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: 811-21583

 

CLOUGH DIVIDEND AND INCOME FUND

(Exact name of registrant as specified in charter)

  

1290 Broadway, Suite 1000, Denver, Colorado 80203

(Address of principal executive offices) (Zip code)

 

Sareena Khwaja-Dixon, Esq.

Clough Dividend and Income Fund

1290 Broadway, Suite 1000

Denver, Colorado 80203

(Name and address of agent for service)

 

Registrant’s Telephone Number, including Area Code: 877.256.8445

 

Date of fiscal year end: October 31

 

Date of reporting period: July 1, 2019 – June 30, 2020

 

 

 

 

 

 

Item 1 – Proxy Voting Record.

 

Vote Summary

  ARES CAPITAL CORPORATION        
  Security 04010L103                   Meeting Type   Special 
  Ticker Symbol ARCC                              Meeting Date   08-Jul-2019  
  ISIN US04010L1035                   Agenda   935002775 - Management
  Record Date 08-Apr-2019                   Holding Recon Date   08-Apr-2019  
  City / Country     / United States             Vote Deadline Date   05-Jul-2019  
  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, without limitation, 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 		 
  997AL45 GLV BNP
PLEDGE 		997AL45 STATE
STREET BANK
& TRUST CO 		164,300   0 19-Apr-2019 09-Jul-2019  
  HDFC BANK LTD        
  Security Y3119P174                   Meeting Type   Annual General Meeting
  Ticker Symbol                     Meeting Date   12-Jul-2019  
  ISIN INE040A01026                   Agenda   711314005 - Management
  Record Date 05-Jul-2019                   Holding Recon Date   05-Jul-2019  
  City / Country   MUMBAI / India             Vote Deadline Date   09-Jul-2019  
  SEDOL(s) B5Q3JZ5             Quick Code      
                                                               
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1     ADOPTION OF THE AUDITED FINANCIAL
STATEMENTS (STANDALONE) FOR THE YEAR
ENDED MARCH 31, 2019 AND REPORTS OF THE
BOARD OF DIRECTORS AND AUDITORS THEREON 		Management     For     For          
  2     ADOPTION OF THE AUDITED FINANCIAL
STATEMENTS (CONSOLIDATED) FOR THE YEAR
ENDED MARCH 31, 2019 AND REPORT OF THE
AUDITORS THEREON 		Management     For     For          
  3     DECLARATION OF DIVIDEND ON EQUITY SHARES Management     For     For          
  4     APPOINTMENT OF DIRECTOR IN PLACE OF MR.
SRIKANTH NADHAMUNI (DIN 02551389), WHO
RETIRES BY ROTATION AND BEING ELIGIBLE,
OFFERS HIMSELF FOR RE-APPOINTMENT 		Management     For     For          
  5     APPOINTMENT OF STATUTORY AUDITORS AND
FIXING OF THEIR REMUNERATION: MSKA &
ASSOCIATES, CHARTERED ACCOUNTANTS 		Management     For     For          
  6     RATIFICATION OF REMUNERATION / FEES PAID TO
THE ERSTWHILE 		Management     For     For          
  7     APPOINTMENT OF MR. SANJIV SACHAR (DIN
02013812) AS INDEPENDENT DIRECTOR OF THE
BANK 		Management     For     For          
  8     APPOINTMENT OF MR. SANDEEP PAREKH (DIN
03268043) AS INDEPENDENT DIRECTOR OF THE
BANK 		Management     For     For          
  9     APPOINTMENT OF MR. M. D. RANGANATH (DIN
07565125) AS INDEPENDENT DIRECTOR OF THE
BANK 		Management     For     For          
  10    APPROVAL OF RELATED PARTY TRANSACTIONS
WITH HOUSING DEVELOPMENT FINANCE
CORPORATION LIMITED PURSUANT TO APPLICABLE
PROVISIONS 		Management     For     For          
  11    APPROVAL OF RELATED PARTY TRANSACTIONS
WITH HDB FINANCIAL SERVICES LIMITED
PURSUANT TO APPLICABLE PROVISIONS 		Management     For     For          
  12    RAISING OF ADDITIONAL CAPITAL BY ISSUE OF
DEBT INSTRUMENTS 		Management     For     For          
  13    SUB-DIVISION OF EQUITY SHARES FROM FACE
VALUE OF RS. 2/- EACH TO FACE VALUE OF RS. 1/-
EACH 		Management     For     For          
  14    ALTERATION OF CLAUSE V OF THE MEMORANDUM
OF ASSOCIATION 		Management     For     For          
                                                               
  Account
Number 		Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares 		Vote Date Date
Confirmed 		 
  AL27 GLV   STATE
STREET BANK 		140,883   0 13-Jun-2019 10-Jul-2019  
  LINK REAL ESTATE INVESTMENT TRUST        
  Security Y5281M111                   Meeting Type   Annual General Meeting
  Ticker Symbol                     Meeting Date   24-Jul-2019  
  ISIN HK0823032773                   Agenda   711328787 - Management
  Record Date 18-Jul-2019                   Holding Recon Date   18-Jul-2019  
  City / Country   HONG
KONG 		/ Hong Kong             Vote Deadline Date   19-Jul-2019  
  SEDOL(s) B0PB4M7 - B0RN5X9 - B0WGPC2             Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  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                      
  CMMT  PLEASE NOTE THAT THE COMPANY NOTICE AND
PROXY FORM ARE AVAILABLE BY CLICKING-ON THE
URL LINKS:-
https://www1.hkexnews.hk/listedco/listconews/sehk/2019/
0620/ltn20190620924.pdf-AND-
https://www1.hkexnews.hk/listedco/listconews/sehk/2019/
0620/ltn20190620938.pdf 		Non-Voting                      
  3.1   TO RE-ELECT MR ED CHAN YIU CHEONG AS AN
INDEPENDENT NON-EXECUTIVE DIRECTOR 		Management     For     For          
  3.2   TO RE-ELECT MR BLAIR CHILTON PICKERELL AS AN
INDEPENDENT NON-EXECUTIVE DIRECTOR 		Management     For     For          
  3.3   TO RE-ELECT MS MAY SIEW BOI TAN AS AN
INDEPENDENT NON-EXECUTIVE DIRECTOR 		Management     For     For          
  4     TO GRANT A GENERAL MANDATE TO THE
MANAGER TO BUY BACK UNITS OF LINK 		Management     For     For          
                                                               
  Account
Number 		Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares 		Vote Date Date
Confirmed 		 
  AL27 GLV   STATE
STREET BANK 		59,500   0 27-Jun-2019 22-Jul-2019  
  EMBASSY OFFICE PARKS REIT        
  Security Y2R9YR104                   Meeting Type   Annual General Meeting
  Ticker Symbol                     Meeting Date   25-Jul-2019  
  ISIN INE041025011                   Agenda   711364707 - Management
  Record Date 19-Jul-2019                   Holding Recon Date   19-Jul-2019  
  City / Country   BANGAL
ORE 		/ India             Vote Deadline Date   19-Jul-2019  
  SEDOL(s) BJH4V15             Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  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                      
  2     TO APPOINT THE STATUTORY AUDITORS AND TO
FIX THEIR REMUNERATION: M/S. S.R. BATLIBOI &
ASSOCIATES LLP, CHARTERED ACCOUNTANTS
(FIRM REGISTRATION NO. - 101049W/E300004 		Management     For     For          
  3     TO APPOINT THE VALUER Management     For     For          
  CMMT  05 JUL 2019: PLEASE NOTE THAT THIS IS A
REVISION DUE TO CHANGE IN NUMBERING-OF
RESOLUTIONS. 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 		 
  AL27 GLV   STATE
STREET BANK 		137,600   0 02-Jul-2019 20-Jul-2019  
  LARSEN & TOUBRO LTD        
  Security Y5217N159                   Meeting Type   Annual General Meeting
  Ticker Symbol                     Meeting Date   01-Aug-2019  
  ISIN INE018A01030                   Agenda   711361066 - Management
  Record Date 25-Jul-2019                   Holding Recon Date   25-Jul-2019  
  City / Country   MUMBAI / India             Vote Deadline Date   26-Jul-2019  
  SEDOL(s) B0166K8             Quick Code      
                                                               
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  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                      
  1     ADOPTION OF AUDITED FINANCIAL STATEMENTS
FOR THE YEAR ENDED MARCH 31, 2019 AND THE
REPORTS OF THE BOARD OF DIRECTORS AND
AUDITORS THEREON AND THE AUDITED
CONSOLIDATED FINANCIAL STATEMENTS OF THE
COMPANY AND THE REPORTS OF THE AUDITORS
THEREON FOR THE YEAR ENDED MARCH 31, 2019 		Management     For     For          
  2     DIVIDEND ON EQUITY SHARES FOR THE FINANCIAL
YEAR 2018-19: INR 18.00 PER SHARE 		Management     For     For          
  3     APPOINT MR. M. V. SATISH (DIN: 06393156) AS A
DIRECTOR LIABLE TO RETIRE BY ROTATION 		Management     For     For          
  4     APPOINT MR. SHAILENDRA ROY (DIN: 02144836), AS
A DIRECTOR LIABLE TO RETIRE BY ROTATION 		Management     For     For          
  5     APPOINT MR. R. SHANKAR RAMAN (DIN: 00019798),
AS A DIRECTOR LIABLE TO RETIRE BY ROTATION 		Management     For     For          
  6     APPOINT MR. J. D. PATIL (DIN: 01252184), AS A
DIRECTOR LIABLE TO RETIRE BY ROTATION 		Management     For     For          
  7     RE-APPOINT MR. M. M. CHITALE (DIN: 00101004), AS
AN INDEPENDENT DIRECTOR 		Management     For     For          
  8     RE-APPOINT MR. M. DAMODARAN (DIN: 02106990),
AS AN INDEPENDENT DIRECTOR AND APPROVE HIS
CONTINUATION BEYOND THE AGE OF 75 YEARS 		Management     For     For          
  9     RE-APPOINT MR. VIKRAM SINGH MEHTA (DIN:
00041197), AS AN INDEPENDENT DIRECTOR 		Management     For     For          
  10    RE-APPOINT MR. ADIL ZAINULBHAI (DIN: 06646490),
AS AN INDEPENDENT DIRECTOR 		Management     For     For          
  11    CHANGE IN SCALE OF SALARY OF MR. S. N.
SUBRAHMANYAN (DIN: 02255382), CHIEF
EXECUTIVE OFFICER AND MANAGING DIRECTOR 		Management     For     For          
  12    CHANGE IN SCALE OF SALARY OF MR. R. SHANKAR
RAMAN (DIN: 00019798), CHIEF FINANCIAL OFFICER
& WHOLE-TIME DIRECTOR 		Management     For     For          
  13    ALTERATION TO THE OBJECTS CLAUSE OF THE
MEMORANDUM OF ASSOCIATION OF THE
COMPANY 		Management     For     For          
  14    RAISE FUNDS THROUGH ISSUE OF CONVERTIBLE
BONDS AND/OR EQUITY SHARES THROUGH
DEPOSITORY RECEIPTS AND INCLUDING BY WAY
OF QUALIFIED INSTITUTION PLACEMENT ('QIP'), TO
QUALIFIED INSTITUTIONAL BUYERS ('QIB') FOR AN
AMOUNT NOT EXCEEDING INR 4000 CRORE OR USD
600 MILLION, IF HIGHER 		Management     For     For          
  15    RATIFICATION OF REMUNERATION PAYABLE TO
M/S R. NANABHOY & CO. COST ACCOUNTANTS
(REGN. NO. 00010) FOR THE FINANCIAL YEAR 2019-
20 		Management     For     For          
                                                               
