N-PX 1 d438566dnpx.htm IVY NEXTSHARES Ivy NextShares

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington DC 20549

FORM N-PX

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED

MANAGEMENT INVESTMENT COMPANY

Investment Company Act file number 811-23155

IVY NEXTSHARES

(Exact Name as Specified in Charter)

6300 Lamar Avenue, Overland Park, Kansas 66202-4200

(Address of Principal Executive Office) (Zip Code)

Philip A. Shipp, 6300 Lamar Avenue, Overland Park, Kansas 66202-4200

(Name and Address of Agent for Service)

Registrant’s Telephone Number, including Area Code: (913) 236-2000

Date of fiscal year end: June 30

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


IVY ENERGY NEXTSHARES

Proxy Voting Record

Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

Diamondback Energy, Inc.

 

Meeting Date:   12/07/2016   Country:    USA   Primary Security ID:   25278X109
Record Date:   11/11/2016   Meeting Type:    Special   Ticker:   FANG
    Shares Voted:    540    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1    Increase Authorized Common Stock    Mgmt    For    For    For

Enbridge Inc.

 

Meeting Date:   12/15/2016   Country:    Canada   Primary Security ID:   29250N105
Record Date:   11/07/2016   Meeting Type:    Special   Ticker:   ENB
    Shares Voted:    330    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1    Issue Shares in Connection with the Merger    Mgmt    For    Refer    For
2    Amend By-Law No.1    Mgmt    For    Refer    For

RSP Permian, Inc.

 

Meeting Date:   02/24/2017   Country:    USA   Primary Security ID:   74978Q105
Record Date:   01/19/2017   Meeting Type:    Special   Ticker:   RSPP
    Shares Voted:    4,421    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1    Issue Shares in Connection with Acquisition    Mgmt    For    Refer    For
2    Adjourn Meeting    Mgmt    For    Refer    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

Schlumberger Limited

 

Meeting Date:   04/05/2017   Country:    Curacao   Primary Security ID:   806857108
Record Date:   02/15/2017   Meeting Type:    Annual   Ticker:   SLB
    Shares Voted:    4,642    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Peter L.S. Currie    Mgmt    For    For    For
1b    Elect Director Miguel M. Galuccio    Mgmt    For    For    For
1c    Elect Director V. Maureen Kempston Darkes    Mgmt    For    For    For
1d    Elect Director Paal Kibsgaard    Mgmt    For    For    For
1e    Elect Director Nikolay Kudryavtsev    Mgmt    For    For    For
1f    Elect Director Helge Lund    Mgmt    For    For    For
1g    Elect Director Michael E. Marks    Mgmt    For    For    For
1h    Elect Director Indra K. Nooyi    Mgmt    For    For    For
1i    Elect Director Lubna S. Olayan    Mgmt    For    For    For
1j    Elect Director Leo Rafael Reif    Mgmt    For    For    For
1k    Elect Director Tore I. Sandvold    Mgmt    For    For    For
1l    Elect Director Henri Seydoux    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
4    Adopt and Approve Financials and Dividends    Mgmt    For    For    For
5    Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For
6    Approve Omnibus Stock Plan    Mgmt    For    Refer    For
7    Amend Employee Stock Purchase Plan    Mgmt    For    For    For

Patterson-UTI Energy, Inc.

 

Meeting Date:

  04/20/2017   Country:    USA   Primary Security ID:   703481101
Record Date:   02/22/2017   Meeting Type:    Special   Ticker:   PTEN
    Shares Voted:    9,398    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1    Issue Shares in Connection with Merger    Mgmt    For    Refer    For
2    Adjourn Meeting    Mgmt    For    Refer    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

Flotek Industries, Inc.

 

Meeting Date:   04/21/2017   Country:    USA   Primary Security ID:   343389102
Record Date:   03/02/2017   Meeting Type:    Annual   Ticker:   FTK
    Shares Voted:    10,172    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Michelle M. Adams    Mgmt    For    For    For
1.2    Elect Director Ted D. Brown    Mgmt    For    For    For
1.3    Elect Director John W. Chisholm    Mgmt    For    For    For
1.4    Elect Director L. Melvin Cooper    Mgmt    For    For    For
1.5    Elect Director Carla S. Hardy    Mgmt    For    For    For
1.6    Elect Director Kenneth T. Hern    Mgmt    For    For    For
1.7    Elect Director L.V. ‘Bud’ McGuire    Mgmt    For    For    For
1.8    Elect Director John S. Reiland    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Ratify Hein & Associates LLP as Auditors    Mgmt    For    For    For

RPC, Inc.

 

Meeting Date:   04/25/2017   Country:    USA   Primary Security ID:   749660106
Record Date:   02/28/2017   Meeting Type:    Annual   Ticker:   RES
    Shares Voted:    14,093    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director R. Randall Rollins    Mgmt    For    Refer    For
1.2    Elect Director Henry B. Tippie    Mgmt    For    Refer    Withhold
1.3    Elect Director James B. Williams    Mgmt    For    Refer    Withhold
2    Ratify Grant Thornton LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Advisory Vote on Say on Pay Frequency    Mgmt    Three Years    Three Years    Three Years


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

Energy Transfer Partners L.P.

 

Meeting Date:   04/26/2017   Country:    USA   Primary Security ID:   29273R109
Record Date:   02/27/2017   Meeting Type:    Special   Ticker:   ETP
    Shares Voted:    1,564    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1    Approve Merger Agreement    Mgmt    For    Refer    For
2    Adjourn Meeting    Mgmt    For    Refer    For
3    Advisory Vote on Golden Parachutes    Mgmt    For    Refer    For

Marathon Petroleum Corporation

 

Meeting Date:   04/26/2017   Country:    USA   Primary Security ID:   56585A102
Record Date:   02/27/2017   Meeting Type:    Annual   Ticker:   MPC
    Shares Voted:    1,799    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Steven A. Davis    Mgmt    For    For    For
1b    Elect Director Gary R. Heminger    Mgmt    For    For    For
1c    Elect Director J. Michael Stice    Mgmt    For    For    For
1d    Elect Director John P. Surma    Mgmt    For    For    For
2    Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Amend Omnibus Stock Plan    Mgmt    For    Refer    For
5    Report on Environmental and Human Rights Due Diligence    SH    Against    Refer    Against
6    Report on Strategy for Aligning with 2 Degree Scenario    SH    Against    Refer    Against
7    Adopt Simple Majority Vote    SH    Against    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

Baker Hughes Incorporated

 

Meeting Date:   04/27/2017   Country:    USA   Primary Security ID:   057224107
Record Date:   03/03/2017   Meeting Type:    Annual   Ticker:   BHI
    Shares Voted:    5,087    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Gregory D. Brenneman    Mgmt    For    For    For
1b    Elect Director Clarence P. Cazalot, Jr.    Mgmt    For    For    For
1c    Elect Director Martin S. Craighead    Mgmt    For    For    For
1d    Elect Director William H. Easter, III    Mgmt    For    For    For
1e    Elect Director Lynn L. Elsenhans    Mgmt    For    For    For
1f    Elect Director Anthony G. Fernandes    Mgmt    For    For    For
1g    Elect Director Claire W. Gargalli    Mgmt    For    For    For
1h    Elect Director Pierre H. Jungels    Mgmt    For    For    For
1i    Elect Director James A. Lash    Mgmt    For    For    For
1j    Elect Director J. Larry Nichols    Mgmt    For    For    For
1k    Elect Director James W. Stewart    Mgmt    For    For    For
1l    Elect Director Charles L. Watson    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
4    Ratify Deloitte & Touche LLP as Auditors    Mgmt    For    For    For
5    Provide Vote Counting to Exclude Abstentions    SH    Against    For    For

EOG Resources, Inc.

