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, 2017 – June 30, 2018

 

 

Item 1 – Proxy Voting Record.

 

Vote Summary

 

MAN WAH HOLDINGS LIMITED  
Security G5800U107               Meeting Type   Annual General Meeting
Ticker Symbol                 Meeting Date   12-Jul-2017  
ISIN BMG5800U1071               Agenda   708276464 - Management
Record Date 05-Jul-2017               Holding Recon Date   05-Jul-2017  
City / Country   HONG KONG / Bermuda           Vote Deadline Date   04-Jul-2017  
SEDOL(s) B58VHF3 - B58YWF7 - B5WN7S8 - BD8NKV2 - BS7K5D6           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/2017/ 0606/LTN201706061274.pdf, Non-Voting                
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR- ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING Non-Voting                
1   TO RECEIVE, CONSIDER AND ADOPT THE REPORTS OF THE DIRECTORS AND THE AUDITORS AND THE AUDITED CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR ENDED 31 MARCH 2017 Management     For     For    
2   TO DECLARE A FINAL DIVIDEND OF HK14 CENTS PER SHARE FOR THE YEAR ENDED 31 MARCH 2017 Management     For     For    
3   TO APPROVE THE RE-ELECTION OF MR. WONG MAN LI AS A DIRECTOR OF THE COMPANY AND THE TERMS OF HIS APPOINTMENT (INCLUDING REMUNERATION) Management     For     For    
4   TO APPROVE THE RE-ELECTION OF MS. HUI WAI HING AS A DIRECTOR OF THE COMPANY AND THE TERMS OF HER APPOINTMENT (INCLUDING REMUNERATION) Management     For     For    
5   TO APPROVE THE RE-ELECTION OF MR. ONG CHOR WEI AS A DIRECTOR OF THE COMPANY AND THE TERMS OF HIS APPOINTMENT (INCLUDING REMUNERATION) Management     For     For    
6   TO APPROVE THE RE-ELECTION OF MR. DING YUAN AS A DIRECTOR OF THE COMPANY AND THE TERMS OF HIS APPOINTMENT (INCLUDING REMUNERATION) Management     For     For    
7   TO RE-APPOINT DELOITTE TOUCHE TOHMATSU AS AUDITORS OF THE COMPANY AND TO AUTHORISE THE BOARD OF DIRECTORS OF THE COMPANY TO FIX THEIR REMUNERATION Management     For     For    
8   TO GRANT A GENERAL MANDATE TO THE DIRECTORS OF THE COMPANY TO ALLOT, ISSUE AND DEAL WITH NEW SHARES OF THE COMPANY NOT EXCEEDING 20% OF ITS ISSUED SHARES Management     For     For    
9   TO GRANT A GENERAL MANDATE TO THE DIRECTORS OF THE COMPANY TO REPURCHASE SHARES OF THE COMPANY NOT EXCEEDING 10% OF ITS ISSUED SHARES Management     For     For    
10   TO EXTEND THE GENERAL MANDATE GRANTED TO THE DIRECTORS OF THE COMPANY TO ALLOT, ISSUE AND DEAL WITH NEW SHARES PURSUANT TO RESOLUTION NO. 8 BY AN AMOUNT NOT EXCEEDING THE AMOUNT OF THE SHARES REPURCHASED BY THE COMPANY PURSUANT TO RESOLUTION NO. 9 Management     For     For    
CMMT 12 JUNE 2017: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN THE RECORD-DATE FROM 06 JUL 2017 TO 05 JUL 2017. 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 AL27   STATE STREET BANK 368,800   0 09-Jun-2017 10-Jul-2017
DREYFUS HIGH YIELD STRATEGIES FUND  
Security 26200S101               Meeting Type   Annual
Ticker Symbol DHF                     Meeting Date   03-Aug-2017  
ISIN US26200S1015               Agenda   934652377 - Management
Record Date 01-Jun-2017               Holding Recon Date   01-Jun-2017  
City / Country     / United States           Vote Deadline Date   02-Aug-2017  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1.   DIRECTOR Management                
    1 JOSEPH S. DIMARTINO         For     For    
    2 KENNETH A. HIMMEL         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 71,491   0 24-Jun-2017 04-Aug-2017
AMERCO  
Security 023586100               Meeting Type   Annual
Ticker Symbol UHAL                     Meeting Date   24-Aug-2017  
ISIN US0235861004               Agenda   934658305 - Management
Record Date 26-Jun-2017               Holding Recon Date   26-Jun-2017  
City / Country     / United States           Vote Deadline Date   23-Aug-2017  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1.   DIRECTOR Management                
    1 EDWARD J. SHOEN         For     For    
    2 JAMES E. ACRIDGE         For     For    
    3 CHARLES J. BAYER         For     For    
    4 JOHN P. BROGAN         For     For    
    5 JOHN M. DODDS         For     For    
    6 JAMES J. GROGAN         For     For    
    7 KARL A. SCHMIDT         For     For    
    8 SAMUEL J. SHOEN         For     For    
2.   AN ADVISORY VOTE TO APPROVE THE COMPENSATION PAID TO THE COMPANY'S NAMED EXECUTIVE OFFICERS AS DISCLOSED IN THE PROXY STATEMENT. Management     For     For    
3.   AN ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON THE COMPENSATION OF THE NAMED EXECUTIVE OFFICERS. Management     3 Years     For    
4.   THE RATIFICATION OF THE APPOINTMENT OF BDO USA, LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING MARCH 31, 2018. Management     For     For    
5.   A PROPOSAL RECEIVED FROM COMPANY STOCKHOLDER PROPONENTS TO RATIFY AND AFFIRM THE DECISIONS AND ACTIONS TAKEN BY THE BOARD OF DIRECTORS AND EXECUTIVE OFFICERS OF THE COMPANY WITH RESPECT TO AMERCO, ITS SUBSIDIARIES, AND ITS VARIOUS CONSTITUENCIES FOR THE FISCAL YEAR ENDED MARCH 31, 2017. Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
997AL27 GLV 997AL27 STATE STREET BANK & TRUST CO 1,700   0 15-Jul-2017 25-Aug-2017
997AL45 GLV BNP PLEDGE 997AL45 STATE STREET BANK & TRUST CO 3,530   1,400 15-Jul-2017 25-Aug-2017
LIBERTY ALL-STAR EQUITY FUND  
Security 530158104               Meeting Type   Annual
Ticker Symbol USA                     Meeting Date   24-Aug-2017  
ISIN US5301581048               Agenda   934658355 - Management
Record Date 12-Jun-2017               Holding Recon Date   12-Jun-2017  
City / Country     / United States           Vote Deadline Date   23-Aug-2017  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1.   DIRECTOR Management                
    1 THOMAS W. BROCK         For     For    
    2 GEORGE GASPARI         For     For    
3.   IF PROPERLY PRESENTED AT THE MEETING, TO CONSIDER AND VOTE UPON THE SHAREHOLDER PROPOSAL PRESENTED UNDER THE HEADING " SHAREHOLDER PROPOSAL" IN THE ACCOMPANYING PROXY STATEMENT. 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 141,300   0 11-Jul-2017 25-Aug-2017
VIASAT, INC.  
Security 92552V100               Meeting Type   Annual
Ticker Symbol VSAT                     Meeting Date   07-Sep-2017  
ISIN US92552V1008               Agenda   934661744 - Management
Record Date 14-Jul-2017               Holding Recon Date   14-Jul-2017  
City / Country     / United States           Vote Deadline Date   06-Sep-2017  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1.   DIRECTOR Management                
    1 MARK DANKBERG         For     For    
    2 VARSHA RAO         For     For    
    3 HARVEY WHITE         For     For    
2.   RATIFICATION OF APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS VIASAT'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2018 Management     For     For    
3.   ADVISORY VOTE ON EXECUTIVE COMPENSATION Management     For     For    
4.   ADVISORY VOTE ON THE FREQUENCY OF HOLDING FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION Management     3 Years     Against    
5.   AMENDMENT AND RESTATEMENT OF THE EMPLOYEE STOCK PURCHASE PLAN Management     For     For    
6.   AMENDMENT AND RESTATEMENT OF THE 1996 EQUITY PARTICIPATION 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 11,449   14,300 25-Jul-2017 08-Sep-2017
PIONEER HIGH INCOME TRUST  
Security 72369H106               Meeting Type   Annual
Ticker Symbol PHT                     Meeting Date   21-Sep-2017  
ISIN US72369H1068               Agenda   934667443 - Management
Record Date 12-Jul-2017               Holding Recon Date   12-Jul-2017  
City / Country     / United States           Vote Deadline Date   20-Sep-2017  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1.   DIRECTOR Management                
    1 BENJAMIN M. FRIEDMAN         For     For    
    2 MARGARET B.W. GRAHAM         For     For    
    3 KENNETH J. TAUBES         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 35,100   0 11-Aug-2017 22-Sep-2017
ULVAC, INC.  
Security J94048105               Meeting Type   Annual General Meeting
Ticker Symbol                 Meeting Date   28-Sep-2017  
ISIN JP3126190002               Agenda   708511298 - Management
Record Date 30-Jun-2017               Holding Recon Date   30-Jun-2017  
City / Country   KANAGA WA / Japan           Vote Deadline Date   20-Sep-2017  
SEDOL(s) 6599483 - B3BK418           Quick Code   67280      
Item Proposal     Proposed by   Vote   For/Against Management    
  Please reference meeting materials. Non-Voting                
1   Approve Appropriation of Surplus Management     For     For    
2.1 Appoint a Director Obinata, Hisaharu Management     For     For    
2.2 Appoint a Director Iwashita, Setsuo Management     For     For    
2.3 Appoint a Director Bo, Akinori Management     For     For    
2.4 Appoint a Director Motoyoshi, Mitsuru Management     For     For    
2.5 Appoint a Director Fujiyama, Junki Management     For     For    
2.6 Appoint a Director Mihayashi, Akira Management     For     For    
2.7 Appoint a Director Uchida, Norio Management     For     For    
2.8 Appoint a Director Ishida, Kozo Management     For     For    
3   Appoint a Corporate Auditor Utsunomiya, Isao Management     For     For    
4   Appoint a Substitute Corporate Auditor Nonaka, Takao Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
AL27 AL27   STATE STREET BANK 16,300   0 04-Sep-2017 27-Sep-2017
LAM RESEARCH CORPORATION  
Security 512807108               Meeting Type   Annual
Ticker Symbol LRCX                     Meeting Date   08-Nov-2017  
ISIN US5128071082               Agenda   934682433 - Management
Record Date 11-Sep-2017               Holding Recon Date   11-Sep-2017  
City / Country     / United States           Vote Deadline Date   07-Nov-2017  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1.   DIRECTOR Management                
    1 MARTIN B. ANSTICE         For     For    
    2 ERIC K. BRANDT         For     For    
    3 MICHAEL R. CANNON         For     For    
    4 YOUSSEF A. EL-MANSY         For     For    
    5 CHRISTINE A. HECKART         For     For    
    6 YOUNG BUM (YB) KOH         For     For    
    7 CATHERINE P. LEGO         For     For    
    8 STEPHEN G. NEWBERRY         For     For    
    9 ABHIJIT Y. TALWALKAR         For     For    
    10 LIH SHYNG TSAI         For     For    
2.   ADVISORY VOTE TO APPROVE THE COMPENSATION OF THE NAMED EXECUTIVE OFFICERS OF LAM RESEARCH, OR "SAY ON PAY." Management     For     For    
3.   ADVISORY VOTE TO APPROVE THE FREQUENCY OF HOLDING FUTURE STOCKHOLDER ADVISORY VOTES ON OUR NAMED EXECUTIVE OFFICER COMPENSATION, OR "SAY ON FREQUENCY." Management     3 Years     Against    
4.   RATIFICATION OF THE APPOINTMENT OF THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2018. Management     For     For    
5.   STOCKHOLDER PROPOSAL, IF PROPERLY PRESENTED AT THE ANNUAL MEETING, REGARDING ANNUAL DISCLOSURE OF EEO-1 DATA. 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   12,200 29-Sep-2017 09-Nov-2017
997AL60 GLV MS PLEDGE 997AL60 STATE STREET BANK & TRUST CO 3,000   0 29-Sep-2017 09-Nov-2017
CHR. HANSEN HOLDING A/S  
Security K1830B107               Meeting Type   Annual General Meeting
Ticker Symbol                 Meeting Date   28-Nov-2017  
ISIN DK0060227585               Agenda   708711622 - Management
Record Date 21-Nov-2017               Holding Recon Date   21-Nov-2017  
City / Country   HORSHO LM / Denmark           Vote Deadline Date   17-Nov-2017  
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 RESOLUTION NUMBERS "6.A.A, 6.B.A TO 6.B.F AND 7.A". THANK YOU. Non-Voting                
1   RECEIVE REPORT OF BOARD Non-Voting                
2   ACCEPT FINANCIAL STATEMENTS AND STATUTORY REPORTS Management     For     For    
3   APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF DKK 6.33 PER SHARE Management     For     For    
4   APPROVE REMUNERATION OF DIRECTORS Management     For     For    
5.A APPROVE CREATION OF DKK 131.9 MILLION POOL OF CAPITAL WITHOUT PREEMPTIVE RIGHTS: ARTICLES 5.1 TO 5.4 Management     For     For    
5.B AUTHORIZE SHARE REPURCHASE PROGRAM Management     For     For    
5.C AMEND ARTICLES RE: REMOVE AGE LIMIT FOR BOARD MEMBERS: ARTICLE 9.2 Management     For     For    
5.D APPROVE GUIDELINES FOR INCENTIVE-BASED COMPENSATION FOR EXECUTIVE MANAGEMENT AND BOARD Management     For     For    
6.A.A REELECT OLE ANDERSEN (CHAIRMAN) AS DIRECTOR Management     For     For    
6.B.A REELECT DOMINIQUE REINICHE AS DIRECTOR Management     For     For    
6.B.B ELECT JESPER BRANDGAARD AS NEW DIRECTOR Management     For     For    
6.B.C REELECT LUIS CANTARELL AS DIRECTOR Management     For     For    
6.B.D ELECT HEIDI KLEINBACH-SAUTER AS NEW DIRECTOR Management     For     For    
6.B.E REELECT KRISTIAN VILLUMSEN AS DIRECTOR Management     For     For    
6.B.F REELECT MARK WILSON AS DIRECTOR Management     For     For    
7.A RATIFY PRICEWATERHOUSECOOPERS STATSAUTORISERET REVISIONSPARTNERSELSKAB AS AUDITORS Management     For     For    
8   AUTHORIZE EDITORIAL CHANGES TO ADOPTED RESOLUTIONS IN CONNECTION WITH REGISTRATION WITH DANISH AUTHORITIES Management     For     For    
CMMT 23 NOV 2017: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN NUMBERING-OF RESOLUTIONS AND MODIFICATION OF TEXT IN RESOLUTION 7.A. 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 AL27   STATE STREET BANK 6,422   0 03-Nov-2017 20-Nov-2017
MICROSOFT CORPORATION  
Security 594918104               Meeting Type   Annual
Ticker Symbol MSFT                     Meeting Date   29-Nov-2017  
ISIN US5949181045               Agenda   934689514 - Management
Record Date 29-Sep-2017               Holding Recon Date   29-Sep-2017  
City / Country     / United States           Vote Deadline Date   28-Nov-2017  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1A. ELECTION OF DIRECTOR: WILLIAM H. GATES III Management     For     For    
1B. ELECTION OF DIRECTOR: REID G. HOFFMAN Management     For     For    
1C. ELECTION OF DIRECTOR: HUGH F. JOHNSTON Management     For     For    
1D. ELECTION OF DIRECTOR: TERI L. LIST-STOLL Management     For     For    
1E. ELECTION OF DIRECTOR: SATYA NADELLA Management     For     For    
1F. ELECTION OF DIRECTOR: CHARLES H. NOSKI Management     For     For    
1G. ELECTION OF DIRECTOR: HELMUT PANKE Management     For     For    
1H. ELECTION OF DIRECTOR: SANDRA E. PETERSON Management     For     For    
1I. ELECTION OF DIRECTOR: PENNY S. PRITZKER Management     For     For    
1J. ELECTION OF DIRECTOR: CHARLES W. SCHARF Management     For     For    
1K. ELECTION OF DIRECTOR: ARNE M. SORENSON Management     For     For    
1L. ELECTION OF DIRECTOR: JOHN W. STANTON Management     For     For    
1M. ELECTION OF DIRECTOR: JOHN W. THOMPSON Management     For     For    
1N. ELECTION OF DIRECTOR: PADMASREE WARRIOR Management     For     For    
2.   ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION Management     For     For    
3.   ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES TO APPROVE EXECUTIVE COMPENSATION Management     3 Years     Against    
4.   RATIFICATION OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT AUDITOR FOR FISCAL YEAR 2018 Management     For     For    
5.   APPROVAL OF MATERIAL TERMS OF THE PERFORMANCE GOALS UNDER THE EXECUTIVE INCENTIVE PLAN Management     For     For    
6.   APPROVAL OF THE MICROSOFT CORPORATION 2017 STOCK 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 100   41,100 17-Oct-2017 30-Nov-2017
997AL60 GLV MS PLEDGE 997AL60 STATE STREET BANK & TRUST CO 20,400   0 17-Oct-2017 30-Nov-2017
D.R. HORTON, INC.  
Security 23331A109               Meeting Type   Annual
Ticker Symbol DHI                     Meeting Date   24-Jan-2018  
ISIN US23331A1097               Agenda   934714595 - Management
Record Date 27-Nov-2017               Holding Recon Date   27-Nov-2017  
City / Country     / United States           Vote Deadline Date   23-Jan-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1A. ELECTION OF DIRECTOR: DONALD R. HORTON Management     For     For    
1B. ELECTION OF DIRECTOR: BARBARA K. ALLEN Management     For     For    
1C. ELECTION OF DIRECTOR: BRAD S. ANDERSON Management     For     For    
1D. ELECTION OF DIRECTOR: MICHAEL R. BUCHANAN Management     For     For    
1E. ELECTION OF DIRECTOR: MICHAEL W. HEWATT Management     For     For    
2.   APPROVAL OF THE ADVISORY RESOLUTION ON EXECUTIVE COMPENSATION. Management     For     For    
3.   APPROVAL OF THE ADVISORY VOTE AS TO THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION. Management     3 Years     Against    
4.   APPROVAL OF THE MATERIAL TERMS OF THE PERFORMANCE CRITERIA UNDER OUR 2017 INCENTIVE BONUS PLAN FOR SECTION 162(M) PURPOSES. Management     For     For    
5.   RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
997AL45 GLV BNP PLEDGE 997AL45 STATE STREET BANK & TRUST CO 126   18,600 20-Dec-2017 25-Jan-2018
QURATE RETAIL, INC.  
Security 53071M856               Meeting Type   Special
Ticker Symbol LVNTA                    Meeting Date   02-Feb-2018  
ISIN US53071M8560               Agenda   934717286 - Management
Record Date 04-Dec-2017               Holding Recon Date   04-Dec-2017  
City / Country     / United States           Vote Deadline Date   01-Feb-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1.   A proposal to approve the redemption by Liberty Interactive Corporation of each share of Series A Liberty Ventures common stock and Series B Liberty Ventures common stock in exchange for one share of GCI Liberty, Inc. Class A Common Stock and GCI Liberty, Inc. Class B Common Stock, respectively, following the ...(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
997AL45 GLV BNP PLEDGE 997AL45 STATE STREET BANK & TRUST CO 200   15,500 03-Jan-2018 05-Feb-2018
997AL60 GLV MS PLEDGE 997AL60 STATE STREET BANK & TRUST CO 15,343   0 03-Jan-2018 05-Feb-2018
GOLUB CAPITAL BDC, INC.  
Security 38173M102               Meeting Type   Annual
Ticker Symbol GBDC                     Meeting Date   06-Feb-2018  
ISIN US38173M1027               Agenda   934715383 - Management
Record Date 12-Dec-2017               Holding Recon Date   12-Dec-2017  
City / Country     / United States           Vote Deadline Date   05-Feb-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1A) election of class II director: John T. Baily Management     For     For    
1B) election of class II director: Kenneth F. Bernstein Management     For     For    
2)   To ratify the selection of Ernst & Young LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2018. 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 89,700   0 22-Dec-2017 07-Feb-2018
LENNAR CORPORATION  
Security 526057302               Meeting Type   Special
Ticker Symbol LENB                     Meeting Date   12-Feb-2018  
ISIN US5260573028               Agenda   934719406 - Management
Record Date 04-Jan-2018               Holding Recon Date   04-Jan-2018  
City / Country     / United States           Vote Deadline Date   09-Feb-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1.   Approval of the issuance of shares of Lennar's Class A and Class B common stock in connection with the merger of CalAtlantic Group, Inc. with a newly formed wholly- owned subsidiary of Lennar, as contemplated by an Agreement and Plan of Merger, dated as of October 29, 2017, by and among CalAtlantic Group, Inc., Lennar and Cheetah Cub Group Corp. Management     For     For    
2.   Approval of an amendment to Lennar's certificate of incorporation increasing the number of authorized shares of Lennar's Class A common stock from 300,000,000 shares to 400,000,000 shares. Management     For     For    
3.   Approval of an adjournment of the Special Meeting of Stockholders, if necessary, to enable Lennar to solicit additional votes, if at the time of such meeting there are not sufficient votes to approve proposals 1 and 2. Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
997AL45 GLV BNP PLEDGE 997AL45 STATE STREET BANK & TRUST CO 2   360 11-Jan-2018 13-Feb-2018
LENNAR CORPORATION  
Security 526057104               Meeting Type   Special
Ticker Symbol LEN                     Meeting Date   12-Feb-2018  
ISIN US5260571048               Agenda   934719406 - Management
Record Date 04-Jan-2018               Holding Recon Date   04-Jan-2018  
City / Country     / United States           Vote Deadline Date   09-Feb-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1.   Approval of the issuance of shares of Lennar's Class A and Class B common stock in connection with the merger of CalAtlantic Group, Inc. with a newly formed wholly- owned subsidiary of Lennar, as contemplated by an Agreement and Plan of Merger, dated as of October 29, 2017, by and among CalAtlantic Group, Inc., Lennar and Cheetah Cub Group Corp. Management     For     For    
2.   Approval of an amendment to Lennar's certificate of incorporation increasing the number of authorized shares of Lennar's Class A common stock from 300,000,000 shares to 400,000,000 shares. Management     For     For    
3.   Approval of an adjournment of the Special Meeting of Stockholders, if necessary, to enable Lennar to solicit additional votes, if at the time of such meeting there are not sufficient votes to approve proposals 1 and 2. Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
997AL45 GLV BNP PLEDGE 997AL45 STATE STREET BANK & TRUST CO 100   9,000 11-Jan-2018 13-Feb-2018
APPLE INC.  
Security 037833100               Meeting Type   Annual
Ticker Symbol AAPL                     Meeting Date   13-Feb-2018  
ISIN US0378331005               Agenda   934716068 - Management
Record Date 15-Dec-2017               Holding Recon Date   15-Dec-2017  
City / Country     / United States           Vote Deadline Date   12-Feb-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1a. Election of director: James Bell Management     For     For    
1b. Election of director: Tim Cook Management     For     For    
1c. Election of director: Al Gore Management     For     For    
1d. Election of director: Bob Iger Management     For     For    
1e. Election of director: Andrea Jung Management     For     For    
1f. Election of director: Art Levinson Management     For     For    
1g. Election of director: Ron Sugar Management     For     For    
1h. Election of director: Sue Wagner Management     For     For    
2.   Ratification of the appointment of Ernst & Young LLP as Apple's independent registered public accounting firm for 2018 Management     For     For    
3.   Advisory vote to approve executive compensation Management     For     For    
4.   Approval of the amended and restated Apple Inc. Non- Employee Director Stock Plan Management     For     For    
5.   A shareholder proposal entitled "Shareholder Proxy Access Amendments" Shareholder     Against     For    
6.   A shareholder proposal entitled "Human Rights Committee" 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 160   13,100 03-Jan-2018 14-Feb-2018
PING AN INSURANCE (GROUP) COMPANY OF CHINA, LTD.  
Security Y69790106               Meeting Type   ExtraOrdinary General Meeting
Ticker Symbol                 Meeting Date   19-Mar-2018  
ISIN CNE1000003X6               Agenda   708913404 - Management
Record Date 14-Feb-2018               Holding Recon Date   14-Feb-2018  
City / Country   SHENZH EN / China           Vote Deadline Date   13-Mar-2018  
SEDOL(s) B01FLR7 - B01NLS2 - B03NP99 - BD8NLC0 - BP3RWZ1           Quick Code      
                                         
