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

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

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

Date of fiscal year end: October 31

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

Item 1 – Proxy Voting Record.
 
Vote Summary
AKORN, INC.
 
Security
009728106
             
Meeting Type
 
Annual
Ticker Symbol
AKRX
             
Meeting Date
 
01-Jul-2016
 
ISIN
US0097281069
             
Agenda
 
934429437 - Management
Record Date
11-May-2016
             
Holding Recon Date
 
11-May-2016
 
City /
Country
   
/
United States
         
Vote Deadline Date
 
30-Jun-2016
 
SEDOL(s)
           
Quick Code
     
Item
Proposal
 
 
Proposed by
 
Vote
 
For/Against Management
 
 
1.
DIRECTOR
Management
               
   
1
JOHN KAPOOR, PHD
       
For
   
For
   
   
2
KENNETH ABRAMOWITZ
       
For
   
For
   
   
3
ADRIENNE GRAVES, PHD
       
For
   
For
   
   
4
RONALD JOHNSON
       
For
   
For
   
   
5
STEVEN MEYER
       
For
   
For
   
   
6
TERRY ALLISON RAPPUHN
       
For
   
For
   
   
7
BRIAN TAMBI
       
For
   
For
   
   
8
ALAN WEINSTEIN
       
For
   
For
   
2.
PROPOSAL TO RATIFY THE APPOINTMENT OF BDO USA, LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR YEAR ENDING DECEMBER 31, 2016.
Management
   
For
   
For
   
3.
PROPOSAL TO APPROVE, THROUGH A NON- BINDING ADVISORY VOTE, THE COMPANY'S EXECUTIVE COMPENSATION PROGRAM AS DESCRIBED IN THE COMPANY'S 2016 PROXY STATEMENT.
Management
   
For
   
For
   
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Account Number
Account Name
Internal Account
Custodian
Ballot Shares
 
Unavailable Shares
Vote Date
Date Confirmed
997AL45
GLV BNP PLEDGE
997AL45
STATE STREET BANK & TRUST CO
9,000
 
18,800
21-May-2016
21-May-2016
997AL47
GLQ BNP PLEDGE
997AL47
STATE STREET BANK & TRUST CO
5,500
 
46,700
21-May-2016
21-May-2016
997AL49
GLO BNP PLEDGE
997AL49
STATE STREET BANK & TRUST CO
5,200
 
111,100
21-May-2016
21-May-2016
ARMSTRONG WORLD INDUSTRIES, INC.
 
Security
04247X102
             
Meeting Type
 
Annual
Ticker Symbol
AWI
             
Meeting Date
 
08-Jul-2016
 
ISIN
US04247X1028
             
Agenda
 
934420237 - Management
Record Date
15-Apr-2016
             
Holding Recon Date
 
15-Apr-2016
 
City /
Country
   
/
United States
         
Vote Deadline Date
 
07-Jul-2016
 
SEDOL(s)
           
Quick Code
     
Item
Proposal
 
 
Proposed by
 
Vote
 
For/Against Management
 
 
1.
DIRECTOR
Management
               
   
1
STAN A. ASKREN
       
For
   
For
   
   
2
VICTOR D. GRIZZLE
       
For
   
For
   
   
3
TAO HUANG
       
For
   
For
   
   
4
LARRY S. MCWILLIAMS
       
For
   
For
   
   
5
JAMES C. MELVILLE
       
For
   
For
   
   
6
JAMES J. O'CONNOR
       
For
   
For
   
   
7
JOHN J. ROBERTS
       
For
   
For
   
   
8
GREGORY P. SPIVY
       
For
   
For
   
   
9
CHERRYL T. THOMAS
       
For
   
For
   
2.
TO RATIFY THE SELECTION OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2016.
Management
   
For
   
For
   
3.
TO APPROVE OF THE ARMSTRONG WORLD INDUSTRIES, INC. 2016 DIRECTORS' STOCK UNIT PLAN.
Management
   
For
   
For
   
4.
TO APPROVE OF THE ARMSTRONG WORLD INDUSTRIES, INC. 2016 LONG-TERM INCENTIVE PLAN.
Management
   
For
   
For
   
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Account Number
Account Name
Internal Account
Custodian
Ballot Shares
 
Unavailable Shares
Vote Date
Date Confirmed
997GLO
GLO
997GLO
STATE STREET BANK & TRUST CO
113,400
 
0
07-May-2016
11-Jul-2016
997AL45
GLV BNP PLEDGE
997AL45
STATE STREET BANK & TRUST CO
27,400
 
0
07-May-2016
11-Jul-2016
997AL47
GLQ BNP PLEDGE
997AL47
STATE STREET BANK & TRUST CO
45,200
 
0
07-May-2016
11-Jul-2016
CHINA LONGYUAN POWER GROUP CORPORATION LTD
 
Security
Y1501T101
             
Meeting Type
 
ExtraOrdinary General Meeting
Ticker Symbol
               
Meeting Date
 
12-Aug-2016
 
ISIN
CNE100000HD4
             
Agenda
 
707215744 - Management
Record Date
11-Jul-2016
             
Holding Recon Date
 
11-Jul-2016
 
City /
Country
 
BEIJING
/
China
         
Vote Deadline Date
 
08-Aug-2016
 
SEDOL(s)
B3MFW30 - B4Q2TX3 - B4XWG35 - BP3RS86
         
Quick Code
     
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Item
Proposal
 
 
Proposed by
 
Vote
 
For/Against Management
 
 
CMMT
PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/SEHK/2016/ 0624/LTN20160624371.pdf-,- http://www.hkexnews.hk/listedco/listconews/SEHK/2016/ 0624/LTN20160624389.pdf
Non-Voting
               
