||
|
Security
|
Y74718100
|
Meeting Type
|
Annual General Meeting
|
|||||||||||||||
|
Ticker Symbol
|
Meeting Date
|
24-Mar-2017
|
||||||||||||||||
|
ISIN
|
KR7005930003
|
Agenda
|
707790499 - Management
|
|||||||||||||||
|
Record Date
|
31-Dec-2016
|
Holding Recon Date
|
31-Dec-2016
|
|||||||||||||||
|
City /
|
Country
|
SEOUL
|
/
|
Korea, Republic Of
|
Vote Deadline Date
|
14-Mar-2017
|
||||||||||||
|
SEDOL(s)
|
6771720 - B19VC15 - B74V052
|
Quick Code
|
||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1
|
APPROVAL OF FINANCIAL STATEMENTS
|
Management
|
For
|
For
|
||||||||||||||
|
2
|
APPROVAL OF REMUNERATION FOR DIRECTOR
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
GLV
|
GLV
|
STATE STREET BANK
|
756
|
0
|
25-Feb-2017
|
16-Mar-2017
|
||||||||||||
|
GLQ
|
GLQ
|
STATE STREET BANK
|
1,197
|
0
|
25-Feb-2017
|
16-Mar-2017
|
||||||||||||
|
GLO
|
GLO
|
STATE STREET BANK
|
3,046
|
0
|
25-Feb-2017
|
16-Mar-2017
|
||||||||||||
|
LINE CORPORATION
|
|
|||||||||||||||||
|
Security
|
53567X101
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
LN
|
Meeting Date
|
30-Mar-2017
|
|||||||||||||||
|
ISIN
|
US53567X1019
|
Agenda
|
934536268 - Management
|
|||||||||||||||
|
Record Date
|
29-Dec-2016
|
Holding Recon Date
|
29-Dec-2016
|
|||||||||||||||
|
City /
|
Country
|
/
|
Japan
|
Vote Deadline Date
|
23-Mar-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
PARTIAL AMENDMENTS TO THE ARTICLES OF INCORPORATION
|
Management
|
For
|
Against
|
||||||||||||||
|
2.
|
DIRECTORS
|
Management
|
||||||||||||||||
|
1
|
TAKESHI IDEZAWA
|
For
|
For
|
|||||||||||||||
|
2
|
JUN MASUDA
|
For
|
For
|
|||||||||||||||
|
3
|
JOONGHO SHIN
|
For
|
For
|
|||||||||||||||
|
4
|
IN JOON HWANG
|
For
|
For
|
|||||||||||||||
|
5
|
HAE-JIN LEE
|
For
|
For
|
|||||||||||||||
|
6
|
TADASHI KUNIHIRO
|
For
|
For
|
|||||||||||||||
|
7
|
KOJI KOTAKA
|
For
|
For
|
|||||||||||||||
|
8
|
REHITO HATOYAMA
|
For
|
For
|
|||||||||||||||
|
3.
|
ELECTION OF ONE (1) SUBSTITUTE CORPORATE AUDITOR: NAOKI WATANABE
|
Management
|
For
|
Against
|
||||||||||||||
|
4.
|
DETERMINATION OF AMOUNTS AND DETAILS OF STOCK OPTIONS (WARRANTS) TO BE PAID AS REMUNERATION, ETC.TO DIRECTORS
|
Management
|
For
|
Against
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
10,300
|
0
|
04-Mar-2017
|
27-Mar-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
39,100
|
0
|
04-Mar-2017
|
27-Mar-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
10,800
|
9,700
|
04-Mar-2017
|
27-Mar-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
9,800
|
28,300
|
04-Mar-2017
|
27-Mar-2017
|
|||||||||||
|
BROADCOM LIMITED
|
|
|||||||||||||||||
|
Security
|
Y09827109
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
AVGO
|
Meeting Date
|
05-Apr-2017
|
|||||||||||||||
|
ISIN
|
SG9999014823
|
Agenda
|
934531977 - Management
|
|||||||||||||||
|
Record Date
|
08-Feb-2017
|
Holding Recon Date
|
08-Feb-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
Malaysia
|
Vote Deadline Date
|
03-Apr-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: MR. HOCK E. TAN
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: MR. JAMES V. DILLER
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF DIRECTOR: MR. LEWIS C. EGGEBRECHT
|
Management
|
For
|
For
|
||||||||||||||
|
1D.
|
ELECTION OF DIRECTOR: MR. KENNETH Y. HAO
|
Management
|
For
|
For
|
||||||||||||||
|
1E.
|
ELECTION OF DIRECTOR: MR. EDDY W. HARTENSTEIN
|
Management
|
For
|
For
|
||||||||||||||
|
1F.
|
ELECTION OF DIRECTOR: MR. CHECK KIAN LOW
|
Management
|
For
|
For
|
||||||||||||||
|
1G.
|
ELECTION OF DIRECTOR: MR. DONALD MACLEOD
|
Management
|
For
|
For
|
||||||||||||||
|
1H.
|
ELECTION OF DIRECTOR: MR. PETER J. MARKS
|
Management
|
For
|
For
|
||||||||||||||
|
1I.
|
ELECTION OF DIRECTOR: DR. HENRY SAMUELI
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
TO APPROVE THE RE-APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS BROADCOM'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM AND INDEPENDENT SINGAPORE AUDITOR FOR THE FISCAL YEAR ENDING OCTOBER 29, 2017 AND TO AUTHORIZE THE AUDIT COMMITTEE TO FIX ITS REMUNERATION, AS SET FORTH IN BROADCOM'S NOTICE OF, AND PROXY STATEMENT RELATING TO, ITS 2017 ANNUAL GENERAL MEETING.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
TO APPROVE THE GENERAL AUTHORIZATION FOR THE DIRECTORS OF BROADCOM TO ALLOT AND ISSUE SHARES IN OUR CAPITAL, AS SET FORTH IN BROADCOM'S NOTICE OF, AND PROXY STATEMENT RELATING TO, ITS 2017 ANNUAL GENERAL MEETING.
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
TO APPROVE THE COMPENSATION OF BROADCOM'S NAMED EXECUTIVE OFFICERS, AS DISCLOSED IN "COMPENSATION DISCUSSION AND ANALYSIS" AND IN THE COMPENSATION TABLES AND ACCOMPANYING NARRATIVE DISCLOSURE UNDER "EXECUTIVE COMPENSATION" IN BROADCOM'S PROXY STATEMENT RELATING TO ITS 2017 ANNUAL GENERAL MEETING.
|
Management
|
For
|
For
|
||||||||||||||
|
5.
|
TO RECOMMEND THAT A NON-BINDING, ADVISORY VOTE TO APPROVE THE COMPENSATION OF THE BROADCOM'S NAMED EXECUTIVE OFFICERS BE PUT TO SHAREHOLDERS FOR THEIR CONSIDERATION EVERY: ONE; TWO; OR THREE YEARS, AS SET FORTH IN BROADCOM'S NOTICE OF, AND PROXY STATEMENT RELATING TO, ITS 2017 ANNUAL GENERAL MEETING.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
5,500
|
0
|
22-Feb-2017
|
05-Apr-2017
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
14,705
|
6,400
|
22-Feb-2017
|
05-Apr-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
33,570
|
17,400
|
22-Feb-2017
|
05-Apr-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
30,570
|
43,700
|
22-Feb-2017
|
05-Apr-2017
|
|||||||||||
|
LENNAR CORPORATION
|
|
|||||||||||||||||
|
Security
|
526057104
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
LEN
|
Meeting Date
|
18-Apr-2017
|
|||||||||||||||
|
ISIN
|
US5260571048
|
Agenda
|
934533678 - Management
|
|||||||||||||||
|
Record Date
|
21-Feb-2017
|
Holding Recon Date
|
21-Feb-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
17-Apr-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
IRVING BOLOTIN
|
For
|
For
|
|||||||||||||||
|
2
|
STEVEN L. GERARD
|
For
|
For
|
|||||||||||||||
|
3
|
THERON I. "TIG" GILLIAM
|
For
|
For
|
|||||||||||||||
|
4
|
SHERRILL W. HUDSON
|
For
|
For
|
|||||||||||||||
|
5
|
SIDNEY LAPIDUS
|
For
|
For
|
|||||||||||||||
|
6
|
TERI P. MCCLURE
|
For
|
For
|
|||||||||||||||
|
7
|
STUART MILLER
|
For
|
For
|
|||||||||||||||
|
8
|
ARMANDO OLIVERA
|
For
|
For
|
|||||||||||||||
|
9
|
DONNA SHALALA
|
For
|
For
|
|||||||||||||||
|
10
|
JEFFREY SONNENFELD
|
For
|
For
|
|||||||||||||||
|
2.
|
RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS LENNAR'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF LENNAR'S NAMED EXECUTIVE OFFICERS.
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
APPROVAL, ON AN ADVISORY BASIS, OF THE FREQUENCY OF THE STOCKHOLDER VOTE ON THE COMPENSATION OF LENNAR'S NAMED EXECUTIVE OFFICERS.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
5.
|
APPROVAL OF A STOCKHOLDER PROPOSAL REGARDING OUR COMMON STOCK VOTING STRUCTURE.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLV
|
GLV
|
997GLV
|
STATE STREET BANK & TRUST CO
|
5,500
|
0
|
08-Mar-2017
|
19-Apr-2017
|
|||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
8,700
|
0
|
08-Mar-2017
|
19-Apr-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
23,500
|
0
|
08-Mar-2017
|
19-Apr-2017
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
8,700
|
30,900
|
08-Mar-2017
|
19-Apr-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
11,700
|
60,500
|
08-Mar-2017
|
19-Apr-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
33,800
|
131,500
|
08-Mar-2017
|
19-Apr-2017
|
|||||||||||
|
CITIGROUP INC.
|
|
|||||||||||||||||
|
Security
|
172967424
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
C
|
Meeting Date
|
25-Apr-2017
|
|||||||||||||||
|
ISIN
|
US1729674242
|
Agenda
|
934541904 - Management
|
|||||||||||||||
|
Record Date
|
27-Feb-2017
|
Holding Recon Date
|
27-Feb-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
24-Apr-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: MICHAEL L. CORBAT
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: ELLEN M. COSTELLO
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF DIRECTOR: DUNCAN P. HENNES
|
Management
|
For
|
For
|
||||||||||||||
|
1D.
|
ELECTION OF DIRECTOR: PETER B. HENRY
|
Management
|
For
|
For
|
||||||||||||||
|
1E.
|
ELECTION OF DIRECTOR: FRANZ B. HUMER
|
Management
|
For
|
For
|
||||||||||||||
|
1F.
|
ELECTION OF DIRECTOR: RENEE J. JAMES
|
Management
|
For
|
For
|
||||||||||||||
|
1G.
|
ELECTION OF DIRECTOR: EUGENE M. MCQUADE
|
Management
|
For
|
For
|
||||||||||||||
|
1H.
|
ELECTION OF DIRECTOR: MICHAEL E. O'NEILL
|
Management
|
For
|
For
|
||||||||||||||
|
1I.
|
ELECTION OF DIRECTOR: GARY M. REINER
|
Management
|
For
|
For
|
||||||||||||||
|
1J.
|
ELECTION OF DIRECTOR: ANTHONY M. SANTOMERO
|
Management
|
For
|
For
|
||||||||||||||
|
1K.
|
ELECTION OF DIRECTOR: DIANA L. TAYLOR
|
Management
|
For
|
For
|
||||||||||||||
|
1L.
|
ELECTION OF DIRECTOR: WILLIAM S. THOMPSON, JR.
|
Management
|
For
|
For
|
||||||||||||||
|
1M.
|
ELECTION OF DIRECTOR: JAMES S. TURLEY
|
Management
|
For
|
For
|
||||||||||||||
|
1N.
|
ELECTION OF DIRECTOR: DEBORAH C. WRIGHT
|
Management
|
For
|
For
|
||||||||||||||
|
1O.
|
ELECTION OF DIRECTOR: ERNESTO ZEDILLO PONCE DE LEON
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP AS CITI'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
ADVISORY VOTE TO APPROVE CITI'S 2016 EXECUTIVE COMPENSATION.
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
ADVISORY VOTE TO APPROVE THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
5.
|
STOCKHOLDER PROPOSAL REQUESTING A REPORT ON THE COMPANY'S POLICIES AND GOALS TO REDUCE THE GENDER PAY GAP.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
6.
|
STOCKHOLDER PROPOSAL REQUESTING THAT THE BOARD APPOINT A STOCKHOLDER VALUE COMMITTEE TO ADDRESS WHETHER THE DIVESTITURE OF ALL NON-CORE BANKING BUSINESS SEGMENTS WOULD ENHANCE SHAREHOLDER VALUE.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
7.
|
STOCKHOLDER PROPOSAL REQUESTING A REPORT ON LOBBYING AND GRASSROOTS LOBBYING CONTRIBUTIONS.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
8.
|
STOCKHOLDER PROPOSAL REQUESTING AN AMENDMENT TO THE GENERAL CLAWBACK POLICY TO PROVIDE THAT A SUBSTANTIAL PORTION OF ANNUAL TOTAL COMPENSATION OF EXECUTIVE OFFICERS SHALL BE DEFERRED AND FORFEITED, IN PART OR WHOLE, AT THE DISCRETION OF THE BOARD, TO HELP SATISFY ANY MONETARY PENALTY ASSOCIATED WITH A VIOLATION OF LAW.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
9.
|
STOCKHOLDER PROPOSAL REQUESTING THAT THE BOARD ADOPT A POLICY PROHIBITING THE VESTING OF EQUITY-BASED AWARDS FOR SENIOR EXECUTIVES DUE TO A VOLUNTARY RESIGNATION TO ENTER GOVERNMENT SERVICE.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
31,200
|
0
|
17-Mar-2017
|
26-Apr-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
10,000
|
0
|
17-Mar-2017
|
26-Apr-2017
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
20,130
|
57,800
|
17-Mar-2017
|
26-Apr-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
119
|
100,400
|
17-Mar-2017
|
26-Apr-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
527
|
238,900
|
17-Mar-2017
|
26-Apr-2017
|
|||||||||||
|
997AL53
|
GLO MS PLEDGE
|
997AL53
|
STATE STREET BANK & TRUST CO
|
70,100
|
0
|
17-Mar-2017
|
26-Apr-2017
|
|||||||||||
|
GALAPAGOS N V
|
|
|||||||||||||||||
|
Security
|
36315X101
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
GLPG
|
Meeting Date
|
25-Apr-2017
|
|||||||||||||||
|
ISIN
|
US36315X1019
|
Agenda
|
934565459 - Management
|
|||||||||||||||
|
Record Date
|
20-Mar-2017
|
Holding Recon Date
|
20-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
17-Apr-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
O2
|
COMMUNICATION AND APPROVAL OF THE NON- CONSOLIDATED ANNUAL ACCOUNTS OF THE COMPANY FOR THE FINANCIAL YEAR ENDED ON 31 DECEMBER 2016 AND APPROVAL OF THE ALLOCATION OF THE ANNUAL RESULT AS PROPOSED BY THE BOARD OF DIRECTORS.
|
Management
|
For
|
|||||||||||||||
|
O5
|
COMMUNICATION AND APPROVAL OF THE REMUNERATION REPORT.
|
Management
|
For
|
|||||||||||||||
|
O6
|
RELEASE FROM LIABILITY TO BE GRANTED TO THE DIRECTORS AND THE STATUTORY AUDITOR FOR THE PERFORMANCE OF THEIR DUTIES IN THE COURSE OF THE FINANCIAL YEAR ENDED 31 DECEMBER 2016.
|
Management
|
For
|
|||||||||||||||
|
O7
|
RATIFICATION OF THE STATUTORY AUDITOR'S REMUNERATION FOR THE FINANCIAL YEAR ENDED ON 31 DECEMBER 2016.
|
Management
|
For
|
|||||||||||||||
|
O8
|
RE-APPOINTMENT OF STATUTORY AUDITOR AND DETERMINATION OF STATUTORY AUDITOR'S REMUNERATION.
|
Management
|
For
|
|||||||||||||||
|
O9A
|
RE-APPOINTMENT OF MR. ONNO VAN DE STOLPE AS DIRECTOR OF THE COMPANY.
|
Management
|
For
|
|||||||||||||||
|
O9B
|
RE-APPOINTMENT OF DR. RAJ PAREKH AS DIRECTOR OF THE COMPANY.
|
Management
|
For
|
|||||||||||||||
|
O9C
|
RE-APPOINTMENT OF MS. KATRINE BOSLEY AS INDEPENDENT DIRECTOR OF THE COMPANY.
|
Management
|
For
|
|||||||||||||||
|
O10
|
REMUNERATION OF DIRECTORS.
|
Management
|
For
|
|||||||||||||||
|
O11
|
OFFER OF WARRANTS.
|
Management
|
For
|
|||||||||||||||
|
O12
|
APPLICATION OF ARTICLE 556 OF THE BELGIAN COMPANIES CODE.
|
Management
|
For
|
|||||||||||||||
|
E2
|
AUTHORIZATION TO THE BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL WITHIN THE FRAMEWORK OF THE AUTHORIZED CAPITAL BY UP TO 20% OF THE SHARE CAPITAL.
|
Management
|
For
|
|||||||||||||||
|
E3
|
AUTHORIZATION TO THE BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL WITHIN THE FRAMEWORK OF THE AUTHORIZED CAPITAL BY UP TO 33% OF THE SHARE CAPITAL, IN SPECIFIC CIRCUMSTANCES.
|
Management
|
For
|
|||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
26,100
|
0
|
30-Mar-2017
|
19-Apr-2017
|
|||||||||||
|
BANK OF AMERICA CORPORATION
|
|
|||||||||||||||||
|
Security
|
060505104
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
BAC
|
Meeting Date
|
26-Apr-2017
|
|||||||||||||||
|
ISIN
|
US0605051046
|
Agenda
|
934543453 - Management
|
|||||||||||||||
|
Record Date
|
02-Mar-2017
|
Holding Recon Date
|
02-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
25-Apr-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: SHARON L. ALLEN
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: SUSAN S. BIES
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF DIRECTOR: JACK O. BOVENDER, JR.
|
Management
|
For
|
For
|
||||||||||||||
|
1D.
|
ELECTION OF DIRECTOR: FRANK P. BRAMBLE, SR.
|
Management
|
For
|
For
|
||||||||||||||
|
1E.
|
ELECTION OF DIRECTOR: PIERRE J.P. DE WECK
|
Management
|
For
|
For
|
||||||||||||||
|
1F.
|
ELECTION OF DIRECTOR: ARNOLD W. DONALD
|
Management
|
For
|
For
|
||||||||||||||
|
1G.
|
ELECTION OF DIRECTOR: LINDA P. HUDSON
|
Management
|
For
|
For
|
||||||||||||||
|
1H.
|
ELECTION OF DIRECTOR: MONICA C. LOZANO
|
Management
|
For
|
For
|
||||||||||||||
|
1I.
|
ELECTION OF DIRECTOR: THOMAS J. MAY
|
Management
|
For
|
For
|
||||||||||||||
|
1J.
|
ELECTION OF DIRECTOR: BRIAN T. MOYNIHAN
|
Management
|
For
|
For
|
||||||||||||||
|
1K.
|
ELECTION OF DIRECTOR: LIONEL L. NOWELL, III
|
Management
|
For
|
For
|
||||||||||||||
|
1L.
|
ELECTION OF DIRECTOR: MICHAEL D. WHITE
|
Management
|
For
|
For
|
||||||||||||||
|
1M.
|
ELECTION OF DIRECTOR: THOMAS D. WOODS
|
Management
|
For
|
For
|
||||||||||||||
|
1N.
|
ELECTION OF DIRECTOR: R. DAVID YOST
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
APPROVING OUR EXECUTIVE COMPENSATION (AN ADVISORY, NON-BINDING "SAY ON PAY" RESOLUTION)
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
A VOTE ON THE FREQUENCY OF FUTURE ADVISORY "SAY ON PAY" RESOLUTIONS (AN ADVISORY, NON-BINDING "SAY ON FREQUENCY" RESOLUTION)
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
4.
|
RATIFYING THE APPOINTMENT OF OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2017
|
Management
|
For
|
For
|
||||||||||||||
|
5.
|
STOCKHOLDER PROPOSAL - CLAWBACK AMENDMENT
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
6.
|
STOCKHOLDER PROPOSAL - DIVESTITURE & DIVISION STUDY SESSIONS
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
7.
|
STOCKHOLDER PROPOSAL - INDEPENDENT BOARD CHAIRMAN
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
8.
|
STOCKHOLDER PROPOSAL - REPORT CONCERNING GENDER PAY EQUITY
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLV
|
GLV
|
997GLV
|
STATE STREET BANK & TRUST CO
|
24,500
|
0
|
16-Mar-2017
|
27-Apr-2017
|
|||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
38,400
|
0
|
16-Mar-2017
|
27-Apr-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
131,800
|
0
|
16-Mar-2017
|
27-Apr-2017
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
191
|
148,400
|
16-Mar-2017
|
27-Apr-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
105
|
261,400
|
16-Mar-2017
|
27-Apr-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
110
|
580,000
|
16-Mar-2017
|
27-Apr-2017
|
|||||||||||
|
EOG RESOURCES, INC.
|
|
|||||||||||||||||
|
Security
|
26875P101
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
EOG
|
Meeting Date
|
27-Apr-2017
|
|||||||||||||||
|
ISIN
|
US26875P1012
|
Agenda
|
934538476 - Management
|
|||||||||||||||
|
Record Date
|
27-Feb-2017
|
Holding Recon Date
|
27-Feb-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
26-Apr-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: JANET F. CLARK
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: CHARLES R. CRISP
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF DIRECTOR: ROBERT P. DANIELS
|
Management
|
For
|
For
|
||||||||||||||
|
1D.
|
ELECTION OF DIRECTOR: JAMES C. DAY
|
Management
|
For
|
For
|
||||||||||||||
|
1E.
|
ELECTION OF DIRECTOR: DONALD F. TEXTOR
|
Management
|
For
|
For
|
||||||||||||||
|
1F.
|
ELECTION OF DIRECTOR: WILLIAM R. THOMAS
|
Management
|
For
|
For
|
||||||||||||||
|
1G.
|
ELECTION OF DIRECTOR: FRANK G. WISNER
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
TO RATIFY THE APPOINTMENT BY THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS OF DELOITTE & TOUCHE LLP, INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM, AS AUDITORS FOR THE COMPANY FOR THE YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
TO APPROVE AN AMENDMENT OF THE COMPANY'S RESTATED CERTIFICATE OF INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF COMMON STOCK FROM 640 MILLION TO 1.28 BILLION.
