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 GLOBAL 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)

 

Nicholas Adams, Esq.

Clough Global 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: 855-425-6844

 

Date of fiscal year end: October 31

 

Date of reporting period: July 1, 2021 – June 30, 2022

 

 

 

Item 1 – Proxy Voting Record.

 

Vote Summary
MCKESSON CORPORATION    
Security 58155Q103         Meeting Type   Annual  
Ticker Symbol MCK                     Meeting Date   23-Jul-2021  
ISIN US58155Q1031         Agenda   935457425 - Management
Record Date 28-May-2021         Holding Recon Date   28-May-2021  
City / Country   / United
States
      Vote Deadline Date   22-Jul-2021  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1A.   Election of Director for a one-year term: Dominic J.
Caruso
Management For   For    
1B.   Election of Director for a one-year term: Donald R.
Knauss
Management For   For    
1C.   Election of Director for a one-year term: Bradley E.
Lerman
Management For   For    
1D.   Election of Director for a one-year term: Linda P. Mantia Management For   For    
1E.   Election of Director for a one-year term: Maria Martinez Management For   For    
1F.   Election of Director for a one-year term: Edward A.
Mueller
Management For   For    
1G.   Election of Director for a one-year term: Susan R. Salka Management For   For    
1H.   Election of Director for a one-year term: Brian S. Tyler Management For   For    
1I.   Election of Director for a one-year term: Kenneth E.
Washington
Management For   For    
2.    Ratification of the appointment of Deloitte & Touche LLP
as the company's independent registered public
accounting firm for the fiscal year ending March 31, 2022.
Management For   For    
3.    Advisory vote on executive compensation. Management For   For    
4.    Shareholder proposal on action by written consent of
shareholders.
Shareholder Against   For    
Account
Number
Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares
Vote Date Date
Confirmed
 
997AL45 GLV
PLEDGE
997AL45 STATE
STREET BANK
& TRUST CO
1,020   5,200 10-Jun-2021 10-Jun-2021
997AL47 GLQ
PLEDGE
997AL47 STATE
STREET BANK
& TRUST CO
5,680   14,100 10-Jun-2021 10-Jun-2021
997AL49 GLO
PLEDGE
997AL49 STATE
STREET BANK
& TRUST CO
10,740   28,200 10-Jun-2021 10-Jun-2021
997AL60 GLV
PLEDGE
997AL60 STATE
STREET BANK
& TRUST CO
2,500   0 10-Jun-2021 10-Jun-2021
NEW YORK COMMUNITY BANCORP, INC.    
Security 649445103         Meeting Type   Special 
Ticker Symbol NYCB                    Meeting Date   04-Aug-2021  
ISIN US6494451031         Agenda   935468529 - Management
Record Date 18-Jun-2021         Holding Recon Date   18-Jun-2021  
City / Country   / United
States
      Vote Deadline Date   03-Aug-2021  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1.    A proposal to approve the issuance of New York
Community Bancorp, Inc. ("NYCB") common stock to
holders of Flagstar Bancorp, Inc. ("Flagstar") common
stock pursuant to the Agreement and Plan of Merger,
dated as of April 24, 2021 (as it may be amended from
time to time), by and among NYCB, 615 Corp. and
Flagstar (the "NYCB share issuance proposal").
Management For   For    
2.    A proposal to adjourn the NYCB special meeting, if
necessary or appropriate, to solicit additional proxies if,
immediately prior to such adjournment, there are not
sufficient votes to approve the NYCB share issuance
proposal, or to ensure that any supplement or
amendment to the accompanying joint proxy
statement/prospectus is timely provided to holders of
NYCB common stock.
Management For   For    
Account
Number
Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares
Vote Date Date
Confirmed
 
997AL28 GLQ 997AL28 STATE
STREET BANK
& TRUST CO
221,100   0 29-Jun-2021 29-Jun-2021
997AL45 GLV
PLEDGE
997AL45 STATE
STREET BANK
& TRUST CO
102,600   0 29-Jun-2021 29-Jun-2021
997AL49 GLO
PLEDGE
997AL49 STATE
STREET BANK
& TRUST CO
434,500   0 29-Jun-2021 29-Jun-2021
BYD COMPANY LTD    
Security Y1023R104         Meeting Type   ExtraOrdinary General Meeting
Ticker Symbol           Meeting Date   30-Nov-2021  
ISIN CNE100000296         Agenda   714903906 - Management
Record Date 24-Nov-2021         Holding Recon Date   24-Nov-2021  
City / Country SHENZH
EN
/ China       Vote Deadline Date   23-Nov-2021  
SEDOL(s) 6536651 - B01XKF2 - B0WVS95 -
BD8GJR0 - BDDXWZ5 - BGKFJ21 -
BGPHZH9
      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/2021/
1112/2021111201506.pdf-AND-
https://www1.hkexnews.hk/listedco/listconews/sehk/2021/
1112/2021111201544.pdf
Non-Voting          
1     TO CONSIDER AND APPROVE THE AMENDMENTS
TO THE ARTICLES OF ASSOCIATION AS SET OUT IN
APPENDIX I TO THE CIRCULAR DATED 13
NOVEMBER 2021 OF THE COMPANY
(THE"CIRCULAR")
Management For   For    
2     TO CONSIDER AND APPROVE THE RULES OF
PROCEDURES OF MEETINGS OF THE BOARD OF
THE COMPANY AS SET OUT IN APPENDIX II TO THE
CIRCULAR
Management For   For    
3     TO CONSIDER AND APPROVE THE RULES OF
PROCEDURES OF MEETINGS OF THE
SUPERVISORY COMMITTEE OF THE COMPANY AS
SET OUT IN APPENDIX III TO THE CIRCULAR
Management For   For    
4     TO CONSIDER AND APPROVE THE COMPLIANCE
MANUAL IN RELATION TO INDEPENDENT
DIRECTORS OF THE COMPANY AS SET OUT IN
APPENDIX IV TO THE CIRCULAR
Management For   For    
5     TO CONSIDER AND APPROVE THE MANAGEMENT
SYSTEM FOR THE FUNDS RAISED OF THE
COMPANY AS SET OUT IN APPENDIX V TO THE
CIRCULAR
Management For   For    
6     TO CONSIDER AND APPROVE THE COMPLIANCE
MANUAL IN RELATION TO CONNECTED
TRANSACTIONS OF THE COMPANY AS SET OUT IN
APPENDIX VI TO THE CIRCULAR
Management For   For    
7     TO CONSIDER AND APPROVE THE RULES FOR THE
SELECTION AND APPOINTMENT OF ACCOUNTANTS'
FIRM OF THE COMPANY AS SET OUT IN APPENDIX
VII TO THE CIRCULAR
Management For   For    
8     TO CONSIDER AND APPROVE THE POLICY ON
EXTERNAL GUARANTEE OF THE COMPANY AS SET
OUT IN APPENDIX VIII TO THE CIRCULAR
Management For   For    
                                 
Account
Number
Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares
Vote Date Date
Confirmed
 
AL27 GLV   STATE
STREET BANK
176,500   0 13-Nov-2021 13-Nov-2021
AL28 GLQ   STATE
STREET BANK
375,000   0 13-Nov-2021 13-Nov-2021
AL29 GLO   STATE
STREET BANK
697,000   0 13-Nov-2021 13-Nov-2021
MICROSOFT CORPORATION    
Security 594918104         Meeting Type   Annual  
Ticker Symbol MSFT                    Meeting Date   30-Nov-2021  
ISIN US5949181045         Agenda   935505480 - Management
Record Date 30-Sep-2021         Holding Recon Date   30-Sep-2021  
City / Country   / United
States
      Vote Deadline Date   29-Nov-2021  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1A.   Election of Director: Reid G. Hoffman Management For   For    
1B.   Election of Director: Hugh F. Johnston Management For   For    
1C.   Election of Director: Teri L. List Management For   For    
1D.   Election of Director: Satya Nadella Management For   For    
1E.   Election of Director: Sandra E. Peterson Management For   For    
1F.   Election of Director: Penny S. Pritzker Management For   For    
1G.   Election of Director: Carlos A. Rodriguez Management For   For    
1H.   Election of Director: Charles W. Scharf Management For   For    
1I.   Election of Director: John W. Stanton Management For   For    
1J.   Election of Director: John W. Thompson Management For   For    
1K.   Election of Director: Emma N. Walmsley Management For   For    
1L.   Election of Director: Padmasree Warrior Management For   For    
2.    Advisory vote to approve named executive officer
compensation.
Management For   For    
3.    Approve Employee Stock Purchase Plan. Management For   For    
4.    Ratification of the Selection of Deloitte & Touche LLP as
our Independent Auditor for Fiscal Year 2022.
Management For   For    
5.    Shareholder Proposal - Report on median pay gaps
across race and gender.
Shareholder Against   For    
6.    Shareholder Proposal - Report on effectiveness of
workplace sexual harassment policies.
Shareholder Against   For    
7.    Shareholder Proposal - Prohibition on sales of facial
recognition technology to all government entities.
Shareholder Against   For    
8.    Shareholder Proposal - Report on implementation of the
Fair Chance Business Pledge.
Shareholder Against   For    
9.    Shareholder Proposal - Report on how lobbying activities
align with company policies.
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
600   0 21-Oct-2021 21-Oct-2021  
997AL45 GLV
PLEDGE
997AL45 STATE
STREET BANK
& TRUST CO
180   18,800 21-Oct-2021 21-Oct-2021  
997AL47 GLQ
PLEDGE
997AL47 STATE
STREET BANK
& TRUST CO
170   59,100 21-Oct-2021 21-Oct-2021  
997AL49 GLO
PLEDGE
997AL49 STATE
STREET BANK
& TRUST CO
110,090   0 21-Oct-2021 21-Oct-2021  
997AL60 GLV
PLEDGE
997AL60 STATE
STREET BANK
& TRUST CO
8,500   0 21-Oct-2021 21-Oct-2021  
CISCO SYSTEMS, INC.    
Security 17275R102         Meeting Type   Annual  
Ticker Symbol CSCO                    Meeting Date   13-Dec-2021  
ISIN US17275R1023         Agenda   935511469 - Management
Record Date 15-Oct-2021         Holding Recon Date   15-Oct-2021  
City / Country   / United
States
      Vote Deadline Date   10-Dec-2021  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1A.   Election of Director: M. Michele Burns Management For   For    
1B.   Election of Director: Wesley G. Bush Management For   For    
1C.   Election of Director: Michael D. Capellas Management For   For    
1D.   Election of Director: Mark Garrett Management For   For    
1E.   Election of Director: John D. Harris II Management For   For    
1F.   Election of Director: Dr. Kristina M. Johnson Management For   For    
1G.   Election of Director: Roderick C. McGeary Management For   For    
1H.   Election of Director: Charles H. Robbins Management For   For    
1I.   Election of Director: Brenton L. Saunders Management For   For    
1J.   Election of Director: Dr. Lisa T. Su Management For   For    
1K.   Election of Director: Marianna Tessel Management For   For    
2.    Approval, on an advisory basis, of executive
compensation.
Management For   For    
3.    Ratification of PricewaterhouseCoopers LLP as Cisco's
independent registered public accounting firm for fiscal
2022.
Management For   For    
4.    Approval to have Cisco's Board amend Cisco's proxy
access bylaw to remove the stockholder aggregation
limit.
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
100   0 26-Oct-2021 26-Oct-2021  
997AL28 GLQ 997AL28 STATE
STREET BANK
& TRUST CO
300   0 26-Oct-2021 26-Oct-2021  
997AL45 GLV
PLEDGE
997AL45 STATE
STREET BANK
& TRUST CO
42,100   30,900 26-Oct-2021 26-Oct-2021  
997AL47 GLQ
PLEDGE
997AL47 STATE
STREET BANK
& TRUST CO
158,200   0 26-Oct-2021 26-Oct-2021  
997AL49 GLO
PLEDGE
997AL49 STATE
STREET BANK
& TRUST CO
165,100   129,900 26-Oct-2021 26-Oct-2021  
VISA INC.    
Security 92826C839         Meeting Type   Annual  
Ticker Symbol V                       Meeting Date   25-Jan-2022  
ISIN US92826C8394         Agenda   935531550 - Management
Record Date 26-Nov-2021         Holding Recon Date   26-Nov-2021  
City / Country   / United
States
      Vote Deadline Date   24-Jan-2022  
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 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: Linda J. Rendle Management For   For    
1J.   Election of Director: Maynard G. Webb, Jr. Management For   For    
2.    To approve, on an advisory basis, the compensation paid
to our named executive officers.
Management For   For    
3.    To ratify the appointment of KPMG LLP as our
independent registered public accounting firm for fiscal
year 2022.
Management For   For    
                                 
