N-PX 1 npx2018.htm CGM TRUST N-PX Document


 
OMB APPROVAL
 
OMB Number:
3235-0582

 
Expires:
May 31, 2021

 
Estimated average burden
 
 
hours per response
7.2


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
811-00082

 
 
CGM TRUST
(Exact name of registrant as specified in charter)
 
One International Place, Boston, MA
02110
(Address of principal executive offices)
(Zip code)
 
Barry N. Hurwitz, Esq.
Morgan, Lewis & Bockius LLP, One Federal St., Boston, MA 02110
(Name and address of agent for service)
 
Registrant's telephone number, including area code:
617-737-3225
 
Date of fiscal year end:
12/31
 
Date of reporting period:
7/1/2017 - 6/30/2018

Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (Sections 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.

A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. Section 3507.

 
 
SEC 2451 (4-03)
PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER.





CGM Trust - File No. 811-00082
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
CGM Mutual Fund
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Issuer
Ticker
CUSIP
Meeting
Date
Matter
Voted On
Proposed
By Issuer or
Security Holder
Was
Vote
Cast
Actual
Vote
For or
Against
Mgt.
AbbVie Inc.
ABBV
00287Y109
5/4/2018
1. To elect four directors: 01. Roxanne S. Austin, 02. Richard A. Gonzalez, 03. Rebecca B. Roberts, 04. Glenn F. Tilton.
Issuer
No
 
 
 
 
 
 
2. Ratification of Ernst & Young LLP as AbbVie's independent registered public accounting firm for 2018.
Issuer
No
 
 
 
 
 
 
3. An advisory vote on the approval of executive compensation.
Issuer
No
 
 
 
 
 
 
4. An advisory vote on the frequency of the advisory vote to approve executive compensation.
Issuer
No
 
 
 
 
 
 
5. Approval of a management proposal regarding amendment of the certificate of incorporation for the annual election of directors.
Issuer
No
 
 
 
 
 
 
6. Approval of a management proposal regarding amendment of the certificate of incorporation to eliminate supermajority voting.
Issuer
No
 
 
 
 
 
 
7. Stockholder proposal regarding an annual report on lobbying.
Issuer
No
 
 
 
 
 
 
8. Stockholder proposal to separate chair and CEO.
Issuer
No
 
 
 
 
 
 
9. Stockholder proposal to issue an annual compensation committee report on drug pricing.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Banco Bradesco SA
BBD
59460303
3/12/2018
5a. Election of the fiscal council: Luiz Carlos de Freitas (effective) and Joao Sabino (alternate).
Issuer
No
 
 
 
 
 
 
5b. Election of the fiscal council: Walter Luis Bernardes Albertoni (effective) and Reginaldo Ferreira Alexandre (alternate).
Issuer
No
 
 
 
 
 
 
5c. Election of the fiscal council: Luiz Alberto de Castro Fallerios (effective) and Eduardo Georges Chehab (alternate).
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Bank of America
BAC
60505104
4/25/2018
1. Election of fifteen directors: A. Sharon L. Allen, B. Susan S. Bies, C. Jack O. Bovender, JR., D. Frank P. Bramble, SR., E. Pierre J.P. de Weck, F. Arnold W. Donald, G. Linda P. Hudson, H. Monica C. Lozano, I. Thomas J. May, J. Brian T. Moynihan, K. Lionel L. Nowell, III, L. Michael D. White M. Thomas D. Woods, N. R. David Yost, O. Maria T. Zuber.
Issuer
Yes
For
For





 
 
 
 
2. Approving Company's executive compensation, an advisory, non-binding "Say on Pay" resolution.
Issuer
Yes
For
For
 
 
 
 
3. Ratifying the appointment of PricewaterhouseCooper LLP as Company's independent registered public accounting firm for 2018.
Issuer
Yes
For
For
 
 
 
 
4. Stockholder proposal regarding independent board chairman.
Security Holder
Yes
Against
For
 
 
 
 
 
 
 
 
 
Best Buy Co., Inc.
BBY
86516101
6/12/2018
1. To elect ten directors: a. Lisa M. Caputo, b. J. Patrick Doyle, c. Russell P. Fradin, d. Kathy J. Higgins Victor, e. Hubert Joly, f. David W. Kenny, g. Karen A. McLoughlin, h. Thomas L. Milner, i. Claudia F. Munce, j. Richelle P. Parham.
Issuer
No
 
 
 
 
 
 
2. Ratify the appointment of Deloitte & Touche LLP as Company's independent registered public accounting firm for the fiscal year ending February 2, 2019.
Issuer
No
 
 
 
 
 
 
3. To approve in a non-binding advisory vote the named executive officer compensation.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Carnival Corporation
CCL
143658300
4/11/2018
1. Re-elect Mickey Arison as a Director of Carnival Corporation and as a Director of Carnival plc.
Issuer
Yes
For
For
 
 
 
 
2. Re-elect Sir Jonathon Band as a Director of Carnival Corporation and as a Director of Carnival plc.
Issuer
Yes
For
For
 
 
 
 
3. Elect Jason Glen Cahilly as a Director of Carnival Corporation and as a Director of Carnival plc.
Issuer
Yes
For
For
 
 
 
 
4. Re-elect Helen Deeble as a Director of Carnival Corporation and as a Director of Carnival plc.
Issuer
Yes
For
For
 
 
 
 
5. Re-elect Arnold W. Donald as a Director of Carnival Corporation and as a Director of Carnival plc.
Issuer
Yes
For
For
 
 
 
 
6. Re-elect Richard J. Glasier as a Director of Carnival Corporation and as a Director of Carnival plc.
Issuer
Yes
For
For
 
 
 
 
7. Re-elect Debra Kelly-Ennis as a Director of Carnival Corporation and as a Director of Carnival plc.
Issuer
Yes
For
For
 
 
 
 
8. Re-elect Sir John Parker as a Director of Carnival Corporation and as a Director of Carnival plc.
Issuer
Yes
For
For
 
 
 
 
9. Re-elect Stuart Subonick as a Director of Carnival Corporation and as a Director of Carnival plc.
Issuer
Yes
For
For
 
 
 
 
10. Re-elect Laura Weil as a Director of Carnival Corporation and as a Director of Carnival plc.
Issuer
Yes
For
For
 
 
 
 
11. Re-elect Randall J. Weisenburger as a Director of Carnival Corporation and as a Director of Carnival plc.
Issuer
Yes
For
For





 
 
 
 
12. Hold a (non-binding) advisory vote to approve executive compensation (in accordance with legal requirements applicable to U.S. companies).
Issuer
Yes
For
For
 
 
 
 
13. Approve the Carnival plc Directors' Remuneration Report (in accordance with legal requirements applicable to UK companies).
Issuer
Yes
For
For
 
 
 
 
14. Re-appoint the UK firm of PricewaterhouseCoopers LLP as independent auditors for Carnival plc and to ratify the selection of the U.S. firm of PricewaterhouseCoopers LLP as the independent registered certified public accounting firm of Carnival Corporation.
Issuer
Yes
For
For
 
 
 
 
15. Authorize the Audit Committee of Carnival plc to determine the renumeration of the independent auditors of Carnival plc (in accordance with legal requirements applicable to UK companies).
Issuer
Yes
For
For
 
 
 
 
16. Receive the UK accounts and reports of the Directors and auditors of Carnival plc for the year ended November 30, 2017 (in accordance with legal requirements applicable to UK companies).
Issuer
Yes
For
For
 
 
 
 
17. Approve the giving of authority for the allotment of new shares by Carnival plc (in accordance with customary practice for UK companies).
Issuer
Yes
For
For
 
 
 
 
18. Approve the disapplication of pre-emption rights in relation to the allotment of new shares by Carnival plc (in accordance with customary practice for UK companies).
Issuer
Yes
For
For
 
 
 
 
19. Approve a general authority for Carnvial plc to buy back Carnival plc ordinary shares in the open market (in accordance with legal requirements applicable to UK companies desiring to implement share buy back programs).
Issuer
Yes
For
For
 
 
 
 
20. Transact such other business as may properly come before the meeting.
Issuer
Yes
For
For
 
 
 
 
 
 
 
 
 
The Charles Schwab Corporation
SCHW
808513105
5/15/2018
1a. Election of director: Walter W. Bettinger II.
Issuer
No
 
 
 
 
 
 
1b. Election of director: Joan T. Dea.
Issuer
No
 
 
 
 
 
 
1c. Election of director: Christopher V. Dodds.
Issuer
No
 
 
 
 
 
 
1d. Election of director: Mark A. Goldfarb.
Issuer
No
 
 
 
 
 
 
1e. Election of director: Charles A. Ruffel.
Issuer
No
 
 
 
 
 
 
2. Ratification of the selection of Deloitte & Touche LLP as independent auditors.
Issuer
No
 
 
 
 
 
 
3. Advisory vote to approve named executive officer compensation.
Issuer
No
 
 





 
 
 
 
4. Approval of 2013 Stock Incentive Plan as amended and restated.
Issuer
No
 
 
 
 
 
 
5. Approval of amended and restated bylaws to adopt a proxy access bylaw for director nominations by stockholders.
Issuer
No
 
 
 
 
 
 
6. Stockholder proposal requesting annual disclosure of EEO-1 data.
Security Holder
No
 
 
 
 
 
 
7. Stockholder proposal requesting disclosure of the Company's political contributions and expenditures, recipients, and related policies and procedures.
Security Holder
No
 
 
 
 
 
 
 
 
 
 
 
Citigroup Inc.
C
172967424
4/24/2018
1. Proposal to elect sixteen directors: A. Michael L. Corbat, B. Ellen M. Costello, C. John C. Dugan, D. Duncan P. Hennes, E. Peter B. Henry, F. Franz B. Humer, G. S. Leslie Ireland, H. Renee J. James, I. Eugene M. McQuade, J. Michael E. O'Neill, K. Gary M. Reiner, L. Anthony M. Santomero, M. Diana L. Taylor, N. James S. Turley, O. Deborah C. Wright, P.Ernesto Zedillo Ponce de Leon.
Issuer
Yes
For
For
 
 
 
 
2. Proposal to ratify the selection of KPMG LLP as Citi's independent registered public accounting firm for 2018.
Issuer
Yes
For
For
 
 
 
 
3. Advisory approval of Citi's 2017 executive compensation.
Issuer
Yes
For
For
 
 
 
 
4. Approval of an amendment to the Citigroup 2014 stock incentive plan authorizing additional shares.
Issuer
Yes
For
For
 
 
 
 
5. Stockholder proposal requesting a Human and Indigenous Peoples' Rights Policy.
Security Holder
Yes
Against
For
 
 
 
 
6. Stockholder proposal requesting that our Board take the steps necessary to adopt cumulative voting.
Security Holder
Yes
Against
For
 
 
 
 
7. Stockholder proposal requesting a report on lobbying and grassroots lobbying contributions.
Security Holder
Yes
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.
Security Holder
Yes
Against
For
 
 
 
 
9. Stockholder proposal requesting that the Board adopt a policy prohibiting the vesting of equity-based awards for senior executives due to voluntary resignation to enter government service.
Security Holder
Yes
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.
Security Holder
Yes
Against
For
 
 
 
 
 
 
 
 
 





Diamondback Energy, Inc.
FANG
25278X109
6/7/2018
1. To elect seven directors: A. Steven E. West, B. Travis D. Slice, C. Michael L. Hollis, D. Michael P. Cross, E. David L. Houston, F. Mark L. Plaumann, G. Melanie M. Trent.
Issuer
Yes
For
For
 
 
 
 
2. Approve, on an advisory basis, the compensation paid to the Company's named executive directors.
Issuer
Yes
For
For
 
 
 
 
3. Proposal to ratify the appointment of Grant Thornton LLP as the Company's independent auditors for the fiscal year ending December 31, 2018.
Issuer
Yes
For
For
 
 
 
 
 
 
 
 
 
D.R. Horton, Inc.
DHI
23331A109
1/24/2018
1. To elect five directors: A. Donald R. Horton, B. Barbara K. Allen, C. Brad S. Anderson, D. Michael R. Buchanan, E. Michael W. Hewatt.
Issuer
No
 
 
 
 
 
 
2. Approval of the advisory resolution on executive compensation.
Issuer
No
 
 
 
 
 
 
3. Approval of the advisory vote as to the frequency of future advisory votes on executive compensation.
Issuer
No
 
 
 
 
 
 
4. Approval of the material terms of the performance criteria under the Company's 2017 incentive bonus plan.
Issuer
No
 
 
 
 
 
 
5. Ratify the appointment of PricewaterhouseCoopers LLP as Company's independent registered public accounting firm.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
JP Morgan Chase & Co.
JPM
46625H100
5/15/2018
1. To elect twelve directors: a. Linda B. Bammann, b. James A. Bell, c. Stephen B. Burke, d. Todd A. Combs, e. James S. Crown, f. James Dimon, g. Timothy P. Flynn, h. Mellody Hobson, i. Laban P. Jackson, Jr., j. Michael A. Neal, k. Lee R. Raymond, l. William C. Weldon.
Issuer
Yes
For
For
 
