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: 811-23059
CLOUGH FUNDS TRUST
(Exact name of registrant as specified in charter)
1290 Broadway, Suite 1000, Denver, Colorado 80203
(Address of principal executive offices) (Zip code)
Nicholas Adams, Esq.
Clough Funds Trust
1290 Broadway, Suite 1000
Denver, CO 80203
(Name and address of agent for service)
Registrant's Telephone Number, including Area Code: (303) 623-2577
Date of fiscal year end: October 31
Date of reporting period: July 1, 2021 – June 30, 2022
Item 1 – Proxy Voting Record.
| Vote Summary | ||||||||||||||||||||||||||||||
| MCKESSON CORPORATION | ||||||||||||||||||||||||||||||
| Security | 58155Q103 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | MCK | Meeting Date | 23-Jul-2021 | |||||||||||||||||||||||||||
| ISIN | US58155Q1031 | Agenda | 935457425 - Management | |||||||||||||||||||||||||||
| Record Date | 28-May-2021 | Holding Recon Date | 28-May-2021 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 22-Jul-2021 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director for a one-year term: Dominic J. Caruso | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director for a one-year term: Donald R. Knauss | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director for a one-year term: Bradley E. Lerman | Management | For | For | ||||||||||||||||||||||||||
| 1D. | Election of Director for a one-year term: Linda P. Mantia | Management | For | For | ||||||||||||||||||||||||||
| 1E. | Election of Director for a one-year term: Maria Martinez | Management | For | For | ||||||||||||||||||||||||||
| 1F. | Election of Director for a one-year term: Edward A. Mueller | Management | For | For | ||||||||||||||||||||||||||
| 1G. | Election of Director for a one-year term: Susan R. Salka | Management | For | For | ||||||||||||||||||||||||||
| 1H. | Election of Director for a one-year term: Brian S. Tyler | Management | For | For | ||||||||||||||||||||||||||
| 1I. | Election of Director for a one-year term: Kenneth E. Washington | Management | For | For | ||||||||||||||||||||||||||
| 2. | Ratification of the appointment of Deloitte & Touche LLP as the company's independent registered public accounting firm for the fiscal year ending March 31, 2022. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Advisory vote on executive compensation. | Management | For | For | ||||||||||||||||||||||||||
| 4. | Shareholder proposal on action by written consent of shareholders. | Shareholder | Against | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 4,450 | 0 | 10-Jun-2021 | 10-Jun-2021 | |||||||||||||||||||||||
| JAZZ PHARMACEUTICALS PLC | ||||||||||||||||||||||||||||||
| Security | G50871105 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | JAZZ | Meeting Date | 29-Jul-2021 | |||||||||||||||||||||||||||
| ISIN | IE00B4Q5ZN47 | Agenda | 935461563 - Management | |||||||||||||||||||||||||||
| Record Date | 02-Jun-2021 | Holding Recon Date | 02-Jun-2021 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 28-Jul-2021 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director to hold office until the 2024 annual meeting: Peter Gray | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director to hold office until the 2024 annual meeting: Kenneth W. O'Keefe | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director to hold office until the 2024 annual meeting: Mark D. Smith, M.D. | Management | For | For | ||||||||||||||||||||||||||
| 1D. | Election of Director to hold office until the 2024 annual meeting: Catherine A. Sohn, Pharm. D. | Management | For | For | ||||||||||||||||||||||||||
| 2. | To ratify, on a non-binding advisory basis, the appointment of KPMG as the independent auditors of Jazz Pharmaceuticals plc for the fiscal year ending December 31, 2021 and to authorize, in a binding vote, the board of directors, acting through the audit committee, to determine KPMG's remuneration. | Management | For | For | ||||||||||||||||||||||||||
| 3. | To approve, on a non-binding advisory basis, the compensation of Jazz Pharmaceuticals plc's named executive officers as disclosed in the proxy statement. | Management | For | For | ||||||||||||||||||||||||||
| 4. | To renew the Board of Director's existing authority under Irish law to allot and issue ordinary shares. | Management | For | For | ||||||||||||||||||||||||||
| 5. | To renew the Board of Director's existing authority under Irish law to allot and issue ordinary shares for cash without first offering those ordinary shares to existing shareholders pursuant to the statutory pre-emption right that would otherwise apply. | Management | For | For | ||||||||||||||||||||||||||
| 6. | To approve any motion to adjourn the annual meeting, or any adjournments thereof, to another time and place to solicit additional proxies if there are insufficient votes at the time of annual meeting to approve Proposal 5. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 6,140 | 0 | 16-Jun-2021 | 16-Jun-2021 | |||||||||||||||||||||||
| NEW YORK COMMUNITY BANCORP, INC. | ||||||||||||||||||||||||||||||
| Security | 649445103 | Meeting Type | Special | |||||||||||||||||||||||||||
| Ticker Symbol | NYCB | Meeting Date | 04-Aug-2021 | |||||||||||||||||||||||||||
| ISIN | US6494451031 | Agenda | 935468529 - Management | |||||||||||||||||||||||||||
| Record Date | 18-Jun-2021 | Holding Recon Date | 18-Jun-2021 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 03-Aug-2021 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1. | A proposal to approve the issuance of New York Community Bancorp, Inc. ("NYCB") common stock to holders of Flagstar Bancorp, Inc. ("Flagstar") common stock pursuant to the Agreement and Plan of Merger, dated as of April 24, 2021 (as it may be amended from time to time), by and among NYCB, 615 Corp. and Flagstar (the "NYCB share issuance proposal"). | Management | For | For | ||||||||||||||||||||||||||
| 2. | A proposal to adjourn the NYCB special meeting, if necessary or appropriate, to solicit additional proxies if, immediately prior to such adjournment, there are not sufficient votes to approve the NYCB share issuance proposal, or to ensure that any supplement or amendment to the accompanying joint proxy statement/prospectus is timely provided to holders of NYCB common stock. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 51,900 | 0 | 29-Jun-2021 | 29-Jun-2021 | |||||||||||||||||||||||
| DYNATRACE, INC. | ||||||||||||||||||||||||||||||
| Security | 268150109 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | DT | Meeting Date | 26-Aug-2021 | |||||||||||||||||||||||||||
| ISIN | US2681501092 | Agenda | 935472100 - Management | |||||||||||||||||||||||||||
| Record Date | 01-Jul-2021 | Holding Recon Date | 01-Jul-2021 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 25-Aug-2021 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Class II Director: Seth Boro | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Class II Director: Jill Ward | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Class II Director: Kirsten Wolberg | Management | For | For | ||||||||||||||||||||||||||
| 2. | Ratify the appointment of BDO USA, LLP as Dynatrace's independent registered public accounting firm for the fiscal year ending March 31, 2022. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Non-binding advisory vote on the frequency of future non- binding advisory votes on the compensation of Dynatrace's named executive officers. | Management | 3 Years | Against | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 13,000 | 0 | 16-Jul-2021 | 16-Jul-2021 | |||||||||||||||||||||||
| 1LIFE HEALTHCARE, INC. | ||||||||||||||||||||||||||||||
| Security | 68269G107 | Meeting Type | Special | |||||||||||||||||||||||||||
| Ticker Symbol | ONEM | Meeting Date | 27-Aug-2021 | |||||||||||||||||||||||||||
| ISIN | US68269G1076 | Agenda | 935476285 - Management | |||||||||||||||||||||||||||
| Record Date | 13-Jul-2021 | Holding Recon Date | 13-Jul-2021 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 26-Aug-2021 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1. | To approve the issuance of shares of common stock, $0.001 par value per share, of 1Life Healthcare, Inc. to stockholders of Iora Health, Inc. in connection with the merger contemplated by the Agreement and Plan of Merger, dated June 6, 2021, among 1Life Healthcare, Inc., SB Merger Sub, Inc., Iora Health, Inc. and Fortis Advisors LLC, solely in its capacity as the representative of the stockholders of Iora. | Management | For | For | ||||||||||||||||||||||||||
| 2. | To approve adjournments of the 1Life special meeting, if necessary and appropriate, to solicit additional proxies if there are not sufficient votes to approve the 1Life stock issuance proposal. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 20,000 | 0 | 27-Jul-2021 | 27-Jul-2021 | |||||||||||||||||||||||
| JAZZ PHARMACEUTICALS PLC | ||||||||||||||||||||||||||||||
| Security | G50871105 | Meeting Type | Special | |||||||||||||||||||||||||||
| Ticker Symbol | JAZZ | Meeting Date | 23-Sep-2021 | |||||||||||||||||||||||||||
| ISIN | IE00B4Q5ZN47 | Agenda | 935490639 - Management | |||||||||||||||||||||||||||
| Record Date | 19-Aug-2021 | Holding Recon Date | 19-Aug-2021 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 22-Sep-2021 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1. | To grant the board of directors authority under Irish law to allot and issue ordinary shares for cash without first offering those ordinary shares to existing shareholders pursuant to the statutory pre-emption right that would otherwise apply. | Management | For | For | ||||||||||||||||||||||||||
| 2. | To approve any motion to adjourn the extraordinary general meeting, or any adjournments thereof, to another time and place to solicit additional proxies if there are insufficient votes at the time of the extraordinary general meeting to approve Proposal 1. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 5,430 | 0 | 31-Aug-2021 | 31-Aug-2021 | |||||||||||||||||||||||
| TESLA, INC. | ||||||||||||||||||||||||||||||
| Security | 88160R101 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | TSLA | Meeting Date | 07-Oct-2021 | |||||||||||||||||||||||||||
| ISIN | US88160R1014 | Agenda | 935486452 - Management | |||||||||||||||||||||||||||
| Record Date | 09-Aug-2021 | Holding Recon Date | 09-Aug-2021 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 06-Oct-2021 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1.1 | Election of Class II Director: James Murdoch | Management | For | For | ||||||||||||||||||||||||||
| 1.2 | Election of Class II Director: Kimbal Musk | Management | For | For | ||||||||||||||||||||||||||
| 2. | Tesla proposal for adoption of amendments to certificate of incorporation to reduce director terms to two years. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Tesla proposal for adoption of amendments to certificate of incorporation and bylaws to eliminate applicable supermajority voting requirements. | Management | For | |||||||||||||||||||||||||||
| 4. | Tesla proposal to ratify the appointment of independent registered public accounting firm. | Management | For | For | ||||||||||||||||||||||||||
| 5. | Stockholder proposal regarding reduction of director terms to one year. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 6. | Stockholder proposal regarding additional reporting on diversity and inclusion efforts. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 7. | Stockholder proposal regarding reporting on employee arbitration. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 8. | Stockholder proposal regarding assigning responsibility for strategic oversight of human capital management to an independent board-level committee. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 9. | Stockholder proposal regarding additional reporting on human rights. | Shareholder | Against | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 3,040 | 0 | 27-Aug-2021 | 27-Aug-2021 | |||||||||||||||||||||||
| BYD COMPANY LTD | ||||||||||||||||||||||||||||||
| Security | Y1023R104 | Meeting Type | ExtraOrdinary General Meeting | |||||||||||||||||||||||||||
| Ticker Symbol | Meeting Date | 30-Nov-2021 | ||||||||||||||||||||||||||||
| ISIN | CNE100000296 | Agenda | 714903906 - Management | |||||||||||||||||||||||||||
| Record Date | 24-Nov-2021 | Holding Recon Date | 24-Nov-2021 | |||||||||||||||||||||||||||
| City / | Country | SHENZH EN | / | China | Vote Deadline Date | 23-Nov-2021 | ||||||||||||||||||||||||
| SEDOL(s) | 6536651 - B01XKF2 - B0WVS95 - BD8GJR0 - BDDXWZ5 - BGKFJ21 - BGPHZH9 | Quick Code | ||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- https://www1.hkexnews.hk/listedco/listconews/sehk/2021/ 1112/2021111201506.pdf-AND- https://www1.hkexnews.hk/listedco/listconews/sehk/2021/ 1112/2021111201544.pdf | Non-Voting | ||||||||||||||||||||||||||||
| 1 | TO CONSIDER AND APPROVE THE AMENDMENTS TO THE ARTICLES OF ASSOCIATION AS SET OUT IN APPENDIX I TO THE CIRCULAR DATED 13 NOVEMBER 2021 OF THE COMPANY (THE"CIRCULAR") | Management | For | For | ||||||||||||||||||||||||||
| 2 | TO CONSIDER AND APPROVE THE RULES OF PROCEDURES OF MEETINGS OF THE BOARD OF THE COMPANY AS SET OUT IN APPENDIX II TO THE CIRCULAR | Management | For | For | ||||||||||||||||||||||||||
| 3 | TO CONSIDER AND APPROVE THE RULES OF PROCEDURES OF MEETINGS OF THE SUPERVISORY COMMITTEE OF THE COMPANY AS SET OUT IN APPENDIX III TO THE CIRCULAR | Management | For | For | ||||||||||||||||||||||||||
| 4 | TO CONSIDER AND APPROVE THE COMPLIANCE MANUAL IN RELATION TO INDEPENDENT DIRECTORS OF THE COMPANY AS SET OUT IN APPENDIX IV TO THE CIRCULAR | Management | For | For | ||||||||||||||||||||||||||
| 5 | TO CONSIDER AND APPROVE THE MANAGEMENT SYSTEM FOR THE FUNDS RAISED OF THE COMPANY AS SET OUT IN APPENDIX V TO THE CIRCULAR | Management | For | For | ||||||||||||||||||||||||||
| 6 | TO CONSIDER AND APPROVE THE COMPLIANCE MANUAL IN RELATION TO CONNECTED TRANSACTIONS OF THE COMPANY AS SET OUT IN APPENDIX VI TO THE CIRCULAR | Management | For | For | ||||||||||||||||||||||||||
| 7 | TO CONSIDER AND APPROVE THE RULES FOR THE SELECTION AND APPOINTMENT OF ACCOUNTANTS' FIRM OF THE COMPANY AS SET OUT IN APPENDIX VII TO THE CIRCULAR | Management | For | For | ||||||||||||||||||||||||||
| 8 | TO CONSIDER AND APPROVE THE POLICY ON EXTERNAL GUARANTEE OF THE COMPANY AS SET OUT IN APPENDIX VIII TO THE CIRCULAR | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| AL94 | AL94 | STATE STREET BANK | 71,000 | 0 | 13-Nov-2021 | 13-Nov-2021 | ||||||||||||||||||||||||
| MICROSOFT CORPORATION | ||||||||||||||||||||||||||||||
| Security | 594918104 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | MSFT | Meeting Date | 30-Nov-2021 | |||||||||||||||||||||||||||
| ISIN | US5949181045 | Agenda | 935505480 - Management | |||||||||||||||||||||||||||