Account
Number
Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares
Vote Date Date
Confirmed
 
997AL45 GLV
PLEDGE
997AL45 STATE
STREET BANK
& TRUST CO
160   21,600 04-Dec-2021 04-Dec-2021
997AL60 GLV
PLEDGE
997AL60 STATE
STREET BANK
& TRUST CO
5,200   0 04-Dec-2021 04-Dec-2021
D.R. HORTON, INC.    
Security 23331A109         Meeting Type   Annual  
Ticker Symbol DHI                     Meeting Date   26-Jan-2022  
ISIN US23331A1097         Agenda   935537906 - Management
Record Date 30-Nov-2021         Holding Recon Date   30-Nov-2021  
City / Country   / United
States
      Vote Deadline Date   25-Jan-2022  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1A.   Election of Director: Donald R. Horton Management For   For    
1B.   Election of Director: Barbara K. Allen Management For   For    
1C.   Election of Director: Brad S. Anderson Management For   For    
1D.   Election of Director: Michael R. Buchanan Management For   For    
1E.   Election of Director: Benjamin S. Carson, Sr. Management For   For    
1F.   Election of Director: Michael W. Hewatt Management For   For    
1G.   Election of Director: Maribess L. Miller Management For   For    
2.    Approval of the advisory resolution on executive
compensation.
Management For   For    
3.    Ratify the appointment of Ernst & Young LLP as our
independent registered public accounting firm.
Management For   For    
                                 
Account
Number
Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares
Vote Date Date
Confirmed
 
997AL45 GLV
PLEDGE
997AL45 STATE
STREET BANK
& TRUST CO
18,700   30,800 24-Dec-2021 24-Dec-2021
997AL47 GLQ
PLEDGE
997AL47 STATE
STREET BANK
& TRUST CO
40,200   47,600 24-Dec-2021 24-Dec-2021
997AL49 GLO
PLEDGE
997AL49 STATE
STREET BANK
& TRUST CO
66,600   110,500 24-Dec-2021 24-Dec-2021
997AL53 GLO
PLEDGE
997AL53 STATE
STREET BANK
& TRUST CO
33,000   0 24-Dec-2021 24-Dec-2021
997AL60 GLV
PLEDGE
997AL60 STATE
STREET BANK
& TRUST CO
12,600   0 24-Dec-2021 24-Dec-2021
997AL61 GLQ
PLEDGE
997AL61 STATE
STREET BANK
& TRUST CO
31,800   0 24-Dec-2021 24-Dec-2021
INFINEON TECHNOLOGIES AG    
Security D35415104         Meeting Type   Annual General Meeting
Ticker Symbol           Meeting Date   17-Feb-2022  
ISIN DE0006231004         Agenda   715040743 - Management
Record Date 10-Feb-2022         Holding Recon Date   10-Feb-2022  
City / Country NEUBIBE
RG
/ Germany       Vote Deadline Date   04-Feb-2022  
SEDOL(s) 5889505 - B01DKJ6 - B0CRGY4 -
B108X56 - B7N2TT3 - B814K62 -
BF0Z753 - BYL6SV1 - BYXQQV5
      Quick Code      
                                 
Item Proposal Proposed
by
Vote   For/Against
Management
   
CMMT  VOTING MUST BE LODGED WITH SHAREHOLDER
DETAILS AS PROVIDED BY YOUR CUSTODIAN-
BANK. IF NO SHAREHOLDER DETAILS ARE
PROVIDED, YOUR INSTRUCTION MAY BE-
REJECTED.
Non-Voting          
1     RECEIVE FINANCIAL STATEMENTS AND
STATUTORY REPORTS FOR FISCAL YEAR 2021
Non-Voting          
2     APPROVE ALLOCATION OF INCOME AND DIVIDENDS
OF EUR 0.27 PER SHARE
Management For   For    
3.1   APPROVE DISCHARGE OF MANAGEMENT BOARD
MEMBER REINHARD PLOSS FOR FISCAL YEAR 2021
Management For   For    
3.2   APPROVE DISCHARGE OF MANAGEMENT BOARD
MEMBER HELMUT GASSEL FOR FISCAL YEAR 2021
Management For   For    
3.3   APPROVE DISCHARGE OF MANAGEMENT BOARD
MEMBER JOCHEN HANEBECK FOR FISCAL YEAR
2021
Management For   For    
3.4   APPROVE DISCHARGE OF MANAGEMENT BOARD
MEMBER CONSTANZE HUFENBECHER (FROM APRIL
15, 2021) FOR FISCAL YEAR 2021
Management For   For    
3.5   APPROVE DISCHARGE OF MANAGEMENT BOARD
MEMBER SVEN SCHNEIDER FOR FISCAL YEAR 2021
Management For   For    
4.1   APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER WOLFGANG EDER FOR FISCAL YEAR 2021
Management For   For    
4.2   APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER XIAOQUN CLEVER FOR FISCAL YEAR 2021
Management For   For    
4.3   APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER JOHANN DECHANT FOR FISCAL YEAR
2021
Management For   For    
4.4   APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER FRIEDRICH EICHINER FOR FISCAL YEAR
2021
Management For   For    
4.5   APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER ANNETTE ENGELFRIED FOR FISCAL YEAR
2021
Management For   For    
4.6   APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER PETER GRUBER FOR FISCAL YEAR 2021
Management For   For    
4.7   APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER HANS-ULRICH HOLDENRIED FOR FISCAL
YEAR 2021
Management For   For    
4.8   APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER SUSANNE LACHENMANN FOR FISCAL
YEAR 2021
Management For   For    
4.9   APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER GERALDINE PICAUD FOR FISCAL YEAR
2021
Management For   For    
4.10  APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER MANFRED PUFFER FOR FISCAL YEAR
2021
Management For   For    
4.11  APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER MELANIE RIEDL FOR FISCAL YEAR 2021
Management For   For    
4.12  APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER JUERGEN SCHOLZ FOR FISCAL YEAR 2021
Management For   For    
4.13  APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER KERSTIN SCHULZENDORF FOR FISCAL
YEAR 2021
Management For   For    
4.14  APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER ULRICH SPIESSHOFER FOR FISCAL YEAR
2021
Management For   For    
4.15  APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER MARGRET SUCKALE FOR FISCAL YEAR
2021
Management For   For    
4.16  APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER DIANA VITALE FOR FISCAL YEAR 2021
Management For   For    
5     RATIFY KPMG AG AS AUDITORS FOR FISCAL YEAR
2022
Management For   For    
6     ELECT GERALDINE PICAUD TO THE SUPERVISORY
BOARD
Management For   For    
CMMT  PLEASE NOTE THAT FOLLOWING THE AMENDMENT
TO PARAGRAPH 21 OF THE SECURITIES-TRADE
ACT ON 9TH JULY 2015 AND THE OVER-RULING OF
THE DISTRICT COURT IN-COLOGNE JUDGMENT
FROM 6TH JUNE 2012 THE VOTING PROCESS HAS
NOW CHANGED WITH-REGARD TO THE GERMAN
REGISTERED SHARES. AS A RESULT, IT IS NOW
THE-RESPONSIBILITY OF THE END-INVESTOR (I.E.
FINAL BENEFICIARY) AND NOT THE-INTERMEDIARY
TO DISCLOSE RESPECTIVE FINAL BENEFICIARY
VOTING RIGHTS THEREFORE-THE CUSTODIAN
BANK / AGENT IN THE MARKET WILL BE SENDING
THE VOTING DIRECTLY-TO MARKET AND IT IS THE
END INVESTORS RESPONSIBILITY TO ENSURE THE-
REGISTRATION ELEMENT IS COMPLETE WITH THE
ISSUER DIRECTLY, SHOULD THEY HOLD-MORE
THAN 3 % OF THE TOTAL SHARE CAPITAL
Non-Voting          
CMMT  THE VOTE/REGISTRATION DEADLINE AS
DISPLAYED ON PROXYEDGE IS SUBJECT TO
CHANGE-AND WILL BE UPDATED AS SOON AS
BROADRIDGE RECEIVES CONFIRMATION FROM
THE SUB-CUSTODIANS REGARDING THEIR
INSTRUCTION DEADLINE. FOR ANY QUERIES
PLEASE-CONTACT YOUR CLIENT SERVICES
REPRESENTATIVE.
Non-Voting          
CMMT  ACCORDING TO GERMAN LAW, IN CASE OF
SPECIFIC CONFLICTS OF INTEREST IN-
CONNECTION WITH SPECIFIC ITEMS OF THE
AGENDA FOR THE GENERAL MEETING YOU ARE-
NOT ENTITLED TO EXERCISE YOUR VOTING
RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE
EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS
HAS REACHED CERTAIN THRESHOLDS-AND YOU
HAVE NOT COMPLIED WITH ANY OF YOUR
MANDATORY VOTING RIGHTS-NOTIFICATIONS
PURSUANT TO THE GERMAN SECURITIES TRADING
ACT (WPHG). FOR-QUESTIONS IN THIS REGARD
PLEASE CONTACT YOUR CLIENT SERVICE
REPRESENTATIVE-FOR CLARIFICATION. IF YOU DO
NOT HAVE ANY INDICATION REGARDING SUCH
CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION
FROM VOTING, PLEASE SUBMIT YOUR VOTE AS-
USUAL.
Non-Voting          
CMMT  FURTHER INFORMATION ON COUNTER PROPOSALS
CAN BE FOUND DIRECTLY ON THE-ISSUER'S
WEBSITE (PLEASE REFER TO THE MATERIAL URL
SECTION OF THE-APPLICATION). IF YOU WISH TO
ACT ON THESE ITEMS, YOU WILL NEED TO
REQUEST A-MEETING ATTEND AND VOTE YOUR
SHARES DIRECTLY AT THE COMPANY'S MEETING.-
COUNTER PROPOSALS CANNOT BE REFLECTED IN
THE BALLOT ON PROXYEDGE
Non-Voting          
CMMT  FROM 10TH FEBRUARY, BROADRIDGE WILL CODE
ALL AGENDAS FOR GERMAN MEETINGS IN-ENGLISH
ONLY. IF YOU WISH TO SEE THE AGENDA IN
GERMAN, THIS WILL BE MADE-AVAILABLE AS A LINK
UNDER THE 'MATERIAL URL' DROPDOWN AT THE
TOP OF THE-BALLOT. THE GERMAN AGENDAS FOR
ANY EXISTING OR PAST MEETINGS WILL REMAIN
IN-PLACE. FOR FURTHER INFORMATION, PLEASE
CONTACT YOUR CLIENT SERVICE-
REPRESENTATIVE
Non-Voting          
CMMT  12 JAN 2022: PLEASE NOTE THAT IF YOU HOLD
CREST DEPOSITORY INTERESTS (CDIS)-AND
PARTICIPATE AT THIS MEETING, YOU (OR YOUR
CREST SPONSORED-MEMBER/CUSTODIAN) WILL BE
REQUIRED TO INSTRUCT A TRANSFER OF THE
RELEVANT-CDIS TO THE ESCROW ACCOUNT
SPECIFIED IN THE ASSOCIATED CORPORATE
EVENT IN THE-CREST SYSTEM. THIS TRANSFER
WILL NEED TO BE COMPLETED BY THE SPECIFIED
CREST-SYSTEM DEADLINE. ONCE THIS TRANSFER
Non-Voting          
  HAS SETTLED, THE CDIS WILL BE BLOCKED IN-THE
CREST SYSTEM. THE CDIS WILL BE RELEASED
FROM ESCROW AS SOON AS-PRACTICABLE ON THE
BUSINESS DAY PRIOR TO MEETING DATE UNLESS
OTHERWISE-SPECIFIED. IN ORDER FOR A VOTE TO
BE ACCEPTED, THE VOTED POSITION MUST BE-
BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN
THE CREST SYSTEM. BY VOTING ON THIS-
MEETING, YOUR CREST SPONSORED
MEMBER/CUSTODIAN MAY USE YOUR VOTE
INSTRUCTION-AS THE AUTHORIZATION TO TAKE
THE NECESSARY ACTION WHICH WILL INCLUDE-
TRANSFERRING YOUR INSTRUCTED POSITION TO
ESCROW. PLEASE CONTACT YOUR CREST-
SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR
FURTHER INFORMATION ON THE CUSTODY-
PROCESS AND WHETHER OR NOT THEY REQUIRE
SEPARATE INSTRUCTIONS FROM YOU
                       