  Account
Number 		Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares 		Vote Date Date
Confirmed 		 
  AL27 GLV   STATE
STREET BANK 		35,900   0 29-Jun-2019 27-Jul-2019  
  EICHER MOTORS LTD        
  Security Y2251M114                   Meeting Type   Annual General Meeting
  Ticker Symbol                     Meeting Date   01-Aug-2019  
  ISIN INE066A01013                   Agenda   711394990 - Management
  Record Date 25-Jul-2019                   Holding Recon Date   25-Jul-2019  
  City / Country   NEW
DELHI 		/ India             Vote Deadline Date   26-Jul-2019  
  SEDOL(s) 6099819             Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1     TO REVIEW, CONSIDER AND ADOPT THE AUDITED
FINANCIAL STATEMENTS (INCLUDING
CONSOLIDATED FINANCIAL STATEMENTS) OF THE
COMPANY FOR THE FINANCIAL YEAR ENDED
MARCH 31, 2019 TOGETHER WITH THE REPORTS
OF BOARD OF DIRECTORS AND THE AUDITORS
THEREON 		Management     For     For          
  2     TO DECLARE A DIVIDEND OF RS. 125/- PER EQUITY
SHARE FOR THE FINANCIAL YEAR ENDED MARCH
31, 2019 		Management     For     For          
  3     TO APPOINT MR. SIDDHARTHA LAL, WHO RETIRES
BY ROTATION AND BEING ELIGIBLE, OFFERS
HIMSELF FOR RE-APPOINTMENT AS A DIRECTOR,
LIABLE TO RETIRE BY ROTATION 		Management     For     For          
  4     TO CONSIDER AND RATIFY REMUNERATION OF
COST AUDITOR PAYABLE FOR FINANCIAL YEAR
2018-19 		Management     For     For          
  5     TO APPOINT MR. VINOD KUMAR DASARI AS WHOLE-
TIME DIRECTOR OF THE COMPANY AND
DETERMINE HIS REMUNERATION 		Management     For     For          
  6     TO APPOINT MR. INDER MOHAN SINGH AS AN
INDEPENDENT DIRECTOR OF THE COMPANY 		Management     For     For          
  7     TO APPOINT MR. VINOD KUMAR AGGARWAL AS
NON-EXECUTIVE DIRECTOR OF THE COMPANY 		Management     For     For          
  8     TO CONSIDER AND APPROVE PAYMENT OF
REMUNERATION BY WAY OF COMMISSION TO
DIRECTORS, OTHER THAN MANAGING DIRECTOR(S)
AND WHOLE TIME DIRECTOR(S) OF THE COMPANY 		Management     For     For          
  9     TO CONSIDER AND APPROVE PAYMENT OF
REMUNERATION TO MR. S. SANDILYA, CHAIRMAN
(NON-EXECUTIVE INDEPENDENT DIRECTOR) FOR
THE FINANCIAL YEAR 2018-19, WHICH MAY EXCEED
FIFTY PER CENT OF THE TOTAL REMUNERATION
PAYABLE TO ALL THE NON-EXECUTIVE DIRECTORS
OF THE COMPANY 		Management     For     For          
  10    TO APPROVE AND ADOPT EICHER MOTORS
LIMITED'S RESTRICTED STOCK UNIT PLAN 2019 		Management     For     For          
  11    TO APPROVE EXTENSION OF BENEFITS OF EICHER
MOTORS LIMITED'S RESTRICTED STOCK UNIT PLAN
2019 TO THE EMPLOYEES OF SUBSIDIARY
COMPANY(IES) 		Management     For     For          
  CMMT  15 JUL 2019: 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  15 JUL 2019: PLEASE NOTE THAT THIS IS A
REVISION DUE TO ADDITION OF COMMENT.-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 		 
  AL27 GLV   STATE
STREET BANK 		2,400   0 09-Jul-2019 27-Jul-2019  
  CHOW TAI FOOK JEWELLERY GROUP LTD        
  Security G21146108                   Meeting Type   Annual General Meeting
  Ticker Symbol                     Meeting Date   02-Aug-2019  
  ISIN KYG211461085                   Agenda   711319625 - Management
  Record Date 29-Jul-2019                   Holding Recon Date   29-Jul-2019  
  City / Country   HONG
KONG 		/ Cayman
Islands 		            Vote Deadline Date   26-Jul-2019  
  SEDOL(s) B4R39F7 - B7FN5H4 - B8C2PT3 -
BD8NKQ7 - BP3RT94 		            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://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE
WS/SEHK/2019/0614/LTN20190614027.PDF-AND-
HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE
WS/SEHK/2019/0614/LTN20190614025.PDF 		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                      
  1     TO RECEIVE AND ADOPT THE AUDITED FINANCIAL
STATEMENTS FOR THE YEAR ENDED 31 MARCH
2019 TOGETHER WITH THE REPORTS OF THE
DIRECTORS OF THE COMPANY (''DIRECTORS'') AND
THE INDEPENDENT AUDITOR THEREON 		Management     For     For          
  2     TO DECLARE A FINAL DIVIDEND AND SPECIAL
DIVIDEND FOR THE YEAR ENDED 31 MARCH 2019:
FINAL DIVIDEND OF HKD 0.20 PER SHARE AND A
SPECIAL DIVIDEND OF HKD 0.30 PER SHARE
(FY2018: A FINAL DIVIDEND OF HKD 0.15 PER
SHARE AND A SPECIAL DIVIDEND OF HKD 0.30 PER
SHARE) 		Management     For     For          
  3.A   TO RE-ELECT MR. WONG SIU-KEE, KENT AS AN
EXECUTIVE DIRECTOR 		Management     For     For          
  3.B   TO RE-ELECT MR. SUEN CHI-KEUNG, PETER AS AN
EXECUTIVE DIRECTOR 		Management     For     For          
  3.C   TO RE-ELECT MR. CHAN HIU-SANG, ALBERT AS AN
EXECUTIVE DIRECTOR 		Management     For     For          
  3.D   TO RE-ELECT MR. LIU CHUN-WAI, BOBBY AS AN
EXECUTIVE DIRECTOR 		Management     For     For          
  3.E   TO RE-ELECT MS. CHENG CHI-MAN, SONIA AS A
NON-EXECUTIVE DIRECTOR 		Management     For     For          
  3.F   TO RE-ELECT MR. LAM KIN-FUNG, JEFFREY AS AN
INDEPENDENT NON-EXECUTIVE DIRECTOR 		Management     For     For          
  3.G   TO RE-ELECT MS. CHENG KA-LAI, LILY AS AN
INDEPENDENT NON-EXECUTIVE DIRECTOR 		Management     For     For          
  3.H   TO AUTHORISE THE BOARD OF DIRECTORS
(''BOARD'') TO FIX THE REMUNERATION OF THE
DIRECTORS 		Management     For     For          
  4     TO RE-APPOINT PRICEWATERHOUSECOOPERS AS
AUDITOR OF THE COMPANY AND AUTHORISE THE
BOARD TO FIX ITS REMUNERATION 		Management     For     For          
  5     TO GRANT THE DIRECTORS A GENERAL MANDATE
TO ISSUE NEW SHARES OF THE COMPANY NOT
EXCEEDING 20% OF THE AGGREGATE NOMINAL
AMOUNT OF THE ISSUED SHARE CAPITAL OF THE
COMPANY AS AT THE DATE OF THIS RESOLUTION 		Management     For     For          
  6     TO GRANT THE DIRECTORS A GENERAL MANDATE
TO BUY BACK SHARES OF THE COMPANY NOT
EXCEEDING 10% OF THE AGGREGATE NOMINAL
AMOUNT OF THE ISSUED SHARE CAPITAL OF THE
COMPANY AS AT THE DATE OF THIS RESOLUTION 		Management     For     For          
  7     SUBJECT TO THE PASSING OF THE ORDINARY
RESOLUTIONS NUMBERED 5 AND 6 ABOVE, TO
EXTEND THE GENERAL MANDATE GRANTED TO
THE DIRECTORS TO ISSUE SHARES OF THE
COMPANY BY ADDING THE AGGREGATE NOMINAL
AMOUNT OF SHARES BOUGHT BACK BY THE
COMPANY 		Management     For     For          
                                                               
  Account
Number 		Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares 		Vote Date Date
Confirmed 		 
  AL27 GLV   STATE
STREET BANK 		100,800   0 18-Jul-2019 18-Jul-2019  
  TITAN COMPANY LIMITED        
  Security Y88425148                   Meeting Type   Annual General Meeting
  Ticker Symbol                     Meeting Date   06-Aug-2019  
  ISIN INE280A01028                   Agenda   711415150 - Management
  Record Date 30-Jul-2019                   Holding Recon Date   30-Jul-2019  
  City / Country   HOSUR / India             Vote Deadline Date   31-Jul-2019  
  SEDOL(s) 6139340             Quick Code      
                                                               
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1     TO RECEIVE, CONSIDER AND ADOPT THE AUDITED
FINANCIAL STATEMENTS OF THE COMPANY FOR
THE FINANCIAL YEAR ENDED MARCH 31, 2019,
TOGETHER WITH THE REPORTS OF THE BOARD OF
DIRECTORS AND THE AUDITORS THEREON 		Management     For     For          
  2     TO RECEIVE, CONSIDER AND ADOPT THE AUDITED
CONSOLIDATED FINANCIAL STATEMENTS OF THE
COMPANY FOR THE FINANCIAL YEAR ENDED
MARCH 31, 2019, TOGETHER WITH THE REPORT OF
THE AUDITORS THEREON 		Management     For     For          
  3     DECLARATION OF DIVIDEND ON EQUITY SHARES
FOR THE FINANCIAL YEAR 2018-19: DIVIDEND ON
EQUITY SHARES AT THE RATE OF 500% (I.E. INR 5
PER EQUITY SHARE OF INR 1 EACH) 		Management     For     For          
  4     RE-APPOINTMENT OF MR. HARISH BHAT AS A
DIRECTOR 		Management     For     For          
  5     APPOINTMENT OF MR. N. MURUGANANDAM AS A
DIRECTOR 		Management     For     For          
  6     APPOINTMENT OF MR. V ARUN ROY AS A
DIRECTOR 		Management     For     For          
  7     APPOINTMENT OF MR. PRADYUMNA VYAS AS AN
INDEPENDENT DIRECTOR 		Management     For     For          
  8     RE-APPOINTMENT OF MRS. HEMA RAVICHANDAR
AS AN INDEPENDENT DIRECTOR 		Management     For     For          
  9     RE-APPOINTMENT OF MRS. IREENA VITTAL AS AN
INDEPENDENT DIRECTOR 		Management     For     For          
  10    APPOINTMENT OF BRANCH AUDITORS Management     For     For          
  11    APPOINTMENT OF DR. MOHANASANKAR
SIVAPRAKASAM AS AN INDEPENDENT DIRECTOR 		Management     For     For          
                                                               
  Account
Number 		Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares 		Vote Date Date
Confirmed 		 
  AL27 GLV   STATE
STREET BANK 		47,843   0 11-Jul-2019 11-Jul-2019  
  GOLUB CAPITAL BDC, INC.        
  Security 38173M102                   Meeting Type   Special 
  Ticker Symbol GBDC                              Meeting Date   04-Sep-2019  
  ISIN US38173M1027                   Agenda   935063610 - Management
  Record Date 12-Jul-2019                   Holding Recon Date   12-Jul-2019  
  City / Country     / United
States 		            Vote Deadline Date   03-Sep-2019  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1.    To approve an amendment to the GBDC certificate of
incorporation to increase the number of authorized
shares of capital stock from 101,000,000 shares to
201,000,000 shares, consisting of 200,000,000 shares of
GBDC common stock, par value $0.001 per share
("GBDC Common Stock"), and 1,000,000 shares of
preferred stock, par value $0.001 per share (the
"Certificate of Incorporation Amendment Proposal"). 		Management     For     For          
  2.    Contingent upon approval of Certificate of Incorporation
Amendment Proposal, to approve issuance of shares of
GBDC Common Stock pursuant to  Agreement and Plan
of Merger dated as of November 27, 2018 (as amended,
"Merger Agreement") by and among GBDC, Fifth Ave
Subsidiary Inc., a wholly owned subsidiary of GBDC
(Merger Sub), Golub Capital Investment Corporation, a
Maryland corporation (GCIC), GC Advisors LLC (GC
Advisors), and, for certain limited purposes, Golub
Capital LLC (such proposal is referred to as the "Merger
Stock issuance Proposal") 		Management     For     For          
  3.    Contingent upon approval of each of the Certificate of
Incorporation Amendment Proposal and the Merger
Stock Issuance Proposal, to approve the amendment of
the investment advisory agreement between GBDC and
GC Advisors (as amended, the "New Investment
Advisory Agreement") on the terms described in the
accompanying proxy statement (such proposal is referred
to as the "Advisory Agreement Amendment Proposal"). 		Management     For     For          
                                                               