 
 
 
2. Ratification of special meeting provisions in the Firm's By-Laws.
Issuer
Yes
For
For
 
 
 
 
3. Advisory resolution to approve executive compensation.
Issuer
Yes
For
For
 
 
 
 
4. Approval of Amended and Restated Long-Term Incentive Plan effective May 15, 2018
Issuer
Yes
For
For
 
 
 
 
5. Ratification of PricewaterhouseCoopers LLP as Company's independent registered public accounting firm.
Issuer
Yes
For
For
 
 
 
 
6. Shareholder proposal requesting Board of Directors to adopt a policy, and amend governing documents as necessary, to require henceforth that the Chair of the Board of Directors, whenever possible, be an independent member of the board.
Security Holder
Yes
Against
For
 
 
 
 
7. Shareholder proposal requesting the Board of Directors adopt a policy prohibiting the vesting of equity-based awards for senior executives due to a voluntary resignation to enter government service.
Security Holder
Yes
Against
For





 
 
 
 
8. Shareholder proposal requesting the Board of Directors issue a report analyzing JPMorgan's published corporate values align with its policies regarding investments in companies tied to genocide or crimes against humanity, and specifically explain how its investments in CNPC/PetroChina are consistent with its published corporate values.
Security Holder
Yes
Against
For
 
 
 
 
9. Shareholder proposal recommending the Board take the steps necessary to adopt cumulative voting.
Security Holder
Yes
Against
For
 
 
 
 
 
 
 
 
 
Lam Research Corporation
LCRX
512807108
11/8/2017
1. To elect ten directors: 01. Martin B. Anstice, 02. Eric K. Brandt, 03. Michael R. Cannon, 04. Youssef A. El-Mansy, 05. Christine A. Heckart, 06. Young Bum (YB) Koh, 07. Catherine P. Lego, 08. Stephen G. Newberry, 09. Abhijit Y. Talwalkar, 10. Lih Shyng Tsai.
Issuer
Yes
For
For
 
 
 
 
2. Advisory vote to approve the compensation of the named executive officers of Lam Research.
Issuer
Yes
For
For
 
 
 
 
3. Advisory vote to approve the frequency of holding future stockholder advisory votes on Company's named executive officer compensation to 1 year.
Issuer
Yes
For
For
 
 
 
 
4. Ratification of the appointment of Ernst & Young LLP as the independent registered public accounting firm for fiscal year 2018.
Issuer
Yes
For
For
 
 
 
 
5. Stockholder proposal regarding annual disclosure of EEO-1 Data.
Security Holder
Yes
Against
For
 
 
 
 
 
 
 
 
 
LyondellBasell Industries N.V.
LYB
N53745100
6/1/2018
1. Adoption of the proposed amendments to Company's articles of association.
Issuer
No
 
 
 
 
 
 
2. Election of directors to Company's unitary board and Company's supervisory board, for the period following the meeting until the unitary board is formally implemented or in the event the amendments to Company's articles of association are not adopted: 2a. Bhavesh (Bob) Patel (unitary board only), 2b. Robert Gwin, 2c. Jacques Aigrain, 2d. Lincoln Benet, 2e. Jagjeet Bindra, 2f. Robin Buchanan, 2g. Stephen Cooper, 2h. Nance Dicciani, 2i. Claire Farley, 2j. Isabella Goren, 2k. Bruce Smith, 2l. Rudy van der Meer.
Issuer
No
 
 
 
 
 
 
3. Election of directors to Company's management board, for the period following the meeting until the unitary board is formally implemented or in the event the amendments to Company's articles of association are not adopted: 3a. Bhavesh (Bob) Patel, 3b. Thomas Aebischer, 3c. Daniel Coombs, 3d. Jeffrey Kaplan, 3e. James Guilfoyle.
Issuer
No
 
 





 
 
 
 
4. Adoption of Dutch Statutory annual accounts for 2017.
Issuer
No
 
 
 
 
 
 
5. Discharge from liability of members of the management board.
Issuer
No
 
 
 
 
 
 
6. Discharge from liability of members of the supervisory board.
Issuer
No
 
 
 
 
 
 
7. Appointment of PricewaterhouseCoopers accountants N.V. as the auditor for Company's 2018 Dutch Statutory annual accounts.
Issuer
No
 
 
 
 
 
 
8. Ratification of PricewaterhouseCoopers LLP as Company's independent registered public accounting firm for 2018.
Issuer
No
 
 
 
 
 
 
9. Ratification and approval of dividends in respect of the 2017 Dutch Statutory annual account.
Issuer
No
 
 
 
 
 
 
10. Advisory (non-binding) vote approving executive compensation.
Issuer
No
 
 
 
 
 
 
11. Authorization to conduct shares repurchases.
Issuer
No
 
 
 
 
 
 
12. Authorization of the cancellation of shares.
Issuer
No
 
 
 
 
 
 
13. Amendment and extension of employee stock purchase plan.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Micron Technology, Inc.
MU
595112103
1/17/2018
1. To elect seven directors: 1. Robert L. Bailey, 2. Richard M. Beyer, 3. Patrick J. Byrne, 4. Mercedes Johnson, 5. Sanjay Mehrotra, 6. Lawrence N. Mondry, 7. Robert E. Switz.
Issuer
Yes
For
For
 
 
 
 
2. Approve Company's employee stock purchase plan with 33 million shares reserved for issuance thereunder.
Issuer
Yes
For
For
 
 
 
 
3. Approve the material terms of the performance goals under Company's executive officer performance incentive plan.
Issuer
Yes
For
For
 
 
 
 
4. Ratify the appointment of PricewaterhouseCoopers LLP as Company's independent registered public accounting firm for the fiscal year ending August 30, 2018.
Issuer
Yes
For
For
 
 
 
 
5. Approve a non-binding resolution to approve executive compensation
Issuer
Yes
For
For
 
 
 
 
6. Approve, in a non-binding vote, the frequency with which shareholders will be entitled to have an advisory vote on executive compensation to 1 year.
Issuer
Yes
For
For
 
 
 
 
 
 
 
 
 
Morgan Stanley
MS
617446448
5/24/2018
1. To elect twelve directors: a. Elizabeth Corley, b. Alistair Darling, c. Thomas H. Glocer, d. James P. Gorman, e. Robert H. Herz, f. Nobuyuki Hirano, g. Jami Miscik, h. Dennis M. Nally, i. Hutham S. Olayan, j. Ryosuke Tamakoshi, k. Perry M. Traquina, l. Rayford Wilkins, Jr..
Issuer
Yes
For
For





 
 
 
 
2. Ratification of appointment of Deloitte & Touche LLP as independent auditor.
Issuer
Yes
For
For
 
 
 
 
3. Approval, on an advisory basis, of the Company's executive compensation.
Issuer
Yes
For
For
 
 
 
 
4. Shareholder proposal regarding a policy to prohibit vesting of deferred equity awards for senior executives who resign to enter government service.
Security Holder
Yes
Against
For
 
 
 
 
 
 
 
 
 
Petroleo Brasileiro S.A.
PBR
71654V408
4/26/2018
E1. Proposal for the amendment of Petrobras' bylaw.
Issuer
No
 
 
 
 
 
 
E2. Consolidation of the bylaw to reflect the approved amendments.
Issuer
No
 
 
 
 
 
 
1. To analyze manageents accounts, examination, discussion and voting of the integrated reporting and the Company's financial statements, accompanied by the report of the independent auditors and the fiscal council's report, for the fiscal year ended December 31, 2017.
Issuer
No
 
 
 
 
 
 
2. Set the number of members of the Board of directors, as proposed.
Issuer
No
 
 
 
 
 
 
3. Election of the members of the Board of directors.
Issuer
No
 
 
 
 
 
 
3a1. Candidates nominated by the controlling shareholder:
Issuer
No
 
 
 
 
 
 
1. Luiz Nelson Guedes de Carvalho.
Issuer
No
 
 
 
 
 
 
2. Pedro Pullen Parente.
Issuer
No
 
 
 
 
 
 
3. Francisco Petros Oliveira Lima Papathanasiadis.
Issuer
No
 
 
 
 
 
 
4. Sergen Farid Estefen.
Issuer
No
 
 
 
 
 
 
5. Jose Alberto de Paula Torres Lima.
Issuer
No
 
 
 
 
 
 
6. Clarissa de Arauujo Lins.
Issuer
No
 
 
 
 
 
 
7. Ana Lucia Pocas Zambelli.
Issuer
No
 
 
 
 
 
 
8. Jeronimo Antunes.
Issuer
No
 
 
 
 
 
 
3a2. If one of the candidates that compose the slate fails to integrate it, your vote will continue to be conferred to the chosen slate.
Issuer
No
 
 
 
 
 
 
3a3. In case of adoption of the multiple vote process, to distribute your votes in equal percentages by the members of the controlling shareholder slate.
Issuer
No
 
 
 
 
 
 
3b. Candidates nominated by minority shareholders for the separate election:
Issuer
No
 
 
 
 
 
 
3b1. Marcelo Mesquita de Siqueira Filho.
Issuer
No
 
 
 
 
 
 
3b2. Marcelo Gasparino da Silva.
Issuer
No
 
 
 
 
 
 
4. Election of the chairman of the Board of directors: Luiz Nelson Guedes de Carvalho.
Issuer
No
 
 
 
 
 
 
5. Election of the members of the Fiscal Council.
Issuer
No
 
 





 
 
 
 
5a. Candidates nominated by the controlling shareholder: Holder: Adriano Pereira de Paula, Substitute: Jose Franco Medeiros de Morais, Holder: Marisete Fatima Dadald Pereira, Substitute: Agnes Maria de Aragao Costa, Holder: Eduardo Cesar Pasa, Substitute: Mauricyo Jose Andrade Correia.
Issuer
No
 
 
 
 
 
 
5b. Candidates nominated by minority shareholders for the separate election: Holder: Reginaldo Ferreira Alexandre, Substitute: Susan Hanna Stiphan Jabra.
Issuer
No
 
 
 
 
 
 
6. Establishment of the financial compensation of directors, members of the Fiscal Council and members of the Statutory Advisory Committees to the Board of Directors.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Prudential Financial, Inc.
PRU
744320102
5/8/2018
1. To elect twelve directors: a. Thomas J. Baltimore, Jr., b. Gilbert F. Casellas, c. Mark B. Grier, d. Martina Hund-Mejean, e. Karl J. Krapek, f. Peter R. Lighte, g. George Paz, h. Sandra Pianalto, i. Christine A. Poon, j. Douglas A. Scovanner, k. John R. Strangfeld, l. Michael A. Todman.
Issuer
Yes
For
For
 
 
 
 
2. To ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for 2018.
Issuer
Yes
For
For
 
 
 
 
3. To approve, on an advisory basis, the compensation of the Company's named executive officers.
Issuer
Yes
For
For
 
 
 
 
4. Shareholder proposal regarding an independent Board Chairman.
Issuer
Yes
Against
For
 
 
 
 
 
 
 
 
 
Royal Caribbean Cruises LTD.
RCL
V7780T103
5/21/2018
1. To elect twelve directors: A. John F. Brock, B. Richard D. Fain, C. William L. Kimsey, D. Maritza G. Montiel, E. Ann S. Moore, F. Eyal M. Ofer, G. Thomas J. Pritzker, H. William K. Reilly, I. Bernt Reitan, J. Vagn O. Sorensen, K. Donald Thompson, L. Arne Alexander Wilhelmsen.
Issuer
Yes
For
For
 
 
 
 
2. Advisory approval of the Company's compensation of its named executive officers.
Issuer
Yes
For
For
 
 
 
 
3. Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for 2018.
Issuer
Yes
For
For
 
 
 
 
 
 
 
 
 
Skyworks Solutions, Inc.
SWKS
83088M102
5/9/2018
1.1 Election of director: David J. Aldrich.
Issuer
No
 
 
 
 
 
 
1.2 Election of director: Kevin L. Beebe.
Issuer
No
 
 
 
 
 
 
1.3 Election of director: Timothy R. Furey.
Issuer
No
 
 
 
 
 
 
1.4 Election of director: Liam K. Griffin.
Issuer
No
 
 
 
 
 
 
1.5 Election of director: Balakrishnan S. Iyer.
Issuer
No
 
 





 
 
 
 
1.6 Election of director: Christine King.
Issuer
No
 
 
 
 
 
 
1.7 Election of director: David P. McGlade.
Issuer
No
 
 
 
 
 
 
1.8 Election of director:David J. McLachlan.
Issuer
No
 
 
 
 
 
 
1.9 Election of director: Robert A. Schriesheim.
Issuer
No
 
 
 