 

Meeting Date:   04/27/2017   Country:    USA   Primary Security ID:   26875P101
Record Date:   02/27/2017   Meeting Type:    Annual   Ticker:   EOG
    Shares Voted:    3,271    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Janet F. Clark    Mgmt    For    For    For
1b    Elect Director Charles R. Crisp    Mgmt    For    For    For
1c    Elect Director Robert P. Daniels    Mgmt    For    For    For
1d    Elect Director James C. Day    Mgmt    For    For    For
1e    Elect Director Donald F. Textor    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

EOG Resources, Inc.

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1f    Elect Director William R. Thomas    Mgmt    For    For    For
1g    Elect Director Frank G. Wisner    Mgmt    For    For    For
2    Ratify Deloitte & Touche LLP as Auditors    Mgmt    For    For    For
3    Increase Authorized Common Stock    Mgmt    For    For    For

4

   Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
5    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year

Suncor Energy Inc.

 

Meeting Date:   04/27/2017   Country:    Canada   Primary Security ID:   867224107
Record Date:   03/07/2017   Meeting Type:    Annual   Ticker:   SU
    Shares Voted:    2,704    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Patricia M. Bedient    Mgmt    For    For    For
1.2    Elect Director Mel E. Benson    Mgmt    For    For    For
1.3    Elect Director Jacynthe Cote    Mgmt    For    For    For
1.4    Elect Director Dominic D’Alessandro    Mgmt    For    For    For
1.5    Elect Director John D. Gass    Mgmt    For    For    For
1.6    Elect Director John R. Huff    Mgmt    For    For    For
1.7    Elect Director Maureen McCaw    Mgmt    For    For    For
1.8    Elect Director Michael W. O’Brien    Mgmt    For    For    For
1.9    Elect Director Eira M. Thomas    Mgmt    For    For    For
1.10    Elect Director Steven W. Williams    Mgmt    For    For    For
1.11    Elect Director Michael M. Wilson    Mgmt    For    For    For
2    Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For
3    Amend Stock Option Plan    Mgmt    For    Refer    For
4    Advisory Vote on Executive Compensation Approach    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

Whiting Petroleum Corporation

 

Meeting Date:   05/02/2017   Country:    USA   Primary Security ID:   966387102
Record Date:   03/09/2017   Meeting Type:    Annual   Ticker:   WLL
    Shares Voted:    18,154    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Philip E. Doty    Mgmt    For    For    For
1.2    Elect Director Carin S. Knickel    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
4    Ratify Deloitte & Touche LLP as Auditors    Mgmt    For    For    For

Phillips 66

 

Meeting Date:   05/03/2017   Country:    USA   Primary Security ID:   718546104
Record Date:   03/10/2017   Meeting Type:    Annual   Ticker:   PSX
    Shares Voted:    1,072    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director William R. Loomis, Jr.    Mgmt    For    For    For
1b    Elect Director Glenn F. Tilton    Mgmt    For    For    For
1c    Elect Director Marna C. Whittington    Mgmt    For    For    For
2   

Ratify Ernst & Young LLP as Auditors

   Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For

Oasis Petroleum Inc.

 

Meeting Date:   05/04/2017   Country:    USA   Primary Security ID:   674215108
Record Date:   03/08/2017   Meeting Type:    Annual   Ticker:   OAS
    Shares Voted:    19,145    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Ted Collins, Jr.    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

Oasis Petroleum Inc.

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.2    Elect Director John E. Hagale    Mgmt    For    For    For
1.3    Elect Director Douglas E. Swanson, Jr.    Mgmt    For    For    For
2    Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For

3

   Advisory Vote to Ratify Named Executive Officers’ Compensation   

Mgmt

  

For

  

For

  

For

4    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year

U.S. Silica Holdings, Inc.

 

Meeting Date:   05/04/2017   Country:    USA   Primary Security ID:   90346E103
Record Date:   03/07/2017   Meeting Type:    Annual   Ticker:   SLCA
    Shares Voted:    8,599    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Peter Bernard    Mgmt    For    For    For
1.2    Elect Director William J. Kacal    Mgmt    For    For    For
1.3    Elect Director Charles Shaver    Mgmt    For    For    For
1.4    Elect Director Bryan A. Shinn    Mgmt    For    For    For
1.5    Elect Director J. Michael Stice    Mgmt    For    For    For
2    Ratify Grant Thornton LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For

4

   Adopt Majority Voting for Uncontested Election of Directors   

Mgmt

  

For

  

For

  

For

5

   Amend Certificate of Incorporation to Remove Certain Provisions Relating to Ownership of Stock    Mgmt    For    Refer    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

Anadarko Petroleum Corporation

 

Meeting Date:   05/10/2017   Country:    USA   Primary Security ID:   032511107
Record Date:   03/14/2017   Meeting Type:    Annual   Ticker:   APC
    Shares Voted:    4,568    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Anthony R. Chase    Mgmt    For    For    For
1b    Elect Director David E. Constable    Mgmt    For    For    For
1c    Elect Director H. Paulett Eberhart    Mgmt    For    For    For
1d    Elect Director Claire S. Farley    Mgmt    For    For    For
1e    Elect Director Peter J. Fluor    Mgmt    For    For    For
1f    Elect Director Richard L. George    Mgmt    For    For    For
1g    Elect Director Joseph W. Gorder    Mgmt    For    For    For
1h    Elect Director John R. Gordon    Mgmt    For    For    For
1i    Elect Director Sean Gourley    Mgmt    For    For    For
1j    Elect Director Mark C. McKinley    Mgmt    For    For    For
1k    Elect Director Eric D. Mullins    Mgmt    For    For    For
1l    Elect Director R. A. Walker    Mgmt    For    For    For
2    Ratify KPMG LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year

Laredo Petroleum, Inc.

 

Meeting Date:   05/10/2017   Country:    USA   Primary Security ID:   516806106
Record Date:   03/13/2017   Meeting Type:    Annual   Ticker:   LPI
    Shares Voted:    9,907    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Randy A. Foutch    Mgmt    For    For    For
1.2    Elect Director Peter R. Kagan    Mgmt    For    For    For
1.3    Elect Director Edmund P. Segner, III    Mgmt    For    For    For
1.4    Elect Director Myles W. Scoggins    Mgmt    For    For    For
2    Ratify Grant Thornton LLP as Auditors    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

Laredo Petroleum, Inc.