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
TO APPROVE, BY NON-BINDING VOTE, THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS.
|
Management
|
For
|
For
|
||||||||||||||
|
5.
|
TO RECOMMEND, BY NON-BINDING VOTE, THE FREQUENCY OF HOLDING ADVISORY VOTES ON THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLV
|
GLV
|
997GLV
|
STATE STREET BANK & TRUST CO
|
5,700
|
0
|
18-Mar-2017
|
28-Apr-2017
|
|||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
7,100
|
0
|
18-Mar-2017
|
28-Apr-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
17,800
|
0
|
18-Mar-2017
|
28-Apr-2017
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
600
|
23,500
|
18-Mar-2017
|
28-Apr-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
1,900
|
29,900
|
18-Mar-2017
|
28-Apr-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
500
|
79,500
|
18-Mar-2017
|
28-Apr-2017
|
|||||||||||
|
PFIZER INC.
|
|
|||||||||||||||||
|
Security
|
717081103
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
PFE
|
Meeting Date
|
27-Apr-2017
|
|||||||||||||||
|
ISIN
|
US7170811035
|
Agenda
|
934540798 - Management
|
|||||||||||||||
|
Record Date
|
28-Feb-2017
|
Holding Recon Date
|
28-Feb-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
26-Apr-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: DENNIS A. AUSIELLO
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: RONALD E. BLAYLOCK
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF DIRECTOR: W. DON CORNWELL
|
Management
|
For
|
For
|
||||||||||||||
|
1D.
|
ELECTION OF DIRECTOR: JOSEPH J. ECHEVARRIA
|
Management
|
For
|
For
|
||||||||||||||
|
1E.
|
ELECTION OF DIRECTOR: FRANCES D. FERGUSSON
|
Management
|
For
|
For
|
||||||||||||||
|
1F.
|
ELECTION OF DIRECTOR: HELEN H. HOBBS
|
Management
|
For
|
For
|
||||||||||||||
|
1G.
|
ELECTION OF DIRECTOR: JAMES M. KILTS
|
Management
|
For
|
For
|
||||||||||||||
|
1H.
|
ELECTION OF DIRECTOR: SHANTANU NARAYEN
|
Management
|
For
|
For
|
||||||||||||||
|
1I.
|
ELECTION OF DIRECTOR: SUZANNE NORA JOHNSON
|
Management
|
For
|
For
|
||||||||||||||
|
1J.
|
ELECTION OF DIRECTOR: IAN C. READ
|
Management
|
For
|
For
|
||||||||||||||
|
1K.
|
ELECTION OF DIRECTOR: STEPHEN W. SANGER
|
Management
|
For
|
For
|
||||||||||||||
|
1L.
|
ELECTION OF DIRECTOR: JAMES C. SMITH
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
RATIFY THE SELECTION OF KPMG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2017
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
ADVISORY APPROVAL OF EXECUTIVE COMPENSATION
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
5.
|
SHAREHOLDER PROPOSAL REGARDING THE HOLY LAND PRINCIPLES
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
6.
|
SHAREHOLDER PROPOSAL REGARDING SPECIAL SHAREOWNER MEETINGS
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
7.
|
SHAREHOLDER PROPOSAL REGARDING INDEPENDENT CHAIR POLICY
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLV
|
GLV
|
997GLV
|
STATE STREET BANK & TRUST CO
|
17,800
|
0
|
17-Mar-2017
|
28-Apr-2017
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
100
|
43,500
|
17-Mar-2017
|
28-Apr-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
100
|
81,500
|
17-Mar-2017
|
28-Apr-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
100
|
157,100
|
17-Mar-2017
|
28-Apr-2017
|
|||||||||||
|
997AL60
|
GLV MS PLEDGE
|
997AL60
|
STATE STREET BANK & TRUST CO
|
12,000
|
0
|
17-Mar-2017
|
28-Apr-2017
|
|||||||||||
|
AKORN, INC.
|
|
|||||||||||||||||
|
Security
|
009728106
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
AKRX
|
Meeting Date
|
27-Apr-2017
|
|||||||||||||||
|
ISIN
|
US0097281069
|
Agenda
|
934560308 - Management
|
|||||||||||||||
|
Record Date
|
13-Mar-2017
|
Holding Recon Date
|
13-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
26-Apr-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
JOHN KAPOOR, PHD
|
For
|
For
|
|||||||||||||||
|
2
|
KENNETH ABRAMOWITZ
|
For
|
For
|
|||||||||||||||
|
3
|
ADRIENNE GRAVES, PHD
|
For
|
For
|
|||||||||||||||
|
4
|
RONALD JOHNSON
|
For
|
For
|
|||||||||||||||
|
5
|
STEVEN MEYER
|
For
|
For
|
|||||||||||||||
|
6
|
TERRY ALLISON RAPPUHN
|
For
|
For
|
|||||||||||||||
|
7
|
BRIAN TAMBI
|
For
|
For
|
|||||||||||||||
|
8
|
ALAN WEINSTEIN
|
For
|
For
|
|||||||||||||||
|
2.
|
PROPOSAL TO RATIFY THE APPOINTMENT OF BDO USA, LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
PROPOSAL TO APPROVE THE 2017 OMNIBUS INCENTIVE COMPENSATION PLAN.
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
PROPOSAL TO APPROVE, THROUGH A NON- BINDING ADVISORY VOTE, THE FREQUENCY OF FUTURE NON-BINDING ADVISORY VOTES ON THE COMPANY'S EXECUTIVE COMPENSATION PROGRAMS.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
5.
|
PROPOSAL TO APPROVE, THROUGH A NON- BINDING ADVISORY VOTE, THE COMPANY'S EXECUTIVE COMPENSATION PROGRAM AS DESCRIBED IN THE COMPANY'S 2017 PROXY STATEMENT.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
39,000
|
0
|
28-Mar-2017
|
28-Apr-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
96,700
|
0
|
28-Mar-2017
|
28-Apr-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
38,600
|
0
|
28-Mar-2017
|
28-Apr-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
54,500
|
0
|
28-Mar-2017
|
28-Apr-2017
|
|||||||||||
|
997AL53
|
GLO MS PLEDGE
|
997AL53
|
STATE STREET BANK & TRUST CO
|
20,700
|
0
|
28-Mar-2017
|
28-Apr-2017
|
|||||||||||
|
BRISTOL-MYERS SQUIBB COMPANY
|
|
|||||||||||||||||
|
Security
|
110122108
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
BMY
|
Meeting Date
|
02-May-2017
|
|||||||||||||||
|
ISIN
|
US1101221083
|
Agenda
|
934547538 - Management
|
|||||||||||||||
|
Record Date
|
14-Mar-2017
|
Holding Recon Date
|
14-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
01-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: P. J. ARDUINI
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: R. J. BERTOLINI
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF DIRECTOR: G. CAFORIO, M.D.
|
Management
|
For
|
For
|
||||||||||||||
|
1D.
|
ELECTION OF DIRECTOR: M. W. EMMENS
|
Management
|
For
|
For
|
||||||||||||||
|
1E.
|
ELECTION OF DIRECTOR: L. H. GLIMCHER, M.D.
|
Management
|
For
|
For
|
||||||||||||||
|
1F.
|
ELECTION OF DIRECTOR: M. GROBSTEIN
|
Management
|
For
|
For
|
||||||||||||||
|
1G.
|
ELECTION OF DIRECTOR: A. J. LACY
|
Management
|
For
|
For
|
||||||||||||||
|
1H.
|
ELECTION OF DIRECTOR: D. C. PALIWAL
|
Management
|
For
|
For
|
||||||||||||||
|
1I.
|
ELECTION OF DIRECTOR: T. R. SAMUELS
|
Management
|
For
|
For
|
||||||||||||||
|
1J.
|
ELECTION OF DIRECTOR: G. L. STORCH
|
Management
|
For
|
For
|
||||||||||||||
|
1K.
|
ELECTION OF DIRECTOR: V. L. SATO, PH.D.
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
ADVISORY VOTE ON THE FREQUENCY OF THE ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
4.
|
RE-APPROVAL OF THE MATERIALS TERMS OF THE PERFORMANCE-BASED AWARDS UNDER THE COMPANY'S 2012 STOCK AWARD AND INCENTIVE PLAN (AS AMENDED).
|
Management
|
For
|
For
|
||||||||||||||
|
5.
|
APPROVAL OF AN AMENDMENT TO THE COMPANY'S 2012 STOCK AWARD AND INCENTIVE PLAN.
|
Management
|
For
|
For
|
||||||||||||||
|
6.
|
RATIFICATION OF THE APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.
|
Management
|
For
|
For
|
||||||||||||||
|
7.
|
SHAREHOLDER PROPOSAL TO LOWER THE SHARE OWNERSHIP THRESHOLD TO CALL SPECIAL SHAREHOLDER MEETINGS.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLV
|
GLV
|
997GLV
|
STATE STREET BANK & TRUST CO
|
9,200
|
0
|
24-Mar-2017
|
03-May-2017
|
|||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
24,200
|
0
|
24-Mar-2017
|
03-May-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
49,700
|
0
|
24-Mar-2017
|
03-May-2017
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
187
|
23,100
|
24-Mar-2017
|
03-May-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
46,616
|
40,000
|
24-Mar-2017
|
03-May-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
39,400
|
0
|
24-Mar-2017
|
03-May-2017
|
|||||||||||
|
997AL53
|
GLO MS PLEDGE
|
997AL53
|
STATE STREET BANK & TRUST CO
|
29,000
|
0
|
24-Mar-2017
|
03-May-2017
|
|||||||||||
|
997AL60
|
GLV MS PLEDGE
|
997AL60
|
STATE STREET BANK & TRUST CO
|
900
|
0
|
24-Mar-2017
|
03-May-2017
|
|||||||||||
|
MTGE INVESTMENT CORP.
|
|
|||||||||||||||||
|
Security
|
55378A105
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
MTGE
|
Meeting Date
|
02-May-2017
|
|||||||||||||||
|
ISIN
|
US55378A1051
|
Agenda
|
934555472 - Management
|
|||||||||||||||
|
Record Date
|
08-Mar-2017
|
Holding Recon Date
|
08-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
01-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: GARY D. KAIN
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: STEVEN W. ABRAHAMS
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF DIRECTOR: JULIA L. CORONADO
|
Management
|
For
|
For
|
||||||||||||||
|
1D.
|
ELECTION OF DIRECTOR: ROBERT M. COUCH
|
Management
|
For
|
For
|
||||||||||||||
|
1E.
|
ELECTION OF DIRECTOR: RANDY E.DOBBS
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
ADVISORY VOTE TO SELECT THE FREQUENCY OF FUTURE ADVISORY VOTES ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
4.
|
RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT PUBLIC ACCOUNTANT FOR THE YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLV
|
GLV
|
997GLV
|
STATE STREET BANK & TRUST CO
|
25,100
|
0
|
24-Mar-2017
|
03-May-2017
|
|||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
99,700
|
0
|
24-Mar-2017
|
03-May-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
69,061
|
0
|
24-Mar-2017
|
03-May-2017
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
11,400
|
27,000
|
24-Mar-2017
|
03-May-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
3,700
|
57,700
|
24-Mar-2017
|
03-May-2017
|
|||||||||||
|
CABLE ONE, INC.
|
|
|||||||||||||||||
|
Security
|
12685J105
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
CABO
|
Meeting Date
|
02-May-2017
|
|||||||||||||||
|
ISIN
|
US12685J1051
|
Agenda
|
934571084 - Management
|
|||||||||||||||
|
Record Date
|
10-Mar-2017
|
Holding Recon Date
|
10-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
01-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: ALAN G. SPOON
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: WALLACE R. WEITZ
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF THE COMPANY FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS FOR 2016 ON AN ADVISORY BASIS
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
TO SELECT THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION ON AN ADVISORY BASIS
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
5.
|
TO APPROVE THE AMENDED AND RESTATED CABLE ONE, INC. 2015 OMNIBUS INCENTIVE COMPENSATION PLAN
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
1,700
|
0
|
04-Apr-2017
|
03-May-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
4,508
|
0
|
04-Apr-2017
|
03-May-2017
|
|||||||||||
|
997AL60
|
GLV MS PLEDGE
|
997AL60
|
STATE STREET BANK & TRUST CO
|
1,100
|
0
|
04-Apr-2017
|
03-May-2017
|
|||||||||||
|
EVERSOURCE ENERGY
|
|
|||||||||||||||||
|
Security
|
30040W108
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
ES
|
Meeting Date
|
03-May-2017
|
|||||||||||||||
|
ISIN
|
US30040W1080
|
Agenda
|
934545558 - Management
|
|||||||||||||||
|
Record Date
|
06-Mar-2017
|
Holding Recon Date
|
06-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
02-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
01
|
ELECTION OF DIRECTOR: JOHN S. CLARKESON
|
Management
|
For
|
For
|
||||||||||||||
|
02
|
ELECTION OF DIRECTOR: COTTON M. CLEVELAND
|
Management
|
For
|
For
|
||||||||||||||
|
03
|
ELECTION OF DIRECTOR: SANFORD CLOUD, JR.
|
Management
|
For
|
For
|
||||||||||||||
|
04
|
ELECTION OF DIRECTOR: JAMES S. DISTASIO
|
Management
|
For
|
For
|
||||||||||||||
|
05
|
ELECTION OF DIRECTOR: FRANCIS A. DOYLE
|
Management
|
For
|
For
|
||||||||||||||
|
06
|
ELECTION OF DIRECTOR: CHARLES K. GIFFORD
|
Management
|
For
|
For
|
||||||||||||||
|
07
|
ELECTION OF DIRECTOR: JAMES J. JUDGE
|
Management
|
For
|
For
|
||||||||||||||
|
08
|
ELECTION OF DIRECTOR: PAUL A. LA CAMERA
|
Management
|
For
|
For
|
||||||||||||||
|
09
|
ELECTION OF DIRECTOR: KENNETH R. LEIBLER
|
Management
|
For
|
For
|
||||||||||||||
|
10
|
ELECTION OF DIRECTOR: WILLIAM C. VAN FAASEN
|
Management
|
For
|
For
|
||||||||||||||
|
11
|
ELECTION OF DIRECTOR: FREDERICA M. WILLIAMS
|
Management
|
For
|
For
|
||||||||||||||
|
12
|
ELECTION OF DIRECTOR: DENNIS R. WRAASE
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
APPROVE PROPOSED AMENDMENT TO THE COMPANY'S DECLARATION OF TRUST TO INCLUDE A PROXY ACCESS PROVISION.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
CONSIDER AN ADVISORY PROPOSAL APPROVING THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
CONSIDER AN ADVISORY PROPOSAL ON THE FREQUENCY OF FUTURE ADVISORY PROPOSALS ON EXECUTIVE COMPENSATION.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
5.
|
RE-APPROVE THE MATERIAL TERMS OF THE PERFORMANCE GOALS UNDER THE 2009 EVERSOURCE INCENTIVE PLAN AS REQUIRED BY SECTION 162(M) OF THE INTERNAL REVENUE CODE.
|
Management
|
For
|
For
|
||||||||||||||
|
6.
|
RATIFY THE SELECTION OF DELOITTE & TOUCHE LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
48,800
|
0
|
25-Mar-2017
|
04-May-2017
|
|||||||||||
|
PHYSICIANS REALTY TRUST
|
|
|||||||||||||||||
|
Security
|
71943U104
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
DOC
|
Meeting Date
|
03-May-2017
|
|||||||||||||||
|
ISIN
|
US71943U1043
|
Agenda
|
934549429 - Management
|
|||||||||||||||
|
Record Date
|
01-Mar-2017
|
Holding Recon Date
|
01-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
02-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
JOHN T. THOMAS
|
For
|
For
|
|||||||||||||||
|
2
|
TOMMY G. THOMPSON
|
For
|
For
|
|||||||||||||||
|
3
|
STANTON D. ANDERSON
|
For
|
For
|
|||||||||||||||
|
4
|
MARK A. BAUMGARTNER
|
For
|
For
|
|||||||||||||||
|
5
|
ALBERT C. BLACK, JR.
|
For
|
For
|
|||||||||||||||
|
6
|
WILLIAM A. EBINGER, M.D
|
For
|
For
|
|||||||||||||||
|
7
|
RICHARD A. WEISS
|
For
|
For
|
|||||||||||||||
|
2.
|
TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS, AS DISCLOSED IN THE ACCOMPANYING PROXY STATEMENT.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
47,200
|
0
|
24-Mar-2017
|
04-May-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
100
|
88,700
|
24-Mar-2017
|
04-May-2017
|
|||||||||||
|
PULTEGROUP, INC.
|
|
|||||||||||||||||
|
Security
|
745867101
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
PHM
|
Meeting Date
|
03-May-2017
|
|||||||||||||||
|
ISIN
|
US7458671010
|
Agenda
|
934549758 - Management
|
|||||||||||||||
|
Record Date
|
10-Mar-2017
|
Holding Recon Date
|
10-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
02-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: BRIAN P. ANDERSON
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: BRYCE BLAIR
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF DIRECTOR: RICHARD W. DREILING
|
Management
|
For
|
For
|
||||||||||||||
|
1D.
|
ELECTION OF DIRECTOR: THOMAS J. FOLLIARD
|
Management
|
For
|
For
|
||||||||||||||
|
1E.
|
ELECTION OF DIRECTOR: JOSHUA GOTBAUM
|
Management
|
For
|
For
|
||||||||||||||
|
1F.
|
ELECTION OF DIRECTOR: CHERYL W. GRISE
|
Management
|
For
|
For
|
||||||||||||||
|
1G.
|
ELECTION OF DIRECTOR: ANDRE J. HAWAUX
|
Management
|
For
|
For
|
||||||||||||||
|
1H.
|
ELECTION OF DIRECTOR: RYAN R. MARSHALL
|
Management
|
For
|
For
|
||||||||||||||
|
1I.
|
ELECTION OF DIRECTOR: PATRICK J. O'LEARY
|
Management
|
For
|
For
|
||||||||||||||
|
1J.
|
ELECTION OF DIRECTOR: JOHN R. PESHKIN
|
Management
|
For
|
For
|
||||||||||||||
|
1K.
|
ELECTION OF DIRECTOR: SCOTT F. POWERS
|
Management
|
For
|
For
|
||||||||||||||
|
1L.
|
ELECTION OF DIRECTOR: WILLIAM J. PULTE
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
THE RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
AN ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION.