 
 
 
2. To ratify the selection by the Company's Audit Committee of KPMG LLP as the independent registered public accounting firm.
Issuer
No
 
 
 
 
 
 
3. To approve, on an advisory basis, the compensation of the Company's named executive officers.
Issuer
No
 
 
 
 
 
 
4. To approve the Company's amended and restated 2008 director long-term incentive plan, as amended.
Issuer
No
 
 
 
 
 
 
5. To ratify an amendment to the Company's by-laws that provides the Company's stockholder the right to request a special meeting of stockholders.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Transocean Ltd.
RIG
H8817H100
5/18/2018
1. Approval of the 2017 annual report, including the audited consolidated financial statements and the audited statutory financial statements of Transocean Ltd. For fiscal year 2017.
Issuer
No
 
 
 
 
 
 
2. Discharge of the members of the board of directors and executive management team from liability for activities during fiscal year 2017.
Issuer
No
 
 
 
 
 
 
3. Appropriation of the accumulated loss for fiscal year 2017 and release of CHF 1,500,000,000 of statutory capital reserves from capital contribution and allocation to free capital reserves from capital contribution.
Issuer
No
 
 
 
 
 
 
4. Renewal of authorized share capital.
Issuer
No
 
 
 
 
 
 
5. Re-election of eleven directors, each for a term extending until completion of the next annual general meeting.
 
 
 
 
 
 
 
 
5A. Glyn A. Barker.
Issuer
No
 
 
 
 
 
 
5B. Vanessa C.L. Chang.
Issuer
No
 
 
 
 
 
 
5C. Frederico F. Curado.
Issuer
No
 
 
 
 
 
 
5D. Chadwick C. Deaton.
Issuer
No
 
 
 
 
 
 
5E. Vincent J. Intrieri.
Issuer
No
 
 
 
 
 
 
5F. Samuel J. Merksamer.
Issuer
No
 
 
 
 
 
 
5G. Merrill A. "Pete" Miller, Jr..
Issuer
No
 
 
 
 
 
 
5H. Frederik W. Mohn.
Issuer
No
 
 
 
 
 
 
5I. Edward R. Muller.
Issuer
No
 
 
 
 
 
 
5J. Tan Ek Kia.
Issuer
No
 
 
 
 
 
 
5K. Jeremy D. Thigpen.
Issuer
No
 
 





 
 
 
 
6. Election of Merrill A. "Pete" Miller, Jr. as the chairman of the board of directors for a term extending until completion of the next annual general meeting.
Issuer
No
 
 
 
 
 
 
7. Election of the members of the compensation committee, each for a term extending until completion of the next annual general meeting.
 
 
 
 
 
 
 
 
7A. Frederico F. Curado.
Issuer
No
 
 
 
 
 
 
7B. Vincent J. Intrieri.
Issuer
No
 
 
 
 
 
 
7C. Tan Ek Kia.
Issuer
No
 
 
 
 
 
 
8. Re-election of Schweiger Advokatur / Notariat as the independent proxy for a term extending until completion of the next annual general meeting.
Issuer
No
 
 
 
 
 
 
9. Appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for fiscal year 2018 and re-election of Ernst & Young Ltd, Zurich, as the Company's auditor for a further one-year term.
Issuer
No
 
 
 
 
 
 
10. Advisory vote to approve named executive officer compensation.
Issuer
No
 
 
 
 
 
 
11. Prospective votes on the maximum compensation of the board of directors and executive management team, respectively.
 
 
 
 
 
 
 
 
11A. Ratification of an amount of US $4,121,000 as the maximum aggregate amount of compensation of the board of directors for the period between 2018 and the 2019 annual general meetings.
Issuer
No
 
 
 
 
 
 
11B. Ratification of an amount of US $24,000,000 as the maximum aggregate amount of compensation of the executive management team for fiscal year 2019.
Issuer
No
 
 
 
 
 
 
12. Approval of amendment to Transocean Ltd. 2015 Long-Term incentive plan for additional reserves.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Turquoise Hill Resources Ltd.
TRQ
900435108
5/8/2018
1. To elect seven directors: 01. James W. Gill, 02. R. Peter Gillin, 03. Stephen Jones, 04. Ulf Quellmann, 05. Russel C. Robertson, 06. Maryse Saint-Laurent, 07. Jeff Tygesen.
Issuer
Yes
For
For
 
 
 
 
2. To appoint PricewaterhouseCoopers LLP, Chartered professional accountants, as auditors of the Corporation at a remuneration to be fixed by the board of directors.
Issuer
Yes
For
For
 
 
 
 
3. Non-binding advisory vote to accept the approach to executive compensation.
Issuer
Yes
For
For
 
 
 
 
 
 
 
 
 
United Rental, Inc.
URI
911363109
5/9/2018
1a. Election of director: Jose B. Alvarez.
Issuer
No
 
 
 
 
 
 
1b. Election of director: Jenne K. Britell.
Issuer
No
 
 
 
 
 
 
1c. Election of director: Marc A. Bruno.
Issuer
No
 
 





 
 
 
 
1d. Election of director: Bobby J. Griffin.
Issuer
No
 
 
 
 
 
 
1e. Election of director: Terri L. Kelly.
Issuer
No
 
 
 
 
 
 
1f. Election of director: Michael J. Kneeland.
Issuer
No
 
 
 
 
 
 
1g. Election of director: Gracia C. Martore.
Issuer
No
 
 
 
 
 
 
1h. Election of director: Jason D. Papastavrou.
Issuer
No
 
 
 
 
 
 
1i. Election of director: Filippo Passerini.
Issuer
No
 
 
 
 
 
 
1j. Election of director: Donald C. Roof.
Issuer
No
 
 
 
 
 
 
1k. Election of director: Shiv Singh.
Issuer
No
 
 
 
 
 
 
2. Ratification of appointment of Ernst & Young LLP as public accounting firm.
Issuer
No
 
 
 
 
 
 
3. Advisory approval of executive compensation.
Issuer
No
 
 
 
 
 
 
4. Stockholder proposal on shareholder right to act by written consent.
Security Holder
No
 
 
 
 
 
 
 
 
 
 
 
Vale S.A.
VALE
91912E105
10/18/2017
1. Amendment to Vale's by-laws.
Issuer
No
 
 
 
 
 
 
2. Conversion of all class "A" preferred shares issued by Vale into common shares in the ratio of 0.9342 common share for each class "A" preferred share.
Issuer
No
 
 
 
 
 
 
3. Election of two members of the board of directors. A holder may vote for up to two candidates. If the quorum for the separate election is achieved, only one member will be elected pursuant to this resolution 3. if the quorum for separate election is not achieved, two members will be elected pursuant to this resolution 3.
 
 
 
 
 
 
 
 
3.1. Candidate 1: Isabella Soboya, as effective member.
Issuer
No
 
 
 
 
 
 
3.2. Candidate 2: Ricardo Reisen de Pinho, as effective member and Marcio Guedes Pereira Junior, as alternate.
Issuer
No
 
 
 
 
 
 
4. Separate election process for one member of the board of directors by non-controlling holders of common shares.
 
 
 
 
 
 
 
 
4.1. Candidate 1: Sandra Guerra, as effective member.
Issuer
No
 
 
 
 
 
 
4.2. Candidate 2: Marcelo Gasparino da Silva, as effective member, and Bruno C. H. Bastit, as alternate.
Issuer
No
 
 
 
 
 
 
5. Separate election process for one member of the board of directors by non-controlling holders of common shares aggregated with preferred shares.
 
 
 
 
 
 
 
 
5.1. Candidate 1: Sandra Guerra, as effective member.
Issuer
No
 
 
 
 
 
 
5.2. Candidate 2: Marcelo Gasparino da Silva, as effective member, and Bruno C.H. Bastit as alternate.
Issuer
No
 
 





 
 
 
 
 
 
 
 
 
Vale S.A.
VALE
91912E105
12/21/2017
1. Proposal to list Vale's shares on the "Novo Mercado" special segment of the B3 S.A. - Brasil, Bolsa, Balcao (B3)
Issuer
No
 
 
 
 
 
 
2. Amendment to Vale's by-laws.
Issuer
No
 
 
 
 
 
 
3. Approval of the protocol and justification of merger of Balderton.
Issuer
No
 
 
 
 
 
 
4. Approval of the protocol and justification of merger of Fortlee.
Issuer
No
 
 
 
 
 
 
5. Approval of the protocol and justification of partial spin-off of EBM, with the merger of the spun-off portion into Vale.
Issuer
No
 
 
 
 
 
 
6. Ratification of premiumbravo auditores independentes as auditors.
Issuer
No
 
 
 
 
 
 
7. Approval of the appraisal report of Balderton, prepard by the specialized company.
Issuer
No
 
 
 
 
 
 
8. Approval of the appraisal report of Fortlee, prepared by the specialized company.
Issuer
No
 
 
 
 
 
 
9. Approval of the appraisal report of the spun-off portion of EBM's equity, prepared by the specialized company.
Issuer
No
 
 
 
 
 
 
10. Approval of the merger of Balderton.
Issuer
No
 
 
 
 
 
 
11. Approval of the merger of Fortlee.
Issuer
No
 
 
 
 
 
 
12. Approval of the merger of the spun-off portion of EBM's equity.
Issuer
No
 
 
 
 
 
 
13. Ratification of appointment of effective and alternate members of the board of directors.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Vale S.A.
VALE
91912E105
4/13/2018
1. Evaluation of the management's report and analysis, discussion and vote on the financial statements for the fiscal year ended December 31, 2017.
Issuer
Yes
For
For
 
 
 
 
2. Proposal for the allocation of profits for the year 2017, and the consequent approval of Vale's capital budget.
Issuer
Yes
For
For
 
 
 
 
3. Ratification of nomination of Mr. Ney Roberto Ottoni de Brito as principal member of the Board of Directors.
Issuer
Yes
For
For
 
 
 
 
4. Election of the members of the Fiscal Council and respective alternates nominated by controlling shareholders: Marcelo Amaral Moraes = Effective, Marcus Vinicius Dias Severini = Effective, Eduardo Cesar Pasa = Effective, Sergio Mamede Rosa do Nascimento = Alternate.
Issuer
Yes
For
For
 
 
 
 
5. Setting the compensation of management and members of the Fiscal Council for the year 2018.
Issuer
Yes
For
For
 
 
 
 
6. Ratification of the annual compensation paid to management and members of the Fiscal Council in the year 2017.
Issuer
Yes
For
For
 
 
 
 
E1. Amendment to Vale's by-laws and its restatement.
Issuer
Yes
For
For





 
 
 
 
 
 
 
 
 
Western Digital Corporation
WDC
958102105
11/2/2017
1. To elect eight directors:
 
 
 
 
 
 
 
 
1a. Martin I. Cole
Issuer
No
 
 
 
 
 
 
1b. Kathleen A. Cote.
Issuer
No
 
 
 
 
 
 
1c. Henry T. DeNero.
Issuer
No
 
 
 
 
 
 
1d. Michael D. Lambert.
Issuer
No
 
 
 
 
 
 
1e. Len J. Lauer.
Issuer
No
 
 
 
 
 
 
1f. Matthew E. Massengill.
Issuer
No
 
 
 
 
 
 
1g. Stephen D. Milligan.
Issuer
No
 
 
 
 
 
 
1h. Paula A. Price.
Issuer
No
 
 
 
 
 
 
2. To approve on an advisory basis the named executive officer compensation.
Issuer
No
 
 
 
 
 
 
3. To approve on an advisory basis the frequency of future advisory votes on named executive officer compensation.
Issuer
No
 
 
 
 
 
 
4. To approve an amendment and restatement of Company's 2004 performance incentive plan that would among other things, rename the plan as the "2017 performance incentive plan" and increase by fourteen million (14,000,000) the number of shares of common stock available for issuance under the plan.
Issuer
No
 
 
 
 
 
 
5. To ratify the appointment of KPMG LLP as Company's independent registered public accounting firm for the fiscal year ending June 29, 2018.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 





 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 






CGM Trust - File No. 811-00082
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
CGM Realty Fund
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Issuer
Ticker
CUSIP
Meeting
Date
Matter
Voted On
Proposed
By Issuer or
Security Holder
Was
Vote
Cast
Actual
Vote
For or
Against
Mgt.
Bank of America
BAC
60505104
4/25/2018
1. Election of fifteen directors: A. Sharon L. Allen, B. Susan S. Bies, C. Jack O. Bovender, JR., D. Frank P. Bramble, SR., E. Pierre J.P. de Weck, F. Arnold W. Donald, G. Linda P. Hudson, H. Monica C. Lozano, I. Thomas J. May, J. Brian T. Moynihan, K. Lionel L. Nowell, III, L. Michael D. White M. Thomas D. Woods, N. R. David Yost, O. Maria T. Zuber.
Issuer
Yes
For
For
 
 
 