| Record Date | 30-Sep-2021 | Holding Recon Date | 30-Sep-2021 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 29-Nov-2021 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director: Reid G. Hoffman | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director: Hugh F. Johnston | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director: Teri L. List | Management | For | For | ||||||||||||||||||||||||||
| 1D. | Election of Director: Satya Nadella | Management | For | For | ||||||||||||||||||||||||||
| 1E. | Election of Director: Sandra E. Peterson | Management | For | For | ||||||||||||||||||||||||||
| 1F. | Election of Director: Penny S. Pritzker | Management | For | For | ||||||||||||||||||||||||||
| 1G. | Election of Director: Carlos A. Rodriguez | Management | For | For | ||||||||||||||||||||||||||
| 1H. | Election of Director: Charles W. Scharf | Management | For | For | ||||||||||||||||||||||||||
| 1I. | Election of Director: John W. Stanton | Management | For | For | ||||||||||||||||||||||||||
| 1J. | Election of Director: John W. Thompson | Management | For | For | ||||||||||||||||||||||||||
| 1K. | Election of Director: Emma N. Walmsley | Management | For | For | ||||||||||||||||||||||||||
| 1L. | Election of Director: Padmasree Warrior | Management | For | For | ||||||||||||||||||||||||||
| 2. | Advisory vote to approve named executive officer compensation. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Approve Employee Stock Purchase Plan. | Management | For | For | ||||||||||||||||||||||||||
| 4. | Ratification of the Selection of Deloitte & Touche LLP as our Independent Auditor for Fiscal Year 2022. | Management | For | For | ||||||||||||||||||||||||||
| 5. | Shareholder Proposal - Report on median pay gaps across race and gender. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 6. | Shareholder Proposal - Report on effectiveness of workplace sexual harassment policies. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 7. | Shareholder Proposal - Prohibition on sales of facial recognition technology to all government entities. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 8. | Shareholder Proposal - Report on implementation of the Fair Chance Business Pledge. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 9. | Shareholder Proposal - Report on how lobbying activities align with company policies. | Shareholder | Against | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 6,390 | 0 | 21-Oct-2021 | 21-Oct-2021 | |||||||||||||||||||||||
| 997AL96 | CLOUGH GLOBAL LONG SHORT FUND | 997AL96 | STATE STREET BANK & TRUST CO | 5,800 | 0 | 21-Oct-2021 | 21-Oct-2021 | |||||||||||||||||||||||
| BILL.COM HOLDINGS, INC. | ||||||||||||||||||||||||||||||
| Security | 090043100 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | BILL | Meeting Date | 09-Dec-2021 | |||||||||||||||||||||||||||
| ISIN | US0900431000 | Agenda | 935510443 - Management | |||||||||||||||||||||||||||
| Record Date | 12-Oct-2021 | Holding Recon Date | 12-Oct-2021 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Dec-2021 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||||||||||||||||
| 1 | Allison Mnookin | For | For | |||||||||||||||||||||||||||
| 2 | Steven Piaker | For | For | |||||||||||||||||||||||||||
| 3 | Rory O'Driscoll | For | For | |||||||||||||||||||||||||||
| 4 | Steve Fisher | For | For | |||||||||||||||||||||||||||
| 2. | Ratification of Appointment of Independent Registered Public Accounting Firm Ernst & Young LLP. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Advisory Vote on the Compensation of our Named Executive Officers. | Management | For | For | ||||||||||||||||||||||||||
| 4. | Advisory Vote on the Frequency of Future Advisory Votes on the Compensation of our Named Executive Officers. | Management | 3 Years | Against | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 2,800 | 0 | 27-Oct-2021 | 27-Oct-2021 | |||||||||||||||||||||||
| CISCO SYSTEMS, INC. | ||||||||||||||||||||||||||||||
| Security | 17275R102 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | CSCO | Meeting Date | 13-Dec-2021 | |||||||||||||||||||||||||||
| ISIN | US17275R1023 | Agenda | 935511469 - Management | |||||||||||||||||||||||||||
| Record Date | 15-Oct-2021 | Holding Recon Date | 15-Oct-2021 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 10-Dec-2021 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director: M. Michele Burns | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director: Wesley G. Bush | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director: Michael D. Capellas | Management | For | For | ||||||||||||||||||||||||||
| 1D. | Election of Director: Mark Garrett | Management | For | For | ||||||||||||||||||||||||||
| 1E. | Election of Director: John D. Harris II | Management | For | For | ||||||||||||||||||||||||||
| 1F. | Election of Director: Dr. Kristina M. Johnson | Management | For | For | ||||||||||||||||||||||||||
| 1G. | Election of Director: Roderick C. McGeary | Management | For | For | ||||||||||||||||||||||||||
| 1H. | Election of Director: Charles H. Robbins | Management | For | For | ||||||||||||||||||||||||||
| 1I. | Election of Director: Brenton L. Saunders | Management | For | For | ||||||||||||||||||||||||||
| 1J. | Election of Director: Dr. Lisa T. Su | Management | For | For | ||||||||||||||||||||||||||
| 1K. | Election of Director: Marianna Tessel | Management | For | For | ||||||||||||||||||||||||||
| 2. | Approval, on an advisory basis, of executive compensation. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Ratification of PricewaterhouseCoopers LLP as Cisco's independent registered public accounting firm for fiscal 2022. | Management | For | For | ||||||||||||||||||||||||||
| 4. | Approval to have Cisco's Board amend Cisco's proxy access bylaw to remove the stockholder aggregation limit. | Shareholder | Against | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 24,100 | 0 | 26-Oct-2021 | 26-Oct-2021 | |||||||||||||||||||||||
| D.R. HORTON, INC. | ||||||||||||||||||||||||||||||
| Security | 23331A109 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | DHI | Meeting Date | 26-Jan-2022 | |||||||||||||||||||||||||||
| ISIN | US23331A1097 | Agenda | 935537906 - Management | |||||||||||||||||||||||||||
| Record Date | 30-Nov-2021 | Holding Recon Date | 30-Nov-2021 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 25-Jan-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director: Donald R. Horton | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director: Barbara K. Allen | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director: Brad S. Anderson | Management | For | For | ||||||||||||||||||||||||||
| 1D. | Election of Director: Michael R. Buchanan | Management | For | For | ||||||||||||||||||||||||||
| 1E. | Election of Director: Benjamin S. Carson, Sr. | Management | For | For | ||||||||||||||||||||||||||
| 1F. | Election of Director: Michael W. Hewatt | Management | For | For | ||||||||||||||||||||||||||
| 1G. | Election of Director: Maribess L. Miller | Management | For | For | ||||||||||||||||||||||||||
| 2. | Approval of the advisory resolution on executive compensation. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 23,200 | 0 | 24-Dec-2021 | 24-Dec-2021 | |||||||||||||||||||||||
| INFINEON TECHNOLOGIES AG | ||||||||||||||||||||||||||||||
| Security | D35415104 | Meeting Type | Annual General Meeting | |||||||||||||||||||||||||||
| Ticker Symbol | Meeting Date | 17-Feb-2022 | ||||||||||||||||||||||||||||
| ISIN | DE0006231004 | Agenda | 715040743 - Management | |||||||||||||||||||||||||||
| Record Date | 10-Feb-2022 | Holding Recon Date | 10-Feb-2022 | |||||||||||||||||||||||||||
| City / | Country | NEUBIBE RG | / | Germany | Vote Deadline Date | 04-Feb-2022 | ||||||||||||||||||||||||
| SEDOL(s) | 5889505 - B01DKJ6 - B0CRGY4 - B108X56 - B7N2TT3 - B814K62 - BF0Z753 - BYL6SV1 - BYXQQV5 | Quick Code | ||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| CMMT | VOTING MUST BE LODGED WITH SHAREHOLDER DETAILS AS PROVIDED BY YOUR CUSTODIAN- BANK. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY BE- REJECTED. | Non-Voting | ||||||||||||||||||||||||||||
| 1 | RECEIVE FINANCIAL STATEMENTS AND STATUTORY REPORTS FOR FISCAL YEAR 2021 | Non-Voting | ||||||||||||||||||||||||||||
| 2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF EUR 0.27 PER SHARE | Management | For | For | ||||||||||||||||||||||||||
| 3.1 | APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER REINHARD PLOSS FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||||||||||||||||
| 3.2 | APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER HELMUT GASSEL FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||||||||||||||||
| 3.3 | APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER JOCHEN HANEBECK FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||||||||||||||||
| 3.4 | APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER CONSTANZE HUFENBECHER (FROM APRIL 15, 2021) FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||||||||||||||||
| 3.5 | APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER SVEN SCHNEIDER FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||||||||||||||||
| 4.1 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER WOLFGANG EDER FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||||||||||||||||
| 4.2 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER XIAOQUN CLEVER FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||||||||||||||||
| 4.3 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER JOHANN DECHANT FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||||||||||||||||
| 4.4 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER FRIEDRICH EICHINER FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||||||||||||||||
| 4.5 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER ANNETTE ENGELFRIED FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||||||||||||||||
| 4.6 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER PETER GRUBER FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||||||||||||||||
| 4.7 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER HANS-ULRICH HOLDENRIED FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||||||||||||||||
| 4.8 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER SUSANNE LACHENMANN FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||||||||||||||||
| 4.9 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER GERALDINE PICAUD FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||||||||||||||||
| 4.10 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER MANFRED PUFFER FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||||||||||||||||
| 4.11 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER MELANIE RIEDL FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||||||||||||||||
| 4.12 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER JUERGEN SCHOLZ FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||||||||||||||||
| 4.13 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER KERSTIN SCHULZENDORF FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||||||||||||||||
| 4.14 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER ULRICH SPIESSHOFER FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||||||||||||||||
| 4.15 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER MARGRET SUCKALE FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||||||||||||||||
| 4.16 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER DIANA VITALE FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||||||||||||||||
| 5 | RATIFY KPMG AG AS AUDITORS FOR FISCAL YEAR 2022 | Management | For | For | ||||||||||||||||||||||||||
| 6 | ELECT GERALDINE PICAUD TO THE SUPERVISORY BOARD | Management | For | For | ||||||||||||||||||||||||||
| CMMT | PLEASE NOTE THAT FOLLOWING THE AMENDMENT TO PARAGRAPH 21 OF THE SECURITIES-TRADE ACT ON 9TH JULY 2015 AND THE OVER-RULING OF THE DISTRICT COURT IN-COLOGNE JUDGMENT FROM 6TH JUNE 2012 THE VOTING PROCESS HAS NOW CHANGED WITH-REGARD TO THE GERMAN REGISTERED SHARES. AS A RESULT, IT IS NOW THE-RESPONSIBILITY OF THE END-INVESTOR (I.E. FINAL BENEFICIARY) AND NOT THE-INTERMEDIARY TO DISCLOSE RESPECTIVE FINAL BENEFICIARY VOTING RIGHTS THEREFORE-THE CUSTODIAN BANK / AGENT IN THE MARKET WILL BE SENDING THE VOTING DIRECTLY-TO MARKET AND IT IS THE END INVESTORS RESPONSIBILITY TO ENSURE THE- REGISTRATION ELEMENT IS COMPLETE WITH THE ISSUER DIRECTLY, SHOULD THEY HOLD-MORE THAN 3 % OF THE TOTAL SHARE CAPITAL | Non-Voting | ||||||||||||||||||||||||||||
| CMMT | THE VOTE/REGISTRATION DEADLINE AS DISPLAYED ON PROXYEDGE IS SUBJECT TO CHANGE-AND WILL BE UPDATED AS SOON AS BROADRIDGE RECEIVES CONFIRMATION FROM THE SUB-CUSTODIANS REGARDING THEIR INSTRUCTION DEADLINE. FOR ANY QUERIES PLEASE-CONTACT YOUR CLIENT SERVICES REPRESENTATIVE. | Non-Voting | ||||||||||||||||||||||||||||
| CMMT | ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN- CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE- NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS-AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS-NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR-QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE-FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS- USUAL. | Non-Voting | ||||||||||||||||||||||||||||
| CMMT | FURTHER INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE-ISSUER'S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE-APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A-MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY'S MEETING.- COUNTER PROPOSALS CANNOT BE REFLECTED IN THE BALLOT ON PROXYEDGE | Non-Voting | ||||||||||||||||||||||||||||
| CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN-ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE-AVAILABLE AS A LINK UNDER THE 'MATERIAL URL' DROPDOWN AT THE TOP OF THE-BALLOT. THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN-PLACE. FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | ||||||||||||||||||||||||||||
| CMMT | 12 JAN 2022: PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS)-AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED-MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT-CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE-CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST-SYSTEM DEADLINE. ONCE THIS TRANSFER | Non-Voting | ||||||||||||||||||||||||||||
| HAS SETTLED, THE CDIS WILL BE BLOCKED IN-THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS-PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE-SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE- BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS- MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION-AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE- TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST- SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY- PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU | ||||||||||||||||||||||||||||||