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

3

   Advisory Vote to Ratify Named Executive Officers’ Compensation   

Mgmt

  

For

  

For

  

For

Cimarex Energy Co.

 

Meeting Date:   05/11/2017   Country:    USA   Primary Security ID:   171798101
Record Date:   03/15/2017   Meeting Type:    Annual   Ticker:   XEC
    Shares Voted:    2,126    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director David A. Hentschel    Mgmt    For    For    For
1.2    Elect Director Thomas E. Jorden    Mgmt    For    For    For
1.3    Elect Director Floyd R. Price    Mgmt    For    For    For
1.4    Elect Director Frances M. Vallejo    Mgmt    For    For    For

2

   Advisory Vote to Ratify Named Executive Officers’ Compensation   

Mgmt

  

For

  

For

  

For

3    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
4    Ratify KPMG LLP as Auditors    Mgmt    For    For    For

Enbridge Inc.

 

Meeting Date:   05/11/2017   Country:    Canada   Primary Security ID:   29250N105
Record Date:   03/23/2017   Meeting Type:    Annual   Ticker:   ENB
    Shares Voted:    1,711    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Pamela L. Carter    Mgmt    For    For    For
1.2    Elect Director Clarence P. Cazalot, Jr.    Mgmt    For    For    For
1.3    Elect Director Marcel R. Coutu    Mgmt    For    For    For
1.4    Elect Director Gregory L. Ebel    Mgmt    For    For    For
1.5    Elect Director J. Herb England    Mgmt    For    For    For
1.6    Elect Director Charles W. Fischer    Mgmt    For    For    For
1.7    Elect Director V. Maureen Kempston Darkes    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

Enbridge Inc.

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.8    Elect Director Michael McShane    Mgmt    For    For    For
1.9    Elect Director Al Monaco    Mgmt    For    For    For
1.10    Elect Director Michael E.J. Phelps    Mgmt    For    For    For
1.11    Elect Director Rebecca B. Roberts    Mgmt    For    For    For
1.12    Elect Director Dan C. Tutcher    Mgmt    For    For    For
1.13    Elect Director Catherine L. Williams    Mgmt    For    For    For
2    Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For
3    Approve Shareholder Rights Plan    Mgmt    For    Against    Against

4

   Advisory Vote on Executive Compensation Approach   

Mgmt

  

For

  

For

  

For

   Shareholder Proposal    Mgmt         

5

   Prepare a Report Detailing Due Diligence Process to Identify And Address Social And Environmental Risks When Reviewing Potential Acquisitions    SH    Against    Refer    Against

WEX Inc.

 

Meeting Date:   05/12/2017   Country:    USA   Primary Security ID:   96208T104
Record Date:   03/14/2017   Meeting Type:    Annual   Ticker:   WEX
    Shares Voted:    1,304    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Michael E. Dubyak    Mgmt    For    For    For
1.2    Elect Director Rowland T. Moriarty    Mgmt    For    For    For

2

   Advisory Vote to Ratify Named Executive Officers’ Compensation   

Mgmt

  

For

  

For

  

For

3    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
4    Ratify Deloitte & Touche LLP as Auditors    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

Forum Energy Technologies, Inc.

 

Meeting Date:   05/16/2017   Country:    USA   Primary Security ID:   34984V100
Record Date:   03/20/2017   Meeting Type:    Annual   Ticker:   FET
    Shares Voted:    12,933    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Evelyn M. Angelle    Mgmt    For    For    For
1.2    Elect Director John A. Carrig    Mgmt    For    For    For
1.3    Elect Director Prady Iyyanki    Mgmt    For    For    For
1.4    Elect Director Andrew L. Waite    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For

3

   Approve Qualified Employee Stock Purchase Plan   

Mgmt

  

For

  

For

  

For

4    Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For

Newfield Exploration Company

 

Meeting Date:   05/16/2017   Country:    USA   Primary Security ID:   651290108
Record Date:   03/20/2017   Meeting Type:    Annual   Ticker:   NFX
    Shares Voted:    5,039    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Lee K. Boothby    Mgmt    For    For    For
1b    Elect Director Pamela J. Gardner    Mgmt    For    For    For
1c    Elect Director Steven W. Nance    Mgmt    For    For    For
1d    Elect Director Roger B. Plank    Mgmt    For    For    For
1e    Elect Director Thomas G. Ricks    Mgmt    For    For    For
1f    Elect Director Juanita M. Romans    Mgmt    For    For    For
1g    Elect Director John (Jack) W. Schanck    Mgmt    For    For    For
1h    Elect Director J. Terry Strange    Mgmt    For    For    For
1i    Elect Director J. Kent Wells    Mgmt    For    For    For

2

   Advisory Vote to Ratify Named Executive Officers’ Compensation   

Mgmt

  

For

  

For

  

For

3    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
4    Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

Newfield Exploration Company

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

5    Approve Omnibus Stock Plan    Mgmt    For    Refer    For
6    Approve Omnibus Stock Plan    Mgmt    For    Refer    For
7    Amend Qualified Employee Stock Purchase Plan    Mgmt    For    For    For

Concho Resources Inc.

 

Meeting Date:   05/17/2017   Country:    USA   Primary Security ID:   20605P101
Record Date:   03/20/2017   Meeting Type:    Annual   Ticker:   CXO
    Shares Voted:    1,847    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Timothy A. Leach    Mgmt    For    For    For
1.2    Elect Director William H. Easter, III    Mgmt    For    For    For
1.3    Elect Director John P. Surma    Mgmt    For    For    For
2    Ratify Grant Thornton LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year

Halliburton Company

 

Meeting Date:   05/17/2017   Country:    USA   Primary Security ID:   406216101
Record Date:   03/20/2017   Meeting Type:    Annual   Ticker:   HAL
    Shares Voted:    7,738    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Abdulaziz F. Al Khayyal    Mgmt    For    For    For
1b    Elect Director William E. Albrecht    Mgmt    For    For    For
1c    Elect Director Alan M. Bennett    Mgmt    For    For    For
1d    Elect Director James R. Boyd    Mgmt    For    For    For
1e    Elect Director Milton Carroll    Mgmt    For    For    For
1f    Elect Director Nance K. Dicciani    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

Halliburton Company

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1g    Elect Director Murry S. Gerber    Mgmt    For    For    For
1h    Elect Director Jose C. Grubisich    Mgmt    For    For    For
1i    Elect Director David J. Lesar    Mgmt    For    For    For
1j    Elect Director Robert A. Malone    Mgmt    For    For    For
1k    Elect Director J. Landis Martin    Mgmt    For    For    For
1l    Elect Director Jeffrey A. Miller    Mgmt    For    For    For
1m    Elect Director Debra L. Reed    Mgmt    For    For    For
2    Ratify KPMG LLP as Auditors    Mgmt    For    For    For

3

   Advisory Vote to Ratify Named Executive Officers’ Compensation   

Mgmt

  

For

  

For

  

For

4    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
5    Amend Omnibus Stock Plan    Mgmt    For    Refer    For

Continental Resources, Inc.