  Account
Number 		Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares 		Vote Date Date
Confirmed 		 
  997AL27 GLV 997AL27 STATE
STREET BANK
& TRUST CO 		12,500   0 20-Jul-2019 20-Jul-2019  
  997AL45 GLV BNP
PLEDGE 		997AL45 STATE
STREET BANK
& TRUST CO 		89,700   0 20-Jul-2019 20-Jul-2019  
  997AL60 GLV MS
PLEDGE 		997AL60 STATE
STREET BANK
& TRUST CO 		4,000   0 20-Jul-2019 20-Jul-2019  
  ROYCE VALUE TRUST, INC.        
  Security 780910105                   Meeting Type   Annual  
  Ticker Symbol RVT                               Meeting Date   24-Sep-2019  
  ISIN US7809101055                   Agenda   935069612 - Management
  Record Date 18-Jul-2019                   Holding Recon Date   18-Jul-2019  
  City / Country     / United
States 		            Vote Deadline Date   23-Sep-2019  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1.    DIRECTOR Management                      
        1 Patricia W. Chadwick           For     For          
        2 Arthur S. Mehlman           For     For          
        3 Michael K. Shields           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   23,600 13-Aug-2019 13-Aug-2019
  SOLAR CAPITAL LTD        
  Security 83413U100                   Meeting Type   Annual  
  Ticker Symbol SLRC                              Meeting Date   08-Oct-2019  
  ISIN US83413U1007                   Agenda   935072443 - Management
  Record Date 13-Aug-2019                   Holding Recon Date   13-Aug-2019  
  City / Country     / United
States 		            Vote Deadline Date   07-Oct-2019  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1.    DIRECTOR Management                      
        1 David S. Wachter           For     For          
  2.    To approve a proposal to authorize Solar Capital Ltd. to
sell shares of its common stock at a price or prices below
Solar Capital Ltd.'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 (including,
without limitation, that the number of shares issued does
not exceed 25% of Solar Capital Ltd.'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 		 
  997AL27 GLV 997AL27 STATE
STREET BANK
& TRUST CO 		11,300   0 20-Aug-2019 20-Aug-2019
  997AL45 GLV BNP
PLEDGE 		997AL45 STATE
STREET BANK
& TRUST CO 		70,900   0 20-Aug-2019 20-Aug-2019
  MICROSOFT CORPORATION        
  Security 594918104                   Meeting Type   Annual  
  Ticker Symbol MSFT                              Meeting Date   04-Dec-2019  
  ISIN US5949181045                   Agenda   935092849 - Management
  Record Date 08-Oct-2019                   Holding Recon Date   08-Oct-2019  
  City / Country     / United
States 		            Vote Deadline Date   03-Dec-2019  
  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: Reid G. Hoffman Management     For     For          
  1C.   Election of Director: Hugh F. Johnston Management     For     For          
  1D.   Election of Director: Teri L. List-Stoll Management     For     For          
  1E.   Election of Director: Satya Nadella Management     For     For          
  1F.   Election of Director: Sandra E. Peterson Management     For     For          
  1G.   Election of Director: Penny S. Pritzker Management     For     For          
  1H.   Election of Director: Charles W. Scharf Management     For     For          
  1I.   Election of Director: Arne M. Sorenson Management     For     For          
  1J.   Election of Director: John W. Stanton Management     For     For          
  1K.   Election of Director: John W. Thompson Management     For     For          
  1L.   Election of Director: Emma Walmsley Management     For     For          
  1M.   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 2020 		Management     For     For          
  4.    Shareholder Proposal - Report on Employee
Representation on Board of Directors 		Shareholder     Against     For          
  5.    Shareholder Proposal - Report on Gender Pay Gap Shareholder     Against     For          
                                                               
  Account
Number 		Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares 		Vote Date Date
Confirmed 		 
  997AL27 GLV 997AL27 STATE
STREET BANK
& TRUST CO 		3,000   0 23-Oct-2019 23-Oct-2019  
  997AL45 GLV BNP
PLEDGE 		997AL45 STATE
STREET BANK
& TRUST CO 		16,760   0 23-Oct-2019 23-Oct-2019  
  997AL60 GLV MS
PLEDGE 		997AL60 STATE
STREET BANK
& TRUST CO 		4,290   0 23-Oct-2019 23-Oct-2019  
  VAIL RESORTS, INC.        
  Security 91879Q109                   Meeting Type   Annual  
  Ticker Symbol MTN                               Meeting Date   05-Dec-2019  
  ISIN US91879Q1094                   Agenda   935093790 - Management
  Record Date 08-Oct-2019                   Holding Recon Date   08-Oct-2019  
  City / Country     / United
States 		            Vote Deadline Date   04-Dec-2019  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1a.   Election of Director: Susan L. Decker Management     For     For          
  1b.   Election of Director: Robert A. Katz Management     For     For          
  1c.   Election of Director: John T. Redmond Management     For     For          
  1d.   Election of Director: Michele Romanow Management     For     For          
  1e.   Election of Director: Hilary A. Schneider Management     For     For          
  1f.   Election of Director: D. Bruce Sewell Management     For     For          
  1g.   Election of Director: John F. Sorte Management     For     For          
  1h.   Election of Director: Peter A. Vaughn Management     For     For          
  2.    Ratify the selection of PricewaterhouseCoopers LLP as
the Company's independent registered public accounting
firm for the fiscal year ending July 31, 2020. 		Management     For     For          
  3.    Hold an advisory vote to approve 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 		120   7,100 22-Oct-2019 22-Oct-2019  
  PING AN INSURANCE (GROUP) COMPANY OF CHINA LTD        
  Security Y69790106                   Meeting Type   ExtraOrdinary General Meeting
  Ticker Symbol                     Meeting Date   10-Dec-2019  
  ISIN CNE1000003X6                   Agenda   711701599 - Management
  Record Date 08-Nov-2019                   Holding Recon Date   08-Nov-2019  
  City / Country   SHENZH
EN 		/ China             Vote Deadline Date   03-Dec-2019  
  SEDOL(s) B01FLR7 - B01NLS2 - B03NP99 -
BD8NLC0 - BP3RWZ1 		            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:-
https://www1.hkexnews.hk/listedco/listconews/sehk/2019/
1024/ltn20191024167.pdf-AND-
https://www1.hkexnews.hk/listedco/listconews/sehk/2019/
1024/ltn20191024173.pdf 		Non-Voting                      
  1.1   TO CONSIDER AND APPROVE THE ELECTION OF
MR. XIE YONGLIN AS AN EXECUTIVE DIRECTOR OF
THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY
OF THE TERM OF THE 11TH SESSION OF THE
BOARD 		Management     For     For          
  1.2   TO CONSIDER AND APPROVE THE ELECTION OF
MS. TAN SIN YIN AS AN EXECUTIVE DIRECTOR OF
THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY
OF THE TERM OF THE 11TH SESSION OF THE
BOARD 		Management     For     For          
  2     TO CONSIDER AND APPROVE THE RESOLUTION
REGARDING THE PROPOSED AMENDMENTS TO
THE ARTICLES OF ASSOCIATION 		Management     For     For          
                                                               
  Account
Number 		Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares 		Vote Date Date
Confirmed 		 
  AL27 GLV   STATE
STREET BANK 		146,200   0 26-Oct-2019 26-Oct-2019  
  VISA INC.        
  Security 92826C839                   Meeting Type   Annual  
  Ticker Symbol V                                 Meeting Date   28-Jan-2020  
  ISIN US92826C8394                   Agenda   935113807 - Management
  Record Date 29-Nov-2019                   Holding Recon Date   29-Nov-2019  
  City / Country     / United
States 		            Vote Deadline Date   27-Jan-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1A.   Election of Director: Lloyd A. Carney Management     For     For          
  1B.   Election of Director: Mary B. Cranston Management     For     For          
  1C.   Election of Director: Francisco Javier Fernández-Carbajal Management     For     For          
  1D.   Election of Director: Alfred F. Kelly, Jr. Management     For     For          
  1E.   Election of Director: Ramon L. Laguarta Management     For     For          
  1F.   Election of Director: John F. Lundgren Management     For     For          
  1G.   Election of Director: Robert W. Matschullat Management     For     For          
  1H.   Election of Director: Denise M. Morrison Management     For     For          
  1I.   Election of Director: Suzanne Nora Johnson Management     For     For          
  1J.   Election of Director: John A. C. Swainson Management     For     For          
  1K.   Election of Director: Maynard G. Webb, Jr. Management     For     For          
  2.    Advisory vote to approve executive compensation. Management     For     For          
  3.    Ratification of the appointment of KPMG LLP as our
independent registered public accounting firm for the
2020 fiscal year. 		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 		199   14,300 06-Dec-2019 06-Dec-2019
  997AL60 GLV MS
PLEDGE 		997AL60 STATE
STREET BANK
& TRUST CO 		4,730   0 06-Dec-2019 06-Dec-2019
  GOLUB CAPITAL BDC, INC.        
  Security 38173M102                   Meeting Type   Annual  
  Ticker Symbol GBDC                              Meeting Date   04-Feb-2020  
  ISIN US38173M1027                   Agenda   935116649 - Management
  Record Date 10-Dec-2019                   Holding Recon Date   10-Dec-2019  
  City / Country     / United
States 		            Vote Deadline Date   03-Feb-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1A.   Election of Class I Director: David B. Golub Management     For     For          
  1B.   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, 2020. 		Management     For     For          
                                                               