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
AN ADVISORY VOTE TO APPROVE THE FREQUENCY OF THE ADVISORY VOTE REGARDING EXECUTIVE COMPENSATION.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLV
|
GLV
|
997GLV
|
STATE STREET BANK & TRUST CO
|
16,700
|
0
|
29-Mar-2017
|
04-May-2017
|
|||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
31,500
|
0
|
29-Mar-2017
|
04-May-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
80,000
|
0
|
29-Mar-2017
|
04-May-2017
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
100
|
50,200
|
29-Mar-2017
|
04-May-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
100
|
120,300
|
29-Mar-2017
|
04-May-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
100
|
253,500
|
29-Mar-2017
|
04-May-2017
|
|||||||||||
|
997AL60
|
GLV MS PLEDGE
|
997AL60
|
STATE STREET BANK & TRUST CO
|
15,000
|
0
|
29-Mar-2017
|
04-May-2017
|
|||||||||||
|
DIALOG SEMICONDUCTOR PLC, LONDON
|
|
|||||||||||||||||
|
Security
|
G5821P111
|
Meeting Type
|
Annual General Meeting
|
|||||||||||||||
|
Ticker Symbol
|
Meeting Date
|
04-May-2017
|
||||||||||||||||
|
ISIN
|
GB0059822006
|
Agenda
|
707978675 - Management
|
|||||||||||||||
|
Record Date
|
Holding Recon Date
|
02-May-2017
|
||||||||||||||||
|
City /
|
Country
|
LONDON
|
/
|
United Kingdom
|
Vote Deadline Date
|
18-Apr-2017
|
||||||||||||
|
SEDOL(s)
|
5982200 - 5982590 - B28ZZL6 - B2QFBR6 - BHZLDS5
|
Quick Code
|
||||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1
|
ACCEPT FINANCIAL STATEMENTS AND STATUTORY REPORTS
|
Management
|
For
|
For
|
||||||||||||||
|
2
|
APPROVE REMUNERATION REPORT
|
Management
|
For
|
For
|
||||||||||||||
|
3
|
REAPPOINT DELOITTE LLP AS AUDITORS
|
Management
|
For
|
For
|
||||||||||||||
|
4
|
AUTHORISE BOARD TO FIX REMUNERATION OF AUDITORS
|
Management
|
For
|
For
|
||||||||||||||
|
5
|
RE-ELECT EAMONN O'HARE AS DIRECTOR
|
Management
|
For
|
For
|
||||||||||||||
|
6
|
RE-ELECT CHRISTOPHER BURKE AS DIRECTOR
|
Management
|
For
|
For
|
||||||||||||||
|
7
|
RE-ELECT AIDAN HUGHES AS DIRECTOR
|
Management
|
For
|
For
|
||||||||||||||
|
8
|
ELECT MARY CHAN AS DIRECTOR
|
Management
|
For
|
For
|
||||||||||||||
|
9
|
ELECT NICHOLAS JEFFERY AS DIRECTOR
|
Management
|
For
|
For
|
||||||||||||||
|
10
|
AUTHORISE ISSUE OF EQUITY WITH PRE-EMPTIVE RIGHTS
|
Management
|
For
|
For
|
||||||||||||||
|
11
|
AUTHORISE ISSUE OF EQUITY WITH PRE-EMPTIVE RIGHTS IN CONNECTION WITH A RIGHTS ISSUE
|
Management
|
For
|
For
|
||||||||||||||
|
12
|
AUTHORISE ISSUE OF EQUITY WITHOUT PRE- EMPTIVE RIGHTS
|
Management
|
For
|
For
|
||||||||||||||
|
13
|
AUTHORISE ISSUE OF EQUITY WITHOUT PRE- EMPTIVE RIGHTS IN CONNECTION WITH AN ACQUISITION OR OTHER CAPITAL INVESTMENT
|
Management
|
For
|
For
|
||||||||||||||
|
14
|
AUTHORISE THE COMPANY TO ENTER INTO A CONTINGENT FORWARD SHARE PURCHASE CONTRACT WITH BARCLAYS BANK PLC
|
Management
|
For
|
For
|
||||||||||||||
|
15
|
AUTHORISE THE COMPANY TO ENTER INTO A CONTINGENT FORWARD SHARE PURCHASE CONTRACT WITH GOLDMAN SACHS INTERNATIONAL
|
Management
|
For
|
For
|
||||||||||||||
|
16
|
AUTHORISE THE COMPANY TO ENTER INTO A CONTINGENT FORWARD SHARE PURCHASE CONTRACT WITH HSBC BANK PLC
|
Management
|
For
|
For
|
||||||||||||||
|
17
|
AUTHORISE THE COMPANY TO ENTER INTO A CONTINGENT FORWARD SHARE PURCHASE CONTRACT WITH MERRILL LYNCH INTERNATIONAL
|
Management
|
For
|
For
|
||||||||||||||
|
18
|
AUTHORISE THE COMPANY TO CALL GENERAL MEETING WITH TWO WEEKS' NOTICE
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
GLQ
|
GLQ
|
STATE STREET BANK
|
62,318
|
0
|
14-Apr-2017
|
21-Apr-2017
|
||||||||||||
|
GLO
|
GLO
|
STATE STREET BANK
|
154,934
|
0
|
14-Apr-2017
|
21-Apr-2017
|
||||||||||||
|
DUKE ENERGY CORPORATION
|
|
|||||||||||||||||
|
Security
|
26441C204
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
DUK
|
Meeting Date
|
04-May-2017
|
|||||||||||||||
|
ISIN
|
US26441C2044
|
Agenda
|
934544102 - Management
|
|||||||||||||||
|
Record Date
|
06-Mar-2017
|
Holding Recon Date
|
06-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
03-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
MICHAEL J. ANGELAKIS
|
For
|
For
|
|||||||||||||||
|
2
|
MICHAEL G. BROWNING
|
For
|
For
|
|||||||||||||||
|
3
|
THEODORE F. CRAVER, JR.
|
For
|
For
|
|||||||||||||||
|
4
|
DANIEL R. DIMICCO
|
For
|
For
|
|||||||||||||||
|
5
|
JOHN H. FORSGREN
|
For
|
For
|
|||||||||||||||
|
6
|
LYNN J. GOOD
|
For
|
For
|
|||||||||||||||
|
7
|
JOHN T. HERRON
|
For
|
For
|
|||||||||||||||
|
8
|
JAMES B. HYLER, JR.
|
For
|
For
|
|||||||||||||||
|
9
|
WILLIAM E. KENNARD
|
For
|
For
|
|||||||||||||||
|
10
|
E. MARIE MCKEE
|
For
|
For
|
|||||||||||||||
|
11
|
CHARLES W. MOORMAN IV
|
For
|
For
|
|||||||||||||||
|
12
|
CARLOS A. SALADRIGAS
|
For
|
For
|
|||||||||||||||
|
13
|
THOMAS E. SKAINS
|
For
|
For
|
|||||||||||||||
|
14
|
WILLIAM E. WEBSTER, JR.
|
For
|
For
|
|||||||||||||||
|
2.
|
RATIFICATION OF DELOITTE & TOUCHE LLP AS DUKE ENERGY CORPORATION'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2017
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
ADVISORY VOTE TO APPROVE DUKE ENERGY CORPORATION'S NAMED EXECUTIVE OFFICER COMPENSATION
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
ADVISORY VOTE ON THE FREQUENCY OF THE VOTE ON EXECUTIVE COMPENSATION
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
5.
|
AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF DUKE ENERGY CORPORATION TO ELIMINATE SUPERMAJORITY VOTING REQUIREMENTS
|
Management
|
For
|
For
|
||||||||||||||
|
6.
|
SHAREHOLDER PROPOSAL REGARDING PROVIDING AN ANNUAL REPORT ON DUKE ENERGY'S LOBBYING EXPENSES
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
7.
|
SHAREHOLDER PROPOSAL REGARDING PREPARING AN ASSESSMENT OF THE IMPACTS ON DUKE ENERGY'S PORTFOLIO OF CLIMATE CHANGE CONSISTENT WITH A TWO DEGREE SCENARIO
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
8.
|
SHAREHOLDER PROPOSAL REGARDING PROVIDING A REPORT ON THE PUBLIC HEALTH RISKS OF DUKE ENERGY'S COAL USE
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
35,200
|
0
|
24-Mar-2017
|
05-May-2017
|
|||||||||||
|
STARWOOD PROPERTY TRUST INC
|
|
|||||||||||||||||
|
Security
|
85571B105
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
STWD
|
Meeting Date
|
04-May-2017
|
|||||||||||||||
|
ISIN
|
US85571B1052
|
Agenda
|
934571844 - Management
|
|||||||||||||||
|
Record Date
|
17-Mar-2017
|
Holding Recon Date
|
17-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
03-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
RICHARD D. BRONSON
|
For
|
For
|
|||||||||||||||
|
2
|
JEFFREY G. DISHNER
|
For
|
For
|
|||||||||||||||
|
3
|
CAMILLE J. DOUGLAS
|
For
|
For
|
|||||||||||||||
|
4
|
SOLOMON J. KUMIN
|
For
|
For
|
|||||||||||||||
|
5
|
BARRY S. STERNLICHT
|
For
|
For
|
|||||||||||||||
|
6
|
STRAUSS ZELNICK
|
For
|
For
|
|||||||||||||||
|
2.
|
TO APPROVE, ON AN ADVISORY BASIS, THE COMPANY'S EXECUTIVE COMPENSATION AS DISCLOSED IN THE ACCOMPANYING PROXY STATEMENT.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
TO APPROVE, ON AN ADVISORY BASIS, THE FREQUENCY OF THE ADVISORY VOTE ON THE COMPANY'S EXECUTIVE COMPENSATION.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
4.
|
TO APPROVE THE STARWOOD PROPERTY TRUST, INC. 2017 MANAGER EQUITY PLAN, WHICH SUCCEEDS AND REPLACES THE STARWOOD PROPERTY TRUST, INC. MANAGER EQUITY PLAN, AS AMENDED, AS DISCLOSED IN THE ACCOMPANYING PROXY STATEMENT.
|
Management
|
For
|
For
|
||||||||||||||
|
5.
|
TO APPROVE THE STARWOOD PROPERTY TRUST, INC. 2017 EQUITY PLAN, WHICH SUCCEEDS AND REPLACES THE STARWOOD PROPERTY TRUST, INC. EQUITY PLAN, AS AMENDED, AND THE STARWOOD PROPERTY TRUST, INC. NON- EXECUTIVE DIRECTOR STOCK PLAN, AS AMENDED, AS DISCLOSED IN THE ACCOMPANYING PROXY STATEMENT.
|
Management
|
For
|
For
|
||||||||||||||
|
6.
|
TO RATIFY THE AUDIT COMMITTEE'S APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE CALENDAR YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLV
|
GLV
|
997GLV
|
STATE STREET BANK & TRUST CO
|
15,000
|
0
|
04-Apr-2017
|
05-May-2017
|
|||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
79,500
|
0
|
04-Apr-2017
|
05-May-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
90,586
|
0
|
04-Apr-2017
|
05-May-2017
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
100
|
100,600
|
04-Apr-2017
|
05-May-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
100
|
205,800
|
04-Apr-2017
|
05-May-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
100
|
499,900
|
04-Apr-2017
|
05-May-2017
|
|||||||||||
|
997AL53
|
GLO MS PLEDGE
|
997AL53
|
STATE STREET BANK & TRUST CO
|
70,000
|
0
|
04-Apr-2017
|
05-May-2017
|
|||||||||||
|
997AL60
|
GLV MS PLEDGE
|
997AL60
|
STATE STREET BANK & TRUST CO
|
45,000
|
0
|
04-Apr-2017
|
05-May-2017
|
|||||||||||
|
997AL61
|
GLQ MS PLEDGE
|
997AL61
|
STATE STREET BANK & TRUST CO
|
15,000
|
0
|
04-Apr-2017
|
05-May-2017
|
|||||||||||
|
BOSTON SCIENTIFIC CORPORATION
|
|
|||||||||||||||||
|
Security
|
101137107
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
BSX
|
Meeting Date
|
09-May-2017
|
|||||||||||||||
|
ISIN
|
US1011371077
|
Agenda
|
934558543 - Management
|
|||||||||||||||
|
Record Date
|
15-Mar-2017
|
Holding Recon Date
|
15-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
08-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: NELDA J. CONNORS
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: CHARLES J. DOCKENDORFF
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF DIRECTOR: YOSHIAKI FUJIMORI
|
Management
|
For
|
For
|
||||||||||||||
|
1D.
|
ELECTION OF DIRECTOR: DONNA A. JAMES
|
Management
|
For
|
For
|
||||||||||||||
|
1E.
|
ELECTION OF DIRECTOR: EDWARD J. LUDWIG
|
Management
|
For
|
For
|
||||||||||||||
|
1F.
|
ELECTION OF DIRECTOR: STEPHEN P. MACMILLAN
|
Management
|
For
|
For
|
||||||||||||||
|
1G.
|
ELECTION OF DIRECTOR: MICHAEL F. MAHONEY
|
Management
|
For
|
For
|
||||||||||||||
|
1H.
|
ELECTION OF DIRECTOR: DAVID J. ROUX
|
Management
|
For
|
For
|
||||||||||||||
|
1I.
|
ELECTION OF DIRECTOR: JOHN E. SUNUNU
|
Management
|
For
|
For
|
||||||||||||||
|
1J.
|
ELECTION OF DIRECTOR: ELLEN M. ZANE
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
TO APPROVE, ON A NON-BINDING, ADVISORY BASIS, NAMED EXECUTIVE OFFICER COMPENSATION.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
TO APPROVE, ON A NON-BINDING, ADVISORY BASIS, THE FREQUENCY OF FUTURE NAMED EXECUTIVE OFFICER COMPENSATION ADVISORY VOTES.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
4.
|
TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE 2017 FISCAL YEAR.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
52,700
|
0
|
29-Mar-2017
|
10-May-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
99,900
|
0
|
29-Mar-2017
|
10-May-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
100
|
74,700
|
29-Mar-2017
|
10-May-2017
|
|||||||||||
|
997AL53
|
GLO MS PLEDGE
|
997AL53
|
STATE STREET BANK & TRUST CO
|
30,000
|
0
|
29-Mar-2017
|
10-May-2017
|
|||||||||||
|
GILEAD SCIENCES, INC.
|
|
|||||||||||||||||
|
Security
|
375558103
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
GILD
|
Meeting Date
|
10-May-2017
|
|||||||||||||||
|
ISIN
|
US3755581036
|
Agenda
|
934558810 - Management
|
|||||||||||||||
|
Record Date
|
16-Mar-2017
|
Holding Recon Date
|
16-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
09-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: JOHN F. COGAN, PH.D.
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: KELLY A. KRAMER
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF DIRECTOR: KEVIN E. LOFTON
|
Management
|
For
|
For
|
||||||||||||||
|
1D.
|
ELECTION OF DIRECTOR: JOHN C. MARTIN, PH.D.
|
Management
|
For
|
For
|
||||||||||||||
|
1E.
|
ELECTION OF DIRECTOR: JOHN F. MILLIGAN, PH.D.
|
Management
|
For
|
For
|
||||||||||||||
|
1F.
|
ELECTION OF DIRECTOR: NICHOLAS G. MOORE
|
Management
|
For
|
For
|
||||||||||||||
|
1G.
|
ELECTION OF DIRECTOR: RICHARD J. WHITLEY, M.D
|
Management
|
For
|
For
|
||||||||||||||
|
1H.
|
ELECTION OF DIRECTOR: GAYLE E. WILSON
|
Management
|
For
|
For
|
||||||||||||||
|
1I.
|
ELECTION OF DIRECTOR: PER WOLD-OLSEN
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
RATIFICATION OF THE SELECTION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
RESTATEMENT OF THE GILEAD SCIENCES, INC. 2004 EQUITY INCENTIVE PLAN.
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.
|
Management
|
For
|
For
|
||||||||||||||
|
5.
|
ADVISORY VOTE AS TO THE FREQUENCY OF FUTURE ADVISORY SHAREHOLDER VOTES ON EXECUTIVE COMPENSATION.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
6.
|
STOCKHOLDER PROPOSAL REQUESTING THAT THE BOARD TAKE STEPS TO PERMIT STOCKHOLDER ACTION BY WRITTEN CONSENT.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
7.
|
STOCKHOLDER PROPOSAL REQUESTING THAT THE BOARD ADOPT A POLICY THAT THE CHAIRMAN OF THE BOARD OF DIRECTORS BE AN INDEPENDENT DIRECTOR.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
3,600
|
6,200
|
29-Mar-2017
|
11-May-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
1,300
|
19,900
|
29-Mar-2017
|
11-May-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
4,000
|
35,200
|
29-Mar-2017
|
11-May-2017
|
|||||||||||
|
997AL61
|
GLQ MS PLEDGE
|
997AL61
|
STATE STREET BANK & TRUST CO
|
3,700
|
0
|
29-Mar-2017
|
11-May-2017
|
|||||||||||
|
DOMINION RESOURCES, INC.
|
|
|||||||||||||||||
|
Security
|
25746U109
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
D
|
Meeting Date
|
10-May-2017
|
|||||||||||||||
|
ISIN
|
US25746U1097
|
Agenda
|
934559038 - Management
|
|||||||||||||||
|
Record Date
|
03-Mar-2017
|
Holding Recon Date
|
03-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
09-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: WILLIAM P. BARR
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: HELEN E. DRAGAS
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF DIRECTOR: JAMES O. ELLIS, JR.
|
Management
|
For
|
For
|
||||||||||||||
|
1D.
|
ELECTION OF DIRECTOR: THOMAS F. FARRELL II
|
Management
|
For
|
For
|
||||||||||||||
|
1E.
|
ELECTION OF DIRECTOR: JOHN W. HARRIS
|
Management
|
For
|
For
|
||||||||||||||
|
1F.
|
ELECTION OF DIRECTOR: RONALD W. JIBSON
|
Management
|
For
|
For
|
||||||||||||||
|
1G.
|
ELECTION OF DIRECTOR: MARK J. KINGTON
|
Management
|
For
|
For
|
||||||||||||||
|
1H.
|
ELECTION OF DIRECTOR: JOSEPH M. RIGBY
|
Management
|
For
|
For
|
||||||||||||||
|
1I.
|
ELECTION OF DIRECTOR: PAMELA J. ROYAL, M.D.
|
Management
|
For
|
For
|
||||||||||||||
|
1J.
|
ELECTION OF DIRECTOR: ROBERT H. SPILMAN, JR.
|
Management
|
For
|
For
|
||||||||||||||
|
1K.
|
ELECTION OF DIRECTOR: SUSAN N. STORY
|
Management
|
For
|
For
|
||||||||||||||
|
1L.
|
ELECTION OF DIRECTOR: MICHAEL E. SZYMANCZYK
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
RATIFICATION OF APPOINTMENT OF THE INDEPENDENT AUDITORS FOR 2017
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
ADVISORY VOTE ON APPROVAL OF EXECUTIVE COMPENSATION (SAY ON PAY)
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
ADVISORY VOTE ON THE FREQUENCY OF THE SAY ON PAY VOTE
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
5.
|
APPROVAL OF AMENDMENT TO ARTICLES OF INCORPORATION TO CHANGE THE COMPANY'S NAME TO DOMINION ENERGY, INC.
|
Management
|
For
|
For
|
||||||||||||||
|
6.
|
SHAREHOLDER PROPOSAL REGARDING A REPORT ON LOBBYING
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
7.
|
SHAREHOLDER PROPOSAL REGARDING THE NOMINATION OF A DIRECTOR WITH ENVIRONMENTAL EXPERTISE
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
8.
|
SHAREHOLDER PROPOSAL REGARDING AN ASSESSMENT OF THE IMPACT OF PUBLIC POLICIES AND TECHNOLOGICAL ADVANCES CONSISTENT WITH LIMITING GLOBAL WARMING
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
9.
|
SHAREHOLDER PROPOSAL REGARDING A REPORT ON METHANE EMISSIONS
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
38,000
|
0
|
01-Apr-2017
|
11-May-2017
|
|||||||||||
|
SERVICE CORPORATION INTERNATIONAL
|
|
|||||||||||||||||
|
Security
|
817565104
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
SCI
|
Meeting Date
|
10-May-2017
|
|||||||||||||||
|
ISIN
|
US8175651046
|
Agenda
|
934564356 - Management
|
|||||||||||||||
|
Record Date
|
13-Mar-2017
|
Holding Recon Date
|
13-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
09-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
THOMAS L. RYAN
|
For
|
For
|
|||||||||||||||
|
2
|
CLIFTON H. MORRIS, JR.
|
For
|
For
|
|||||||||||||||
|
3
|
W. BLAIR WALTRIP
|
For
|
For
|
|||||||||||||||
|
2.
|
TO APPROVE THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
TO APPROVE, BY ADVISORY VOTE, NAMED EXECUTIVE OFFICER COMPENSATION.
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
TO APPROVE HOLDING AN ADVISORY VOTE ON NAMED EXECUTIVE OFFICER COMPENSATION EVERY ONE, TWO OR THREE YEARS, AS INDICATED.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
5.
|
TO APPROVE THE AMENDED AND RESTATED 2016 EQUITY INCENTIVE PLAN.
|
Management
|
For
|
For
|
||||||||||||||
|
6.
|
TO APPROVE THE SHAREHOLDER PROPOSAL TO REQUIRE INDEPENDENT BOARD CHAIRMAN.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
7.
|
TO APPROVE THE SHAREHOLDER PROPOSAL TO ADOPT SIMPLE MAJORITY VOTE.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
900
|
28,200
|
31-Mar-2017
|
11-May-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
5,400
|
35,500
|
31-Mar-2017
|
11-May-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
1,300
|
70,900
|
31-Mar-2017
|
11-May-2017
|
|||||||||||
|
ALEXION PHARMACEUTICALS, INC.
|
|
|||||||||||||||||
|
Security
|
015351109
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
ALXN
|
Meeting Date
|
10-May-2017
|
|||||||||||||||
|
ISIN
|
US0153511094
|
Agenda
|
934568710 - Management
|
|||||||||||||||
|
Record Date
|
14-Mar-2017
|
Holding Recon Date
|
14-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
09-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: FELIX J. BAKER
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: DAVID R. BRENNAN
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF DIRECTOR: M. MICHELE BURNS
|
Management
|
For
|
For
|
||||||||||||||
|
1D.
|
ELECTION OF DIRECTOR: CHRISTOPHER J. COUGHLIN
|
Management
|
For
|
For
|
||||||||||||||
|
1E.
|
ELECTION OF DIRECTOR: LUDWIG N. HANTSON
|
Management
|
For
|
For
|
||||||||||||||
|
1F.
|
ELECTION OF DIRECTOR: JOHN T. MOLLEN
|
Management
|
For
|
For
|
||||||||||||||
|
1G.
|
ELECTION OF DIRECTOR: R. DOUGLAS NORBY
|
Management
|
For
|
For
|
||||||||||||||
|
1H.
|
ELECTION OF DIRECTOR: ALVIN S. PARVEN
|
Management
|
For
|
For
|
||||||||||||||
|
1I.
|
ELECTION OF DIRECTOR: ANDREAS RUMMELT
|
Management
|
For
|
For
|
||||||||||||||
|
1J.
|
ELECTION OF DIRECTOR: ANN M. VENEMAN
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
TO APPROVE ALEXION'S 2017 INCENTIVE PLAN.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
RATIFICATION OF APPOINTMENT BY THE BOARD OF DIRECTORS OF PRICEWATERHOUSECOOPERS LLP AS ALEXION'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
APPROVAL OF A NON-BINDING ADVISORY VOTE OF THE 2016 COMPENSATION PAID TO ALEXION'S NAMED EXECUTIVE OFFICERS.
|
Management
|
For
|
For
|
||||||||||||||
|
5.
|
TO RECOMMEND, BY NON-BINDING VOTE, THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
6.
|
TO REQUEST THE BOARD IMPLEMENT CONFIDENTIAL SHAREHOLDER VOTING ON EXECUTIVE PAY MATTERS.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
19,500
|
0
|
01-Apr-2017
|
11-May-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
14,100
|
0
|
01-Apr-2017
|
11-May-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
100
|
34,900
|
01-Apr-2017
|
11-May-2017
|
|||||||||||
|
JPMORGAN CHASE & CO.
|
|
|||||||||||||||||
|
Security
|
46625H100
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
JPM
|
Meeting Date
|
16-May-2017
|
|||||||||||||||
|
ISIN
|
US46625H1005
|
Agenda
|
934561665 - Management
|
|||||||||||||||
|
Record Date
|
17-Mar-2017
|
Holding Recon Date
|
17-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
15-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: LINDA B. BAMMANN
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: JAMES A. BELL
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF DIRECTOR: CRANDALL C. BOWLES
|
Management
|
For
|
For
|
||||||||||||||
|
1D.
|
ELECTION OF DIRECTOR: STEPHEN B. BURKE
|
Management
|
For
|
For
|
||||||||||||||
|
1E.
|
ELECTION OF DIRECTOR: TODD A. COMBS
|
Management
|
For
|
For
|
||||||||||||||
|
1F.
|
ELECTION OF DIRECTOR: JAMES S. CROWN
|
Management
|
For
|
For
|
||||||||||||||
|
1G.
|
ELECTION OF DIRECTOR: JAMES DIMON
|
Management
|
For
|
For
|
||||||||||||||
|
1H.
|
ELECTION OF DIRECTOR: TIMOTHY P. FLYNN
|
Management
|
For
|
For
|
||||||||||||||
|
1I.
|
ELECTION OF DIRECTOR: LABAN P. JACKSON, JR.
|
Management
|
For
|
For
|
||||||||||||||
|
1J.
|
ELECTION OF DIRECTOR: MICHAEL A. NEAL
|
Management
|
For
|
For
|
||||||||||||||
|
1K.
|
ELECTION OF DIRECTOR: LEE R. RAYMOND
|
Management
|
For
|
For
|
||||||||||||||
|
1L.
|
ELECTION OF DIRECTOR: WILLIAM C. WELDON
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
RATIFICATION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
ADVISORY VOTE ON FREQUENCY OF ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
5.
|
INDEPENDENT BOARD CHAIRMAN
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
6.
|
VESTING FOR GOVERNMENT SERVICE
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
7.
|
CLAWBACK AMENDMENT
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
8.
|
GENDER PAY EQUITY
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
9.
|
HOW VOTES ARE COUNTED
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
10.
|
SPECIAL SHAREOWNER MEETINGS
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
100
|
8,000
|
07-Apr-2017
|
17-May-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
100
|
13,100
|
07-Apr-2017
|
17-May-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
100
|
33,000
|
07-Apr-2017
|
17-May-2017
|
|||||||||||
|
ALIGN TECHNOLOGY, INC.
|
|
|||||||||||||||||
|
Security
|
016255101
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
ALGN
|
Meeting Date
|
17-May-2017
|
|||||||||||||||
|
ISIN
|
US0162551016
|
Agenda
|
934559874 - Management
|
|||||||||||||||
|
Record Date
|
22-Mar-2017
|
Holding Recon Date
|
22-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
16-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: JOSEPH M. HOGAN
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: JOSEPH LACOB
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF DIRECTOR: C. RAYMOND LARKIN, JR.
|
Management
|
For
|
For
|
||||||||||||||
|
1D.
|
ELECTION OF DIRECTOR: GEORGE J. MORROW
|
Management
|
For
|
For
|
||||||||||||||
|
1E.
|
ELECTION OF DIRECTOR: THOMAS M. PRESCOTT
|
Management
|
For
|
For
|
||||||||||||||
|
1F.
|
ELECTION OF DIRECTOR: ANDREA L. SAIA
|
Management
|
For
|
For
|
||||||||||||||
|
1G.
|
ELECTION OF DIRECTOR: GREG J. SANTORA
|
Management
|
For
|
For
|
||||||||||||||
|
1H.
|
ELECTION OF DIRECTOR: SUSAN E. SIEGEL
|
Management
|
For
|
For
|
||||||||||||||
|
1I.
|
ELECTION OF DIRECTOR: WARREN S. THALER
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
PROPOSAL TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS ALIGN TECHNOLOGY, INC.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION.