 

Meeting Date:   05/18/2017   Country:    USA   Primary Security ID:   212015101
Record Date:   03/23/2017   Meeting Type:    Annual   Ticker:   CLR
    Shares Voted:    8,168    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director William B. Berry    Mgmt    For    For    For
1.2    Elect Director James L. Gallogly    Mgmt    For    For    For
2    Ratify Grant Thornton LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Advisory Vote on Say on Pay Frequency    Mgmt    Three Years    Three Years    Three Years
5    Adopt Policy to Improve Board Diversity    SH    Against    Against    Against


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

Core Laboratories N.V.

 

Meeting Date:   05/18/2017   Country:    Netherlands   Primary Security ID:   N22717107
Record Date:   04/20/2017   Meeting Type:    Annual   Ticker:   CLB
    Shares Voted:    1,621    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director David M. Demshur    Mgmt    For    For    For
1b    Elect Director Jan Willem Sodderland    Mgmt    For    For    For
2    Reduce Supermajority Requirement    Mgmt    For    For    For
3    Ratify KPMG as Auditors    Mgmt    For    For    For
4    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
5    Adopt Financial Statements and Statutory Reports    Mgmt    For    For    For
6    Approve Cancellation of Repurchased Shares    Mgmt    For    For    For
7    Authorize Repurchase of Up to 10 Percent of Issued Share Capital    Mgmt    For    For    For
8    Grant Board Authority to Issue Shares Up To 10 Percent of Issued Capital    Mgmt    For    For    For
9    Authorize Board to Exclude Preemptive Rights from Share Issuances    Mgmt    For    Refer    For

Pioneer Natural Resources Company

 

Meeting Date:   05/18/2017   Country:    USA   Primary Security ID:   723787107
Record Date:   03/23/2017   Meeting Type:    Annual   Ticker:   PXD
    Shares Voted:    1,692    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Edison C. Buchanan    Mgmt    For    For    For
1.2    Elect Director Andrew F. Cates    Mgmt    For    For    For
1.3    Elect Director Timothy L. Dove    Mgmt    For    For    For
1.4    Elect Director Phillip A. Gobe    Mgmt    For    For    For
1.5    Elect Director Larry R. Grillot    Mgmt    For    For    For
1.6    Elect Director Stacy P. Methvin    Mgmt    For    For    For
1.7    Elect Director Royce W. Mitchell    Mgmt    For    For    For
1.8    Elect Director Frank A. Risch    Mgmt    For    For    For
1.9    Elect Director Scott D. Sheffield    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

Pioneer Natural Resources Company

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.10    Elect Director Mona K. Sutphen    Mgmt    For    For    For
1.11    Elect Director J. Kenneth Thompson    Mgmt    For    For    For
1.12    Elect Director Phoebe A. Wood    Mgmt    For    For    For
1.13    Elect Director Michael D. Wortley    Mgmt    For    For    For
2    Ratify Ernst & Young LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
5    Report on Annual Sustainability    SH    Against    Refer    Against

WPX Energy, Inc.

 

Meeting Date:   05/18/2017   Country:    USA   Primary Security ID:   98212B103
Record Date:   03/27/2017   Meeting Type:    Annual   Ticker:   WPX
    Shares Voted:    16,385    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director John A. Carrig    Mgmt    For    For    For
1.2    Elect Director William R. Granberry    Mgmt    For    For    For
1.3    Elect Director Robert K. Herdman    Mgmt    For    For    For
1.4    Elect Director Kelt Kindick    Mgmt    For    For    For
1.5    Elect Director Karl F. Kurz    Mgmt    For    For    For
1.6    Elect Director Henry E. Lentz    Mgmt    For    For    For
1.7    Elect Director George A. Lorch    Mgmt    For    For    For
1.8    Elect Director William G. Lowrie    Mgmt    For    For    For
1.9    Elect Director Kimberly S. Lubel    Mgmt    For    For    For
1.10    Elect Director Richard E. Muncrief    Mgmt    For    For    For
1.11    Elect Director David F. Work    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Ratify Ernst & Young LLP as Auditors    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

Royal Dutch Shell plc

 

Meeting Date:   05/23/2017   Country:    United Kingdom   Primary Security ID:   G7690A100
Record Date:   04/13/2017   Meeting Type:    Annual   Ticker:   RDSA
    Shares Voted:    1,585    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

   Meeting for ADR Holders    Mgmt         
   Management Proposals    Mgmt         
1    Accept Financial Statements and Statutory Reports    Mgmt    For    For    For
2    Approve Remuneration Policy    Mgmt    For    For    For
3    Approve Remuneration Report    Mgmt    For    For    For
4    Elect Catherine Hughes as Director    Mgmt    For    For    For
5    Elect Roberto Setubal as Director    Mgmt    For    For    For
6    Re-elect Ben van Beurden as Director    Mgmt    For    For    For
7    Re-elect Guy Elliott as Director    Mgmt    For    For    For
8    Re-elect Euleen Goh as Director    Mgmt    For    For    For
9    Re-elect Charles Holliday as Director    Mgmt    For    For    For
10    Re-elect Gerard Kleisterlee as Director    Mgmt    For    For    For
11    Re-elect Sir Nigel Sheinwald as Director    Mgmt    For    For    For
12    Re-elect Linda Stuntz as Director    Mgmt    For    For    For
13    Elect Jessica Uhl as Director    Mgmt    For    For    For
14    Re-elect Hans Wijers as Director    Mgmt    For    For    For
15    Re-elect Gerrit Zalm as Director    Mgmt    For    For    For
16    Reappoint Ernst & Young LLP as Auditors    Mgmt    For    For    For
17    Authorise the Audit Committee to Fix Remuneration of Auditors    Mgmt    For    For    For
18    Authorise Issue of Equity with Pre-emptive Rights    Mgmt    For    For    For
19    Authorise Issue of Equity without Pre-emptive Rights    Mgmt    For    For    For
20    Authorise Market Purchase of Ordinary Shares    Mgmt    For    For    For
   Shareholder Proposal    Mgmt         
21    Request Shell to Set and Publish Targets for Reducing Greenhouse Gas (GHG) Emissions    SH    Against    Refer    Against


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

Superior Energy Services, Inc.

 

Meeting Date:   05/23/2017   Country:    USA   Primary Security ID:   868157108
Record Date:   04/03/2017   Meeting Type:    Annual   Ticker:   SPN
    Shares Voted:    19,822    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Harold J. Bouillion    Mgmt    For    For    For
1.2    Elect Director David D. Dunlap    Mgmt    For    For    For
1.3    Elect Director James M. Funk    Mgmt    For    For    For
1.4    Elect Director Terence E. Hall    Mgmt    For    For    For
1.5    Elect Director Peter D. Kinnear    Mgmt    For    For    For
1.6    Elect Director Janiece M. Longoria    Mgmt    For    For    For
1.7    Elect Director Michael M. McShane    Mgmt    For    For    For
1.8    Elect Director W. Matt Ralls    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
4    Ratify KPMG LLP as Auditors    Mgmt    For    For    For

RSP Permian, Inc.