| CMMT | 12 JAN 2022: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF COMMENT.-IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU-DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| AL94 | AL94 | STATE STREET BANK | 17,754 | 0 | 08-Jan-2022 | 08-Jan-2022 | ||||||||||||||||||||||||
| HOLOGIC, INC. | ||||||||||||||||||||||||||||||
| Security | 436440101 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | HOLX | Meeting Date | 10-Mar-2022 | |||||||||||||||||||||||||||
| ISIN | US4364401012 | Agenda | 935543137 - Management | |||||||||||||||||||||||||||
| Record Date | 11-Jan-2022 | Holding Recon Date | 11-Jan-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 09-Mar-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director: Stephen P. MacMillan | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director: Sally W. Crawford | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director: Charles J. Dockendorff | Management | For | For | ||||||||||||||||||||||||||
| 1D. | Election of Director: Scott T. Garrett | Management | For | For | ||||||||||||||||||||||||||
| 1E. | Election of Director: Ludwig N. Hantson | Management | For | For | ||||||||||||||||||||||||||
| 1F. | Election of Director: Namal Nawana | Management | For | For | ||||||||||||||||||||||||||
| 1G. | Election of Director: Christiana Stamoulis | Management | For | For | ||||||||||||||||||||||||||
| 1H. | Election of Director: Amy M. Wendell | Management | For | For | ||||||||||||||||||||||||||
| 2. | A non-binding advisory resolution to approve executive compensation. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for fiscal 2022. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 7,740 | 0 | 21-Jan-2022 | 21-Jan-2022 | |||||||||||||||||||||||
| CARNIVAL CORPORATION | ||||||||||||||||||||||||||||||
| Security | 143658300 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | CCL | Meeting Date | 08-Apr-2022 | |||||||||||||||||||||||||||
| ISIN | PA1436583006 | Agenda | 935551160 - Management | |||||||||||||||||||||||||||
| Record Date | 07-Feb-2022 | Holding Recon Date | 07-Feb-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 07-Apr-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1. | To re-elect Micky Arison as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | ||||||||||||||||||||||||||
| 2. | To re-elect Sir Jonathon Band as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | ||||||||||||||||||||||||||
| 3. | To re-elect Jason Glen Cahilly as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | ||||||||||||||||||||||||||
| 4. | To re-elect Helen Deeble as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | ||||||||||||||||||||||||||
| 5. | To re-elect Arnold W. Donald as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | ||||||||||||||||||||||||||
| 6. | To re-elect Jeffery J. Gearhart as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | ||||||||||||||||||||||||||
| 7. | To re-elect Richard J. Glasier as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | ||||||||||||||||||||||||||
| 8. | To re-elect Katie Lahey as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | ||||||||||||||||||||||||||
| 9. | To re-elect Sir John Parker as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | ||||||||||||||||||||||||||
| 10. | To re-elect Stuart Subotnick as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | ||||||||||||||||||||||||||
| 11. | To re-elect Laura Weil as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | ||||||||||||||||||||||||||
| 12. | To re-elect Randall J. Weisenburger as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | ||||||||||||||||||||||||||
| 13. | To hold a (non-binding) advisory vote to approve executive compensation (in accordance with legal requirements applicable to U.S. companies). | Management | For | For | ||||||||||||||||||||||||||
| 14. | To hold a (non-binding) advisory vote to approve the Carnival plc Directors' Remuneration Report (in accordance with legal requirements applicable to UK companies). | Management | For | For | ||||||||||||||||||||||||||
| 15. | To re-appoint the UK firm of PricewaterhouseCoopers LLP as independent auditors of Carnival plc and to ratify the selection of the U.S. firm of PricewaterhouseCoopers LLP as the independent registered public accounting firm of Carnival Corporation. | Management | For | For | ||||||||||||||||||||||||||
| 16. | To authorize the Audit Committee of Carnival plc to determine the remuneration of the independent auditors of Carnival plc (in accordance with legal requirements applicable to UK companies) | Management | For | For | ||||||||||||||||||||||||||
| 17. | To receive the UK accounts and reports of the Directors and auditors of Carnival plc for the year ended November 30, 2021 (in accordance with legal requirements applicable to UK companies). | Management | For | For | ||||||||||||||||||||||||||
| 18. | To approve the giving of authority for the allotment of new shares by Carnival plc (in accordance with customary practice for UK companies). | Management | For | For | ||||||||||||||||||||||||||
| 19. | To 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). | Management | For | For | ||||||||||||||||||||||||||
| 20. | To approve a general authority for Carnival 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). | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 12,900 | 0 | 16-Feb-2022 | 16-Feb-2022 | |||||||||||||||||||||||
| 997AL96 | CLOUGH GLOBAL LONG SHORT FUND | 997AL96 | STATE STREET BANK & TRUST CO | 14,800 | 0 | 16-Feb-2022 | 16-Feb-2022 | |||||||||||||||||||||||
| AIRBUS SE | ||||||||||||||||||||||||||||||
| Security | N0280G100 | Meeting Type | Annual General Meeting | |||||||||||||||||||||||||||
| Ticker Symbol | Meeting Date | 12-Apr-2022 | ||||||||||||||||||||||||||||
| ISIN | NL0000235190 | Agenda | 715185585 - Management | |||||||||||||||||||||||||||
| Record Date | 15-Mar-2022 | Holding Recon Date | 15-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | AMSTER DAM | / | Netherlands | Vote Deadline Date | 29-Mar-2022 | ||||||||||||||||||||||||
| SEDOL(s) | 4012250 - 4012346 - 4057273 - B01DGJ8 - B16Q6Y4 - B87GTC1 - BDC50T2 - BF444K0 - BHZLF67 | Quick Code | ||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| CMMT | VOTING MUST BE LODGED WITH BENEFICIAL OWNER DETAILS AS PROVIDED BY YOUR- CUSTODIAN BANK. IF NO BENEFICIAL OWNER DETAILS ARE PROVIDED, YOUR-INSTRUCTIONS MAY BE REJECTED. | Non-Voting | ||||||||||||||||||||||||||||
| CMMT | VOTING MUST BE LODGED WITH SHAREHOLDER DETAILS AS PROVIDED BY YOUR CUSTODIAN- BANK. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTIONS MAY BE- REJECTED. | Non-Voting | ||||||||||||||||||||||||||||
| CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN- INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE-PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION-LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE-OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE-REPRESENTATIVE FOR ASSISTANCE | Non-Voting | ||||||||||||||||||||||||||||
| 1 | RESOLVED THAT THE AUDITED ACCOUNTS FOR THE ACCOUNTING PERIOD FROM 1 JANUARY 2021 TO 31 DECEMBER 2021, AS SUBMITTED TO THE ANNUAL GENERAL MEETING ("AGM") BY THE BOARD OF DIRECTORS, BE AND HEREBY ARE ADOPTED | Management | For | For | ||||||||||||||||||||||||||
| 2 | RESOLVED THAT THE NET LOSS OF EUR 114 MILLION, AS SHOWN IN THE INCOME STATEMENT INCLUDED IN THE AUDITED ACCOUNTS FOR THE FINANCIAL YEAR 2021, SHALL BE CHARGED AGAINST THE RETAINED EARNINGS AND THAT A PAYMENT OF A GROSS AMOUNT OF EUR 1.50 PER SHARE SHALL BE MADE TO THE SHAREHOLDERS OUT OF THE RETAINED EARNINGS | Management | For | For | ||||||||||||||||||||||||||
| 3 | RESOLVED THAT THE NON-EXECUTIVE MEMBERS OF THE BOARD OF DIRECTORS BE AND HEREBY ARE GRANTED A RELEASE FROM LIABILITY FOR THE PERFORMANCE OF THEIR DUTIES DURING AND WITH RESPECT TO THE FINANCIAL YEAR 2021, TO THE EXTENT THAT THEIR ACTIVITY HAS BEEN REFLECTED IN THE AUDITED ANNUAL ACCOUNTS FOR THE FINANCIAL YEAR 2021 OR IN THE REPORT OF THE BOARD OF DIRECTORS OR WAS OTHERWISE PROPERLY DISCLOSED TO THE GENERAL MEETING | Management | For | For | ||||||||||||||||||||||||||
| 4 | RESOLVED THAT THE EXECUTIVE MEMBER OF THE BOARD OF DIRECTORS BE AND HEREBY IS GRANTED A RELEASE FROM LIABILITY FOR THE PERFORMANCE OF HIS DUTIES DURING AND WITH RESPECT TO THE FINANCIAL YEAR 2021, TO THE EXTENT THAT HIS ACTIVITY HAS BEEN REFLECTED IN THE AUDITED ANNUAL ACCOUNTS FOR THE FINANCIAL YEAR 2021 OR IN THE REPORT OF THE BOARD OF DIRECTORS OR WAS OTHERWISE PROPERLY DISCLOSED TO THE GENERAL MEETING | Management | For | For | ||||||||||||||||||||||||||
| 5 | RESOLVED THAT THE COMPANY'S AUDITOR FOR THE ACCOUNTING PERIOD BEING THE FINANCIAL YEAR 2022 SHALL BE ERNST & YOUNG ACCOUNTANTS LLP, THE NETHERLANDS, WHOSE REGISTERED OFFICE IS AT BOOMPJES 258, 3011 XZ ROTTERDAM IN THE NETHERLANDS.FOR MORE INFORMATION PLEASE SEE THE INFORMATION NOTICE AND REPORT OF THE BOARD OF DIRECTORS DOWNLOADABLE FROM THIS PLATFORM OR GO TO OUR WEBSITE WWW.AIRBUS.COM | Management | For | For | ||||||||||||||||||||||||||
| 6 | RESOLVED THAT, AS AN ADVISORY VOTE, THE IMPLEMENTATION OF THE REMUNERATION POLICY DURING THE FINANCIAL YEAR 2021, AS DISCLOSED IN THE REPORT OF THE BOARD OF DIRECTORS, BE AND HEREBY IS APPROVED | Management | For | For | ||||||||||||||||||||||||||
| 7 | RESOLVED THAT THE APPOINTMENT OF MR GUILLAUME FAURY AS EXECUTIVE MEMBER OF THE BOARD OF DIRECTORS BE RENEWED FOR A TERM OF THREE YEARS, ENDING AT THE CLOSE OF THE AGM WHICH SHALL BE HELD IN THE YEAR 2025 | Management | For | For | ||||||||||||||||||||||||||
| 8 | RESOLVED THAT THE APPOINTMENT OF MS CATHERINE GUILLOUARD AS NON-EXECUTIVE MEMBER OF THE BOARD OF DIRECTORS BE RENEWED FOR A TERM OF THREE YEARS, ENDING AT THE CLOSE OF THE AGM WHICH SHALL BE HELD IN THE YEAR 2025 | Management | For | For | ||||||||||||||||||||||||||
| 9 | RESOLVED THAT THE APPOINTMENT OF MS CLAUDIA NEMAT AS NON-EXECUTIVE MEMBER OF THE BOARD OF DIRECTORS BE RENEWED FOR A TERM OF THREE YEARS, ENDING AT THE CLOSE OF THE AGM WHICH SHALL BE HELD IN THE YEAR 2025 | Management | For | For | ||||||||||||||||||||||||||
| 10 | RESOLVED THAT MS IRENE RUMMELHOFF BE APPOINTED AS A NON-EXECUTIVE MEMBER OF THE BOARD OF DIRECTORS FOR A TERM OF THREE YEARS, ENDING AT THE CLOSE OF THE AGM WHICH SHALL BE HELD IN THE YEAR 2025, IN REPLACEMENT OF MR CARLOS TAVARES WHOSE MANDATE EXPIRES | Management | For | For | ||||||||||||||||||||||||||
| 11 | RESOLVED THAT IN ACCORDANCE WITH THE COMPANY'S ARTICLES OF ASSOCIATION, THE BOARD OF DIRECTORS BE AND HEREBY IS DESIGNATED, SUBJECT TO REVOCATION BY THE GENERAL MEETING, TO HAVE POWERS TO ISSUE SHARES AND TO GRANT RIGHTS TO SUBSCRIBE FOR SHARES IN THE COMPANY'S SHARE CAPITAL FOR THE PURPOSE OF EMPLOYEE SHARE OWNERSHIP PLANS AND SHARE-RELATED LONG- TERM INCENTIVE PLANS (SUCH AS PERFORMANCE SHARE PLANS), PROVIDED THAT SUCH POWERS SHALL BE LIMITED TO AN AGGREGATE OF 0.14% OF THE COMPANY'S AUTHORISED SHARE CAPITAL FROM TIME TO TIME AND TO LIMIT OR EXCLUDE PREFERENTIAL SUBSCRIPTION RIGHTS, IN BOTH CASES FOR A PERIOD EXPIRING AT THE AGM TO BE HELD IN 2023. SUCH POWERS INCLUDE THE GRANTING OF RIGHTS TO SUBSCRIBE FOR SHARES WHICH CAN BE EXERCISED AT SUCH TIME AS MAY BE SPECIFIED IN OR PURSUANT TO SUCH PLANS AND THE ISSUE OF SHARES TO BE PAID UP FROM THE COMPANY'S RESERVES. HOWEVER, SUCH POWERS SHALL NOT EXTEND TO ISSUING SHARES OR GRANTING RIGHTS TO SUBSCRIBE FOR SHARES IF (I) THERE IS NO PREFERENTIAL SUBSCRIPTION RIGHTS | Management | For | For | ||||||||||||||||||||||||||
| 12 | RESOLVED THAT IN ACCORDANCE WITH THE COMPANY'S ARTICLES OF ASSOCIATION, THE BOARD OF DIRECTORS BE AND HEREBY IS DESIGNATED, SUBJECT TO REVOCATION BY THE GENERAL MEETING, TO HAVE POWERS TO ISSUE SHARES AND TO GRANT RIGHTS TO SUBSCRIBE FOR SHARES IN THE COMPANY'S SHARE CAPITAL FOR THE PURPOSE OF FUNDING (OR ANY OTHER CORPORATE PURPOSE INCLUDING MERGERS OR ACQUISITIONS) THE COMPANY AND ITS GROUP COMPANIES, PROVIDED THAT SUCH POWERS SHALL BE LIMITED TO AN AGGREGATE OF 0.3% OF THE COMPANY'S AUTHORISED SHARE CAPITAL FROM TIME TO TIME AND TO LIMIT OR EXCLUDE PREFERENTIAL SUBSCRIPTION RIGHTS, IN BOTH CASES FOR A PERIOD EXPIRING AT THE AGM TO BE HELD IN 2023. SUCH POWERS INCLUDE THE ISSUE OF FINANCIAL INSTRUMENTS, INCLUDING BUT NOT LIMITED TO CONVERTIBLE BOND, WHICH INSTRUMENTS MAY GRANT THE HOLDERS | Management | For | For | ||||||||||||||||||||||||||
| THEREOF RIGHTS TO ACQUIRE SHARES IN THE CAPITAL OF THE COMPANY, EXERCISABLE AT SUCH TIME AS MAY BE DETERMINED BY THE FINANCIAL INSTRUMENT, AND THE ISSUE OF SHARES TO BE PAID UP FROM THE COMPANY'S RESERVES | ||||||||||||||||||||||||||||||
| 13 | RESOLVED THAT THE BOARD OF DIRECTORS BE AND HEREBY IS AUTHORISED, FOR A NEW PERIOD OF 18 MONTHS FROM THE DATE OF THIS AGM, TO REPURCHASE SHARES (OR DEPOSITORY RECEIPTS FOR SHARES) OF THE COMPANY, BY ANY MEANS, INCLUDING DERIVATIVE PRODUCTS, ON ANY STOCK EXCHANGE OR OTHERWISE, AS LONG AS, UPON SUCH REPURCHASE, THE COMPANY WILL NOT HOLD MORE THAN 10% OF THE COMPANY'S ISSUED SHARE CAPITAL, AND AT A PRICE PER SHARE NOT LESS THAN THE NOMINAL VALUE AND NOT MORE THAN THE HIGHER OF THE PRICE OF THE LAST INDEPENDENT TRADE AND THE HIGHEST CURRENT INDEPENDENT BID ON THE TRADING VENUES OF THE REGULATED MARKET OF THE COUNTRY IN WHICH THE PURCHASE IS CARRIED OUT. THIS AUTHORISATION SUPERSEDES AND REPLACES THE AUTHORISATION GIVEN BY THE AGM OF 14 APRIL 2021 IN ITS TWELFTH RESOLUTION | Management | For | For | ||||||||||||||||||||||||||
| 14 | RESOLVED THAT ANY OR ALL OF THE SHARES HELD OR REPURCHASED BY THE COMPANY BE CANCELLED (WHETHER OR NOT IN TRANCHES) AND BOTH THE BOARD OF DIRECTORS AND THE CHIEF EXECUTIVE OFFICER BE AND HEREBY ARE AUTHORISED, WITH POWERS OF SUBSTITUTION, TO IMPLEMENT THIS RESOLUTION (INCLUDING THE AUTHORISATION TO ESTABLISH THE EXACT NUMBER OF THE RELEVANT SHARES TO BE CANCELLED) IN ACCORDANCE WITH DUTCH LAW | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| AL94 | AL94 | STATE STREET BANK | 10,860 | 0 | 23-Feb-2022 | 23-Feb-2022 | ||||||||||||||||||||||||
| LENNAR CORPORATION | ||||||||||||||||||||||||||||||
| Security | 526057104 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | LEN | Meeting Date | 12-Apr-2022 | |||||||||||||||||||||||||||
| ISIN | US5260571048 | Agenda | 935554774 - Management | |||||||||||||||||||||||||||
| Record Date | 15-Feb-2022 | Holding Recon Date | 15-Feb-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-Apr-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director to serve until the 2023 Annual Meeting: Amy Banse | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director to serve until the 2023 Annual Meeting: Rick Beckwitt | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director to serve until the 2023 Annual Meeting: Steven L. Gerard | Management | For | For | ||||||||||||||||||||||||||