1
TO CONSIDER AND APPROVE THE APPOINTMENT OF MR. LUAN BAOXING AS A NONEXECUTIVE DIRECTOR OF THE COMPANY TO FILL THE VACANCY LEFT BY RESIGNATION OF MR. SHAO GUOYONG, WITH EFFECT FROM THE DATE OF THE EGM WHEN THE NOMINATION IS APPROVED BY THE SHAREHOLDERS OF THE COMPANY AND UNTIL THE EXPIRATION OF THE TERM OF THE CURRENT SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY (THE "BOARD"). MEANWHILE, TO AUTHORIZE THE REMUNERATION AND ASSESSMENT COMMITTEE OF THE BOARD TO DETERMINE THE REMUNERATION OF THE NEW DIRECTORS ACCORDING TO THE DIRECTORS' AND SUPERVISORS' REMUNERATION PLAN FOR THE YEAR 2016 AS APPROVED AT THE ANNUAL GENERAL MEETING UPON THE CANDIDATES FOR THE NEW DIRECTORS AS APPROVED AT THE EGM, AND TO AUTHORIZE THE CHAIRMAN OF THE BOARD OF THE COMPANY OR ANY ONE OF THE EXECUTIVE DIRECTORS TO ENTER INTO A SERVICE CONTRACT WITH EACH OF THE NEW DIRECTORS AND HANDLE OTHER RELEVANT MATTERS ON BEHALF OF THE COMPANY UPON THE CANDIDATES FOR THE NEW DIRECTORS BEING APPROVED AT THE EGM
Management
   
For
   
For
   
2
TO CONSIDER AND APPROVE THE APPOINTMENT OF MR. YANG XIANGBIN AS A NONEXECUTIVE DIRECTOR OF THE COMPANY TO FILL THE VACANCY LEFT BY RESIGNATION OF MR. CHEN JINGDONG, WITH EFFECT FROM THE DATE OF THE EGM WHEN THE NOMINATION IS APPROVED BY THE SHAREHOLDERS OF THE COMPANY AND UNTIL THE EXPIRATION OF THE TERM OF THE CURRENT SESSION OF THE BOARD. MEANWHILE, TO AUTHORIZE THE REMUNERATION AND
Management
   
For
   
For
   
 
ASSESSMENT COMMITTEE OF THE BOARD TO DETERMINE THE REMUNERATION OF THE NEW DIRECTORS ACCORDING TO THE DIRECTORS' AND SUPERVISORS' REMUNERATION PLAN FOR THE YEAR 2016 AS APPROVED AT THE ANNUAL GENERAL MEETING UPON THE CANDIDATES FOR THE NEW DIRECTORS AS APPROVED AT THE EGM, AND TO AUTHORIZE THE CHAIRMAN OF THE BOARD OF THE COMPANY OR ANY ONE OF THE EXECUTIVE DIRECTORS TO ENTER INTO A SERVICE CONTRACT WITH EACH OF THE NEW DIRECTORS AND HANDLE OTHER RELEVANT MATTERS ON BEHALF OF THE COMPANY UPON THE CANDIDATES FOR THE NEW DIRECTORS BEING APPROVED AT THE EGM.
                     
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Account Number
Account Name
Internal Account
Custodian
Ballot Shares
 
Unavailable Shares
Vote Date
Date Confirmed
GLV
GLV
 
STATE STREET BANK
771,000
 
0
25-Jun-2016
10-Aug-2016
GLQ
GLQ
 
STATE STREET BANK
1,253,000
 
0
25-Jun-2016
10-Aug-2016
GLO
GLO
 
STATE STREET BANK
3,161,000
 
0
25-Jun-2016
10-Aug-2016
LIBERTY MEDIA CORPORATION
 
Security
531229409
             
Meeting Type
 
Annual
Ticker Symbol
LSXMA
             
Meeting Date
 
23-Aug-2016
 
ISIN
US5312294094
             
Agenda
 
934458870 - Management
Record Date
01-Jul-2016
             
Holding Recon Date
 
01-Jul-2016
 
City /
Country
   
/
United States
         
Vote Deadline Date
 
22-Aug-2016
 
SEDOL(s)
           
Quick Code
     
Item
Proposal
 
 
Proposed by
 
Vote
 
For/Against Management
 
 
1.
DIRECTOR
Management
               
   
1
JOHN C. MALONE
       
For
   
For
   
   
2
ROBERT R. BENNETT
       
For
   
For
   
   
3
M. IAN G. GILCHRIST
       
For
   
For
   
2.
A PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP AS OUR INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2016.
Management
   
For
   
For
   
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Account Number
Account Name
Internal Account
Custodian
Ballot Shares
 
Unavailable Shares
Vote Date
Date Confirmed
997AL49
GLO BNP PLEDGE
997AL49
STATE STREET BANK & TRUST CO
1,656
 
113,800
09-Jul-2016
24-Aug-2016
997AL61
GLQ MS PLEDGE
997AL61
STATE STREET BANK & TRUST CO
9,168
 
0
09-Jul-2016
24-Aug-2016
LIBERTY INTERACTIVE CORPORATION
 
Security
53071M880
             
Meeting Type
 
Annual
Ticker Symbol
LVNTA
             
Meeting Date
 
23-Aug-2016
 
ISIN
US53071M8800
             
Agenda
 
934458882 - Management
Record Date
01-Jul-2016
             
Holding Recon Date
 
01-Jul-2016
 
City /
Country
   
/
United States
         
Vote Deadline Date
 
22-Aug-2016
 
SEDOL(s)
           
Quick Code
     
Item
Proposal
 
 
Proposed by
 
Vote
 
For/Against Management
 
 
1.
DIRECTOR
Management
               
   
1
JOHN C. MALONE
       
For
   
For
   
   
2
M. IAN G. GILCHRIST
       
For
   
For
   
   
3
MARK C. VADON
       
For
   
For
   
   
4
ANDREA L. WONG
       
For
   
For
   
2.
A PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP AS OUR INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2016.
Management
   