  Account
Number 		Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares 		Vote Date Date
Confirmed 		 
  997AL27 GLV 997AL27 STATE
STREET BANK
& TRUST CO 		50,000   0 18-Dec-2019 18-Dec-2019
  997AL45 GLV BNP
PLEDGE 		997AL45 STATE
STREET BANK
& TRUST CO 		136,900   0 18-Dec-2019 18-Dec-2019
  997AL60 GLV MS
PLEDGE 		997AL60 STATE
STREET BANK
& TRUST CO 		37,500   0 18-Dec-2019 18-Dec-2019
  APPLIED MATERIALS, INC.        
  Security 038222105                   Meeting Type   Annual  
  Ticker Symbol AMAT                              Meeting Date   12-Mar-2020  
  ISIN US0382221051                   Agenda   935126258 - Management
  Record Date 16-Jan-2020                   Holding Recon Date   16-Jan-2020  
  City / Country     / United
States 		            Vote Deadline Date   11-Mar-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1A.   Election of Director: Judy Bruner Management     For     For          
  1B.   Election of Director: Xun (Eric) Chen Management     For     For          
  1C.   Election of Director: Aart J. de Geus Management     For     For          
  1D.   Election of Director: Gary E. Dickerson Management     For     For          
  1E.   Election of Director: Stephen R. Forrest Management     For     For          
  1F.   Election of Director: Thomas J. Iannotti Management     For     For          
  1G.   Election of Director: Alexander A. Karsner Management     For     For          
  1H.   Election of Director: Adrianna C. Ma Management     For     For          
  1I.   Election of Director: Yvonne McGill Management     For     For          
  1J.   Election of Director: Scott A. McGregor Management     For     For          
  2.    Approval, on an advisory basis, of the compensation of
Applied Materials' named executive officers for fiscal year
2019. 		Management     For     For          
  3.    Ratification of the appointment of KPMG LLP as Applied
Materials' independent registered public accounting firm
for fiscal year 2020. 		Management     For     For          
  4.    Approval of an amendment and restatement of Applied
Materials' Certificate of Incorporation to allow
shareholders to act by written consent. 		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 		12,200   15,800 31-Jan-2020 31-Jan-2020
  SAMSUNG ELECTRONICS CO LTD        
  Security Y74718100                   Meeting Type   Annual General Meeting
  Ticker Symbol                     Meeting Date   18-Mar-2020  
  ISIN KR7005930003                   Agenda   712181786 - Management
  Record Date 31-Dec-2019                   Holding Recon Date   31-Dec-2019  
  City / Country   KYUNGG
I 		/ Korea,
Republic Of 		            Vote Deadline Date   06-Mar-2020  
  SEDOL(s) 6771720 - B19VC15             Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1     APPROVAL OF FINANCIAL STATEMENTS Management     For     For          
  2.1   ELECTION OF INSIDE DIRECTOR: HAN JONG HEE Management     For     For          
  2.2   ELECTION OF INSIDE DIRECTOR: CHOE YUN HO Management     For     For          
  3     APPROVAL OF REMUNERATION FOR DIRECTOR Management     For     For          
                                                               
  Account
Number 		Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares 		Vote Date Date
Confirmed 		 
  AL27 GLV   STATE
STREET BANK 		81,319   0 22-Feb-2020 22-Feb-2020
  PING AN INSURANCE (GROUP) COMPANY OF CHINA LTD        
  Security Y69790106                   Meeting Type   Annual General Meeting
  Ticker Symbol                     Meeting Date   09-Apr-2020  
  ISIN CNE1000003X6                   Agenda   712283869 - Management
  Record Date 09-Mar-2020                   Holding Recon Date   09-Mar-2020  
  City / Country   SHENZH
EN 		/ China             Vote Deadline Date   02-Apr-2020  
  SEDOL(s) B01FLR7 - B01NLS2 - B03NP99 -
BD8NLC0 - BP3RWZ1 		            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:-
https://www1.hkexnews.hk/listedco/listconews/sehk/2020/
0318/2020031801008.pdf, 		Non-Voting                      
  CMMT  PLEASE NOTE THAT THIS IS AN AMENDMENT TO
MEETING ID 362445 DUE TO ADDITION OF-
RESOLUTION 11. ALL VOTES RECEIVED ON THE
PREVIOUS MEETING WILL BE DISREGARDED-AND
YOU WILL NEED TO REINSTRUCT ON THIS MEETING
NOTICE. THANK YOU 		Non-Voting                      
  1     TO CONSIDER AND APPROVE THE REPORT OF THE
BOARD OF DIRECTORS OF THE COMPANY FOR THE
YEAR 2019 		Management     For     For          
  2     TO CONSIDER AND APPROVE THE REPORT OF THE
SUPERVISORY COMMITTEE OF THE COMPANY FOR
THE YEAR 2019 		Management     For     For          
  3     TO CONSIDER AND APPROVE THE ANNUAL REPORT
OF THE COMPANY FOR THE YEAR 2019 AND ITS
SUMMARY 		Management     For     For          
  4     TO CONSIDER AND APPROVE THE REPORT OF
FINAL ACCOUNTS OF THE COMPANY FOR THE
YEAR 2019 INCLUDING THE AUDIT REPORT AND
AUDITED FINANCIAL STATEMENTS OF THE
COMPANY FOR THE YEAR 2019 		Management     For     For          
  5     TO CONSIDER AND APPROVE THE PROFIT
DISTRIBUTION PLAN OF THE COMPANY FOR THE
YEAR 2019 AND THE PROPOSED DISTRIBUTION OF
FINAL DIVIDENDS 		Management     For     For          
  6     TO CONSIDER AND APPROVE THE RESOLUTION
REGARDING THE APPOINTMENT OF AUDITORS OF
THE COMPANY FOR THE YEAR 2020, RE-
APPOINTING PRICEWATERHOUSECOOPERS
ZHONG TIAN LLP AS THE PRC AUDITOR AND
PRICEWATERHOUSECOOPERS AS THE 		Management     For     For          
      INTERNATIONAL AUDITOR OF THE COMPANY TO
HOLD OFFICE UNTIL THE CONCLUSION OF THE
NEXT ANNUAL GENERAL MEETING AND
AUTHORIZING THE BOARD OF DIRECTORS TO RE-
AUTHORIZE THE MANAGEMENT OF THE COMPANY
TO FIX THEIR REMUNERATION 		                                   
  7     TO CONSIDER AND APPROVE THE PERFORMANCE
EVALUATION OF THE INDEPENDENT NON-
EXECUTIVE DIRECTORS FOR THE YEAR 2019 		Management     For     For          
  8     TO CONSIDER AND APPROVE THE RESOLUTION
REGARDING THE ISSUE OF DEBT FINANCING
INSTRUMENTS 		Management     For     For          
  9     TO CONSIDER AND APPROVE THE RESOLUTION
REGARDING THE PROPOSED GRANT OF THE
GENERAL MANDATE BY THE GENERAL MEETING TO
THE BOARD TO ISSUE H SHARES, I.E. THE GRANT
OF A GENERAL MANDATE TO THE BOARD TO
ALLOT, ISSUE AND DEAL WITH ADDITIONAL H
SHARES NOT EXCEEDING 20% OF THE AGGREGATE
NOMINAL AMOUNT OF THE H SHARES IN ISSUE,
REPRESENTING UP TO LIMIT OF 8.15% OF THE
TOTAL NUMBER OF SHARES OF THE COMPANY IN
ISSUE, AT A DISCOUNT (IF ANY) OF NO MORE THAN
10% TO THE BENCHMARK PRICE (INSTEAD OF THE
20% LIMIT IMPOSED BY THE RULES GOVERNING
THE LISTING OF SECURITIES ON THE STOCK
EXCHANGE OF HONG KONG LIMITED) AND
AUTHORIZE THE BOARD OF DIRECTORS TO MAKE
CORRESPONDING AMENDMENTS TO THE ARTICLES
OF ASSOCIATION OF THE COMPANY AS IT THINKS
FIT SO AS TO REFLECT THE NEW CAPITAL
STRUCTURE UPON THE ALLOTMENT OR ISSUANCE
OF H SHARES 		Management     For     For          
  10    TO CONSIDER AND APPROVE THE RESOLUTION
REGARDING THE PROPOSED AMENDMENTS TO
THE ARTICLES OF ASSOCIATION OF THE COMPANY 		Management     For     For          
  11    PLEASE NOTE THAT THIS RESOLUTION IS A
SHAREHOLDER PROPOSAL: TO CONSIDER AND
APPROVE THE RESOLUTION REGARDING THE
ELECTION OF DIRECTOR OF THE COMPANY,
ELECTING MR. LU MIN AS AN EXECUTIVE DIRECTOR
OF THE COMPANY TO HOLD OFFICE UNTIL THE
EXPIRY OF THE TERM OF THE 11TH SESSION OF
THE BOARD OF DIRECTORS 		Shareholder     Against     Against          
                                                               