Item Proposal     Proposed by   Vote   For/Against Management    
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/sehk/2018/0 129/LTN20180129397.pdf-AND- http://www.hkexnews.hk/listedco/listconews/sehk/2018/0 129/LTN20180129431.pdf Non-Voting                
1   RESOLUTION REGARDING THE PROVISION OF ASSURED ENTITLEMENT TO THE H SHAREHOLDERS OF THE COMPANY ONLY FOR THE OVERSEAS LISTING OF PING AN HEALTHCARE AND TECHNOLOGY COMPANY LIMITED Management     For     For    
2   RESOLUTION REGARDING THE PROPOSED AMENDMENTS TO THE ARTICLES OF ASSOCIATION OF THE COMPANY Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
AL27 AL27   STATE STREET BANK 73,000   0 30-Jan-2018 15-Mar-2018
PING AN INSURANCE (GROUP) COMPANY OF CHINA, LTD.  
Security Y69790106               Meeting Type   Class Meeting
Ticker Symbol                 Meeting Date   19-Mar-2018  
ISIN CNE1000003X6               Agenda   708913416 - Management
Record Date 14-Feb-2018               Holding Recon Date   14-Feb-2018  
City / Country   SHENZH EN / China           Vote Deadline Date   09-Mar-2018  
SEDOL(s) B01FLR7 - B01NLS2 - B03NP99 - BD8NLC0 - BP3RWZ1           Quick Code      
                                         
Item Proposal     Proposed by   Vote   For/Against Management    
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/SEHK/2018/ 0129/LTN20180129464.pdf,- http://www.hkexnews.hk/listedco/listconews/SEHK/2018/ 0129/LTN20180129417.pdf Non-Voting                
1   RESOLUTION REGARDING THE PROVISION OF ASSURED ENTITLEMENT TO THE H SHAREHOLDERS OF THE COMPANY ONLY FOR THE OVERSEAS LISTING OF PING AN HEALTHCARE AND TECHNOLOGY COMPANY LIMITED Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
AL27 AL27   STATE STREET BANK 73,000   0 30-Jan-2018 15-Mar-2018
KKR INCOME OPPORTUNITIES FUND  
Security 48249T106               Meeting Type   Annual
Ticker Symbol KIO                     Meeting Date   22-Mar-2018  
ISIN US48249T1060               Agenda   934729469 - Management
Record Date 02-Feb-2018               Holding Recon Date   02-Feb-2018  
City / Country     / United States           Vote Deadline Date   21-Mar-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1.   DIRECTOR Management                
    1 Michael E. Cahill         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 26,600   0 17-Feb-2018 23-Mar-2018
SAMSUNG ELECTRONICS CO LTD, SUWON  
Security Y74718100               Meeting Type   Annual General Meeting
Ticker Symbol                 Meeting Date   23-Mar-2018  
ISIN KR7005930003               Agenda   708993072 - Management
Record Date 31-Dec-2017               Holding Recon Date   31-Dec-2017  
City / Country   SEOUL / Korea, Republic Of           Vote Deadline Date   13-Mar-2018  
SEDOL(s) 6771720 - B19VC15 - B74V052           Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1   APPROVAL OF FINANCIAL STATEMENTS Management     For     For    
2.1.1 APPOINTMENT OF OUTSIDE DIRECTOR: KIM JONG HOON Management     For     For    
2.1.2 APPOINTMENT OF OUTSIDE DIRECTOR: KIM SUN WOOK Management     For     For    
2.1.3 APPOINTMENT OF OUTSIDE DIRECTOR: PARK BYUNG KOOK Management     For     For    
2.2.1 APPOINTMENT OF INSIDE DIRECTOR: LEE SANG HOON Management     For     For    
2.2.2 APPOINTMENT OF INSIDE DIRECTOR: KIM KI NAM Management     For     For    
2.2.3 APPOINTMENT OF INSIDE DIRECTOR: KIM HYUN SEOK Management     For     For    
2.2.4 APPOINTMENT OF INSIDE DIRECTOR: KO DONG JIN Management     For     For    
2.3 APPOINTMENT OF MEMBER OF AUDIT COMMITTEE: KIM SUN WOOK Management     For     For    
3   APPROVAL OF REMUNERATION FOR DIRECTOR Management     For     For    
4   STOCK SPLIT AND AMENDMENT OF ARTICLES OF INCORPORATION FOR STOCK SPLIT Management     For     For    
CMMT 27 FEB 2018: THIS AGM IS RELATED TO THE CORPORATE EVENT OF STOCK SPLIT. THANK-YOU Non-Voting                
CMMT 27 FEB 2018: 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 AL27   STATE STREET BANK 1,058   0 27-Feb-2018 15-Mar-2018
BROADCOM LIMITED  
Security Y09827109               Meeting Type   Special
Ticker Symbol AVGO                     Meeting Date   23-Mar-2018  
ISIN SG9999014823               Agenda   934741148 - Management
Record Date 05-Mar-2018               Holding Recon Date   05-Mar-2018  
City / Country     / Malaysia           Vote Deadline Date   21-Mar-2018  
SEDOL(s)             Quick Code      
                                         