For
   
For
   
3.
A PROPOSAL TO ADOPT THE LIBERTY INTERACTIVE CORPORATION 2016 OMNIBUS INCENTIVE PLAN.
Management
   
For
   
For
   
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Account Number
Account Name
Internal Account
Custodian
Ballot Shares
 
Unavailable Shares
Vote Date
Date Confirmed
997GLV
GLV
997GLV
STATE STREET BANK & TRUST CO
24,200
 
0
09-Jul-2016
24-Aug-2016
997GLQ
GLQ
997GLQ
STATE STREET BANK & TRUST CO
26,100
 
0
09-Jul-2016
24-Aug-2016
997GLO
GLO
997GLO
STATE STREET BANK & TRUST CO
65,800
 
0
09-Jul-2016
24-Aug-2016
997AL45
GLV BNP PLEDGE
997AL45
STATE STREET BANK & TRUST CO
10,872
 
0
09-Jul-2016
24-Aug-2016
997AL47
GLQ BNP PLEDGE
997AL47
STATE STREET BANK & TRUST CO
3,403
 
64,000
09-Jul-2016
24-Aug-2016
997AL49
GLO BNP PLEDGE
997AL49
STATE STREET BANK & TRUST CO
14,471
 
109,900
09-Jul-2016
24-Aug-2016
997AL60
GLV MS PLEDGE
997AL60
STATE STREET BANK & TRUST CO
24,000
 
0
09-Jul-2016
24-Aug-2016
VIASAT, INC.
 
Security
92552V100
             
Meeting Type
 
Annual
Ticker Symbol
VSAT
             
Meeting Date
 
08-Sep-2016
 
ISIN
US92552V1008
             
Agenda
 
934463643 - Management
Record Date
15-Jul-2016
             
Holding Recon Date
 
15-Jul-2016
 
City /
Country
   
/
United States
         
Vote Deadline Date
 
07-Sep-2016
 
SEDOL(s)
           
Quick Code
     
Item
Proposal
 
 
Proposed by
 
Vote
 
For/Against Management
 
 
1.
DIRECTOR
Management
               
   
1
RICHARD BALDRIDGE
       
For
   
For
   
   
2
B. ALLEN LAY
       
For
   
For
   
   
3
DR. JEFFREY NASH
       
For
   
For
   
2.
RATIFICATION OF APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS VIASAT'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2017
Management
   
For
   
For
   
3.
ADVISORY VOTE ON EXECUTIVE COMPENSATION
Management
   
For
   
For
   
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Account Number
Account Name
Internal Account
Custodian
Ballot Shares
 
Unavailable Shares
Vote Date
Date Confirmed
997AL45
GLV BNP PLEDGE
997AL45
STATE STREET BANK & TRUST CO
149
 
34,500
26-Jul-2016
09-Sep-2016
997AL47
GLQ BNP PLEDGE
997AL47
STATE STREET BANK & TRUST CO
142
 
63,600
26-Jul-2016
09-Sep-2016
997AL49
GLO BNP PLEDGE
997AL49
STATE STREET BANK & TRUST CO
135
 
145,600
26-Jul-2016
09-Sep-2016
HILTON WORLDWIDE HOLDINGS INC.
 
Security
43300A104
             
Meeting Type
 
Special
Ticker Symbol
HLT
             
Meeting Date
 
04-Oct-2016
 
ISIN
US43300A1043
             
Agenda
 
934479216 - Management
Record Date
26-Aug-2016
             
Holding Recon Date
 
26-Aug-2016
 
City /
Country
   
/
United States
         
Vote Deadline Date
 
03-Oct-2016
 
SEDOL(s)
           
Quick Code
     
Item
Proposal
 
 
Proposed by
 
Vote
 
For/Against Management
 
 
1.
TO APPROVE AND ADOPT AN AMENDMENT TO THE COMPANY'S CERTIFICATE OF INCORPORATION TO EFFECT A REVERSE STOCK SPLIT AND DECREASE AUTHORIZED SHARES.
Management
   
For
   
For
   
2.
TO APPROVE AN ADJOURNMENT OF THE SPECIAL MEETING.
Management
   
For
   
For
   
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Account Number
Account Name
Internal Account
Custodian
Ballot Shares
 
Unavailable Shares
Vote Date
Date Confirmed
997GLV
GLV
997GLV
STATE STREET BANK & TRUST CO
20,000
 
0
09-Sep-2016
05-Oct-2016
997GLQ
GLQ
997GLQ
STATE STREET BANK & TRUST CO
30,000
 
0
09-Sep-2016
05-Oct-2016
997GLO
GLO
997GLO
STATE STREET BANK & TRUST CO
2,400
 
0
09-Sep-2016
05-Oct-2016
997AL49
GLO BNP PLEDGE
997AL49
STATE STREET BANK & TRUST CO
100
 
159,900
09-Sep-2016
05-Oct-2016
997AL60
GLV MS PLEDGE
997AL60
STATE STREET BANK & TRUST CO
19,800
 
0
09-Sep-2016
05-Oct-2016
997AL61
GLQ MS PLEDGE
997AL61
STATE STREET BANK & TRUST CO
34,300
 
0
09-Sep-2016
05-Oct-2016
SINOPHARM GROUP CO. LTD.
 