 

Meeting Date:   05/25/2017   Country:    USA   Primary Security ID:   74978Q105
Record Date:   04/03/2017   Meeting Type:    Annual   Ticker:   RSPP
    Shares Voted:    6,363    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Steven Gray    Mgmt    For    For    For
1.2    Elect Director Michael Grimm    Mgmt    For    For    For
1.3    Elect Director Scott McNeill    Mgmt    For    For    For
2    Ratify Grant Thornton LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

Chevron Corporation

 

Meeting Date:   05/31/2017   Country:    USA   Primary Security ID:   166764100
Record Date:   04/03/2017   Meeting Type:    Annual   Ticker:   CVX
    Shares Voted:    1,094    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Wanda M. Austin    Mgmt    For    For    For
1b    Elect Director Linnet F. Deily    Mgmt    For    For    For
1c    Elect Director Robert E. Denham    Mgmt    For    For    For
1d    Elect Director Alice P. Gast    Mgmt    For    For    For
1e    Elect Director Enrique Hernandez, Jr.    Mgmt    For    For    For
1f    Elect Director Jon M. Huntsman, Jr.    Mgmt    For    For    For
1g    Elect Director Charles W. Moorman, IV    Mgmt    For    For    For
1h    Elect Director Dambisa F. Moyo    Mgmt    For    For    For
1i    Elect Director Ronald D. Sugar    Mgmt    For    For    For
1j    Elect Director Inge G. Thulin    Mgmt    For    For    For
1k    Elect Director John S. Watson    Mgmt    For    For    For
1l    Elect Director Michael K. Wirth    Mgmt    For    For    For
2    Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
5    Report on Lobbying Payments and Policy    SH    Against    Against    Against
6    Report on Risks of Doing Business in Conflict-Affected Areas    SH    Against    Against    Against
7    Annually Assess Portfolio Impacts of Policies to Meet 2-degree Scenario *Withdrawn Resolution*    SH         
8    Assess and Report on Transition to a Low Carbon Economy    SH    Against    Refer    Against
9    Require Independent Board Chairman    SH    Against    Refer    For
10    Require Director Nominee with Environmental Experience    SH    Against    Refer    Against
11    Amend Articles/Bylaws/Charter - Call Special Meetings    SH    Against    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

Marathon Oil Corporation

 

Meeting Date:   05/31/2017   Country:    USA   Primary Security ID:   565849106
Record Date:   04/03/2017   Meeting Type:    Annual   Ticker:   MRO
    Shares Voted:    10,361    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Gaurdie E. Banister, Jr.    Mgmt    For    For    For
1b    Elect Director Gregory H. Boyce    Mgmt    For    For    For
1c    Elect Director Chadwick C. Deaton    Mgmt    For    For    For
1d    Elect Director Marcela E. Donadio    Mgmt    For    For    For
1e    Elect Director Philip Lader    Mgmt    For    For    For
1f    Elect Director Michael E. J. Phelps    Mgmt    For    For    For
1g    Elect Director Dennis H. Reilley    Mgmt    For    For    For
1h    Elect Director Lee M. Tillman    Mgmt    For    For    For
2    Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year

Parsley Energy, Inc.

 

Meeting Date:   06/02/2017   Country:    USA   Primary Security ID:   701877102
Record Date:   04/06/2017   Meeting Type:    Annual   Ticker:   PE
    Shares Voted:    10,177    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Bryan Sheffield    Mgmt    For    For    For
1b    Elect Director A.R. Alameddine    Mgmt    For    For    For
2    Ratify KPMG LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Adopt Majority Voting for Uncontested Election of Directors    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

Nabors Industries Ltd.

 

Meeting Date:   06/06/2017   Country:    Bermuda   Primary Security ID:   G6359F103
Record Date:   04/07/2017   Meeting Type:    Annual   Ticker:   NBR
    Shares Voted:    11,749    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Tanya S. Beder    Mgmt    For    For    For
1.2    Elect Director James R. Crane    Mgmt    For    Refer    Withhold
1.3    Elect Director John P. Kotts    Mgmt    For    Refer    Withhold
1.4    Elect Director Michael C. Linn    Mgmt    For    Refer    Withhold
1.5    Elect Director Anthony G. Petrello    Mgmt    For    Refer    Withhold
1.6    Elect Director Dag Skattum    Mgmt    For    Refer    Withhold
1.7    Elect Director John Yearwood    Mgmt    For    Refer    Withhold
2    Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For
3    Approve Remuneration Report    Mgmt    For    For    For
4    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
5    Adopt Proxy Access Right    SH    Against    Against    Against

Devon Energy Corporation

 

Meeting Date:   06/07/2017   Country:    USA   Primary Security ID:   25179M103
Record Date:   04/10/2017   Meeting Type:    Annual   Ticker:   DVN
    Shares Voted:    4,648    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Barbara M. Baumann    Mgmt    For    For    For
1.2    Elect Director John E. Bethancourt    Mgmt    For    For    For
1.3    Elect Director David A. Hager    Mgmt    For    For    For
1.4    Elect Director Robert H. Henry    Mgmt    For    For    For
1.5    Elect Director Michael M. Kanovsky    Mgmt    For    For    For
1.6    Elect Director Robert A. Mosbacher, Jr.    Mgmt    For    For    For
1.7    Elect Director Duane C. Radtke    Mgmt    For    For    For
1.8    Elect Director Mary P. Ricciardello    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

Devon Energy Corporation

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.9    Elect Director John Richels    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
4    Ratify KPMG LLP as Auditors    Mgmt    For    For    For
5    Amend Executive Incentive Bonus Plan    Mgmt    For    Refer    For
6    Approve Omnibus Stock Plan    Mgmt    For    Refer    For
7    Review Public Policy Advocacy on Climate Change    SH    Against    Refer    Against
8    Annually Assess Portfolio Impacts of Policies to Meet 2 Degree Scenario    SH    Against    Refer    Against
9    Report on Lobbying Payments and Policy    SH    Against    Against    Against
10    Report on Using Oil and Gas Reserve Metrics for Named Executive’s Compensation    SH    Against    Refer    Against

Diamondback Energy, Inc.