 
2. Approving Company's executive compensation, an advisory, non-binding "Say on Pay" resolution.
Issuer
Yes
For
For
 
 
 
 
3. Ratifying the appointment of PricewaterhouseCooper LLP as Company's independent registered public accounting firm for 2018.
Issuer
Yes
For
For
 
 
 
 
4. Stockholder proposal regarding independent board chairman.
Security Holder
Yes
Against
For
 
 
 
 
 
 
 
 
 
Citigroup Inc.
C
172967424
4/24/2018
1. Proposal to elect sixteen directors: A. Michael L. Corbat, B. Ellen M. Costello, C. John C. Dugan, D. Duncan P. Hennes, E. Peter B. Henry, F. Franz B. Humer, G. S. Leslie Ireland, H. Renee J. James, I. Eugene M. McQuade, J. Michael E. O'Neill, K. Gary M. Reiner, L. Anthony M. Santomero, M. Diana L. Taylor, N. James S. Turley, O. Deborah C. Wright, P.Ernesto Zedillo Ponce de Leon.
Issuer
Yes
For
For
 
 
 
 
2. Proposal to ratify the selection of KPMG LLP as Citi's independent registered public accounting firm for 2018.
Issuer
Yes
For
For
 
 
 
 
3. Advisory approval of Citi's 2017 executive compensation.
Issuer
Yes
For
For
 
 
 
 
4. Approval of an amendment to the Citigroup 2014 stock incentive plan authorizing additional shares.
Issuer
Yes
For
For
 
 
 
 
5. Stockholder proposal requesting a Human and Indigenous Peoples' Rights Policy.
Security Holder
Yes
Against
For
 
 
 
 
6. Stockholder proposal requesting that our Board take the steps necessary to adopt cumulative voting.
Security Holder
Yes
Against
For
 
 
 
 
7. Stockholder proposal requesting a report on lobbying and grassroots lobbying contributions.
Security Holder
Yes
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.
Security Holder
Yes
Against
For
 
 
 
 
9. Stockholder proposal requesting that the Board adopt a policy prohibiting the vesting of equity-based awards for senior executives due to voluntary resignation to enter government service.
Security Holder
Yes
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.
Security Holder
Yes
Against
For
 
 
 
 
 
 
 
 
 
DDR Corp
DDR
23117H102
5/8/2018
1. Election of eight directors: a. Terrance R. Ahern, b. Jane E. DeFlorio, c. Thomas Finne, d. David R. Lukes, e. Victor B. MacFarlane, f. Alexander Otto, g. Scott D. Roulston, h. Barry A. Sholem.
Issuer
No
 
 
 
 
 
 
2. Adoption of an amendment to the Company's articles of incorporation to eliminate the ability of shareholders to exercise cumulative voting in the election of directors.
Issuer
No
 
 
 
 
 
 
3. Adoption of an amendment to the Company's code of regulations to implement proxy access in connection with annual meetings of shareholders.
Issuer
No
 
 
 
 
 
 
4. Authorization of the Company's board of directors to effect, in its discretion, a reverse stock split of the Company's common stock and the adoption of a corresponding amendment to the Company's articles of incorporation.
Issuer
No
 
 
 
 
 
 
5. Approval, on an advisory basis, of the compensation of the Company's named executive officers.
Issuer
No
 
 
 
 
 
 
6. Ratification of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
D.R. Horton, Inc.
DHI
23331A109
1/24/2018
1. To elect five directors: A. Donald R. Horton, B. Barbara K. Allen, C. Brad S. Anderson, D. Michael R. Buchanan, E. Michael W. Hewatt.
Issuer
Yes
For
For
 
 
 
 
2. Approval of the advisory resolution on executive compensation.
Issuer
Yes
For
For
 
 
 
 
3. Approval of the advisory vote as to the frequency of future advisory votes on executive compensation.
Issuer
Yes
For
For
 
 
 
 
4. Approval of the material terms of the performance criteria under the Company's 2017 incentive bonus plan.
Issuer
Yes
For
For
 
 
 
 
5. Ratify the appointment of PricewaterhouseCoopers LLP as Company's independent registered public accounting firm.
Issuer
Yes
For
For
 
 
 
 
 
 
 
 
 





Equity LifeStyle Properties, Inc.
ELS
29472R108
5/1/2018
1. To elect nine directors: 01. Phillip Calian, 02. David Contis,03. Constance Freedman, 04. Thomas Heneghan, 05. Tao Huang, 06. Marguerite Nader, 07. Sheli Rosenberg, 08. Howard Walker, 09. Samuel Zell.
Issuer
No
 
 
 
 
 
 
2. Ratification of the selection of Ernst & Young LLP as the Company's independent registered public accounting firm for 2018.
Issuer
No
 
 
 
 
 
 
3. Approval on a non-binding, advisory basis of our executive compensation.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Freeport- McMoRan Inc.
FCX
35671D857
6/5/2018
1. Election of seven directors: 1. Richard C. Adkerson, 2. Gerald J. Ford, 3. Lydia H. Kennard, 4. Jon C. Madonna, 5. Courtney Mather, 6. Dustan E. McCoy, 7. Frances Fragos Townsend.
Issuer
Yes
For
For
 
 
 
 
2. Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for 2018.
Issuer
Yes
For
For
 
 
 
 
3. Approval, on an advisory basis, of the compensation of our named executive officers.
Issuer
Yes
For
For
 
 
 
 
 
 
 
 
 
Hitlon Grand Vacations Inc.
HGV
43283X105
5/10/2018
1. To elect seven directors: 01. Mark D. Wang, 02. Leonard A. Potter, 03. Brenda J. Bacon, 04. David W. Johnson, 05. Mark H. Lazarus, 06. Pamela H. Patsley, 07. Paul W. Whetsell.
Issuer
No
 
 
 
 
 
 
2. Ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for 2018.
Issuer
No
 
 
 
 
 
 
3. Approve, by non-binding vote, the compensation paid to the Company's named executive officers.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Hilton Worldwide Holdings Inc.
HLT
43300A203
5/10/2018
1a. Election of director: Christopher J. Nassetta.
Issuer
No
 
 
 
 
 
 
1b. Election of director: Jonathan D. Gray.
Issuer
No
 
 
 
 
 
 
1c. Election of director: Charlene T. Begley.
Issuer
No
 
 
 
 
 
 
1d. Election of director: Melanie L. Healey.
Issuer
No
 
 
 
 
 
 
1e. Election of director: Raymond E. Mabus, Jr..
Issuer
No
 
 
 
 
 
 
1f. Election of director: Judith A. McHale.
Issuer
No
 
 
 
 
 
 
1g. Election of director: John G. Schreiber.
Issuer
No
 
 
 
 
 
 
1h. Election of director: Elizabeth A. Smith.
Issuer
No
 
 
 
 
 
 
1i. Election of director: Douglas M. Steenland.
Issuer
No
 
 
 
 
 
 
1j. Election of director: Zhang Ling.
Issuer
No
 
 





 
 
 
 
2. Ratification of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for 2018.
Issuer
No
 
 
 
 
 
 
3. Approval, in a non-binding advisory vote, of the compensation paid to the Company's named executive officers.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
The Howard Hughes Corporation
HHC
44267D107
5/17/2018
1. Election of ten directors: a. William Ackman, b. Adam Flatto, c. Jeffrey Furber, d. Beth Kaplan, e. Allen Model, f. R. Scot Sellers, g. Steven Shepsman, h. Burton M. Tansky, i. Mary Ann Tighe, j. David R. Weinreb.
Issuer
Yes
For
For
 
 
 
 
2. Advisory vote to approve named executive officer compensation.
Issuer
Yes
For
For
 
 
 
 
3. The ratification of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2018.
Issuer
Yes
For
For
 
 
 
 
 
 
 
 
 
Jones Lang LaSalle Incorporated
JLL
48020Q107
5/30/2018
1a. Election of Director: Hugo Bague.
Issuer
No
 
 
 
 
 
 
1b. Election of Director: Samuel A. Di Piazza, Jr..
Issuer
No
 
 
 
 
 
 
1c. Election of Director: Dame DeAnne Julius.
Issuer
No
 
 
 
 
 
 
1d. Election of Director: Shiela A. Penrose.
Issuer
No
 
 
 
 
 
 
1e. Election of Director: Ming Lu.
Issuer
No
 
 
 
 
 
 
1f. Election of Director: Bridget Macaskill.
Issuer
No
 
 
 
 
 
 
1g. Election of Director: Martin H. Nesbitt.
Issuer
No
 
 
 
 
 
 
1h. Election of Director: Ann Marie Petach.
Issuer
No
 
 
 
 
 
 
1i. Election of Director: Shailesh Rao.
Issuer
No
 
 
 
 
 
 
1j. Election of Director: Christian Ulbrich.
Issuer
No
 
 
 
 
 
 
2. Non-binding, advisory vote approving executive compensation.
Issuer
No
 
 
 
 
 
 
3. Ratification of appointment of KPMG LLP as independent registered public accounting firm.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Lennar Corporation
LEN
526057104
2/12/2018
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.
Issuer
No
 
 





 
 
 
 
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.
Issuer
No
 
 
 
 
 
 
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 proposal 1 and 2.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Marriot International, Inc.
MAR
571903202
5/4/2018
1. To elect fourteen directors: 1a. J.W. Marriott, Jr., 1b. Mary K. Bush, 1c. Bruce W. Duncan, 1d. Deborah M. Harrison, 1e. Frederick A. Henderson, 1f. Eric Hippeau, 1g. Lawrence W. Kellner, 1h. Debra L. Lee, 1i. Aylwin B. Lewis, 1j. George Munoz, 1k. Steven S. Reinemund, 1l. W. Mitt Romney, 1m. Susan C. Schwab, 1n. Arne M. Sorenson.
Issuer
No
 
 
 
 
 
 
2. Ratification of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for fiscal 2018.
Issuer
No
 
 
 
 
 
 
3. Advisory vote to approve executive compensation.
Issuer
No
 
 
 
 
 
 
4. Amend the Company's certificate of incorporation to provide holders of 25% of Company stock the right to call special meetings.
Issuer
No
 
 
 
 
 
 
5. Stockholder resolution to allow holders of 15% of Company stock to call special meetings.
Security Holder
No
 
 
 
 
 
 
6. Stockholder resolution to implement simple majority voting in the Company's governance documents.
Security Holder
No
 
 
 
 
 
 
 
 
 
 
 
Morgan Stanley
MS
617446448
5/24/2018
1. To elect twelve directors: a. Elizabeth Corley, b. Alistair Darling, c. Thomas H. Glocer, d. James P. Gorman, e. Robert H. Herz, f. Nobuyuki Hirano, g. Jami Miscik, h. Dennis M. Nally, i. Hutham S. Olayan, j. Ryosuke Tamakoshi, k. Perry M. Traquina, l. Rayford Wilkins, Jr..
Issuer
Yes
For
For
 
 
 
 
2. Ratification of appointment of Deloitte & Touche LLP as independent auditor.
Issuer
Yes
For
For
 
 
 
 
3. Approval, on an advisory basis, of the Company's executive compensation.
Issuer
Yes
For
For
 
 
 
 
4. Shareholder proposal regarding a policy to prohibit vesting of deferred equity awards for senior executives who resign to enter government service.
Security Holder
Yes
Against
For
 
 
 
 
 
 
 
 
 





NVR, Inc.
NVR
62944T105
5/2/2018
1. To elect twelve directors: A. C.E. Andrews, B. Timothy M. Donahue, C. Thomas D. Eckert, D. Alfred E. Festa, E. Ed Grier, F. Manuel H. Johnson, G. Mel Martinez, H. William A. Moran, I. David A. Preiser, J. W. Grady Rosier, K. Susan Williamson Ross, L. Dwight C. Schar.
Issuer
Yes
For
For
 
 
 
 
2. Ratification of appointment of KPMG LLP as independent auditor for the year ending December 31, 2018.
Issuer
Yes
For
For
 
 
 
 
3. Advisory vote to approve executive compensation.
Issuer
Yes
For
For
 
 
 
 
4. Adoption of the NVR, Inc. 2018 equity incentive plan.
Issuer
Yes
For
For
 
 
 
 
 
 
 
 
 
PotlatchDeltic Corporation
PCH
737630103
5/7/2018
1. To elect four directors: a. William L. Driscoll, b. Eric J. Cremers, c. D. Mark Leland, d. Lenore M. Sullivan.
Issuer
Yes
For
For
 
 
 
 
2. Ratification of the appointment of KPMG LLP as Company's independent auditors for 2018.
Issuer
Yes
For
For
 
 
 
 
3. Advisory vote to approve executive compensation.
Issuer
Yes
For
For
 
 
 
 
 
 
 
 
 
Rio Tinto Plc
RIO
767204100
4/11/2018
1. Receipt of the 2017 annual report.
Issuer
No
 
 
 
 
 