Item Proposal     Proposed by   Vote   For/Against Management    
1.   To approve the scheme of arrangement under Singapore law among Broadcom, the shareholders of Broadcom and Broadcom Limited, a Delaware corporation, subject to approval of the High Court of the Republic of Singapore, as set forth in Broadcom's notice of, and proxy statement relating to, its Special Meeting. 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 111   2,700 13-Mar-2018 23-Mar-2018
997AL60 GLV MS PLEDGE 997AL60 STATE STREET BANK & TRUST CO 380   0 13-Mar-2018 23-Mar-2018
JAPAN TOBACCO INC.  
Security J27869106               Meeting Type   Annual General Meeting
Ticker Symbol                 Meeting Date   27-Mar-2018  
ISIN JP3726800000               Agenda   708992400 - Management
Record Date 31-Dec-2017               Holding Recon Date   31-Dec-2017  
City / Country   TOKYO / Japan           Vote Deadline Date   19-Mar-2018  
SEDOL(s) 5754357 - 6474535 - B02H525 - B170KG5 - BHZL1B4           Quick Code   29140      
                                         
Item Proposal     Proposed by   Vote   For/Against Management    
  Please reference meeting materials. Non-Voting                
1   Approve Appropriation of Surplus Management     For     For    
2   Amend Articles to: Eliminate the Articles Related to Counselors and Advisors Management     For     For    
3.1 Appoint a Director Tango, Yasutake Management     For     For    
3.2 Appoint a Director Terabatake, Masamichi Management     For     For    
3.3 Appoint a Director Iwai, Mutsuo Management     For     For    
3.4 Appoint a Director Minami, Naohiro Management     For     For    
3.5 Appoint a Director Hirowatari, Kiyohide Management     For     For    
3.6 Appoint a Director Koda, Main Management     For     For    
3.7 Appoint a Director Watanabe, Koichiro Management     For     For    
4   Appoint a Corporate Auditor Nagata, Ryoko Management     For     For    
5   Appoint a Substitute Corporate Auditor Masaki, Michio Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
AL27 AL27   STATE STREET BANK 20,000   0 27-Feb-2018 26-Mar-2018
BROADCOM LIMITED  
Security Y09827109               Meeting Type   Annual
Ticker Symbol AVGO                     Meeting Date   04-Apr-2018  
ISIN SG9999014823               Agenda   934729370 - Management
Record Date 12-Feb-2018               Holding Recon Date   12-Feb-2018  
City / Country     / Malaysia           Vote Deadline Date   29-Mar-2018  
SEDOL(s)             Quick Code      
                                         
Item Proposal     Proposed by   Vote   For/Against Management    
1A. Election of Director: Mr. Hock E. Tan Management     For     For    
1B. Election of Director: Mr. James V. Diller Management     For     For    
1C. Election of Director: Ms. Gayla J. Delly Management     For     For    
1D. Election of Director: Mr. Lewis C. Eggebrecht Management     For     For    
1E. Election of Director: Mr. Kenneth Y. Hao Management     For     For    
1F. Election of Director: Mr. Eddy W. Hartenstein Management     For     For    
1G. Election of Director: Mr. Check Kian Low Management     For     For    
1H. Election of Director: Mr. Donald Macleod Management     For     For    
1I. Election of Director: Mr. Peter J. Marks Management     For     For    
1J. Election of Director: Dr. Henry Samueli Management     For     For    
2.   To approve the re-appointment of PricewaterhouseCoopers LLP as Broadcom's independent registered public accounting firm and independent Singapore auditor for the fiscal year ending November 4, 2018 and to authorize the Audit Committee to fix its remuneration, as set forth in Broadcom's notice of, and proxy statement relating to, its 2018 Annual General Meeting. Management     For     For    
3.   To approve the general authorization for the directors of Broadcom to allot and issue shares in its capital, as set forth in Broadcom's notice of, and proxy statement relating to, its 2018 Annual General Meeting. Management     For     For    
4.   NON-BINDING, ADVISORY VOTE To approve the compensation of Broadcom's named executive officers, as disclosed in "Compensation Discussion and Analysis" and in the compensation tables and accompanying narrative disclosure under "Executive Compensation" in Broadcom's proxy statement relating to its 2018 Annual General Meeting. 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 111   2,700 24-Feb-2018 03-Apr-2018
997AL60 GLV MS PLEDGE 997AL60 STATE STREET BANK & TRUST CO 380   0 24-Feb-2018 03-Apr-2018
SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.)  
Security 806857108               Meeting Type   Annual
Ticker Symbol SLB                     Meeting Date   04-Apr-2018  
ISIN AN8068571086               Agenda   934735246 - Management
Record Date 07-Feb-2018               Holding Recon Date   07-Feb-2018  
City / Country     / United States           Vote Deadline Date   03-Apr-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1A. Election of Director: Peter L.S. Currie Management     For     For    
1B. Election of Director: Miguel M. Galuccio Management     For     For    
1C. Election of Director: V. Maureen Kempston Darkes Management     For     For    
1D. Election of Director: Paal Kibsgaard Management     For     For    
1E. Election of Director: Nikolay Kudryavtsev Management     For     For    
1F. Election of Director: Helge Lund Management     For     For    
1G. Election of Director: Michael E. Marks Management     For     For    
1H. Election of Director: Indra K. Nooyi Management     For     For    
1I. Election of Director: Lubna S. Olayan Management     For     For    
1J. Election of Director: Leo Rafael Reif Management     For     For    
1K. Election of Director: Henri Seydoux Management     For     For    
2.   To approve, on an advisory basis, the Company's executive compensation. Management     For     For    
3.   To report on the course of business during the year ended December 31, 2017; and approve our consolidated balance sheet as of December 31, 2017; our consolidated statement of income for the year ended December 31, 2017; and our Board of Directors' declarations of dividends in 2017, as reflected in our 2017 Annual Report to Stockholders. Management     For     For    
4.   To ratify the appointment of PricewaterhouseCoopers LLP as independent auditors for 2018. Management     For     For    
5.   To approve amended and restated French Sub Plan for purposes of qualification under French Law. Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
997AL27 GLV 997AL27 STATE STREET BANK & TRUST CO 11,400   0 06-Mar-2018 05-Apr-2018
997AL60 GLV MS PLEDGE 997AL60 STATE STREET BANK & TRUST CO 11,200   0 06-Mar-2018 05-Apr-2018
AIRBUS SE  
Security N0280G100               Meeting Type   Ordinary General Meeting
Ticker Symbol                 Meeting Date   11-Apr-2018  
ISIN NL0000235190               Agenda   709018659 - Management
Record Date 14-Mar-2018               Holding Recon Date   14-Mar-2018  
City / Country   AMSTER DAM / Netherlands           Vote Deadline Date   23-Mar-2018  
SEDOL(s) 4012250 - 4012346 - 4057273 - 7164426 - B01DGJ8 - B043FH6 - B16Q6Y4 - B87GTC1 - BDC50T2 - BF444K0 - BHZLF67           Quick Code      
                                         