Security
Y8008N107
             
Meeting Type
 
ExtraOrdinary General Meeting
Ticker Symbol
               
Meeting Date
 
18-Oct-2016
 
ISIN
CNE100000FN7
             
Agenda
 
707423264 - Management
Record Date
15-Sep-2016
             
Holding Recon Date
 
15-Sep-2016
 
City /
Country
 
SHANGH AI
/
China
         
Vote Deadline Date
 
04-Oct-2016
 
SEDOL(s)
B3ZVDV0 - B4M8B73 - B5NVZ21 - BP3RXT2
         
Quick Code
     
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Item
Proposal
 
 
Proposed by
 
Vote
 
For/Against Management
 
 
CMMT
PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 675300 DUE TO ADDITION OF- RESOLUTION 2. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED-AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU
Non-Voting
               
CMMT
NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING ON THE-URL LINKS:- http://www.hkexnews.hk/listedco/listconews/sehk/2016/0 930/ltn20160930476.pdf,- http://www.hkexnews.hk/listedco/listconews/sehk/2016/0 930/ltn20160930421.pdf,- http://www.hkexnews.hk/listedco/listconews/sehk/2016/0 901/ltn201609011181.pdf-AND- http://www.hkexnews.hk/listedco/listconews/sehk/2016/0 901/ltn201609011318.pdf
Non-Voting
               
CMMT
PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" WILL BE TREATED-THE SAME AS A "TAKE NO ACTION" VOTE
Non-Voting
               
1
TO CONSIDER AND, IF THOUGHT FIT, TO APPROVE: "THAT (I) THE ADOPTION OF THE SCHEME (AS DEFINED IN THE CIRCULAR DATED 1 SEPTEMBER 2016 DESPATCHED TO THE SHAREHOLDERS OF THE COMPANY) BY THE COMPANY AND THE DELEGATION OF AUTHORIZATION TO ANY DIRECTOR OF THE COMPANY OR AUTHORIZED REPRESENTATIVE OF THE BOARD TO EXECUTE ANY DOCUMENTS AND INSTRUMENTS AS MAY BE NECESSARY OR INCIDENTAL TO THE ADOPTION OF THE SCHEME AND TO DO ALL SUCH ACTS AND THINGS AS THEY CONSIDER NECESSARY OR EXPEDIENT OR DESIRABLE IN CONNECTION WITH THE IMPLEMENTATION OF THE SCHEME; AND (II) THE BOARD BE AND IS HEREBY AUTHORIZED TO IMPLEMENT THE SCHEME AS WELL AS TO APPROVE GRANTS OF RESTRICTED SHARES UNDER THE SCHEME FROM TIME TO TIME (INCLUDING BUT NOT LIMITED TO THE INITIAL GRANT OF THE SCHEME)"
Management
   
For
   
For
   
2
TO CONSIDER AND, IF THOUGHT FIT, TO APPROVE THE APPOINTMENT OF MR. MA PING AS A NON- EXECUTIVE DIRECTOR OF THE COMPANY, TO AUTHORISE THE BOARD OF DIRECTORS OF THE COMPANY TO DETERMINE HIS REMUNERATION, AND TO AUTHORISE ANY EXECUTIVE DIRECTOR OF THE COMPANY TO EXECUTE A SERVICE CONTRACT OR SUCH OTHER DOCUMENTS OR SUPPLEMENTAL AGREEMENTS OR DEEDS ON BEHALF OF THE COMPANY
Management
   
For
   
For
   
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Account Number
Account Name
Internal Account
Custodian
Ballot Shares
 
Unavailable Shares
Vote Date
Date Confirmed
GLV
GLV
 
STATE STREET BANK
142,400
 
0
01-Oct-2016
12-Oct-2016
GLQ
GLQ
 
STATE STREET BANK
236,800
 
0
01-Oct-2016
12-Oct-2016
GLO
GLO
 
STATE STREET BANK
583,600
 
0
01-Oct-2016
12-Oct-2016
BYD COMPANY LTD, SHENZHEN
 
Security
Y1023R104
             
Meeting Type
 
ExtraOrdinary General Meeting
Ticker Symbol
               
Meeting Date
 
01-Nov-2016
 
ISIN
CNE100000296
             
Agenda
 
707516110 - Management
Record Date
30-Sep-2016
             
Holding Recon Date
 
30-Sep-2016
 
City /
Country
 
SHENZH EN
/
China
         
Vote Deadline Date
 
04-Oct-2016
 
SEDOL(s)
6536651 - B01XKF2 - B0WVS95 - BD8GJR0
         
Quick Code
     
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Item
Proposal
 
 
Proposed by
 
Vote
 
For/Against Management
 
 
CMMT
PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 681715 DUE TO ADDITION OF- RESOLUTION 3. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED-IF VOTE DEADLINE EXTENSIONS ARE GRANTED. THEREFORE PLEASE REINSTRUCT ON THIS- MEETING NOTICE ON THE NEW JOB. IF HOWEVER VOTE DEADLINE EXTENSIONS ARE NOT-GRANTED IN THE MARKET, THIS MEETING WILL BE INACTIVATED AND YOUR VOTE-INTENTIONS ON THE ORIGINAL MEETING WILL BE APPLICABLE. PLEASE ENSURE VOTING-IS SUBMITTED PRIOR TO CUTOFF ON THE ORIGINAL MEETING, AND AS SOON AS POSSIBLE-ON THIS NEW AMENDED MEETING. THANK YOU.
Non-Voting
               
CMMT
PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/SEHK/2016/ 0913/LTN20160913500.pdf,- http://www.hkexnews.hk/listedco/listconews/SEHK/2016/ 1019/LTN20161019505.pdf-AND- http://www.hkexnews.hk/listedco/listconews/SEHK/2016/ 0913/LTN20160913545.pdf,- http://www.hkexnews.hk/listedco/listconews/SEHK/2016/ 1019/LTN20161019509.pdf
Non-Voting
               
1
TO CONSIDER AND APPROVE THE INTERIM PROFIT DISTRIBUTION PLAN OF THE COMPANY FOR THE SIX MONTHS ENDED 30 JUNE 2016
Management
   