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
ADVISORY VOTE ON THE FREQUENCY OF HOLDING AN ADVISORY VOTE ON EXECUTIVE COMPENSATION.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
21,600
|
0
|
08-Apr-2017
|
18-May-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
22,200
|
0
|
08-Apr-2017
|
18-May-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
100
|
49,900
|
08-Apr-2017
|
18-May-2017
|
|||||||||||
|
997AL53
|
GLO MS PLEDGE
|
997AL53
|
STATE STREET BANK & TRUST CO
|
10,000
|
0
|
08-Apr-2017
|
18-May-2017
|
|||||||||||
|
997AL61
|
GLQ MS PLEDGE
|
997AL61
|
STATE STREET BANK & TRUST CO
|
10,000
|
0
|
08-Apr-2017
|
18-May-2017
|
|||||||||||
|
ELLIE MAE, INC.
|
|
|||||||||||||||||
|
Security
|
28849P100
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
ELLI
|
Meeting Date
|
17-May-2017
|
|||||||||||||||
|
ISIN
|
US28849P1003
|
Agenda
|
934563746 - Management
|
|||||||||||||||
|
Record Date
|
22-Mar-2017
|
Holding Recon Date
|
22-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
16-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
KAREN BLASING
|
For
|
For
|
|||||||||||||||
|
2
|
JONATHAN CORR
|
For
|
For
|
|||||||||||||||
|
3
|
ROBERT J. LEVIN
|
For
|
For
|
|||||||||||||||
|
4
|
JEB S. SPENCER
|
For
|
For
|
|||||||||||||||
|
2.
|
TO RATIFY THE SELECTION, BY THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS, OF GRANT THORNTON LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF THE COMPANY FOR ITS FISCAL YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
TO APPROVE, ON AN ADVISORY BASIS, THE NAMED EXECUTIVE OFFICER COMPENSATION FOR THE FISCAL YEAR ENDED DECEMBER 31, 2016 AS DISCLOSED IN THE PROXY STATEMENT
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
TO CONSIDER A STOCKHOLDER PROPOSAL IF PROPERLY PRESENTED AT THE MEETING, RELATED TO THE DECLASSIFICATION OF THE BOARD OF DIRECTORS.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
19,100
|
0
|
07-Apr-2017
|
18-May-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
47,900
|
0
|
07-Apr-2017
|
18-May-2017
|
|||||||||||
|
SOLAR CAPITAL LTD
|
|
|||||||||||||||||
|
Security
|
83413U100
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
SLRC
|
Meeting Date
|
17-May-2017
|
|||||||||||||||
|
ISIN
|
US83413U1007
|
Agenda
|
934568518 - Management
|
|||||||||||||||
|
Record Date
|
22-Mar-2017
|
Holding Recon Date
|
22-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
16-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
MR. BRUCE SPOHLER
|
For
|
For
|
|||||||||||||||
|
2
|
MR. STEVEN HOCHBERG
|
For
|
For
|
|||||||||||||||
|
2.
|
TO APPROVE A PROPOSAL TO AUTHORIZE THE COMPANY TO SELL SHARES OF ITS COMMON STOCK AT A PRICE OR PRICES BELOW THE COMPANY'S THEN CURRENT NET ASSET VALUE PER SHARE IN ONE OR MORE OFFERINGS, IN EACH CASE SUBJECT TO THE APPROVAL OF ITS BOARD OF DIRECTORS AND COMPLIANCE WITH THE CONDITIONS SET FORTH IN THE PROXY STATEMENT PERTAINING THERETO (INCLUDING, WITHOUT LIMITATION, THAT THE NUMBER OF SHARES ISSUED DOES NOT EXCEED 25% OF THE COMPANY'S THEN OUTSTANDING COMMON STOCK IMMEDIATELY PRIOR TO EACH SUCH OFFERING).
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLV
|
GLV
|
997GLV
|
STATE STREET BANK & TRUST CO
|
30,900
|
0
|
01-Apr-2017
|
18-May-2017
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
100
|
47,000
|
01-Apr-2017
|
18-May-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
100
|
75,000
|
01-Apr-2017
|
18-May-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
37,631
|
0
|
01-Apr-2017
|
18-May-2017
|
|||||||||||
|
ARBOR REALTY TRUST, INC.
|
|
|||||||||||||||||
|
Security
|
038923108
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
ABR
|
Meeting Date
|
17-May-2017
|
|||||||||||||||
|
ISIN
|
US0389231087
|
Agenda
|
934587330 - Management
|
|||||||||||||||
|
Record Date
|
04-Apr-2017
|
Holding Recon Date
|
04-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
16-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
IVAN KAUFMAN
|
For
|
For
|
|||||||||||||||
|
2
|
MELVIN F. LAZAR
|
For
|
For
|
|||||||||||||||
|
3
|
GEORGE TSUNIS
|
For
|
For
|
|||||||||||||||
|
2.
|
APPROVAL OF AN AMENDMENT AND RESTATEMENT TO THE ARBOR REALTY TRUST, INC. 2014 OMNIBUS STOCK INCENTIVE PLAN (THE "PLAN") TO AUTHORIZE AN ADDITIONAL 5,000,000 SHARES OF COMMON STOCK OF ARBOR REALTY TRUST, INC. FOR ISSUANCE UNDER THE PLAN.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF ARBOR REALTY TRUST, INC. FOR FISCAL YEAR 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
ADVISORY VOTE TO APPROVE THE COMPENSATION OF ARBOR REALTY TRUST, INC.'S NAMED EXECUTIVE OFFICERS AS DISCLOSED IN THE PROXY STATEMENT.
|
Management
|
For
|
For
|
||||||||||||||
|
5.
|
ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES TO APPROVE THE COMPENSATION OF ARBOR REALTY TRUST, INC.'S NAMED EXECUTIVE OFFICERS.
|
Management
|
3 Years
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
172,300
|
0
|
12-Apr-2017
|
18-May-2017
|
|||||||||||
|
TPG SPECIALTY LENDING, INC.
|
|
|||||||||||||||||
|
Security
|
87265K102
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
TSLX
|
Meeting Date
|
18-May-2017
|
|||||||||||||||
|
ISIN
|
US87265K1025
|
Agenda
|
934566285 - Management
|
|||||||||||||||
|
Record Date
|
24-Mar-2017
|
Holding Recon Date
|
24-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
17-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
JOSHUA EASTERLY
|
For
|
For
|
|||||||||||||||
|
2
|
MICHAEL FISHMAN
|
For
|
For
|
|||||||||||||||
|
2.
|
TO RATIFY THE SELECTION OF KPMG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
100
|
49,400
|
08-Apr-2017
|
19-May-2017
|
|||||||||||
|
TPG SPECIALTY LENDING, INC.
|
|
|||||||||||||||||
|
Security
|
87265K102
|
Meeting Type
|
Special
|
|||||||||||||||
|
Ticker Symbol
|
TSLX
|
Meeting Date
|
18-May-2017
|
|||||||||||||||
|
ISIN
|
US87265K1025
|
Agenda
|
934576147 - Management
|
|||||||||||||||
|
Record Date
|
24-Mar-2017
|
Holding Recon Date
|
24-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
17-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
TO APPROVE A PROPOSAL TO AUTHORIZE THE COMPANY TO SELL OR OTHERWISE ISSUE SHARES OF ITS COMMON STOCK AT A PRICE BELOW ITS THEN-CURRENT NET ASSET VALUE PER SHARE IN ONE OR MORE OFFERINGS, IN EACH CASE SUBJECT TO THE APPROVAL OF ITS BOARD OF DIRECTORS AND SUBJECT TO THE CONDITIONS SET FORTH IN THE ACCOMPANYING PROXY STATEMENT
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
100
|
49,400
|
08-Apr-2017
|
19-May-2017
|
|||||||||||
|
GLOBAL MEDICAL REIT INC.
|
|
|||||||||||||||||
|
Security
|
37954A204
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
GMRE
|
Meeting Date
|
18-May-2017
|
|||||||||||||||
|
ISIN
|
US37954A2042
|
Agenda
|
934609340 - Management
|
|||||||||||||||
|
Record Date
|
31-Mar-2017
|
Holding Recon Date
|
31-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
17-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
DAVID A. YOUNG
|
For
|
For
|
|||||||||||||||
|
2
|
JEFFREY BUSCH
|
For
|
For
|
|||||||||||||||
|
3
|
HENRY COLE
|
For
|
For
|
|||||||||||||||
|
4
|
MATTHEW L. CYPHER, PHD
|
For
|
For
|
|||||||||||||||
|
5
|
KURT R. HARRINGTON
|
For
|
For
|
|||||||||||||||
|
6
|
ZHANG JINGGUO
|
For
|
For
|
|||||||||||||||
|
7
|
RONALD MARSTON
|
For
|
For
|
|||||||||||||||
|
8
|
DR. ROSCOE MOORE
|
For
|
For
|
|||||||||||||||
|
9
|
ZHANG HUIQI
|
For
|
For
|
|||||||||||||||
|
2.
|
TO RATIFY THE APPOINTMENT OF MALONEBAILEY, LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLV
|
GLV
|
997GLV
|
STATE STREET BANK & TRUST CO
|
50,000
|
0
|
28-Apr-2017
|
19-May-2017
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
27,000
|
0
|
28-Apr-2017
|
19-May-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
121,000
|
0
|
28-Apr-2017
|
19-May-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
310,000
|
0
|
28-Apr-2017
|
19-May-2017
|
|||||||||||
|
GOLDMAN SACHS BDC, INC.
|
|
|||||||||||||||||
|
Security
|
38147U107
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
GSBD
|
Meeting Date
|
19-May-2017
|
|||||||||||||||
|
ISIN
|
US38147U1079
|
Agenda
|
934560346 - Management
|
|||||||||||||||
|
Record Date
|
20-Mar-2017
|
Holding Recon Date
|
20-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
18-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: ROSS J. KARI
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: ANN B. LANE
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
53,000
|
0
|
28-Mar-2017
|
22-May-2017
|
|||||||||||
|
NATIONAL GRID PLC
|
|
|||||||||||||||||
|
Security
|
636274300
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
NGG
|
Meeting Date
|
19-May-2017
|
|||||||||||||||
|
ISIN
|
US6362743006
|
Agenda
|
934599436 - Management
|
|||||||||||||||
|
Record Date
|
12-Apr-2017
|
Holding Recon Date
|
12-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
12-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
TO APPROVE THE CONSOLIDATION OF SHARES
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
TO AUTHORISE THE DIRECTORS TO ALLOT NEW ORDINARY SHARES
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
TO DISAPPLY PRE-EMPTION RIGHTS
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
TO DISAPPLY PRE-EMPTION RIGHTS FOR ACQUISITIONS
|
Management
|
For
|
For
|
||||||||||||||
|
5.
|
TO AUTHORISE THE COMPANY TO PURCHASE ITS OWN NEW ORDINARY SHARES
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
45,800
|
0
|
20-Apr-2017
|
16-May-2017
|
|||||||||||
|
ARES CAPITAL CORPORATION
|
|
|||||||||||||||||
|
Security
|
04010L103
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
ARCC
|
Meeting Date
|
22-May-2017
|
|||||||||||||||
|
ISIN
|
US04010L1035
|
Agenda
|
934557426 - Management
|
|||||||||||||||
|
Record Date
|
09-Mar-2017
|
Holding Recon Date
|
09-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
19-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: MICHAEL J AROUGHETI (CLASS I DIRECTOR FOR A TERM OF 3 YEARS EXPIRING IN 2020)
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: ANN TORRE BATES (CLASS I DIRECTOR FOR A TERM OF 3 YEARS EXPIRING IN 2020)
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF DIRECTOR: STEVE MCKEEVER (CLASS I DIRECTOR FOR A TERM OF 3 YEARS EXPIRING IN 2020)
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
TO RATIFY THE SELECTION OF KPMG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLV
|
GLV
|
997GLV
|
STATE STREET BANK & TRUST CO
|
50,000
|
0
|
25-Mar-2017
|
23-May-2017
|
|||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
20,000
|
0
|
25-Mar-2017
|
23-May-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
8,309
|
0
|
25-Mar-2017
|
23-May-2017
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
168,300
|
0
|
25-Mar-2017
|
23-May-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
301,400
|
0
|
25-Mar-2017
|
23-May-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
100
|
826,991
|
25-Mar-2017
|
23-May-2017
|
|||||||||||
|
997AL60
|
GLV MS PLEDGE
|
997AL60
|
STATE STREET BANK & TRUST CO
|
15,000
|
0
|
25-Mar-2017
|
23-May-2017
|
|||||||||||
|
997AL61
|
GLQ MS PLEDGE
|
997AL61
|
STATE STREET BANK & TRUST CO
|
110,000
|
0
|
25-Mar-2017
|
23-May-2017
|
|||||||||||
|
ARES CAPITAL CORPORATION
|
|
|||||||||||||||||
|
Security
|
04010L103
|
Meeting Type
|
Special
|
|||||||||||||||
|
Ticker Symbol
|
ARCC
|
Meeting Date
|
22-May-2017
|
|||||||||||||||
|
ISIN
|
US04010L1035
|
Agenda
|
934560598 - Management
|
|||||||||||||||
|
Record Date
|
09-Mar-2017
|
Holding Recon Date
|
09-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
19-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
TO AUTHORIZE THE COMPANY, WITH THE APPROVAL OF ITS BOARD OF DIRECTORS, TO SELL OR OTHERWISE ISSUE SHARES OF ITS COMMON STOCK AT A PRICE BELOW ITS THEN CURRENT NET ASSET VALUE PER SHARE SUBJECT TO THE LIMITATIONS SET FORTH IN THE PROXY STATEMENT FOR THE SPECIAL MEETING OF STOCKHOLDERS (INCLUDING, ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLV
|
GLV
|
997GLV
|
STATE STREET BANK & TRUST CO
|
50,000
|
0
|
28-Mar-2017
|
23-May-2017
|
|||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
20,000
|
0
|
28-Mar-2017
|
23-May-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
8,309
|
0
|
28-Mar-2017
|
23-May-2017
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
168,300
|
0
|
28-Mar-2017
|
23-May-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
301,400
|
0
|
28-Mar-2017
|
23-May-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
100
|
826,991
|
28-Mar-2017
|
23-May-2017
|
|||||||||||
|
997AL60
|
GLV MS PLEDGE
|
997AL60
|
STATE STREET BANK & TRUST CO
|
15,000
|
0
|
28-Mar-2017
|
23-May-2017
|
|||||||||||
|
997AL61
|
GLQ MS PLEDGE
|
997AL61
|
STATE STREET BANK & TRUST CO
|
110,000
|
0
|
28-Mar-2017
|
23-May-2017
|
|||||||||||
|
MERCK & CO., INC.
|
|
|||||||||||||||||
|
Security
|
58933Y105
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
MRK
|
Meeting Date
|
23-May-2017
|
|||||||||||||||
|
ISIN
|
US58933Y1055
|
Agenda
|
934581439 - Management
|
|||||||||||||||
|
Record Date
|
27-Mar-2017
|
Holding Recon Date
|
27-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
22-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: LESLIE A. BRUN
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: THOMAS R. CECH
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF DIRECTOR: PAMELA J. CRAIG
|
Management
|
For
|
For
|
||||||||||||||
|
1D.
|
ELECTION OF DIRECTOR: KENNETH C. FRAZIER
|
Management
|
For
|
For
|
||||||||||||||
|
1E.
|
ELECTION OF DIRECTOR: THOMAS H. GLOCER
|
Management
|
For
|
For
|
||||||||||||||
|
1F.
|
ELECTION OF DIRECTOR: ROCHELLE B. LAZARUS
|
Management
|
For
|
For
|
||||||||||||||
|
1G.
|
ELECTION OF DIRECTOR: JOHN H. NOSEWORTHY
|
Management
|
For
|
For
|
||||||||||||||
|
1H.
|
ELECTION OF DIRECTOR: CARLOS E. REPRESAS
|
Management
|
For
|
For
|
||||||||||||||
|
1I.
|
ELECTION OF DIRECTOR: PAUL B. ROTHMAN
|
Management
|
For
|
For
|
||||||||||||||
|
1J.
|
ELECTION OF DIRECTOR: PATRICIA F. RUSSO
|
Management
|
For
|
For
|
||||||||||||||
|
1K.
|
ELECTION OF DIRECTOR: CRAIG B. THOMPSON
|
Management
|
For
|
For
|
||||||||||||||
|
1L.
|
ELECTION OF DIRECTOR: WENDELL P. WEEKS
|
Management
|
For
|
For
|
||||||||||||||
|
1M.
|
ELECTION OF DIRECTOR: PETER C. WENDELL
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
NON-BINDING ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
NON-BINDING ADVISORY VOTE ON THE FREQUENCY OF FUTURE VOTES TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
4.
|
RATIFICATION OF THE APPOINTMENT OF THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
5.
|
SHAREHOLDER PROPOSAL REQUESTING AN INDEPENDENT BOARD CHAIRMAN.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
6.
|
SHAREHOLDER PROPOSAL REQUESTING IMPLEMENTATION OF A SET OF EMPLOYEE PRACTICES IN ISRAEL/PALESTINE.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
7.
|
SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CONDUCTING BUSINESS IN CONFLICT- AFFECTED AREAS.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
8.
|
SHAREHOLDER PROPOSAL REQUESTING A REPORT ON BOARD OVERSIGHT OF PRODUCT SAFETY AND QUALITY.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLV
|
GLV
|
997GLV
|
STATE STREET BANK & TRUST CO
|
12,900
|
0
|
11-Apr-2017
|
24-May-2017
|
|||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
13,900
|
0
|
11-Apr-2017
|
24-May-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
34,500
|
0
|
11-Apr-2017
|
24-May-2017
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
100
|
43,300
|
11-Apr-2017
|
24-May-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
38,200
|
41,800
|
11-Apr-2017
|
24-May-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
100
|
174,400
|
11-Apr-2017
|
24-May-2017
|
|||||||||||
|
997AL60
|
GLV MS PLEDGE
|
997AL60
|
STATE STREET BANK & TRUST CO
|
10,000
|
0
|
11-Apr-2017
|
24-May-2017
|
|||||||||||
|
LIBERTY INTERACTIVE CORPORATION
|
|
|||||||||||||||||
|
Security
|
53071M856
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
LVNTA
|
Meeting Date
|
24-May-2017
|
|||||||||||||||
|
ISIN
|
US53071M8560
|
Agenda
|
934605859 - Management
|
|||||||||||||||
|
Record Date
|
03-Apr-2017
|
Holding Recon Date
|
03-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
23-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
EVAN D. MALONE
|
For
|
For
|
|||||||||||||||
|
2
|
DAVID E. RAPLEY
|
For
|
For
|
|||||||||||||||
|
3
|
LARRY E. ROMRELL
|
For
|
For
|
|||||||||||||||
|
2.
|
A PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP AS OUR INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31,2017
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
THE SAY-ON-PAY PROPOSAL, TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
THE SAY-ON-FREQUENCY PROPOSAL, TO APPROVE, ON AN ADVISORY BASIS, THE FREQUENCY AT WHICH STOCKHOLDERS ARE PROVIDED AN ADVISORY VOTE ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.