 
2. Approval of the remuneration policy.
Issuer
No
 
 
 
 
 
 
3. Approval of the directors' remuneration report: Implementation report.
Issuer
No
 
 
 
 
 
 
4. Approval of the directors' remuneration report.
Issuer
No
 
 
 
 
 
 
5A. Approval of the Rio Tinto 2018 equity incentive report.
Issuer
No
 
 
 
 
 
 
5B. Approval of potential termination benefits payable under the Rio Tinto 2018 equity incentive plan.
Issuer
No
 
 
 
 
 
 
6. To re-elect Megan Clark as a director.
Issuer
No
 
 
 
 
 
 
7. To re-elect David Constable as a director.
Issuer
No
 
 
 
 
 
 
8. To re-elect Ann Godbehere as a director.
Issuer
No
 
 
 
 
 
 
9. To re-elect Simon Henry as a director.
Issuer
No
 
 
 
 
 
 
10. To re-elect Jean-Sebastien Jacues as a director.
Issuer
No
 
 
 
 
 
 
11. To re-elect Sam Laidlaw as a director.
Issuer
No
 
 
 
 
 
 
12. To re-elect Michael L'Estrange as a director.
Issuer
No
 
 
 
 
 
 
13. To re-elect Chris Lynch as a director.
Issuer
No
 
 
 
 
 
 
14. To re-elect Simon Thompson as a director.
Issuer
No
 
 
 
 
 
 
15. Re-appointment of auditors.
Issuer
No
 
 
 
 
 
 
16. Remuneration of auditors.
Issuer
No
 
 
 
 
 
 
17. Authority to make political donations.
Issuer
No
 
 





 
 
 
 
18. General authority to allot shares.
Issuer
No
 
 
 
 
 
 
19. Disapplication of pre-emption rights.
Issuer
No
 
 
 
 
 
 
20. Authority to purchase Rio Tinto plc shares.
Issuer
No
 
 
 
 
 
 
21. Notice period for general meetings other than annual general meetings.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Teck Resources Limited
TECK
878742204
4/25/2018
1. To elect fifteen directors: 01. M.M. Ashar, 02. Q. Chong, 03. L.L. Dottori-Attanasio, 04. E.C. Dowling, 05. E. Fukuda, 06. N.B. Keevil, 07. N.B. Keevil III, 08. T. Kubota, 09. D.R. Lindsay, 10. S.A. Murray, 11. T.L. McVicar, 12. K.W. Pickering, 13. U.M. Power, 14. W.S.R. Seyffert, 15. T.R. Snider.
Issuer
Yes
For
For
 
 
 
 
2. To appoint PricewaterhouseCoopers LLP as auditors and to authorize the directors to fix the auditors' remuneration.
Issuer
Yes
For
For
 
 
 
 
3. To approve the advisory resolution on the Corporation's approach to executive compensation.
Issuer
Yes
For
For
 
 
 
 
 
 
 
 
 
Toll Brothers, Inc.
TOL
889478103
3/13/2018
1A. Election of director: Robert I. Toll.
Issuer
No
 
 
 
 
 
 
1B. Election of director: Douglas C. Yearley, Jr..
Issuer
No
 
 
 
 
 
 
1C. Election of director: Edward G. Boehne.
Issuer
No
 
 
 
 
 
 
1D. Election of director: Richard J. Braemer.
Issuer
No
 
 
 
 
 
 
1E. Election of director: Christine N. Garvey
Issuer
No
 
 
 
 
 
 
1F. Election of director: Carl B. Marbach.
Issuer
No
 
 
 
 
 
 
1G. Election of director: John A. McLean.
Issuer
No
 
 
 
 
 
 
1H. Election of director: Stephen A. Novick.
Issuer
No
 
 
 
 
 
 
1I. Election of director: Wendell E. Pritchett.
Issuer
No
 
 
 
 
 
 
1J. Election of director: Paul E. Shapiro.
Issuer
No
 
 
 
 
 
 
2. The Ratification of the re-appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the 2018 fiscal year.
Issuer
No
 
 
 
 
 
 
3. The approval, in an advisory and non-binding vote, of the compensation of the Company's named executive officers.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Turquoise Hill Resources Ltd.
TRQ
900435108
5/8/2018
1. To elect seven directors: 01. James W. Gill, 02. R. Peter Gillin, 03. Stephen Jones, 04. Ulf Quellmann, 05. Russel C. Robertson, 06. Maryse Saint-Laurent, 07. Jeff Tygesen.
Issuer
Yes
For
For





 
 
 
 
2. To appoint PricewaterhouseCoopers LLP, Chartered professional accountants, as auditors of the Corporation at a remuneration to be fixed by the board of directors.
Issuer
Yes
For
For
 
 
 
 
3. Non-binding advisory vote to accept the approach to executive compensation.
Issuer
Yes
For
For
 
 
 
 
 
 
 
 
 
Vale S.A.
VALE
91912E105
10/18/2017
1. Amendment to Vale's by-laws.
Issuer
No
 
 
 
 
 
 
2. Conversion of all class "A" preferred shares issued by Vale into common shares in the ratio of 0.9342 common share for each class "A" preferred share.
Issuer
No
 
 
 
 
 
 
3. Election of two members of the board of directors. A holder may vote for up to two candidates. If the quorum for the separate election is achieved, only one member will be elected pursuant to this resolution 3. if the quorum for separate election is not achieved, two members will be elected pursuant to this resolution 3.
 
 
 
 
 
 
 
 
3.1. Candidate 1: Isabella Soboya, as effective member.
Issuer
No
 
 
 
 
 
 
3.2. Candidate 2: Ricardo Reisen de Pinho, as effective member and Marcio Guedes Pereira Junior, as alternate.
Issuer
No
 
 
 
 
 
 
4. Separate election process for one member of the board of directors by non-controlling holders of common shares.
 
 
 
 
 
 
 
 
4.1. Candidate 1: Sandra Guerra, as effective member.
Issuer
No
 
 
 
 
 
 
4.2. Candidate 2: Marcelo Gasparino da Silva, as effective member, and Bruno C. H. Bastit, as alternate.
Issuer
No
 
 
 
 
 
 
5. Separate election process for one member of the board of directors by non-controlling holders of common shares aggregated with preferred shares.
 
 
 
 
 
 
 
 
5.1. Candidate 1: Sandra Guerra, as effective member.
Issuer
No
 
 
 
 
 
 
5.2. Candidate 2: Marcelo Gasparino da Silva, as effective member, and Bruno C.H. Bastit as alternate.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Vale S.A.
VALE
91912E105
12/21/2017
1. Proposal to list Vale's shares on the "Novo Mercado" special segment of the B3 S.A. - Brasil, Bolsa, Balcao (B3)
Issuer
No
 
 
 
 
 
 
2. Amendment to Vale's by-laws.
Issuer
No
 
 
 
 
 
 
3. Approval of the protocol and justification of merger of Balderton.
Issuer
No
 
 
 
 
 
 
4. Approval of the protocol and justification of merger of Fortlee.
Issuer
No
 
 
 
 
 
 
5. Approval of the protocol and justification of partial spin-off of EBM, with the merger of the spun-off portion into Vale.
Issuer
No
 
 





 
 
 
 
6. Ratification of premiumbravo auditores independentes as auditors.
Issuer
No
 
 
 
 
 
 
7. Approval of the appraisal report of Balderton, prepard by the specialized company.
Issuer
No
 
 
 
 
 
 
8. Approval of the appraisal report of Fortlee, prepared by the specialized company.
Issuer
No
 
 
 
 
 
 
9. Approval of the appraisal report of the spun-off portion of EBM's equity, prepared by the specialized company.
Issuer
No
 
 
 
 
 
 
10. Approval of the merger of Balderton.
Issuer
No
 
 
 
 
 
 
11. Approval of the merger of Fortlee.
Issuer
No
 
 
 
 
 
 
12. Approval of the merger of the spun-off portion of EBM's equity.
Issuer
No
 
 
 
 
 
 
13. Ratification of appointment of effective and alternate members of the board of directors.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Vale S.A
VALE
91912E105
4/13/2018
1. Evaluation of the management's report and analysis, discussion and vote on the financial statements for the fiscal year ended December 31, 2017.
Issuer
Yes
For
For
 
 
 
 
2. Proposal for the allocation of profits for the year 2017, and the consequent approval of Vale's capital budget.
Issuer
Yes
For
For
 
 
 
 
3. Ratification of nomination of Mr. Ney Roberto Ottoni de Brito as principal member of the Board of Directors.
Issuer
Yes
For
For
 
 
 
 
4. Election of the members of the Fiscal Council and respective alternates nominated by controlling shareholders: Marcelo Amaral Moraes = Effective, Marcus Vinicius Dias Severini = Effective, Eduardo Cesar Pasa = Effective, Sergio Mamede Rosa do Nascimento = Alternate.
Issuer
Yes
For
For
 
 
 
 
5. Setting the compensation of management and members of the Fiscal Council for the year 2018.
Issuer
Yes
For
For
 
 
 
 
6. Ratification of the annual compensation paid to management and members of the Fiscal Council in the year 2017.
Issuer
Yes
For
For
 
 
 
 
E1. Amendment to Vale's by-laws and its restatement.
Issuer
Yes
For
For
 
 
 
 
 
 
 
 
 
Weyerhaeuser Company
WY
962166104
5/18/2018
1. To elect eleven directors:
 
 
 
 
 
 
 
 
1a. Mark A. Emmert.
Issuer
No
 
 
 
 
 
 
1b. Rick R. Holley.
Issuer
No
 
 
 
 
 
 
1c. Sara Grootwassink Lewis.
Issuer
No
 
 
 
 
 
 
1d. John F. Morgan Sr..
Issuer
No
 
 
 
 
 
 
1e. Nicole W. Piasecki.
Issuer
No
 
 
 
 
 
 
1f. Marc F. Racicot.
Issuer
No
 
 
 
 
 
 
1g. Lawrence A. Selzer.
Issuer
No
 
 
 
 
 
 
1h. Doyle R. Simons.
Issuer
No
 
 





 
 
 
 
1i. D.Michael Steuert.
Issuer
No
 
 
 
 
 
 
1j. Kim Williams.
Issuer
No
 
 
 
 
 
 
1k. Charles R. Williamson.
Issuer
No
 
 
 
 
 
 
2. Approval, on an advisory basis, of the compensation of the named executive officers.
Issuer
No
 
 
 
 
 
 
3. Ratification of selection of KPMG LLP as the Company's independent registered public accounting firm for 2018.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Wyndham Worldwide Corporation
WYND
98310W108
5/17/2018
1. To elect eight directors: 01. Myra J. Biblowit, 02. Louise F. Brady, 03. James E. Buckman, 04. George Herrera, 05. Stephen P. Holmes, 06. Brian M. Mulroney, 07. Pauline D.E. Richards, 08. Michael H. Wargotz.
Issuer
Yes
For
For
 
 
 
 
2. To vote on an advisory resoultion to approve executive compensation.
Issuer
Yes
For
For
 
 
 
 
3. To vote on a proposal to ratify the appointment of Deloitte & Touche LLP to serve as Company's independent registered public accounting firm for fiscal year 2018.
Issuer
Yes
For
For
 
 
 
 
4. To vote on a proposal to approve the amendment and restatement of the Wyndham Worldwide 2006 Equity and Incentive Plan.
Issuer
Yes
Against
Against
 
 
 
 
5. Shareholder proposal regarding political contributions disclosure.
Security Holder
Yes
Against
For
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 





 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 





 
 
 
 
 
 
 
 
 






CGM Trust - File No. 811-00082
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
CGM Focus Fund
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Issuer
Ticker
CUSIP
Meeting
Date
Matter
Voted On
Proposed
By Issuer or
Security Holder
Was
Vote
Cast
Actual
Vote
For or
Against
Mgt.
AbbVie Inc.
ABBV
00287Y109
5/4/2018
1. To elect four directors: 01. Roxanne S. Austin, 02. Richard A. Gonzalez, 03. Rebecca B. Roberts, 04. Glenn F. Tilton.
Issuer
No
 
 
 
 
 
 
2. Ratification of Ernst & Young LLP as AbbVie's independent registered public accounting firm for 2018.
Issuer
No
 
 
 
 
 
 
3. An advisory vote on the approval of executive compensation.
Issuer
No
 
 
 
 
 
 
4. An advisory vote on the frequency of the advisory vote to approve executive compensation.
Issuer
No
 
 
 
 
 
 
5. Approval of a management proposal regarding amendment of the certificate of incorporation for the annual election of directors.
Issuer
No
 
 
 
 
 
 
6. Approval of a management proposal regarding amendment of the certificate of incorporation to eliminate supermajority voting.
Issuer
No
 
 
 
 
 
 
7. Stockholder proposal regarding an annual report on lobbying.
Issuer
No
 
 
 
 
 