  Account
Number 		Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares 		Vote Date Date
Confirmed 		 
  AL27 GLV   STATE
STREET BANK 		73,200   0 19-Mar-2020 19-Mar-2020
  CITIGROUP INC.        
  Security 172967424                   Meeting Type   Annual  
  Ticker Symbol C                                 Meeting Date   21-Apr-2020  
  ISIN US1729674242                   Agenda   935139849 - Management
  Record Date 24-Feb-2020                   Holding Recon Date   24-Feb-2020  
  City / Country     / United
States 		            Vote Deadline Date   20-Apr-2020  
  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: Grace E. Dailey Management     For     For          
  1D.   Election of Director: Barbara J. Desoer Management     For     For          
  1E.   Election of Director: John C. Dugan Management     For     For          
  1F.   Election of Director: Duncan P. Hennes Management     For     For          
  1G.   Election of Director: Peter B. Henry Management     For     For          
  1H.   Election of Director: S. Leslie Ireland Management     For     For          
  1I.   Election of Director: Lew W. (Jay) Jacobs, IV Management     For     For          
  1J.   Election of Director: Renée J. James Management     For     For          
  1K.   Election of Director: Gary M. Reiner Management     For     For          
  1L.   Election of Director: Diana L. Taylor 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: Alexander R. Wynaendts Management     For     For          
  1P.   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 2020. 		Management     For     For          
  3.    Advisory vote to approve Citi's 2019 Executive
Compensation. 		Management     For     For          
  4.    Approval of Additional Authorized Shares Under the
Citigroup 2019 Stock Incentive Plan. 		Management     For     For          
  5.    Stockholder proposal requesting an amendment to Citi's
proxy access by-law provisions pertaining to the
aggregation limit. 		Shareholder     Against     For          
  6.    Stockholder proposal requesting that the Board review
Citi's governance documents and make
recommendations to shareholders on how the "Purpose
of a Corporation" signed by Citi's CEO can be fully
implemented. 		Shareholder     Against     For          
  7.    Stockholder proposal requesting a report disclosing
information regarding Citi's lobbying policies and
activities. 		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 		20,100   50,530 12-Mar-2020 12-Mar-2020
  997AL60 GLV MS
PLEDGE 		997AL60 STATE
STREET BANK
& TRUST CO 		5,000   0 12-Mar-2020 12-Mar-2020
  BANK OF AMERICA CORPORATION        
  Security 060505104                   Meeting Type   Annual  
  Ticker Symbol BAC                               Meeting Date   22-Apr-2020  
  ISIN US0605051046                   Agenda   935139825 - Management
  Record Date 02-Mar-2020                   Holding Recon Date   02-Mar-2020  
  City / Country     / United
States 		            Vote Deadline Date   21-Apr-2020  
  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: Denise L. Ramos Management     For     For          
  1M.   Election of Director: Clayton S. Rose Management     For     For          
  1N.   Election of Director: Michael D. White Management     For     For          
  1O.   Election of Director: Thomas D. Woods Management     For     For          
  1P.   Election of Director: R. David Yost Management     For     For          
  1Q.   Election of Director: Maria T. Zuber Management     For     For          
  2.    Approving Our Executive Compensation (an Advisory,
Non-binding "Say on Pay" Resolution). 		Management     For     For          
  3.    Ratifying the Appointment of Our Independent Registered
Public Accounting Firm for 2020. 		Management     For     For          
  4.    Make Shareholder Proxy Access More Accessible. Shareholder     Against     For          
  5.    Adopt a New Shareholder Right - Written Consent Shareholder     Against     For          
  6.    Report Concerning Gender/Racial Pay Equity. Shareholder     Against     For          
  7.    Review of Statement of the Purpose of a Corporation and
Report on Recommended Changes to Governance
Documents, Policies, and Practices. 		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   85,691 10-Mar-2020 10-Mar-2020
  AGNC INVESTMENT CORP.        
  Security 00123Q104                   Meeting Type   Annual  
  Ticker Symbol AGNC                              Meeting Date   23-Apr-2020  
  ISIN US00123Q1040                   Agenda   935138861 - Management
  Record Date 24-Feb-2020                   Holding Recon Date   24-Feb-2020  
  City / Country     / United
States 		            Vote Deadline Date   22-Apr-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1.1   Election of Director: Donna J. Blank Management     For     For          
  1.2   Election of Director: Morris A. Davis Management     For     For          
  1.3   Election of Director: John D. Fisk Management     For     For          
  1.4   Election of Director: Prue B. Larocca Management     For     For          
  1.5   Election of Director: Paul E. Mullings Management     For     For          
  1.6   Election of Director: Frances R. Spark Management     For     For          
  1.7   Election of Director: Gary D. Kain Management     For     For          
  2.    Approval of the amendment to our Amended and
Restated Certificate of Incorporation to increase the total
authorized number of shares of common stock from
900,000,000 to 1,500,000,000. 		Management     For     For          
  3.    Advisory vote to approve the compensation of our named
executive officers. 		Management     For     For          
  4.    Ratification of appointment of Ernst & Young LLP as our
independent public accountant for the year ending
December 31, 2020. 		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 		176,100   0 14-Mar-2020 14-Mar-2020
  997AL60 GLV MS
PLEDGE 		997AL60 STATE
STREET BANK
& TRUST CO 		30,000   0 14-Mar-2020 14-Mar-2020
  BARINGS BDC, INC.        
  Security 06759L103                   Meeting Type   Annual  
  Ticker Symbol BBDC                              Meeting Date   30-Apr-2020  
  ISIN US06759L1035                   Agenda   935146046 - Management
  Record Date 03-Mar-2020                   Holding Recon Date   03-Mar-2020  
  City / Country     / United
States 		            Vote Deadline Date   29-Apr-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1A.   Election of Class II Director: Michael Freno Management     For     For          
  1B.   Election of Class II Director: John A. Switzer Management     For     For          
  2.    To authorize the Company, with subsequent approval of
its Board of Directors, to issue and sell shares of its
common stock at a price below its then current net asset
value per share in one or more offerings, subject to
certain limitations (including, without limitation, that the
number of shares does not exceed 25% of its 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 		 
  997AL45 GLV BNP
PLEDGE 		997AL45 STATE
STREET BANK
& TRUST CO 		202,900   0 17-Mar-2020 17-Mar-2020
  ELI LILLY AND COMPANY        
  Security 532457108                   Meeting Type   Annual  
  Ticker Symbol LLY                               Meeting Date   04-May-2020  
  ISIN US5324571083                   Agenda   935148937 - Management
  Record Date 09-Mar-2020                   Holding Recon Date   09-Mar-2020  
  City / Country     / United
States 		            Vote Deadline Date   01-May-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1A.   Election of Director: M. L. Eskew Management     For     For          
  1B.   Election of Director: W. G. Kaelin, Jr. Management     For     For          
  1C.   Election of Director: D. A. Ricks Management     For     For          
  1D.   Election of Director: M. S. Runge Management     For     For          
  1E.   Election of Director: K. Walker Management     For     For          
  2.    Approval, by non-binding vote, of the compensation paid
to the company's named executive officers. 		Management     For     For          
  3.    Ratification of Ernst & Young LLP as the independent
auditor for 2020. 		Management     For     For          
  4.    Approve amendments to the Articles of Incorporation to
eliminate the classified board structure. 		Management     For     For          
  5.    Approve amendments to the Articles of Incorporation to
eliminate supermajority voting provisions. 		Management     For     For          
  6.    Shareholder proposal to disclose direct and indirect
lobbying activities and expenditures. 		Shareholder     Against     For          
  7.    Shareholder proposal to publish a report on the
effectiveness of the forced swim test. 		Shareholder     Against     For          
  8.    Shareholder proposal to amend the bylaws to require an
independent board chair. 		Shareholder     Against     For          
  9.    Shareholder proposal on board diversity requesting
disclosures of specific minimum qualifications and board
nominee skills, experience, and ideological perspective. 		Shareholder     Against     For          
  10.   Shareholder proposal to publish feasibility report on
incorporating public concern over drug prices into senior
executive compensation arrangements. 		Shareholder     Against     For          
  11.   Shareholder proposal to implement a bonus deferral
policy. 		Shareholder     Against     For          
  12.   Shareholder proposal to disclose clawbacks on executive
incentive compensation due to misconduct. 		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 		113   7,300 21-Mar-2020 21-Mar-2020
  BAXTER INTERNATIONAL INC.        
  Security 071813109                   Meeting Type   Annual  
  Ticker Symbol BAX                               Meeting Date   05-May-2020  
  ISIN US0718131099                   Agenda   935147036 - Management
  Record Date 12-Mar-2020                   Holding Recon Date   12-Mar-2020  
  City / Country     / United
States 		            Vote Deadline Date   04-May-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1A.   Election of Director: José (Joe) E. Almeida Management     For     For          
  1B.   Election of Director: Thomas F. Chen Management     For     For          
  1C.   Election of Director: John D. Forsyth Management     For     For          
  1D.   Election of Director: James R. Gavin III Management     For     For          
  1E.   Election of Director: Peter S. Hellman Management     For     For          
  1F.   Election of Director: Michael F. Mahoney Management     For     For          
  1G.   Election of Director: Patricia B. Morrison Management     For     For          
  1H.   Election of Director: Stephen N. Oesterle Management     For     For          
  1I.   Election of Director: Cathy R. Smith Management     For     For          
  1J.   Election of Director: Thomas T. Stallkamp Management     For     For          
  1K.   Election of Director: Albert P.L. Stroucken Management     For     For          
  1L.   Election of Director: Amy A. Wendell Management     For     For          
  2.    Advisory Vote to Approve Named Executive Officer
Compensation 		Management     For     For          
  3.    Ratification of Appointment of Independent Registered
Public Accounting Firm 		Management     For     For          
  4.    Stockholder Proposal - Independent Board Chairman Shareholder     Against     For          
  5.    Stockholder Proposal - Right to Act by Written Consent 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 		55,980   0 24-Mar-2020 24-Mar-2020
  GILEAD SCIENCES, INC.        
  Security 375558103                   Meeting Type   Annual  
  Ticker Symbol GILD                              Meeting Date   06-May-2020  
  ISIN US3755581036                   Agenda   935151883 - Management
  Record Date 13-Mar-2020                   Holding Recon Date   13-Mar-2020  
  City / Country     / United
States 		            Vote Deadline Date   05-May-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1A.   Election of Director: Jacqueline K. Barton, Ph.D. Management     For     For          
  1B.   Election of Director: Sandra J. Horning, M.D. Management     For     For          
  1C.   Election of Director: Kelly A. Kramer Management     For     For          
  1D.   Election of Director: Kevin E. Lofton Management     For     For          
  1E.   Election of Director: Harish Manwani Management     For     For          
  1F.   Election of Director: Daniel P. O'Day Management     For     For          
  1G.   Election of Director: Richard J. Whitley, M.D. Management     For     For          
  1H.   Election of Director: Per Wold-Olsen Management     For     For          
  2.    To ratify the selection of Ernst & Young LLP by the Audit
Committee of the Board of Directors as the independent
registered public accounting firm of Gilead for the fiscal
year ending December 31, 2020. 		Management     For     For          
  3.    To approve, on an advisory basis, the compensation of
our Named Executive Officers as presented in the Proxy
Statement. 		Management     For     For          
  4.    To vote on a stockholder proposal, if properly presented
at the meeting, requesting that the Board adopt a policy
that the Chairperson of the Board of Directors be an
independent director. 		Shareholder     Against     For          
  5.    To vote on a stockholder proposal, if properly presented
at the meeting, requesting that the Board eliminate the
ownership threshold for stockholders to request a record
date to take action by written consent. 		Shareholder     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 		12,000   0 28-Mar-2020 28-Mar-2020
  997AL60 GLV MS
PLEDGE 		997AL60 STATE
STREET BANK
& TRUST CO 		1,900   0 28-Mar-2020 28-Mar-2020
  COMMUNITY HEALTHCARE TRUST INCORPORATED        
  Security 20369C106                   Meeting Type   Annual  
  Ticker Symbol CHCT                              Meeting Date   07-May-2020  
  ISIN US20369C1062                   Agenda   935144523 - Management
  Record Date 06-Mar-2020                   Holding Recon Date   06-Mar-2020  
  City / Country     / United
States 		            Vote Deadline Date   06-May-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1.    DIRECTOR Management                      
        1 Alan Gardner           For     For          
        2 Claire Gulmi           For     For          
        3 Robert Hensley           For     For          
        4 Lawrence Van Horn           For     For          
        5 Timothy Wallace           For     For          
  2.    To approve, on a non-binding advisory basis, the
following resolution: RESOLVED, that the stockholders of
Community Healthcare Trust Incorporated approve, on a
non-binding advisory basis, the compensation of the
named executive officers as disclosed pursuant to Item
402 of Regulation S-K in the Company's proxy statement
for the 2020 annual meeting of stockholders. 		Management     For     For          
  3.    To approve, on a non-binding advisory basis, the
frequency of a non-binding advisory vote on executive
compensation. 		Management     3 Years     Against          
  4.    To ratify the appointment of BDO USA, LLP as the
Company's independent registered public accountants for
2020. 		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 		107,700   0 21-Mar-2020 21-Mar-2020
  ZIMMER BIOMET HOLDINGS, INC.        
  Security 98956P102                   Meeting Type   Annual  
  Ticker Symbol ZBH                               Meeting Date   08-May-2020  
  ISIN US98956P1021                   Agenda   935151516 - Management
  Record Date 09-Mar-2020                   Holding Recon Date   09-Mar-2020  
  City / Country     / United
States 		            Vote Deadline Date   07-May-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1A.   Election of Director: Christopher B. Begley Management     For     For          
  1B.   Election of Director: Betsy J. Bernard Management     For     For          
  1C.   Election of Director: Gail K. Boudreaux Management     For     For          
  1D.   Election of Director: Michael J. Farrell Management     For     For          
  1E.   Election of Director: Larry C. Glasscock Management     For     For          
  1F.   Election of Director: Robert A. Hagemann Management     For     For          
  1G.   Election of Director: Bryan C. Hanson Management     For     For          
  1H.   Election of Director: Arthur J. Higgins Management     For     For          
  1I.   Election of Director: Maria Teresa Hilado Management     For     For          
  1J.   Election of Director: Syed Jafry Management     For     For          
  1K.   Election of Director: Michael W. Michelson Management     For     For          
  2.    Ratify the appointment of PricewaterhouseCoopers LLP
as our independent registered public accounting firm for
2020. 		Management     For     For          
  3.    Advisory vote to approve named executive officer
compensation (Say on Pay). 		Management     For     For          
                                                               
  Account
Number 		Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares 		Vote Date Date
Confirmed 		 
  997AL27 GLV 997AL27 STATE
STREET BANK
& TRUST CO 		1,630   0 26-Mar-2020 26-Mar-2020
  997AL45 GLV BNP
PLEDGE 		997AL45 STATE
STREET BANK
& TRUST CO 		10,140   0 26-Mar-2020 26-Mar-2020
  THE GABELLI EQUITY TRUST INC.        
  Security 362397846                   Meeting Type   Annual  
  Ticker Symbol GABPRK                            Meeting Date   11-May-2020  
  ISIN US3623978463                   Agenda   935161303 - Management
  Record Date 17-Mar-2020                   Holding Recon Date   17-Mar-2020  
  City / Country     / United
States 		            Vote Deadline Date   08-May-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1.    DIRECTOR Management                      
        1 Frank J. Fahrenkopf, Jr           For     For          
        2 Salvatore J. Zizza           For     For          
        3 Kuni Nakamura           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 		28,000   0 31-Mar-2020 31-Mar-2020
  SUN ART RETAIL GROUP LTD        
  Security Y8184B109                   Meeting Type   Annual General Meeting
  Ticker Symbol                     Meeting Date   12-May-2020  
  ISIN HK0000083920                   Agenda   712343083 - Management
  Record Date 06-May-2020                   Holding Recon Date   06-May-2020  
  City / Country   HONG
KONG 		/ Hong Kong             Vote Deadline Date   06-May-2020  
  SEDOL(s) B3MPN59 - B42WXJ1 - B7N39Y1 -
BD8NN79 - BP3RYP5 		            Quick Code      
                                                               