|
Management
|
3 Years
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLV
|
GLV
|
997GLV
|
STATE STREET BANK & TRUST CO
|
14,200
|
0
|
26-Apr-2017
|
25-May-2017
|
|||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
20,000
|
0
|
26-Apr-2017
|
25-May-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
5,937
|
0
|
26-Apr-2017
|
25-May-2017
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
100
|
50,900
|
26-Apr-2017
|
25-May-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
101
|
136,300
|
26-Apr-2017
|
25-May-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
384,525
|
0
|
26-Apr-2017
|
25-May-2017
|
|||||||||||
|
997AL60
|
GLV MS PLEDGE
|
997AL60
|
STATE STREET BANK & TRUST CO
|
35,343
|
0
|
26-Apr-2017
|
25-May-2017
|
|||||||||||
|
997AL61
|
GLQ MS PLEDGE
|
997AL61
|
STATE STREET BANK & TRUST CO
|
2,520
|
0
|
26-Apr-2017
|
25-May-2017
|
|||||||||||
|
ENVISION HEALTHCARE CORPORATION
|
|
|||||||||||||||||
|
Security
|
29414D100
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
EVHC
|
Meeting Date
|
25-May-2017
|
|||||||||||||||
|
ISIN
|
US29414D1000
|
Agenda
|
934582304 - Management
|
|||||||||||||||
|
Record Date
|
29-Mar-2017
|
Holding Recon Date
|
29-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
24-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
CAROL J. BURT
|
For
|
For
|
|||||||||||||||
|
2
|
CHRISTOPHER A. HOLDEN
|
For
|
For
|
|||||||||||||||
|
3
|
CYNTHIA S. MILLER
|
For
|
For
|
|||||||||||||||
|
4
|
RONALD A. WILLIAMS
|
For
|
For
|
|||||||||||||||
|
2.
|
APPROVAL, ON A NON-BINDING ADVISORY BASIS, OF ENVISION HEALTHCARE CORPORATION'S EXECUTIVE COMPENSATION.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
APPROVAL, ON A NON-BINDING ADVISORY BASIS, OF THE FREQUENCY OF FUTURE ADVISORY VOTES APPROVING ENVISION HEALTHCARE CORPORATION'S EXECUTIVE COMPENSATION.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
4.
|
RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS ENVISION HEALTHCARE CORPORATION'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
9,900
|
0
|
14-Apr-2017
|
26-May-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
23,900
|
0
|
14-Apr-2017
|
26-May-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
100
|
9,500
|
14-Apr-2017
|
26-May-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
100
|
18,500
|
14-Apr-2017
|
26-May-2017
|
|||||||||||
|
PENNYMAC MORTGAGE INVESTMENT TRUST
|
|
|||||||||||||||||
|
Security
|
70931T103
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
PMT
|
Meeting Date
|
25-May-2017
|
|||||||||||||||
|
ISIN
|
US70931T1034
|
Agenda
|
934583685 - Management
|
|||||||||||||||
|
Record Date
|
31-Mar-2017
|
Holding Recon Date
|
31-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
24-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
PRESTON DUFAUCHARD
|
For
|
For
|
|||||||||||||||
|
2
|
NANCY MCALLISTER
|
For
|
For
|
|||||||||||||||
|
3
|
STACEY D. STEWART
|
For
|
For
|
|||||||||||||||
|
2.
|
TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
TO APPROVE, BY NON-BINDING VOTE, OUR EXECUTIVE COMPENSATION.
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
TO RECOMMEND, BY NON-BINDING VOTE, THE FREQUENCY OF OUR EXECUTIVE COMPENSATION VOTE.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
10,314
|
79,400
|
15-Apr-2017
|
26-May-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
7,088
|
199,900
|
15-Apr-2017
|
26-May-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
114
|
373,900
|
15-Apr-2017
|
26-May-2017
|
|||||||||||
|
NXSTAGE MEDICAL, INC.
|
|
|||||||||||||||||
|
Security
|
67072V103
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
NXTM
|
Meeting Date
|
25-May-2017
|
|||||||||||||||
|
ISIN
|
US67072V1035
|
Agenda
|
934607473 - Management
|
|||||||||||||||
|
Record Date
|
27-Mar-2017
|
Holding Recon Date
|
27-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
24-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
JEFFREY H. BURBANK
|
For
|
For
|
|||||||||||||||
|
2
|
HEYWARD R. DONIGAN
|
For
|
For
|
|||||||||||||||
|
3
|
ROBERT G. FUNARI
|
For
|
For
|
|||||||||||||||
|
4
|
DANIEL A. GIANNINI
|
For
|
For
|
|||||||||||||||
|
5
|
EARL R. LEWIS
|
For
|
For
|
|||||||||||||||
|
6
|
JEAN K. MIXER
|
For
|
For
|
|||||||||||||||
|
7
|
CRAIG W. MOORE
|
For
|
For
|
|||||||||||||||
|
8
|
REID S. PERPER
|
For
|
For
|
|||||||||||||||
|
9
|
JAMES J. PETERS
|
For
|
For
|
|||||||||||||||
|
2.
|
ADVISORY VOTE ON OUR NAMED EXECUTIVE OFFICERS' COMPENSATION.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON OUR NAMED EXECUTIVE OFFICERS' COMPENSATION.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
4.
|
TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE 2017 FISCAL YEAR.
|
Management
|
For
|
For
|
||||||||||||||
|
5.
|
TO APPROVE BY-LAW AMENDMENT TO ADOPT MAJORITY VOTING STANDARD FOR UNCONTESTED DIRECTOR ELECTIONS.
|
Management
|
For
|
For
|
||||||||||||||
|
6.
|
TO APPROVE AMENDED AND RESTATED 2014 OMNIBUS INCENTIVE PLAN AND ITS MATERIAL TERMS FOR INTERNAL REVENUE CODE SECTION 162(M) PURPOSES.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
53,600
|
0
|
27-Apr-2017
|
26-May-2017
|
|||||||||||
|
RSP PERMIAN INC
|
|
|||||||||||||||||
|
Security
|
74978Q105
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
RSPP
|
Meeting Date
|
25-May-2017
|
|||||||||||||||
|
ISIN
|
US74978Q1058
|
Agenda
|
934611600 - Management
|
|||||||||||||||
|
Record Date
|
03-Apr-2017
|
Holding Recon Date
|
03-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
24-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
STEVEN GRAY
|
For
|
For
|
|||||||||||||||
|
2
|
MICHAEL GRIMM
|
For
|
For
|
|||||||||||||||
|
3
|
SCOTT MCNEILL
|
For
|
For
|
|||||||||||||||
|
2.
|
RATIFICATION OF THE APPOINTMENT OF GRANT THORNTON LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
APPROVAL, ON AN ADVISORY BASIS, OF THE COMPANY'S EXECUTIVE COMPENSATION.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
16,400
|
0
|
29-Apr-2017
|
26-May-2017
|
|||||||||||
|
TRI POINTE GROUP, INC.
|
|
|||||||||||||||||
|
Security
|
87265H109
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
TPH
|
Meeting Date
|
26-May-2017
|
|||||||||||||||
|
ISIN
|
US87265H1095
|
Agenda
|
934571591 - Management
|
|||||||||||||||
|
Record Date
|
28-Mar-2017
|
Holding Recon Date
|
28-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
25-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.1
|
ELECTION OF DIRECTOR: DOUGLAS F. BAUER
|
Management
|
For
|
For
|
||||||||||||||
|
1.2
|
ELECTION OF DIRECTOR: LAWRENCE B. BURROWS
|
Management
|
For
|
For
|
||||||||||||||
|
1.3
|
ELECTION OF DIRECTOR: DANIEL S. FULTON
|
Management
|
For
|
For
|
||||||||||||||
|
1.4
|
ELECTION OF DIRECTOR: STEVEN J. GILBERT
|
Management
|
For
|
For
|
||||||||||||||
|
1.5
|
ELECTION OF DIRECTOR: CONSTANCE B. MOORE
|
Management
|
For
|
For
|
||||||||||||||
|
1.6
|
ELECTION OF DIRECTOR: THOMAS B. ROGERS
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF TRI POINTE GROUP,INC.'S NAMED EXECUTIVE OFFICERS.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS TRI POINTE GROUP,INC.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
85,500
|
0
|
15-Apr-2017
|
15-Apr-2017
|
|||||||||||
|
CRISPR THERAPEUTICS AG
|
|
|||||||||||||||||
|
Security
|
H17182108
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
CRSP
|
Meeting Date
|
31-May-2017
|
|||||||||||||||
|
ISIN
|
CH0334081137
|
Agenda
|
934597812 - Management
|
|||||||||||||||
|
Record Date
|
03-Apr-2017
|
Holding Recon Date
|
03-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
Switzerland
|
Vote Deadline Date
|
30-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
THE APPROVAL OF THE ANNUAL REPORT, THE CONSOLIDATED FINANCIAL STATEMENTS AND THE STATUTORY FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR ENDED DECEMBER 31, 2016.
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
THE APPROVAL OF THE APPROPRIATION OF FINANCIAL RESULTS.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
THE DISCHARGE OF THE MEMBERS OF THE BOARD OF DIRECTORS AND EXECUTIVE COMMITTEE.
|
Management
|
For
|
For
|
||||||||||||||
|
4A.
|
RE-ELECTION OF MEMBER TO THE BOARD OF DIRECTOR: N. ANTHONY COLES, M.D., AS MEMBER AND CHAIRMAN.
|
Management
|
For
|
For
|
||||||||||||||
|
4B.
|
RE-ELECTION OF MEMBER TO THE BOARD OF DIRECTOR: RODGER NOVAK, M.D.
|
Management
|
For
|
For
|
||||||||||||||
|
4C.
|
RE-ELECTION OF MEMBER TO THE BOARD OF DIRECTOR: BRADLEY BOLZON, PH.D.
|
Management
|
For
|
For
|
||||||||||||||
|
4D.
|
RE-ELECTION OF MEMBER TO THE BOARD OF DIRECTOR: ALI BEHBAHANI, M.D.
|
Management
|
For
|
For
|
||||||||||||||
|
4E.
|
RE-ELECTION OF MEMBER TO THE BOARD OF DIRECTOR: KURT VON EMSTER.
|
Management
|
For
|
For
|
||||||||||||||
|
4F.
|
RE-ELECTION OF MEMBER TO THE BOARD OF DIRECTOR: SIMEON J. GEORGE, M.D.
|
Management
|
For
|
For
|
||||||||||||||
|
4G.
|
RE-ELECTION OF MEMBERS TO THE BOARD OF DIRECTOR: THOMAS WOIWODE, PH.D.
|
Management
|
For
|
For
|
||||||||||||||
|
4H.
|
RE-ELECTION OF MEMBER TO THE BOARD OF DIRECTOR: PABLO CAGNONI, M.D.
|
Management
|
For
|
For
|
||||||||||||||
|
5A.
|
RE-ELECTION OF MEMBER OF THE COMPENSATION COMMITTEE: THOMAS WOIWODE, PH.D.
|
Management
|
For
|
For
|
||||||||||||||
|
5B.
|
RE-ELECTION OF MEMBER OF THE COMPENSATION COMMITTEE: PABLO CAGNONI, M.D.
|
Management
|
For
|
For
|
||||||||||||||
|
5C.
|
RE-ELECTION OF MEMBER OF THE COMPENSATION COMMITTEE: N. ANTHONY COLES, M.D.
|
Management
|
For
|
For
|
||||||||||||||
|
5D.
|
RE-ELECTION OF MEMBER OF THE COMPENSATION COMMITTEE: SIMEON J. GEORGE, M.D.
|
Management
|
For
|
For
|
||||||||||||||
|
6A.
|
BINDING VOTE ON TOTAL NON-PERFORMANCE- RELATED COMPENSATION FOR MEMBERS OF THE BOARD OF DIRECTORS FROM THE 2017 ANNUAL GENERAL MEETING TO THE 2018 ANNUAL GENERAL MEETING OF SHAREHOLDERS.
|
Management
|
For
|
For
|
||||||||||||||
|
6B.
|
BINDING VOTE ON EQUITY FOR MEMBERS OF THE BOARD OF DIRECTORS FROM THE 2017 ANNUAL GENERAL MEETING TO THE 2018 ANNUAL GENERAL MEETING OF SHAREHOLDERS.
|
Management
|
For
|
For
|
||||||||||||||
|
6C.
|
BINDING VOTE ON TOTAL NON-PERFORMANCE- RELATED COMPENSATION FOR MEMBERS OF THE EXECUTIVE COMMITTEE FROM JULY 1, 2017 TO JUNE 30, 2018.
|
Management
|
For
|
For
|
||||||||||||||
|
6D.
|
BINDING VOTE ON TOTAL VARIABLE COMPENSATION FOR MEMBERS OF THE EXECUTIVE COMMITTEE FOR THE CURRENT YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
6E.
|
BINDING VOTE ON EQUITY FOR MEMBERS OF THE EXECUTIVE COMMITTEE FROM THE 2017 ANNUAL GENERAL MEETING TO THE 2018 ANNUAL GENERAL MEETING OF SHAREHOLDERS.
|
Management
|
For
|
For
|
||||||||||||||
|
7.
|
THE APPROVAL OF AN INCREASE IN THE CONDITIONAL SHARE CAPITAL FOR EMPLOYEE BENEFIT PLANS.
|
Management
|
For
|
For
|
||||||||||||||
|
8.
|
THE APPROVAL OF THE AMENDED AND RESTATED CRISPR THERAPEUTICS AG 2016 STOCK OPTION AND INCENTIVE PLAN.
|
Management
|
For
|
For
|
||||||||||||||
|
9.
|
THE RE-ELECTION OF THE INDEPENDENT VOTING RIGHTS REPRESENTATIVE.
|
Management
|
For
|
For
|
||||||||||||||
|
10.
|
THE RE-ELECTION OF THE AUDITORS.
|
Management
|
For
|
For
|
||||||||||||||
|
11.
|
THE APPROVAL OF THE CHANGE OF THE REGISTERED OFFICE.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
57,100
|
0
|
22-Apr-2017
|
01-Jun-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
145,900
|
0
|
22-Apr-2017
|
01-Jun-2017
|
|||||||||||
|
LOGMEIN, INC
|
|
|||||||||||||||||
|
Security
|
54142L109
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
LOGM
|
Meeting Date
|
01-Jun-2017
|
|||||||||||||||
|
ISIN
|
US54142L1098
|
Agenda
|
934582784 - Management
|
|||||||||||||||
|
Record Date
|
03-Apr-2017
|
Holding Recon Date
|
03-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
31-May-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.1
|
ELECTION OF CLASS II DIRECTOR: DAVID J. HENSHALL
|
Management
|
For
|
For
|
||||||||||||||
|
1.2
|
ELECTION OF CLASS II DIRECTOR: PETER J. SACRIPANTI
|
Management
|
For
|
For
|
||||||||||||||
|
1.3
|
ELECTION OF CLASS II DIRECTOR: WILLIAM R. WAGNER
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
RATIFICATION OF APPOINTMENT OF DELOITTE & TOUCHE LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
ADVISORY VOTE FOR THE APPROVAL OF THE COMPANY'S EXECUTIVE COMPENSATION.
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
ADVISORY VOTE ON THE FREQUENCY OF FUTURE EXECUTIVE COMPENSATION ADVISORY VOTES.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
18,300
|
0
|
14-Apr-2017
|
02-Jun-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
100
|
18,100
|
14-Apr-2017
|
02-Jun-2017
|
|||||||||||
|
PARSLEY ENERGY, INC.
|
|
|||||||||||||||||
|
Security
|
701877102
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
PE
|
Meeting Date
|
02-Jun-2017
|
|||||||||||||||
|
ISIN
|
US7018771029
|
Agenda
|
934591238 - Management
|
|||||||||||||||
|
Record Date
|
06-Apr-2017
|
Holding Recon Date
|
06-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
01-Jun-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
BRYAN SHEFFIELD
|
For
|
For
|
|||||||||||||||
|
2
|
A. R. ALAMEDDINE
|
For
|
For
|
|||||||||||||||
|
2.
|
TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
TO APPROVE, ON A NON-BINDING ADVISORY BASIS, THE COMPANY'S NAMED EXECUTIVE OFFICER COMPENSATION FOR THE FISCAL YEAR ENDED DECEMBER 31, 2016.
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
TO ADOPT AN AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED BYLAWS TO IMPLEMENT A MAJORITY VOTING STANDARD IN UNCONTESTED DIRECTOR ELECTIONS.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
22,900
|
0
|
19-Apr-2017
|
05-Jun-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
59,700
|
0
|
19-Apr-2017
|
05-Jun-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
400
|
20,100
|
19-Apr-2017
|
05-Jun-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
590
|
51,200
|
19-Apr-2017
|
05-Jun-2017
|
|||||||||||
|
COGNIZANT TECHNOLOGY SOLUTIONS CORP.
|
|
|||||||||||||||||
|
Security
|
192446102
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
CTSH
|
Meeting Date
|
06-Jun-2017
|
|||||||||||||||
|
ISIN
|
US1924461023
|
Agenda
|
934600265 - Management
|
|||||||||||||||
|
Record Date
|
10-Apr-2017
|
Holding Recon Date
|
10-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
05-Jun-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: ZEIN ABDALLA
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: BETSY S. ATKINS
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF DIRECTOR: MAUREEN BREAKIRON- EVANS
|
Management
|
For
|
For
|
||||||||||||||
|
1D.
|
ELECTION OF DIRECTOR: JONATHAN CHADWICK
|
Management
|
For
|
For
|
||||||||||||||
|
1E.
|
ELECTION OF DIRECTOR: JOHN M. DINEEN
|
Management
|
For
|
For
|
||||||||||||||
|
1F.
|
ELECTION OF DIRECTOR: FRANCISCO D'SOUZA
|
Management
|
For
|
For
|
||||||||||||||
|
1G.
|
ELECTION OF DIRECTOR: JOHN N. FOX, JR.
|
Management
|
For
|
For
|
||||||||||||||
|
1H.
|
ELECTION OF DIRECTOR: JOHN E. KLEIN
|
Management
|
For
|
For
|
||||||||||||||
|
1I.
|
ELECTION OF DIRECTOR: LEO S. MACKAY, JR.
|
Management
|
For
|
For
|
||||||||||||||
|
1J.
|
ELECTION OF DIRECTOR: MICHAEL PATSALOS-FOX
|
Management
|
For
|
For
|
||||||||||||||
|
1K.
|
ELECTION OF DIRECTOR: ROBERT E. WEISSMAN
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
APPROVAL, ON AN ADVISORY (NON-BINDING) BASIS, OF THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
APPROVAL, ON AN ADVISORY (NON-BINDING) BASIS, OF THE FREQUENCY OF FUTURE ADVISORY VOTES ON THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
4.
|
APPROVAL OF THE COMPANY'S 2017 INCENTIVE AWARD PLAN.
|
Management
|
For
|
For
|
||||||||||||||
|
5.
|
RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
6.
|
STOCKHOLDER PROPOSAL REQUESTING THAT THE BOARD OF DIRECTORS TAKE THE STEPS NECESSARY TO ELIMINATE THE SUPERMAJORITY VOTING PROVISIONS OF THE COMPANY'S CERTIFICATE OF INCORPORATION AND BY-LAWS.
|
Management
|
For
|
For
|
||||||||||||||
|
7.
|
STOCKHOLDER PROPOSAL REQUESTING THAT THE BOARD OF DIRECTORS TAKE THE STEPS NECESSARY TO PERMIT STOCKHOLDER ACTION BY WRITTEN CONSENT.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
23,500
|
0
|
21-Apr-2017
|
07-Jun-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
39,400
|
0
|
21-Apr-2017
|
07-Jun-2017
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
13,900
|
0
|
21-Apr-2017
|
07-Jun-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
100
|
76,600
|
21-Apr-2017
|
07-Jun-2017
|
|||||||||||
|
997AL60
|
GLV MS PLEDGE
|
997AL60
|
STATE STREET BANK & TRUST CO
|
5,000
|
0
|
21-Apr-2017
|
07-Jun-2017
|
|||||||||||
|
997AL61
|
GLQ MS PLEDGE
|
997AL61
|
STATE STREET BANK & TRUST CO
|
23,000
|
0
|
21-Apr-2017
|
07-Jun-2017
|
|||||||||||
|
LADDER CAPITAL CORP
|
|
|||||||||||||||||
|
Security
|
505743104
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
LADR
|
Meeting Date
|
06-Jun-2017
|
|||||||||||||||
|
ISIN
|
US5057431042
|
Agenda
|
934601560 - Management
|
|||||||||||||||
|
Record Date
|
10-Apr-2017
|
Holding Recon Date
|
10-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
05-Jun-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
BRIAN HARRIS
|
For
|
For
|
|||||||||||||||
|
2
|
MARK ALEXANDER
|
For
|
For
|
|||||||||||||||
|
2.
|
TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
107,000
|
0
|
25-Apr-2017
|
07-Jun-2017
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
102
|
55,416
|
25-Apr-2017
|
07-Jun-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
193
|
131,186
|
25-Apr-2017
|
07-Jun-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
230,242
|
0
|
25-Apr-2017
|
07-Jun-2017
|
|||||||||||
|
997AL61
|
GLQ MS PLEDGE
|
997AL61
|
STATE STREET BANK & TRUST CO
|
30,000
|
0
|
25-Apr-2017
|
07-Jun-2017
|
|||||||||||
|
BIOMARIN PHARMACEUTICAL INC.