 

Meeting Date:   06/07/2017   Country:    USA   Primary Security ID:   25278X109
Record Date:   04/17/2017   Meeting Type:    Annual   Ticker:   FANG
    Shares Voted:    2,089    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Steven E. West    Mgmt    For    For    For
1.2    Elect Director Travis D. Stice    Mgmt    For    For    For
1.3    Elect Director Michael P. Cross    Mgmt    For    For    For
1.4    Elect Director David L. Houston    Mgmt    For    For    For
1.5    Elect Director Mark L. Plaumann    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Ratify Grant Thornton LLP as Auditors    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

Weatherford International plc

 

Meeting Date:   06/15/2017   Country:    Ireland   Primary Security ID:   G48833100
Record Date:   04/18/2017   Meeting Type:    Annual   Ticker:   WFT
    Shares Voted:    31,899    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1A    Elect Director Mohamed A. Awad    Mgmt    For    For    For
1B    Elect Director David J. Butters    Mgmt    For    For    For
1C    Elect Director John D. Gass    Mgmt    For    For    For
1D    Elect Director Emyr Jones Parry    Mgmt    For    For    For
1E    Elect Director Francis S. Kalman    Mgmt    For    For    For
1F    Elect Director William E. Macaulay    Mgmt    For    For    For
1G    Elect Director Mark A. McCollum    Mgmt    For    For    For
1H    Elect Director Robert K. Moses, Jr.    Mgmt    For    For    For
1I    Elect Director Guillermo Ortiz    Mgmt    For    Refer    For
2    Approve KPMG LLP as Auditors and Authorize Board to Fix Their Remuneration    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
5    Amend Omnibus Stock Plan    Mgmt    For    Refer    For

Patterson-UTI Energy, Inc.

 

Meeting Date:   06/29/2017   Country:    USA   Primary Security ID:   703481101
Record Date:   05/01/2017   Meeting Type:    Annual   Ticker:   PTEN
    Shares Voted:    9,071    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Mark S. Siegel    Mgmt    For    For    For
1.2    Elect Director Charles O. Buckner    Mgmt    For    For    For
1.3    Elect Director Michael W. Conlon    Mgmt    For    For    For
1.4    Elect Director William Andrew Hendricks, Jr.    Mgmt    For    For    For
1.5    Elect Director Curtis W. Huff    Mgmt    For    For    For
1.6    Elect Director Terry H. Hunt    Mgmt    For    For    For
1.7    Elect Director Tiffany J. Thom    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2001 Ivy Energy NextShares

 

Patterson-UTI Energy, Inc.

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

2    Amend Omnibus Stock Plan    Mgmt    For    Refer    For
3    Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For
4    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
5    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year

Baker Hughes Incorporated

 

Meeting Date:   06/30/2017   Country:    USA   Primary Security ID:   057224107
Record Date:   05/25/2017   Meeting Type:    Special   Ticker:   BHI
    Shares Voted:    4,745    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1    Approve Merger Agreement    Mgmt    For    Refer    For
2    Adjourn Meeting    Mgmt    For    Refer    For
3    Advisory Vote on Golden Parachutes    Mgmt    For    Refer    Against
4    Approve Omnibus Stock Plan    Mgmt    For    Refer    For
5    Approve Material Terms of the Executive Officer Performance Goals    Mgmt    For    Refer    For


IVY FOCUSED GROWTH NEXTSHARES

Proxy Voting Record

Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2002 Ivy Focused Growth NextShares

Visa Inc.

 

Meeting Date:   01/31/2017   Country:    USA   Primary Security ID:   92826C839
Record Date:   12/02/2016   Meeting Type:    Annual   Ticker:   V
    Shares Voted:    1,756    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Lloyd A. Carney    Mgmt    For    For    For
1b    Elect Director Mary B. Cranston    Mgmt    For    For    For
1c    Elect Director Francisco Javier Fernandez-Carbajal    Mgmt    For    For    For
1d    Elect Director Gary A. Hoffman    Mgmt    For    For    For
1e    Elect Director Alfred F. Kelly, Jr.    Mgmt    For    For    For
1f    Elect Director Robert W. Matschullat    Mgmt    For    For    For
1g    Elect Director Suzanne Nora Johnson    Mgmt    For    For    For
1h    Elect Director John A.C. Swainson    Mgmt    For    For    For
1i    Elect Director Maynard G. Webb, Jr.    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
4    Ratify KPMG LLP as Auditors    Mgmt    For    For    For

Adobe Systems Incorporated

 

Meeting Date:   04/12/2017   Country:    USA   Primary Security ID:   00724F101
Record Date:   02/14/2017   Meeting Type:    Annual   Ticker:   ADBE
    Shares Voted:    3,774    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Amy Banse    Mgmt    For    For    For
1b    Elect Director Edward Barnholt    Mgmt    For    For    For
1c    Elect Director Robert Burgess    Mgmt    For    For    For
1d    Elect Director Frank Calderoni    Mgmt    For    For    For
1e    Elect Director James Daley    Mgmt    For    For    For
1f    Elect Director Laura Desmond    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2002 Ivy Focused Growth NextShares

 

Adobe Systems Incorporated

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1g    Elect Director Charles Geschke    Mgmt    For    For    For
1h    Elect Director Shantanu Narayen    Mgmt    For    For    For
1i    Elect Director Daniel Rosensweig    Mgmt    For    For    For
1j    Elect Director John Warnock    Mgmt    For    For    For
2    Amend Omnibus Stock Plan    Mgmt    For    Refer    For
3    Ratify KPMG LLP as Auditors    Mgmt    For    For    For
4    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
5    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year

Shire plc

 

Meeting Date:   04/25/2017   Country:    Jersey   Primary Security ID:   G8124V108
Record Date:   03/23/2017   Meeting Type:    Annual   Ticker:   SHP
    Shares Voted:    1,013    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

   Meeting for ADR Holders    Mgmt         
1    Accept Financial Statements and Statutory Reports    Mgmt    For    For    For
2    Approve Remuneration Report    Mgmt    For    For    For
3    Re-elect Dominic Blakemore as Director    Mgmt    For    For    For
4    Re-elect Olivier Bohuon as Director    Mgmt    For    For    For
5    Re-elect William Burns as Director    Mgmt    For    For    For
6    Elect Ian Clark as Director    Mgmt    For    For    For
7    Elect Gail Fosler as Director    Mgmt    For    For    For
8    Re-elect Steven Gillis as Director    Mgmt    For    For    For
9    Re-elect David Ginsburg as Director    Mgmt    For    For    For
10    Re-elect Susan Kilsby as Director    Mgmt    For    For    For
11    Re-elect Sara Mathew as Director    Mgmt    For    For    For
12    Re-elect Anne Minto as Director    Mgmt    For    For    For
13    Re-elect Flemming Ornskov as Director    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2002 Ivy Focused Growth NextShares

 

Shire plc

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

14    Re-elect Jeffrey Poulton as Director    Mgmt    For    For    For
15    Elect Albert Stroucken as Director    Mgmt    For    For    For
16    Reappoint Deloitte LLP as Auditors    Mgmt    For    For    For
17    Authorise the Audit, Compliance & Risk Committee to Fix Remuneration of Auditors    Mgmt    For    For    For
18    Authorise Issue of Equity with Pre-emptive Rights    Mgmt    For    For    For
19    Authorise Issue of Equity without Pre-emptive Rights    Mgmt    For    For    For
20    Authorise Issue of Equity without Pre-emptive Rights in Connection with an Acquisition or Other Capital Investment    Mgmt    For    For    For
21    Authorise Market Purchase of Ordinary Shares    Mgmt    For    For    For
22    Adopt New Articles of Association    Mgmt    For    Refer    For
23    Authorise the Company to Call General Meeting with Two Weeks’ Notice    Mgmt    For    For    For

EOG Resources, Inc.