| 1D. | Election of Director to serve until the 2023 Annual Meeting: Tig Gilliam | Management | For | For | ||||||||||||||||||||||||||
| 1E. | Election of Director to serve until the 2023 Annual Meeting: Sherrill W. Hudson | Management | For | For | ||||||||||||||||||||||||||
| 1F. | Election of Director to serve until the 2023 Annual Meeting: Jonathan M. Jaffe | Management | For | For | ||||||||||||||||||||||||||
| 1G. | Election of Director to serve until the 2023 Annual Meeting: Sidney Lapidus | Management | For | For | ||||||||||||||||||||||||||
| 1H. | Election of Director to serve until the 2023 Annual Meeting: Teri P. McClure | Management | For | For | ||||||||||||||||||||||||||
| 1I. | Election of Director to serve until the 2023 Annual Meeting: Stuart Miller | Management | For | For | ||||||||||||||||||||||||||
| 1J. | Election of Director to serve until the 2023 Annual Meeting: Armando Olivera | Management | For | For | ||||||||||||||||||||||||||
| 1K. | Election of Director to serve until the 2023 Annual Meeting: Jeffrey Sonnenfeld | Management | For | For | ||||||||||||||||||||||||||
| 2. | Approval, on an advisory basis, of the compensation of our named executive officers. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Ratification of the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for our fiscal year ending November 30, 2022. | Management | For | For | ||||||||||||||||||||||||||
| 4. | Approval of the Lennar Corporation 2016 Equity Incentive Plan, as Amended and Restated. | Management | For | For | ||||||||||||||||||||||||||
| 5. | Approval of a stockholder proposal to reduce the common stock ownership threshold to call a special meeting. | Shareholder | Against | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 9,440 | 0 | 02-Mar-2022 | 02-Mar-2022 | |||||||||||||||||||||||
| HCA HEALTHCARE, INC. | ||||||||||||||||||||||||||||||
| Security | 40412C101 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | HCA | Meeting Date | 21-Apr-2022 | |||||||||||||||||||||||||||
| ISIN | US40412C1018 | Agenda | 935561236 - Management | |||||||||||||||||||||||||||
| Record Date | 25-Feb-2022 | Holding Recon Date | 25-Feb-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 20-Apr-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director: Thomas F. Frist III | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director: Samuel N. Hazen | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director: Meg G. Crofton | Management | For | For | ||||||||||||||||||||||||||
| 1D. | Election of Director: Robert J. Dennis | Management | For | For | ||||||||||||||||||||||||||
| 1E. | Election of Director: Nancy-Ann DeParle | Management | For | For | ||||||||||||||||||||||||||
| 1F. | Election of Director: William R. Frist | Management | For | For | ||||||||||||||||||||||||||
| 1G. | Election of Director: Charles O. Holliday, Jr. | Management | For | For | ||||||||||||||||||||||||||
| 1H. | Election of Director: Hugh F. Johnston | Management | For | For | ||||||||||||||||||||||||||
| 1I. | Election of Director: Michael W. Michelson | Management | For | For | ||||||||||||||||||||||||||
| 1J. | Election of Director: Wayne J. Riley, M.D. | Management | For | For | ||||||||||||||||||||||||||
| 1K. | Election of Director: Andrea B. Smith | Management | For | For | ||||||||||||||||||||||||||
| 2. | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the year ending December 31, 2022. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Advisory vote to approve named executive officer compensation. | Management | For | For | ||||||||||||||||||||||||||
| 4. | Stockholder proposal, if properly presented at the meeting, regarding political spending disclosure. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 5. | Stockholder proposal, if properly presented at the meeting, regarding lobbying disclosure. | Shareholder | Against | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 2,040 | 0 | 12-Mar-2022 | 12-Mar-2022 | |||||||||||||||||||||||
| RAYTHEON TECHNOLOGIES | ||||||||||||||||||||||||||||||
| Security | 75513E101 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | RTX | Meeting Date | 25-Apr-2022 | |||||||||||||||||||||||||||
| ISIN | US75513E1010 | Agenda | 935559673 - Management | |||||||||||||||||||||||||||
| Record Date | 01-Mar-2022 | Holding Recon Date | 01-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 22-Apr-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director: Tracy A. Atkinson | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director: Bernard A.Harris,Jr. | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director: Gregory J. Hayes | Management | For | For | ||||||||||||||||||||||||||
| 1D. | Election of Director: George R. Oliver | Management | For | For | ||||||||||||||||||||||||||
| 1E. | Election of Director: Robert K. (Kelly) Ortberg | Management | For | For | ||||||||||||||||||||||||||
| 1F. | Election of Director: Margaret L. O'Sullivan | Management | For | For | ||||||||||||||||||||||||||
| 1G. | Election of Director: Dinesh C. Paliwal | Management | For | For | ||||||||||||||||||||||||||
| 1H. | Election of Director: Ellen M. Pawlikowski | Management | For | For | ||||||||||||||||||||||||||
| 1I. | Election of Director: Denise L. Ramos | Management | For | For | ||||||||||||||||||||||||||
| 1J. | Election of Director: Fredric G. Reynolds | Management | For | For | ||||||||||||||||||||||||||
| 1K. | Election of Director: Brian C. Rogers | Management | For | For | ||||||||||||||||||||||||||
| 1L. | Election of Director: James A. Winnefeld, Jr. | Management | For | For | ||||||||||||||||||||||||||
| 1M. | Election of Director: Robert O. Work | Management | For | For | ||||||||||||||||||||||||||
| 2. | Advisory Vote to Approve Executive Compensation | Management | For | For | ||||||||||||||||||||||||||
| 3. | Appoint PricewaterhouseCoopers LLP to Serve as Independent Auditor for 2022 | Management | For | For | ||||||||||||||||||||||||||
| 4. | Approve an Amendment to the Restated Certificate of Incorporation to Reduce the Voting Threshold Required to Repeal Article Ninth | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 13,090 | 0 | 16-Mar-2022 | 16-Mar-2022 | |||||||||||||||||||||||
| CITIGROUP INC. | ||||||||||||||||||||||||||||||
| Security | 172967424 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | C | Meeting Date | 26-Apr-2022 | |||||||||||||||||||||||||||
| ISIN | US1729674242 | Agenda | 935563177 - Management | |||||||||||||||||||||||||||
| Record Date | 28-Feb-2022 | Holding Recon Date | 28-Feb-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 25-Apr-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1a. | Election of Director: Ellen M. Costello | Management | For | For | ||||||||||||||||||||||||||
| 1b. | Election of Director: Grace E. Dailey | Management | For | For | ||||||||||||||||||||||||||
| 1c. | Election of Director: Barbara J. Desoer | Management | For | For | ||||||||||||||||||||||||||
| 1d. | Election of Director: John C. Dugan | Management | For | For | ||||||||||||||||||||||||||
| 1e. | Election of Director: Jane N. Fraser | Management | For | For | ||||||||||||||||||||||||||
| 1f. | Election of Director: Duncan P. Hennes | Management | For | For | ||||||||||||||||||||||||||
| 1g. | Election of Director: Peter B. Henry | Management | For | For | ||||||||||||||||||||||||||
| 1h. | Election of Director: S. Leslie Ireland | Management | For | For | ||||||||||||||||||||||||||
| 1i. | Election of Director: Renée J. James | Management | For | For | ||||||||||||||||||||||||||
| 1j. | Election of Director: Gary M. Reiner | Management | For | For | ||||||||||||||||||||||||||
| 1k. | Election of Director: Diana L. Taylor | Management | For | For | ||||||||||||||||||||||||||
| 1l. | Election of Director: James S. Turley | Management | For | For | ||||||||||||||||||||||||||
| 2. | Proposal to ratify the selection of KPMG LLP as Citi's independent registered public accountants for 2022. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Advisory vote to approve our 2021 Executive Compensation. | Management | For | For | ||||||||||||||||||||||||||
| 4. | Approval of additional shares for the Citigroup 2019 Stock Incentive Plan. | Management | For | For | ||||||||||||||||||||||||||
| 5. | Stockholder proposal requesting a Management Pay Clawback policy. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 6. | Stockholder proposal requesting an Independent Board Chairman. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 7. | Stockholder Proposal requesting a report on the effectiveness of Citi's policies and practices in respecting Indigenous Peoples' rights in Citi's existing and proposed financing. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 8. | Stockholder Proposal requesting that the Board adopt a policy to end new fossil fuel financing. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 9. | Stockholder proposal requesting a non-discrimination audit analyzing the Company's impacts on civil rights and non- discrimination for all Americans. | Shareholder | Against | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 5,800 | 0 | 16-Mar-2022 | 16-Mar-2022 | |||||||||||||||||||||||
| JOHNSON & JOHNSON | ||||||||||||||||||||||||||||||
| Security | 478160104 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | JNJ | Meeting Date | 28-Apr-2022 | |||||||||||||||||||||||||||
| ISIN | US4781601046 | Agenda | 935562997 - Management | |||||||||||||||||||||||||||
| Record Date | 01-Mar-2022 | Holding Recon Date | 01-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 27-Apr-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director: Darius Adamczyk | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director: Mary C. Beckerle | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director: D. Scott Davis | Management | For | For | ||||||||||||||||||||||||||
| 1D. | Election of Director: Ian E. L. Davis | Management | For | For | ||||||||||||||||||||||||||
| 1E. | Election of Director: Jennifer A. Doudna | Management | For | For | ||||||||||||||||||||||||||
| 1F. | Election of Director: Joaquin Duato | Management | For | For | ||||||||||||||||||||||||||
| 1G. | Election of Director: Alex Gorsky | Management | For | For | ||||||||||||||||||||||||||
| 1H. | Election of Director: Marillyn A. Hewson | Management | For | For | ||||||||||||||||||||||||||
| 1I. | Election of Director: Hubert Joly | Management | For | For | ||||||||||||||||||||||||||
| 1J. | Election of Director: Mark B. McClellan | Management | For | For | ||||||||||||||||||||||||||
| 1K. | Election of Director: Anne M. Mulcahy | Management | For | For | ||||||||||||||||||||||||||
| 1L. | Election of Director: A. Eugene Washington | Management | For | For | ||||||||||||||||||||||||||
| 1M. | Election of Director: Mark A. Weinberger | Management | For | For | ||||||||||||||||||||||||||
| 1N. | Election of Director: Nadja Y. West | Management | For | For | ||||||||||||||||||||||||||
| 2. | Advisory Vote to Approve Named Executive Officer Compensation. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Approval of the Company's 2022 Long-Term Incentive Plan. | Management | For | For | ||||||||||||||||||||||||||
| 4. | Ratification of Appointment of PricewaterhouseCoopers LLP as the Independent Registered Public Accounting Firm for 2022. | Management | For | For | ||||||||||||||||||||||||||
| 5. | Proposal Withdrawn (Federal Securities Laws Mandatory Arbitration Bylaw). | Shareholder | Against | |||||||||||||||||||||||||||
| 6. | Civil Rights, Equity, Diversity & Inclusion Audit Proposal. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 7. | Third Party Racial Justice Audit. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 8. | Report on Government Financial Support and Access to COVID-19 Vaccines and Therapeutics. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 9. | Report on Public Health Costs of Protecting Vaccine Technology. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 10. | Discontinue Global Sales of Baby Powder Containing Talc. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 11. | Request for Charitable Donations Disclosure. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 12. | Third Party Review and Report on Lobbying Activities Alignment with Position on Universal Health Coverage. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 13. | Adopt Policy to Include Legal and Compliance Costs in Incentive Compensation Metrics. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 14. | CEO Compensation to Weigh Workforce Pay and Ownership. | Shareholder | Against | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 4,990 | 0 | 17-Mar-2022 | 17-Mar-2022 | |||||||||||||||||||||||
| STARWOOD PROPERTY TRUST, INC. | ||||||||||||||||||||||||||||||
| Security | 85571B105 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | STWD | Meeting Date | 28-Apr-2022 | |||||||||||||||||||||||||||
| ISIN | US85571B1052 | Agenda | 935565587 - Management | |||||||||||||||||||||||||||
| Record Date | 02-Mar-2022 | Holding Recon Date | 02-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 27-Apr-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||||||||||||||||
| 1 | Richard D. Bronson | For | For | |||||||||||||||||||||||||||
| 2 | Jeffrey G. Dishner | For | For | |||||||||||||||||||||||||||
| 3 | Camille J. Douglas | For | For | |||||||||||||||||||||||||||
| 4 | Solomon J. Kumin | For | For | |||||||||||||||||||||||||||
| 5 | Fred Perpall | For | For | |||||||||||||||||||||||||||
| 6 | Fred S. Ridley | For | For | |||||||||||||||||||||||||||
| 7 | Barry S. Sternlicht | For | For | |||||||||||||||||||||||||||
| 8 | Strauss Zelnick | For | For | |||||||||||||||||||||||||||
| 2. | The approval on an advisory basis of the Company's executive compensation. | Management | For | For | ||||||||||||||||||||||||||
| 3. | The approval of the Starwood Property Trust, Inc. Employee Stock Purchase Plan. | Management | For | For | ||||||||||||||||||||||||||
| 4. | The approval of the Starwood Property Trust, Inc. 2022 Manager Equity Plan. | Management | For | For | ||||||||||||||||||||||||||
| 5. | The approval of the Starwood Property Trust, Inc. 2022 Equity Plan. | Management | For | For | ||||||||||||||||||||||||||
| 6. | The ratification of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the calendar year ending December 31, 2022. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 63,400 | 0 | 19-Mar-2022 | 19-Mar-2022 | |||||||||||||||||||||||
| THE BOEING COMPANY | ||||||||||||||||||||||||||||||
| Security | 097023105 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | BA | Meeting Date | 29-Apr-2022 | |||||||||||||||||||||||||||
| ISIN | US0970231058 | Agenda | 935558621 - Management | |||||||||||||||||||||||||||