|
|
|||||||||||||||||
|
Security
|
09061G101
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
BMRN
|
Meeting Date
|
06-Jun-2017
|
|||||||||||||||
|
ISIN
|
US09061G1013
|
Agenda
|
934601611 - Management
|
|||||||||||||||
|
Record Date
|
10-Apr-2017
|
Holding Recon Date
|
10-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
05-Jun-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
JEAN-JACQUES BIENAIME
|
For
|
For
|
|||||||||||||||
|
2
|
WILLARD DERE
|
For
|
For
|
|||||||||||||||
|
3
|
MICHAEL GREY
|
For
|
For
|
|||||||||||||||
|
4
|
ELAINE J. HERON
|
For
|
For
|
|||||||||||||||
|
5
|
V. BRYAN LAWLIS
|
For
|
For
|
|||||||||||||||
|
6
|
ALAN J. LEWIS
|
For
|
For
|
|||||||||||||||
|
7
|
RICHARD A. MEIER
|
For
|
For
|
|||||||||||||||
|
8
|
DAVID PYOTT
|
For
|
For
|
|||||||||||||||
|
9
|
DENNIS J. SLAMON
|
For
|
For
|
|||||||||||||||
|
2.
|
TO RATIFY THE SELECTION OF KPMG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR BIOMARIN FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
TO APPROVE, ON AN ADVISORY BASIS, THE FREQUENCY OF THE STOCKHOLDERS' APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS AS DISCLOSED IN THE PROXY STATEMENT.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
4.
|
TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS AS DISCLOSED IN THE PROXY STATEMENT.
|
Management
|
For
|
For
|
||||||||||||||
|
5.
|
TO APPROVE THE 2017 EQUITY INCENTIVE PLAN.
|
Management
|
For
|
For
|
||||||||||||||
|
6.
|
TO APPROVE AMENDMENTS TO BIOMARIN'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION, AS AMENDED, TO (I) INCREASE THE TOTAL NUMBER OF AUTHORIZED SHARES OF COMMON STOCK FROM 250,000,000 SHARES TO 500,000,000 SHARES, AND (II) MAKE CERTAIN MINOR ADMINISTRATIVE CHANGES.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
10,700
|
0
|
26-Apr-2017
|
07-Jun-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
15,500
|
0
|
26-Apr-2017
|
07-Jun-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
100
|
7,400
|
26-Apr-2017
|
07-Jun-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
100
|
11,800
|
26-Apr-2017
|
07-Jun-2017
|
|||||||||||
|
997AL61
|
GLQ MS PLEDGE
|
997AL61
|
STATE STREET BANK & TRUST CO
|
4,100
|
0
|
26-Apr-2017
|
07-Jun-2017
|
|||||||||||
|
SALESFORCE.COM, INC.
|
|
|||||||||||||||||
|
Security
|
79466L302
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
CRM
|
Meeting Date
|
06-Jun-2017
|
|||||||||||||||
|
ISIN
|
US79466L3024
|
Agenda
|
934606178 - Management
|
|||||||||||||||
|
Record Date
|
12-Apr-2017
|
Holding Recon Date
|
12-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
05-Jun-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: MARC BENIOFF
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: KEITH BLOCK
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF DIRECTOR: CRAIG CONWAY
|
Management
|
For
|
For
|
||||||||||||||
|
1D.
|
ELECTION OF DIRECTOR: ALAN HASSENFELD
|
Management
|
For
|
For
|
||||||||||||||
|
1E.
|
ELECTION OF DIRECTOR: NEELIE KROES
|
Management
|
For
|
For
|
||||||||||||||
|
1F.
|
ELECTION OF DIRECTOR: COLIN POWELL
|
Management
|
For
|
For
|
||||||||||||||
|
1G.
|
ELECTION OF DIRECTOR: SANFORD ROBERTSON
|
Management
|
For
|
For
|
||||||||||||||
|
1H.
|
ELECTION OF DIRECTOR: JOHN V. ROOS
|
Management
|
For
|
For
|
||||||||||||||
|
1I.
|
ELECTION OF DIRECTOR: ROBIN WASHINGTON
|
Management
|
For
|
For
|
||||||||||||||
|
1J.
|
ELECTION OF DIRECTOR: MAYNARD WEBB
|
Management
|
For
|
For
|
||||||||||||||
|
1K.
|
ELECTION OF DIRECTOR: SUSAN WOJCICKI
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
APPROVAL TO AMEND OUR 2013 EQUITY INCENTIVE PLAN, INCLUDING TO INCREASE THE NUMBER OF SHARES AUTHORIZED FOR GRANT BY 37 MILLION SHARES.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
APPROVAL TO AMEND OUR 2004 EMPLOYEE STOCK PURCHASE PLAN TO INCREASE THE NUMBER OF SHARES AUTHORIZED FOR EMPLOYEE PURCHASE BY 8 MILLION SHARES.
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING JANUARY 31, 2018.
|
Management
|
For
|
For
|
||||||||||||||
|
5.
|
TO APPROVE, ON AN ADVISORY BASIS, THE FISCAL 2017 COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.
|
Management
|
For
|
For
|
||||||||||||||
|
6.
|
TO RECOMMEND, BY NON-BINDING VOTE, THE FREQUENCY OF EXECUTIVE COMPENSATION VOTES.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
7.
|
A STOCKHOLDER PROPOSAL REQUESTING, ON AN ADVISORY BASIS, ACTION TO ALLOW STOCKHOLDERS TO REQUEST SPECIAL MEETINGS OF STOCKHOLDERS.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
15,100
|
0
|
27-Apr-2017
|
07-Jun-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
28,400
|
0
|
27-Apr-2017
|
07-Jun-2017
|
|||||||||||
|
997AL53
|
GLO MS PLEDGE
|
997AL53
|
STATE STREET BANK & TRUST CO
|
10,000
|
0
|
27-Apr-2017
|
07-Jun-2017
|
|||||||||||
|
IMAX CORPORATION
|
|
|||||||||||||||||
|
Security
|
45245E109
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
IMAX
|
Meeting Date
|
06-Jun-2017
|
|||||||||||||||
|
ISIN
|
CA45245E1097
|
Agenda
|
934607891 - Management
|
|||||||||||||||
|
Record Date
|
11-Apr-2017
|
Holding Recon Date
|
11-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
Canada
|
Vote Deadline Date
|
01-Jun-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
01
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
NEIL S. BRAUN
|
For
|
For
|
|||||||||||||||
|
2
|
ERIC A. DEMIRIAN
|
For
|
For
|
|||||||||||||||
|
3
|
KEVIN DOUGLAS
|
For
|
For
|
|||||||||||||||
|
4
|
GREG FOSTER
|
For
|
For
|
|||||||||||||||
|
5
|
RICHARD L. GELFOND
|
For
|
For
|
|||||||||||||||
|
6
|
DAVID W. LEEBRON
|
For
|
For
|
|||||||||||||||
|
7
|
MICHAEL LYNNE
|
For
|
For
|
|||||||||||||||
|
8
|
MICHAEL MACMILLAN
|
For
|
For
|
|||||||||||||||
|
9
|
DANA SETTLE
|
For
|
For
|
|||||||||||||||
|
10
|
DARREN THROOP
|
For
|
For
|
|||||||||||||||
|
11
|
BRADLEY J. WECHSLER
|
For
|
For
|
|||||||||||||||
|
02
|
IN RESPECT OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS AUDITORS OF THE COMPANY AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. NOTE: VOTING WITHHOLD IS THE EQUIVALENT TO VOTING ABSTAIN.
|
Management
|
For
|
For
|
||||||||||||||
|
03
|
ADVISORY RESOLUTION TO APPROVE THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS AS SET FORTH IN THE ACCOMPANYING PROXY CIRCULAR. NOTE: VOTING ABSTAIN IS THE EQUIVALENT TO VOTING WITHHOLD.
|
Management
|
For
|
For
|
||||||||||||||
|
04
|
ADVISORY RESOLUTION ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION. NOTE: VOTING ABSTAIN IS THE EQUIVALENT TO VOTING WITHHOLD.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
6,200
|
0
|
28-Apr-2017
|
07-Jun-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
95
|
114,200
|
28-Apr-2017
|
07-Jun-2017
|
|||||||||||
|
BIOGEN INC.
|
|
|||||||||||||||||
|
Security
|
09062X103
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
BIIB
|
Meeting Date
|
07-Jun-2017
|
|||||||||||||||
|
ISIN
|
US09062X1037
|
Agenda
|
934600568 - Management
|
|||||||||||||||
|
Record Date
|
10-Apr-2017
|
Holding Recon Date
|
10-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
06-Jun-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1A.
|
ELECTION OF DIRECTOR: ALEXANDER J. DENNER
|
Management
|
For
|
For
|
||||||||||||||
|
1B.
|
ELECTION OF DIRECTOR: CAROLINE D. DORSA
|
Management
|
For
|
For
|
||||||||||||||
|
1C.
|
ELECTION OF DIRECTOR: NANCY L. LEAMING
|
Management
|
For
|
For
|
||||||||||||||
|
1D.
|
ELECTION OF DIRECTOR: RICHARD C. MULLIGAN
|
Management
|
For
|
For
|
||||||||||||||
|
1E.
|
ELECTION OF DIRECTOR: ROBERT W. PANGIA
|
Management
|
For
|
For
|
||||||||||||||
|
1F.
|
ELECTION OF DIRECTOR: STELIOS PAPADOPOULOS
|
Management
|
For
|
For
|
||||||||||||||
|
1G.
|
ELECTION OF DIRECTOR: BRIAN S. POSNER
|
Management
|
For
|
For
|
||||||||||||||
|
1H.
|
ELECTION OF DIRECTOR: ERIC K. ROWINSKY
|
Management
|
For
|
For
|
||||||||||||||
|
1I.
|
ELECTION OF DIRECTOR: LYNN SCHENK
|
Management
|
For
|
For
|
||||||||||||||
|
1J.
|
ELECTION OF DIRECTOR: STEPHEN A. SHERWIN
|
Management
|
For
|
For
|
||||||||||||||
|
1K.
|
ELECTION OF DIRECTOR: MICHEL VOUNATSOS
|
Management
|
For
|
For
|
||||||||||||||
|
2.
|
TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS BIOGEN INC.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
SAY ON PAY - TO APPROVE AN ADVISORY VOTE ON EXECUTIVE COMPENSATION.
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
SAY WHEN ON PAY - TO APPROVE AN ADVISORY VOTE ON THE FREQUENCY OF THE ADVISORY VOTE ON EXECUTIVE COMPENSATION.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
5.
|
TO APPROVE THE BIOGEN INC. 2017 OMNIBUS EQUITY PLAN.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
240
|
1,500
|
27-Apr-2017
|
08-Jun-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
190
|
11,600
|
27-Apr-2017
|
08-Jun-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
570
|
17,200
|
27-Apr-2017
|
08-Jun-2017
|
|||||||||||
|
997AL61
|
GLQ MS PLEDGE
|
997AL61
|
STATE STREET BANK & TRUST CO
|
2,000
|
0
|
27-Apr-2017
|
08-Jun-2017
|
|||||||||||
|
ALPHABET INC
|
|
|||||||||||||||||
|
Security
|
02079K305
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
GOOGL
|
Meeting Date
|
07-Jun-2017
|
|||||||||||||||
|
ISIN
|
US02079K3059
|
Agenda
|
934604946 - Management
|
|||||||||||||||
|
Record Date
|
19-Apr-2017
|
Holding Recon Date
|
19-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
06-Jun-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
LARRY PAGE
|
For
|
For
|
|||||||||||||||
|
2
|
SERGEY BRIN
|
For
|
For
|
|||||||||||||||
|
3
|
ERIC E. SCHMIDT
|
For
|
For
|
|||||||||||||||
|
4
|
L. JOHN DOERR
|
For
|
For
|
|||||||||||||||
|
5
|
ROGER W. FERGUSON, JR.
|
For
|
For
|
|||||||||||||||
|
6
|
DIANE B. GREENE
|
For
|
For
|
|||||||||||||||
|
7
|
JOHN L. HENNESSY
|
For
|
For
|
|||||||||||||||
|
8
|
ANN MATHER
|
For
|
For
|
|||||||||||||||
|
9
|
ALAN R. MULALLY
|
For
|
For
|
|||||||||||||||
|
10
|
PAUL S. OTELLINI
|
For
|
For
|
|||||||||||||||
|
11
|
K. RAM SHRIRAM
|
For
|
For
|
|||||||||||||||
|
12
|
SHIRLEY M. TILGHMAN
|
For
|
For
|
|||||||||||||||
|
2.
|
THE RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS ALPHABET'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
THE APPROVAL OF AN AMENDMENT TO ALPHABET'S 2012 STOCK PLAN TO INCREASE THE SHARE RESERVE BY 15,000,000 SHARES OF CLASS C CAPITAL STOCK.
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
THE APPROVAL OF THE 2016 COMPENSATION AWARDED TO NAMED EXECUTIVE OFFICERS.
|
Management
|
For
|
For
|
||||||||||||||
|
5.
|
THE FREQUENCY OF FUTURE STOCKHOLDER ADVISORY VOTES REGARDING COMPENSATION AWARDED TO NAMED EXECUTIVE OFFICERS.
|
Management
|
3 Years
|
For
|
||||||||||||||
|
6.
|
A STOCKHOLDER PROPOSAL REGARDING EQUAL SHAREHOLDER VOTING, IF PROPERLY PRESENTED AT THE MEETING.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
7.
|
A STOCKHOLDER PROPOSAL REGARDING A LOBBYING REPORT, IF PROPERLY PRESENTED AT THE MEETING.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
8.
|
A STOCKHOLDER PROPOSAL REGARDING A POLITICAL CONTRIBUTIONS REPORT, IF PROPERLY PRESENTED AT THE MEETING.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
9.
|
A STOCKHOLDER PROPOSAL REGARDING A REPORT ON GENDER PAY, IF PROPERLY PRESENTED AT THE MEETING.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
10.
|
A STOCKHOLDER PROPOSAL REGARDING A CHARITABLE CONTRIBUTIONS REPORT, IF PROPERLY PRESENTED AT THE MEETING.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
11.
|
A STOCKHOLDER PROPOSAL REGARDING THE IMPLEMENTATION OF "HOLY LAND PRINCIPLES," IF PROPERLY PRESENTED AT THE MEETING.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
12.
|
A STOCKHOLDER PROPOSAL REGARDING A REPORT ON "FAKE NEWS," IF PROPERLY PRESENTED AT THE MEETING.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
2,000
|
0
|
29-Apr-2017
|
08-Jun-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
883
|
0
|
29-Apr-2017
|
08-Jun-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
167
|
8,500
|
29-Apr-2017
|
08-Jun-2017
|
|||||||||||
|
997AL61
|
GLQ MS PLEDGE
|
997AL61
|
STATE STREET BANK & TRUST CO
|
500
|
0
|
29-Apr-2017
|
08-Jun-2017
|
|||||||||||
|
ARES COMMERCIAL REAL ESTATE CORP
|
|
|||||||||||||||||
|
Security
|
04013V108
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
ACRE
|
Meeting Date
|
07-Jun-2017
|
|||||||||||||||
|
ISIN
|
US04013V1089
|
Agenda
|
934606015 - Management
|
|||||||||||||||
|
Record Date
|
12-Apr-2017
|
Holding Recon Date
|
12-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
06-Jun-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
CAROLINE E. BLAKELY
|
For
|
For
|
|||||||||||||||
|
2
|
ROBERT L. ROSEN
|
For
|
For
|
|||||||||||||||
|
2.
|
TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLV
|
GLV
|
997GLV
|
STATE STREET BANK & TRUST CO
|
17,900
|
0
|
28-Apr-2017
|
08-Jun-2017
|
|||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
75,153
|
0
|
28-Apr-2017
|
08-Jun-2017
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
100
|
52,300
|
28-Apr-2017
|
08-Jun-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
203,747
|
0
|
28-Apr-2017
|
08-Jun-2017
|
|||||||||||
|
CREDIT ACCEPTANCE CORPORATION
|
|
|||||||||||||||||
|
Security
|
225310101
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
CACC
|
Meeting Date
|
07-Jun-2017
|
|||||||||||||||
|
ISIN
|
US2253101016
|
Agenda
|
934606142 - Management
|
|||||||||||||||
|
Record Date
|
13-Apr-2017
|
Holding Recon Date
|
13-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
06-Jun-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
GLENDA J. FLANAGAN
|
For
|
For
|
|||||||||||||||
|
2
|
BRETT A. ROBERTS
|
For
|
For
|
|||||||||||||||
|
3
|
THOMAS N. TRYFOROS
|
For
|
For
|
|||||||||||||||
|
4
|
SCOTT J. VASSALLUZZO
|
For
|
For
|
|||||||||||||||
|
2.
|
ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
4.
|
RATIFICATION OF THE SELECTION OF GRANT THORNTON LLP AS CREDIT ACCEPTANCE CORPORATION'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
8,800
|
0
|
28-Apr-2017
|
08-Jun-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
15,000
|
0
|
28-Apr-2017
|
08-Jun-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
162
|
9,900
|
28-Apr-2017
|
08-Jun-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
100
|
25,562
|
28-Apr-2017
|
08-Jun-2017
|
|||||||||||
|
997AL53
|
GLO MS PLEDGE
|
997AL53
|
STATE STREET BANK & TRUST CO
|
6,950
|
0
|
28-Apr-2017
|
08-Jun-2017
|
|||||||||||
|
ADURO BIOTECH INC
|
|
|||||||||||||||||
|
Security
|
00739L101
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
ADRO
|
Meeting Date
|
08-Jun-2017
|
|||||||||||||||
|
ISIN
|
US00739L1017
|
Agenda
|
934604112 - Management
|
|||||||||||||||
|
Record Date
|
19-Apr-2017
|
Holding Recon Date
|
19-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
07-Jun-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
ROSS HAGHIGHAT
|
For
|
For
|
|||||||||||||||
|
2
|
FRANK MCCORMICK, PH.D.
|
For
|
For
|
|||||||||||||||
|
2.
|
TO RATIFY THE SELECTION BY THE AUDIT COMMITTEE OF OUR BOARD OF DIRECTORS OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR OUR FISCAL YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
4,400
|
0
|
25-Apr-2017
|
09-Jun-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
100
|
77,500
|
25-Apr-2017
|
09-Jun-2017
|
|||||||||||
|
VERTEX PHARMACEUTICALS INCORPORATED
|
|
|||||||||||||||||
|
Security
|
92532F100
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
VRTX
|
Meeting Date
|
08-Jun-2017
|
|||||||||||||||
|
ISIN
|
US92532F1003
|
Agenda
|
934615278 - Management
|
|||||||||||||||
|
Record Date
|
12-Apr-2017
|
Holding Recon Date
|
12-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
07-Jun-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
ALAN GARBER
|
For
|
For
|
|||||||||||||||
|
2
|
MARGARET G. MCGLYNN
|
For
|
For
|
|||||||||||||||
|
3
|
WILLIAM D. YOUNG
|
For
|
For
|
|||||||||||||||
|
2.
|
AMENDMENTS TO OUR CHARTER AND BY-LAWS TO PROVIDE FOR THE DECLASSIFICATION OF OUR BOARD OF DIRECTORS.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
AMENDMENT AND RESTATEMENT OF OUR 2013 STOCK AND OPTION PLAN, TO AMONG OTHER THINGS, INCREASE THE NUMBER OF SHARES AVAILABLE UNDER THE PLAN BY 6.75 MILLION SHARES.