For
   
For
   
2
TO CONSIDER AND APPROVE THE PROPOSED CHANGE OF THE COMPANY'S BUSINESS SCOPE AND AMENDMENT TO THE ARTICLES OF ASSOCIATION OF THE COMPANY: ARTICLE 11
Management
   
For
   
For
   
3
TO CONSIDER AND APPROVE THE PROPOSED FURTHER CHANGE OF THE COMPANY'S BUSINESS SCOPE AND AMENDMENT TO THE ARTICLES OF ASSOCIATION OF THE COMPANY: ARTICLE 11
Management
   
For
   
For
   
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Account Number
Account Name
Internal Account
Custodian
Ballot Shares
 
Unavailable Shares
Vote Date
Date Confirmed
GLQ
GLQ
 
STATE STREET BANK
150,500
 
0
20-Oct-2016
27-Oct-2016
GLO
GLO
 
STATE STREET BANK
380,000
 
0
20-Oct-2016
27-Oct-2016
LIBERTY INTERACTIVE CORPORATION
 
Security
53071M880
             
Meeting Type
 
Special
Ticker Symbol
LVNTA
             
Meeting Date
 
01-Nov-2016
 
ISIN
US53071M8800
             
Agenda
 
934488152 - Management
Record Date
28-Sep-2016
             
Holding Recon Date
 
28-Sep-2016
 
City /
Country
   
/
United States
         
Vote Deadline Date
 
31-Oct-2016
 
SEDOL(s)
           
Quick Code
     
Item
Proposal
 
 
Proposed by
 
Vote
 
For/Against Management
 
 
1.
A PROPOSAL TO APPROVE THE REDEMPTION BY LIBERTY INTERACTIVE CORPORATION OF A PORTION OF THE OUTSTANDING SHARES OF LIBERTY VENTURES COMMON STOCK FOR ALL OF THE OUTSTANDING SHARES OF LIBERTY EXPEDIA HOLDINGS, INC., WHICH WOULD HOLD LIBERTY INTERACTIVE CORPORATION'S OWNERSHIP AND VOTING INTERESTS IN .. (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
Management
   
For
   
For
   
2.
A PROPOSAL TO AUTHORIZE THE ADJOURNMENT OF THE SPECIAL MEETING BY LIBERTY INTERACTIVE CORPORATION TO PERMIT FURTHER SOLICITATION OF PROXIES, IF NECESSARY OR APPROPRIATE, IF SUFFICIENT VOTES ARE NOT REPRESENTED AT THE SPECIAL MEETING TO APPROVE THE OTHER PROPOSAL TO BE PRESENTED AT THE SPECIAL MEETING.
Management
   
For
   
For
   
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Account Number
Account Name
Internal Account
Custodian
Ballot Shares
 
Unavailable Shares
Vote Date
Date Confirmed
997GLV
GLV
997GLV
STATE STREET BANK & TRUST CO
1,572
 
0
05-Oct-2016
02-Nov-2016
997GLQ
GLQ
997GLQ
STATE STREET BANK & TRUST CO
4,200
 
0
05-Oct-2016
02-Nov-2016
997AL47
GLQ BNP PLEDGE
997AL47
STATE STREET BANK & TRUST CO
15,003
 
44,000
05-Oct-2016
02-Nov-2016
997AL49
GLO BNP PLEDGE
997AL49
STATE STREET BANK & TRUST CO
3,871
 
109,900
05-Oct-2016
02-Nov-2016
997AL60
GLV MS PLEDGE
997AL60
STATE STREET BANK & TRUST CO
24,000
 
0
05-Oct-2016
02-Nov-2016
THE WILLIAMS COMPANIES, INC.
 
Security
969457100
             
Meeting Type
 
Annual
Ticker Symbol
WMB
             
Meeting Date
 
23-Nov-2016
 
ISIN
US9694571004
             
Agenda
 
934492579 - Management
Record Date
07-Oct-2016
             
Holding Recon Date
 
07-Oct-2016
 
City /
Country
   
/
United States
         
Vote Deadline Date
 
22-Nov-2016
 
SEDOL(s)
           
Quick Code
     
Item
Proposal
 
 
Proposed by
 
Vote
 
For/Against Management
 
 
1A.
ELECTION OF DIRECTOR: ALAN S. ARMSTRONG
Management
   
For
   
For
   
1B.
ELECTION OF DIRECTOR: STEPHEN W. BERGSTROM
Management
   
For
   
For
   
1C.
ELECTION OF DIRECTOR: STEPHEN I. CHAZEN
Management
   
For
   
For
   
1D.
ELECTION OF DIRECTOR: KATHLEEN B. COOPER
Management
   
For
   
For
   
1E.
ELECTION OF DIRECTOR: PETER A. RAGAUSS
Management
   
For
   
For
   
1F.
ELECTION OF DIRECTOR: SCOTT D. SHEFFIELD
Management
   
For
   
For
   
1G.
ELECTION OF DIRECTOR: MURRAY D. SMITH
Management
   
For
   
For
   
1H.
ELECTION OF DIRECTOR: WILLIAM H. SPENCE
Management
   
For
   
For
   
1I.
ELECTION OF DIRECTOR: JANICE D. STONEY
Management
   
For
   
For
   
2.
RATIFICATION OF ERNST & YOUNG LLP AS AUDITORS FOR 2016.
Management
   
For
   
For
   
3.
APPROVAL, BY NONBINDING ADVISORY VOTE, OF THE COMPANY'S EXECUTIVE COMPENSATION.
Management
   
For
   
For
   
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Account Number
Account Name
Internal Account
Custodian
Ballot Shares
 
Unavailable Shares
Vote Date
Date Confirmed
997AL47
GLQ BNP PLEDGE
997AL47
STATE STREET BANK & TRUST CO
100
 
63,100
20-Oct-2016
20-Oct-2016
997AL49
GLO BNP PLEDGE
997AL49
STATE STREET BANK & TRUST CO
100
 
159,700
20-Oct-2016
20-Oct-2016
997AL60
GLV MS PLEDGE
997AL60
STATE STREET BANK & TRUST CO
39,100
 
0
20-Oct-2016
20-Oct-2016
AMSURG CORP.
 