| Record Date | 28-Feb-2022 | Holding Recon Date | 28-Feb-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 28-Apr-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director: Robert A. Bradway | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director: David L. Calhoun | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director: Lynne M. Doughtie | Management | For | For | ||||||||||||||||||||||||||
| 1D. | Election of Director: Lynn J. Good | Management | For | For | ||||||||||||||||||||||||||
| 1E. | Election of Director: Stayce D. Harris | Management | For | For | ||||||||||||||||||||||||||
| 1F. | Election of Director: Akhil Johri | Management | For | For | ||||||||||||||||||||||||||
| 1G. | Election of Director: David L. Joyce | Management | For | For | ||||||||||||||||||||||||||
| 1H. | Election of Director: Lawrence W. Kellner | Management | For | For | ||||||||||||||||||||||||||
| 1I. | Election of Director: Steven M. Mollenkopf | Management | For | For | ||||||||||||||||||||||||||
| 1J. | Election of Director: John M. Richardson | Management | For | For | ||||||||||||||||||||||||||
| 1K. | Election of Director: Ronald A. Williams | Management | For | For | ||||||||||||||||||||||||||
| 2. | Approve, on an Advisory Basis, Named Executive Officer Compensation. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Approve The Boeing Company Global Stock Purchase Plan. | Management | For | For | ||||||||||||||||||||||||||
| 4. | Ratify the Appointment of Deloitte & Touche LLP as Independent Auditor for 2022. | Management | For | For | ||||||||||||||||||||||||||
| 5. | Additional Report on Lobbying Activities. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 6. | Additional Report on Charitable Contributions. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 7. | Reduce Threshold to Call Special Meetings from 25% to 10%. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 8. | Report on Net Zero Indicator. | Shareholder | Against | Against | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 3,430 | 0 | 12-Mar-2022 | 12-Mar-2022 | |||||||||||||||||||||||
| ABBOTT LABORATORIES | ||||||||||||||||||||||||||||||
| Security | 002824100 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | ABT | Meeting Date | 29-Apr-2022 | |||||||||||||||||||||||||||
| ISIN | US0028241000 | Agenda | 935562909 - Management | |||||||||||||||||||||||||||
| Record Date | 02-Mar-2022 | Holding Recon Date | 02-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 28-Apr-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||||||||||||||||
| 1 | R. J. Alpern | For | For | |||||||||||||||||||||||||||
| 2 | S. E. Blount | For | For | |||||||||||||||||||||||||||
| 3 | R. B. Ford | For | For | |||||||||||||||||||||||||||
| 4 | P. Gonzalez | For | For | |||||||||||||||||||||||||||
| 5 | M. A. Kumbier | For | For | |||||||||||||||||||||||||||
| 6 | D. W. McDew | For | For | |||||||||||||||||||||||||||
| 7 | N. McKinstry | For | For | |||||||||||||||||||||||||||
| 8 | W. A. Osborn | For | For | |||||||||||||||||||||||||||
| 9 | M. F. Roman | For | For | |||||||||||||||||||||||||||
| 10 | D. J. Starks | For | For | |||||||||||||||||||||||||||
| 11 | J. G. Stratton | For | For | |||||||||||||||||||||||||||
| 12 | G. F. Tilton | For | For | |||||||||||||||||||||||||||
| 2. | Ratification of Ernst & Young LLP As Auditors | Management | For | For | ||||||||||||||||||||||||||
| 3. | Say on Pay - An Advisory Vote on the Approval of Executive Compensation | Management | For | For | ||||||||||||||||||||||||||
| 4. | Shareholder Proposal - Special Shareholder Meeting Threshold | Shareholder | Against | For | ||||||||||||||||||||||||||
| 5. | Shareholder Proposal - Independent Board Chairman | Shareholder | Against | For | ||||||||||||||||||||||||||
| 6. | Shareholder Proposal - Rule 10b5-1 Plans | Shareholder | Against | For | ||||||||||||||||||||||||||
| 7. | Shareholder Proposal - Lobbying Disclosure | Shareholder | Against | For | ||||||||||||||||||||||||||
| 8. | Shareholder Proposal - Antimicrobial Resistance Report | Shareholder | Against | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 1,700 | 0 | 19-Mar-2022 | 19-Mar-2022 | |||||||||||||||||||||||
| STRYKER CORPORATION | ||||||||||||||||||||||||||||||
| Security | 863667101 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | SYK | Meeting Date | 04-May-2022 | |||||||||||||||||||||||||||
| ISIN | US8636671013 | Agenda | 935568711 - Management | |||||||||||||||||||||||||||
| Record Date | 07-Mar-2022 | Holding Recon Date | 07-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 03-May-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A) | Election of Director: Mary K. Brainerd | Management | For | For | ||||||||||||||||||||||||||
| 1B) | Election of Director: Giovanni Caforio, M.D. | Management | For | For | ||||||||||||||||||||||||||
| 1C) | Election of Director: Srikant M. Datar, Ph.D. | Management | For | For | ||||||||||||||||||||||||||
| 1D) | Election of Director: Allan C. Golston (Lead Independent Director) | Management | For | For | ||||||||||||||||||||||||||
| 1E) | Election of Director: Kevin A. Lobo (Chair of the Board, Chief Executive Officer and President) | Management | For | For | ||||||||||||||||||||||||||
| 1F) | Election of Director: Sherilyn S. McCoy | Management | For | For | ||||||||||||||||||||||||||
| 1G) | Election of Director: Andrew K. Silvernail | Management | For | For | ||||||||||||||||||||||||||
| 1H) | Election of Director: Lisa M. Skeete Tatum | Management | For | For | ||||||||||||||||||||||||||
| 1I) | Election of Director: Ronda E. Stryker | Management | For | For | ||||||||||||||||||||||||||
| 1J) | Election of Director: Rajeev Suri | Management | For | For | ||||||||||||||||||||||||||
| 2) | Ratification of Appointment of our Independent Registered Public Accounting Firm. | Management | For | For | ||||||||||||||||||||||||||
| 3) | Advisory Vote to Approve Named Executive Officer Compensation. | Management | For | For | ||||||||||||||||||||||||||
| 4) | Shareholder Proposal to Amend Proxy Access Terms. | Shareholder | Against | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 900 | 0 | 24-Mar-2022 | 24-Mar-2022 | |||||||||||||||||||||||
| WALKER & DUNLOP, INC. | ||||||||||||||||||||||||||||||
| Security | 93148P102 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | WD | Meeting Date | 05-May-2022 | |||||||||||||||||||||||||||
| ISIN | US93148P1021 | Agenda | 935565931 - Management | |||||||||||||||||||||||||||
| Record Date | 09-Mar-2022 | Holding Recon Date | 09-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 04-May-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||||||||||||||||
| 1 | Ellen D. Levy | For | For | |||||||||||||||||||||||||||
| 2 | Michael D. Malone | For | For | |||||||||||||||||||||||||||
| 3 | John Rice | For | For | |||||||||||||||||||||||||||
| 4 | Dana L. Schmaltz | For | For | |||||||||||||||||||||||||||
| 5 | Howard W. Smith III | For | For | |||||||||||||||||||||||||||
| 6 | William M. Walker | For | For | |||||||||||||||||||||||||||
| 7 | Michael J. Warren | For | For | |||||||||||||||||||||||||||
| 8 | Donna C. Wells | For | For | |||||||||||||||||||||||||||
| 2. | Ratification of the appointment of the independent registered public accounting firm. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Advisory resolution to approve executive compensation. | Management | For | For | ||||||||||||||||||||||||||
| 4. | Advisory resolution relating to the frequency of future advisory votes on executive compensation | Management | 3 Years | Against | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 4,580 | 0 | 26-Mar-2022 | 26-Mar-2022 | |||||||||||||||||||||||
| NURIX THERAPEUTICS, INC. | ||||||||||||||||||||||||||||||
| Security | 67080M103 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | NRIX | Meeting Date | 05-May-2022 | |||||||||||||||||||||||||||
| ISIN | US67080M1036 | Agenda | 935567290 - Management | |||||||||||||||||||||||||||
| Record Date | 11-Mar-2022 | Holding Recon Date | 11-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 04-May-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||||||||||||||||
| 1 | Judith A. Reinsdorf, JD | For | For | |||||||||||||||||||||||||||
| 2 | Clay B. Siegall, Ph.D. | For | For | |||||||||||||||||||||||||||
| 2. | Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending November 30, 2022. | Management | For | For | ||||||||||||||||||||||||||
| 3. | To approve, on a non-binding advisory basis, the compensation of the Company's named executive officers as disclosed in the Proxy Statement. | Management | For | For | ||||||||||||||||||||||||||
| 4. | To approve, on a non-binding advisory basis, the frequency of future votes on the compensation of the Company's named executive officers. | Management | 3 Years | Against | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 10,800 | 0 | 23-Mar-2022 | 23-Mar-2022 | |||||||||||||||||||||||
| TENET HEALTHCARE CORPORATION | ||||||||||||||||||||||||||||||
| Security | 88033G407 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | THC | Meeting Date | 06-May-2022 | |||||||||||||||||||||||||||
| ISIN | US88033G4073 | Agenda | 935571453 - Management | |||||||||||||||||||||||||||
| Record Date | 11-Mar-2022 | Holding Recon Date | 11-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 05-May-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director: Ronald A. Rittenmeyer | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director: J. Robert Kerrey | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director: James L. Bierman | Management | For | For | ||||||||||||||||||||||||||
| 1D. | Election of Director: Richard W. Fisher | Management | For | For | ||||||||||||||||||||||||||
| 1E. | Election of Director: Meghan M. FitzGerald | Management | For | For | ||||||||||||||||||||||||||
| 1F. | Election of Director: Cecil D. Haney | Management | For | For | ||||||||||||||||||||||||||
| 1G. | Election of Director: Christopher S. Lynch | Management | For | For | ||||||||||||||||||||||||||
| 1H. | Election of Director: Richard J. Mark | Management | For | For | ||||||||||||||||||||||||||
| 1I. | Election of Director: Tammy Romo | Management | For | For | ||||||||||||||||||||||||||
| 1J. | Election of Director: Saumya Sutaria | Management | For | For | ||||||||||||||||||||||||||
| 1K. | Election of Director: Nadja Y. West | Management | For | For | ||||||||||||||||||||||||||
| 2. | To vote to approve, on an advisory basis, the Company's executive compensation. | Management | For | For | ||||||||||||||||||||||||||
| 3. | To vote to approve the First Amendment to the Tenet Healthcare 2019 Stock Incentive Plan. | Management | For | For | ||||||||||||||||||||||||||
| 4. | To ratify the selection of Deloitte & Touche LLP as the Company's independent registered public accountants for the year ending December 31, 2022. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 7,800 | 0 | 26-Mar-2022 | 26-Mar-2022 | |||||||||||||||||||||||
| COMMUNITY HEALTH SYSTEMS, INC. | ||||||||||||||||||||||||||||||
| Security | 203668108 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | CYH | Meeting Date | 10-May-2022 | |||||||||||||||||||||||||||
| ISIN | US2036681086 | Agenda | 935580894 - Management | |||||||||||||||||||||||||||
| Record Date | 14-Mar-2022 | Holding Recon Date | 14-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 09-May-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director: Susan W. Brooks | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director: John A. Clerico | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director: Michael Dinkins | Management | For | For | ||||||||||||||||||||||||||
| 1D. | Election of Director: James S. Ely III | Management | For | For | ||||||||||||||||||||||||||
| 1E. | Election of Director: John A. Fry | Management | For | For | ||||||||||||||||||||||||||
| 1F. | Election of Director: Joseph A. Hastings, D.M.D. | Management | For | For | ||||||||||||||||||||||||||
| 1G. | Election of Director: Tim L. Hingtgen | Management | For | For | ||||||||||||||||||||||||||
| 1H. | Election of Director: Elizabeth T. Hirsch | Management | For | For | ||||||||||||||||||||||||||
| 1I. | Election of Director: William Norris Jennings, M.D. | Management | For | For | ||||||||||||||||||||||||||
| 1J. | Election of Director: K. Ranga Krishnan, MBBS | Management | For | For | ||||||||||||||||||||||||||
| 1K. | Election of Director: Wayne T. Smith | Management | For | For | ||||||||||||||||||||||||||
| 1L. | Election of Director: H. James Williams, Ph.D. | Management | For | For | ||||||||||||||||||||||||||
| 2. | Proposal to approve on an advisory (non-binding) basis the compensation of the Company's named executive officers. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Proposal to ratify the selection of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2022. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 66,000 | 0 | 01-Apr-2022 | 01-Apr-2022 | |||||||||||||||||||||||
| FIRST AMERICAN FINANCIAL CORPORATION | ||||||||||||||||||||||||||||||
| Security | 31847R102 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | FAF | Meeting Date | 10-May-2022 | |||||||||||||||||||||||||||
| ISIN | US31847R1023 | Agenda | 935591556 - Management | |||||||||||||||||||||||||||
| Record Date | 17-Mar-2022 | Holding Recon Date | 17-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 09-May-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1.1 | Election of Class III Director: Reginald H. Gilyard | Management | For | For | ||||||||||||||||||||||||||
| 1.2 | Election of Class III Director: Parker S. Kennedy | Management | For | For | ||||||||||||||||||||||||||
| 1.3 | Election of Class III Director: Mark C. Oman | Management | For | For | ||||||||||||||||||||||||||
| 2. | Advisory vote to approve executive compensation. | Management | For | For | ||||||||||||||||||||||||||
| 3. | To approve the amendment and restatement of the 2010 Employee Stock Purchase Plan. | Management | For | For | ||||||||||||||||||||||||||
| 4. | To ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2022. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 12,930 | 0 | 05-Apr-2022 | 05-Apr-2022 | |||||||||||||||||||||||
| 997AL96 | CLOUGH GLOBAL LONG SHORT FUND | 997AL96 | STATE STREET BANK & TRUST CO | 12,000 | 0 | 05-Apr-2022 | 05-Apr-2022 | |||||||||||||||||||||||
| KINDER MORGAN, INC. | ||||||||||||||||||||||||||||||
| Security | 49456B101 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | KMI | Meeting Date | 11-May-2022 | |||||||||||||||||||||||||||
| ISIN | US49456B1017 | Agenda | 935579574 - Management | |||||||||||||||||||||||||||
| Record Date | 14-Mar-2022 | Holding Recon Date | 14-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 10-May-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director for a one year term expiring in 2023: Richard D. Kinder | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director for a one year term expiring in 2023: Steven J. Kean | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director for a one year term expiring in 2023: Kimberly A. Dang | Management | For | For | ||||||||||||||||||||||||||