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
5.
|
ADVISORY VOTE ON OUR NAMED EXECUTIVE OFFICER COMPENSATION.
|
Management
|
For
|
For
|
||||||||||||||
|
6.
|
ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION PROGRAM.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
7.
|
SHAREHOLDER PROPOSAL, IF PROPERLY PRESENTED AT THE MEETING, REQUESTING THAT WE TAKE STEPS NECESSARY TO ELIMINATE SUPERMAJORITY PROVISIONS FROM OUR CHARTER AND BY-LAWS.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
8.
|
SHAREHOLDER PROPOSAL, IF PROPERLY PRESENTED AT THE MEETING, REQUESTING THAT WE PREPARE A REPORT ON OUR POLICIES AND ACTIVITIES WITH RESPECT TO LOBBYING.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
10,300
|
0
|
03-May-2017
|
09-Jun-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
25,800
|
0
|
03-May-2017
|
09-Jun-2017
|
|||||||||||
|
AMS AG, UNTERPREMSTAETTEN
|
|
|||||||||||||||||
|
Security
|
A0400Q115
|
Meeting Type
|
Ordinary General Meeting
|
|||||||||||||||
|
Ticker Symbol
|
Meeting Date
|
09-Jun-2017
|
||||||||||||||||
|
ISIN
|
AT0000A18XM4
|
Agenda
|
708173808 - Management
|
|||||||||||||||
|
Record Date
|
30-May-2017
|
Holding Recon Date
|
30-May-2017
|
|||||||||||||||
|
City /
|
Country
|
PREMST AETTEN
|
/
|
Austria
|
Vote Deadline Date
|
24-May-2017
|
||||||||||||
|
SEDOL(s)
|
BPF0537 - BPF0548 - BPFJ772 - BPH3KB7
|
Quick Code
|
||||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1
|
PRESENTATION OF ANNUAL REPORTS
|
Non-Voting
|
||||||||||||||||
|
2
|
ALLOCATION OF NET PROFITS: DIVIDENDS OF EUR 0.30
|
Management
|
For
|
For
|
||||||||||||||
|
3
|
DISCHARGE OF MANAGEMENT BOARD
|
Management
|
For
|
For
|
||||||||||||||
|
4
|
DISCHARGE OF SUPERVISORY BOARD
|
Management
|
For
|
For
|
||||||||||||||
|
5
|
REMUNERATION FOR SUPERVISORY BOARD
|
Management
|
For
|
For
|
||||||||||||||
|
6
|
ELECTION OF EXTERNAL AUDITOR: KPMG
|
Management
|
For
|
For
|
||||||||||||||
|
7
|
CANCELLATION OF AUTHORIZED CAPITAL AND AMENDMENT OF ARTICLES
|
Management
|
For
|
For
|
||||||||||||||
|
8
|
NEW AUTHORIZED CAPITAL AND AMENDMENT OF ARTICLES
|
Management
|
For
|
For
|
||||||||||||||
|
9
|
AUTHORIZATION FOR ISSUANCE OF FINANCIAL INSTRUMENTS
|
Management
|
For
|
For
|
||||||||||||||
|
10
|
CONDITIONAL CAPITAL INCREASE
|
Management
|
For
|
For
|
||||||||||||||
|
11
|
BUYBACK AND USAGE OF OWN SHS
|
Management
|
For
|
For
|
||||||||||||||
|
12
|
REPORT ON OWN SHARES
|
Non-Voting
|
||||||||||||||||
|
CMMT
|
22 MAY 2017: PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF DIVIDEND-AMOUNT AND 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.
|
Non-Voting
|
||||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
GLQ
|
GLQ
|
STATE STREET BANK
|
25,029
|
0
|
11-May-2017
|
02-Jun-2017
|
||||||||||||
|
KURA ONCOLOGY, INC.
|
|
|||||||||||||||||
|
Security
|
50127T109
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
KURA
|
Meeting Date
|
09-Jun-2017
|
|||||||||||||||
|
ISIN
|
US50127T1097
|
Agenda
|
934606419 - Management
|
|||||||||||||||
|
Record Date
|
11-Apr-2017
|
Holding Recon Date
|
11-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
08-Jun-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
TROY E. WILSON, PHD, JD
|
For
|
For
|
|||||||||||||||
|
2
|
FAHEEM HASNAIN
|
For
|
For
|
|||||||||||||||
|
3
|
ROBERT E. HOFFMAN
|
For
|
For
|
|||||||||||||||
|
4
|
THOMAS MALLEY
|
For
|
For
|
|||||||||||||||
|
5
|
STEVEN H. STEIN, M.D.
|
For
|
For
|
|||||||||||||||
|
2.
|
TO RATIFY SELECTION OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR OUR FISCAL YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
TO APPROVE AN AMENDMENT TO OUR AMENDED AND RESTATED CERTIFICATE OF INCORPORATION, AS AMENDED, AS SET FORTH IN THE PROXY STATEMENT.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
51,636
|
0
|
26-Apr-2017
|
12-Jun-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
100
|
21,000
|
26-Apr-2017
|
12-Jun-2017
|
|||||||||||
|
T-MOBILE US, INC.
|
|
|||||||||||||||||
|
Security
|
872590104
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
TMUS
|
Meeting Date
|
13-Jun-2017
|
|||||||||||||||
|
ISIN
|
US8725901040
|
Agenda
|
934605936 - Management
|
|||||||||||||||
|
Record Date
|
17-Apr-2017
|
Holding Recon Date
|
17-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
12-Jun-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
W. MICHAEL BARNES
|
For
|
For
|
|||||||||||||||
|
2
|
THOMAS DANNENFELDT
|
For
|
For
|
|||||||||||||||
|
3
|
SRIKANT M. DATAR
|
For
|
For
|
|||||||||||||||
|
4
|
LAWRENCE H. GUFFEY
|
For
|
For
|
|||||||||||||||
|
5
|
TIMOTHEUS HOTTGES
|
For
|
For
|
|||||||||||||||
|
6
|
BRUNO JACOBFEUERBORN
|
For
|
For
|
|||||||||||||||
|
7
|
RAPHAEL KUBLER
|
For
|
For
|
|||||||||||||||
|
8
|
THORSTEN LANGHEIM
|
For
|
For
|
|||||||||||||||
|
9
|
JOHN J. LEGERE
|
For
|
For
|
|||||||||||||||
|
10
|
TERESA A. TAYLOR
|
For
|
For
|
|||||||||||||||
|
11
|
KELVIN R. WESTBROOK
|
For
|
For
|
|||||||||||||||
|
2.
|
RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
ADVISORY VOTE TO APPROVE THE COMPENSATION PROVIDED TO THE COMPANY'S NAMED EXECUTIVE OFFICERS FOR 2016.
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON THE COMPENSATION PROVIDED TO THE COMPANY'S NAMED EXECUTIVE OFFICERS.
|
Management
|
3 Years
|
For
|
||||||||||||||
|
5.
|
STOCKHOLDER PROPOSAL FOR IMPLEMENTATION OF PROXY ACCESS.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
6.
|
STOCKHOLDER PROPOSAL FOR LIMITATIONS ON ACCELERATED VESTING OF EQUITY AWARDS IN THE EVENT OF A CHANGE OF CONTROL.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
7.
|
STOCKHOLDER PROPOSAL FOR AN AMENDMENT OF THE COMPANY'S CLAWBACK POLICY.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLV
|
GLV
|
997GLV
|
STATE STREET BANK & TRUST CO
|
6,300
|
0
|
28-Apr-2017
|
14-Jun-2017
|
|||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
15,700
|
0
|
28-Apr-2017
|
14-Jun-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
19,500
|
0
|
28-Apr-2017
|
14-Jun-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
100
|
77,800
|
28-Apr-2017
|
14-Jun-2017
|
|||||||||||
|
997AL61
|
GLQ MS PLEDGE
|
997AL61
|
STATE STREET BANK & TRUST CO
|
10,000
|
0
|
28-Apr-2017
|
14-Jun-2017
|
|||||||||||
|
DERMIRA, INC.
|
|
|||||||||||||||||
|
Security
|
24983L104
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
DERM
|
Meeting Date
|
13-Jun-2017
|
|||||||||||||||
|
ISIN
|
US24983L1044
|
Agenda
|
934615646 - Management
|
|||||||||||||||
|
Record Date
|
19-Apr-2017
|
Holding Recon Date
|
19-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
12-Jun-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
MARK D. MCDADE
|
For
|
For
|
|||||||||||||||
|
2
|
JAKE R. NUNN
|
For
|
For
|
|||||||||||||||
|
3
|
THOMAS G. WIGGANS
|
For
|
For
|
|||||||||||||||
|
2.
|
APPROVE, ON A NON-BINDING ADVISORY BASIS, THE COMPENSATION PAID BY US TO OUR NAMED EXECUTIVE OFFICERS FOR THE YEAR ENDED DECEMBER 31, 2016.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
VOTE, ON A NON-BINDING ADVISORY BASIS, ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
4.
|
RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
17,100
|
0
|
03-May-2017
|
14-Jun-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
100
|
6,800
|
03-May-2017
|
14-Jun-2017
|
|||||||||||
|
CELGENE CORPORATION
|
|
|||||||||||||||||
|
Security
|
151020104
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
CELG
|
Meeting Date
|
14-Jun-2017
|
|||||||||||||||
|
ISIN
|
US1510201049
|
Agenda
|
934609023 - Management
|
|||||||||||||||
|
Record Date
|
20-Apr-2017
|
Holding Recon Date
|
20-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
13-Jun-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
ROBERT J. HUGIN
|
For
|
For
|
|||||||||||||||
|
2
|
MARK J. ALLES
|
For
|
For
|
|||||||||||||||
|
3
|
RICHARD W BARKER D PHIL
|
For
|
For
|
|||||||||||||||
|
4
|
MICHAEL W. BONNEY
|
For
|
For
|
|||||||||||||||
|
5
|
MICHAEL D. CASEY
|
For
|
For
|
|||||||||||||||
|
6
|
CARRIE S. COX
|
For
|
For
|
|||||||||||||||
|
7
|
MICHAEL A. FRIEDMAN, MD
|
For
|
For
|
|||||||||||||||
|
8
|
JULIA A. HALLER, M.D.
|
For
|
For
|
|||||||||||||||
|
9
|
GILLA S. KAPLAN, PH.D.
|
For
|
For
|
|||||||||||||||
|
10
|
JAMES J. LOUGHLIN
|
For
|
For
|
|||||||||||||||
|
11
|
ERNEST MARIO, PH.D.
|
For
|
For
|
|||||||||||||||
|
2.
|
RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
APPROVAL OF AN AMENDMENT AND RESTATEMENT OF THE COMPANY'S STOCK INCENTIVE PLAN.
|
Management
|
For
|
For
|
||||||||||||||
|
4.
|
APPROVAL, BY NON-BINDING VOTE, OF EXECUTIVE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS.
|
Management
|
For
|
For
|
||||||||||||||
|
5.
|
TO RECOMMEND, BY NON-BINDING VOTE, THE FREQUENCY OF EXECUTIVE COMPENSATION VOTES.
|
Management
|
3 Years
|
Against
|
||||||||||||||
|
6.
|
STOCKHOLDER PROPOSAL TO REQUEST A BY-LAW PROVISION LIMITING MANAGEMENT'S ACCESS TO VOTE TALLIES PRIOR TO THE ANNUAL MEETING WITH RESPECT TO CERTAIN EXECUTIVE PAY MATTERS, DESCRIBED IN MORE DETAIL IN THE PROXY STATEMENT.
|
Shareholder
|
Against
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
14,900
|
0
|
28-Apr-2017
|
15-Jun-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
17,200
|
0
|
28-Apr-2017
|
15-Jun-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
100
|
19,900
|
28-Apr-2017
|
15-Jun-2017
|
|||||||||||
|
SONY CORPORATION
|
|
|||||||||||||||||
|
Security
|
J76379106
|
Meeting Type
|
Annual General Meeting
|
|||||||||||||||
|
Ticker Symbol
|
Meeting Date
|
15-Jun-2017
|
||||||||||||||||
|
ISIN
|
JP3435000009
|
Agenda
|
708212484 - Management
|
|||||||||||||||
|
Record Date
|
31-Mar-2017
|
Holding Recon Date
|
31-Mar-2017
|
|||||||||||||||
|
City /
|
Country
|
TOKYO
|
/
|
Japan
|
Vote Deadline Date
|
07-Jun-2017
|
||||||||||||
|
SEDOL(s)
|
0821687 - 4823203 - 5485602 - 6821506 - B01DR28 - B0K3NH6 - B0ZMMV5
|
Quick Code
|
67580
|
|||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
Please reference meeting materials.
|
Non-Voting
|
|||||||||||||||||
|
1.1
|
Appoint a Director Hirai, Kazuo
|
Management
|
For
|
For
|
||||||||||||||
|
1.2
|
Appoint a Director Yoshida, Kenichiro
|
Management
|
For
|
For
|
||||||||||||||
|
1.3
|
Appoint a Director Nagayama, Osamu
|
Management
|
For
|
For
|
||||||||||||||
|
1.4
|
Appoint a Director Nimura, Takaaki
|
Management
|
For
|
For
|
||||||||||||||
|
1.5
|
Appoint a Director Harada, Eiko
|
Management
|
For
|
For
|
||||||||||||||
|
1.6
|
Appoint a Director Tim Schaaff
|
Management
|
For
|
For
|
||||||||||||||
|
1.7
|
Appoint a Director Matsunaga, Kazuo
|
Management
|
For
|
For
|
||||||||||||||
|
1.8
|
Appoint a Director Miyata, Koichi
|
Management
|
For
|
For
|
||||||||||||||
|
1.9
|
Appoint a Director John V. Roos
|
Management
|
For
|
For
|
||||||||||||||
|
1.10
|
Appoint a Director Sakurai, Eriko
|
Management
|
For
|
For
|
||||||||||||||
|
1.11
|
Appoint a Director Minakawa, Kunihito
|
Management
|
For
|
For
|
||||||||||||||
|
1.12
|
Appoint a Director Sumi, Shuzo
|
Management
|
For
|
For
|
||||||||||||||
|
2
|
Approve Issuance of Share Acquisition Rights as Stock Options for Executive Officers and Employees of the Company and Directors and Employees of the Company's Subsidiaries
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
GLV
|
GLV
|
STATE STREET BANK
|
27,700
|
0
|
22-May-2017
|
14-Jun-2017
|
||||||||||||
|
GLQ
|
GLQ
|
STATE STREET BANK
|
44,600
|
0
|
22-May-2017
|
14-Jun-2017
|
||||||||||||
|
GLO
|
GLO
|
STATE STREET BANK
|
113,000
|
0
|
22-May-2017
|
14-Jun-2017
|
||||||||||||
|
EDITAS MEDICINE INC
|
|
|||||||||||||||||
|
Security
|
28106W103
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
EDIT
|
Meeting Date
|
15-Jun-2017
|
|||||||||||||||
|
ISIN
|
US28106W1036
|
Agenda
|
934602598 - Management
|
|||||||||||||||
|
Record Date
|
18-Apr-2017
|
Holding Recon Date
|
18-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
14-Jun-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
ALEXIS BORISY
|
For
|
For
|
|||||||||||||||
|
2
|
DOUGLAS G. COLE, M.D.
|
For
|
For
|
|||||||||||||||
|
3
|
A.K. VAISHNAW MD PHD
|
For
|
For
|
|||||||||||||||
|
2.
|
RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
62,300
|
0
|
27-Apr-2017
|
16-Jun-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
54,800
|
0
|
27-Apr-2017
|
16-Jun-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
75,000
|
25,000
|
27-Apr-2017
|
16-Jun-2017
|
|||||||||||
|
YELP INC
|
|
|||||||||||||||||
|
Security
|
985817105
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
YELP
|
Meeting Date
|
15-Jun-2017
|
|||||||||||||||
|
ISIN
|
US9858171054
|
Agenda
|
934613616 - Management
|
|||||||||||||||
|
Record Date
|
17-Apr-2017
|
Holding Recon Date
|
17-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
14-Jun-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
DIANE M. IRVINE
|
For
|
For
|
|||||||||||||||
|
2
|
MARIAM NAFICY
|
For
|
For
|
|||||||||||||||
|
2.
|
TO RATIFY THE SELECTION OF DELOITTE & TOUCHE LLP AS YELP'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF YELP'S NAMED EXECUTIVE OFFICERS, AS DISCLOSED IN THE ACCOMPANYING PROXY STATEMENT.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
19,700
|
0
|
02-May-2017
|
16-Jun-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
40,000
|
0
|
02-May-2017
|
16-Jun-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
99,400
|
38,900
|
02-May-2017
|
16-Jun-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
100
|
267,600
|
02-May-2017
|
16-Jun-2017
|
|||||||||||
|
997AL53
|
GLO MS PLEDGE
|
997AL53
|
STATE STREET BANK & TRUST CO
|
40,000
|
0
|
02-May-2017
|
16-Jun-2017
|
|||||||||||
|
CATCHER TECHNOLOGY CO LTD
|
|
|||||||||||||||||
|
Security
|
Y1148A101
|
Meeting Type
|
Annual General Meeting
|
|||||||||||||||
|
Ticker Symbol
|
Meeting Date
|
19-Jun-2017
|
||||||||||||||||
|
ISIN
|
TW0002474004
|
Agenda
|
708208839 - Management
|
|||||||||||||||
|
Record Date
|
20-Apr-2017
|
Holding Recon Date
|
20-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
TAINAN
|
/
|
Taiwan, Province of China
|
Vote Deadline Date
|
09-Jun-2017
|
||||||||||||
|
SEDOL(s)
|
6186669 - B02W2D0
|
Quick Code
|
||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
CMMT
|
PLEASE NOTE THAT IN CASES WHERE THE CLIENT INSTRUCTS US TO VOTE AGAINST ANY-PROPOSAL TO BE DISCUSSED AT A SHAREHOLDERS MEETING AND THE VOTING WITH-RESPECT TO SUCH PROPOSAL IS DONE BY BALLOT, WE OR OUR DESIGNEE WILL FILL OUT-THE BALLOT IN RESPECT OF SUCH PROPOSAL IN ACCORDANCE WITH THE CLIENTS-INSTRUCTIONS. HOWEVER, IF THE VOTING AT THE SHAREHOLDERS MEETING IS DONE BY-ACCLAMATION, WE/OUR DESIGNEE WILL NOT TAKE ANY ACTION IN RESPECT OF THE-RELEVANT PROPOSAL. THANK YOU
|
Non-Voting
|
||||||||||||||||
|
1
|
TO ACCEPT 2016 BUSINESS REPORT AND FINANCIAL STATEMENTS.
|
Management
|
For
|
For
|
||||||||||||||
|
2
|
TO ACCEPT THE PROPOSAL FOR DISTRIBUTION OF 2016 PROFITS.PROPOSED CASH DIVIDEND :TWD 10 PER SHARE.
|
Management
|
For
|
For
|
||||||||||||||
|
3
|
TO APPROVE THE ISSUANCE OF NEW COMMON SHARES FOR CASH AND OR ISSUANCE OF GDR.
|
Management
|
For
|
For
|
||||||||||||||
|
4
|
TO AMEND THE COMPANYS AQUISITION OR DISPOSAL OF ASSETS PROCEDURE.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
GLQ
|
GLQ
|
STATE STREET BANK
|
194,000
|
0
|
20-May-2017
|
09-Jun-2017
|
||||||||||||
|
CARDIOME PHARMA CORP.
|
|
|||||||||||||||||
|
Security
|
14159U301
|
Meeting Type
|
Annual and Special Meeting
|
|||||||||||||||
|
Ticker Symbol
|
CRME
|
Meeting Date
|
20-Jun-2017
|
|||||||||||||||
|
ISIN
|
CA14159U3010
|
Agenda
|
934638098 - Management
|
|||||||||||||||
|
Record Date
|
16-May-2017
|
Holding Recon Date
|
16-May-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
Canada
|
Vote Deadline Date
|
15-Jun-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
01
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
RICHARD M. GLICKMAN
|
For
|
For
|
|||||||||||||||
|
2
|
W. JAMES O'SHEA
|
For
|
For
|
|||||||||||||||
|
3
|
WILLIAM L. HUNTER
|
For
|
For
|
|||||||||||||||
|
4
|
MARK H. CORRIGAN
|
For
|
For
|
|||||||||||||||
|
5
|
ARTHUR H. WILLMS
|
For
|
For
|
|||||||||||||||
|
6
|
ROBERT J. MEYER
|
For
|
For
|
|||||||||||||||
|
02
|
APPOINTMENT OF KPMG LLP AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION.
|
Management
|
For
|
For
|
||||||||||||||
|
03
|
TO APPROVE AN ORDINARY RESOLUTION APPROVING CERTAIN AMENDMENTS TO AND UNALLOCATED ENTITLEMENTS UNDER THE CORPORATION'S RESTRICTED SHARE UNIT PLAN AS MORE PARTICULARLY SET OUT IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR.
|
Management
|
For
|
For
|
||||||||||||||
|
04
|
TO APPROVE AN ORDINARY RESOLUTION APPROVING CERTAIN AMENDMENTS TO AND UNALLOCATED OPTIONS UNDER THE CORPORATION'S INCENTIVE STOCK OPTION PLAN AS MORE PARTICULARLY SET OUT IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
100
|
149,100
|
31-May-2017
|
21-Jun-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
100
|
418,100
|
31-May-2017
|
21-Jun-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
1,042,181
|
0
|
31-May-2017
|
21-Jun-2017
|
|||||||||||
|
BLACKSTONE MORTGAGE TRUST, INC
|
|
|||||||||||||||||
|
Security
|
09257W100
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
BXMT
|
Meeting Date
|
21-Jun-2017
|
|||||||||||||||
|
ISIN
|
US09257W1009
|
Agenda
|
934603881 - Management
|
|||||||||||||||
|
Record Date
|
13-Apr-2017
|
Holding Recon Date
|
13-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
20-Jun-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
MICHAEL B. NASH
|
For
|
For
|
|||||||||||||||
|
2
|
STEPHEN D. PLAVIN
|
For
|
For
|
|||||||||||||||
|
3
|
LEONARD W. COTTON
|
For
|
For
|
|||||||||||||||
|
4
|
THOMAS E. DOBROWSKI
|
For
|
For
|
|||||||||||||||
|
5
|
MARTIN L. EDELMAN
|
For
|
For
|
|||||||||||||||
|
6
|
HENRY N. NASSAU
|
For
|
For
|
|||||||||||||||
|
7
|
JONATHAN L. POLLACK
|
For
|
For
|
|||||||||||||||
|
8
|
LYNNE B. SAGALYN
|
For
|
For
|
|||||||||||||||
|
2.
|
RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
ADVISORY VOTE ON EXECUTIVE COMPENSATION: TO APPROVE IN A NON- BINDING, ADVISORY VOTE, THE COMPENSATION PAID TO OUR NAMED EXECUTIVE OFFICERS.