Security
03232P405
             
Meeting Type
 
Special
Ticker Symbol
AMSG
             
Meeting Date
 
28-Nov-2016
 
ISIN
US03232P4054
             
Agenda
 
934494826 - Management
Record Date
07-Oct-2016
             
Holding Recon Date
 
07-Oct-2016
 
City /
Country
   
/
United States
         
Vote Deadline Date
 
25-Nov-2016
 
SEDOL(s)
           
Quick Code
     
Item
Proposal
 
 
Proposed by
 
Vote
 
For/Against Management
 
 
1.
TO CONSIDER AND VOTE ON A PROPOSAL TO APPROVE THE AGREEMENT AND PLAN OF MERGER, DATED AS OF JUNE 15, 2016 (THE "MERGER AGREEMENT"), BY AND AMONG ENVISION HEALTHCARE HOLDINGS, INC., AMSURG CORP. AND NEW AMETHYST CORP., AND THE TRANSACTIONS CONTEMPLATED BY THE MERGER AGREEMENT.
Management
   
For
   
For
   
2.
TO CONSIDER AND VOTE ON A NON-BINDING, ADVISORY PROPOSAL TO APPROVE THE COMPENSATION THAT MAY BECOME PAYABLE TO AMSURG'S NAMED EXECUTIVE OFFICERS IN CONNECTION WITH THE CONSUMMATION OF THE MERGER.
Management
   
For
   
For
   
3.
TO CONSIDER A VOTE ON A PROPOSAL TO APPROVE ANY MOTION TO ADJOURN THE AMSURG SPECIAL MEETING IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES.
Management
   
For
   
For
   
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Account Number
Account Name
Internal Account
Custodian
Ballot Shares
 
Unavailable Shares
Vote Date
Date Confirmed
997GLO
GLO
997GLO
STATE STREET BANK & TRUST CO
6,400
 
0
26-Oct-2016
29-Nov-2016
997AL45
GLV BNP PLEDGE
997AL45
STATE STREET BANK & TRUST CO
2,200
 
6,200
26-Oct-2016
29-Nov-2016
997AL47
GLQ BNP PLEDGE
997AL47
STATE STREET BANK & TRUST CO
2,700
 
13,600
26-Oct-2016
29-Nov-2016
997AL49
GLO BNP PLEDGE
997AL49
STATE STREET BANK & TRUST CO
100
 
34,500
26-Oct-2016
29-Nov-2016
CHR. HANSEN HOLDING A/S
 
Security
K1830B107
             
Meeting Type
 
Annual General Meeting
Ticker Symbol
               
Meeting Date
 
29-Nov-2016
 
ISIN
DK0060227585
             
Agenda
 
707583793 - Management
Record Date
22-Nov-2016
             
Holding Recon Date
 
22-Nov-2016
 
City /
Country
 
HORSHO LM
/
Denmark
         
Vote Deadline Date
 
18-Nov-2016
 
SEDOL(s)
B3LL574 - B3SMD32 - B573M11 - B63NJ00 - BHZLC88
         
Quick Code
     
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Item
Proposal
 
 
Proposed by
 
Vote
 
For/Against Management
 
 
CMMT
IN THE MAJORITY OF MEETINGS THE VOTES ARE CAST WITH THE REGISTRAR WHO WILL-FOLLOW CLIENT INSTRUCTIONS. IN A SMALL PERCENTAGE OF MEETINGS THERE IS NO-REGISTRAR AND CLIENTS VOTES MAY BE CAST BY THE CHAIRMAN OF THE BOARD OR A-BOARD MEMBER AS PROXY. CLIENTS CAN ONLY EXPECT THEM TO ACCEPT PRO-MANAGEMENT-VOTES. THE ONLY WAY TO GUARANTEE THAT ABSTAIN AND/OR AGAINST VOTES ARE-REPRESENTED AT THE MEETING IS TO SEND YOUR OWN REPRESENTATIVE OR ATTEND THE-MEETING IN PERSON. THE SUB CUSTODIAN BANKS OFFER REPRESENTATION SERVICES FOR- AN ADDED FEE IF REQUESTED. THANK YOU
Non-Voting
               
CMMT
PLEASE BE ADVISED THAT SPLIT AND PARTIAL VOTING IS NOT AUTHORISED FOR A-BENEFICIAL OWNER IN THE DANISH MARKET. PLEASE CONTACT YOUR GLOBAL CUSTODIAN-FOR FURTHER INFORMATION.
Non-Voting
               
CMMT
IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF- ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING- INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE
Non-Voting
               
CMMT
PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'ABSTAIN'-ONLY FOR RESOLUTIONS 6.A.A, 6.B.A TO 6.B.F AND 7.A. THANK YOU
Non-Voting
               
1
REPORT ON THE COMPANY'S ACTIVITIES
Non-Voting
               
2
APPROVAL OF THE 2015/16 ANNUAL REPORT
Management
   
For
   
For
   
3
RESOLUTION ON THE APPROPRIATION OF PROFIT OR COVERING OF LOSS: DKK 5.23 PER SHARE
Management
   
For
   
For
   
4
DECISION ON REMUNERATION OF MEMBERS OF THE BOARD OF DIRECTORS
Management
   
For
   
For
   
5.A
PROPOSALS FROM THE BOARD OF DIRECTOR: AMENDMENT OF ARTICLES OF ASSOCIATION TO REFLECT COMPUTERSHARE A/S AS NEW COMPANY REGISTRAR
Management
   