CMMT  12 JAN 2022: 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
52,130   0 08-Jan-2022 08-Jan-2022
AL28 GLQ   STATE
STREET BANK
107,424   0 08-Jan-2022 08-Jan-2022
AL29 GLO   STATE
STREET BANK
198,526   0 08-Jan-2022 08-Jan-2022
BARINGS BDC, INC.    
Security 06759L103         Meeting Type   Special 
Ticker Symbol BBDC                    Meeting Date   24-Feb-2022  
ISIN US06759L1035         Agenda   935540307 - Management
Record Date 27-Dec-2021         Holding Recon Date   27-Dec-2021  
City / Country   / United
States
      Vote Deadline Date   23-Feb-2022  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1.    To approve the issuance of shares of Barings BDC, Inc.
("Barings BDC") common stock, $0.001 par value per
share ("Barings BDC Common Stock"), pursuant to the
Agreement and Plan of Merger, dated as of September
21, 2021, by and among Barings BDC, Mercury
Acquisition Sub, Inc., Sierra Income Corporation and
Barings LLC (the "Merger Agreement").
Management For   For    
2.    To approve the issuance of shares of Barings BDC
Common Stock pursuant to the Merger Agreement at a
price below its then- current net asset value per share, if
applicable.
Management For   For    
3.    To approve the adjournment of the Barings BDC special
meeting, if necessary or appropriate, to solicit additional
proxies, in the event that there are insufficient votes at
the time of the Barings BDC special meeting to approve
Proposal 1 or Proposal 2.
Management For   For    
                                 
Account
Number
Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares
Vote Date Date
Confirmed
 
997AL27 GLV 997AL27 STATE
STREET BANK
& TRUST CO
54,000   0 05-Jan-2022 05-Jan-2022
997AL28 GLQ 997AL28 STATE
STREET BANK
& TRUST CO
49,500   0 05-Jan-2022 05-Jan-2022
997AL45 GLV
PLEDGE
997AL45 STATE
STREET BANK
& TRUST CO
103,400   0 05-Jan-2022 05-Jan-2022
997AL47 GLQ
PLEDGE
997AL47 STATE
STREET BANK
& TRUST CO
311,646   0 05-Jan-2022 05-Jan-2022
AIRBUS SE    
Security N0280G100         Meeting Type   Annual General Meeting
Ticker Symbol           Meeting Date   12-Apr-2022  
ISIN NL0000235190         Agenda   715185585 - Management
Record Date 15-Mar-2022         Holding Recon Date   15-Mar-2022  
City / Country AMSTER
DAM
/ Netherlands       Vote Deadline Date   29-Mar-2022  
SEDOL(s) 4012250 - 4012346 - 4057273 -
B01DGJ8 - B16Q6Y4 - B87GTC1 -
BDC50T2 - BF444K0 - BHZLF67
      Quick Code      
                                 
Item Proposal Proposed
by
Vote   For/Against
Management
   
CMMT  VOTING MUST BE LODGED WITH BENEFICIAL
OWNER DETAILS AS PROVIDED BY YOUR-
CUSTODIAN BANK. IF NO BENEFICIAL OWNER
DETAILS ARE PROVIDED, YOUR-INSTRUCTIONS
MAY BE REJECTED.
Non-Voting          
CMMT  VOTING MUST BE LODGED WITH SHAREHOLDER
DETAILS AS PROVIDED BY YOUR CUSTODIAN-
BANK. IF NO SHAREHOLDER DETAILS ARE
PROVIDED, YOUR INSTRUCTIONS MAY BE-
REJECTED.
Non-Voting          
CMMT  INTERMEDIARY CLIENTS ONLY - PLEASE NOTE
THAT IF YOU ARE CLASSIFIED AS AN-
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE II, YOU SHOULD BE-PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE VOTE INSTRUCTION-LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF
DATA TO BROADRIDGE-OUTSIDE OF PROXYEDGE,
PLEASE SPEAK TO YOUR DEDICATED CLIENT
SERVICE-REPRESENTATIVE FOR ASSISTANCE
Non-Voting          
1     RESOLVED THAT THE AUDITED ACCOUNTS FOR
THE ACCOUNTING PERIOD FROM 1 JANUARY 2021
TO 31 DECEMBER 2021, AS SUBMITTED TO THE
ANNUAL GENERAL MEETING ("AGM") BY THE
BOARD OF DIRECTORS, BE AND HEREBY ARE
ADOPTED
Management For   For    
2     RESOLVED THAT THE NET LOSS OF EUR 114
MILLION, AS SHOWN IN THE INCOME STATEMENT
INCLUDED IN THE AUDITED ACCOUNTS FOR THE
FINANCIAL YEAR 2021, SHALL BE CHARGED
AGAINST THE RETAINED EARNINGS AND THAT A
PAYMENT OF A GROSS AMOUNT OF EUR 1.50 PER
SHARE SHALL BE MADE TO THE SHAREHOLDERS
OUT OF THE RETAINED EARNINGS
Management For   For    
3     RESOLVED THAT THE NON-EXECUTIVE MEMBERS
OF THE BOARD OF DIRECTORS BE AND HEREBY
ARE GRANTED A RELEASE FROM LIABILITY FOR
THE PERFORMANCE OF THEIR DUTIES DURING
AND WITH RESPECT TO THE FINANCIAL YEAR 2021,
TO THE EXTENT THAT THEIR ACTIVITY HAS BEEN
REFLECTED IN THE AUDITED ANNUAL ACCOUNTS
FOR THE FINANCIAL YEAR 2021 OR IN THE REPORT
OF THE BOARD OF DIRECTORS OR WAS
OTHERWISE PROPERLY DISCLOSED TO THE
GENERAL MEETING
Management For   For    
4     RESOLVED THAT THE EXECUTIVE MEMBER OF THE
BOARD OF DIRECTORS BE AND HEREBY IS
GRANTED A RELEASE FROM LIABILITY FOR THE
PERFORMANCE OF HIS DUTIES DURING AND WITH
RESPECT TO THE FINANCIAL YEAR 2021, TO THE
EXTENT THAT HIS ACTIVITY HAS BEEN REFLECTED
IN THE AUDITED ANNUAL ACCOUNTS FOR THE
FINANCIAL YEAR 2021 OR IN THE REPORT OF THE
BOARD OF DIRECTORS OR WAS OTHERWISE
PROPERLY DISCLOSED TO THE GENERAL MEETING
Management For   For    
5     RESOLVED THAT THE COMPANY'S AUDITOR FOR
THE ACCOUNTING PERIOD BEING THE FINANCIAL
YEAR 2022 SHALL BE ERNST & YOUNG
ACCOUNTANTS LLP, THE NETHERLANDS, WHOSE
REGISTERED OFFICE IS AT BOOMPJES 258, 3011 XZ
ROTTERDAM IN THE NETHERLANDS.FOR MORE
INFORMATION PLEASE SEE THE INFORMATION
NOTICE AND REPORT OF THE BOARD OF
DIRECTORS DOWNLOADABLE FROM THIS
PLATFORM OR GO TO OUR WEBSITE
WWW.AIRBUS.COM
Management For   For    
6     RESOLVED THAT, AS AN ADVISORY VOTE, THE
IMPLEMENTATION OF THE REMUNERATION POLICY
DURING THE FINANCIAL YEAR 2021, AS DISCLOSED
IN THE REPORT OF THE BOARD OF DIRECTORS, BE
AND HEREBY IS APPROVED
Management For   For    
7     RESOLVED THAT THE APPOINTMENT OF MR
GUILLAUME FAURY AS EXECUTIVE MEMBER OF
THE BOARD OF DIRECTORS BE RENEWED FOR A
TERM OF THREE YEARS, ENDING AT THE CLOSE OF
THE AGM WHICH SHALL BE HELD IN THE YEAR 2025
Management For   For    
8     RESOLVED THAT THE APPOINTMENT OF MS
CATHERINE GUILLOUARD AS NON-EXECUTIVE
MEMBER OF THE BOARD OF DIRECTORS BE
RENEWED FOR A TERM OF THREE YEARS, ENDING
AT THE CLOSE OF THE AGM WHICH SHALL BE HELD
IN THE YEAR 2025
Management For   For    
9     RESOLVED THAT THE APPOINTMENT OF MS
CLAUDIA NEMAT AS NON-EXECUTIVE MEMBER OF
THE BOARD OF DIRECTORS BE RENEWED FOR A
TERM OF THREE YEARS, ENDING AT THE CLOSE OF
THE AGM WHICH SHALL BE HELD IN THE YEAR 2025
Management For   For    
10    RESOLVED THAT MS IRENE RUMMELHOFF BE
APPOINTED AS A NON-EXECUTIVE MEMBER OF THE
BOARD OF DIRECTORS FOR A TERM OF THREE
YEARS, ENDING AT THE CLOSE OF THE AGM WHICH
SHALL BE HELD IN THE YEAR 2025, IN
REPLACEMENT OF MR CARLOS TAVARES WHOSE
MANDATE EXPIRES
Management For   For    
11    RESOLVED THAT IN ACCORDANCE WITH THE
COMPANY'S ARTICLES OF ASSOCIATION, THE
BOARD OF DIRECTORS BE AND HEREBY IS
DESIGNATED, SUBJECT TO REVOCATION BY THE
GENERAL MEETING, TO HAVE POWERS TO ISSUE
SHARES AND TO GRANT RIGHTS TO SUBSCRIBE
FOR SHARES IN THE COMPANY'S SHARE CAPITAL
FOR THE PURPOSE OF EMPLOYEE SHARE
OWNERSHIP PLANS AND SHARE-RELATED LONG-
TERM INCENTIVE PLANS (SUCH AS PERFORMANCE
SHARE PLANS), PROVIDED THAT SUCH POWERS
SHALL BE LIMITED TO AN AGGREGATE OF 0.14% OF
THE COMPANY'S AUTHORISED SHARE CAPITAL
FROM TIME TO TIME AND TO LIMIT OR EXCLUDE
PREFERENTIAL SUBSCRIPTION RIGHTS, IN BOTH
CASES FOR A PERIOD EXPIRING AT THE AGM TO
BE HELD IN 2023. SUCH POWERS INCLUDE THE
GRANTING OF RIGHTS TO SUBSCRIBE FOR SHARES
WHICH CAN BE EXERCISED AT SUCH TIME AS MAY
BE SPECIFIED IN OR PURSUANT TO SUCH PLANS
AND THE ISSUE OF SHARES TO BE PAID UP FROM
THE COMPANY'S RESERVES. HOWEVER, SUCH
POWERS SHALL NOT EXTEND TO ISSUING SHARES
OR GRANTING RIGHTS TO SUBSCRIBE FOR
SHARES IF (I) THERE IS NO PREFERENTIAL
SUBSCRIPTION RIGHTS
Management For   For    
12    RESOLVED THAT IN ACCORDANCE WITH THE
COMPANY'S ARTICLES OF ASSOCIATION, THE
BOARD OF DIRECTORS BE AND HEREBY IS
DESIGNATED, SUBJECT TO REVOCATION BY THE
GENERAL MEETING, TO HAVE POWERS TO ISSUE
SHARES AND TO GRANT RIGHTS TO SUBSCRIBE
FOR SHARES IN THE COMPANY'S SHARE CAPITAL
FOR THE PURPOSE OF FUNDING (OR ANY OTHER
CORPORATE PURPOSE INCLUDING MERGERS OR
ACQUISITIONS) THE COMPANY AND ITS GROUP
COMPANIES, PROVIDED THAT SUCH POWERS
SHALL BE LIMITED TO AN AGGREGATE OF 0.3% OF
THE COMPANY'S AUTHORISED SHARE CAPITAL
FROM TIME TO TIME AND TO LIMIT OR EXCLUDE
PREFERENTIAL SUBSCRIPTION RIGHTS, IN BOTH
CASES FOR A PERIOD EXPIRING AT THE AGM TO
BE HELD IN 2023. SUCH POWERS INCLUDE THE
ISSUE OF FINANCIAL INSTRUMENTS, INCLUDING
BUT NOT LIMITED TO CONVERTIBLE BOND, WHICH
INSTRUMENTS MAY GRANT THE HOLDERS
Management For   For    
  THEREOF RIGHTS TO ACQUIRE SHARES IN THE
CAPITAL OF THE COMPANY, EXERCISABLE AT
SUCH TIME AS MAY BE DETERMINED BY THE
FINANCIAL INSTRUMENT, AND THE ISSUE OF
SHARES TO BE PAID UP FROM THE COMPANY'S
RESERVES
                       