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
997GLQ
|
GLQ
|
997GLQ
|
STATE STREET BANK & TRUST CO
|
59,700
|
0
|
28-Apr-2017
|
22-Jun-2017
|
|||||||||||
|
997GLO
|
GLO
|
997GLO
|
STATE STREET BANK & TRUST CO
|
58,200
|
0
|
28-Apr-2017
|
22-Jun-2017
|
|||||||||||
|
997AL45
|
GLV BNP PLEDGE
|
997AL45
|
STATE STREET BANK & TRUST CO
|
32,500
|
39,700
|
28-Apr-2017
|
22-Jun-2017
|
|||||||||||
|
997AL47
|
GLQ BNP PLEDGE
|
997AL47
|
STATE STREET BANK & TRUST CO
|
80,100
|
69,900
|
28-Apr-2017
|
22-Jun-2017
|
|||||||||||
|
997AL49
|
GLO BNP PLEDGE
|
997AL49
|
STATE STREET BANK & TRUST CO
|
100
|
206,100
|
28-Apr-2017
|
22-Jun-2017
|
|||||||||||
|
997AL53
|
GLO MS PLEDGE
|
997AL53
|
STATE STREET BANK & TRUST CO
|
50,000
|
0
|
28-Apr-2017
|
22-Jun-2017
|
|||||||||||
|
997AL60
|
GLV MS PLEDGE
|
997AL60
|
STATE STREET BANK & TRUST CO
|
5,000
|
0
|
28-Apr-2017
|
22-Jun-2017
|
|||||||||||
|
997AL61
|
GLQ MS PLEDGE
|
997AL61
|
STATE STREET BANK & TRUST CO
|
10,800
|
0
|
28-Apr-2017
|
22-Jun-2017
|
|||||||||||
|
SEMICONDUCTOR MANUFACTURING INTERNATIONAL CORP
|
|
|||||||||||||||||
|
Security
|
G8020E119
|
Meeting Type
|
Annual General Meeting
|
|||||||||||||||
|
Ticker Symbol
|
Meeting Date
|
23-Jun-2017
|
||||||||||||||||
|
ISIN
|
KYG8020E1199
|
Agenda
|
708261982 - Management
|
|||||||||||||||
|
Record Date
|
19-Jun-2017
|
Holding Recon Date
|
19-Jun-2017
|
|||||||||||||||
|
City /
|
Country
|
SHANGH AI
|
/
|
China
|
Vote Deadline Date
|
16-Jun-2017
|
||||||||||||
|
SEDOL(s)
|
BDFBM13 - BDFC8W9 - BDH2T79 - BDRKV77 - BDRKVB1 - BYZLGH4 - BYZMKY2
|
Quick Code
|
||||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
CMMT
|
PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 779586 DUE TO RESOLUTIONS-7 TO 15 ARE SINGLE ITEMS. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE-DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU
|
Non-Voting
|
||||||||||||||||
|
CMMT
|
PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR- ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING
|
Non-Voting
|
||||||||||||||||
|
CMMT
|
PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- (http://www.hkexnews.hk/listedco/listconews/sehk/2017/0 523/ltn20170523419.pdf)-,- (http://www.hkexnews.hk/listedco/listconews/sehk/2017/0 523/ltn20170523382.pdf)-AND- (http://www.hkexnews.hk/listedco/listconews/sehk/2017/0 531/ltn20170531819.pdf)
|
Non-Voting
|
||||||||||||||||
|
1
|
TO RECEIVE AND CONSIDER THE AUDITED CONSOLIDATED FINANCIAL STATEMENTS AND THE REPORTS OF THE DIRECTORS OF THE COMPANY (''DIRECTOR(S)'') AND THE AUDITORS OF THE COMPANY FOR THE YEAR ENDED 31 DECEMBER 2016
|
Management
|
For
|
For
|
||||||||||||||
|
2.A
|
TO RE-ELECT DR. ZHOU ZIXUE AS AN EXECUTIVE DIRECTOR
|
Management
|
For
|
For
|
||||||||||||||
|
2.B
|
TO RE-ELECT DR. TZU-YIN CHIU AS A NON- EXECUTIVE DIRECTOR
|
Management
|
For
|
For
|
||||||||||||||
|
2.C
|
TO RE-ELECT DR. GAO YONGGANG AS AN EXECUTIVE DIRECTOR
|
Management
|
For
|
For
|
||||||||||||||
|
2.D
|
TO RE-ELECT MR. WILLIAM TUDOR BROWN AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR
|
Management
|
For
|
For
|
||||||||||||||
|
2.E
|
TO RE-ELECT DR. TONG GUOHUA AS A NON- EXECUTIVE DIRECTOR
|
Management
|
For
|
For
|
||||||||||||||
|
2.F
|
TO RE-ELECT DR. SHANG-YI CHIANG AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR
|
Management
|
For
|
For
|
||||||||||||||
|
2.G
|
TO RE-ELECT DR. JASON JINGSHENG CONG AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR
|
Management
|
For
|
For
|
||||||||||||||
|
2.H
|
TO AUTHORIZE THE BOARD OF DIRECTORS (THE ''BOARD'') TO FIX THEIR REMUNERATION
|
Management
|
For
|
For
|
||||||||||||||
|
3
|
TO RE-APPOINT PRICEWATERHOUSECOOPERS AND PRICEWATERHOUSECOOPERS ZHONG TIAN LLP AS THE AUDITORS OF THE COMPANY FOR HONG KONG FINANCIAL REPORTING AND U.S. FINANCIAL REPORTING PURPOSES, RESPECTIVELY, AND TO AUTHORISE THE AUDIT COMMITTEE OF THE BOARD TO FIX THEIR REMUNERATION
|
Management
|
For
|
For
|
||||||||||||||
|
4
|
TO GRANT A GENERAL MANDATE TO THE BOARD TO ALLOT, ISSUE, GRANT, DISTRIBUTE AND OTHERWISE DEAL WITH ADDITIONAL SHARES IN THE COMPANY, NOT EXCEEDING TWENTY PER CENT. OF THE NUMBER OF ISSUED SHARES OF THE COMPANY AT THE DATE OF THIS RESOLUTION
|
Management
|
For
|
For
|
||||||||||||||
|
5
|
TO GRANT A GENERAL MANDATE TO THE BOARD TO REPURCHASE SHARES OF THE COMPANY, NOT EXCEEDING TEN PER CENT. OF THE NUMBER OF ISSUED SHARES OF THE COMPANY AT THE DATE OF THIS RESOLUTION
|
Management
|
For
|
For
|
||||||||||||||
|
6
|
CONDITIONAL ON THE PASSING OF RESOLUTIONS 4 AND 5, TO AUTHORIZE THE BOARD TO EXERCISE THE POWERS TO ALLOT, ISSUE, GRANT, DISTRIBUTE AND OTHERWISE DEAL WITH THE ADDITIONAL AUTHORIZED BUT UNISSUED SHARES IN THE COMPANY REPURCHASED BY THE COMPANY
|
Management
|
For
|
For
|
||||||||||||||
|
7
|
(A) TO AUTHORIZE THE INCREASE IN THE AUTHORISED SHARE CAPITAL OF THE COMPANY FROM USD 22,000,000 TO USD 42,000,000 BY THE CREATION OF AN ADDITIONAL 5,000,000,000 COMMON SHARES IN THE SHARE CAPITAL OF THE COMPANY; AND (B) TO AUTHORIZE ANY DIRECTOR OF THE COMPANY TO DO ALL SUCH ACTS ON BEHALF OF THE COMPANY AS HE/SHE MAY CONSIDER NECESSARY, DESIRABLE OR EXPEDIENT FOR THE PURPOSE OF, OR IN CONNECTION WITH, THE IMPLEMENTATION OF AND GIVING EFFECT TO THE INCREASE IN AUTHORIZED SHARE CAPITAL OF THE COMPANY
|
Management
|
For
|
For
|
||||||||||||||
|
8
|
(A) TO AUTHORIZE THE REDUCTION OF THE AMOUNT STANDING TO THE CREDIT OF THE SHARE PREMIUM ACCOUNT OF THE COMPANY BY AN AMOUNT OF USD 910,849,175.17 AND TO AUTHORIZE THE DIRECTORS OF THE COMPANY TO APPLY SUCH AMOUNT TO ELIMINATE THE ACCUMULATED LOSSES OF THE COMPANY AS AT 31 DECEMBER 2016 IN THE SAME AMOUNT; AND (B) TO AUTHORIZE ANY DIRECTOR OF THE COMPANY
|
Management
|
For
|
For
|
||||||||||||||
|
TO DO ALL ACTS ON BEHALF OF THE COMPANY AS HE/SHE MAY CONSIDER NECESSARY, DESIRABLE OR EXPEDIENT FOR THE PURPOSE OF, OR IN CONNECTION WITH, THE IMPLEMENTATION OF AND COMPLETION OF THE SHARE PREMIUM REDUCTION OF THE COMPANY
|
||||||||||||||||||
|
9
|
(A) TO APPROVE AND CONFIRM THE PROPOSED GRANT OF 2,109,318 RSUS TO DR. TZU-YIN CHIU, THE FORMER CHIEF EXECUTIVE OFFICER OF THE COMPANY AND A NON-EXECUTIVE DIRECTOR, IN ACCORDANCE WITH THE TERMS OF THE 2014 EQUITY INCENTIVE PLAN, AND SUBJECT TO ALL APPLICABLE LAWS, RULES, REGULATIONS AND THE OTHER APPLICABLE DOCUMENTS; AND (B) TO AUTHORIZE ANY DIRECTOR OF THE COMPANY TO EXERCISE THE POWERS OF THE COMPANY TO ALLOT AND ISSUE THE COMMON SHARES OF THE COMPANY PURSUANT TO THE PROPOSED RSU GRANT UNDER THE SPECIFIC MANDATE GRANTED TO THE DIRECTORS BY THE SHAREHOLDERS AT THE ANNUAL GENERAL MEETING OF THE COMPANY HELD ON 13 JUNE 2013 IN ACCORDANCE WITH THE TERMS OF THE 2014 EQUITY INVENTIVE PLAN AND/OR TO DO ALL SUCH ACTS ON BEHALF OF THE COMPANY AS HE/SHE MAY CONSIDER NECESSARY, DESIRABLE OR EXPEDIENT FOR THE PURPOSE OF, OR IN CONNECTION WITH THE IMPLEMENTATION AND COMPLETION OF THE TRANSACTIONS CONTEMPLATED PURSUANT TO THE PROPOSED RSU GRANT
|
Management
|
For
|
For
|
||||||||||||||
|
10
|
(A) TO APPROVE AND CONFIRM THE PROPOSED GRANT OF 62,500 RSUS TO DR. CHEN SHANZHI, A NON-EXECUTIVE DIRECTOR, IN ACCORDANCE WITH THE TERMS OF THE 2014 EQUITY INCENTIVE PLAN, AND SUBJECT TO ALL APPLICABLE LAWS, RULES, REGULATIONS AND THE OTHER APPLICABLE DOCUMENTS; AND (B) TO AUTHORIZE ANY DIRECTOR OF THE COMPANY TO EXERCISE THE POWERS OF THE COMPANY TO ALLOT AND ISSUE THE COMMON SHARES OF THE COMPANY PURSUANT TO THE PROPOSED RSU GRANT UNDER THE SPECIFIC MANDATE GRANTED TO THE DIRECTORS BY THE SHAREHOLDERS AT THE ANNUAL GENERAL MEETING OF THE COMPANY HELD ON 13 JUNE 2013 IN ACCORDANCE WITH THE TERMS OF THE 2014 EQUITY INVENTIVE PLAN AND/OR TO DO ALL SUCH ACTS ON BEHALF OF THE COMPANY AS HE/SHE MAY CONSIDER NECESSARY, DESIRABLE OR EXPEDIENT FOR THE PURPOSE OF, OR IN CONNECTION WITH THE IMPLEMENTATION AND COMPLETION OF THE TRANSACTIONS CONTEMPLATED PURSUANT TO THE PROPOSED RSU GRANT
|
Management
|
For
|
For
|
||||||||||||||
|
11
|
(A) TO APPROVE AND CONFIRM THE PROPOSED GRANT OF 62,500 RSUS TO MR. LIP-BU TAN, AN INDEPENDENT NON-EXECUTIVE DIRECTOR, IN ACCORDANCE WITH THE TERMS OF THE 2014 EQUITY INCENTIVE PLAN, AND SUBJECT TO ALL APPLICABLE LAWS, RULES, REGULATIONS AND THE OTHER APPLICABLE DOCUMENTS; AND (B) TO AUTHORIZE ANY DIRECTOR OF THE COMPANY TO EXERCISE THE POWERS OF THE COMPANY TO ALLOT AND ISSUE THE COMMON SHARES OF THE COMPANY PURSUANT TO THE PROPOSED RSU GRANT UNDER THE SPECIFIC MANDATE GRANTED TO THE DIRECTORS BY THE SHAREHOLDERS AT THE ANNUAL GENERAL MEETING OF THE COMPANY HELD ON 13 JUNE 2013 IN ACCORDANCE WITH THE TERMS OF THE 2014 EQUITY INVENTIVE PLAN AND/OR TO DO ALL SUCH ACTS ON BEHALF OF THE COMPANY AS HE/SHE MAY CONSIDER NECESSARY, DESIRABLE OR EXPEDIENT FOR THE PURPOSE OF, OR IN CONNECTION WITH THE IMPLEMENTATION AND COMPLETION OF THE TRANSACTIONS CONTEMPLATED PURSUANT TO THE PROPOSED RSU GRANT
|
Management
|
For
|
For
|
||||||||||||||
|
12
|
(A) TO APPROVE AND CONFIRM THE PROPOSED GRANT OF 187,500 RSUS TO DR. SHANG-YI CHIANG, AN INDEPENDENT NON-EXECUTIVE DIRECTOR, IN ACCORDANCE WITH THE TERMS OF THE 2014 EQUITY INCENTIVE PLAN, AND SUBJECT TO ALL APPLICABLE LAWS, RULES, REGULATIONS AND THE OTHER APPLICABLE DOCUMENTS; AND (B) TO AUTHORIZE ANY DIRECTOR OF THE COMPANY TO EXERCISE THE POWERS OF THE COMPANY TO ALLOT AND ISSUE THE COMMON SHARES OF THE COMPANY PURSUANT TO THE PROPOSED RSU GRANT UNDER THE SPECIFIC MANDATE GRANTED TO THE DIRECTORS BY THE SHAREHOLDERS AT THE ANNUAL GENERAL MEETING OF THE COMPANY HELD ON 13 JUNE 2013 IN ACCORDANCE WITH THE TERMS OF THE 2014 EQUITY INVENTIVE PLAN AND/OR TO DO ALL SUCH ACTS ON BEHALF OF THE COMPANY AS HE/SHE MAY CONSIDER NECESSARY, DESIRABLE OR EXPEDIENT FOR THE PURPOSE OF, OR IN CONNECTION WITH THE IMPLEMENTATION AND COMPLETION OF THE TRANSACTIONS CONTEMPLATED PURSUANT TO THE PROPOSED RSU GRANT
|
Management
|
For
|
For
|
||||||||||||||
|
13
|
(A) TO APPROVE AND CONFIRM THE PROPOSED GRANT OF 187,500 RSUS TO DR. TONG GUOHUA, A NON-EXECUTIVE DIRECTOR, IN ACCORDANCE WITH THE TERMS OF THE 2014 EQUITY INCENTIVE PLAN, AND SUBJECT TO ALL APPLICABLE LAWS, RULES, REGULATIONS AND THE OTHER APPLICABLE DOCUMENTS; AND (B) TO AUTHORIZE ANY DIRECTOR OF THE COMPANY TO EXERCISE THE POWERS OF THE COMPANY TO ALLOT AND ISSUE THE COMMON SHARES OF THE COMPANY
|
Management
|
For
|
For
|
||||||||||||||
|
PURSUANT TO THE PROPOSED RSU GRANT UNDER THE SPECIFIC MANDATE GRANTED TO THE DIRECTORS BY THE SHAREHOLDERS AT THE ANNUAL GENERAL MEETING OF THE COMPANY HELD ON 13 JUNE 2013 IN ACCORDANCE WITH THE TERMS OF THE 2014 EQUITY INVENTIVE PLAN AND/OR TO DO ALL SUCH ACTS ON BEHALF OF THE COMPANY AS HE/SHE MAY CONSIDER NECESSARY, DESIRABLE OR EXPEDIENT FOR THE PURPOSE OF, OR IN CONNECTION WITH THE IMPLEMENTATION AND COMPLETION OF THE TRANSACTIONS CONTEMPLATED PURSUANT TO THE PROPOSED RSU GRANT
|
||||||||||||||||||
|
14
|
(A) TO APPROVE AND CONFIRM THE PROPOSED GRANT OF 187,500 RSUS TO DR. JASON JINGSHENG CONG, AN INDEPENDENT NON-EXECUTIVE DIRECTOR, IN ACCORDANCE WITH THE TERMS OF THE 2014 EQUITY INCENTIVE PLAN, AND SUBJECT TO ALL APPLICABLE LAWS, RULES, REGULATIONS AND THE OTHER APPLICABLE DOCUMENTS; AND (B) TO AUTHORIZE ANY DIRECTOR OF THE COMPANY TO EXERCISE THE POWERS OF THE COMPANY TO ALLOT AND ISSUE THE COMMON SHARES OF THE COMPANY PURSUANT TO THE PROPOSED RSU GRANT UNDER THE SPECIFIC MANDATE GRANTED TO THE DIRECTORS BY THE SHAREHOLDERS AT THE ANNUAL GENERAL MEETING OF THE COMPANY HELD ON 13 JUNE 2013 IN ACCORDANCE WITH THE TERMS OF THE 2014 EQUITY INVENTIVE PLAN AND/OR TO DO ALL SUCH ACTS ON BEHALF OF THE COMPANY AS HE/SHE MAY CONSIDER NECESSARY, DESIRABLE OR EXPEDIENT FOR THE PURPOSE OF, OR IN CONNECTION WITH THE IMPLEMENTATION AND COMPLETION OF THE TRANSACTIONS CONTEMPLATED PURSUANT TO THE PROPOSED RSU GRANT
|
Management
|
For
|
For
|
||||||||||||||
|
15
|
(A) TO APPROVE AND CONFIRM THE PROPOSED PAYMENT OF USD 688,000 TO DR.CHIU, THE NON- EXECUTIVE VICE CHAIRMAN AND A NON- EXECUTIVE DIRECTOR, AS A TOKEN OF APPRECIATION FOR HIS CONTRIBUTIONS TO THE COMPANY DURING HIS TENURE AS CHIEF EXECUTIVE OFFICER OF THE COMPANY BETWEEN 5 AUGUST 2011 AND 10 MAY 2017; AND (B) TO AUTHORIZE ANY DIRECTOR OF THE COMPANY (WITH THE EXCEPTION OF DR. CHIU) BE AND IS HEREBY AUTHORISED TO DO ALL ACTS ON BEHALF OF THE COMPANY AS HE/SHE MAY CONSIDER NECESSARY, DESIRABLE OR EXPEDIENT FOR THE PURPOSE OF, OR IN CONNECTION WITH, THE GRATUITY OF THE PROPOSED PAYMENT TO DR. CHIU
|
Management
|
For
|
For
|
||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
GLQ
|
GLQ
|
STATE STREET BANK
|
780,000
|
0
|
02-Jun-2017
|
19-Jun-2017
|
||||||||||||
|
GLO
|
GLO
|
STATE STREET BANK
|
1,960,000
|
0
|
02-Jun-2017
|
19-Jun-2017
|
||||||||||||
|
INTRA-CELLULAR THERAPIES INC
|
|
|||||||||||||||||
|
Security
|
46116X101
|
Meeting Type
|
Annual
|
|||||||||||||||
|
Ticker Symbol
|
ITCI
|
Meeting Date
|
27-Jun-2017
|
|||||||||||||||
|
ISIN
|
US46116X1019
|
Agenda
|
934621978 - Management
|
|||||||||||||||
|
Record Date
|
28-Apr-2017
|
Holding Recon Date
|
28-Apr-2017
|
|||||||||||||||
|
City /
|
Country
|
/
|
United States
|
Vote Deadline Date
|
26-Jun-2017
|
|||||||||||||
|
SEDOL(s)
|
Quick Code
|
|||||||||||||||||
|
Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
1.
|
DIRECTOR
|
Management
|
||||||||||||||||
|
1
|
RICHARD LERNER, M.D.
|
For
|
For
|
|||||||||||||||
|
2.
|
TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017.
|
Management
|
For
|
For
|
||||||||||||||
|
3.
|
TO APPROVE BY AN ADVISORY VOTE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS, AS DISCLOSED IN THE PROXY STATEMENT.
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Management
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For
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For
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||||||||||||||
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Account Number
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Account Name
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Internal Account
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Custodian
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Ballot Shares
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Unavailable Shares
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Vote Date
|
Date Confirmed
|
||||||||||
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997GLQ
|
GLQ
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997GLQ
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STATE STREET BANK & TRUST CO
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69,200
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0
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10-May-2017
|
28-Jun-2017
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|||||||||||
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997AL49
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GLO BNP PLEDGE
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997AL49
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STATE STREET BANK & TRUST CO
|
210,500
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0
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10-May-2017
|
28-Jun-2017
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|||||||||||
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997AL53
|
GLO MS PLEDGE
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997AL53
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STATE STREET BANK & TRUST CO
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30,000
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0
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10-May-2017
|
28-Jun-2017
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|||||||||||
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997AL61
|
GLQ MS PLEDGE
|
997AL61
|
STATE STREET BANK & TRUST CO
|
25,000
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0
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10-May-2017
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28-Jun-2017
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|||||||||||
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NINTENDO CO.,LTD.
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|||||||||||||||||
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Security
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J51699106
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Meeting Type
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Annual General Meeting
|
|||||||||||||||
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Ticker Symbol
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Meeting Date
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29-Jun-2017
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||||||||||||||||
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ISIN
|
JP3756600007
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Agenda
|
708274446 - Management
|
|||||||||||||||
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Record Date
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31-Mar-2017
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Holding Recon Date
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31-Mar-2017
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|||||||||||||||
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City /
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Country
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KYOTO
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/
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Japan
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Vote Deadline Date
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21-Jun-2017
|
||||||||||||
|
SEDOL(s)
|
5334209 - 6639550 - B02JMD1 - B0ZGTW7 - BRTM8H8
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Quick Code
|
79740
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|||||||||||||||
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Item
|
Proposal
|
|
|
Proposed by
|
|
Vote
|
|
For/Against Management
|
|
|
||||||||
|
Please reference meeting materials.
|
Non-Voting
|
|||||||||||||||||
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1
|
Approve Appropriation of Surplus
|
Management
|
For
|
For
|
||||||||||||||
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2.1
|
Appoint a Director except as Supervisory Committee Members Kimishima, Tatsumi
|
Management
|
For
|
For
|
||||||||||||||
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2.2
|
Appoint a Director except as Supervisory Committee Members Miyamoto, Shigeru
|
Management
|
For
|
For
|
||||||||||||||
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2.3
|
Appoint a Director except as Supervisory Committee Members Takahashi, Shinya
|
Management
|
For
|
For
|
||||||||||||||
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2.4
|
Appoint a Director except as Supervisory Committee Members Furukawa, Shuntaro
|
Management
|
For
|
For
|
||||||||||||||
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2.5
|
Appoint a Director except as Supervisory Committee Members Shiota, Ko
|
Management
|
For
|
For
|
||||||||||||||
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|
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Account Number
|
Account Name
|
Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable Shares
|
Vote Date
|
Date Confirmed
|
||||||||||
|
GLV
|
GLV
|
STATE STREET BANK
|
1,800
|
0
|
07-Jun-2017
|
28-Jun-2017
|
||||||||||||
|
GLQ
|
GLQ
|
STATE STREET BANK
|
5,700
|
0
|
07-Jun-2017
|
28-Jun-2017
|
||||||||||||
|
GLO
|
GLO
|
STATE STREET BANK
|
14,800
|
0
|
07-Jun-2017
|
28-Jun-2017
|
||||||||||||
|
Clough Global Equity Fund
|
|||
|
By:
|
/s/ Edmund J. Burke
|
||
|
Edmund J. Burke
|
|||
|
President
|
|||
|
Date:
|
August 23, 2017
|
||