Item Proposal     Proposed by   Vote   For/Against Management    
1   ADOPTION OF THE AUDITED ACCOUNTS FOR THE FINANCIAL YEAR 2017 Management     For     For    
2   APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF EUR OF 1.50 PER SHARE Management     For     For    
3   RELEASE FROM LIABILITY OF THE NON-EXECUTIVE MEMBERS OF THE BOARD OF DIRECTORS Management     For     For    
4   RELEASE FROM LIABILITY OF THE EXECUTIVE MEMBER OF THE BOARD OF DIRECTORS Management     For     For    
5   RENEWAL OF THE APPOINTMENT OF ERNST & YOUNG ACCOUNTANTS LLP AS AUDITOR FOR THE FINANCIAL YEAR 2018 Management     For     For    
6   RENEWAL OF THE APPOINTMENT OF MS. MARIA AMPARO MORALEDA MARTINEZ AS A NON- EXECUTIVE MEMBER OF THE BOARD OF DIRECTORS FOR A TERM OF THREE YEARS Management     For     For    
7   APPOINTMENT OF MR. VICTOR CHU AS A NON- EXECUTIVE MEMBER OF THE BOARD OF DIRECTORS FOR A TERM OF THREE YEARS IN REPLACEMENT OF SIR JOHN PARKER WHOSE MANDATE EXPIRES Management     For     For    
8   APPOINTMENT OF MR. JEAN-PIERRE CLAMADIEU AS A NON-EXECUTIVE MEMBER OF THE BOARD OF DIRECTORS FOR A TERM OF THREE YEARS IN REPLACEMENT OF MR. JEAN-CLAUDE TRICHET WHOSE MANDATE EXPIRES Management     For     For    
9   APPOINTMENT OF MR. RENE OBERMANN AS A NON- EXECUTIVE MEMBER OF THE BOARD OF DIRECTORS FOR A TERM OF THREE YEARS IN REPLACEMENT OF MR. HANS-PETER KEITEL WHOSE MANDATE EXPIRES Management     For     For    
10   DELEGATION TO THE BOARD OF DIRECTORS OF POWERS TO ISSUE SHARES, TO GRANT RIGHTS TO SUBSCRIBE FOR SHARES AND TO LIMIT OR EXCLUDE PREFERENTIAL SUBSCRIPTION RIGHTS OF EXISTING SHAREHOLDERS FOR THE PURPOSE OF EMPLOYEE SHARE OWNERSHIP PLANS AND SHARE-RELATED LONG-TERM INCENTIVE PLANS Management     For     For    
11   DELEGATION TO THE BOARD OF DIRECTORS OF POWERS TO ISSUE SHARES, TO GRANT RIGHTS TO SUBSCRIBE FOR SHARES AND TO LIMIT OR EXCLUDE PREFERENTIAL SUBSCRIPTION RIGHTS OF EXISTING SHAREHOLDERS FOR THE PURPOSE OF FUNDING THE COMPANY AND ITS GROUP COMPANIES Management     For     For    
12   RENEWAL OF THE AUTHORISATION FOR THE BOARD OF DIRECTORS TO REPURCHASE UP TO 10 % OF THE COMPANY'S ISSUED SHARE CAPITAL Management     For     For    
13   CANCELLATION OF SHARES REPURCHASED BY THE COMPANY Management     For     For    
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 886534 AS MEETING SHOULD-BE PROCESSED ONLY WITH VOTABLE ITEMS. ALL VOTES RECEIVED ON THE PREVIOUS-MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING-NOTICE. THANK YOU. Non-Voting                
CMMT 08 MAR 2018: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN MEETING-TYPE FROM AGM TO OGM. IF YOU HAVE ALREADY SENT IN YOUR VOTES FOR MID: 888594,-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 AL27   STATE STREET BANK 30,710   0 06-Mar-2018 26-Mar-2018
LENNAR CORPORATION  
Security 526057104               Meeting Type   Annual
Ticker Symbol LEN                     Meeting Date   11-Apr-2018  
ISIN US5260571048               Agenda   934730917 - Management
Record Date 14-Feb-2018               Holding Recon Date   14-Feb-2018  
City / Country     / United States           Vote Deadline Date   10-Apr-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1.   DIRECTOR Management                
    1 Irving Bolotin         For     For    
    2 Steven L. Gerard         For     For    
    3 Theron I. "Tig" Gilliam         For     For    
    4 Sherrill W. Hudson         For     For    
    5 Sidney Lapidus         For     For    
    6 Teri P. McClure         For     For    
    7 Stuart Miller         For     For    
    8 Armando Olivera         For     For    
    9 Donna Shalala         For     For    
    10 Scott Stowell         For     For    
    11 Jeffrey Sonnenfeld         For     For    
2.   Ratification of the appointment of Deloitte & Touche LLP as Lennar's independent registered public accounting firm for the fiscal year ending November 30, 2018. Management     For     For    
3.   Approval, on an advisory basis, of the compensation of Lennar's named executive officers. Management     For     For    
4.   Approval of a stockholder proposal regarding our common stock voting structure. Shareholder     Against     For    
5.   Approval of a stockholder proposal regarding providing holders an annual right to convert a limited amount of Class B common stock into Class A common stock. Shareholder     Against     For    
6.   Approval of a stockholder proposal regarding a limit on director tenure. 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 5,600   7,600 02-Mar-2018 12-Apr-2018
CITIGROUP INC.  
Security 172967424               Meeting Type   Annual
Ticker Symbol C                      Meeting Date   24-Apr-2018  
ISIN US1729674242               Agenda   934740401 - Management
Record Date 26-Feb-2018               Holding Recon Date   26-Feb-2018  
City / Country     / United States           Vote Deadline Date   23-Apr-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1a. Election of Director: Michael L. Corbat Management     For     For    
1b. Election of Director: Ellen M. Costello Management     For     For    
1c. Election of Director: John C. Dugan Management     For     For    
1d. Election of Director: Duncan P. Hennes Management     For     For    
1e. Election of Director: Peter B. Henry Management     For     For    
1f. Election of Director: Franz B. Humer Management     For     For    
1g. Election of Director: S. Leslie Ireland Management     For     For    
1h. Election of Director: Renee J. James Management     For     For    
1i. Election of Director: Eugene M. McQuade Management     For     For    
1j. Election of Director: Michael E. O'Neill Management     For     For    
1k. Election of Director: Gary M. Reiner Management     For     For    
1l. Election of Director: Anthony M. Santomero Management     For     For    
1m. Election of Director: Diana L. Taylor Management     For     For    
1n. Election of Director: James S. Turley Management     For     For    
1o. Election of Director: Deborah C. Wright Management     For     For    
1p. Election of Director: Ernesto Zedillo Ponce de Leon Management     For     For    
2.   Proposal to ratify the selection of KPMG LLP as Citi's independent registered public accounting firm for 2018. Management     For     For    
3.   Advisory vote to approve Citi's 2017 executive compensation. Management     For     For    
4.   Approval of an amendment to the Citigroup 2014 Stock Incentive Plan authorizing additional shares. Management     For     For    
5.   Stockholder proposal requesting a Human and Indigenous Peoples' Rights Policy. Shareholder     Against     For    
6.   Stockholder proposal requesting that our Board take the steps necessary to adopt cumulative voting. Shareholder     Against     For    
7.   Stockholder proposal requesting a report on lobbying and grassroots lobbying contributions. Shareholder     Against     For    
8.   Stockholder proposal requesting an amendment to Citi's proxy access bylaw provisions pertaining to the aggregation limit and the number of candidates. Shareholder     Against     For    
9.   Stockholder proposal requesting that the Board adopt a policy prohibiting the vesting of equity-based awards for senior executives due to a voluntary resignation to enter government service. Shareholder     Against     For    
10. Stockholder proposal requesting that the Board amend Citi's bylaws to give holders in the aggregate of 15% of Citi's outstanding common stock the power to call a special meeting. Shareholder     Against     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
997AL45 GLV BNP PLEDGE 997AL45 STATE STREET BANK & TRUST CO 430   41,900 15-Mar-2018 25-Apr-2018
BANK OF AMERICA CORPORATION  
Security 060505104               Meeting Type   Annual
Ticker Symbol BAC                     Meeting Date   25-Apr-2018  
ISIN US0605051046               Agenda   934737163 - Management
Record Date 02-Mar-2018               Holding Recon Date   02-Mar-2018  
City / Country     / United States           Vote Deadline Date   24-Apr-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1A. Election of Director: Sharon L. Allen Management     For     For    
1B. Election of Director: Susan S. Bies Management     For     For    
1C. Election of Director: Jack O. Bovender, Jr. Management     For     For    
1D. Election of Director: Frank P. Bramble, Sr. Management     For     For    
1E. Election of Director: Pierre J. P. de Weck Management     For     For    
1F. Election of Director: Arnold W. Donald Management     For     For    
1G. Election of Director: Linda P. Hudson Management     For     For    
1H. Election of Director: Monica C. Lozano Management     For     For    
1I. Election of Director: Thomas J. May Management     For     For    
1J. Election of Director: Brian T. Moynihan Management     For     For    
1K. Election of Director: Lionel L. Nowell, III Management     For     For    
1L. Election of Director: Michael D. White Management     For     For    
1M. Election of Director: Thomas D. Woods Management     For     For    
1N. Election of Director: R. David Yost Management     For     For    
1O. Election of Director: Maria T. Zuber Management     For     For    
2.   Approving Our Executive Compensation (an Advisory, Non-binding "Say on Pay" Resolution) Management     For     For    
3.   Ratifying the Appointment of Our Independent Registered Public Accounting Firm for 2018 Management     For     For    
4.   Stockholder Proposal - Independent Board Chairman 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 691   101,100 13-Mar-2018 26-Apr-2018
HALYARD HEALTH, INC.  
Security 40650V100               Meeting Type   Annual
Ticker Symbol HYH                     Meeting Date   26-Apr-2018  
ISIN US40650V1008               Agenda   934736870 - Management
Record Date 02-Mar-2018               Holding Recon Date   02-Mar-2018  
City / Country     / United States           Vote Deadline Date   25-Apr-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1A. Election of Class I Director: William A. Hawkins Management     For     For    
1B. Election of Class I Director: Gary D. Blackford Management     For     For    
1C. Election of Class I Director: Patrick J. O'Leary Management     For     For    
2.   Ratification of the selection of Deloitte & Touche LLP as the independent registered public accounting firm to audit the Company's 2018 financial statements. Management     For     For    
3.   Advisory vote to approve named executive officer compensation. Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
997AL45 GLV BNP PLEDGE 997AL45 STATE STREET BANK & TRUST CO 10,800   0 10-Mar-2018 27-Apr-2018
PFIZER INC.  
Security 717081103               Meeting Type   Annual
Ticker Symbol PFE                     Meeting Date   26-Apr-2018  
ISIN US7170811035               Agenda   934739256 - Management
Record Date 27-Feb-2018               Holding Recon Date   27-Feb-2018  
City / Country     / United States           Vote Deadline Date   25-Apr-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1a. Election of Director: Dennis A. Ausiello Management     For     For    
1b. Election of Director: Ronald E. Blaylock Management     For     For    
1c. Election of Director: Albert Bourla Management     For     For    
1d. Election of Director: W. Don Cornwell Management     For     For    
1e. Election of Director: Joseph J. Echevarria Management     For     For    
1f. Election of Director: Helen H. Hobbs Management     For     For    
1g. Election of Director: James M. Kilts Management     For     For    
1h. Election of Director: Dan R. Littman Management     For     For    
1i. Election of Director: Shantanu Narayen Management     For     For    
1j. Election of Director: Suzanne Nora Johnson Management     For     For    
1k. Election of Director: Ian C. Read Management     For     For    
1l. Election of Director: James C. Smith Management     For     For    
2.   Ratify the selection of KPMG LLP as independent registered public accounting firm for 2018 Management     For     For    
3.   2018 Advisory approval of executive compensation Management     For     For    
4.   Approval of the Pfizer Inc. French Sub-Plan under the 2014 Stock Plan Management     For     For    
5.   Shareholder proposal regarding right to act by written consent Shareholder     Against     For    
6.   Shareholder proposal regarding independent chair policy Shareholder     Against     For    
7.   Shareholder proposal regarding report on lobbying activities 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 5,000   0 16-Mar-2018 27-Apr-2018
997AL45 GLV BNP PLEDGE 997AL45 STATE STREET BANK & TRUST CO 100   65,300 16-Mar-2018 27-Apr-2018
997AL60 GLV MS PLEDGE 997AL60 STATE STREET BANK & TRUST CO 7,000   0 16-Mar-2018 27-Apr-2018
BRISTOL-MYERS SQUIBB COMPANY  
Security 110122108               Meeting Type   Annual
Ticker Symbol BMY                     Meeting Date   01-May-2018  
ISIN US1101221083               Agenda   934747354 - Management
Record Date 14-Mar-2018               Holding Recon Date   14-Mar-2018  
City / Country     / United States           Vote Deadline Date   30-Apr-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1A. Election of Director: P. J. Arduini Management     For     For    
1B. Election of Director: J. Baselga, M.D., Ph.D. Management     For     For    
1C. Election of Director: R. J. Bertolini Management     For     For    
1D. Election of Director: G. Caforio, M.D. Management     For     For    
1E. Election of Director: M. W. Emmens Management     For     For    
1F. Election of Director: M. Grobstein Management     For     For    
1G. Election of Director: A. J. Lacy Management     For     For    
1H. Election of Director: D. C. Paliwal Management     For     For    
1I. Election of Director: T. R. Samuels Management     For     For    
1J. Election of Director: G. L. Storch Management     For     For    
1K. Election of Director: V. L. Sato, Ph.D. Management     For     For    
1L. Election of Director: K. H. Vousden, Ph.D. Management     For     For    
2.   Advisory vote to approve the compensation of our Named Executive Officers Management     For     For    
3.   Ratification of the appointment of an independent registered public accounting firm Management     For     For    
4.   Shareholder Proposal on Annual Report Disclosing How Risks Related to Public Concern Over Drug Pricing Strategies are Incorporated into Incentive Compensation Plans Shareholder     Against     For    
5.   Shareholder Proposal to Lower the Share Ownership Threshold to Call Special Shareholder Meetings Shareholder     Against     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
997AL27 GLV 997AL27 STATE STREET BANK & TRUST CO 12,200   0 23-Mar-2018 02-May-2018
997AL45 GLV BNP PLEDGE 997AL45 STATE STREET BANK & TRUST CO 3,087   11,100 23-Mar-2018 02-May-2018
STARWOOD PROPERTY TRUST, INC.  
Security 85571B105               Meeting Type   Annual
Ticker Symbol STWD                     Meeting Date   02-May-2018  
ISIN US85571B1052               Agenda   934750476 - Management
Record Date 12-Mar-2018               Holding Recon Date   12-Mar-2018  
City / Country     / United States           Vote Deadline Date   01-May-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1.   DIRECTOR Management                
    1 Richard D. Bronson         For     For    
    2 Jeffrey G. Dishner         For     For    
    3 Camille J. Douglas         For     For    
    4 Solomon J. Kumin         For     For    
    5 Barry S. Sternlicht         For     For    
    6 Strauss Zelnick         For     For    
2.   To approve, on an advisory basis, the Company's executive compensation as disclosed in the accompanying proxy statement. Management     For     For    
3.   To ratify the Audit Committee's appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the calendar year ending December 31, 2018. 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 182,800   0 24-Mar-2018 03-May-2018
997AL60 GLV MS PLEDGE 997AL60 STATE STREET BANK & TRUST CO 10,000   0 24-Mar-2018 03-May-2018
GCI LIBERTY, INC.  
Security 36164V305               Meeting Type   Special
Ticker Symbol GLIBA                    Meeting Date   07-May-2018  
ISIN US36164V3050               Agenda   934771278 - Management
Record Date 14-Mar-2018               Holding Recon Date   14-Mar-2018  
City / Country     / United States           Vote Deadline Date   04-May-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1.   Approve the Agreement and Plan of Merger by and between GCI Liberty, Inc. and GCI Merger Sub, Inc., pursuant to which GCI Liberty, Inc. will merge with and into GCI Merger Sub, Inc., with GCI Merger Sub, Inc. (which shall be renamed GCI Liberty, Inc.) continuing as the surviving corporation and existing under the laws of the State of Delaware. Management     For     For    
2.   A proposal to authorize the adjournment of the special meeting by GCI liberty, inc. 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
997AL45 GLV BNP PLEDGE 997AL45 STATE STREET BANK & TRUST CO 100   15,600 04-Apr-2018 08-May-2018
997AL60 GLV MS PLEDGE 997AL60 STATE STREET BANK & TRUST CO 15,343   0 04-Apr-2018 08-May-2018
BYD COMPANY LIMITED  
Security Y1023R104               Meeting Type   ExtraOrdinary General Meeting
Ticker Symbol                 Meeting Date   09-May-2018  
ISIN CNE100000296               Agenda   709069593 - Management
Record Date 06-Apr-2018               Holding Recon Date   06-Apr-2018  
City / Country   SHENZH EN / China           Vote Deadline Date   30-Apr-2018  
SEDOL(s) 6536651 - B01XKF2 - B0WVS95 - BD8GJR0 - BDDXWZ5           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/LISTCONEW S/SEHK/2018/0318/LTN20180318017.PDF-,- HTTP://WWW.HKEXNEWS.HK/LISTEDCO/LISTCONEW S/SEHK/2018/0318/LTN20180318013.PDF-AND- HTTP://WWW.HKEXNEWS.HK/LISTEDCO/LISTCONEW S/SEHK/2018/0318/LTN20180318011.PDF Non-Voting                
1   TO CONSIDER AND APPROVE THE ISSUANCE OF ASSET-BACKED SECURITIES (THE "ABS") OF NOT MORE THAN RMB10 BILLION Management     For     For    
2   TO CONSIDER AND APPROVE THE AUTHORISATION TO THE BOARD OF DIRECTORS OF THE COMPANY (THE "BOARD") OR THE PERSON(S) AUTHORISED BY THE BOARD TO DEAL WITH ALL THE MATTERS IN RELATION TO THE ISSUANCE OF ABS Management     For     For    
3   TO CONSIDER AND APPROVE THE AUTHORISATION TO THE BOARD TO DETERMINE THE PROPOSAL FOR THE ISSUANCE OF DEBT FINANCING INSTRUMENT(S) Management     For     For    
4   TO CONSIDER AND APPROVE THE RESOLUTION ON THE ADJUSTMENT TO AND OPTIMISATION OF THE SCOPE OF INVESTMENT PROJECT UNDER THE NON-PUBLIC ISSUANCE AND THE INTRODUCTION OF NEW IMPLEMENTATION ENTITIES Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
AL27 AL27   STATE STREET BANK 150,300   0 20-Mar-2018 04-May-2018
KINDER MORGAN, INC.  
Security 49456B101               Meeting Type   Annual
Ticker Symbol KMI                     Meeting Date   09-May-2018  
ISIN US49456B1017               Agenda   934748990 - Management
Record Date 12-Mar-2018               Holding Recon Date   12-Mar-2018  
City / Country     / United States           Vote Deadline Date   08-May-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1a. Election of Director: Richard D. Kinder Management     For     For    
1b. Election of Director: Steven J. Kean Management     For     For    
1c. Election of Director: Kimberly A. Dang Management     For     For    
1d. Election of Director: Ted A. Gardner Management     For     For    
1e. Election of Director: Anthony W. Hall, Jr. Management     For     For    
1f. Election of Director: Gary L. Hultquist Management     For     For    
1g. Election of Director: Ronald L. Kuehn, Jr. Management     For     For    
1h. Election of Director: Deborah A. Macdonald Management     For     For    
1i. Election of Director: Michael C. Morgan Management     For     For    
1j. Election of Director: Arthur C. Reichstetter Management     For     For    
1k. Election of Director: Fayez Sarofim Management     For     For    
1l. Election of Director: C. Park Shaper Management     For     For    
1m. Election of Director: William A. Smith Management     For     For    
1n. Election of Director: Joel V. Staff Management     For     For    
1o. Election of Director: Robert F. Vagt Management     For     For    
1p. Election of Director: Perry M. Waughtal Management     For     For    
2.   Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2018 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    
4.   Frequency with which we will hold an advisory vote on the compensation of our named executive officers Management     3 Years     For    
5.   Stockholder proposal relating to a report on methane emissions Shareholder     Against     For    
6.   Stockholder proposal relating to an annual sustainability report Shareholder     Against     For    
7.   Stockholder proposal relating to an assessment of the long-term portfolio impacts of scenarios consistent with global climate change policies 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 24,500   134,700 30-Mar-2018 10-May-2018
PULTEGROUP, INC.  
Security 745867101               Meeting Type   Annual
Ticker Symbol PHM                     Meeting Date   10-May-2018  
ISIN US7458671010               Agenda   934758636 - Management
Record Date 16-Mar-2018               Holding Recon Date   16-Mar-2018  
City / Country     / United States           Vote Deadline Date   09-May-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1a. Election of Director: Brian P. Anderson Management     For     For    
1b. Election of Director: Bryce Blair Management     For     For    
1c. Election of Director: Richard W. Dreiling Management     For     For    
1d. Election of Director: Thomas J. Folliard Management     For     For    
1e. Election of Director: Cheryl W. Grise Management     For     For    
1f. Election of Director: Andre J. Hawaux Management     For     For    
1g. Election of Director: Ryan R. Marshall Management     For     For    
1h. Election of Director: John R. Peshkin Management     For     For    
1i. Election of Director: Scott F. Powers Management     For     For    
1j. Election of Director: William J. Pulte Management     For     For    
2.   The ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for 2018. Management     For     For    
3.   Say on Pay - An advisory vote to approve executive compensation. Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
997AL45 GLV BNP PLEDGE 997AL45 STATE STREET BANK & TRUST CO 100   13,000 29-Mar-2018 11-May-2018
FAIRWAY ENERGY  
Security 30605H108               Meeting Type   Special
Ticker Symbol FRWYZ                    Meeting Date   11-May-2018  
ISIN US30605H1086               Agenda   934807756 - Management
Record Date 05-Apr-2018               Holding Recon Date   05-Apr-2018  
City / Country     / United States           Vote Deadline Date   10-May-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1a. To remove the current director of the Board of Directors of Fairway Energy GP, LLC: Porter Bennett Shareholder     Against     For    
1b. To remove the current director of the Board of Directors of Fairway Energy GP, LLC: Christopher C. Hilgert Shareholder     Against     For    
1c. To remove the current director of the Board of Directors of Fairway Energy GP, LLC: J. Chris Jones Shareholder     Against     For    
1d. To remove the current director of the Board of Directors of Fairway Energy GP, LLC: Arthur L. Smith Shareholder     Against     For    
1e. To remove the current director of the Board of Directors of Fairway Energy GP, LLC: Nicholas S. Swyka, Jr. Shareholder     Against     For    
1f. To remove the current director of the Board of Directors of Fairway Energy GP, LLC: William T. Wilson Shareholder     Against     For    
1g. To remove the current director of the Board of Directors of Fairway Energy GP, LLC: Jim P. Wise Shareholder     Against     For    
2a. Election of Member of Board of Directors of Fairway Energy GP, LLC: Porter Bennett Management     For     For    
2b. Election of Member of Board of Directors of Fairway Energy GP, LLC: Christopher C. Hilgert Management     For     For    
2c. Election of Member of Board of Directors of Fairway Energy GP, LLC: J. Chris Jones Management     For     For    
2d. Election of Member of Board of Directors of Fairway Energy GP, LLC: Arthur L. Smith Management     For     For    
2e. Election of Member of Board of Directors of Fairway Energy GP, LLC: Nicholas S. Swyka, Jr. Management     For     For    
2f. Election of Member of Board of Directors of Fairway Energy GP, LLC: William T. Wilson Management     For     For    
2g. Election of Member of Board of Directors of Fairway Energy GP, LLC: Jim P. Wise 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 130,700   0 27-Apr-2018 14-May-2018
THE GABELLI EQUITY TRUST INC.  
Security 362397101               Meeting Type   Annual
Ticker Symbol GAB                     Meeting Date   14-May-2018  
ISIN US3623971013               Agenda   934764867 - Management
Record Date 16-Mar-2018               Holding Recon Date   16-Mar-2018  
City / Country     / United States           Vote Deadline Date   11-May-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1.   DIRECTOR Management                
    1 Michael J. Ferrantino         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 65,600   0 31-Mar-2018 15-May-2018
ARES CAPITAL CORPORATION  
Security 04010L103               Meeting Type   Special
Ticker Symbol ARCC                     Meeting Date   14-May-2018  
ISIN US04010L1035               Agenda   934768358 - Management
Record Date 16-Mar-2018               Holding Recon Date   16-Mar-2018  
City / Country     / United States           Vote Deadline Date   11-May-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1   To authorize the Company, with the approval of its board of directors, to sell or otherwise issue shares of its common stock at a price below its then current net asset value per share subject to the limitations set forth in the proxy statement for the special meeting of stockholders. 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 218,800   0 03-Apr-2018 15-May-2018
ARES CAPITAL CORPORATION  
Security 04010L103               Meeting Type   Annual
Ticker Symbol ARCC                     Meeting Date   14-May-2018  
ISIN US04010L1035               Agenda   934771177 - Management
Record Date 16-Mar-2018               Holding Recon Date   16-Mar-2018  
City / Country     / United States           Vote Deadline Date   11-May-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1a. Election of Class II Director: Steve Bartlett Management     For     For    
1b. Election of Class II Director: Robert L. Rosen Management     For     For    
1c. Election of Class II Director: Bennett Rosenthal Management     For     For    
2.   To ratify the selection of KPMG LLP as the Company's independent registered public accounting firm for the year ending December 31, 2018. 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 218,800   0 04-Apr-2018 15-May-2018
FIRST REPUBLIC BANK  
Security 33616C100               Meeting Type   Annual
Ticker Symbol FRC                     Meeting Date   15-May-2018  
ISIN US33616C1009               Agenda   934753458 - Management
Record Date 16-Mar-2018               Holding Recon Date   16-Mar-2018  
City / Country     / United States           Vote Deadline Date   14-May-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1a. Election of Director: James H. Herbert, II Management     For     For    
1b. Election of Director: Katherine August-deWilde Management     For     For    
1c. Election of Director: Thomas J. Barrack, Jr. Management     For     For    
1d. Election of Director: Frank J. Fahrenkopf, Jr. Management     For     For    
1e. Election of Director: L. Martin Gibbs Management     For     For    
1f. Election of Director: Boris Groysberg Management     For     For    
1g. Election of Director: Sandra R. Hernandez Management     For     For    
1h. Election of Director: Pamela J. Joyner Management     For     For    
1i. Election of Director: Reynold Levy Management     For     For    
1j. Election of Director: Duncan L. Niederauer Management     For     For    
1k. Election of Director: George G.C. Parker Management     For     For    
1l. Election of Director: Cheryl Spielman Management     For     For    
2.   To ratify the appointment of KPMG LLP as independent auditor of First Republic Bank for the fiscal year ended December 31, 2018. Management     For     For    
3.   To approve, by advisory (non-binding) vote, the compensation of our executive officers (a "say on pay" vote). Management     For     For    
4.   A shareholder proposal requesting that First Republic Bank prepare a diversity report to include specific additional disclosure relating to EEOC-defined metrics and details on related policies and programs. 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   9,300 03-Apr-2018 16-May-2018
JPMORGAN CHASE & CO.  
Security 46625H100               Meeting Type   Annual
Ticker Symbol JPM                     Meeting Date   15-May-2018  
ISIN US46625H1005               Agenda   934764463 - Management
Record Date 16-Mar-2018               Holding Recon Date   16-Mar-2018  
City / Country     / United States           Vote Deadline Date   14-May-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1a. Election of Director: Linda B. Bammann Management     For     For    
1b. Election of Director: James A. Bell Management     For     For    
1c. Election of Director: Stephen B. Burke Management     For     For    
1d. Election of Director: Todd A. Combs Management     For     For    
1e. Election of Director: James S. Crown Management     For     For    
1f. Election of Director: James Dimon Management     For     For    
1g. Election of Director: Timothy P. Flynn Management     For     For    
1h. Election of Director: Mellody Hobson Management     For     For    
1i. Election of Director: Laban P. Jackson Jr. Management     For     For    
1j. Election of Director: Michael A. Neal Management     For     For    
1k. Election of Director: Lee R. Raymond Management     For     For    
1l. Election of Director: William C. Weldon Management     For     For    
2.   Ratification of special meeting provisions in the Firm's By- Laws Management     For     For    
3.   Advisory resolution to approve executive compensation Management     For     For    
4.   Approval of Amended and Restated Long-Term Incentive Plan effective May 15, 2018 Management     For     For    
5.   Ratification of independent registered public accounting firm Management     For     For    
6.   Independent Board chairman Shareholder     Against     For    
7.   Vesting for government service Shareholder     Against     For    
8.   Proposal to report on investments tied to genocide Shareholder     Against     For    
9.   Cumulative Voting 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 300   28,900 06-Apr-2018 16-May-2018
TENCENT HOLDINGS LIMITED  
Security G87572163               Meeting Type   Annual General Meeting
Ticker Symbol                 Meeting Date   16-May-2018  
ISIN KYG875721634               Agenda   709223553 - Management
Record Date 10-May-2018               Holding Recon Date   10-May-2018  
City / Country   HONG KONG / Cayman Islands           Vote Deadline Date   09-May-2018  
SEDOL(s) BD8NG70 - BDDXGP3 - BMMV2K8 - BMN9869 - BMNDJT1 - BP3RXY7           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/LISTCONEW S/SEHK/2018/0410/LTN20180410937.PDF-AND- HTTP://WWW.HKEXNEWS.HK/LISTEDCO/LISTCONEW S/SEHK/2018/0410/LTN20180410939.PDF Non-Voting                
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR- ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING Non-Voting                
1   TO RECEIVE AND CONSIDER THE AUDITED FINANCIAL STATEMENTS, THE DIRECTORS' REPORT AND THE INDEPENDENT AUDITOR'S REPORT FOR THE YEAR ENDED 31 DECEMBER 2017 Management     For     For    
2   TO DECLARE A FINAL DIVIDEND Management     For     For    
3.A TO RE-ELECT MR LI DONG SHENG AS DIRECTOR Management     For     For    
3.B TO RE-ELECT MR IAIN FERGUSON BRUCE AS DIRECTOR Management     For     For    
3.C TO AUTHORISE THE BOARD OF DIRECTORS TO FIX THE DIRECTORS' REMUNERATION Management     For     For    
4   APPROVE PRICEWATERHOUSECOOPERS AS AUDITOR AND AUTHORIZE BOARD TO FIX THEIR REMUNERATION Management     For     For    
5   TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO ISSUE NEW SHARES Management     For     For    
6   TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO REPURCHASE SHARES Management     For     For    
CMMT PLEASE NOTE THAT RESOLUTION 7 IS CONDITIONAL UPON PASSING OF RESOLUTION NO 5-AND 6. THANK YOU Non-Voting                
7   TO EXTEND THE GENERAL MANDATE TO ISSUE NEW SHARES BY ADDING THE NUMBER OF SHARES REPURCHASED Management     For     For    
CMMT 16 APR 2018: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE-TEXT IN RESOLUTION 4. 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 AL27   STATE STREET BANK 16,100   0 12-Apr-2018 10-May-2018
COUNTRY GARDEN HOLDINGS COMPANY LIMITED  
Security G24524103               Meeting Type   Annual General Meeting
Ticker Symbol                 Meeting Date   17-May-2018  
ISIN KYG245241032               Agenda   709260448 - Management
Record Date 11-May-2018               Holding Recon Date   11-May-2018  
City / Country   HONG KONG / Cayman Islands           Vote Deadline Date   07-May-2018  
SEDOL(s) B1VKYN6 - B1W6YY4 - B1WGSJ7 - BD8NKW3 - BP3RTG1           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/2018/ 0413/LTN20180413461.pdf-AND- http://www.hkexnews.hk/listedco/listconews/SEHK/2018/ 0413/LTN20180413423.pdf Non-Voting                
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR- ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING Non-Voting                
1   TO RECEIVE AND ADOPT THE AUDITED CONSOLIDATED FINANCIAL STATEMENTS, THE REPORT OF THE DIRECTORS AND THE INDEPENDENT AUDITOR'S REPORT FOR THE YEAR ENDED 31 DECEMBER 2017 Management     For     For    
2   TO DECLARE A FINAL DIVIDEND OF RMB24.95 CENTS PER SHARE FOR THE YEAR ENDED 31 DECEMBER 2017 Management     For     For    
3A1 TO RE-ELECT MR. YEUNG KWOK YEUNG AS AN EXECUTIVE DIRECTOR OF THE COMPANY Management     For     For    
3A2 TO RE-ELECT MS. YANG ZIYING AS AN EXECUTIVE DIRECTOR OF THE COMPANY Management     For     For    
3A3 TO RE-ELECT MR. YANG ZHICHENG AS AN EXECUTIVE DIRECTOR OF THE COMPANY Management     For     For    
3A4 TO RE-ELECT MR. TONG WUI TUNG AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY Management     For     For    
3A5 TO RE-ELECT MR. HUANG HONGYAN AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY Management     For     For    
3.B TO AUTHORIZE THE BOARD OF DIRECTORS OF THE COMPANY TO FIX THE DIRECTORS' REMUNERATION OF THE COMPANY Management     For     For    
4   TO RE-APPOINT PRICEWATERHOUSECOOPERS AS AUDITOR OF THE COMPANY AND AUTHORIZE THE BOARD OF DIRECTORS OF THE COMPANY TO FIX THEIR REMUNERATION Management     For     For    
5   TO GRANT A GENERAL MANDATE TO THE DIRECTORS OF THE COMPANY TO ISSUE NEW SHARES NOT EXCEEDING 20% OF THE ISSUED SHARES OF THE COMPANY Management     For     For    
6   TO GRANT A GENERAL MANDATE TO THE DIRECTORS OF THE COMPANY TO BUY BACK SHARES NOT EXCEEDING 10% OF THE ISSUED SHARES OF THE COMPANY Management     For     For    
7   TO EXTEND THE GENERAL MANDATE TO BE GRANTED TO THE DIRECTORS OF THE COMPANY TO ISSUE NEW SHARES OF THE COMPANY BY ADDING TO IT THE NUMBER OF SHARES BOUGHT BACK UNDER THE GENERAL MANDATE TO BUY BACK SHARES OF THE COMPANY Management     For     For    
8   TO APPROVE THE ADOPTION OF THE NEW ARTICLES OF ASSOCIATION OF THE COMPANY Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
AL27 AL27   STATE STREET BANK 582,000   0 14-Apr-2018 11-May-2018
CHINA MOBILE LIMITED  
Security Y14965100               Meeting Type   Annual General Meeting
Ticker Symbol                 Meeting Date   17-May-2018  
ISIN HK0941009539               Agenda   709261147 - Management
Record Date 10-May-2018               Holding Recon Date   10-May-2018  
City / Country   HONG KONG / Hong Kong           Vote Deadline Date   10-May-2018  
SEDOL(s) 5563575 - 6073556 - B01DDV9 - B162JB0 - BD8NH55 - BP3RPD0 - BRTM834           Quick Code      
                                         