13    RESOLVED THAT THE BOARD OF DIRECTORS BE
AND HEREBY IS AUTHORISED, FOR A NEW PERIOD
OF 18 MONTHS FROM THE DATE OF THIS AGM, TO
REPURCHASE SHARES (OR DEPOSITORY
RECEIPTS FOR SHARES) OF THE COMPANY, BY
ANY MEANS, INCLUDING DERIVATIVE PRODUCTS,
ON ANY STOCK EXCHANGE OR OTHERWISE, AS
LONG AS, UPON SUCH REPURCHASE, THE
COMPANY WILL NOT HOLD MORE THAN 10% OF
THE COMPANY'S ISSUED SHARE CAPITAL, AND AT A
PRICE PER SHARE NOT LESS THAN THE NOMINAL
VALUE AND NOT MORE THAN THE HIGHER OF THE
PRICE OF THE LAST INDEPENDENT TRADE AND
THE HIGHEST CURRENT INDEPENDENT BID ON THE
TRADING VENUES OF THE REGULATED MARKET OF
THE COUNTRY IN WHICH THE PURCHASE IS
CARRIED OUT. THIS AUTHORISATION SUPERSEDES
AND REPLACES THE AUTHORISATION GIVEN BY
THE AGM OF 14 APRIL 2021 IN ITS TWELFTH
RESOLUTION
Management For   For    
14    RESOLVED THAT ANY OR ALL OF THE SHARES
HELD OR REPURCHASED BY THE COMPANY BE
CANCELLED (WHETHER OR NOT IN TRANCHES)
AND BOTH THE BOARD OF DIRECTORS AND THE
CHIEF EXECUTIVE OFFICER BE AND HEREBY ARE
AUTHORISED, WITH POWERS OF SUBSTITUTION,
TO IMPLEMENT THIS RESOLUTION (INCLUDING THE
AUTHORISATION TO ESTABLISH THE EXACT
NUMBER OF THE RELEVANT SHARES TO BE
CANCELLED) IN ACCORDANCE WITH DUTCH LAW
Management For   For    
                                 
Account
Number
Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares
Vote Date Date
Confirmed
 