For
   
For
   
5.B
PROPOSALS FROM THE BOARD OF DIRECTOR: AMENDMENT OF ARTICLES OF ASSOCIATION TO REFLECT LEGAL NAME CHANGE OF NASDAQ OMX COPENHAGEN A/S
Management
   
For
   
For
   
6.A.A
RE-ELECTION OF CHAIRMAN OF THE BOARD OF DIRECTOR: OLE ANDERSEN
Management
   
For
   
For
   
6.B.A
RE-ELECTION OF OTHER MEMBERS OF THE BOARD OF DIRECTOR: FREDERIC STEVENIN
Management
   
For
   
For
   
6.B.B
RE-ELECTION OF OTHER MEMBERS OF THE BOARD OF DIRECTOR: MARK WILSON
Management
   
For
   
For
   
6.B.C
RE-ELECTION OF OTHER MEMBERS OF THE BOARD OF DIRECTOR: DOMINIQUE REINICHE
Management
   
For
   
For
   
6.B.D
RE-ELECTION OF OTHER MEMBERS OF THE BOARD OF DIRECTOR: TIINA MATTILA-SANDHOLM
Management
   
For
   
For
   
6.B.E
RE-ELECTION OF OTHER MEMBERS OF THE BOARD OF DIRECTOR: KRISTIAN VILLUMSEN
Management
   
For
   
For
   
6.B.F
ELECTION OF OTHER MEMBERS OF THE BOARD OF DIRECTOR: LUIS CANTARELL ROCAMORA
Management
   
For
   
For
   
7.A
RE-ELECTION OF PRICEWATERHOUSECOOPERS STATSAUTORISERET REVISIONSPARTNERSELSKAB
Management
   
For
   
For
   
8
AUTHORIZATION OF THE CHAIRMAN OF THE ANNUAL GENERAL MEETING
Management
   
For
   
For
   
CMMT
07 NOV 2016: PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF DIVIDEND-AMOUNT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN-UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
Non-Voting
               
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Account Number
Account Name
Internal Account
Custodian
Ballot Shares
 
Unavailable Shares
Vote Date
Date Confirmed
GLV
GLV
 
STATE STREET BANK
19,244
 
0
05-Nov-2016
22-Nov-2016
GLQ
GLQ
 
STATE STREET BANK
31,409
 
0
05-Nov-2016
22-Nov-2016
GLO
GLO
 
STATE STREET BANK
78,002
 
0
05-Nov-2016
22-Nov-2016
MICROSOFT CORPORATION
 
Security
594918104
             
Meeting Type
 
Annual
Ticker Symbol
MSFT
             
Meeting Date
 
30-Nov-2016
 
ISIN
US5949181045
             
Agenda
 
934491224 - Management
Record Date
30-Sep-2016
             
Holding Recon Date
 
30-Sep-2016
 
City /
Country
   
/
United States
         
Vote Deadline Date
 
29-Nov-2016
 
SEDOL(s)
           
Quick Code
     
Item
Proposal
 
 
Proposed by
 
Vote
 
For/Against Management
 
 
1A.
ELECTION OF DIRECTOR: WILLIAM H. GATES III
Management
   
For
   
For
   
1B.
ELECTION OF DIRECTOR: TERI L. LIST-STOLL
Management
   
For
   
For
   
1C.
ELECTION OF DIRECTOR: G. MASON MORFIT
Management
   
For
   
For
   
1D.
ELECTION OF DIRECTOR: SATYA NADELLA
Management
   
For
   
For
   
1E.
ELECTION OF DIRECTOR: CHARLES H. NOSKI
Management
   
For
   
For
   
1F.
ELECTION OF DIRECTOR: HELMUT PANKE
Management
   
For
   
For
   
1G.
ELECTION OF DIRECTOR: SANDRA E. PETERSON
Management
   
For
   
For
   
1H.
ELECTION OF DIRECTOR: CHARLES W. SCHARF
Management
   
For
   
For
   
1I.
ELECTION OF DIRECTOR: JOHN W. STANTON
Management
   
For
   
For
   
1J.
ELECTION OF DIRECTOR: JOHN W. THOMPSON
Management
   
For
   
For
   
1K.
ELECTION OF DIRECTOR: PADMASREE WARRIOR
Management
   
For
   
For
   
2.
ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION
Management
   
For
   
For
   
3.
RATIFICATION OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT AUDITOR FOR FISCAL YEAR 2017
Management
   
For
   
For
   
4.
APPROVAL OF AMENDMENT TO OUR AMENDED AND RESTATED ARTICLES OF INCORPORATION
Management
   
For
   
For
   
5.
APPROVAL OF FRENCH SUB PLAN UNDER THE 2001 STOCK PLAN
Management
   
For
   
For
   
6.
SHAREHOLDER PROPOSAL - REQUESTING CERTAIN PROXY ACCESS BYLAW AMENDMENTS
Shareholder
   
Against
   
For
   
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Account Number
Account Name
Internal Account
Custodian
Ballot Shares
 
Unavailable Shares
Vote Date
Date Confirmed
997AL45
GLV BNP PLEDGE
997AL45
STATE STREET BANK & TRUST CO
100
 
39,600
20-Oct-2016
01-Dec-2016
997AL47
GLQ BNP PLEDGE
997AL47
STATE STREET BANK & TRUST CO
100
 
48,500
20-Oct-2016
01-Dec-2016
997AL49
GLO BNP PLEDGE
997AL49
STATE STREET BANK & TRUST CO
100
 
121,300
20-Oct-2016
01-Dec-2016
997AL60
GLV MS PLEDGE
997AL60
STATE STREET BANK & TRUST CO
20,400
 
0
20-Oct-2016
01-Dec-2016
DIAMONDBACK ENERGY, INC.
 