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  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                      
  CMMT  PLEASE NOTE THAT THE COMPANY NOTICE AND
PROXY FORM ARE AVAILABLE BY CLICKING-ON THE
URL LINKS:-
https://www1.hkexnews.hk/listedco/listconews/sehk/2020/
0403/2020040300917.pdf-AND-
https://www1.hkexnews.hk/listedco/listconews/sehk/2020/
0403/2020040300877.pdf 		Non-Voting                      
  1     TO RECEIVE THE AUDITED CONSOLIDATED
FINANCIAL STATEMENTS OF THE COMPANY AND
THE REPORTS OF THE DIRECTORS (THE
"DIRECTORS") AND AUDITORS FOR THE YEAR
ENDED 31 DECEMBER 2019 		Management     For     For          
  2     TO DECLARE A FINAL DIVIDEND OF HKD 0.15 PER
SHARE FOR THE YEAR ENDED 31 DECEMBER 2019 		Management     For     For          
  3.A   TO RE-ELECT MR. HUANG MING-TUAN AS AN
EXECUTIVE DIRECTOR 		Management     For     For          
  3.B   TO RE-ELECT MR. XAVIER, MARIE, ALAIN DELOM DE
MEZERAC AS A NON-EXECUTIVE DIRECTOR 		Management     For     For          
  3.C   TO RE-ELECT MR. BENOIT, CLAUDE, FRANCOIS,
MARIE, JOSEPH LECLERCQ AS A NON-EXECUTIVE
DIRECTOR 		Management     For     For          
  3.D   TO RE-ELECT MRS. ISABELLE, CLAUDINE,
FRANCOISE BLONDE EP. BOUVIER AS A NON-
EXECUTIVE DIRECTOR 		Management     For     For          
  3.E   TO RE-ELECT MR. HE YI AS AN INDEPENDENT NON-
EXECUTIVE DIRECTOR 		Management     For     For          
  3.F   TO RE-ELECT MR. DIETER YIH AS AN INDEPENDENT
NON-EXECUTIVE DIRECTOR 		Management     For     For          
  3.G   TO AUTHORIZE THE BOARD OF DIRECTORS (THE
"BOARD") TO FIX THE RESPECTIVE DIRECTORS'
REMUNERATION 		Management     For     For          
  4     TO RE-APPOINT KPMG AS AUDITORS AND TO
AUTHORIZE THE BOARD TO FIX THEIR
REMUNERATION 		Management     For     For          
  5     TO GIVE A GENERAL MANDATE TO THE DIRECTORS
TO BUY BACK SHARES OF THE COMPANY NOT
EXCEEDING 10% OF THE TOTAL NUMBER OF
ISSUED SHARES OF THE COMPANY AS AT THE
DATE OF PASSING OF THIS RESOLUTION 		Management     For     For          
  6     TO GIVE A GENERAL MANDATE TO THE DIRECTORS
TO ISSUE, ALLOT AND DEAL WITH ADDITIONAL
SHARES OF THE COMPANY NOT EXCEEDING 20%
OF THE TOTAL NUMBER OF ISSUED SHARES OF
THE COMPANY AS AT THE DATE OF PASSING OF
THIS RESOLUTION 		Management     For     For          
  7     TO EXTEND THE GENERAL MANDATE GRANTED TO
THE DIRECTORS TO ISSUE, ALLOT AND DEAL WITH
ADDITIONAL SHARES IN THE CAPITAL OF THE
COMPANY BY THE AGGREGATE NUMBER OF THE
SHARES BOUGHT BACK BY THE COMPANY 		Management     For     For          
                                                               
  Account
Number 		Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares 		Vote Date Date
Confirmed 		 
  AL27 GLV   STATE
STREET BANK 		836,000   0 07-Apr-2020 07-Apr-2020
  TENCENT HOLDINGS LTD        
  Security G87572163                   Meeting Type   Annual General Meeting
  Ticker Symbol                     Meeting Date   13-May-2020  
  ISIN KYG875721634                   Agenda   712379583 - Management
  Record Date 07-May-2020                   Holding Recon Date   07-May-2020  
  City / Country   HONG
KONG 		/ Cayman
Islands 		            Vote Deadline Date   06-May-2020  
  SEDOL(s) BDDXGP3 - BGPHZF7 - BMN9869 -
BMNDJT1 		            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:-
https://www1.hkexnews.hk/listedco/listconews/sehk/2020/
0407/2020040701452.pdf, 		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                      
  1     TO RECEIVE AND CONSIDER THE AUDITED
FINANCIAL STATEMENTS, THE DIRECTORS'
REPORT AND THE INDEPENDENT AUDITOR'S
REPORT FOR THE YEAR ENDED 31 DECEMBER 2019 		Management     For     For          
  2     TO DECLARE A FINAL DIVIDEND Management     For     For          
  3.A   TO RE-ELECT MR LAU CHI PING MARTIN AS
DIRECTOR 		Management     For     For          
  3.B   TO RE-ELECT MR CHARLES ST LEGER SEARLE AS
DIRECTOR 		Management     For     For          
  3.C   TO RE-ELECT PROFESSOR KE YANG AS DIRECTOR Management     For     For          
  3.D   TO AUTHORISE THE BOARD OF DIRECTORS TO FIX
THE DIRECTORS' REMUNERATION 		Management     For     For          
  4     TO RE-APPOINT AUDITOR AND AUTHORISE THE
BOARD OF DIRECTORS TO FIX THEIR
REMUNERATION 		Management     For     For          
  5     TO GRANT A GENERAL MANDATE TO THE
DIRECTORS TO ISSUE NEW SHARES 		Management     For     For          
  6     TO GRANT A GENERAL MANDATE TO THE
DIRECTORS TO REPURCHASE SHARES 		Management     For     For          
  7     TO EXTEND THE GENERAL MANDATE TO ISSUE
NEW SHARES BY ADDING THE NUMBER OF SHARES
REPURCHASED 		Management     For     For          
  8     TO APPROVE THE PROPOSED AMENDMENTS TO
THE EXISTING AMENDED AND RESTATED
MEMORANDUM OF ASSOCIATION AND ARTICLES OF
ASSOCIATION OF THE COMPANY AND TO ADOPT
THE SECOND AMENDED AND RESTATED
MEMORANDUM OF ASSOCIATION AND ARTICLES OF
ASSOCIATION OF THE COMPANY 		Management     For     For          
                                                               
  Account
Number 		Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares 		Vote Date Date
Confirmed 		 
  AL27 GLV   STATE
STREET BANK 		27,100   0 10-Apr-2020 10-Apr-2020
  AMERICAN INTERNATIONAL GROUP, INC.        
  Security 026874784                   Meeting Type   Annual  
  Ticker Symbol AIG                               Meeting Date   13-May-2020  
  ISIN US0268747849                   Agenda   935159877 - Management
  Record Date 18-Mar-2020                   Holding Recon Date   18-Mar-2020  
  City / Country     / United
States 		            Vote Deadline Date   12-May-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1A.   Election of Director: W. DON CORNWELL Management     For     For          
  1B.   Election of Director: BRIAN DUPERREAULT Management     For     For          
  1C.   Election of Director: JOHN H. FITZPATRICK Management     For     For          
  1D.   Election of Director: WILLIAM G. JURGENSEN Management     For     For          
  1E.   Election of Director: CHRISTOPHER S. LYNCH Management     For     For          
  1F.   Election of Director: HENRY S. MILLER Management     For     For          
  1G.   Election of Director: LINDA A. MILLS Management     For     For          
  1H.   Election of Director: THOMAS F. MOTAMED Management     For     For          
  1I.   Election of Director: PETER R. PORRINO Management     For     For          
  1J.   Election of Director: AMY L. SCHIOLDAGER Management     For     For          
  1K.   Election of Director: DOUGLAS M. STEENLAND Management     For     For          
  1L.   Election of Director: THERESE M. VAUGHAN Management     For     For          
  2.    To vote, on a non-binding advisory basis, to approve
executive compensation. 		Management     For     For          
  3.    To act upon a proposal to amend and restate AIG's
Amended and Restated Certificate of Incorporation to
restrict certain transfers of AIG Common Stock in order to
protect AIG's tax attributes. 		Management     For     For          
  4.    To act upon a proposal to ratify the amendment to extend
the expiration of the American International Group, Inc.
Tax Asset Protection Plan. 		Management     For     For          
  5.    To act upon a proposal to ratify the selection of
PricewaterhouseCoopers LLP as AIG's independent
registered public accounting firm for 2020. 		Management     For     For          
  6.    To vote on a shareholder proposal to give shareholders
who hold at least 10 percent of AIG's outstanding
common stock the right to call special 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 		13,500   17,400 01-Apr-2020 01-Apr-2020
  SERVICE CORPORATION INTERNATIONAL        
  Security 817565104                   Meeting Type   Annual  
  Ticker Symbol SCI                               Meeting Date   13-May-2020  
  ISIN US8175651046                   Agenda   935160046 - Management
  Record Date 16-Mar-2020                   Holding Recon Date   16-Mar-2020  
  City / Country     / United
States 		            Vote Deadline Date   12-May-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1A.   Election of Director: Alan R. Buckwalter Management     For     For          
  1B.   Election of Director: Jakki L. Haussler Management     For     For          
  1C.   Election of Director: Victor L. Lund Management     For     For          
  1D.   Election of Director: Clifton H. Morris, Jr. Management     For     For          
  1E.   Election of Director: Ellen Ochoa Management     For     For          
  1F.   Election of Director: Thomas L. Ryan Management     For     For          
  1G.   Election of Director: W. Blair Waltrip Management     For     For          
  2.    Ratify the selection of PricewaterhouseCoopers LLP as
the Company's independent registered public accounting
firm for fiscal year ending December 31, 2020. 		Management     For     For          
  3.    To approve, by advisory vote, named executive officer
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 		100   19,200 31-Mar-2020 31-Mar-2020
  INTEL CORPORATION        
  Security 458140100                   Meeting Type   Annual  
  Ticker Symbol INTC                              Meeting Date   14-May-2020  
  ISIN US4581401001                   Agenda   935158635 - Management
  Record Date 16-Mar-2020                   Holding Recon Date   16-Mar-2020  
  City / Country     / United
States 		            Vote Deadline Date   13-May-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1A.   Election of Director: James J. Goetz Management     For     For          
  1B.   Election of Director: Alyssa Henry Management     For     For          
  1C.   Election of Director: Omar Ishrak Management     For     For          
  1D.   Election of Director: Risa Lavizzo-Mourey Management     For     For          
  1E.   Election of Director: Tsu-Jae King Liu Management     For     For          
  1F.   Election of Director: Gregory D. Smith Management     For     For          
  1G.   Election of Director: Robert ("Bob") H. Swan Management     For     For          
  1H.   Election of Director: Andrew Wilson Management     For     For          
  1I.   Election of Director: Frank D. Yeary Management     For     For          
  2.    Ratification of selection of Ernst & Young LLP as our
independent registered public accounting firm for 2020 		Management     For     For          
  3.    Advisory vote to approve executive compensation of our
listed officers 		Management     For     For          
  4.    Approval of amendment and restatement of the 2006
Employee Stock Purchase Plan 		Management     For     For          
  5.    Stockholder proposal on whether to allow stockholders to
act by written consent, if properly presented at the
meeting 		Shareholder     Against     For          
  6.    Stockholder proposal requesting a report on the global
median gender/racial pay gap, if properly presented at
the meeting 		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 		14,100   0 01-Apr-2020 01-Apr-2020
  SBA COMMUNICATIONS CORPORATION        
  Security 78410G104                   Meeting Type   Annual  
  Ticker Symbol SBAC                              Meeting Date   14-May-2020  
  ISIN US78410G1040                   Agenda   935159221 - Management
  Record Date 12-Mar-2020                   Holding Recon Date   12-Mar-2020  
  City / Country     / United
States 		            Vote Deadline Date   13-May-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1.1   Election of Director For a three-year term expiring at the
2023 Annual Meeting: Steven E. Bernstein 		Management     For     For          
  1.2   Election of Director For a three-year term expiring at the
2023 Annual Meeting: Duncan H. Cocroft 		Management     For     For          
  1.3   Election of Director For a three-year term expiring at the
2023 Annual Meeting: Fidelma Russo 		Management     For     For          
  2.    Ratification of the appointment of Ernst & Young LLP as
SBA's independent registered public accounting firm for
the 2020 fiscal year. 		Management     For     For          
  3.    Approval, on an advisory basis, of the compensation of
SBA's named executive officers. 		Management     For     For          
  4.    Approval of the 2020 Performance and Equity Incentive
Plan. 		Management     For     For          
                                                               