 
8. Stockholder proposal to separate chair and CEO.
Issuer
No
 
 
 
 
 
 
9. Stockholder proposal to issue an annual compensation committee report on drug pricing.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Banco Bradesco SA
BBD
59460303
3/12/2018
5a. Election of the fiscal council: Luiz Carlos de Freitas (effective) and Joao Sabino (alternate).
Issuer
No
 
 
 
 
 
 
5b. Election of the fiscal council: Walter Luis Bernardes Albertoni (effective) and Reginaldo Ferreira Alexandre (alternate).
Issuer
No
 
 
 
 
 
 
5c. Election of the fiscal council: Luiz Alberto de Castro Fallerios (effective) and Eduardo Georges Chehab (alternate).
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Bank of America
BAC
60505104
4/25/2018
1. Election of fifteen directors: A. Sharon L. Allen, B. Susan S. Bies, C. Jack O. Bovender, JR., D. Frank P. Bramble, SR., E. Pierre J.P. de Weck, F. Arnold W. Donald, G. Linda P. Hudson, H. Monica C. Lozano, I. Thomas J. May, J. Brian T. Moynihan, K. Lionel L. Nowell, III, L. Michael D. White M. Thomas D. Woods, N. R. David Yost, O. Maria T. Zuber.
Issuer
Yes
For
For





 
 
 
 
2. Approving Company's executive compensation, an advisory, non-binding "Say on Pay" resolution.
Issuer
Yes
For
For
 
 
 
 
3. Ratifying the appointment of PricewaterhouseCooper LLP as Company's independent registered public accounting firm for 2018.
Issuer
Yes
For
For
 
 
 
 
4. Stockholder proposal regarding independent board chairman.
Security Holder
Yes
Against
For
 
 
 
 
 
 
 
 
 
Carnival Corporation
CCL
143658300
4/11/2018
1. Re-elect Mickey Arison as a Director of Carnival Corporation and as a Director of Carnival plc.
Issuer
Yes
For
For
 
 
 
 
2. Re-elect Sir Jonathon Band as a Director of Carnival Corporation and as a Director of Carnival plc.
Issuer
Yes
For
For
 
 
 
 
3. Elect Jason Glen Cahilly as a Director of Carnival Corporation and as a Director of Carnival plc.
Issuer
Yes
For
For
 
 
 
 
4. Re-elect Helen Deeble as a Director of Carnival Corporation and as a Director of Carnival plc.
Issuer
Yes
For
For
 
 
 
 
5. Re-elect Arnold W. Donald as a Director of Carnival Corporation and as a Director of Carnival plc.
Issuer
Yes
For
For
 
 
 
 
6. Re-elect Richard J. Glasier as a Director of Carnival Corporation and as a Director of Carnival plc.
Issuer
Yes
For
For
 
 
 
 
7. Re-elect Debra Kelly-Ennis as a Director of Carnival Corporation and as a Director of Carnival plc.
Issuer
Yes
For
For
 
 
 
 
8. Re-elect Sir John Parker as a Director of Carnival Corporation and as a Director of Carnival plc.
Issuer
Yes
For
For
 
 
 
 
9. Re-elect Stuart Subonick as a Director of Carnival Corporation and as a Director of Carnival plc.
Issuer
Yes
For
For
 
 
 
 
10. Re-elect Laura Weil as a Director of Carnival Corporation and as a Director of Carnival plc.
Issuer
Yes
For
For
 
 
 
 
11. Re-elect Randall J. Weisenburger as a Director of Carnival Corporation and as a Director of Carnival plc.
Issuer
Yes
For
For
 
 
 
 
12. Hold a (non-binding) advisory vote to approve executive compensation (in accordance with legal requirements applicable to U.S. companies).
Issuer
Yes
For
For
 
 
 
 
13. Approve the Carnival plc Directors' Remuneration Report (in accordance with legal requirements applicable to UK companies).
Issuer
Yes
For
For
 
 
 
 
14. Re-appoint the UK firm of PricewaterhouseCoopers LLP as independent auditors for Carnival plc and to ratify the selection of the U.S. firm of PricewaterhouseCoopers LLP as the independent registered certified public accounting firm of Carnival Corporation.
Issuer
Yes
For
For





 
 
 
 
15. Authorize the Audit Committee of Carnival plc to determine the renumeration of the independent auditors of Carnival plc (in accordance with legal requirements applicable to UK companies).
Issuer
Yes
For
For
 
 
 
 
16. Receive the UK accounts and reports of the Directors and auditors of Carnival plc for the year ended November 30, 2017 (in accordance with legal requirements applicable to UK companies).
Issuer
Yes
For
For
 
 
 
 
17. Approve the giving of authority for the allotment of new shares by Carnival plc (in accordance with customary practice for UK companies).
Issuer
Yes
For
For
 
 
 
 
18. Approve the disapplication of pre-emption rights in relation to the allotment of new shares by Carnival plc (in accordance with customary practice for UK companies).
Issuer
Yes
For
For
 
 
 
 
19. Approve a general authority for Carnvial plc to buy back Carnival plc ordinary shares in the open market (in accordance with legal requirements applicable to UK companies desiring to implement share buy back programs).
Issuer
Yes
For
For
 
 
 
 
20. Transact such other business as may properly come before the meeting.
Issuer
Yes
For
For
 
 
 
 
 
 
 
 
 
The Charles Schwab Corporation
SCHW
808513105
5/15/2018
1a. Election of director: Walter W. Bettinger II.
Issuer
No
 
 
 
 
 
 
1b. Election of director: Joan T. Dea.
Issuer
No
 
 
 
 
 
 
1c. Election of director: Christopher V. Dodds.
Issuer
No
 
 
 
 
 
 
1d. Election of director: Mark A. Goldfarb.
Issuer
No
 
 
 
 
 
 
1e. Election of director: Charles A. Ruffel.
Issuer
No
 
 
 
 
 
 
2. Ratification of the selection of Deloitte & Touche LLP as independent auditors.
Issuer
No
 
 
 
 
 
 
3. Advisory vote to approve named executive officer compensation.
Issuer
No
 
 
 
 
 
 
4. Approval of 2013 Stock Incentive Plan as amended and restated.
Issuer
No
 
 
 
 
 
 
5. Approval of amended and restated bylaws to adopt a proxy access bylaw for director nominations by stockholders.
Issuer
No
 
 
 
 
 
 
6. Stockholder proposal requesting annual disclosure of EEO-1 data.
Security Holder
No
 
 
 
 
 
 
7. Stockholder proposal requesting disclosure of the Company's political contributions and expenditures, recipients, and related policies and procedures.
Security Holder
No
 
 
 
 
 
 
 
 
 
 
 





Citigroup Inc.
C
172967424
4/24/2018
1. Proposal to elect sixteen directors: A. Michael L. Corbat, B. Ellen M. Costello, C. John C. Dugan, D. Duncan P. Hennes, E. Peter B. Henry, F. Franz B. Humer, G. S. Leslie Ireland, H. Renee J. James, I. Eugene M. McQuade, J. Michael E. O'Neill, K. Gary M. Reiner, L. Anthony M. Santomero, M. Diana L. Taylor, N. James S. Turley, O. Deborah C. Wright, P.Ernesto Zedillo Ponce de Leon.
Issuer
Yes
For
For
 
 
 
 
2. Proposal to ratify the selection of KPMG LLP as Citi's independent registered public accounting firm for 2018.
Issuer
Yes
For
For
 
 
 
 
3. Advisory approval of Citi's 2017 executive compensation.
Issuer
Yes
For
For
 
 
 
 
4. Approval of an amendment to the Citigroup 2014 stock incentive plan authorizing additional shares.
Issuer
Yes
For
For
 
 
 
 
5. Stockholder proposal requesting a Human and Indigenous Peoples' Rights Policy.
Security Holder
Yes
Against
For
 
 
 
 
6. Stockholder proposal requesting that our Board take the steps necessary to adopt cumulative voting.
Security Holder
Yes
Against
For
 
 
 
 
7. Stockholder proposal requesting a report on lobbying and grassroots lobbying contributions.
Security Holder
Yes
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.
Security Holder
Yes
Against
For
 
 
 
 
9. Stockholder proposal requesting that the Board adopt a policy prohibiting the vesting of equity-based awards for senior executives due to voluntary resignation to enter government service.
Security Holder
Yes
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.
Security Holder
Yes
Against
For
 
 
 
 
 
 
 
 
 
Diamondback Energy, Inc.
FANG
25278X109
6/7/2018
1. To elect seven directors: A. Steven E. West, B. Travis D. Slice, C. Michael L. Hollis, D. Michael P. Cross, E. David L. Houston, F. Mark L. Plaumann, G. Melanie M. Trent.
Issuer
Yes
For
For
 
 
 
 
2. Approve, on an advisory basis, the compensation paid to the Company's named executive directors.
Issuer
Yes
For
For
 
 
 
 
3. Proposal to ratify the appointment of Grant Thornton LLP as the Company's independent auditors for the fiscal year ending December 31, 2018.
Issuer
Yes
For
For
 
 
 
 
 
 
 
 
 
D.R. Horton, Inc.
DHI
23331A109
1/24/2018
1. To elect five directors: A. Donald R. Horton, B. Barbara K. Allen, C. Brad S. Anderson, D. Michael R. Buchanan, E. Michael W. Hewatt.
Issuer
No
 
 





 
 
 
 
2. Approval of the advisory resolution on executive compensation.
Issuer
No
 
 
 
 
 
 
3. Approval of the advisory vote as to the frequency of future advisory votes on executive compensation.
Issuer
No
 
 
 
 
 
 
4. Approval of the material terms of the performance criteria under the Company's 2017 incentive bonus plan.
Issuer
No
 
 
 
 
 
 
5. Ratify the appointment of PricewaterhouseCoopers LLP as Company's independent registered public accounting firm.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
JP Morgan Chase & Co.
JPM
46625H100
5/15/2018
1. To elect twelve directors: a. Linda B. Bammann, b. James A. Bell, c. Stephen B. Burke, d. Todd A. Combs, e. James S. Crown, f. James Dimon, g. Timothy P. Flynn, h. Mellody Hobson, i. Laban P. Jackson, Jr., j. Michael A. Neal, k. Lee R. Raymond, l. William C. Weldon.
Issuer
Yes
For
For
 
 
 
 
2. Ratification of special meeting provisions in the Firm's By-Laws.
Issuer
Yes
For
For
 
 
 
 
3. Advisory resolution to approve executive compensation.
Issuer
Yes
For
For
 
 
 
 
4. Approval of Amended and Restated Long-Term Incentive Plan effective May 15, 2018
Issuer
Yes
For
For
 
 
 
 
5. Ratification of PricewaterhouseCoopers LLP as Company's independent registered public accounting firm.
Issuer
Yes
For
For
 
 
 
 
6. Shareholder proposal requesting Board of Directors to adopt a policy, and amend governing documents as necessary, to require henceforth that the Chair of the Board of Directors, whenever possible, be an independent member of the board.
Security Holder
Yes
Against
For
 
 
 
 
7. Shareholder proposal requesting the Board of Directors adopt a policy prohibiting the vesting of equity-based awards for senior executives due to a voluntary resignation to enter government service.
Security Holder
Yes
Against
For
 
 
 
 
8. Shareholder proposal requesting the Board of Directors issue a report analyzing JPMorgan's published corporate values align with its policies regarding investments in companies tied to genocide or crimes against humanity, and specifically explain how its investments in CNPC/PetroChina are consistent with its published corporate values.
Security Holder
Yes
Against
For
 
 
 
 
9. Shareholder proposal recommending the Board take the steps necessary to adopt cumulative voting.
Security Holder
Yes
Against
For
 
 
 
 
 
 
 
 
 





Lam Research Corporation
LCRX
512807108
11/8/2017
1. To elect ten directors: 01. Martin B. Anstice, 02. Eric K. Brandt, 03. Michael R. Cannon, 04. Youssef A. El-Mansy, 05. Christine A. Heckart, 06. Young Bum (YB) Koh, 07. Catherine P. Lego, 08. Stephen G. Newberry, 09. Abhijit Y. Talwalkar, 10. Lih Shyng Tsai.
Issuer
Yes
For
For
 
 
 
 
2. Advisory vote to approve the compensation of the named executive officers of Lam Research.
Issuer
Yes
For
For
 
 
 
 
3. Advisory vote to approve the frequency of holding future stockholder advisory votes on Company's named executive officer compensation to 1 year.
Issuer
Yes
For
For
 
 
 
 
4. Ratification of the appointment of Ernst & Young LLP as the independent registered public accounting firm for fiscal year 2018.
Issuer
Yes
For
For
 
 
 
 
5. Stockholder proposal regarding annual disclosure of EEO-1 Data.
Security Holder
Yes
Against
For
 
 
 
 
 
 
 
 
 
Lennar Corporation
LEN
526057104
2/12/2018
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.
Issuer
No
 