 

Meeting Date:   04/27/2017   Country:    USA   Primary Security ID:   26875P101
Record Date:   02/27/2017   Meeting Type:    Annual   Ticker:   EOG
    Shares Voted:    3,840    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Janet F. Clark    Mgmt    For    For    For
1b    Elect Director Charles R. Crisp    Mgmt    For    For    For
1c    Elect Director Robert P. Daniels    Mgmt    For    For    For
1d    Elect Director James C. Day    Mgmt    For    For    For
1e    Elect Director Donald F. Textor    Mgmt    For    For    For
1f    Elect Director William R. Thomas    Mgmt    For    For    For
1g    Elect Director Frank G. Wisner    Mgmt    For    For    For
2    Ratify Deloitte & Touche LLP as Auditors    Mgmt    For    For    For
3    Increase Authorized Common Stock    Mgmt    For    For    For
4    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2002 Ivy Focused Growth NextShares

 

EOG Resources, Inc.

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

5    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year

Lockheed Martin Corporation

 

Meeting Date:   04/27/2017   Country:    USA   Primary Security ID:   539830109
Record Date:   02/24/2017   Meeting Type:    Annual   Ticker:   LMT
    Shares Voted:    1,407    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Daniel F. Akerson    Mgmt    For    For    For
1b    Elect Director Nolan D. Archibald    Mgmt    For    Refer    Against
1c    Elect Director Rosalind G. Brewer    Mgmt    For    Refer    Against
1d    Elect Director David B. Burritt    Mgmt    For    For    For
1e    Elect Director Bruce A. Carlson    Mgmt    For    Refer    Against
1f    Elect Director James O. Ellis, Jr.    Mgmt    For    For    For
1g    Elect Director Thomas J. Falk    Mgmt    For    Refer    Against
1h    Elect Director Ilene S. Gordon    Mgmt    For    For    For
1i    Elect Director Marillyn A. Hewson    Mgmt    For    For    For
1j    Elect Director James M. Loy    Mgmt    For    For    For
1k    Elect Director Joseph W. Ralston    Mgmt    For    For    For
1l    Elect Director Anne Stevens    Mgmt    For    Refer    Against
2    Ratify Ernst & Young LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
5    Adopt Holy Land Principles    SH    Against    Against    Against


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2002 Ivy Focused Growth NextShares

 

The Goldman Sachs Group, Inc.

 

Meeting Date:   04/28/2017   Country:    USA   Primary Security ID:   38141G104
Record Date:   02/27/2017   Meeting Type:    Annual   Ticker:   GS
    Shares Voted:    1,619    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Lloyd C. Blankfein    Mgmt    For    For    For
1b    Elect Director M. Michele Burns    Mgmt    For    For    For
1c    Elect Director Mark A. Flaherty    Mgmt    For    For    For
1d    Elect Director William W. George    Mgmt    For    For    For
1e    Elect Director James A. Johnson    Mgmt    For    For    For
1f    Elect Director Ellen J. Kullman    Mgmt    For    For    For
1g    Elect Director Lakshmi N. Mittal    Mgmt    For    For    For
1h    Elect Director Adebayo O. Ogunlesi    Mgmt    For    For    For
1i    Elect Director Peter Oppenheimer    Mgmt    For    For    For
1j    Elect Director David A. Viniar    Mgmt    For    For    For
1k    Elect Director Mark O. Winkelman    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
4    Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For

Philip Morris International Inc.

 

Meeting Date:   05/03/2017   Country:    USA   Primary Security ID:   718172109
Record Date:   03/10/2017   Meeting Type:    Annual   Ticker:   PM
    Shares Voted:    3,401    

 

Proposal

Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Harold Brown    Mgmt    For    For    For
1.2    Elect Director Andre Calantzopoulos    Mgmt    For    For    For
1.3    Elect Director Louis C. Camilleri    Mgmt    For    For    For
1.4    Elect Director Massimo Ferragamo    Mgmt    For    For    For
1.5    Elect Director Werner Geissler    Mgmt    For    For    For
1.6    Elect Director Jennifer Li    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2002 Ivy Focused Growth NextShares

 

Philip Morris International Inc.

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.7    Elect Director Jun Makihara    Mgmt    For    For    For
1.8    Elect Director Sergio Marchionne    Mgmt    For    Refer    For
1.9    Elect Director Kalpana Morparia    Mgmt    For    For    For
1.10    Elect Director Lucio A. Noto    Mgmt    For    For    For
1.11    Elect Director Frederik Paulsen    Mgmt    For    For    For
1.12    Elect Director Robert B. Polet    Mgmt    For    For    For
1.13    Elect Director Stephen M. Wolf    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
4    Approve Restricted Stock Plan    Mgmt    For    Refer    For
5    Approve Non-Employee Director Restricted Stock Plan    Mgmt    For    Refer    For
6    Ratify PricewaterhouseCoopers SA as Auditors    Mgmt    For    For    For
7    Establish a Board Committee on Human Rights    SH    Against    Refer    Against
8    Participate in OECD Mediation for Human Rights Violations    SH    Against    Against    Against

Allergan plc

 

Meeting Date:   05/04/2017   Country:    Ireland   Primary Security ID:   G0177J108
Record Date:   03/08/2017   Meeting Type:    Annual   Ticker:   AGN
    Shares Voted:    439    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Nesli Basgoz    Mgmt    For    For    For
1b    Elect Director Paul M. Bisaro    Mgmt    For    For    For
1c    Elect Director James H. Bloem    Mgmt    For    For    For
1d    Elect Director Christopher W. Bodine    Mgmt    For    For    For
1e    Elect Director Adriane M. Brown    Mgmt    For    For    For
1f    Elect Director Christopher J. Coughlin    Mgmt    For    For    For
1g    Elect Director Catherine M. Klema    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2002 Ivy Focused Growth NextShares

 

Allergan plc

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1h    Elect Director Peter J. McDonnell    Mgmt    For    For    For
1i    Elect Director Patrick J. O’Sullivan    Mgmt    For    For    For
1j    Elect Director Brenton L. Saunders    Mgmt    For    For    For
1k    Elect Director Ronald R. Taylor    Mgmt    For    For    For
1l    Elect Director Fred G. Weiss    Mgmt    For    For    For
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
3    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
4    Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For
5    Amend Executive Incentive Bonus Plan    Mgmt    For    Refer    For
6    Require Independent Board Chairman    SH    Against    Refer    For

Danaher Corporation

 