Item Proposal     Proposed by   Vote   For/Against Management    
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" WILL BE TREATED-THE SAME AS A "TAKE NO ACTION" VOTE. Non-Voting                
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW.HKEXNEWS.HK/LISTEDCO/LISTCONEW S/SEHK/2018/0413/LTN20180413615.PDF-AND- HTTP://WWW.HKEXNEWS.HK/LISTEDCO/LISTCONEW S/SEHK/2018/0413/LTN20180413562.PDF Non-Voting                
1   TO RECEIVE AND CONSIDER THE AUDITED FINANCIAL STATEMENTS AND THE REPORTS OF THE DIRECTORS AND AUDITORS OF THE COMPANY AND ITS SUBSIDIARIES FOR THE YEAR ENDED 31 DECEMBER 2017 Management     For     For    
2   TO DECLARE A FINAL DIVIDEND FOR THE YEAR ENDED 31 DECEMBER 2017 Management     For     For    
3.I TO RE-ELECT THE FOLLOWING PERSON AS EXECUTIVE DIRECTOR OF THE COMPANY: MR. SHANG BING Management     For     For    
3.II TO RE-ELECT THE FOLLOWING PERSON AS EXECUTIVE DIRECTOR OF THE COMPANY: MR. LI YUE Management     For     For    
3.III TO RE-ELECT THE FOLLOWING PERSON AS EXECUTIVE DIRECTOR OF THE COMPANY: MR. SHA YUEJIA Management     For     For    
4   TO RE-APPOINT PRICEWATERHOUSECOOPERS AND PRICEWATERHOUSECOOPERS ZHONG TIAN LLP AS THE AUDITORS OF THE GROUP FOR HONG KONG FINANCIAL REPORTING AND U.S. FINANCIAL REPORTING PURPOSES, RESPECTIVELY, AND TO AUTHORIZE THE DIRECTORS TO FIX THEIR REMUNERATION Management     For     For    
5   TO GIVE A GENERAL MANDATE TO THE DIRECTORS OF THE COMPANY TO BUY BACK SHARES IN THE COMPANY NOT EXCEEDING 10% OF THE NUMBER OF ISSUED SHARES IN ACCORDANCE WITH ORDINARY RESOLUTION NUMBER 5 AS SET OUT IN THE AGM NOTICE Management     For     For    
6   TO GIVE A GENERAL MANDATE TO THE DIRECTORS OF THE COMPANY TO ISSUE, ALLOT AND DEAL WITH ADDITIONAL SHARES IN THE COMPANY NOT EXCEEDING 20% OF THE NUMBER OF ISSUED SHARES IN ACCORDANCE WITH ORDINARY RESOLUTION NUMBER 6 AS SET OUT IN THE AGM NOTICE Management     For     For    
7   TO EXTEND THE GENERAL MANDATE GRANTED TO THE DIRECTORS OF THE COMPANY TO ISSUE, ALLOT AND DEAL WITH SHARES BY THE NUMBER OF SHARES BOUGHT BACK IN ACCORDANCE WITH ORDINARY RESOLUTION NUMBER 7 AS SET OUT IN THE AGM NOTICE Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
AL27 AL27   STATE STREET BANK 89,000   0 14-Apr-2018 11-May-2018
COUNTRY GARDEN HOLDINGS COMPANY LIMITED  
Security G24524103               Meeting Type   ExtraOrdinary General Meeting
Ticker Symbol                 Meeting Date   17-May-2018  
ISIN KYG245241032               Agenda   709355881 - Management
Record Date 11-May-2018               Holding Recon Date   11-May-2018  
City / Country   HONG KONG / Cayman Islands           Vote Deadline Date   07-May-2018  
SEDOL(s) B1VKYN6 - B1W6YY4 - B1WGSJ7 - BD8NKW3 - BP3RTG1           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/LISTCONEW S/SEHK/2018/0427/LTN20180427840.PDF-AND- HTTP://WWW.HKEXNEWS.HK/LISTEDCO/LISTCONEW S/SEHK/2018/0427/LTN20180427986.PDF Non-Voting                
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR- RESOLUTION 1 AND 2, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING Non-Voting                
1   TO APPROVE THE CGS SHARE OPTION SCHEME (AS DEFINED IN THE CIRCULAR OF THE COMPANY DATED 30 APRIL 2018) Management     For     For    
2   TO APPROVE THE GRANT OF SHARE OPTIONS TO MR. MO BIN UNDER THE CGS SHARE OPTION SCHEME Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
AL27 AL27   STATE STREET BANK 582,000   0 28-Apr-2018 11-May-2018
COMMUNITY HEALTHCARE TRUST INCORPORATED  
Security 20369C106               Meeting Type   Annual
Ticker Symbol CHCT                     Meeting Date   17-May-2018  
ISIN US20369C1062               Agenda   934766885 - Management
Record Date 16-Mar-2018               Holding Recon Date   16-Mar-2018  
City / Country     / United States           Vote Deadline Date   16-May-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1.   DIRECTOR Management                
    1 Alan Gardner         For     For    
    2 Claire Gulmi         For     For    
    3 Robert Hensley         For     For    
    4 Lawrence Van Horn         For     For    
    5 Timothy Wallace         For     For    
2.   To ratify the appointment of BDO USA, LLP as the Company's independent registered public accountants for 2018. 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 13,200   0 03-Apr-2018 18-May-2018
997AL45 GLV BNP PLEDGE 997AL45 STATE STREET BANK & TRUST CO 94,900   0 03-Apr-2018 18-May-2018
TPG SPECIALTY LENDING, INC.  
Security 87265K102               Meeting Type   Special
Ticker Symbol TSLX                     Meeting Date   17-May-2018  
ISIN US87265K1025               Agenda   934771038 - Management
Record Date 19-Mar-2018               Holding Recon Date   19-Mar-2018  
City / Country     / United States           Vote Deadline Date   16-May-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1.   To approve a proposal to authorize the Company to sell or otherwise issue shares of its common stock at a price below its then-current net asset value per share in one or more offerings, in each case subject to the approval of its board of directors and subject to the conditions set forth in the accompanying proxy statement. Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
997AL45 GLV BNP PLEDGE 997AL45 STATE STREET BANK & TRUST CO 37,000   0 04-Apr-2018 18-May-2018
TPG SPECIALTY LENDING, INC.  
Security 87265K102               Meeting Type   Annual
Ticker Symbol TSLX                     Meeting Date   17-May-2018  
ISIN US87265K1025               Agenda   934771317 - Management
Record Date 19-Mar-2018               Holding Recon Date   19-Mar-2018  
City / Country     / United States           Vote Deadline Date   16-May-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1.   DIRECTOR Management                
    1 Richard Higginbotham         For     For    
    2 Ronald Tanemura         For     For    
2.   To ratify the selection of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2018. 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 37,000   0 04-Apr-2018 18-May-2018
AMGEN INC.  
Security 031162100               Meeting Type   Annual
Ticker Symbol AMGN                     Meeting Date   22-May-2018  
ISIN US0311621009               Agenda   934775101 - Management
Record Date 23-Mar-2018               Holding Recon Date   23-Mar-2018  
City / Country     / United States           Vote Deadline Date   21-May-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1a. Election of Director: Dr. Wanda M. Austin Management     For     For    
1b. Election of Director: Mr. Robert A. Bradway Management     For     For    
1c. Election of Director: Dr. Brian J. Druker Management     For     For    
1d. Election of Director: Mr. Robert A. Eckert Management     For     For    
1e. Election of Director: Mr. Greg C. Garland Management     For     For    
1f. Election of Director: Mr. Fred Hassan Management     For     For    
1g. Election of Director: Dr. Rebecca M. Henderson Management     For     For    
1h. Election of Director: Mr. Frank C. Herringer Management     For     For    
1i. Election of Director: Mr. Charles M. Holley, Jr. Management     For     For    
1j. Election of Director: Dr. Tyler Jacks Management     For     For    
1k. Election of Director: Ms. Ellen J. Kullman Management     For     For    
1l. Election of Director: Dr. Ronald D. Sugar Management     For     For    
1m. Election of Director: Dr. R. Sanders Williams Management     For     For    
2.   Advisory vote to approve our executive compensation. Management     For     For    
3.   To ratify the selection of Ernst & Young LLP as our independent registered public accountants for the fiscal year ending December 31, 2018. Management     For     For    
4.   Stockholder proposal for an annual report on the extent to which risks related to public concern over drug pricing strategies are integrated into our executive incentive compensation. 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   4,700 12-Apr-2018 23-May-2018
PING AN INSURANCE (GROUP) COMPANY OF CHINA, LTD.  
Security Y69790106               Meeting Type   Annual General Meeting
Ticker Symbol                 Meeting Date   23-May-2018  
ISIN CNE1000003X6               Agenda   709365577 - Management
Record Date 20-Apr-2018               Holding Recon Date   20-Apr-2018  
City / Country   SHENZH EN / China           Vote Deadline Date   14-May-2018  
SEDOL(s) B01FLR7 - B01NLS2 - B03NP99 - BD8NLC0 - BP3RWZ1           Quick Code      
                                         