 
 
 
 
 
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.
Issuer
No
 
 
 
 
 
 
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 proposal 1 and 2.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
LyondellBasell Industries N.V.
LYB
N53745100
6/1/2018
1. Adoption of the proposed amendments to Company's articles of association.
Issuer
No
 
 
 
 
 
 
2. Election of directors to Company's unitary board and Company's supervisory board, for the period following the meeting until the unitary board is formally implemented or in the event the amendments to Company's articles of association are not adopted: 2a. Bhavesh (Bob) Patel (unitary board only), 2b. Robert Gwin, 2c. Jacques Aigrain, 2d. Lincoln Benet, 2e. Jagjeet Bindra, 2f. Robin Buchanan, 2g. Stephen Cooper, 2h. Nance Dicciani, 2i. Claire Farley, 2j. Isabella Goren, 2k. Bruce Smith, 2l. Rudy van der Meer.
Issuer
No
 
 





 
 
 
 
3. Election of directors to Company's management board, for the period following the meeting until the unitary board is formally implemented or in the event the amendments to Company's articles of association are not adopted: 3a. Bhavesh (Bob) Patel, 3b. Thomas Aebischer, 3c. Daniel Coombs, 3d. Jeffrey Kaplan, 3e. James Guilfoyle.
Issuer
No
 
 
 
 
 
 
4. Adoption of Dutch Statutory annual accounts for 2017.
Issuer
No
 
 
 
 
 
 
5. Discharge from liability of members of the management board.
Issuer
No
 
 
 
 
 
 
6. Discharge from liability of members of the supervisory board.
Issuer
No
 
 
 
 
 
 
7. Appointment of PricewaterhouseCoopers accountants N.V. as the auditor for Company's 2018 Dutch Statutory annual accounts.
Issuer
No
 
 
 
 
 
 
8. Ratification of PricewaterhouseCoopers LLP as Company's independent registered public accounting firm for 2018.
Issuer
No
 
 
 
 
 
 
9. Ratification and approval of dividends in respect of the 2017 Dutch Statutory annual account.
Issuer
No
 
 
 
 
 
 
10. Advisory (non-binding) vote approving executive compensation.
Issuer
No
 
 
 
 
 
 
11. Authorization to conduct shares repurchases.
Issuer
No
 
 
 
 
 
 
12. Authorization of the cancellation of shares.
Issuer
No
 
 
 
 
 
 
13. Amendment and extension of employee stock purchase plan.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Micron Technology, Inc.
MU
595112103
1/17/2018
1. To elect seven directors: 1. Robert L. Bailey, 2. Richard M. Beyer, 3. Patrick J. Byrne, 4. Mercedes Johnson, 5. Sanjay Mehrotra, 6. Lawrence N. Mondry, 7. Robert E. Switz.
Issuer
Yes
For
For
 
 
 
 
2. Approve Company's employee stock purchase plan with 33 million shares reserved for issuance thereunder.
Issuer
Yes
For
For
 
 
 
 
3. Approve the material terms of the performance goals under Company's executive officer performance incentive plan.
Issuer
Yes
For
For
 
 
 
 
4. Ratify the appointment of PricewaterhouseCoopers LLP as Company's independent registered public accounting firm for the fiscal year ending August 30, 2018.
Issuer
Yes
For
For
 
 
 
 
5. Approve a non-binding resolution to approve executive compensation
Issuer
Yes
For
For
 
 
 
 
6. Approve, in a non-binding vote, the frequency with which shareholders will be entitled to have an advisory vote on executive compensation to 1 year.
Issuer
Yes
For
For
 
 
 
 
 
 
 
 
 





Morgan Stanley
MS
617446448
5/24/2018
1. To elect twelve directors: a. Elizabeth Corley, b. Alistair Darling, c. Thomas H. Glocer, d. James P. Gorman, e. Robert H. Herz, f. Nobuyuki Hirano, g. Jami Miscik, h. Dennis M. Nally, i. Hutham S. Olayan, j. Ryosuke Tamakoshi, k. Perry M. Traquina, l. Rayford Wilkins, Jr..
Issuer
Yes
For
For
 
 
 
 
2. Ratification of appointment of Deloitte & Touche LLP as independent auditor.
Issuer
Yes
For
For
 
 
 
 
3. Approval, on an advisory basis, of the Company's executive compensation.
Issuer
Yes
For
For
 
 
 
 
4. Shareholder proposal regarding a policy to prohibit vesting of deferred equity awards for senior executives who resign to enter government service.
Security Holder
Yes
Against
For
 
 
 
 
 
 
 
 
 
Netease, Inc.
NTES
64110W102
9/8/2017
1A. Re-election of director: William Lei Ding.
Issuer
No
 
 
 
 
 
 
1B. Re-election of director: Alice Cheng.
Issuer
No
 
 
 
 
 
 
1C. Re-election of director: Denny Lee.
Issuer
No
 
 
 
 
 
 
1D. Re-election of director: Joseph Tong.
Issuer
No
 
 
 
 
 
 
1E. Re-election of director: Lun Feng.
Issuer
No
 
 
 
 
 
 
1F. Re-election of director: Michael Leung.
Issuer
No
 
 
 
 
 
 
1G. Re-election of director: Michael Tong.
Issuer
No
 
 
 
 
 
 
2. Appoint PricewaterhouseCoopers Zhong Tian LLP as independent auditors of Netease, Inc. for the fiscal year ending December 31, 2017.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Petroleo Brasileiro S.A.
PBR
71654V408
4/26/2018
E1. Proposal for the amendment of Petrobras' bylaw.
Issuer
No
 
 
 
 
 
 
E2. Consolidation of the bylaw to reflect the approved amendments.
Issuer
No
 
 
 
 
 
 
1. To analyze manageents accounts, examination, discussion and voting of the integrated reporting and the Company's financial statements, accompanied by the report of the independent auditors and the fiscal council's report, for the fiscal year ended December 31, 2017.
Issuer
No
 
 
 
 
 
 
2. Set the number of members of the Board of directors, as proposed.
Issuer
No
 
 
 
 
 
 
3. Election of the members of the Board of directors.
Issuer
No
 
 
 
 
 
 
3a1. Candidates nominated by the controlling shareholder:
Issuer
No
 
 
 
 
 
 
1. Luiz Nelson Guedes de Carvalho.
Issuer
No
 
 
 
 
 
 
2. Pedro Pullen Parente.
Issuer
No
 
 
 
 
 
 
3. Francisco Petros Oliveira Lima Papathanasiadis.
Issuer
No
 
 
 
 
 
 
4. Sergen Farid Estefen.
Issuer
No
 
 





 
 
 
 
5. Jose Alberto de Paula Torres Lima.
Issuer
No
 
 
 
 
 
 
6. Clarissa de Arauujo Lins.
Issuer
No
 
 
 
 
 
 
7. Ana Lucia Pocas Zambelli.
Issuer
No
 
 
 
 
 
 
8. Jeronimo Antunes.
Issuer
No
 
 
 
 
 
 
3a2. If one of the candidates that compose the slate fails to integrate it, your vote will continue to be conferred to the chosen slate.
Issuer
No
 
 
 
 
 
 
3a3. In case of adoption of the multiple vote process, to distribute your votes in equal percentages by the members of the controlling shareholder slate.
Issuer
No
 
 
 
 
 
 
3b. Candidates nominated by minority shareholders for the separate election:
Issuer
No
 
 
 
 
 
 
3b1. Marcelo Mesquita de Siqueira Filho.
Issuer
No
 
 
 
 
 
 
3b2. Marcelo Gasparino da Silva.
Issuer
No
 
 
 
 
 
 
4. Election of the chairman of the Board of directors: Luiz Nelson Guedes de Carvalho.
Issuer
No
 
 
 
 
 
 
5. Election of the members of the Fiscal Council.
Issuer
No
 
 
 
 
 
 
5a. Candidates nominated by the controlling shareholder: Holder: Adriano Pereira de Paula, Substitute: Jose Franco Medeiros de Morais, Holder: Marisete Fatima Dadald Pereira, Substitute: Agnes Maria de Aragao Costa, Holder: Eduardo Cesar Pasa, Substitute: Mauricyo Jose Andrade Correia.
Issuer
No
 
 
 
 
 
 
5b. Candidates nominated by minority shareholders for the separate election: Holder: Reginaldo Ferreira Alexandre, Substitute: Susan Hanna Stiphan Jabra.
Issuer
No
 
 
 
 
 
 
6. Establishment of the financial compensation of directors, members of the Fiscal Council and members of the Statutory Advisory Committees to the Board of Directors.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Posco
PKX
693483109
3/9/2018
1. Approval of the 50th FY financial statements.
Issuer
Yes
For
For
 
 
 
 
2.1. Partial amendments to Articles of Incorporation: Purpose of the Company business.
Issuer
Yes
For
For
 
 
 
 
2.2. Partial amendments to Articles of Incorporation: Number of directors.
Issuer
Yes
For
For
 
 
 
 
2.3. Partial amendments to Articles of Incorporation: Reorganization of Special Committees.
Issuer
Yes
For
For
 
 
 
 
3. Election of four inside directors: 3.1. Oh, In-Hwan, 3.2. Chang, In-Hwa, 3.3. Yu, Seong, 3.4. Chon, Jung-son.
Issuer
Yes
For
For
 
 
 
 
4. Election of four outside directors: 4.1. Kim, Sung-jin, 4.2. Kim, Joo-Hyun, 4.3. Park, Kyung-Suh, 4.4. Bahk, Byong-Won.
Issuer
Yes
For
For
 
 
 
 
5. Election of Audit Committee member: Bahk, Byong-Won.
Issuer
Yes
For
For





 
 
 
 
6. Approval of limit of total remuneration for directors.
Issuer
Yes
For
For
 
 
 
 
 
 
 
 
 
Prudential Financial, Inc.
PRU
744320102
5/8/2018
1. To elect twelve directors: a. Thomas J. Baltimore, Jr., b. Gilbert F. Casellas, c. Mark B. Grier, d. Martina Hund-Mejean, e. Karl J. Krapek, f. Peter R. Lighte, g. George Paz, h. Sandra Pianalto, i. Christine A. Poon, j. Douglas A. Scovanner, k. John R. Strangfeld, l. Michael A. Todman.
Issuer
Yes
For
For
 
 
 
 
2. To ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for 2018.
Issuer
Yes
For
For
 
 
 
 
3. To approve, on an advisory basis, the compensation of the Company's named executive officers.
Issuer
Yes
For
For
 
 
 
 
4. Shareholder proposal regarding an independent Board Chairman.
Issuer
Yes
Against
For
 
 
 
 
 
 
 
 
 
Skyworks Solutions, Inc.
SWKS
83088M102
5/9/2018
1.1 Election of director: David J. Aldrich.
Issuer
No
 
 
 
 
 
 
1.2 Election of director: Kevin L. Beebe.
Issuer
No
 
 
 
 
 
 
1.3 Election of director: Timothy R. Furey.
Issuer
No
 
 
 
 
 
 
1.4 Election of director: Liam K. Griffin.
Issuer
No
 
 
 
 
 
 
1.5 Election of director: Balakrishnan S. Iyer.
Issuer
No
 
 
 
 
 
 
1.6 Election of director: Christine King.
Issuer
No
 
 
 
 
 
 
1.7 Election of director: David P. McGlade.
Issuer
No
 
 
 
 
 
 
1.8 Election of director:David J. McLachlan.
Issuer
No
 
 
 
 
 
 
1.9 Election of director: Robert A. Schriesheim.
Issuer
No
 
 
 
 
 
 
2. To ratify the selection by the Company's Audit Committee of KPMG LLP as the independent registered public accounting firm.
Issuer
No
 
 
 
 
 
 
3. To approve, on an advisory basis, the compensation of the Company's named executive officers.
Issuer
No
 
 
 
 
 
 
4. To approve the Company's amended and restated 2008 director long-term incentive plan, as amended.
Issuer
No
 
 
 
 
 
 
5. To ratify an amendment to the Company's by-laws that provides the Company's stockholder the right to request a special meeting of stockholders.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Textron Inc.
TXT
883203101
4/25/2018
1. Election of eleven directors:
 
 
 
 
 
 
 
 
1a. Scott C. Donnelly.
Issuer
No
 
 
 
 
 
 
1b. Kathleen M. Bader.
Issuer
No
 
 
 
 
 
 
1c. R. Kerry Clark.
Issuer
No
 
 
 
 
 
 
1d. James T. Conway.
Issuer
No
 
 





 
 
 
 
1e. Lawrence K. Fish.
Issuer
No
 
 
 
 
 
 
1f. Paul E. Gagne.
Issuer
No
 
 
 
 
 
 
1g. Ralph D. Heath.
Issuer
No
 
 
 
 
 
 
1h. Deborah Lee James.
Issuer
No
 
 
 