  Account
Number 		Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares 		Vote Date Date
Confirmed 		 
  997AL27 GLV 997AL27 STATE
STREET BANK
& TRUST CO 		4,560   0 04-Apr-2020 04-Apr-2020
  PENNYMAC MORTGAGE INVESTMENT TRUST        
  Security 70931T103                   Meeting Type   Annual  
  Ticker Symbol PMT                               Meeting Date   14-May-2020  
  ISIN US70931T1034                   Agenda   935166733 - Management
  Record Date 16-Mar-2020                   Holding Recon Date   16-Mar-2020  
  City / Country     / United
States 		            Vote Deadline Date   13-May-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1A.   Election of Class II trustee for a term expiring at the 2023
Annual Meeting of Shareholders: Preston DuFauchard 		Management     For     For          
  1B.   Election of Class II trustee for a term expiring at the 2023
Annual Meeting of Shareholders: Nancy McAllister 		Management     For     For          
  1C.   Election of Class II trustee for a term expiring at the 2023
Annual Meeting of Shareholders: Stacey D. Stewart 		Management     For     For          
  2.    To ratify the appointment of our independent registered
public accounting firm for the fiscal year ending
December 31, 2020. 		Management     For     For          
  3.    To approve, by non-binding vote, our 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 		103,900   0 04-Apr-2020 04-Apr-2020
  JPMORGAN CHASE & CO.        
  Security 46625H100                   Meeting Type   Annual  
  Ticker Symbol JPM                               Meeting Date   19-May-2020  
  ISIN US46625H1005                   Agenda   935170833 - Management
  Record Date 20-Mar-2020                   Holding Recon Date   20-Mar-2020  
  City / Country     / United
States 		            Vote Deadline Date   18-May-2020  
  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: Stephen B. Burke Management     For     For          
  1C.   Election of Director: Todd A. Combs Management     For     For          
  1D.   Election of Director: James S. Crown Management     For     For          
  1E.   Election of Director: James Dimon Management     For     For          
  1F.   Election of Director: Timothy P. Flynn Management     For     For          
  1G.   Election of Director: Mellody Hobson Management     For     For          
  1H.   Election of Director: Michael A. Neal Management     For     For          
  1I.   Election of Director: Lee R. Raymond Management     For     For          
  1J.   Election of Director: Virginia M. Rometty 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.    Independent board chairman Shareholder     Against     For          
  5.    Oil and gas company and project financing related to the
Arctic and the Canadian oil sands 		Shareholder     Against     For          
  6.    Climate change risk reporting Shareholder     Against     For          
  7.    Amend shareholder written consent provisions Shareholder     Against     For          
  8.    Charitable contributions disclosure Shareholder     Against     For          
  9.    Gender/Racial pay equity 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   17,400 07-Apr-2020 07-Apr-2020
  997AL60 GLV MS
PLEDGE 		997AL60 STATE
STREET BANK
& TRUST CO 		3,000   0 07-Apr-2020 07-Apr-2020
  AMGEN INC.        
  Security 031162100                   Meeting Type   Annual  
  Ticker Symbol AMGN                              Meeting Date   19-May-2020  
  ISIN US0311621009                   Agenda   935172419 - Management
  Record Date 20-Mar-2020                   Holding Recon Date   20-Mar-2020  
  City / Country     / United
States 		            Vote Deadline Date   18-May-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1A.   Election of Director: Dr. Wanda M. Austin Management     For     For          
  1B.   Election of Director: Mr. Robert A. Bradway Management     For     For          
  1C.   Election of Director: Dr. Brian J. Druker Management     For     For          
  1D.   Election of Director: Mr. Robert A. Eckert Management     For     For          
  1E.   Election of Director: Mr. Greg C. Garland Management     For     For          
  1F.   Election of Director: Mr. Fred Hassan Management     For     For          
  1G.   Election of Director: Mr. Charles M. Holley, Jr. Management     For     For          
  1H.   Election of Director: Dr. Tyler Jacks Management     For     For          
  1I.   Election of Director: Ms. Ellen J. Kullman Management     For     For          
  1J.   Election of Director: Dr. Ronald D. Sugar Management     For     For          
  1K.   Election of Director: Dr. R. Sanders Williams Management     For     For          
  2.    Advisory vote to approve our executive compensation. Management     For     For          
  3.    To ratify the selection of Ernst & Young LLP as our
independent registered public accountants for the fiscal
year ending December 31, 2020. 		Management     For     For          
  4.    Stockholder proposal to require an independent board
chair. 		Shareholder     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 		104   16,500 08-Apr-2020 08-Apr-2020
  ZOETIS INC.        
  Security 98978V103                   Meeting Type   Annual  
  Ticker Symbol ZTS                               Meeting Date   20-May-2020  
  ISIN US98978V1035                   Agenda   935169905 - Management
  Record Date 26-Mar-2020                   Holding Recon Date   26-Mar-2020  
  City / Country     / United
States 		            Vote Deadline Date   19-May-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1A.   Election of Director: Gregory Norden Management     For     For          
  1B.   Election of Director: Louise M. Parent Management     For     For          
  1C.   Election of Director: Kristin C. Peck Management     For     For          
  1D.   Election of Director: Robert W. Scully Management     For     For          
  2.    Advisory vote to approve our executive compensation
(Say on Pay). 		Management     For     For          
  3.    Advisory vote on the frequency of future advisory votes
on executive compensation (Say on Pay frequency). 		Management     3 Years     Against          
  4.    Ratification of appointment of KPMG LLP as our
independent registered public accounting firm for 2020. 		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 		2,350   6,200 07-Apr-2020 07-Apr-2020
  THERMO FISHER SCIENTIFIC INC.        
  Security 883556102                   Meeting Type   Annual  
  Ticker Symbol TMO                               Meeting Date   20-May-2020  
  ISIN US8835561023                   Agenda   935170136 - Management
  Record Date 27-Mar-2020                   Holding Recon Date   27-Mar-2020  
  City / Country     / United
States 		            Vote Deadline Date   19-May-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1A.   Election of Director: Marc N. Casper Management     For     For          
  1B.   Election of Director: Nelson J. Chai Management     For     For          
  1C.   Election of Director: C. Martin Harris Management     For     For          
  1D.   Election of Director: Tyler Jacks Management     For     For          
  1E.   Election of Director: Judy C. Lewent Management     For     For          
  1F.   Election of Director: Thomas J. Lynch Management     For     For          
  1G.   Election of Director: Jim P. Manzi Management     For     For          
  1H.   Election of Director: James C. Mullen Management     For     For          
  1I.   Election of Director: Lars R. Sørensen Management     For     For          
  1J.   Election of Director: Debora L. Spar Management     For     For          
  1K.   Election of Director: Scott M. Sperling Management     For     For          
  1L.   Election of Director: Dion J. Weisler Management     For     For          
  2.    An advisory vote to approve named executive officer
compensation. 		Management     For     For          
  3.    Ratification of the Audit Committee's selection of
PricewaterhouseCoopers LLP as the Company's
independent auditors for 2020. 		Management     For     For          
                                                               
  Account
Number 		Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares 		Vote Date Date
Confirmed 		 
  997AL27 GLV 997AL27 STATE
STREET BANK
& TRUST CO 		2,145   0 08-Apr-2020 08-Apr-2020
  997AL45 GLV BNP
PLEDGE 		997AL45 STATE
STREET BANK
& TRUST CO 		100   1,006 08-Apr-2020 08-Apr-2020
  EQUITABLE HOLDINGS, INC.        
  Security 29452E101                   Meeting Type   Annual  
  Ticker Symbol EQH                               Meeting Date   20-May-2020  
  ISIN US29452E1010                   Agenda   935172229 - Management
  Record Date 23-Mar-2020                   Holding Recon Date   23-Mar-2020  
  City / Country     / United
States 		            Vote Deadline Date   19-May-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1.    DIRECTOR Management                      
        1 Daniel G. Kaye           For     For          
        2 Joan Lamm-Tennant           For     For          
        3 Kristi A. Matus           For     For          
        4 Ramon de Oliveira           For     For          
        5 Mark Pearson           For     For          
        6 Bertram L. Scott           For     For          
        7 George Stansfield           For     For          
        8 Charles G.T. Stonehill           For     For          
  2.    Ratification of the appointment of
PricewaterhouseCoopers LLP as the Company's
independent registered public accounting firm for fiscal
year 2020. 		Management     For     For          
  3.    Advisory vote to approve the compensation paid to the
Company's named executive officers. 		Management     For     For          
  4.    Approval of an amendment of the Equitable Holdings,
Inc. 2019 Omnibus Incentive Plan. 		Management     For     For          
                                                               
  Account
Number 		Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares 		Vote Date Date
Confirmed 		 
  997AL60 GLV MS
PLEDGE 		997AL60 STATE
STREET BANK
& TRUST CO 		34,300   0 09-Apr-2020 09-Apr-2020
  PENNYMAC FINANCIAL SERVICES INC.        
  Security 70932M107                   Meeting Type   Annual  
  Ticker Symbol PFSI                              Meeting Date   28-May-2020  
  ISIN US70932M1071                   Agenda   935176164 - Management
  Record Date 30-Mar-2020                   Holding Recon Date   30-Mar-2020  
  City / Country     / United
States 		            Vote Deadline Date   27-May-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1A.   Election of Director for a one-year term: Stanford L.
Kurland 		Management     For     For          
  1B.   Election of Director for a one-year term: David A. Spector Management     For     For          
  1C.   Election of Director for a one-year term: Anne D.
McCallion 		Management     For     For          
  1D.   Election of Director for a one-year term: Matthew Botein Management     For     For          
  1E.   Election of Director for a one-year term: James K. Hunt Management     For     For          
  1F.   Election of Director for a one-year term: Patrick Kinsella Management     For     For          
  1G.   Election of Director for a one-year term: Joseph Mazzella Management     For     For          
  1H.   Election of Director for a one-year term: Farhad Nanji Management     For     For          
  1I.   Election of Director for a one-year term: Jeffrey A.
Perlowitz 		Management     For     For          
  1J.   Election of Director for a one-year term: Theodore W.
Tozer 		Management     For     For          
  1K.   Election of Director for a one-year term: Emily Youssouf Management     For     For          
  2.    To ratify the appointment of our independent registered
public accounting firm for the fiscal year ending
December 31, 2020. 		Management     For     For          
  3.    To approve, by non-binding vote, our executive
compensation. 		Management     For     For          
                                                               