AL27 GLV   STATE
STREET BANK
16,265   0 23-Feb-2022 23-Feb-2022
AL28 GLQ   STATE
STREET BANK
40,545   0 23-Feb-2022 23-Feb-2022
AL29 GLO   STATE
STREET BANK
75,828   0 23-Feb-2022 23-Feb-2022
LENNAR CORPORATION    
Security 526057104         Meeting Type   Annual  
Ticker Symbol LEN                     Meeting Date   12-Apr-2022  
ISIN US5260571048         Agenda   935554774 - Management
Record Date 15-Feb-2022         Holding Recon Date   15-Feb-2022  
City / Country   / United
States
      Vote Deadline Date   11-Apr-2022  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1A.   Election of Director to serve until the 2023 Annual
Meeting: Amy Banse
Management For   For    
1B.   Election of Director to serve until the 2023 Annual
Meeting: Rick Beckwitt
Management For   For    
1C.   Election of Director to serve until the 2023 Annual
Meeting: Steven L. Gerard
Management For   For    
1D.   Election of Director to serve until the 2023 Annual
Meeting: Tig Gilliam
Management For   For    
1E.   Election of Director to serve until the 2023 Annual
Meeting: Sherrill W. Hudson
Management For   For    
1F.   Election of Director to serve until the 2023 Annual
Meeting: Jonathan M. Jaffe
Management For   For    
1G.   Election of Director to serve until the 2023 Annual
Meeting: Sidney Lapidus
Management For   For    
1H.   Election of Director to serve until the 2023 Annual
Meeting: Teri P. McClure
Management For   For    
1I.   Election of Director to serve until the 2023 Annual
Meeting: Stuart Miller
Management For   For    
1J.   Election of Director to serve until the 2023 Annual
Meeting: Armando Olivera
Management For   For    
1K.   Election of Director to serve until the 2023 Annual
Meeting: Jeffrey Sonnenfeld
Management For   For    
2.    Approval, on an advisory basis, of the compensation of
our named executive officers.
Management For   For    
3.    Ratification of the appointment of Deloitte & Touche LLP
as our independent registered public accounting firm for
our fiscal year ending November 30, 2022.
Management For   For    
4.    Approval of the Lennar Corporation 2016 Equity Incentive
Plan, as Amended and Restated.
Management For   For    
5.    Approval of a stockholder proposal to reduce the
common stock ownership threshold to call a special
meeting.
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
40   0 02-Mar-2022 02-Mar-2022
997AL45 GLV
PLEDGE
997AL45 STATE
STREET BANK
& TRUST CO
100   8,600 02-Mar-2022 02-Mar-2022
997AL47 GLQ
PLEDGE
997AL47 STATE
STREET BANK
& TRUST CO
100   25,380 02-Mar-2022 02-Mar-2022
997AL49 GLO
PLEDGE
997AL49 STATE
STREET BANK
& TRUST CO
100   75,197 02-Mar-2022 02-Mar-2022
997AL53 GLO
PLEDGE
997AL53 STATE
STREET BANK
& TRUST CO
682   0 02-Mar-2022 02-Mar-2022
997AL60 GLV
PLEDGE
997AL60 STATE
STREET BANK
& TRUST CO
20,000   0 02-Mar-2022 02-Mar-2022
997AL61 GLQ
PLEDGE
997AL61 STATE
STREET BANK
& TRUST CO
20,300   0 02-Mar-2022 02-Mar-2022
RAYTHEON TECHNOLOGIES    
Security 75513E101         Meeting Type   Annual  
Ticker Symbol RTX                     Meeting Date   25-Apr-2022  
ISIN US75513E1010         Agenda   935559673 - Management
Record Date 01-Mar-2022         Holding Recon Date   01-Mar-2022  
City / Country   / United
States
      Vote Deadline Date   22-Apr-2022  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1A.   Election of Director: Tracy A. Atkinson Management For   For    
1B.   Election of Director: Bernard A.Harris,Jr. Management For   For    
1C.   Election of Director: Gregory J. Hayes Management For   For    
1D.   Election of Director: George R. Oliver Management For   For    
1E.   Election of Director: Robert K. (Kelly) Ortberg Management For   For    
1F.   Election of Director: Margaret L. O'Sullivan Management For   For    
1G.   Election of Director: Dinesh C. Paliwal Management For   For    
1H.   Election of Director: Ellen M. Pawlikowski Management For   For    
1I.   Election of Director: Denise L. Ramos Management For   For    
1J.   Election of Director: Fredric G. Reynolds Management For   For    
1K.   Election of Director: Brian C. Rogers Management For   For    
1L.   Election of Director: James A. Winnefeld, Jr. Management For   For    
1M.   Election of Director: Robert O. Work Management For   For    
2.    Advisory Vote to Approve Executive Compensation Management For   For    
3.    Appoint PricewaterhouseCoopers LLP to Serve as
Independent Auditor for 2022
Management For   For    
4.    Approve an Amendment to the Restated Certificate of
Incorporation to Reduce the Voting Threshold Required
to Repeal Article Ninth
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
16,650   0 16-Mar-2022 16-Mar-2022
997AL28 GLQ 997AL28 STATE
STREET BANK
& TRUST CO
43,170   0 16-Mar-2022 16-Mar-2022
997AL29 GLO 997AL29 STATE
STREET BANK
& TRUST CO
66,500   0 16-Mar-2022 16-Mar-2022
997AL45 GLV
PLEDGE
997AL45 STATE
STREET BANK
& TRUST CO
100   72,500 16-Mar-2022 16-Mar-2022
997AL47 GLQ
PLEDGE
997AL47 STATE
STREET BANK
& TRUST CO
37,900   0 16-Mar-2022 16-Mar-2022
997AL49 GLO
PLEDGE
997AL49 STATE
STREET BANK
& TRUST CO
51,320   0 16-Mar-2022 16-Mar-2022
997AL53 GLO
PLEDGE
997AL53 STATE
STREET BANK
& TRUST CO
30,100   0 16-Mar-2022 16-Mar-2022
CITIGROUP INC.    
Security 172967424         Meeting Type   Annual  
Ticker Symbol C                       Meeting Date   26-Apr-2022  
ISIN US1729674242         Agenda   935563177 - Management
Record Date 28-Feb-2022         Holding Recon Date   28-Feb-2022  
City / Country   / United
States
      Vote Deadline Date   25-Apr-2022  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1a.   Election of Director: Ellen M. Costello Management For   For    
1b.   Election of Director: Grace E. Dailey Management For   For    
1c.   Election of Director: Barbara J. Desoer Management For   For    
1d.   Election of Director: John C. Dugan Management For   For    
1e.   Election of Director: Jane N. Fraser 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: Renée J. James Management For   For    
1j.   Election of Director: Gary M. Reiner Management For   For    
1k.   Election of Director: Diana L. Taylor Management For   For    
1l.   Election of Director: James S. Turley Management For   For    
2.    Proposal to ratify the selection of KPMG LLP as Citi's
independent registered public accountants for 2022.
Management For   For    
3.    Advisory vote to approve our 2021 Executive
Compensation.
Management For   For    
4.    Approval of additional shares for the Citigroup 2019
Stock Incentive Plan.
Management For   For    
5.    Stockholder proposal requesting a Management Pay
Clawback policy.
Shareholder Against   For    
6.    Stockholder proposal requesting an Independent Board
Chairman.
Shareholder Against   For    
7.    Stockholder Proposal requesting a report on the
effectiveness of Citi's policies and practices in respecting
Indigenous Peoples' rights in Citi's existing and proposed
financing.
Shareholder Against   For    
8.    Stockholder Proposal requesting that the Board adopt a
policy to end new fossil fuel financing.
Shareholder Against   For    
9.    Stockholder proposal requesting a non-discrimination
audit analyzing the Company's impacts on civil rights and
non- discrimination for all Americans.
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
15,500   0 16-Mar-2022 16-Mar-2022
997AL28 GLQ 997AL28 STATE
STREET BANK
& TRUST CO
32,200   0 16-Mar-2022 16-Mar-2022
997AL29 GLO 997AL29 STATE
STREET BANK
& TRUST CO
59,600   0 16-Mar-2022 16-Mar-2022
JOHNSON & JOHNSON    
Security 478160104         Meeting Type   Annual  
Ticker Symbol JNJ                     Meeting Date   28-Apr-2022  
ISIN US4781601046         Agenda   935562997 - Management
Record Date 01-Mar-2022         Holding Recon Date   01-Mar-2022  
City / Country   / United
States
      Vote Deadline Date   27-Apr-2022  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1A.   Election of Director: Darius Adamczyk Management For   For    
1B.   Election of Director: Mary C. Beckerle Management For   For    
1C.   Election of Director: D. Scott Davis Management For   For    
1D.   Election of Director: Ian E. L. Davis Management For   For    
1E.   Election of Director: Jennifer A. Doudna Management For   For    
1F.   Election of Director: Joaquin Duato Management For   For    
1G.   Election of Director: Alex Gorsky Management For   For    
1H.   Election of Director: Marillyn A. Hewson Management For   For    
1I.   Election of Director: Hubert Joly Management For   For    
1J.   Election of Director: Mark B. McClellan Management For   For    
1K.   Election of Director: Anne M. Mulcahy Management For   For    
1L.   Election of Director: A. Eugene Washington Management For   For    
1M.   Election of Director: Mark A. Weinberger Management For   For    
1N.   Election of Director: Nadja Y. West Management For   For    
2.    Advisory Vote to Approve Named Executive Officer
Compensation.
Management For   For    
3.    Approval of the Company's 2022 Long-Term Incentive
Plan.
Management For   For    
4.    Ratification of Appointment of PricewaterhouseCoopers
LLP as the Independent Registered Public Accounting
Firm for 2022.
Management For   For    
5.    Proposal Withdrawn (Federal Securities Laws Mandatory
Arbitration Bylaw).
Shareholder Against        
6.    Civil Rights, Equity, Diversity & Inclusion Audit Proposal. Shareholder Against   For    
7.    Third Party Racial Justice Audit. Shareholder Against   For    
8.    Report on Government Financial Support and Access to
COVID-19 Vaccines and Therapeutics.
Shareholder Against   For    
9.    Report on Public Health Costs of Protecting Vaccine
Technology.
Shareholder Against   For    
10.   Discontinue Global Sales of Baby Powder Containing
Talc.
Shareholder Against   For    
11.   Request for Charitable Donations Disclosure. Shareholder Against   For    
12.   Third Party Review and Report on Lobbying Activities
Alignment with Position on Universal Health Coverage.
Shareholder Against   For    
13.   Adopt Policy to Include Legal and Compliance Costs in
Incentive Compensation Metrics.
Shareholder Against   For    
14.   CEO Compensation to Weigh Workforce Pay and
Ownership.
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
7,730   0 17-Mar-2022 17-Mar-2022
997AL28 GLQ 997AL28 STATE
STREET BANK
& TRUST CO
15,770   0 17-Mar-2022 17-Mar-2022
997AL29 GLO 997AL29 STATE
STREET BANK
& TRUST CO
28,870   0 17-Mar-2022 17-Mar-2022
997AL45 GLV
PLEDGE
997AL45 STATE
STREET BANK
& TRUST CO
100   11,240 17-Mar-2022 17-Mar-2022
997AL47 GLQ
PLEDGE
997AL47 STATE
STREET BANK
& TRUST CO
15,230   9,330 17-Mar-2022 17-Mar-2022
997AL49 GLO
PLEDGE
997AL49 STATE
STREET BANK
& TRUST CO
100   45,470 17-Mar-2022 17-Mar-2022
STARWOOD PROPERTY TRUST, INC.    
Security 85571B105         Meeting Type   Annual  
Ticker Symbol STWD                    Meeting Date   28-Apr-2022  
ISIN US85571B1052         Agenda   935565587 - Management
Record Date 02-Mar-2022         Holding Recon Date   02-Mar-2022  
City / Country   / United
States
      Vote Deadline Date   27-Apr-2022  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1.    DIRECTOR Management          
  1 Richard D. Bronson       For   For    
  2 Jeffrey G. Dishner       For   For    
  3 Camille J. Douglas       For   For    
  4 Solomon J. Kumin       For   For    
  5 Fred Perpall       For   For    
  6 Fred S. Ridley       For   For    
  7 Barry S. Sternlicht       For   For    
  8 Strauss Zelnick       For   For    
2.    The approval on an advisory basis of the Company's
executive compensation.
Management For   For    
3.    The approval of the Starwood Property Trust, Inc.
Employee Stock Purchase Plan.
Management For   For    
4.    The approval of the Starwood Property Trust, Inc. 2022
Manager Equity Plan.
Management For   For    
5.    The approval of the Starwood Property Trust, Inc. 2022
Equity Plan.
Management For   For    
6.    The ratification of Deloitte & Touche LLP as the
Company's independent registered public accounting firm
for the calendar year ending December 31, 2022.
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
35,400   0 19-Mar-2022 19-Mar-2022
997AL28 GLQ 997AL28 STATE
STREET BANK
& TRUST CO
157,200   0 19-Mar-2022 19-Mar-2022
997AL29 GLO 997AL29 STATE
STREET BANK
& TRUST CO
126,655   0 19-Mar-2022 19-Mar-2022
997AL45 GLV
PLEDGE
997AL45 STATE
STREET BANK
& TRUST CO
100   156,200 19-Mar-2022 19-Mar-2022
997AL47 GLQ
PLEDGE
997AL47 STATE
STREET BANK
& TRUST CO
100   165,300 19-Mar-2022 19-Mar-2022
997AL49 GLO
PLEDGE
997AL49 STATE
STREET BANK
& TRUST CO
285,000   305,800 19-Mar-2022 19-Mar-2022
997AL61 GLQ
PLEDGE
997AL61 STATE
STREET BANK
& TRUST CO
69,900   0 19-Mar-2022 19-Mar-2022
ABBOTT LABORATORIES    
Security 002824100         Meeting Type   Annual  
Ticker Symbol ABT                     Meeting Date   29-Apr-2022  
ISIN US0028241000         Agenda   935562909 - Management
Record Date 02-Mar-2022         Holding Recon Date   02-Mar-2022  
City / Country   / United
States
      Vote Deadline Date   28-Apr-2022  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1.    DIRECTOR Management          
  1 R. J. Alpern       For   For    
  2 S. E. Blount       For   For    
  3 R. B. Ford       For   For    
  4 P. Gonzalez       For   For    
  5 M. A. Kumbier       For   For    
  6 D. W. McDew       For   For    
  7 N. McKinstry       For   For    
  8 W. A. Osborn       For   For    
  9 M. F. Roman       For   For    
  10 D. J. Starks       For   For    
  11 J. G. Stratton       For   For    
  12 G. F. Tilton       For   For    
2.    Ratification of Ernst & Young LLP As Auditors Management For   For    
3.    Say on Pay - An Advisory Vote on the Approval of
Executive Compensation
Management For   For    
4.    Shareholder Proposal - Special Shareholder Meeting
Threshold
Shareholder Against   For    
5.    Shareholder Proposal - Independent Board Chairman Shareholder Against   For    
6.    Shareholder Proposal - Rule 10b5-1 Plans Shareholder Against   For    
7.    Shareholder Proposal - Lobbying Disclosure Shareholder Against   For    
8.    Shareholder Proposal - Antimicrobial Resistance Report 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
4,900   0 19-Mar-2022 19-Mar-2022
997AL28 GLQ 997AL28 STATE
STREET BANK
& TRUST CO
10,100   0 19-Mar-2022 19-Mar-2022
997AL49 GLO
PLEDGE
997AL49 STATE
STREET BANK
& TRUST CO
18,300   0 19-Mar-2022 19-Mar-2022
ELI LILLY AND COMPANY    
Security 532457108         Meeting Type   Annual  
Ticker Symbol LLY                     Meeting Date   02-May-2022  
ISIN US5324571083         Agenda   935562858 - Management
Record Date 22-Feb-2022         Holding Recon Date   22-Feb-2022  
City / Country   / United
States
      Vote Deadline Date   29-Apr-2022  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1A.   Election of Director to serve a three-year term: Ralph
Alvarez
Management For   For    
1B.   Election of Director to serve a three-year term: Kimberly
H. Johnson
Management For   For    
1C.   Election of Director to serve a three-year term: Juan R.
Luciano
Management For   For    
2.    Approval, on an advisory basis, of the compensation paid
to the company's named executive officers.
Management For   For    
3.    Ratification of the appointment of Ernst & Young LLP as
the independent auditor for 2022.
Management For   For    
4.    Approval of amendments to the company's Articles of
Incorporation to eliminate the classified board structure.
Management For   For    
5.    Approval of amendments to the company's Articles of
Incorporation to eliminate supermajority voting provisions.
Management For   For    
6.    Approval of amendments to the company's Articles of
Incorporation to give shareholders the ability to amend
the company's bylaws.
Management For   For    
7.    Shareholder proposal to amend the bylaws to require an
independent board chair.
Shareholder Against   For    
8.    Shareholder proposal to publish an annual report
disclosing lobbying activities.
Shareholder Against   For    
9.    Shareholder proposal to disclose lobbying activities and
alignment with public policy positions and statements.
Shareholder Against   For    
10.   Shareholder proposal to report oversight of risks related
to anticompetitive pricing strategies.
Shareholder Against   For    
                                 