| 1D. | Election of Director for a one year term expiring in 2023: Ted A. Gardner | Management | For | For | ||||||||||||||||||||||||||
| 1E. | Election of Director for a one year term expiring in 2023: Anthony W. Hall, Jr. | Management | For | For | ||||||||||||||||||||||||||
| 1F. | Election of Director for a one year term expiring in 2023: Gary L. Hultquist | Management | For | For | ||||||||||||||||||||||||||
| 1G. | Election of Director for a one year term expiring in 2023: Ronald L. Kuehn, Jr. | Management | For | For | ||||||||||||||||||||||||||
| 1H. | Election of Director for a one year term expiring in 2023: Deborah A. Macdonald | Management | For | For | ||||||||||||||||||||||||||
| 1I. | Election of Director for a one year term expiring in 2023: Michael C. Morgan | Management | For | For | ||||||||||||||||||||||||||
| 1J. | Election of Director for a one year term expiring in 2023: Arthur C. Reichstetter | Management | For | For | ||||||||||||||||||||||||||
| 1K. | Election of Director for a one year term expiring in 2023: C. Park Shaper | Management | For | For | ||||||||||||||||||||||||||
| 1L. | Election of Director for a one year term expiring in 2023: William A. Smith | Management | For | For | ||||||||||||||||||||||||||
| 1M. | Election of Director for a one year term expiring in 2023: Joel V. Staff | Management | For | For | ||||||||||||||||||||||||||
| 1N. | Election of Director for a one year term expiring in 2023: Robert F. Vagt | Management | For | For | ||||||||||||||||||||||||||
| 1O. | Election of Director for a one year term expiring in 2023: Perry M. Waughtal | Management | For | For | ||||||||||||||||||||||||||
| 2. | Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2022. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Approval, on an advisory basis, of the compensation of our named executive officers, as disclosed in the Proxy Statement. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 51,100 | 0 | 02-Apr-2022 | 02-Apr-2022 | |||||||||||||||||||||||
| CHENIERE ENERGY, INC. | ||||||||||||||||||||||||||||||
| Security | 16411R208 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | LNG | Meeting Date | 12-May-2022 | |||||||||||||||||||||||||||
| ISIN | US16411R2085 | Agenda | 935607082 - Management | |||||||||||||||||||||||||||
| Record Date | 28-Mar-2022 | Holding Recon Date | 28-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-May-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director: G. Andrea Botta | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director: Jack A. Fusco | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director: Vicky A. Bailey | Management | For | For | ||||||||||||||||||||||||||
| 1D. | Election of Director: Patricia K. Collawn | Management | For | For | ||||||||||||||||||||||||||
| 1E. | Election of Director: David B. Kilpatrick | Management | For | For | ||||||||||||||||||||||||||
| 1F. | Election of Director: Lorraine Mitchelmore | Management | For | For | ||||||||||||||||||||||||||
| 1G. | Election of Director: Scott Peak | Management | For | For | ||||||||||||||||||||||||||
| 1H. | Election of Director: Donald F. Robillard, Jr | Management | For | For | ||||||||||||||||||||||||||
| 1I. | Election of Director: Neal A. Shear | Management | For | For | ||||||||||||||||||||||||||
| 1J. | Election of Director: Andrew J. Teno | Management | For | For | ||||||||||||||||||||||||||
| 2. | Approve, on an advisory and non-binding basis, the compensation of the Company's named executive officers for 2021. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Ratification of the appointment of KPMG LLP as the Company's independent registered public accounting firm for 2022. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 4,500 | 0 | 13-Apr-2022 | 13-Apr-2022 | |||||||||||||||||||||||
| MIRATI THERAPEUTICS, INC. | ||||||||||||||||||||||||||||||
| Security | 60468T105 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | MRTX | Meeting Date | 12-May-2022 | |||||||||||||||||||||||||||
| ISIN | US60468T1051 | Agenda | 935626107 - Management | |||||||||||||||||||||||||||
| Record Date | 15-Mar-2022 | Holding Recon Date | 15-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-May-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||||||||||||||||
| 1 | Charles M. Baum | For | For | |||||||||||||||||||||||||||
| 2 | Bruce L.A. Carter | For | For | |||||||||||||||||||||||||||
| 3 | Julie M. Cherrington | For | For | |||||||||||||||||||||||||||
| 4 | Aaron I. Davis | For | For | |||||||||||||||||||||||||||
| 5 | Henry J. Fuchs | For | For | |||||||||||||||||||||||||||
| 6 | Faheem Hasnain | For | For | |||||||||||||||||||||||||||
| 7 | Craig Johnson | For | For | |||||||||||||||||||||||||||
| 8 | Maya Martinez-Davis | For | For | |||||||||||||||||||||||||||
| 9 | David Meek | For | For | |||||||||||||||||||||||||||
| 10 | Shalini Sharp | For | For | |||||||||||||||||||||||||||
| 2. | To approve, on an advisory basis, the compensation paid to our named executive officers as disclosed in the Proxy Statement. | Management | For | For | ||||||||||||||||||||||||||
| 3. | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for our fiscal year ending December 31, 2022. | Management | For | For | ||||||||||||||||||||||||||
| 4. | To approve our 2022 Equity Incentive Plan. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 2,110 | 0 | 26-Apr-2022 | 26-Apr-2022 | |||||||||||||||||||||||
| ZIMMER BIOMET HOLDINGS, INC. | ||||||||||||||||||||||||||||||
| Security | 98956P102 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | ZBH | Meeting Date | 13-May-2022 | |||||||||||||||||||||||||||
| ISIN | US98956P1021 | Agenda | 935568139 - Management | |||||||||||||||||||||||||||
| Record Date | 14-Mar-2022 | Holding Recon Date | 14-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 12-May-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director: Christopher B. Begley | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director: Betsy J. Bernard | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director: Michael J. Farrell | Management | For | For | ||||||||||||||||||||||||||
| 1D. | Election of Director: Robert A. Hagemann | Management | For | For | ||||||||||||||||||||||||||
| 1E. | Election of Director: Bryan C. Hanson | Management | For | For | ||||||||||||||||||||||||||
| 1F. | Election of Director: Arthur J. Higgins | Management | For | For | ||||||||||||||||||||||||||
| 1G. | Election of Director: Maria Teresa Hilado | Management | For | For | ||||||||||||||||||||||||||
| 1H. | Election of Director: Syed Jafry | Management | For | For | ||||||||||||||||||||||||||
| 1I. | Election of Director: Sreelakshmi Kolli | Management | For | For | ||||||||||||||||||||||||||
| 1J. | Election of Director: Michael W. Michelson | Management | For | For | ||||||||||||||||||||||||||
| 2. | Ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2022. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Approve, on a non-binding advisory basis, named executive officer compensation ("Say on Pay"). | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 1,500 | 0 | 30-Mar-2022 | 30-Mar-2022 | |||||||||||||||||||||||
| THERMO FISHER SCIENTIFIC INC. | ||||||||||||||||||||||||||||||
| Security | 883556102 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | TMO | Meeting Date | 18-May-2022 | |||||||||||||||||||||||||||
| ISIN | US8835561023 | Agenda | 935585058 - Management | |||||||||||||||||||||||||||
| Record Date | 25-Mar-2022 | Holding Recon Date | 25-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 17-May-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of director: Marc N. Casper | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of director: Nelson J. Chai | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of director: Ruby R. Chandy | Management | For | For | ||||||||||||||||||||||||||
| 1D. | Election of director: C. Martin Harris | Management | For | For | ||||||||||||||||||||||||||
| 1E. | Election of director: Tyler Jacks | Management | For | For | ||||||||||||||||||||||||||
| 1F. | Election of director: R. Alexandra Keith | Management | For | For | ||||||||||||||||||||||||||
| 1G. | Election of director: Jim P. Manzi | Management | For | For | ||||||||||||||||||||||||||
| 1H. | Election of director: James C. Mullen | Management | For | For | ||||||||||||||||||||||||||
| 1I. | Election of director: Lars R. Sorensen | Management | For | For | ||||||||||||||||||||||||||
| 1J. | Election of director: Debora L. Spar | Management | For | For | ||||||||||||||||||||||||||
| 1K. | Election of director: Scott M. Sperling | Management | For | For | ||||||||||||||||||||||||||
| 1L. | Election of director: Dion J. Weisler | Management | For | For | ||||||||||||||||||||||||||
| 2. | An advisory vote to approve named executive officer compensation. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Ratification of the Audit Committee's selection of PricewaterhouseCoopers LLP as the Company's independent auditors for 2022. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 413 | 0 | 08-Apr-2022 | 08-Apr-2022 | |||||||||||||||||||||||
| VERTEX PHARMACEUTICALS INCORPORATED | ||||||||||||||||||||||||||||||
| Security | 92532F100 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | VRTX | Meeting Date | 18-May-2022 | |||||||||||||||||||||||||||
| ISIN | US92532F1003 | Agenda | 935588042 - Management | |||||||||||||||||||||||||||
| Record Date | 24-Mar-2022 | Holding Recon Date | 24-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 17-May-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director: Sangeeta Bhatia | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director: Lloyd Carney | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director: Alan Garber | Management | For | For | ||||||||||||||||||||||||||
| 1D. | Election of Director: Terrence Kearney | Management | For | For | ||||||||||||||||||||||||||
| 1E. | Election of Director: Reshma Kewalramani | Management | For | For | ||||||||||||||||||||||||||
| 1F. | Election of Director: Yuchun Lee | Management | For | For | ||||||||||||||||||||||||||
| 1G. | Election of Director: Jeffrey Leiden | Management | For | For | ||||||||||||||||||||||||||
| 1H. | Election of Director: Margaret McGlynn | Management | For | For | ||||||||||||||||||||||||||
| 1I. | Election of Director: Diana McKenzie | Management | For | For | ||||||||||||||||||||||||||
| 1J. | Election of Director: Bruce Sachs | Management | For | For | ||||||||||||||||||||||||||
| 1K. | Election of Director: Suketu Upadhyay | Management | For | For | ||||||||||||||||||||||||||
| 2. | Ratification of Ernst & Young LLP as independent Registered Public Accounting firm for the year ending December 31, 2022. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Advisory vote to approve named executive office compensation. | Management | For | For | ||||||||||||||||||||||||||
| 4. | Approval of an amendment and restatement of our 2013 Stock and Option Plan to increase the number of shares authorized for issuance under this plan by 13.5 million shares. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 853 | 0 | 08-Apr-2022 | 08-Apr-2022 | |||||||||||||||||||||||
| NORTHROP GRUMMAN CORPORATION | ||||||||||||||||||||||||||||||
| Security | 666807102 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | NOC | Meeting Date | 18-May-2022 | |||||||||||||||||||||||||||
| ISIN | US6668071029 | Agenda | 935592495 - Management | |||||||||||||||||||||||||||
| Record Date | 22-Mar-2022 | Holding Recon Date | 22-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 17-May-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director: Kathy J. Warden | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director: David P. Abney | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director: Marianne C. Brown | Management | For | For | ||||||||||||||||||||||||||
| 1D. | Election of Director: Donald E. Felsinger | Management | For | For | ||||||||||||||||||||||||||
| 1E. | Election of Director: Ann M. Fudge | Management | For | For | ||||||||||||||||||||||||||
| 1F. | Election of Director: William H. Hernandez | Management | For | For | ||||||||||||||||||||||||||
| 1G. | Election of Director: Madeleine A. Kleiner | Management | For | For | ||||||||||||||||||||||||||
| 1H. | Election of Director: Karl J. Krapek | Management | For | For | ||||||||||||||||||||||||||
| 1I. | Election of Director: Graham N. Robinson | Management | For | For | ||||||||||||||||||||||||||
| 1J. | Election of Director: Gary Roughead | Management | For | For | ||||||||||||||||||||||||||
| 1K. | Election of Director: Thomas M. Schoewe | Management | For | For | ||||||||||||||||||||||||||
| 1L. | Election of Director: James S. Turley | Management | For | For | ||||||||||||||||||||||||||
| 1M. | Election of Director: Mark A. Welsh III | Management | For | For | ||||||||||||||||||||||||||
| 2. | Proposal to approve, on an advisory basis, the compensation of the Company's Named Executive Officers. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Proposal to ratify the appointment of Deloitte & Touche LLP as the Company's Independent Auditor for fiscal year ending December 31, 2022. | Management | For | For | ||||||||||||||||||||||||||
| 4. | Shareholder proposal to change the ownership threshold for shareholders to call a special meeting. | Shareholder | Against | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 790 | 0 | 05-Apr-2022 | 05-Apr-2022 | |||||||||||||||||||||||
| ACADIA HEALTHCARE COMPANY, INC. | ||||||||||||||||||||||||||||||
| Security | 00404A109 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | ACHC | Meeting Date | 19-May-2022 | |||||||||||||||||||||||||||
| ISIN | US00404A1097 | Agenda | 935585642 - Management | |||||||||||||||||||||||||||
| Record Date | 24-Mar-2022 | Holding Recon Date | 24-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 18-May-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director: Jason R. Bernhard | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director: William F. Grieco | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director: Reeve B. Waud | Management | For | For | ||||||||||||||||||||||||||
| 2. | Advisory vote on the compensation of the Company's named executive officers as presented in the Proxy Statement. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2022. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 7,280 | 0 | 09-Apr-2022 | 09-Apr-2022 | |||||||||||||||||||||||
| EQUITABLE HOLDINGS, INC. | ||||||||||||||||||||||||||||||
| Security | 29452E101 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | EQH | Meeting Date | 19-May-2022 | |||||||||||||||||||||||||||
| ISIN | US29452E1010 | Agenda | 935589032 - Management | |||||||||||||||||||||||||||
