UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM N-PX

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY

Investment Company Act file number: 811-21712

CLOUGH GLOBAL EQUITY FUND
 (Exact name of registrant as specified in charter)

1290 Broadway, Suite 1100, Denver, Colorado 80203
 (Address of principal executive offices) (Zip code)

Sareena Khwaja-Dixon, Esq.
Clough Global Equity Fund
1290 Broadway, Suite 1100
Denver, Colorado 80203
(Name and address of agent for service)

Registrant’s Telephone Number, including Area Code: (303) 623-2577

Date of fiscal year end: October 31

Date of reporting period: July 1, 2016 – June 30, 2017


Item 1 – Proxy Voting Record.
     
Vote Summary
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.
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
69,200
 
0
10-May-2017
28-Jun-2017
997AL49
GLO BNP PLEDGE
997AL49
STATE STREET BANK & TRUST CO
210,500
 
0
10-May-2017
28-Jun-2017
997AL53
GLO MS PLEDGE
997AL53
STATE STREET BANK & TRUST CO
30,000
 
0
10-May-2017
28-Jun-2017
997AL61
GLQ MS PLEDGE
997AL61
STATE STREET BANK & TRUST CO
25,000
 
0
10-May-2017
28-Jun-2017
NINTENDO CO.,LTD.
 
Security
J51699106
           
Meeting Type
 
Annual General Meeting
Ticker Symbol
             
Meeting Date
 
29-Jun-2017
 
ISIN
JP3756600007
           
Agenda
 
708274446 - Management
Record Date
31-Mar-2017
           
Holding Recon Date
 
31-Mar-2017
 
City /
Country
 
KYOTO
/
Japan
       
Vote Deadline Date
 
21-Jun-2017
 
SEDOL(s)
5334209 - 6639550 - B02JMD1 - B0ZGTW7 - BRTM8H8
       
Quick Code
 
79740
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Item
Proposal
 
 
Proposed by
 
Vote
 
For/Against Management
 
 
 
Please reference meeting materials.
Non-Voting
           
1
Approve Appropriation of Surplus
Management
 
For
 
For
   
2.1
Appoint a Director except as Supervisory Committee Members Kimishima, Tatsumi
Management
 
For
 
For
   
2.2
Appoint a Director except as Supervisory Committee Members Miyamoto, Shigeru
Management
 
For
 
For
   
2.3
Appoint a Director except as Supervisory Committee Members Takahashi, Shinya
Management
 
For
 
For
   
2.4
Appoint a Director except as Supervisory Committee Members Furukawa, Shuntaro
Management
 
For
 
For
   
2.5
Appoint a Director except as Supervisory Committee Members Shiota, Ko
Management
 
For
 
For
   
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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

 
 


SIGNATURE

Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 
Clough Global Equity Fund
 
       
 
By:
/s/ Edmund J. Burke
 
   
Edmund J. Burke
 
   
President
 
       
 
Date:
August 23, 2017