Account
Number
Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares
Vote Date Date
Confirmed
 
997AL45 GLV
PLEDGE
997AL45 STATE
STREET BANK
& TRUST CO
113   7,300 19-Mar-2022 19-Mar-2022
997AL60 GLV
PLEDGE
997AL60 STATE
STREET BANK
& TRUST CO
4,600   0 19-Mar-2022 19-Mar-2022
STRYKER CORPORATION    
Security 863667101         Meeting Type   Annual  
Ticker Symbol SYK                     Meeting Date   04-May-2022  
ISIN US8636671013         Agenda   935568711 - Management
Record Date 07-Mar-2022         Holding Recon Date   07-Mar-2022  
City / Country   / United
States
      Vote Deadline Date   03-May-2022  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1A)   Election of Director: Mary K. Brainerd Management For   For    
1B)   Election of Director: Giovanni Caforio, M.D. Management For   For    
1C)   Election of Director: Srikant M. Datar, Ph.D. Management For   For    
1D)   Election of Director: Allan C. Golston (Lead Independent
Director)
Management For   For    
1E)   Election of Director: Kevin A. Lobo (Chair of the Board,
Chief Executive Officer and President)
Management For   For    
1F)   Election of Director: Sherilyn S. McCoy Management For   For    
1G)   Election of Director: Andrew K. Silvernail Management For   For    
1H)   Election of Director: Lisa M. Skeete Tatum Management For   For    
1I)   Election of Director: Ronda E. Stryker Management For   For    
1J)   Election of Director: Rajeev Suri Management For   For    
2)    Ratification of Appointment of our Independent
Registered Public Accounting Firm.
Management For   For    
3)    Advisory Vote to Approve Named Executive Officer
Compensation.
Management For   For    
4)    Shareholder Proposal to Amend Proxy Access Terms. 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
2,700   0 24-Mar-2022 24-Mar-2022
997AL28 GLQ 997AL28 STATE
STREET BANK
& TRUST CO
5,500   0 24-Mar-2022 24-Mar-2022
997AL49 GLO
PLEDGE
997AL49 STATE
STREET BANK
& TRUST CO
10,000   0 24-Mar-2022 24-Mar-2022
WALKER & DUNLOP, INC.    
Security 93148P102         Meeting Type   Annual  
Ticker Symbol WD                      Meeting Date   05-May-2022  
ISIN US93148P1021         Agenda   935565931 - Management
Record Date 09-Mar-2022         Holding Recon Date   09-Mar-2022  
City / Country   / United
States
      Vote Deadline Date   04-May-2022  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1.    DIRECTOR Management          
  1 Ellen D. Levy       For   For    
  2 Michael D. Malone       For   For    
  3 John Rice       For   For    
  4 Dana L. Schmaltz       For   For    
  5 Howard W. Smith III       For   For    
  6 William M. Walker       For   For    
  7 Michael J. Warren       For   For    
  8 Donna C. Wells       For   For    
2.    Ratification of the appointment of the independent
registered public accounting firm.
Management For   For    
3.    Advisory resolution to approve executive compensation. Management For   For    
4.    Advisory resolution relating to the frequency of future
advisory votes on executive compensation
Management 3 Years   Against    
                                 
Account
Number
Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares
Vote Date Date
Confirmed
 
997AL27 GLV 997AL27 STATE
STREET BANK
& TRUST CO
70   0 26-Mar-2022 26-Mar-2022
997AL45 GLV
PLEDGE
997AL45 STATE
STREET BANK
& TRUST CO
100   9,700 26-Mar-2022 26-Mar-2022
997AL60 GLV
PLEDGE
997AL60 STATE
STREET BANK
& TRUST CO
5,000   0 26-Mar-2022 26-Mar-2022
THE GABELLI EQUITY TRUST INC.    
Security 362397846         Meeting Type   Annual  
Ticker Symbol GABPRK                  Meeting Date   09-May-2022  
ISIN US3623978463         Agenda   935569612 - Management
Record Date 14-Mar-2022         Holding Recon Date   14-Mar-2022  
City / Country   / United
States
      Vote Deadline Date   06-May-2022  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1.    DIRECTOR Management          
  1 Mario J. Gabelli       For   For    
  2 Leslie F. Foley       For   For    
  3 William F. Heitmann       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
21,200   0 19-Mar-2022 19-Mar-2022
FIRST AMERICAN FINANCIAL CORPORATION    
Security 31847R102         Meeting Type   Annual  
Ticker Symbol FAF                     Meeting Date   10-May-2022  
ISIN US31847R1023         Agenda   935591556 - Management
Record Date 17-Mar-2022         Holding Recon Date   17-Mar-2022  
City / Country   / United
States
      Vote Deadline Date   09-May-2022  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1.1   Election of Class III Director: Reginald H. Gilyard Management For   For    
1.2   Election of Class III Director: Parker S. Kennedy Management For   For    
1.3   Election of Class III Director: Mark C. Oman Management For   For    
2.    Advisory vote to approve executive compensation. Management For   For    
3.    To approve the amendment and restatement of the 2010
Employee Stock Purchase Plan.
Management For   For    
4.    To ratify the selection of PricewaterhouseCoopers LLP as
the Company's independent registered public accounting
firm for the fiscal year ending December 31, 2022.
Management For   For    
                                 
Account
Number
Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares
Vote Date Date
Confirmed
 
997AL28 GLQ 997AL28 STATE
STREET BANK
& TRUST CO
12,400   0 05-Apr-2022 05-Apr-2022
997AL45 GLV
PLEDGE
997AL45 STATE
STREET BANK
& TRUST CO
100   61,990 05-Apr-2022 05-Apr-2022
997AL47 GLQ
PLEDGE
997AL47 STATE
STREET BANK
& TRUST CO
30,100   95,290 05-Apr-2022 05-Apr-2022
997AL49 GLO
PLEDGE
997AL49 STATE
STREET BANK
& TRUST CO
100   257,270 05-Apr-2022 05-Apr-2022
997AL60 GLV
PLEDGE
997AL60 STATE
STREET BANK
& TRUST CO
13,800   0 05-Apr-2022 05-Apr-2022
KINDER MORGAN, INC.    
Security 49456B101         Meeting Type   Annual  
Ticker Symbol KMI                     Meeting Date   11-May-2022  
ISIN US49456B1017         Agenda   935579574 - Management
Record Date 14-Mar-2022         Holding Recon Date   14-Mar-2022  
City / Country   / United
States
      Vote Deadline Date   10-May-2022  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1A.   Election of Director for a one year term expiring in 2023:
Richard D. Kinder
Management For   For    
1B.   Election of Director for a one year term expiring in 2023:
Steven J. Kean
Management For   For    
1C.   Election of Director for a one year term expiring in 2023:
Kimberly A. Dang
Management For   For    
1D.   Election of Director for a one year term expiring in 2023:
Ted A. Gardner
Management For   For    
1E.   Election of Director for a one year term expiring in 2023:
Anthony W. Hall, Jr.
Management For   For    
1F.   Election of Director for a one year term expiring in 2023:
Gary L. Hultquist
Management For   For    
1G.   Election of Director for a one year term expiring in 2023:
Ronald L. Kuehn, Jr.
Management For   For    
1H.   Election of Director for a one year term expiring in 2023:
Deborah A. Macdonald
Management For   For    
1I.   Election of Director for a one year term expiring in 2023:
Michael C. Morgan
Management For   For    
1J.   Election of Director for a one year term expiring in 2023:
Arthur C. Reichstetter
Management For   For    
1K.   Election of Director for a one year term expiring in 2023:
C. Park Shaper
Management For   For    
1L.   Election of Director for a one year term expiring in 2023:
William A. Smith
Management For   For    
1M.   Election of Director for a one year term expiring in 2023:
Joel V. Staff
Management For   For    
1N.   Election of Director for a one year term expiring in 2023:
Robert F. Vagt
Management For   For    
1O.   Election of Director for a one year term expiring in 2023:
Perry M. Waughtal
Management For   For    
2.    Ratification of the selection of PricewaterhouseCoopers
LLP as our independent registered public accounting firm
for 2022.
Management For   For    
3.    Approval, on an advisory basis, of the compensation of
our named executive officers, as disclosed in the Proxy
Statement.
Management For   For    
                                 
Account
Number
Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares
Vote Date Date
Confirmed
 