| Record Date | 23-Mar-2022 | Holding Recon Date | 23-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 18-May-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director for a one-year term ending at the 2023 Annual Meeting: Francis A. Hondal | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director for a one-year term ending at the 2023 Annual Meeting: Daniel G. Kaye | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director for a one-year term ending at the 2023 Annual Meeting: Joan Lamm-Tennant | Management | For | For | ||||||||||||||||||||||||||
| 1D. | Election of Director for a one-year term ending at the 2023 Annual Meeting: Kristi A. Matus | Management | For | For | ||||||||||||||||||||||||||
| 1E. | Election of Director for a one-year term ending at the 2023 Annual Meeting: Mark Pearson | Management | For | For | ||||||||||||||||||||||||||
| 1F. | Election of Director for a one-year term ending at the 2023 Annual Meeting: Bertram L. Scott | Management | For | For | ||||||||||||||||||||||||||
| 1G. | Election of Director for a one-year term ending at the 2023 Annual Meeting: George Stansfield | Management | For | For | ||||||||||||||||||||||||||
| 1H. | Election of Director for a one-year term ending at the 2023 Annual Meeting: Charles G.T. Stonehill | Management | For | For | ||||||||||||||||||||||||||
| 2. | Ratification of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2022. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Advisory vote to approve the compensation paid to our named executive officers. | Management | For | For | ||||||||||||||||||||||||||
| 4. | Amendments to the Company's Certificate of Incorporation to remove supermajority voting requirements, references to the AXA Shareholder Agreement and other obsolete provisions. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL96 | CLOUGH GLOBAL LONG SHORT FUND | 997AL96 | STATE STREET BANK & TRUST CO | 33,900 | 0 | 08-Apr-2022 | 08-Apr-2022 | |||||||||||||||||||||||
| HERTZ GLOBAL HOLDINGS, INC. | ||||||||||||||||||||||||||||||
| Security | 42806J700 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | HTZ | Meeting Date | 19-May-2022 | |||||||||||||||||||||||||||
| ISIN | US42806J7000 | Agenda | 935593699 - Management | |||||||||||||||||||||||||||
| Record Date | 25-Mar-2022 | Holding Recon Date | 25-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 18-May-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director to serve for a three-year term expiring at the 2025 Annual Meeting: Michael Gregory O'Hara | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director to serve for a three-year term expiring at the 2025 Annual Meeting: Thomas Wagner | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director to serve for a three-year term expiring at the 2025 Annual Meeting: Vincent J. Intrieri | Management | For | For | ||||||||||||||||||||||||||
| 2. | Ratification of the selection of Ernst & Young LLP as the Company's independent registered public accounting firm for the year 2022. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Approval, by a non-binding advisory vote, of the named executive officers' compensation. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 9,800 | 0 | 09-Apr-2022 | 09-Apr-2022 | |||||||||||||||||||||||
| SURGERY PARTNERS INC. | ||||||||||||||||||||||||||||||
| Security | 86881A100 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | SGRY | Meeting Date | 19-May-2022 | |||||||||||||||||||||||||||
| ISIN | US86881A1007 | Agenda | 935595237 - Management | |||||||||||||||||||||||||||
| Record Date | 30-Mar-2022 | Holding Recon Date | 30-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 18-May-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1.1 | Election of Class I Director: John A. Deane | Management | For | For | ||||||||||||||||||||||||||
| 1.2 | Election of Class I Director: Teresa DeLuca, M.D. | Management | For | For | ||||||||||||||||||||||||||
| 1.3 | Election of Class I Director: Wayne S. DeVeydt | Management | For | For | ||||||||||||||||||||||||||
| 2. | Approval, on an advisory basis, of the compensation paid by the Company to its named executive officers. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Ratification of the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2022. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 10,000 | 0 | 08-Apr-2022 | 08-Apr-2022 | |||||||||||||||||||||||
| REDWOOD TRUST, INC. | ||||||||||||||||||||||||||||||
| Security | 758075402 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | RWT | Meeting Date | 24-May-2022 | |||||||||||||||||||||||||||
| ISIN | US7580754023 | Agenda | 935591544 - Management | |||||||||||||||||||||||||||
| Record Date | 25-Mar-2022 | Holding Recon Date | 25-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 23-May-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1.1 | Election of Director: Greg H. Kubicek | Management | For | For | ||||||||||||||||||||||||||
| 1.2 | Election of Director: Christopher J. Abate | Management | For | For | ||||||||||||||||||||||||||
| 1.3 | Election of Director: Armando Falcon | Management | For | For | ||||||||||||||||||||||||||
| 1.4 | Election of Director: Douglas B. Hansen | Management | For | For | ||||||||||||||||||||||||||
| 1.5 | Election of Director: Debora D. Horvath | Management | For | For | ||||||||||||||||||||||||||
| 1.6 | Election of Director: George W. Madison | Management | For | For | ||||||||||||||||||||||||||
| 1.7 | Election of Director: Georganne C. Proctor | Management | For | For | ||||||||||||||||||||||||||
| 1.8 | Election of Director: Dashiell I. Robinson | Management | For | For | ||||||||||||||||||||||||||
| 1.9 | Election of Director: Faith A. Schwartz | Management | For | For | ||||||||||||||||||||||||||
| 2. | Ratification of the appointment of Grant Thornton LLP as the Company's independent registered public accounting firm for 2022. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Non-binding advisory resolution to approve named executive officer compensation. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 100,000 | 0 | 05-Apr-2022 | 05-Apr-2022 | |||||||||||||||||||||||
| 997AL96 | CLOUGH GLOBAL LONG SHORT FUND | 997AL96 | STATE STREET BANK & TRUST CO | 61,400 | 0 | 05-Apr-2022 | 05-Apr-2022 | |||||||||||||||||||||||
| MERCK & CO., INC. | ||||||||||||||||||||||||||||||
| Security | 58933Y105 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | MRK | Meeting Date | 24-May-2022 | |||||||||||||||||||||||||||
| ISIN | US58933Y1055 | Agenda | 935591570 - Management | |||||||||||||||||||||||||||
| Record Date | 25-Mar-2022 | Holding Recon Date | 25-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 23-May-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director: Douglas M. Baker, Jr. | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director: Mary Ellen Coe | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director: Pamela J. Craig | Management | For | For | ||||||||||||||||||||||||||
| 1D. | Election of Director: Robert M. Davis | Management | For | For | ||||||||||||||||||||||||||
| 1E. | Election of Director: Kenneth C. Frazier | Management | For | For | ||||||||||||||||||||||||||
| 1F. | Election of Director: Thomas H. Glocer | Management | For | For | ||||||||||||||||||||||||||
| 1G. | Election of Director: Risa J. Lavizzo-Mourey, M.D. | Management | For | For | ||||||||||||||||||||||||||
| 1H. | Election of Director: Stephen L. Mayo, Ph.D. | Management | For | For | ||||||||||||||||||||||||||
| 1I. | Election of Director: Paul B. Rothman, M.D. | Management | For | For | ||||||||||||||||||||||||||
| 1J. | Election of Director: Patricia F. Russo | Management | For | For | ||||||||||||||||||||||||||
| 1K. | Election of Director: Christine E. Seidman, M.D. | Management | For | For | ||||||||||||||||||||||||||
| 1L. | Election of Director: Inge G. Thulin | Management | For | For | ||||||||||||||||||||||||||
| 1M. | Election of Director: Kathy J. Warden | Management | For | For | ||||||||||||||||||||||||||
| 1N. | Election of Director: Peter C. Wendell | Management | For | For | ||||||||||||||||||||||||||
| 2. | Non-binding advisory vote to approve the compensation of our named executive officers. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Ratification of the appointment of the Company's independent registered public accounting firm for 2022. | Management | For | For | ||||||||||||||||||||||||||
| 4. | Shareholder proposal regarding an independent board chairman. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 5. | Shareholder proposal regarding access to COVID-19 products. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 6. | Shareholder proposal regarding lobbying expenditure disclosure. | Shareholder | Against | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 2,100 | 0 | 05-Apr-2022 | 05-Apr-2022 | |||||||||||||||||||||||
| EXXON MOBIL CORPORATION | ||||||||||||||||||||||||||||||
| Security | 30231G102 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | XOM | Meeting Date | 25-May-2022 | |||||||||||||||||||||||||||
| ISIN | US30231G1022 | Agenda | 935604214 - Management | |||||||||||||||||||||||||||
| Record Date | 01-Apr-2022 | Holding Recon Date | 01-Apr-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-May-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director: Michael J. Angelakis | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director: Susan K. Avery | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director: Angela F. Braly | Management | For | For | ||||||||||||||||||||||||||
| 1D. | Election of Director: Ursula M. Burns | Management | For | For | ||||||||||||||||||||||||||
| 1E. | Election of Director: Gregory J. Goff | Management | For | For | ||||||||||||||||||||||||||
| 1F. | Election of Director: Kaisa H. Hietala | Management | For | For | ||||||||||||||||||||||||||
| 1G. | Election of Director: Joseph L. Hooley | Management | For | For | ||||||||||||||||||||||||||
| 1H. | Election of Director: Steven A. Kandarian | Management | For | For | ||||||||||||||||||||||||||
| 1I. | Election of Director: Alexander A. Karsner | Management | For | For | ||||||||||||||||||||||||||
| 1J. | Election of Director: Jeffrey W. Ubben | Management | For | For | ||||||||||||||||||||||||||
| 1K. | Election of Director: Darren W. Woods | Management | For | For | ||||||||||||||||||||||||||
| 2. | Ratification of Independent Auditors | Management | For | For | ||||||||||||||||||||||||||
| 3. | Advisory Vote to Approve Executive Compensation | Management | For | For | ||||||||||||||||||||||||||
| 4. | Remove Executive Perquisites | Shareholder | Against | For | ||||||||||||||||||||||||||
| 5. | Limit Shareholder Rights for Proposal Submission | Shareholder | Against | For | ||||||||||||||||||||||||||
| 6. | Reduce Company Emissions and Hydrocarbon Sales | Shareholder | Against | For | ||||||||||||||||||||||||||
| 7. | Report on Low Carbon Business Planning | Shareholder | Against | For | ||||||||||||||||||||||||||
| 8. | Report on Scenario Analysis | Shareholder | Against | For | ||||||||||||||||||||||||||
| 9. | Report on Plastic Production | Shareholder | Against | For | ||||||||||||||||||||||||||
| 10. | Report on Political Contributions | Shareholder | Against | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 10,900 | 0 | 12-Apr-2022 | 12-Apr-2022 | |||||||||||||||||||||||
| AMAZON.COM, INC. | ||||||||||||||||||||||||||||||
| Security | 023135106 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | AMZN | Meeting Date | 25-May-2022 | |||||||||||||||||||||||||||
| ISIN | US0231351067 | Agenda | 935609288 - Management | |||||||||||||||||||||||||||
| Record Date | 31-Mar-2022 | Holding Recon Date | 31-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-May-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1a. | Election of Director: Jeffrey P. Bezos | Management | For | For | ||||||||||||||||||||||||||
| 1b. | Election of Director: Andrew R. Jassy | Management | For | For | ||||||||||||||||||||||||||
| 1c. | Election of Director: Keith B. Alexander | Management | For | For | ||||||||||||||||||||||||||
| 1d. | Election of Director: Edith W. Cooper | Management | For | For | ||||||||||||||||||||||||||
| 1e. | Election of Director: Jamie S. Gorelick | Management | For | For | ||||||||||||||||||||||||||
| 1f. | Election of Director: Daniel P. Huttenlocher | Management | For | For | ||||||||||||||||||||||||||
| 1g. | Election of Director: Judith A. McGrath | Management | For | For | ||||||||||||||||||||||||||
| 1h. | Election of Director: Indra K. Nooyi | Management | For | For | ||||||||||||||||||||||||||
| 1i. | Election of Director: Jonathan J. Rubinstein | Management | For | For | ||||||||||||||||||||||||||
| 1j. | Election of Director: Patricia Q. Stonesifer | Management | For | For | ||||||||||||||||||||||||||
| 1k. | Election of Director: Wendell P. Weeks | Management | For | For | ||||||||||||||||||||||||||
| 2. | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS | Management | For | For | ||||||||||||||||||||||||||
| 3. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION | Management | For | For | ||||||||||||||||||||||||||
| 4. | APPROVAL OF AN AMENDMENT TO THE COMPANY'S RESTATED CERTIFICATE OF INCORPORATION TO EFFECT A 20-FOR-1 SPLIT OF THE COMPANY'S COMMON STOCK AND A PROPORTIONATE INCREASE IN THE NUMBER OF AUTHORIZED SHARES OF COMMON STOCK | Management | For | For | ||||||||||||||||||||||||||
| 5. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON RETIREMENT PLAN OPTIONS | Shareholder | Against | For | ||||||||||||||||||||||||||
| 6. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CUSTOMER DUE DILIGENCE | Shareholder | Against | For | ||||||||||||||||||||||||||
| 7. | SHAREHOLDER PROPOSAL REQUESTING AN ALTERNATIVE DIRECTOR CANDIDATE POLICY | Shareholder | Against | For | ||||||||||||||||||||||||||
| 8. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON PACKAGING MATERIALS | Shareholder | Against | For | ||||||||||||||||||||||||||
| 9. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON WORKER HEALTH AND SAFETY DIFFERENCES | Shareholder | Against | For | ||||||||||||||||||||||||||
| 10. | SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL REPORTING ON RISKS ASSOCIATED WITH THE USE OF CERTAIN CONTRACT CLAUSES | Shareholder | Against | For | ||||||||||||||||||||||||||
| 11. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CHARITABLE CONTRIBUTIONS | Shareholder | Against | For | ||||||||||||||||||||||||||
| 12. | SHAREHOLDER PROPOSAL REQUESTING ALTERNATIVE TAX REPORTING | Shareholder | Against | For | ||||||||||||||||||||||||||
| 13. | SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL REPORTING ON FREEDOM OF ASSOCIATION | Shareholder | Against | For | ||||||||||||||||||||||||||
| 14. | SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL REPORTING ON LOBBYING | Shareholder | Against | For | ||||||||||||||||||||||||||