  Account
Number 		Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares 		Vote Date Date
Confirmed 		 
  997AL27 GLV 997AL27 STATE
STREET BANK
& TRUST CO 		39,400   0 09-Apr-2020 09-Apr-2020
  997AL45 GLV BNP
PLEDGE 		997AL45 STATE
STREET BANK
& TRUST CO 		100   62,000 09-Apr-2020 09-Apr-2020
  997AL60 GLV MS
PLEDGE 		997AL60 STATE
STREET BANK
& TRUST CO 		15,000   0 09-Apr-2020 09-Apr-2020
  TPG SPECIALTY LENDING, INC.        
  Security 87265K102                   Meeting Type   Special 
  Ticker Symbol TSLX                              Meeting Date   28-May-2020  
  ISIN US87265K1025                   Agenda   935183335 - Management
  Record Date 30-Mar-2020                   Holding Recon Date   30-Mar-2020  
  City / Country     / United
States 		            Vote Deadline Date   27-May-2020  
  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 		 
  997AL45 GLV BNP
PLEDGE 		997AL45 STATE
STREET BANK
& TRUST CO 		42,000   0 18-Apr-2020 18-Apr-2020
  TPG SPECIALTY LENDING, INC.        
  Security 87265K102                   Meeting Type   Annual  
  Ticker Symbol TSLX                              Meeting Date   28-May-2020  
  ISIN US87265K1025                   Agenda   935185175 - Management
  Record Date 30-Mar-2020                   Holding Recon Date   30-Mar-2020  
  City / Country     / United
States 		            Vote Deadline Date   27-May-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1.    DIRECTOR Management                      
        1 Hurley Doddy           For     For          
        2 Joshua Easterly           For     For          
        3 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, 2020. 		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 		42,000   0 18-Apr-2020 18-Apr-2020
  NVIDIA CORPORATION        
  Security 67066G104                   Meeting Type   Annual  
  Ticker Symbol NVDA                              Meeting Date   09-Jun-2020  
  ISIN US67066G1040                   Agenda   935196445 - Management
  Record Date 13-Apr-2020                   Holding Recon Date   13-Apr-2020  
  City / Country     / United
States 		            Vote Deadline Date   08-Jun-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1A.   Election of Director: Robert K. Burgess Management     For     For          
  1B.   Election of Director: Tench Coxe Management     For     For          
  1C.   Election of Director: Persis S. Drell Management     For     For          
  1D.   Election of Director: Jen-Hsun Huang Management     For     For          
  1E.   Election of Director: Dawn Hudson Management     For     For          
  1F.   Election of Director: Harvey C. Jones Management     For     For          
  1G.   Election of Director: Michael G. McCaffery Management     For     For          
  1H.   Election of Director: Stephen C. Neal Management     For     For          
  1I.   Election of Director: Mark L. Perry Management     For     For          
  1J.   Election of Director: A. Brooke Seawell Management     For     For          
  1K.   Election of Director: Mark A. Stevens Management     For     For          
  2.    Approval of our executive compensation. Management     For     For          
  3.    Ratification of the selection of PricewaterhouseCoopers
LLP as our independent registered public accounting firm
for fiscal year 2021. 		Management     For     For          
  4.    Approval of an amendment and restatement of our
Amended and Restated 2007 Equity Incentive Plan. 		Management     For     For          
  5.    Approval of an amendment and restatement of our
Amended and Restated 2012 Employee Stock Purchase
Plan. 		Management     For     For          
                                                               
  Account
Number 		Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares 		Vote Date Date
Confirmed 		 
  997AL27 GLV 997AL27 STATE
STREET BANK
& TRUST CO 		1,400   0 30-Apr-2020 30-Apr-2020
  997AL60 GLV MS
PLEDGE 		997AL60 STATE
STREET BANK
& TRUST CO 		3,060   0 30-Apr-2020 30-Apr-2020
  SCORPIO TANKERS INC.        
  Security Y7542C130                   Meeting Type   Annual  
  Ticker Symbol STNG                              Meeting Date   09-Jun-2020  
  ISIN MHY7542C1306                   Agenda   935204519 - Management
  Record Date 20-Apr-2020                   Holding Recon Date   20-Apr-2020  
  City / Country     / United
States 		            Vote Deadline Date   08-Jun-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1.    DIRECTOR Management                      
        1 Emanuele A. Lauro           For     For          
        2 Ademaro Lanzara           For     For          
        3 Merrick Rayner           For     For          
  2.    To ratify the appointment of PricewaterhouseCoopers
Audit as the Company's independent auditors for the
fiscal year ending December 31, 2020. 		Management     For     For          
                                                               
  Account
Number 		Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares 		Vote Date Date
Confirmed 		 
  997AL27 GLV 997AL27 STATE
STREET BANK
& TRUST CO 		21,800   0 01-May-2020 01-May-2020
  SILERGY CORP        
  Security G8190F102                   Meeting Type   Annual General Meeting
  Ticker Symbol                     Meeting Date   11-Jun-2020  
  ISIN KYG8190F1028                   Agenda   712627706 - Management
  Record Date 10-Apr-2020                   Holding Recon Date   10-Apr-2020  
  City / Country   TAIPEI / Cayman
Islands 		            Vote Deadline Date   03-Jun-2020  
  SEDOL(s) BH4DMW9 - BHCKTR6             Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1     TO ACCEPT 2019 BUSINESS REPORT AND
CONSOLIDATED FINANCIAL STATEMENTS. 		Management     For     For          
  2     TO ACCEPT THE PROPOSAL FOR THE
DISTRIBUTION OF 2019 EARNINGS.PROPOSED
CASH DIVIDEND :TWD 7.5 PER SHARE. 		Management     For     For          
  3     TO APPROVE THE AMENDMENTS TO THE
MEMORANDUM AND ARTICLES OF ASSOCIATION OF
THE COMPANY. 		Management     For     For          
  4     TO APPROVE THE ISSUANCE OF NEW EMPLOYEE
RESTRICTED SHARES. 		Management     For     For          
                                                               
  Account
Number 		Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares 		Vote Date Date
Confirmed 		 
  AL27 GLV   STATE
STREET BANK 		19,940   0 12-May-2020 12-May-2020
  LI NING COMPANY LTD        
  Security G5496K124                   Meeting Type   Annual General Meeting
  Ticker Symbol                     Meeting Date   12-Jun-2020  
  ISIN KYG5496K1242                   Agenda   712476250 - Management
  Record Date 08-Jun-2020                   Holding Recon Date   08-Jun-2020  
  City / Country   HONG
KONG 		/ Cayman
Islands 		            Vote Deadline Date   05-Jun-2020  
  SEDOL(s) B01JCK9 - B01QJZ4 - BD8GFX8 -
BGKFJW1 - BHNBYS4 		            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:-
https://www1.hkexnews.hk/listedco/listconews/sehk/2020/
0420/2020042000612.pdf-AND-
https://www1.hkexnews.hk/listedco/listconews/sehk/2020/
0420/2020042000650.pdf 		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                      
  1     TO RECEIVE AND ADOPT THE AUDITED FINANCIAL
STATEMENTS AND REPORTS OF THE DIRECTORS
AND THE AUDITOR OF THE COMPANY FOR THE
YEAR ENDED 31 DECEMBER 2019 		Management     For     For          
  2     TO DECLARE A FINAL DIVIDEND FOR THE YEAR
ENDED 31 DECEMBER 2019 		Management     For     For          
  3.I.A TO RE-ELECT MR. KOSAKA TAKESHI AS AN
EXECUTIVE DIRECTOR OF THE COMPANY (THE
"DIRECTOR") 		Management     For     For          
  3.I.B TO RE-ELECT MS. WANG YA FEI AS AN
INDEPENDENT NON-EXECUTIVE DIRECTOR 		Management     For     For          
  3.I.C TO RE-ELECT DR. CHAN CHUNG BUN, BUNNY AS AN
INDEPENDENT NON-EXECUTIVE DIRECTOR 		Management     For     For          
  3.II  TO AUTHORISE THE BOARD OF DIRECTORS (THE
"BOARD") TO FIX THE DIRECTORS' REMUNERATION 		Management     For     For          
  4     TO RE-APPOINT MESSRS.
PRICEWATERHOUSECOOPERS, CERTIFIED PUBLIC
ACCOUNTANTS, AS THE AUDITOR OF THE
COMPANY AND TO AUTHORISE THE BOARD TO FIX
THEIR REMUNERATION 		Management     For     For          
  5     TO GIVE A GENERAL MANDATE TO THE DIRECTORS
TO ALLOT, ISSUE AND DEAL WITH ADDITIONAL
SHARES OF THE COMPANY ("SHARES") 		Management     For     For          
  6     TO GIVE A GENERAL MANDATE TO THE DIRECTORS
TO REPURCHASE SHARES 		Management     For     For          
  7     TO EXTEND THE GENERAL MANDATE GRANTED TO
THE DIRECTORS UNDER RESOLUTION NO. 5 BY
ADDING THE SHARES REPURCHASED BY THE
COMPANY PURSUANT TO THE GENERAL MANDATE
GRANTED TO THE DIRECTORS UNDER
RESOLUTION NO. 6 		Management     For     For          
                                                               
  Account
Number 		Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares 		Vote Date Date
Confirmed 		 
  AL27 GLV   STATE
STREET BANK 		225,000   0 23-Apr-2020 23-Apr-2020
  MASTERCARD INCORPORATED        
  Security 57636Q104                   Meeting Type   Annual  
  Ticker Symbol MA                                Meeting Date   16-Jun-2020  
  ISIN US57636Q1040                   Agenda   935196332 - Management
  Record Date 20-Apr-2020                   Holding Recon Date   20-Apr-2020  
  City / Country     / United
States 		            Vote Deadline Date   15-Jun-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1A.   Election of Director: Richard Haythornthwaite Management     For     For          
  1B.   Election of Director: Ajay Banga Management     For     For          
  1C.   Election of Director: Richard K. Davis Management     For     For          
  1D.   Election of Director: Steven J. Freiberg Management     For     For          
  1E.   Election of Director: Julius Genachowski Management     For     For          
  1F.   Election of Director: Choon Phong Goh Management     For     For          
  1G.   Election of Director: Merit E. Janow Management     For     For          
  1H.   Election of Director: Oki Matsumoto Management     For     For          
  1I.   Election of Director: Youngme Moon Management     For     For          
  1J.   Election of Director: Rima Qureshi Management     For     For          
  1K.   Election of Director: José Octavio Reyes Lagunes Management     For     For          
  1L.   Election of Director: Gabrielle Sulzberger Management     For     For          
  1M.   Election of Director: Jackson Tai Management     For     For          
  1N.   Election of Director: Lance Uggla Management     For     For          
  2.    Advisory approval of Mastercard's executive
compensation 		Management     For     For          
  3.    Ratification of the appointment of
PricewaterhouseCoopers LLP as the independent
registered public accounting firm for Mastercard for 2020 		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 		8,749   0 30-Apr-2020 30-Apr-2020
  ARES CAPITAL CORPORATION        
  Security 04010L103                   Meeting Type   Annual  
  Ticker Symbol ARCC                              Meeting Date   22-Jun-2020  
  ISIN US04010L1035                   Agenda   935167999 - Management
  Record Date 25-Mar-2020                   Holding Recon Date   25-Mar-2020  
  City / Country     / United
States 		            Vote Deadline Date   19-Jun-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed
by 		  Vote   For/Against
Management 		         
  1A.   Election of Director: Michael J Arougheti Management     For     For          
  1B.   Election of Director: Ann Torre Bates Management     For     For          
  1C.   Election of Director: Steven B McKeever 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, 2020. 		Management     For     For          
                                                               
  Account
Number 		Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares 		Vote Date Date
Confirmed 		 
  997AL27 GLV 997AL27 STATE
STREET BANK
& TRUST CO 		17,200   0 03-Apr-2020 03-Apr-2020
  997AL45 GLV BNP
PLEDGE 		997AL45 STATE
STREET BANK
& TRUST CO 		34,650   0 03-Apr-2020 03-Apr-2020

 

-2- 

 

 

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 Dividend and Income Fund  
       
  By: /s/ Bradley J. Swenson  
    Bradley J. Swenson  
    President  
       
  Date: August 17, 2020  

 

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