Item Proposal     Proposed by   Vote   For/Against Management    
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 898423 DUE TO ADDITION OF- RESOLUTIONS 10 AND 11. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE-DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU Non-Voting                
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW.HKEXNEWS.HK/LISTEDCO/LISTCONEW S/SEHK/2018/0403/LTN201804031156.PDF, Non-Voting                
1   TO CONSIDER AND APPROVE THE REPORT OF THE BOARD OF DIRECTORS OF THE COMPANY FOR THE YEAR 2017 Management     For     For    
2   TO CONSIDER AND APPROVE THE REPORT OF THE SUPERVISORY COMMITTEE OF THE COMPANY FOR THE YEAR 2017 Management     For     For    
3   TO CONSIDER AND APPROVE THE ANNUAL REPORT OF THE COMPANY FOR THE YEAR 2017 AND ITS SUMMARY Management     For     For    
4   TO CONSIDER AND APPROVE THE REPORT OF FINAL ACCOUNTS OF THE COMPANY FOR THE YEAR 2017 INCLUDING THE AUDIT REPORT AND AUDITED FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR 2017 Management     For     For    
5   TO CONSIDER AND APPROVE THE PROFIT DISTRIBUTION PLAN OF THE COMPANY FOR THE YEAR 2017 AND THE PROPOSED DISTRIBUTION OF FINAL DIVIDENDS Management     For     For    
6   TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE APPOINTMENT OF AUDITORS OF THE COMPANY FOR THE YEAR 2018, RE- APPOINTING PRICEWATERHOUSECOOPERS ZHONG TIAN LLP AS THE PRC AUDITOR AND PRICEWATERHOUSECOOPERS AS THE Management     For     For    
  INTERNATIONAL AUDITOR OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING AND AUTHORIZING THE BOARD TO RE-AUTHORIZE THE MANAGEMENT OF THE COMPANY TO FIX THEIR REMUNERATION                      
7.1 TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. MA MINGZHE AS AN EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD Management     For     For    
7.2 TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. SUN JIANYI AS AN EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD Management     For     For    
7.3 TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. REN HUICHUAN AS AN EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD Management     For     For    
7.4 TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. YAO JASON BO AS AN EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD Management     For     For    
7.5 TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. LEE YUANSIONG AS AN EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD Management     For     For    
7.6 TO CONSIDER AND APPROVE THE RE-ELECTION OF MS. CAI FANGFANG AS AN EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD Management     For     For    
7.7 TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. SOOPAKIJ CHEARAVANONT AS A NON- EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD Management     For     For    
7.8 TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. YANG XIAOPING AS A NON-EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD Management     For     For    
7.9 TO CONSIDER AND APPROVE THE ELECTION OF MR. WANG YONGJIAN AS A NON-EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD Management     For     For    
7.10 TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. LIU CHONG AS A NON-EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD Management     For     For    
7.11 TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. YIP DICKY PETER AS AN INDEPENDENT NON- EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD Management     For     For    
7.12 TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. WONG OSCAR SAI HUNG AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD Management     For     For    
7.13 TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. SUN DONGDONG AS AN INDEPENDENT NON- EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD Management     For     For    
7.14 TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. GE MING AS AN INDEPENDENT NON- EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD Management     For     For    
7.15 TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. OUYANG HUI AS AN INDEPENDENT NON- EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD Management     For     For    
8.1 TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. GU LIJI AS AN INDEPENDENT SUPERVISOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 9TH SESSION OF THE SUPERVISORY COMMITTEE Management     For     For    
8.2 TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. HUANG BAOKUI AS AN INDEPENDENT SUPERVISOR OF THE COMPANY TO HOLD NO OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 9TH SESSION OF THE SUPERVISORY COMMITTEE Management     For     For    
8.3 TO CONSIDER AND APPROVE THE RE-ELECTION OF MS. ZHANG WANGJIN AS A SHAREHOLDER REPRESENTATIVE SUPERVISOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 9TH SESSION OF THE SUPERVISORY COMMITTEE Management     For     For    
9   TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE PROPOSED GRANT OF THE GENERAL MANDATE BY THE GENERAL MEETING TO THE BOARD TO ISSUE H SHARES, I.E. THE GRANT OF A GENERAL MANDATE TO THE BOARD TO ALLOT, ISSUE AND DEAL WITH ADDITIONAL H SHARES NOT EXCEEDING 20% OF THE AGGREGATE Management     For     For    
  NOMINAL AMOUNT OF THE H SHARES OF THE COMPANY IN ISSUE, REPRESENTING UP TO LIMIT OF 8.15% OF THE TOTAL NUMBER OF SHARES OF THE COMPANY IN ISSUE, AT A DISCOUNT (IF ANY) OF NO MORE THAN 10% (RATHER THAN 20% AS LIMITED UNDER THE RULES GOVERNING THE LISTING OF SECURITIES ON THE STOCK EXCHANGE OF HONG KONG LIMITED) TO THE BENCHMARK PRICE (AS DEFINED IN THE MATERIALS FOR THE COMPANY'S 2017 ANNUAL GENERAL MEETING) AND AUTHORIZE THE BOARD TO MAKE CORRESPONDING AMENDMENTS TO THE ARTICLES OF ASSOCIATION OF THE COMPANY AS IT THINKS FIT SO AS TO REFLECT THE NEW CAPITAL STRUCTURE UPON THE ALLOTMENT OR ISSUANCE OF H SHARES                      
10   TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE 30TH ANNIVERSARY SPECIAL DIVIDEND OF THE COMPANY Management     For     For    
11   TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE SHANGHAI JAHWA EQUITY INCENTIVE SCHEME Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
AL27 AL27   STATE STREET BANK 89,000   0 01-May-2018 17-May-2018
SERVICE CORPORATION INTERNATIONAL  
Security 817565104               Meeting Type   Annual
Ticker Symbol SCI                     Meeting Date   23-May-2018  
ISIN US8175651046               Agenda   934762142 - Management
Record Date 26-Mar-2018               Holding Recon Date   26-Mar-2018  
City / Country     / United States           Vote Deadline Date   22-May-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1.   DIRECTOR Management                
    1 Anthony L. Coelho         For     For    
    2 Jakki L. Haussler         For     For    
    3 Sara Martinez Tucker         For     For    
    4 Marcus A. Watts         For     For    
    5 Edward E. Williams         For     For    
2.   To approve the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for fiscal year ending December 31, 2018. Management     For     For    
3.   To approve, by advisory vote, named executive officer compensation. Management     For     For    
4.   To approve the declassification of the Board of Directors. Management     For     For    
5.   To approve the elimination of certain supermajority vote requirements in our restated articles of incorporation and bylaws. Management     For     For    
6.   To approve the reduction of the supermajority vote requirement to approve business combinations with interested shareholders. Management     For     For    
7.   To approve the shareholder proposal to require independent board chairman. 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   14,500 13-Apr-2018 24-May-2018
MORGAN STANLEY  
Security 617446448               Meeting Type   Annual
Ticker Symbol MS                      Meeting Date   24-May-2018  
ISIN US6174464486               Agenda   934776901 - Management
Record Date 26-Mar-2018               Holding Recon Date   26-Mar-2018  
City / Country     / United States           Vote Deadline Date   23-May-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1a. Election of Director: Elizabeth Corley Management     For     For    
1b. Election of Director: Alistair Darling Management     For     For    
1c. Election of Director: Thomas H. Glocer Management     For     For    
1d. Election of Director: James P. Gorman Management     For     For    
1e. Election of Director: Robert H. Herz Management     For     For    
1f. Election of Director: Nobuyuki Hirano Management     For     For    
1g. Election of Director: Jami Miscik Management     For     For    
1h. Election of Director: Dennis M. Nally Management     For     For    
1i. Election of Director: Hutham S. Olayan Management     For     For    
1j. Election of Director: Ryosuke Tamakoshi Management     For     For    
1k. Election of Director: Perry M. Traquina Management     For     For    
1l. Election of Director: Rayford Wilkins, Jr. Management     For     For    
2.   To ratify the appointment of Deloitte & Touche LLP as independent auditor Management     For     For    
3.   To approve the compensation of executives as disclosed in the proxy statement (non-binding advisory vote) Management     For     For    
4.   Shareholder proposal regarding a policy to prohibit vesting of deferred equity awards for senior executives who resign to enter government service 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 7,700   0 07-Apr-2018 25-May-2018
997AL60 GLV MS PLEDGE 997AL60 STATE STREET BANK & TRUST CO 1,600   0 07-Apr-2018 25-May-2018
GLOBAL MEDICAL REIT INC.  
Security 37954A204               Meeting Type   Annual
Ticker Symbol GMRE                     Meeting Date   30-May-2018  
ISIN US37954A2042               Agenda   934794048 - Management
Record Date 04-Apr-2018               Holding Recon Date   04-Apr-2018  
City / Country     / United States           Vote Deadline Date   29-May-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1.   DIRECTOR Management                
    1 Jeffrey Busch         For     For    
    2 Henry Cole         For     For    
    3 Matthew L. Cypher, Ph.D         For     For    
    4 Zhang Jingguo         For     For    
    5 Ronald Marston         For     For    
    6 Dr. Roscoe Moore         For     For    
    7 Zhang Huiqi         For     For    
    8 Lori Beth Wittman         For     For    
2.   Advisory vote to approve the compensation of the Company's named executive officers. Management     For     For    
3.   Advisory vote on the frequency of the advisory vote on the compensation of the Company's named executive officers. Management     3 Years     Against    
4.   To ratify the appointment of MaloneBailey, LLP as the Company's independent registered public accounting firm for the year ending December 31, 2018. 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 77,000   0 21-Apr-2018 31-May-2018
LIBERTY ALL-STAR EQUITY FUND  
Security 530158104               Meeting Type   Special
Ticker Symbol USA                     Meeting Date   31-May-2018  
ISIN US5301581048               Agenda   934799620 - Management
Record Date 02-Mar-2018               Holding Recon Date   02-Mar-2018  
City / Country     / United States           Vote Deadline Date   30-May-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1.   To approve new fund management agreements between each Fund and ALPS Advisors. Management     For     For    
2c. To approve new portfolio management agreements among each Fund, ALPS Advisors and each of the current portfolio managers of the Funds, as follows: Sustainable Growth Advisers, LP Management     For     For    
2d. To approve new portfolio management agreements among each Fund, ALPS Advisors and each of the current portfolio managers of the Funds, as follows: Aristotle Capital Management, LLC Management     For     For    
2e. To approve new portfolio management agreements: Macquarie Investment Management Management     For     For    
2f. To approve new portfolio management agreements among each Fund, ALPS Advisors and each of the current portfolio managers of the Funds, as follows: Pzena Investment Management, LLC Management     For     For    
2g. To approve new portfolio management agreements among each Fund, ALPS Advisors and each of the current portfolio managers of the Funds, as follows: TCW Investment Management Company Management     For     For    
3.   To approve a new portfolio management agreement among each Fund, ALPS Advisors and Sustainable Growth Advisers, LP, a current portfolio manager of the Funds. 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 63,200   0 21-Apr-2018 01-Jun-2018
LADDER CAPITAL CORP  
Security 505743104               Meeting Type   Annual
Ticker Symbol LADR                     Meeting Date   05-Jun-2018  
ISIN US5057431042               Agenda   934787497 - Management
Record Date 09-Apr-2018               Holding Recon Date   09-Apr-2018  
City / Country     / United States           Vote Deadline Date   04-Jun-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1.   Reelection of Douglas Durst to the Board of Directors. Management     For     For    
2.   Ratification of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2018. Management     For     For    
3.   Approval of a non-binding, advisory resolution to approve our executive compensation ("Say on Pay"). Management     For     For    
4.   Approval of a non-binding, advisory resolution on the frequency of future advisory stockholder votes to approve executive compensation ("Say on Frequency"). Management     3 Years     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 49,218   0 27-Apr-2018 06-Jun-2018
COGNIZANT TECHNOLOGY SOLUTIONS CORP.  
Security 192446102               Meeting Type   Annual
Ticker Symbol CTSH                     Meeting Date   05-Jun-2018  
ISIN US1924461023               Agenda   934795141 - Management
Record Date 09-Apr-2018               Holding Recon Date   09-Apr-2018  
City / Country     / United States           Vote Deadline Date   04-Jun-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1a. Election of Director: Zein Abdalla Management     For     For    
1b. Election of Director: Betsy S. Atkins Management     For     For    
1c. Election of Director: Maureen Breakiron-Evans Management     For     For    
1d. Election of Director: Jonathan Chadwick Management     For     For    
1e. Election of Director: John M. Dineen Management     For     For    
1f. Election of Director: Francisco D'Souza Management     For     For    
1g. Election of Director: John N. Fox, Jr. Management     For     For    
1h. Election of Director: John E. Klein Management     For     For    
1i. Election of Director: Leo S. Mackay, Jr. Management     For     For    
1j. Election of Director: Michael Patsalos-Fox Management     For     For    
1k. Election of Director: Joseph M. Velli Management     For     For    
2.   Approve, on an advisory (non-binding) basis, the compensation of the Company's named executive officers. Management     For     For    
3.   Ratify the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the year ending December 31, 2018. Management     For     For    
4.   Approve an amendment and restatement of the Company's 2004 Employee Stock Purchase Plan. Management     For     For    
5a. Approve the proposal to eliminate the supermajority voting requirements in the Company's Certificate of Incorporation with respect to: Amending the Company's By-laws. Management     For     For    
5b. Approve the proposal to eliminate the supermajority voting requirements in the Company's Certificate of Incorporation with respect to: Removing directors. Management     For     For    
5c. Approve the proposal to eliminate the supermajority voting requirements in the Company's Certificate of Incorporation with respect to: Amending certain provisions of the Company's Certificate of Incorporation. Management     For     For    
6.   Stockholder proposal requesting that the Board of Directors take the steps necessary to permit stockholder action by written consent. Shareholder     Against     For    
7.   Stockholder proposal requesting that the Board of Directors take the steps necessary to lower the ownership threshold for stockholders to call a special meeting. Shareholder     Against     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
997AL45 GLV BNP PLEDGE 997AL45 STATE STREET BANK & TRUST CO 900   1,300 21-Apr-2018 06-Jun-2018
997AL60 GLV MS PLEDGE 997AL60 STATE STREET BANK & TRUST CO 3,000   0 21-Apr-2018 06-Jun-2018
CHINA LIFE INSURANCE COMPANY LIMITED  
Security Y1477R204               Meeting Type   Annual General Meeting
Ticker Symbol                 Meeting Date   06-Jun-2018  
ISIN CNE1000002L3               Agenda   709513914 - Management
Record Date 04-May-2018               Holding Recon Date   04-May-2018  
City / Country   BEIJING / China           Vote Deadline Date   31-May-2018  
SEDOL(s) 6718976 - B02W3K4 - B06KKF8 - BD8NLW0 - BP3RS75           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/LISTCONEW S/SEHK/2018/0411/LTN20180411439.PDF,- HTTP://WWW.HKEXNEWS.HK/LISTEDCO/LISTCONEW S/SEHK/2018/0517/LTN20180517255.PDF-AND- HTTP://WWW.HKEXNEWS.HK/LISTEDCO/LISTCONEW S/SEHK/2018/0517/LTN20180517251.PDF Non-Voting                
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 899818 DUE TO ADDITION OF- RESOLUTION 23. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED-AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU Non-Voting                
1   TO CONSIDER AND APPROVE THE REPORT OF THE BOARD OF DIRECTORS OF THE COMPANY FOR THE YEAR 2017 Management     For     For    
2   TO CONSIDER AND APPROVE THE REPORT OF THE SUPERVISORY COMMITTEE OF THE COMPANY FOR THE YEAR 2017 Management     For     For    
3   TO CONSIDER AND APPROVE THE FINANCIAL REPORT OF THE COMPANY FOR THE YEAR 2017 Management     For     For    
4   TO CONSIDER AND APPROVE THE PROFIT DISTRIBUTION PLAN OF THE COMPANY FOR THE YEAR 2017: FINAL DIVIDEND OF RMB0.40 PER SHARE Management     For     For    
5   TO CONSIDER AND APPROVE THE REMUNERATION OF THE DIRECTORS AND SUPERVISORS OF THE COMPANY Management     For     For    
6   TO CONSIDER AND APPROVE THE ELECTION OF MR. YANG MINGSHENG AS AN EXECUTIVE DIRECTOR OF THE SIXTH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY Management     For     For    
7   TO CONSIDER AND APPROVE THE ELECTION OF MR. LIN DAIREN AS AN EXECUTIVE DIRECTOR OF THE SIXTH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY Management     For     For    
8   TO CONSIDER AND APPROVE THE ELECTION OF MR. XU HENGPING AS AN EXECUTIVE DIRECTOR OF THE SIXTH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY Management     For     For    
9   TO CONSIDER AND APPROVE THE ELECTION OF MR. XU HAIFENG AS AN EXECUTIVE DIRECTOR OF THE SIXTH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY Management     For     For    
10   TO CONSIDER AND APPROVE THE ELECTION OF MR. YUAN CHANGQING AS A NON-EXECUTIVE DIRECTOR OF THE SIXTH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY Management     For     For    
11   TO CONSIDER AND APPROVE THE ELECTION OF MR. LIU HUIMIN AS A NON-EXECUTIVE DIRECTOR OF THE SIXTH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY Management     For     For    
12   TO CONSIDER AND APPROVE THE ELECTION OF MR. YIN ZHAOJUN AS A NON-EXECUTIVE DIRECTOR OF THE SIXTH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY Management     For     For    
13   TO CONSIDER AND APPROVE THE ELECTION OF MR. SU HENGXUAN AS A NON-EXECUTIVE DIRECTOR OF THE SIXTH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY Management     For     For    
14   TO CONSIDER AND APPROVE THE ELECTION OF MR. CHANG TSO TUNG STEPHEN AS AN INDEPENDENT DIRECTOR OF THE SIXTH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY Management     For     For    
15   TO CONSIDER AND APPROVE THE ELECTION OF MR. ROBINSON DRAKE PIKE AS AN INDEPENDENT DIRECTOR OF THE SIXTH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY Management     For     For    
16   TO CONSIDER AND APPROVE THE ELECTION OF MR. TANG XIN AS AN INDEPENDENT DIRECTOR OF THE SIXTH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY Management     For     For    
17   TO CONSIDER AND APPROVE THE ELECTION OF MS. LEUNG OI-SIE ELSIE AS AN INDEPENDENT DIRECTOR OF THE SIXTH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY Management     For     For    
18   TO CONSIDER AND APPROVE THE ELECTION OF MR. JIA YUZENG AS A NON-EMPLOYEE REPRESENTATIVE SUPERVISOR OF THE SIXTH SESSION OF THE SUPERVISORY COMMITTEE OF THE COMPANY Management     For     For    
19   TO CONSIDER AND APPROVE THE ELECTION OF MR. SHI XIANGMING AS A NON-EMPLOYEE REPRESENTATIVE SUPERVISOR OF THE SIXTH SESSION OF THE SUPERVISORY COMMITTEE OF THE COMPANY Management     For     For    
20   TO CONSIDER AND APPROVE THE ELECTION OF MR. LUO ZHAOHUI AS A NON-EMPLOYEE REPRESENTATIVE SUPERVISOR OF THE SIXTH SESSION OF THE SUPERVISORY COMMITTEE OF THE COMPANY Management     For     For    
21   TO CONSIDER AND APPROVE THE REMUNERATION OF AUDITORS OF THE COMPANY FOR THE YEAR 2017 AND THE APPOINTMENT OF AUDITORS OF THE COMPANY FOR THE YEAR 2018: ERNST & YOUNG HUA MING LLP Management     For     For    
22   TO GRANT A GENERAL MANDATE TO THE BOARD OF DIRECTORS OF THE COMPANY TO ALLOT, ISSUE AND DEAL WITH NEW H SHARES OF THE COMPANY OF AN AMOUNT OF NOT MORE THAN 20% OF THE H SHARES IN ISSUE AS AT THE DATE OF PASSING OF THIS SPECIAL RESOLUTION Management     For     For    
23   TO CONSIDER AND APPROVE THE ENTRUSTED INVESTMENT AND MANAGEMENT AGREEMENT FOR ALTERNATIVE INVESTMENTS WITH INSURANCE FUNDS PROPOSED TO BE ENTERED INTO BETWEEN THE COMPANY AND CHINA LIFE INVESTMENT HOLDING COMPANY LIMITED, THE TRANSACTIONS CONTEMPLATED THEREUNDER AND THE ANNUAL CAPS FOR THE THREE YEARS ENDING 31 DECEMBER 2021 RELATING THERETO Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
AL27 AL27   STATE STREET BANK 306,000   0 18-May-2018 01-Jun-2018
LONGFOR PROPERTIES CO. LTD.  
Security G5635P109               Meeting Type   Annual General Meeting
Ticker Symbol                 Meeting Date   08-Jun-2018  
ISIN KYG5635P1090               Agenda   709344256 - Management
Record Date 04-Jun-2018               Holding Recon Date   04-Jun-2018  
City / Country   HONG KONG / Cayman Islands           Vote Deadline Date   01-Jun-2018  
SEDOL(s) B42PLN0 - B56KLY9 - BD8NH77 - BP3RW84 - BZ77XY3           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/LISTCONEW S/SEHK/2018/0425/LTN201804251203.PDF-AND- HTTP://WWW.HKEXNEWS.HK/LISTEDCO/LISTCONEW S/SEHK/2018/0425/LTN201804251230.PDF Non-Voting                
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR- ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING Non-Voting                
1   TO RECEIVE AND CONSIDER THE AUDITED CONSOLIDATED FINANCIAL STATEMENTS AND THE REPORT OF THE DIRECTORS AND THE INDEPENDENT AUDITOR'S REPORT FOR THE YEAR ENDED 31 DECEMBER 2017 Management     For     For    
2.A TO DECLARE A FINAL DIVIDEND OF RMB0.473 PER SHARE FOR THE YEAR ENDED 31 DECEMBER 2017 Management     For     For    
2.B TO DECLARE A SPECIAL DIVIDEND OF RMB0.085 PER SHARE FOR THE 25TH ANNIVERSARY OF THE COMPANY Management     For     For    
3.1 TO RE-ELECT MR. ZHAO YI AS DIRECTOR Management     For     For    
3.2 TO RE-ELECT MR. FREDERICK PETER CHURCHOUSE AS DIRECTOR Management     For     For    
3.3 TO RE-ELECT MR. CHAN CHI ON, DEREK AS DIRECTOR Management     For     For    
3.4 TO AUTHORISE THE BOARD OF DIRECTORS TO FIX THE DIRECTORS' REMUNERATION Management     For     For    
4   TO RE-APPOINT DELOITTE TOUCHE TOHMATSU AS AUDITORS AND TO AUTHORISE THE BOARD OF DIRECTORS TO FIX THE AUDITORS' REMUNERATION Management     For     For    
5   TO GIVE A GENERAL MANDATE TO THE DIRECTORS TO ISSUE NEW SHARES OF THE COMPANY Management     For     For    
6   TO GIVE A GENERAL MANDATE TO THE DIRECTORS TO REPURCHASE SHARES OF THE COMPANY Management     For     For    
7   TO EXTEND THE GENERAL MANDATE TO BE GIVEN TO THE DIRECTORS TO ISSUE SHARES Management     For     For    
8   THAT SUBJECT TO AND CONDITIONAL UPON THE APPROVAL OF THE REGISTRAR OF COMPANIES IN THE CAYMAN ISLANDS, THE ENGLISH NAME OF THE COMPANY BE CHANGED FROM "LONGFOR PROPERTIES CO. LTD." TO "LONGFOR GROUP HOLDINGS LIMITED" AND THE DUAL FOREIGN NAME IN CHINESE OF THE COMPANY BE CHANGED FROM ( AS SPECIFIED ) TO (AS SPECIFIED ) (THE "CHANGE OF COMPANY NAME") WITH EFFECT FROM THE DATE ON WHICH THE CERTIFICATE OF INCORPORATION ON CHANGE OF NAME IS ISSUED BY THE REGISTRAR OF COMPANIES IN THE CAYMAN ISLANDS, AND THAT ANY ONE OR MORE OF THE DIRECTORS OR THE COMPANY SECRETARY OF THE COMPANY BE AND ARE HEREBY AUTHORISED TO DO ALL SUCH ACTS, DEEDS AND THINGS AND EXECUTE ALL DOCUMENTS AS HE/SHE/THEY CONSIDER NECESSARY, DESIRABLE OR EXPEDIENT TO IMPLEMENT AND/OR GIVE EFFECT TO THE CHANGE OF COMPANY NAME AND THE RELATED CHANGE OF THE ENGLISH AND CHINESE STOCK SHORT NAMES FOR TRADING IN THE SHARES OF THE COMPANY AND TO ATTEND TO ANY NECESSARY REGISTRATION AND/OR FILING FOR AND ON BEHALF OF THE COMPANY Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
AL27 AL27   STATE STREET BANK 260,500   0 27-Apr-2018 04-Jun-2018
KEYENCE CORPORATION  
Security J32491102               Meeting Type   Annual General Meeting
Ticker Symbol                 Meeting Date   13-Jun-2018  
ISIN JP3236200006               Agenda   709542953 - Management
Record Date 20-Mar-2018               Holding Recon Date   20-Mar-2018  
City / Country   OSAKA / Japan           Vote Deadline Date   05-Jun-2018  
SEDOL(s) 5998735 - 6490995 - B02HPZ8           Quick Code   68610      
                                         