Meeting Date:   05/09/2017   Country:    USA   Primary Security ID:   235851102
Record Date:   03/13/2017   Meeting Type:    Annual   Ticker:   DHR
    Shares Voted:    4,804    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Donald J. Ehrlich    Mgmt    For    Refer    For
1.2    Elect Director Linda Hefner Filler    Mgmt    For    For    For
1.3    Elect Director Robert J. Hugin    Mgmt    For    For    For
1.4    Elect Director Thomas P. Joyce, Jr.    Mgmt    For    For    For
1.5    Elect Director Teri List-Stoll    Mgmt    For    Refer    For
1.6    Elect Director Walter G. Lohr, Jr.    Mgmt    For    For    For
1.7    Elect Director Mitchell P. Rales    Mgmt    For    For    For
1.8    Elect Director Steven M. Rales    Mgmt    For    For    For
1.9    Elect Director John T. Schwieters    Mgmt    For    Refer    For
1.10    Elect Director Alan G. Spoon    Mgmt    For    For    For
1.11    Elect Director Raymond C. Stevens    Mgmt    For    For    For
1.12    Elect Director Elias A. Zerhouni    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2002 Ivy Focused Growth NextShares

 

Danaher Corporation

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

2    Ratify Ernst & Young LLP as Auditors    Mgmt    For    For    For
3    Amend Omnibus Stock Plan    Mgmt    For    Refer    For
4    Amend Executive Incentive Bonus Plan    Mgmt    For    Refer    For
5    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
6    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
7    Report on Goals to Reduce Greenhouse Gas Emissions    SH    Against    Refer    Against

Alexion Pharmaceuticals, Inc.

 

Meeting Date:   05/10/2017   Country:    USA   Primary Security ID:   015351109
Record Date:   03/14/2017   Meeting Type:    Annual   Ticker:   ALXN
    Shares Voted:    764    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1.1    Elect Director Felix J. Baker    Mgmt    For    For    For
1.2    Elect Director David R. Brennan    Mgmt    For    For    For
1.3    Elect Director M. Michele Burns    Mgmt    For    For    For
1.4    Elect Director Christopher J. Coughlin    Mgmt    For    For    For
1.5    Elect Director Ludwig N. Hantson    Mgmt    For    For    For
1.6    Elect Director John T. Mollen    Mgmt    For    For    For
1.7    Elect Director R. Douglas Norby    Mgmt    For    For    For
1.8    Elect Director Alvin S. Parven    Mgmt    For    For    For
1.9    Elect Director Andreas Rummelt    Mgmt    For    For    For
1.10    Elect Director Ann M. Veneman    Mgmt    For    For    For
2    Approve Omnibus Stock Plan    Mgmt    For    Refer    For
3    Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For
4    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
5    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
6    Provide For Confidential Running Vote Tallies On Executive Pay Matters    SH    Against    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2002 Ivy Focused Growth NextShares

 

Edwards Lifesciences Corporation

 

Meeting Date:   05/11/2017   Country:    USA   Primary Security ID:   28176E108
Record Date:   03/17/2017   Meeting Type:    Annual   Ticker:   EW
    Shares Voted:    1,288    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Michael A. Mussallem    Mgmt    For    For    For
1b    Elect Director Kieran T. Gallahue    Mgmt    For    For    For
1c    Elect Director Leslie S. Heisz    Mgmt    For    For    For
1d    Elect Director William J. Link    Mgmt    For    For    For
1e    Elect Director Steven R. Loranger    Mgmt    For    For    For
1f    Elect Director Martha H. Marsh    Mgmt    For    For    For
1g    Elect Director Wesley W. von Schack    Mgmt    For    For    For
1h    Elect Director Nicholas J. Valeriani    Mgmt    For    For    For
2    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Amend Omnibus Stock Plan    Mgmt    For    Refer    For
5    Amend Qualified Employee Stock Purchase Plan    Mgmt    For    For    For
6    Ratify PricewaterhouseCoopers LLP as Auditors    Mgmt    For    For    For

Union Pacific Corporation

 

Meeting Date:   05/11/2017   Country:    USA   Primary Security ID:   907818108
Record Date:   03/10/2017   Meeting Type:    Annual   Ticker:   UNP
    Shares Voted:    3,596    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director Andrew H. Card, Jr.    Mgmt    For    For    For
1b    Elect Director Erroll B. Davis, Jr.    Mgmt    For    For    For
1c    Elect Director David B. Dillon    Mgmt    For    For    For
1d    Elect Director Lance M. Fritz    Mgmt    For    For    For
1e    Elect Director Deborah C. Hopkins    Mgmt    For    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2002 Ivy Focused Growth NextShares

 

Union Pacific Corporation

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1f    Elect Director Jane H. Lute    Mgmt    For    For    For
1g    Elect Director Michael R. McCarthy    Mgmt    For    For    For
1h    Elect Director Michael W. McConnell    Mgmt    For    For    For
1i    Elect Director Thomas F. McLarty, III    Mgmt    For    For    For
1j    Elect Director Steven R. Rogel    Mgmt    For    For    For
1k    Elect Director Jose H. Villarreal    Mgmt    For    For    For
2    Ratify Deloitte & Touche LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
4    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
5    Require Independent Board Chairman    SH    Against    Refer    For

The Charles Schwab Corporation

 

Meeting Date:   05/16/2017   Country:    USA   Primary Security ID:   808513105
Record Date:   03/17/2017   Meeting Type:    Annual   Ticker:   SCHW
    Shares Voted:    11,123    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

1a    Elect Director William S. Haraf    Mgmt    For    For    For
1b    Elect Director Frank C. Herringer    Mgmt    For    For    For
1c    Elect Director Stephen T. McLin    Mgmt    For    For    For
1d    Elect Director Roger O. Walther    Mgmt    For    For    For
1e    Elect Director Robert N. Wilson    Mgmt    For    For    For
2    Ratify Deloitte & Touche LLP as Auditors    Mgmt    For    For    For
3    Advisory Vote on Say on Pay Frequency    Mgmt    One Year    One Year    One Year
4    Advisory Vote to Ratify Named Executive Officers’ Compensation    Mgmt    For    For    For
5    Report on Lobbying Payments and Policy    SH    Against    Against    Against
6    Prepare Employment Diversity Report and Report on Diversity Policies    SH    Against    Against    Against
7    Adopt Proxy Access Right    SH    Against    Against    Against
8    Provide Vote Counting to Exclude Abstentions    SH    Against    For    For


Vote Summary Report

Reporting Period: 07/01/2016 to 06/30/2017

Location(s): All Locations

Institution Account(s): 2002 Ivy Focused Growth NextShares

 

The Home Depot, Inc.

 

Meeting Date:   05/18/2017   Country:    USA   Primary Security ID:   437076102
Record Date:   03/20/2017   Meeting Type:    Annual   Ticker:   HD
    Shares Voted:    3,276    

 

Proposal
Number

  

Proposal Text

  

Proponent

  

Mgmt Rec

  

Voting

Policy Rec

  

Vote

Instruction

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