997AL27 GLV 997AL27 STATE
STREET BANK
& TRUST CO
155,500   0 02-Apr-2022 02-Apr-2022
997AL28 GLQ 997AL28 STATE
STREET BANK
& TRUST CO
125,900   0 02-Apr-2022 02-Apr-2022
997AL29 GLO 997AL29 STATE
STREET BANK
& TRUST CO
150,000   0 02-Apr-2022 02-Apr-2022
997AL47 GLQ
PLEDGE
997AL47 STATE
STREET BANK
& TRUST CO
93,600   100,000 02-Apr-2022 02-Apr-2022
997AL49 GLO
PLEDGE
997AL49 STATE
STREET BANK
& TRUST CO
432,034   0 02-Apr-2022 02-Apr-2022
CHENIERE ENERGY, INC.    
Security 16411R208         Meeting Type   Annual  
Ticker Symbol LNG                     Meeting Date   12-May-2022  
ISIN US16411R2085         Agenda   935607082 - Management
Record Date 28-Mar-2022         Holding Recon Date   28-Mar-2022  
City / Country   / United
States
      Vote Deadline Date   11-May-2022  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1A.   Election of Director: G. Andrea Botta Management For   For    
1B.   Election of Director: Jack A. Fusco Management For   For    
1C.   Election of Director: Vicky A. Bailey Management For   For    
1D.   Election of Director: Patricia K. Collawn Management For   For    
1E.   Election of Director: David B. Kilpatrick Management For   For    
1F.   Election of Director: Lorraine Mitchelmore Management For   For    
1G.   Election of Director: Scott Peak Management For   For    
1H.   Election of Director: Donald F. Robillard, Jr Management For   For    
1I.   Election of Director: Neal A. Shear Management For   For    
1J.   Election of Director: Andrew J. Teno Management For   For    
2.    Approve, on an advisory and non-binding basis, the
compensation of the Company's named executive
officers for 2021.
Management For   For    
3.    Ratification of the appointment of KPMG LLP as the
Company's independent registered public accounting firm
for 2022.
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
14,300   0 13-Apr-2022 13-Apr-2022
997AL28 GLQ 997AL28 STATE
STREET BANK
& TRUST CO
14,300   0 13-Apr-2022 13-Apr-2022
997AL49 GLO
PLEDGE
997AL49 STATE
STREET BANK
& TRUST CO
53,400   0 13-Apr-2022 13-Apr-2022
997AL61 GLQ
PLEDGE
997AL61 STATE
STREET BANK
& TRUST CO
15,000   0 13-Apr-2022 13-Apr-2022
ZIMMER BIOMET HOLDINGS, INC.    
Security 98956P102         Meeting Type   Annual  
Ticker Symbol ZBH                     Meeting Date   13-May-2022  
ISIN US98956P1021         Agenda   935568139 - Management
Record Date 14-Mar-2022         Holding Recon Date   14-Mar-2022  
City / Country   / United
States
      Vote Deadline Date   12-May-2022  
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: Michael J. Farrell Management For   For    
1D.   Election of Director: Robert A. Hagemann Management For   For    
1E.   Election of Director: Bryan C. Hanson Management For   For    
1F.   Election of Director: Arthur J. Higgins Management For   For    
1G.   Election of Director: Maria Teresa Hilado Management For   For    
1H.   Election of Director: Syed Jafry Management For   For    
1I.   Election of Director: Sreelakshmi Kolli Management For   For    
1J.   Election of Director: Michael W. Michelson Management For   For    
2.    Ratify the appointment of PricewaterhouseCoopers LLP
as our independent registered public accounting firm for
2022.
Management For   For    
3.    Approve, on a non-binding advisory basis, 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
4,300   0 30-Mar-2022 30-Mar-2022
997AL28 GLQ 997AL28 STATE
STREET BANK
& TRUST CO
8,800   0 30-Mar-2022 30-Mar-2022
997AL29 GLO 997AL29 STATE
STREET BANK
& TRUST CO
16,100   0 30-Mar-2022 30-Mar-2022
THERMO FISHER SCIENTIFIC INC.    
Security 883556102         Meeting Type   Annual  
Ticker Symbol TMO                     Meeting Date   18-May-2022  
ISIN US8835561023         Agenda   935585058 - Management
Record Date 25-Mar-2022         Holding Recon Date   25-Mar-2022  
City / Country   / United
States
      Vote Deadline Date   17-May-2022  
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: Ruby R. Chandy Management For   For    
1D.   Election of director: C. Martin Harris Management For   For    
1E.   Election of director: Tyler Jacks Management For   For    
1F.   Election of director: R. Alexandra Keith 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. Sorensen 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 2022.
Management For   For    
                                 
Account
Number
Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares
Vote Date Date
Confirmed
 
997AL45 GLV
PLEDGE
997AL45 STATE
STREET BANK
& TRUST CO
935   0 08-Apr-2022 08-Apr-2022
997AL47 GLQ
PLEDGE
997AL47 STATE
STREET BANK
& TRUST CO
2,475   0 08-Apr-2022 08-Apr-2022
997AL49 GLO
PLEDGE
997AL49 STATE
STREET BANK
& TRUST CO
3,438   0 08-Apr-2022 08-Apr-2022
997AL53 GLO
PLEDGE
997AL53 STATE
STREET BANK
& TRUST CO
1,145   0 08-Apr-2022 08-Apr-2022
997AL60 GLV
PLEDGE
997AL60 STATE
STREET BANK
& TRUST CO
290   0 08-Apr-2022 08-Apr-2022
NORTHROP GRUMMAN CORPORATION    
Security 666807102         Meeting Type   Annual  
Ticker Symbol NOC                     Meeting Date   18-May-2022  
ISIN US6668071029         Agenda   935592495 - Management
Record Date 22-Mar-2022         Holding Recon Date   22-Mar-2022  
City / Country   / United
States
      Vote Deadline Date   17-May-2022  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1A.   Election of Director: Kathy J. Warden Management For   For    
1B.   Election of Director: David P. Abney Management For   For    
1C.   Election of Director: Marianne C. Brown Management For   For    
1D.   Election of Director: Donald E. Felsinger Management For   For    
1E.   Election of Director: Ann M. Fudge Management For   For    
1F.   Election of Director: William H. Hernandez Management For   For    
1G.   Election of Director: Madeleine A. Kleiner Management For   For    
1H.   Election of Director: Karl J. Krapek Management For   For    
1I.   Election of Director: Graham N. Robinson Management For   For    
1J.   Election of Director: Gary Roughead Management For   For    
1K.   Election of Director: Thomas M. Schoewe Management For   For    
1L.   Election of Director: James S. Turley Management For   For    
1M.   Election of Director: Mark A. Welsh III Management For   For    
2.    Proposal to approve, on an advisory basis, the
compensation of the Company's Named Executive
Officers.
Management For   For    
3.    Proposal to ratify the appointment of Deloitte & Touche
LLP as the Company's Independent Auditor for fiscal year
ending December 31, 2022.
Management For   For    
4.    Shareholder proposal to change the ownership threshold
for shareholders to call a special meeting.
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
2,390   0 05-Apr-2022 05-Apr-2022
997AL28 GLQ 997AL28 STATE
STREET BANK
& TRUST CO
4,890   0 05-Apr-2022 05-Apr-2022
997AL29 GLO 997AL29 STATE
STREET BANK
& TRUST CO
8,920   0 05-Apr-2022 05-Apr-2022
EQUITABLE HOLDINGS, INC.    
Security 29452E101         Meeting Type   Annual  
Ticker Symbol EQH                     Meeting Date   19-May-2022  
ISIN US29452E1010         Agenda   935589032 - Management
Record Date 23-Mar-2022         Holding Recon Date   23-Mar-2022  
City / Country   / United
States
      Vote Deadline Date   18-May-2022  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1A.   Election of Director for a one-year term ending at the
2023 Annual Meeting: Francis A. Hondal
Management For   For    
1B.   Election of Director for a one-year term ending at the
2023 Annual Meeting: Daniel G. Kaye
Management For   For    
1C.   Election of Director for a one-year term ending at the
2023 Annual Meeting: Joan Lamm-Tennant
Management For   For    
1D.   Election of Director for a one-year term ending at the
2023 Annual Meeting: Kristi A. Matus
Management For   For    
1E.   Election of Director for a one-year term ending at the
2023 Annual Meeting: Mark Pearson
Management For   For    
1F.   Election of Director for a one-year term ending at the
2023 Annual Meeting: Bertram L. Scott
Management For   For    
1G.   Election of Director for a one-year term ending at the
2023 Annual Meeting: George Stansfield
Management For   For    
1H.   Election of Director for a one-year term ending at the
2023 Annual Meeting: Charles G.T. Stonehill
Management For   For    
2.    Ratification of the appointment of
PricewaterhouseCoopers LLP as our independent
registered public accounting firm for fiscal year 2022.
Management For   For    
3.    Advisory vote to approve the compensation paid to our
named executive officers.
Management For   For    
4.    Amendments to the Company's Certificate of
Incorporation to remove supermajority voting
requirements, references to the AXA Shareholder
Agreement and other obsolete provisions.
Management For   For    
                                 
Account
Number
Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares
Vote Date Date
Confirmed
 