Item Proposal     Proposed by   Vote   For/Against Management    
1   Approve Appropriation of Surplus Management     For     For    
2.1 Appoint a Director Takizaki, Takemitsu Management     For     For    
2.2 Appoint a Director Yamamoto, Akinori Management     For     For    
2.3 Appoint a Director Kimura, Keiichi Management     For     For    
2.4 Appoint a Director Ideno, Tomohide Management     For     For    
2.5 Appoint a Director Yamaguchi, Akiji Management     For     For    
2.6 Appoint a Director Miki, Masayuki Management     For     For    
2.7 Appoint a Director Kanzawa, Akira Management     For     For    
2.8 Appoint a Director Fujimoto, Masato Management     For     For    
2.9 Appoint a Director Tanabe, Yoichi Management     For     For    
3   Appoint a Substitute Corporate Auditor Yamamoto, Masaharu Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
AL27 AL27   STATE STREET BANK 1,400   0 26-May-2018 05-Jun-2018
MONOLITHIC POWER SYSTEMS, INC.  
Security 609839105               Meeting Type   Annual
Ticker Symbol MPWR                     Meeting Date   14-Jun-2018  
ISIN US6098391054               Agenda   934810575 - Management
Record Date 17-Apr-2018               Holding Recon Date   17-Apr-2018  
City / Country     / United States           Vote Deadline Date   13-Jun-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1.   DIRECTOR Management                
    1 Eugen Elmiger         For     For    
    2 Jeff Zhou         For     For    
2.   Ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2018. Management     For     For    
3.   Approve, on an advisory basis, the 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 6,600   0 05-May-2018 15-Jun-2018
997AL60 GLV MS PLEDGE 997AL60 STATE STREET BANK & TRUST CO 1,000   0 05-May-2018 15-Jun-2018
BLACKSTONE MORTGAGE TRUST, INC  
Security 09257W100               Meeting Type   Annual
Ticker Symbol BXMT                     Meeting Date   20-Jun-2018  
ISIN US09257W1009               Agenda   934800079 - Management
Record Date 13-Apr-2018               Holding Recon Date   13-Apr-2018  
City / Country     / United States           Vote Deadline Date   19-Jun-2018  
SEDOL(s)             Quick Code      
Item Proposal     Proposed by   Vote   For/Against Management    
1.   DIRECTOR Management                
    1 Michael B. Nash         For     For    
    2 Stephen D. Plavin         For     For    
    3 Leonard W. Cotton         For     For    
    4 Thomas E. Dobrowski         For     For    
    5 Martin L. Edelman         For     For    
    6 Henry N. Nassau         For     For    
    7 Jonathan L. Pollack         For     For    
    8 Lynne B. Sagalyn         For     For    
2.   Ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2018. Management     For     For    
3.   Advisory Vote on Executive Compensation: To approve in a non-binding, advisory vote, the compensation paid to our named executive officers. Management     For     For    
4.   Approve the Blackstone Mortgage Trust, Inc. 2018 Stock Incentive Plan. Management     For     For    
5.   Approve the Blackstone Mortgage Trust, Inc. 2018 Manager Incentive 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 84,700   0 24-Apr-2018 21-Jun-2018
997AL60 GLV MS PLEDGE 997AL60 STATE STREET BANK & TRUST CO 5,000   0 24-Apr-2018 21-Jun-2018
POSTAL SAVINGS BANK OF CHINA CO., LTD.  
Security ADPV37746               Meeting Type   Annual General Meeting
Ticker Symbol                 Meeting Date   28-Jun-2018  
ISIN CNE1000029W3               Agenda   709483995 - Management
Record Date 28-May-2018               Holding Recon Date   28-May-2018  
City / Country   BEIJING / China           Vote Deadline Date   22-Jun-2018  
SEDOL(s)             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/2018/ 0514/LTN20180514043.pdf-AND- http://www.hkexnews.hk/listedco/listconews/SEHK/2018/ 0514/LTN20180514033.pdf Non-Voting                
1   TO CONSIDER AND APPROVE THE 2017 WORK REPORT OF THE BOARD OF DIRECTORS Management     For     For    
2   TO CONSIDER AND APPROVE THE 2017 WORK REPORT OF THE BOARD OF SUPERVISORS Management     For     For    
3   TO CONSIDER AND APPROVE THE FINAL FINANCIAL ACCOUNTS FOR 2017 Management     For     For    
4   TO CONSIDER AND APPROVE THE PROFIT DISTRIBUTION PLAN FOR 2017: RMB1.471 PER TEN SHARES (TAX INCLUSIVE). Management     For     For    
5   TO CONSIDER AND APPROVE THE BUDGET PLAN OF FIXED ASSETS INVESTMENT FOR 2018 Management     For     For    
6   TO CONSIDER AND APPROVE THE APPOINTMENT OF ACCOUNTING FIRMS FOR 2018 Management     For     For    
7   TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. LI GUOHUA AS A NON-EXECUTIVE DIRECTOR Management     For     For    
8   TO CONSIDER AND APPROVE REMUNERATION SETTLEMENT PLAN FOR DIRECTORS AND SUPERVISORS FOR 2016 Management     For     For    
9   TO CONSIDER AND APPROVE THE GENERAL MANDATE BY THE SHAREHOLDERS' MEETING TO THE BOARD OF DIRECTORS ON SHARE ISSUANCE Management     For     For    
10   TO CONSIDER AND APPROVE THE EXTENSION OF THE VALID PERIOD OF THE PLAN FOR INITIAL PUBLIC OFFERING AND LISTING OF A SHARES Management     For     For    
11   TO CONSIDER AND APPROVE THE EXTENSION OF THE VALID PERIOD OF THE AUTHORIZATION TO DEAL WITH SPECIFIC MATTERS IN RESPECT OF INITIAL PUBLIC OFFERING AND LISTING OF A SHARES Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
AL27 AL27   STATE STREET BANK 1,676,000   0 15-May-2018 25-Jun-2018
POSTAL SAVINGS BANK OF CHINA CO., LTD.  
Security ADPV37746               Meeting Type   Class Meeting
Ticker Symbol                 Meeting Date   28-Jun-2018  
ISIN CNE1000029W3               Agenda   709484000 - Management
Record Date 28-May-2018               Holding Recon Date   28-May-2018  
City / Country   BEIJING / China           Vote Deadline Date   22-Jun-2018  
SEDOL(s)             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/LISTCONEW S/SEHK/2018/0514/LTN20180514039.PDF-AND- HTTP://WWW.HKEXNEWS.HK/LISTEDCO/LISTCONEW S/SEHK/2018/0514/LTN20180514049.PDF Non-Voting                
1   TO CONSIDER AND APPROVE THE EXTENSION OF THE VALID PERIOD OF THE PLAN FOR INITIAL PUBLIC OFFERING AND LISTING OF A SHARES Management     For     For    
2   TO CONSIDER AND APPROVE THE EXTENSION OF THE VALID PERIOD OF THE AUTHORIZATION TO DEAL WITH SPECIFIC MATTERS IN RESPECT OF INITIAL PUBLIC OFFERING AND LISTING OF A SHARES Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
AL27 AL27   STATE STREET BANK 1,676,000   0 15-May-2018 25-Jun-2018
PANASONIC CORPORATION  
Security J6354Y104               Meeting Type   Annual General Meeting
Ticker Symbol                 Meeting Date   28-Jun-2018  
ISIN JP3866800000               Agenda   709579378 - Management
Record Date 31-Mar-2018               Holding Recon Date   31-Mar-2018  
City / Country   OSAKA / Japan           Vote Deadline Date   20-Jun-2018  
SEDOL(s) 4572431 - 4572851 - 5485323 - 6572707 - B02HTD4 - B125TL3 - BJ04QS4           Quick Code   67520      
                                         