 
 
 
1i. Lloyd G. Trotter.
Issuer
No
 
 
 
 
 
 
1j. James L. Ziemer.
Issuer
No
 
 
 
 
 
 
1k. Maria T. Zuber.
Issuer
No
 
 
 
 
 
 
2. Approval of the advisory (non-binding) resolution to approve executive compensation.
Issuer
No
 
 
 
 
 
 
3. Ratification of appointment of Ernst & Young LLP as independent registered public accounting firm.
Issuer
No
 
 
 
 
 
 
4. Shareholder proposal regarding shareholder action by written consent.
Security Holder
No
 
 
 
 
 
 
5. Shareholder proposal regarding director tenure limit.
Security Holder
No
 
 
 
 
 
 
 
 
 
 
 
Transocean Ltd.
RIG
H8817H100
5/18/2018
1. Approval of the 2017 annual report, including the audited consolidated financial statements and the audited statutory financial statements of Transocean Ltd. For fiscal year 2017.
Issuer
No
 
 
 
 
 
 
2. Discharge of the members of the board of directors and executive management team from liability for activities during fiscal year 2017.
Issuer
No
 
 
 
 
 
 
3. Appropriation of the accumulated loss for fiscal year 2017 and release of CHF 1,500,000,000 of statutory capital reserves from capital contribution and allocation to free capital reserves from capital contribution.
Issuer
No
 
 
 
 
 
 
4. Renewal of authorized share capital.
Issuer
No
 
 
 
 
 
 
5. Re-election of eleven directors, each for a term extending until completion of the next annual general meeting.
 
 
 
 
 
 
 
 
5A. Glyn A. Barker.
Issuer
No
 
 
 
 
 
 
5B. Vanessa C.L. Chang.
Issuer
No
 
 
 
 
 
 
5C. Frederico F. Curado.
Issuer
No
 
 
 
 
 
 
5D. Chadwick C. Deaton.
Issuer
No
 
 
 
 
 
 
5E. Vincent J. Intrieri.
Issuer
No
 
 
 
 
 
 
5F. Samuel J. Merksamer.
Issuer
No
 
 
 
 
 
 
5G. Merrill A. "Pete" Miller, Jr..
Issuer
No
 
 
 
 
 
 
5H. Frederik W. Mohn.
Issuer
No
 
 
 
 
 
 
5I. Edward R. Muller.
Issuer
No
 
 
 
 
 
 
5J. Tan Ek Kia.
Issuer
No
 
 
 
 
 
 
5K. Jeremy D. Thigpen.
Issuer
No
 
 
 
 
 
 
6. Election of Merrill A. "Pete" Miller, Jr. as the chairman of the board of directors for a term extending until completion of the next annual general meeting.
Issuer
No
 
 





 
 
 
 
7. Election of the members of the compensation committee, each for a term extending until completion of the next annual general meeting.
 
 
 
 
 
 
 
 
7A. Frederico F. Curado.
Issuer
No
 
 
 
 
 
 
7B. Vincent J. Intrieri.
Issuer
No
 
 
 
 
 
 
7C. Tan Ek Kia.
Issuer
No
 
 
 
 
 
 
8. Re-election of Schweiger Advokatur / Notariat as the independent proxy for a term extending until completion of the next annual general meeting.
Issuer
No
 
 
 
 
 
 
9. Appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for fiscal year 2018 and re-election of Ernst & Young Ltd, Zurich, as the Company's auditor for a further one-year term.
Issuer
No
 
 
 
 
 
 
10. Advisory vote to approve named executive officer compensation.
Issuer
No
 
 
 
 
 
 
11. Prospective votes on the maximum compensation of the board of directors and executive management team, respectively.
 
 
 
 
 
 
 
 
11A. Ratification of an amount of US $4,121,000 as the maximum aggregate amount of compensation of the board of directors for the period between 2018 and the 2019 annual general meetings.
Issuer
No
 
 
 
 
 
 
11B. Ratification of an amount of US $24,000,000 as the maximum aggregate amount of compensation of the executive management team for fiscal year 2019.
Issuer
No
 
 
 
 
 
 
12. Approval of amendment to Transocean Ltd. 2015 Long-Term incentive plan for additional reserves.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Turquoise Hill Resources Ltd.
TRQ
900435108
5/8/2018
1. To elect seven directors: 01. James W. Gill, 02. R. Peter Gillin, 03. Stephen Jones, 04. Ulf Quellmann, 05. Russel C. Robertson, 06. Maryse Saint-Laurent, 07. Jeff Tygesen.
Issuer
Yes
For
For
 
 
 
 
2. To appoint PricewaterhouseCoopers LLP, Chartered professional accountants, as auditors of the Corporation at a remuneration to be fixed by the board of directors.
Issuer
Yes
For
For
 
 
 
 
3. Non-binding advisory vote to accept the approach to executive compensation.
Issuer
Yes
For
For
 
 
 
 
 
 
 
 
 
United Rental, Inc.
URI
911363109
5/9/2018
1a. Election of director: Jose B. Alvarez.
Issuer
No
 
 
 
 
 
 
1b. Election of director: Jenne K. Britell.
Issuer
No
 
 
 
 
 
 
1c. Election of director: Marc A. Bruno.
Issuer
No
 
 
 
 
 
 
1d. Election of director: Bobby J. Griffin.
Issuer
No
 
 
 
 
 
 
1e. Election of director: Terri L. Kelly.
Issuer
No
 
 
 
 
 
 
1f. Election of director: Michael J. Kneeland.
Issuer
No
 
 





 
 
 
 
1g. Election of director: Gracia C. Martore.
Issuer
No
 
 
 
 
 
 
1h. Election of director: Jason D. Papastavrou.
Issuer
No
 
 
 
 
 
 
1i. Election of director: Filippo Passerini.
Issuer
No
 
 
 
 
 
 
1j. Election of director: Donald C. Roof.
Issuer
No
 
 
 
 
 
 
1k. Election of director: Shiv Singh.
Issuer
No
 
 
 
 
 
 
2. Ratification of appointment of Ernst & Young LLP as public accounting firm.
Issuer
No
 
 
 
 
 
 
3. Advisory approval of executive compensation.
Issuer
No
 
 
 
 
 
 
4. Stockholder proposal on shareholder right to act by written consent.
Security Holder
No
 
 
 
 
 
 
 
 
 
 
 
Vale S.A.
VALE
91912E105
10/18/2017
1. Amendment to Vale's by-laws.
Issuer
No
 
 
 
 
 
 
2. Conversion of all class "A" preferred shares issued by Vale into common shares in the ratio of 0.9342 common share for each class "A" preferred share.
Issuer
No
 
 
 
 
 
 
3. Election of two members of the board of directors. A holder may vote for up to two candidates. If the quorum for the separate election is achieved, only one member will be elected pursuant to this resolution 3. if the quorum for separate election is not achieved, two members will be elected pursuant to this resolution 3.
 
 
 
 
 
 
 
 
3.1. Candidate 1: Isabella Soboya, as effective member.
Issuer
No
 
 
 
 
 
 
3.2. Candidate 2: Ricardo Reisen de Pinho, as effective member and Marcio Guedes Pereira Junior, as alternate.
Issuer
No
 
 
 
 
 
 
4. Separate election process for one member of the board of directors by non-controlling holders of common shares.
 
 
 
 
 
 
 
 
4.1. Candidate 1: Sandra Guerra, as effective member.
Issuer
No
 
 
 
 
 
 
4.2. Candidate 2: Marcelo Gasparino da Silva, as effective member, and Bruno C. H. Bastit, as alternate.
Issuer
No
 
 
 
 
 
 
5. Separate election process for one member of the board of directors by non-controlling holders of common shares aggregated with preferred shares.
 
 
 
 
 
 
 
 
5.1. Candidate 1: Sandra Guerra, as effective member.
Issuer
No
 
 
 
 
 
 
5.2. Candidate 2: Marcelo Gasparino da Silva, as effective member, and Bruno C.H. Bastit as alternate.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Vale S.A.
VALE
91912E105
12/21/2017
1. Proposal to list Vale's shares on the "Novo Mercado" special segment of the B3 S.A. - Brasil, Bolsa, Balcao (B3)
Issuer
No
 
 
 
 
 
 
2. Amendment to Vale's by-laws.
Issuer
No
 
 





 
 
 
 
3. Approval of the protocol and justification of merger of Balderton.
Issuer
No
 
 
 
 
 
 
4. Approval of the protocol and justification of merger of Fortlee.
Issuer
No
 
 
 
 
 
 
5. Approval of the protocol and justification of partial spin-off of EBM, with the merger of the spun-off portion into Vale.
Issuer
No
 
 
 
 
 
 
6. Ratification of premiumbravo auditores independentes as auditors.
Issuer
No
 
 
 
 
 
 
7. Approval of the appraisal report of Balderton, prepard by the specialized company.
Issuer
No
 
 
 
 
 
 
8. Approval of the appraisal report of Fortlee, prepared by the specialized company.
Issuer
No
 
 
 
 
 
 
9. Approval of the appraisal report of the spun-off portion of EBM's equity, prepared by the specialized company.
Issuer
No
 
 
 
 
 
 
10. Approval of the merger of Balderton.
Issuer
No
 
 
 
 
 
 
11. Approval of the merger of Fortlee.
Issuer
No
 
 
 
 
 
 
12. Approval of the merger of the spun-off portion of EBM's equity.
Issuer
No
 
 
 
 
 
 
13. Ratification of appointment of effective and alternate members of the board of directors.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Vale S.A
VALE
91912E105
4/13/2018
1. Evaluation of the management's report and analysis, discussion and vote on the financial statements for the fiscal year ended December 31, 2017.
Issuer
Yes
For
For
 
 
 
 
2. Proposal for the allocation of profits for the year 2017, and the consequent approval of Vale's capital budget.
Issuer
Yes
For
For
 
 
 
 
3. Ratification of nomination of Mr. Ney Roberto Ottoni de Brito as principal member of the Board of Directors.
Issuer
Yes
For
For
 
 
 
 
4. Election of the members of the Fiscal Council and respective alternates nominated by controlling shareholders: Marcelo Amaral Moraes = Effective, Marcus Vinicius Dias Severini = Effective, Eduardo Cesar Pasa = Effective, Sergio Mamede Rosa do Nascimento = Alternate.
Issuer
Yes
For
For
 
 
 
 
5. Setting the compensation of management and members of the Fiscal Council for the year 2018.
Issuer
Yes
For
For
 
 
 
 
6. Ratification of the annual compensation paid to management and members of the Fiscal Council in the year 2017.
Issuer
Yes
For
For
 
 
 
 
E1. Amendment to Vale's by-laws and its restatement.
Issuer
Yes
For
For
 
 
 
 
 
 
 
 
 
Western Digital Corporation
WDC
958102105
11/2/2017
1. To elect eight directors:
 
 
 
 
 
 
 
 
1a. Martin I. Cole
Issuer
No
 
 





 
 
 
 
1b. Kathleen A. Cote.
Issuer
No
 
 
 
 
 
 
1c. Henry T. DeNero.
Issuer
No
 
 
 
 
 
 
1d. Michael D. Lambert.
Issuer
No
 
 
 
 
 
 
1e. Len J. Lauer.
Issuer
No
 
 
 
 
 
 
1f. Matthew E. Massengill.
Issuer
No
 
 
 
 
 
 
1g. Stephen D. Milligan.
Issuer
No
 
 
 
 
 
 
1h. Paula A. Price.
Issuer
No
 
 
 
 
 
 
2. To approve on an advisory basis the named executive officer compensation.
Issuer
No
 
 
 
 
 
 
3. To approve on an advisory basis the frequency of future advisory votes on named executive officer compensation.
Issuer
No
 
 
 
 
 
 
4. To approve an amendment and restatement of Company's 2004 performance incentive plan that would among other things, rename the plan as the "2017 performance incentive plan" and increase by fourteen million (14,000,000) the number of shares of common stock available for issuance under the plan.
Issuer
No
 
 
 
 
 
 
5. To ratify the appointment of KPMG LLP as Company's independent registered public accounting firm for the fiscal year ending June 29, 2018.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
Westlake Chemical Corporation
WLK
960413102
5/18/2018
1. To elect four directors: 01. James Chao, 02. Mark A. McCollum, 03. R. Bruce Northcutt, 04. H. John Riley, Jr..
Issuer
No
 
 
 
 
 
 
2. Ratify appointment of PricewaterhouseCoopers LLP to serve as Company's independent registered public accounting firm for the fiscal year ending December 31, 2018.
Issuer
No
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 





 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 






SIGNATURES

[See General Instruction F]

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.


 
 
(Registrant)
CGM TRUST
 
 
By  (Signature and Title)*
/s/ David C. Fietze
 
David C. Fietze, President
 
 
Date
August 30, 2018

* Print the name and title of each signing officer under his or her signature.