997AL45 GLV
PLEDGE
997AL45 STATE
STREET BANK
& TRUST CO
100   67,400 08-Apr-2022 08-Apr-2022
997AL47 GLQ
PLEDGE
997AL47 STATE
STREET BANK
& TRUST CO
100   123,400 08-Apr-2022 08-Apr-2022
997AL49 GLO
PLEDGE
997AL49 STATE
STREET BANK
& TRUST CO
100   226,800 08-Apr-2022 08-Apr-2022
997AL53 GLO
PLEDGE
997AL53 STATE
STREET BANK
& TRUST CO
70,000   0 08-Apr-2022 08-Apr-2022
997AL61 GLQ
PLEDGE
997AL61 STATE
STREET BANK
& TRUST CO
28,500   0 08-Apr-2022 08-Apr-2022
ZOETIS INC.    
Security 98978V103         Meeting Type   Annual  
Ticker Symbol ZTS                     Meeting Date   19-May-2022  
ISIN US98978V1035         Agenda   935591176 - Management
Record Date 25-Mar-2022         Holding Recon Date   25-Mar-2022  
City / Country   / United
States
      Vote Deadline Date   18-May-2022  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1A.   Election of Director: Paul M. Bisaro Management For   For    
1B.   Election of Director: Frank A. D'Amelio Management For   For    
1C.   Election of Director: Michael B. McCallister Management For   For    
2.    Advisory vote to approve our executive compensation. Management For   For    
3.    Approval of an Amendment and Restatement of our 2013
Equity and Incentive Plan.
Management For   For    
4.    Ratification of appointment of KPMG LLP as our
independent registered public accounting firm for 2022.
Management For   For    
5.    Approval of an amendment to our Restated Certificate of
Incorporation to eliminate supermajority voting provisions
and certain provisions related to Pfizer Inc.
Management For   For    
6.    Approval of an amendment to our Restated Certificate of
Incorporation to declassify the Board of Directors.
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
20   0 07-Apr-2022 07-Apr-2022
997AL28 GLQ 997AL28 STATE
STREET BANK
& TRUST CO
70   0 07-Apr-2022 07-Apr-2022
997AL29 GLO 997AL29 STATE
STREET BANK
& TRUST CO
30   0 07-Apr-2022 07-Apr-2022
997AL45 GLV
PLEDGE
997AL45 STATE
STREET BANK
& TRUST CO
130   4,600 07-Apr-2022 07-Apr-2022
997AL47 GLQ
PLEDGE
997AL47 STATE
STREET BANK
& TRUST CO
4,620   3,500 07-Apr-2022 07-Apr-2022
997AL49 GLO
PLEDGE
997AL49 STATE
STREET BANK
& TRUST CO
15,195   0 07-Apr-2022 07-Apr-2022
REDWOOD TRUST, INC.    
Security 758075402         Meeting Type   Annual  
Ticker Symbol RWT                     Meeting Date   24-May-2022  
ISIN US7580754023         Agenda   935591544 - Management
Record Date 25-Mar-2022         Holding Recon Date   25-Mar-2022  
City / Country   / United
States
      Vote Deadline Date   23-May-2022  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1.1   Election of Director: Greg H. Kubicek Management For   For    
1.2   Election of Director: Christopher J. Abate Management For   For    
1.3   Election of Director: Armando Falcon Management For   For    
1.4   Election of Director: Douglas B. Hansen Management For   For    
1.5   Election of Director: Debora D. Horvath Management For   For    
1.6   Election of Director: George W. Madison Management For   For    
1.7   Election of Director: Georganne C. Proctor Management For   For    
1.8   Election of Director: Dashiell I. Robinson Management For   For    
1.9   Election of Director: Faith A. Schwartz Management For   For    
2.    Ratification of the appointment of Grant Thornton LLP as
the Company's independent registered public accounting
firm for 2022.
Management For   For    
3.    Non-binding advisory resolution to approve named
executive officer 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
34,900   0 05-Apr-2022 05-Apr-2022
997AL45 GLV
PLEDGE
997AL45 STATE
STREET BANK
& TRUST CO
100   280,300 05-Apr-2022 05-Apr-2022
997AL60 GLV
PLEDGE
997AL60 STATE
STREET BANK
& TRUST CO
35,000   0 05-Apr-2022 05-Apr-2022
MERCK & CO., INC.    
Security 58933Y105         Meeting Type   Annual  
Ticker Symbol MRK                     Meeting Date   24-May-2022  
ISIN US58933Y1055         Agenda   935591570 - Management
Record Date 25-Mar-2022         Holding Recon Date   25-Mar-2022  
City / Country   / United
States
      Vote Deadline Date   23-May-2022  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1A.   Election of Director: Douglas M. Baker, Jr. Management For   For    
1B.   Election of Director: Mary Ellen Coe Management For   For    
1C.   Election of Director: Pamela J. Craig Management For   For    
1D.   Election of Director: Robert M. Davis Management For   For    
1E.   Election of Director: Kenneth C. Frazier Management For   For    
1F.   Election of Director: Thomas H. Glocer Management For   For    
1G.   Election of Director: Risa J. Lavizzo-Mourey, M.D. Management For   For    
1H.   Election of Director: Stephen L. Mayo, Ph.D. Management For   For    
1I.   Election of Director: Paul B. Rothman, M.D. Management For   For    
1J.   Election of Director: Patricia F. Russo Management For   For    
1K.   Election of Director: Christine E. Seidman, M.D. Management For   For    
1L.   Election of Director: Inge G. Thulin Management For   For    
1M.   Election of Director: Kathy J. Warden Management For   For    
1N.   Election of Director: Peter C. Wendell Management For   For    
2.    Non-binding advisory vote to approve the compensation
of our named executive officers.
Management For   For    
3.    Ratification of the appointment of the Company's
independent registered public accounting firm for 2022.
Management For   For    
4.    Shareholder proposal regarding an independent board
chairman.
Shareholder Against   For    
5.    Shareholder proposal regarding access to COVID-19
products.
Shareholder Against   For    
6.    Shareholder proposal regarding lobbying expenditure
disclosure.
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
12,700   0 05-Apr-2022 05-Apr-2022
997AL28 GLQ 997AL28 STATE
STREET BANK
& TRUST CO
25,700   0 05-Apr-2022 05-Apr-2022
997AL29 GLO 997AL29 STATE
STREET BANK
& TRUST CO
46,800   0 05-Apr-2022 05-Apr-2022
997AL45 GLV
PLEDGE
997AL45 STATE
STREET BANK
& TRUST CO
100   14,300 05-Apr-2022 05-Apr-2022
997AL47 GLQ
PLEDGE
997AL47 STATE
STREET BANK
& TRUST CO
100   31,300 05-Apr-2022 05-Apr-2022
997AL49 GLO
PLEDGE
997AL49 STATE
STREET BANK
& TRUST CO
18,900   39,800 05-Apr-2022 05-Apr-2022
EXXON MOBIL CORPORATION    
Security 30231G102         Meeting Type   Annual  
Ticker Symbol XOM                     Meeting Date   25-May-2022  
ISIN US30231G1022         Agenda   935604214 - Management
Record Date 01-Apr-2022         Holding Recon Date   01-Apr-2022  
City / Country   / United
States
      Vote Deadline Date   24-May-2022  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1A.   Election of Director: Michael J. Angelakis Management For   For    
1B.   Election of Director: Susan K. Avery Management For   For    
1C.   Election of Director: Angela F. Braly Management For   For    
1D.   Election of Director: Ursula M. Burns Management For   For    
1E.   Election of Director: Gregory J. Goff Management For   For    
1F.   Election of Director: Kaisa H. Hietala Management For   For    
1G.   Election of Director: Joseph L. Hooley Management For   For    
1H.   Election of Director: Steven A. Kandarian Management For   For    
1I.   Election of Director: Alexander A. Karsner Management For   For    
1J.   Election of Director: Jeffrey W. Ubben Management For   For    
1K.   Election of Director: Darren W. Woods Management For   For    
2.    Ratification of Independent Auditors Management For   For    
3.    Advisory Vote to Approve Executive Compensation Management For   For    
4.    Remove Executive Perquisites Shareholder Against   For    
5.    Limit Shareholder Rights for Proposal Submission Shareholder Against   For    
6.    Reduce Company Emissions and Hydrocarbon Sales Shareholder Against   For    
7.    Report on Low Carbon Business Planning Shareholder Against   For    
8.    Report on Scenario Analysis Shareholder Against   For    
9.    Report on Plastic Production Shareholder Against   For    
10.   Report on Political Contributions 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
34,500   0 12-Apr-2022 12-Apr-2022
997AL29 GLO 997AL29 STATE
STREET BANK
& TRUST CO
38,700   0 12-Apr-2022 12-Apr-2022
997AL47 GLQ
PLEDGE
997AL47 STATE
STREET BANK
& TRUST CO
17,200   25,000 12-Apr-2022 12-Apr-2022
997AL49 GLO
PLEDGE
997AL49 STATE
STREET BANK
& TRUST CO
90,400   0 12-Apr-2022 12-Apr-2022
997AL61 GLQ
PLEDGE
997AL61 STATE
STREET BANK
& TRUST CO
28,700   0 12-Apr-2022 12-Apr-2022
NVIDIA CORPORATION    
Security 67066G104         Meeting Type   Annual  
Ticker Symbol NVDA                    Meeting Date   02-Jun-2022  
ISIN US67066G1040         Agenda   935618299 - Management
Record Date 04-Apr-2022         Holding Recon Date   04-Apr-2022  
City / Country   / United
States
      Vote Deadline Date   01-Jun-2022  
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: John O. Dabiri Management For   For    
1D.   Election of Director: Persis S. Drell Management For   For    
1E.   Election of Director: Jen-Hsun Huang Management For   For    
1F.   Election of Director: Dawn Hudson Management For   For    
1G.   Election of Director: Harvey C. Jones Management For   For    
1H.   Election of Director: Michael G. McCaffery Management For   For    
1I.   Election of Director: Stephen C. Neal Management For   For    
1J.   Election of Director: Mark L. Perry Management For   For    
1K.   Election of Director: A. Brooke Seawell Management For   For    
1L.   Election of Director: Aarti Shah Management For   For    
1M.   Election of Director: Mark A. Stevens Management For   For    
2.    Advisory 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 2023.
Management For   For    
4.    Approval of an amendment to our charter to increase the
number of authorized shares of common stock from 4
billion to 8 billion shares.
Management For   For    
5.    Approval of an amendment and restatement of our
Amended and Restated 2007 Equity Incentive Plan.
Management For   For    
                                 
Account
Number
Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares
Vote Date Date
Confirmed
 
997AL28 GLQ 997AL28 STATE
STREET BANK
& TRUST CO
10,000   0 21-Apr-2022 21-Apr-2022
997AL45 GLV
PLEDGE
997AL45 STATE
STREET BANK
& TRUST CO
185   11,700 21-Apr-2022 21-Apr-2022
997AL49 GLO
PLEDGE
997AL49 STATE
STREET BANK
& TRUST CO
100   29,900 21-Apr-2022 21-Apr-2022
997AL53 GLO
PLEDGE
997AL53 STATE
STREET BANK
& TRUST CO
14,350   0 21-Apr-2022 21-Apr-2022
997AL61 GLQ
PLEDGE
997AL61 STATE
STREET BANK
& TRUST CO
13,940   0 21-Apr-2022 21-Apr-2022
UnitedHealth Group    
Security 91324P102         Meeting Type   Annual  
Ticker Symbol UNH                     Meeting Date   06-Jun-2022  
ISIN US91324P1021         Agenda   935618453 - Management
Record Date 08-Apr-2022         Holding Recon Date   08-Apr-2022  
City / Country   / United
States
      Vote Deadline Date   03-Jun-2022  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1a.   Election of Director: Timothy P. Flynn Management For   For    
1b.   Election of Director: Paul R. Garcia Management For   For    
1c.   Election of Director: Stephen J. Hemsley Management For   For    
1d.   Election of Director: Michele J. Hooper Management For   For    
1e.   Election of Director: F. William McNabb III Management For   For    
1f.   Election of Director: Valerie C. Montgomery Rice, M.D. Management For   For    
1g.   Election of Director: John H. Noseworthy, M.D. Management For   For    
1h.   Election of Director: Andrew Witty Management For   For    
2.    Advisory approval of the Company's executive
compensation.
Management For   For    
3.    Ratification of the appointment of Deloitte & Touche LLP
as the independent registered public accounting firm for
the Company for the year ending December 31, 2022.
Management For   For    
4.    If properly presented at the 2022 Annual Meeting of
Shareholders, the shareholder proposal seeking
shareholder ratification of termination pay.
Shareholder Against   For    
5.    If properly presented at the 2022 Annual Meeting of
Shareholders, the shareholder proposal regarding
political contributions congruency report.
Shareholder Against   For    
                                 
Account
Number
Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares
Vote Date Date
Confirmed
 
997AL45 GLV
PLEDGE
997AL45 STATE
STREET BANK
& TRUST CO
100   3,985 23-Apr-2022 23-Apr-2022
997AL47 GLQ
PLEDGE
997AL47 STATE
STREET BANK
& TRUST CO
100   8,195 23-Apr-2022 23-Apr-2022
997AL49 GLO
PLEDGE
997AL49 STATE
STREET BANK
& TRUST CO
100   15,240 23-Apr-2022 23-Apr-2022
BARINGS BDC, INC.    
Security 06759L103         Meeting Type   Annual  
Ticker Symbol BBDC                    Meeting Date   30-Jun-2022  
ISIN US06759L1035         Agenda   935579156 - Management
Record Date 07-Mar-2022         Holding Recon Date   07-Mar-2022  
City / Country   / United
States
      Vote Deadline Date   29-Jun-2022  
SEDOL(s)         Quick Code      
Item Proposal Proposed
by
Vote   For/Against
Management
   
1A.   Election of Class I Director who will serve until 2025
Annual Meeting: Eric Lloyd
Management For   For    
1B.   Election of Class I Director who will serve until 2025
Annual Meeting: Mark Mulhern
Management For   For    
1C.   Election of Class I Director who will serve until 2025
Annual Meeting: Robert Knapp
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 30% 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
 
997AL27 GLV 997AL27 STATE
STREET BANK
& TRUST CO
54,000   0 26-Mar-2022 26-Mar-2022
997AL28 GLQ 997AL28 STATE
STREET BANK
& TRUST CO
54,800   0 26-Mar-2022 26-Mar-2022
997AL45 GLV
PLEDGE
997AL45 STATE
STREET BANK
& TRUST CO
103,400   0 26-Mar-2022 26-Mar-2022
997AL47 GLQ
PLEDGE
997AL47 STATE
STREET BANK
& TRUST CO
306,346   0 26-Mar-2022 26-Mar-2022

 

-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 Global Dividend and Income Fund  
       
  By: /s/ Dawn Cotten  
    Dawn Cotten  
    President  
       
  Date: August 3, 2022  

 

-3-

Clough Global Dividend a... (AMEX:GLV)
Historical Stock Chart
From Jan 2023 to Feb 2023 Click Here for more Clough Global Dividend a... Charts.
Clough Global Dividend a... (AMEX:GLV)
Historical Stock Chart
From Feb 2022 to Feb 2023 Click Here for more Clough Global Dividend a... Charts.