Item Proposal     Proposed by   Vote   For/Against Management    
  Please reference meeting materials. Non-Voting                
1.1 Appoint a Director Nagae, Shusaku Management     For     For    
1.2 Appoint a Director Matsushita, Masayuki Management     For     For    
1.3 Appoint a Director Tsuga, Kazuhiro Management     For     For    
1.4 Appoint a Director Ito, Yoshio Management     For     For    
1.5 Appoint a Director Sato, Mototsugu Management     For     For    
1.6 Appoint a Director Higuchi, Yasuyuki Management     For     For    
1.7 Appoint a Director Oku, Masayuki Management     For     For    
1.8 Appoint a Director Tsutsui, Yoshinobu Management     For     For    
1.9 Appoint a Director Ota, Hiroko Management     For     For    
1.10 Appoint a Director Toyama, Kazuhiko Management     For     For    
1.11 Appoint a Director Umeda, Hirokazu Management     For     For    
1.12 Appoint a Director Laurence W. Bates Management     For     For    
2.1 Appoint a Corporate Auditor Sato, Yoshio Management     For     For    
2.2 Appoint a Corporate Auditor Kinoshita, Toshio Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
AL27 AL27   STATE STREET BANK 93,700   0 04-Jun-2018 27-Jun-2018
NINTENDO CO.,LTD.  
Security J51699106               Meeting Type   Annual General Meeting
Ticker Symbol                 Meeting Date   28-Jun-2018  
ISIN JP3756600007               Agenda   709587060 - Management
Record Date 31-Mar-2018               Holding Recon Date   31-Mar-2018  
City / Country   KYOTO / Japan           Vote Deadline Date   20-Jun-2018  
SEDOL(s) 5334209 - 6639550 - B02JMD1 - B0ZGTW7 - BDSCVX8 - BRTM8H8           Quick Code   79740      
                                         
Item Proposal     Proposed by   Vote   For/Against Management    
  Please reference meeting materials. Non-Voting                
1   Approve Appropriation of Surplus Management     For     For    
2.1 Appoint a Director except as Supervisory Committee Members Miyamoto, Shigeru Management     For     For    
2.2 Appoint a Director except as Supervisory Committee Members Takahashi, Shinya Management     For     For    
2.3 Appoint a Director except as Supervisory Committee Members Furukawa, Shuntaro Management     For     For    
2.4 Appoint a Director except as Supervisory Committee Members Shiota, Ko Management     For     For    
2.5 Appoint a Director except as Supervisory Committee Members Shibata, Satoru Management     For     For    
3.1 Appoint a Director as Supervisory Committee Members Noguchi, Naoki Management     For     For    
3.2 Appoint a Director as Supervisory Committee Members Mizutani, Naoki Management     For     For    
3.3 Appoint a Director as Supervisory Committee Members Umeyama, Katsuhiro Management     For     For    
3.4 Appoint a Director as Supervisory Committee Members Yamazaki, Masao Management     For     For    
                                         
Account Number Account Name Internal Account Custodian Ballot Shares   Unavailable Shares Vote Date Date Confirmed
AL27 AL27   STATE STREET BANK 1,206   0 06-Jun-2018 27-Jun-2018

 

 

 

 SIGNATURE

 

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

 

  Clough Dividend and Income Fund  
       
  By: /s/ Edmund J. Burke  
    Edmund J. Burke  
    President  
       
  Date: August 17, 2018