Security
25278X109
             
Meeting Type
 
Special
Ticker Symbol
FANG
             
Meeting Date
 
07-Dec-2016
 
ISIN
US25278X1090
             
Agenda
 
934506392 - Management
Record Date
11-Nov-2016
             
Holding Recon Date
 
11-Nov-2016
 
City /
Country
   
/
United States
         
Vote Deadline Date
 
06-Dec-2016
 
SEDOL(s)
           
Quick Code
     
Item
Proposal
 
 
Proposed by
 
Vote
 
For/Against Management
 
 
1.
PROPOSAL TO APPROVE AN AMENDMENT TO DIAMONDBACK ENERGY, INC.'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO INCREASE THE TOTAL NUMBER OF AUTHORIZED SHARES OF COMMON STOCK FROM 100,000,000 TO 200,000,000.
Management
   
For
   
For
   
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Account Number
Account Name
Internal Account
Custodian
Ballot Shares
 
Unavailable Shares
Vote Date
Date Confirmed
997AL47
GLQ BNP PLEDGE
997AL47
STATE STREET BANK & TRUST CO
2,500
 
11,300
19-Nov-2016
08-Dec-2016
997AL49
GLO BNP PLEDGE
997AL49
STATE STREET BANK & TRUST CO
6,100
 
28,800
19-Nov-2016
08-Dec-2016
AGNC INVESTMENT CORP
 
Security
00123Q104
             
Meeting Type
 
Special
Ticker Symbol
AGNC
             
Meeting Date
 
09-Dec-2016
 
ISIN
               
Agenda
 
934498127 - Management
Record Date
24-Oct-2016
             
Holding Recon Date
 
24-Oct-2016
 
City /
Country
   
/
United States
         
Vote Deadline Date
 
08-Dec-2016
 
SEDOL(s)
           
Quick Code
     
Item
Proposal
 
 
Proposed by
 
Vote
 
For/Against Management
 
 
1.
APPROVAL OF THE AGNC INVESTMENT CORP. 2016 EQUITY AND INCENTIVE COMPENSATION PLAN.
Management
   
For
   
For
   
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Account Number
Account Name
Internal Account
Custodian
Ballot Shares
 
Unavailable Shares
Vote Date
Date Confirmed
997AL45
GLV BNP PLEDGE
997AL45
STATE STREET BANK & TRUST CO
165,300
 
0
04-Nov-2016
12-Dec-2016
997AL47
GLQ BNP PLEDGE
997AL47
STATE STREET BANK & TRUST CO
269,600
 
0
04-Nov-2016
12-Dec-2016
997AL49
GLO BNP PLEDGE
997AL49
STATE STREET BANK & TRUST CO
679,599
 
0
04-Nov-2016
12-Dec-2016
ARES CAPITAL CORPORATION
 
Security
04010L103
             
Meeting Type
 
Special
Ticker Symbol
ARCC
             
Meeting Date
 
15-Dec-2016
 
ISIN
US04010L1035
             
Agenda
 
934494864 - Management
Record Date
17-Oct-2016
             
Holding Recon Date
 
17-Oct-2016
 
City /
Country
   
/
United States
         
Vote Deadline Date
 
14-Dec-2016
 
SEDOL(s)
           
Quick Code
     
Item
Proposal
 
 
Proposed by
 
Vote
 
For/Against Management
 
 
1.
TO APPROVE THE ISSUANCE OF THE SHARES OF ARES CAPITAL COMMON STOCK TO BE ISSUED PURSUANT TO THE AGREEMENT AND PLAN OF MERGER, AS SUCH AGREEMENT MAY BE AMENDED FROM TIME TO TIME, DATED AS OF MAY 23, 2016 (THE "MERGER AGREEMENT"), BY AND AMONG ARES CAPITAL, AMERICAN CAPITAL, LTD., ORION ACQUISITION SUB, INC., IVY HILL ASSET MANAGEMENT, L.P. ("IHAM"), IVY HILL ASSET MANAGEMENT GP, LLC, IN ITS CAPACITY AS GENERAL PARTNER OF IHAM, AMERICAN CAPITAL ASSET MANAGEMENT, LLC, AND SOLELY FOR THE ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
Management
   
For
   
For
   
2.
TO APPROVE THE ISSUANCE OF THE SHARES OF ARES CAPITAL COMMON STOCK TO BE ISSUED PURSUANT TO THE MERGER AGREEMENT IN ACCORDANCE WITH NASDAQ LISTING RULE REQUIREMENTS.
Management
   
For
   
For
   
3.
TO APPROVE THE ADJOURNMENT OF THE ARES CAPITAL SPECIAL MEETING, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IF THERE ARE NOT SUFFICIENT VOTES AT THE TIME OF THE ARES CAPITAL SPECIAL MEETING TO APPROVE PROPOSAL 1 OR PROPOSAL 2.
Management
   
For
   
For
   
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Account Number
Account Name
Internal Account
Custodian
Ballot Shares
 
Unavailable Shares
Vote Date
Date Confirmed
997GLQ
GLQ
997GLQ
STATE STREET BANK & TRUST CO
57,900
 
0
26-Oct-2016
16-Dec-2016
997AL45
GLV BNP PLEDGE
997AL45
STATE STREET BANK & TRUST CO
291,600
 
0
26-Oct-2016
16-Dec-2016
997AL47
GLQ BNP PLEDGE
997AL47
STATE STREET BANK & TRUST CO
335,300
 
0
26-Oct-2016
16-Dec-2016
997AL49
GLO BNP PLEDGE
997AL49
STATE STREET BANK & TRUST CO
964,300
 
0
26-Oct-2016
16-Dec-2016
997AL53
GLO MS PLEDGE
997AL53
STATE STREET BANK & TRUST CO
80,000
 
0
26-Oct-2016
16-Dec-2016
AKORN, INC.
 
Security
009728106
             
Meeting Type
 
Special
Ticker Symbol
AKRX