| 15. | SHAREHOLDER PROPOSAL REQUESTING A POLICY REQUIRING MORE DIRECTOR CANDIDATES THAN BOARD SEATS | Shareholder | Against | For | ||||||||||||||||||||||||||
| 16. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON WAREHOUSE WORKING CONDITIONS | Shareholder | Against | For | ||||||||||||||||||||||||||
| 17. | SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL REPORTING ON GENDER/RACIAL PAY | Shareholder | Against | For | ||||||||||||||||||||||||||
| 18. | SHAREHOLDER PROPOSAL REQUESTING A DIVERSITY AND EQUITY AUDIT | Shareholder | Against | For | ||||||||||||||||||||||||||
| 19. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CUSTOMER USE OF CERTAIN TECHNOLOGIES | Shareholder | Against | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 560 | 0 | 15-Apr-2022 | 15-Apr-2022 | |||||||||||||||||||||||
| IRHYTHM TECHNOLOGIES, INC. | ||||||||||||||||||||||||||||||
| Security | 450056106 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | IRTC | Meeting Date | 26-May-2022 | |||||||||||||||||||||||||||
| ISIN | US4500561067 | Agenda | 935638431 - Management | |||||||||||||||||||||||||||
| Record Date | 31-Mar-2022 | Holding Recon Date | 31-Mar-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 25-May-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||||||||||||||||
| 1 | C. Noel Bairey Merz MD* | For | For | |||||||||||||||||||||||||||
| 2 | Mark J. Rubash* | For | For | |||||||||||||||||||||||||||
| 3 | Renee Budig* | For | For | |||||||||||||||||||||||||||
| 4 | Abhijit Y. Talwalkar# | For | For | |||||||||||||||||||||||||||
| 5 | Bruce G. Bodaken# | For | For | |||||||||||||||||||||||||||
| 6 | Ralph Synderman, M.D.# | For | For | |||||||||||||||||||||||||||
| 2. | To ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending December 31, 2022. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Advisory vote to approve Named Executive Officer Compensation. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 1,390 | 0 | 03-May-2022 | 03-May-2022 | |||||||||||||||||||||||
| GODADDY INC. | ||||||||||||||||||||||||||||||
| Security | 380237107 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | GDDY | Meeting Date | 01-Jun-2022 | |||||||||||||||||||||||||||
| ISIN | US3802371076 | Agenda | 935613592 - Management | |||||||||||||||||||||||||||
| Record Date | 06-Apr-2022 | Holding Recon Date | 06-Apr-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 31-May-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1a. | Election of Director: Amanpal (Aman) Bhutani | Management | For | For | ||||||||||||||||||||||||||
| 1b. | Election of Director: Caroline Donahue | Management | For | For | ||||||||||||||||||||||||||
| 1c. | Election of Director: Charles Robel | Management | For | For | ||||||||||||||||||||||||||
| 2. | Advisory, non-binding vote to approve named executive officer compensation. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Advisory, non-binding vote to approve the frequency of advisory votes on named executive officer compensation for one, two or three years. | Management | 3 Years | Against | ||||||||||||||||||||||||||
| 4. | Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the year ending December 31, 2022. | Management | For | For | ||||||||||||||||||||||||||
| 5. | Approval of an Amendment to the Company's Amended and Restated Certificate of Incorporation to declassify the Board of Directors and provide for the annual election of directors. | Management | For | For | ||||||||||||||||||||||||||
| 6. | Approval of an Amendment to the Company's Amended and Restated Certificate of Incorporation to eliminate certain supermajority voting requirements. | Management | For | For | ||||||||||||||||||||||||||
| 7. | Approval of an Amendment to the Company's Amended and Restated Certificate of Incorporation to eliminate certain business combination restrictions set forth therein and instead subject the Company to the business combination restrictions of the Delaware General Corporation Law. | Management | For | For | ||||||||||||||||||||||||||
| 8. | Approval of an Amendment to the Company's Amended and Restated Certificate of Incorporation to eliminate inoperative provisions and implement certain other miscellaneous amendments. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 7,200 | 0 | 23-Apr-2022 | 23-Apr-2022 | |||||||||||||||||||||||
| ROYAL CARIBBEAN CRUISES LTD. | ||||||||||||||||||||||||||||||
| Security | V7780T103 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | RCL | Meeting Date | 02-Jun-2022 | |||||||||||||||||||||||||||
| ISIN | LR0008862868 | Agenda | 935615445 - Management | |||||||||||||||||||||||||||
| Record Date | 07-Apr-2022 | Holding Recon Date | 07-Apr-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 01-Jun-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1a. | Election of Director: John F. Brock | Management | For | For | ||||||||||||||||||||||||||
| 1b. | Election of Director: Richard D. Fain | Management | For | For | ||||||||||||||||||||||||||
| 1c. | Election of Director: Stephen R. Howe, Jr. | Management | For | For | ||||||||||||||||||||||||||
| 1d. | Election of Director: William L. Kimsey | Management | For | For | ||||||||||||||||||||||||||
| 1e. | Election of Director: Michael O. Leavitt | Management | For | For | ||||||||||||||||||||||||||
| 1f. | Election of Director: Jason T. Liberty | Management | For | For | ||||||||||||||||||||||||||
| 1g. | Election of Director: Amy McPherson | Management | For | For | ||||||||||||||||||||||||||
| 1h. | Election of Director: Maritza G. Montiel | Management | For | For | ||||||||||||||||||||||||||
| 1i. | Election of Director: Ann S. Moore | Management | For | For | ||||||||||||||||||||||||||
| 1j. | Election of Director: Eyal M. Ofer | Management | For | For | ||||||||||||||||||||||||||
| 1k. | Election of Director: William K. Reilly | Management | For | For | ||||||||||||||||||||||||||
| 1l. | Election of Director: Vagn O. Sørensen | Management | For | For | ||||||||||||||||||||||||||
| 1m. | Election of Director: Donald Thompson | Management | For | For | ||||||||||||||||||||||||||
| 1n. | Election of Director: Arne Alexander Wilhelmsen | Management | For | For | ||||||||||||||||||||||||||
| 2. | Advisory approval of the Company's compensation of its named executive officers. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for 2022. | Management | For | For | ||||||||||||||||||||||||||
| 4. | Approval of Amended and Restated 2008 Equity Incentive Plan. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 8,400 | 0 | 20-Apr-2022 | 20-Apr-2022 | |||||||||||||||||||||||
| 997AL96 | CLOUGH GLOBAL LONG SHORT FUND | 997AL96 | STATE STREET BANK & TRUST CO | 3,660 | 0 | 20-Apr-2022 | 20-Apr-2022 | |||||||||||||||||||||||
| NVIDIA CORPORATION | ||||||||||||||||||||||||||||||
| Security | 67066G104 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | NVDA | Meeting Date | 02-Jun-2022 | |||||||||||||||||||||||||||
| ISIN | US67066G1040 | Agenda | 935618299 - Management | |||||||||||||||||||||||||||
| Record Date | 04-Apr-2022 | Holding Recon Date | 04-Apr-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 01-Jun-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1A. | Election of Director: Robert K. Burgess | Management | For | For | ||||||||||||||||||||||||||
| 1B. | Election of Director: Tench Coxe | Management | For | For | ||||||||||||||||||||||||||
| 1C. | Election of Director: John O. Dabiri | Management | For | For | ||||||||||||||||||||||||||
| 1D. | Election of Director: Persis S. Drell | Management | For | For | ||||||||||||||||||||||||||
| 1E. | Election of Director: Jen-Hsun Huang | Management | For | For | ||||||||||||||||||||||||||
| 1F. | Election of Director: Dawn Hudson | Management | For | For | ||||||||||||||||||||||||||
| 1G. | Election of Director: Harvey C. Jones | Management | For | For | ||||||||||||||||||||||||||
| 1H. | Election of Director: Michael G. McCaffery | Management | For | For | ||||||||||||||||||||||||||
| 1I. | Election of Director: Stephen C. Neal | Management | For | For | ||||||||||||||||||||||||||
| 1J. | Election of Director: Mark L. Perry | Management | For | For | ||||||||||||||||||||||||||
| 1K. | Election of Director: A. Brooke Seawell | Management | For | For | ||||||||||||||||||||||||||
| 1L. | Election of Director: Aarti Shah | Management | For | For | ||||||||||||||||||||||||||
| 1M. | Election of Director: Mark A. Stevens | Management | For | For | ||||||||||||||||||||||||||
| 2. | Advisory approval of our executive compensation. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2023. | Management | For | For | ||||||||||||||||||||||||||
| 4. | Approval of an amendment to our charter to increase the number of authorized shares of common stock from 4 billion to 8 billion shares. | Management | For | For | ||||||||||||||||||||||||||
| 5. | Approval of an amendment and restatement of our Amended and Restated 2007 Equity Incentive Plan. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 4,025 | 0 | 21-Apr-2022 | 21-Apr-2022 | |||||||||||||||||||||||
| UnitedHealth Group | ||||||||||||||||||||||||||||||
| Security | 91324P102 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | UNH | Meeting Date | 06-Jun-2022 | |||||||||||||||||||||||||||
| ISIN | US91324P1021 | Agenda | 935618453 - Management | |||||||||||||||||||||||||||
| Record Date | 08-Apr-2022 | Holding Recon Date | 08-Apr-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 03-Jun-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1a. | Election of Director: Timothy P. Flynn | Management | For | For | ||||||||||||||||||||||||||
| 1b. | Election of Director: Paul R. Garcia | Management | For | For | ||||||||||||||||||||||||||
| 1c. | Election of Director: Stephen J. Hemsley | Management | For | For | ||||||||||||||||||||||||||
| 1d. | Election of Director: Michele J. Hooper | Management | For | For | ||||||||||||||||||||||||||
| 1e. | Election of Director: F. William McNabb III | Management | For | For | ||||||||||||||||||||||||||
| 1f. | Election of Director: Valerie C. Montgomery Rice, M.D. | Management | For | For | ||||||||||||||||||||||||||
| 1g. | Election of Director: John H. Noseworthy, M.D. | Management | For | For | ||||||||||||||||||||||||||
| 1h. | Election of Director: Andrew Witty | Management | For | For | ||||||||||||||||||||||||||
| 2. | Advisory approval of the Company's executive compensation. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Ratification of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm for the Company for the year ending December 31, 2022. | Management | For | For | ||||||||||||||||||||||||||
| 4. | If properly presented at the 2022 Annual Meeting of Shareholders, the shareholder proposal seeking shareholder ratification of termination pay. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 5. | If properly presented at the 2022 Annual Meeting of Shareholders, the shareholder proposal regarding political contributions congruency report. | Shareholder | Against | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 1,360 | 0 | 23-Apr-2022 | 23-Apr-2022 | |||||||||||||||||||||||
| PARAMOUNT GLOBAL | ||||||||||||||||||||||||||||||
| Security | 92556H206 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | PARA | Meeting Date | 08-Jun-2022 | |||||||||||||||||||||||||||
| ISIN | US92556H2067 | Agenda | 935625117 - Management | |||||||||||||||||||||||||||
| Record Date | 11-Apr-2022 | Holding Recon Date | 11-Apr-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 07-Jun-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1. | Non-Voting agenda | Management | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 21,400 | 0 | 30-Apr-2022 | 30-Apr-2022 | |||||||||||||||||||||||
| SERVICENOW, INC. | ||||||||||||||||||||||||||||||
| Security | 81762P102 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | NOW | Meeting Date | 09-Jun-2022 | |||||||||||||||||||||||||||
| ISIN | US81762P1021 | Agenda | 935626068 - Management | |||||||||||||||||||||||||||
| Record Date | 11-Apr-2022 | Holding Recon Date | 11-Apr-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Jun-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1a. | Election of Director: Susan L. Bostrom | Management | For | For | ||||||||||||||||||||||||||
| 1b. | Election of Director: Teresa Briggs | Management | For | For | ||||||||||||||||||||||||||
| 1c. | Election of Director: Jonathan C. Chadwick | Management | For | For | ||||||||||||||||||||||||||
| 1d. | Election of Director: Paul E. Chamberlain | Management | For | For | ||||||||||||||||||||||||||
| 1e. | Election of Director: Lawrence J. Jackson, Jr. | Management | For | For | ||||||||||||||||||||||||||
| 1f. | Election of Director: Frederic B. Luddy | Management | For | For | ||||||||||||||||||||||||||
| 1g. | Election of Director: Jeffrey A. Miller | Management | For | For | ||||||||||||||||||||||||||
| 1h. | Election of Director: Joseph "Larry" Quinlan | Management | For | For | ||||||||||||||||||||||||||
| 1i. | Election of Director: Sukumar Rathnam | Management | For | For | ||||||||||||||||||||||||||
| 2. | To approve, on an advisory basis, the compensation of our Named Executive Officers ("Say-on-Pay"). | Management | For | For | ||||||||||||||||||||||||||
| 3. | To ratify PricewaterhouseCoopers LLP as the independent registered public accounting firm for 2022. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 1,100 | 0 | 26-Apr-2022 | 26-Apr-2022 | |||||||||||||||||||||||
| BOOKING HOLDINGS INC. | ||||||||||||||||||||||||||||||
| Security | 09857L108 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | BKNG | Meeting Date | 09-Jun-2022 | |||||||||||||||||||||||||||
| ISIN | US09857L1089 | Agenda | 935631110 - Management | |||||||||||||||||||||||||||
| Record Date | 21-Apr-2022 | Holding Recon Date | 21-Apr-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Jun-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||||||||||||||||
| 1 | Timothy Armstrong | For | For | |||||||||||||||||||||||||||
| 2 | Glenn D. Fogel | For | For | |||||||||||||||||||||||||||
| 3 | Mirian M. Graddick-Weir | For | For | |||||||||||||||||||||||||||
| 4 | Wei Hopeman | For | For | |||||||||||||||||||||||||||
| 5 | Robert J. Mylod, Jr. | For | For | |||||||||||||||||||||||||||
| 6 | Charles H. Noski | For | For | |||||||||||||||||||||||||||
| 7 | Nicholas J. Read | For | For | |||||||||||||||||||||||||||
| 8 | Thomas E. Rothman | For | For | |||||||||||||||||||||||||||
| 9 | Sumit Singh | For | For | |||||||||||||||||||||||||||
| 10 | Lynn V. Radakovich | For | For | |||||||||||||||||||||||||||
| 11 | Vanessa A. Wittman | For | For | |||||||||||||||||||||||||||
| 2. | Advisory vote to approve 2021 executive compensation. | Management | For | For | ||||||||||||||||||||||||||
| 3. | Ratification of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2022. | Management | For | For | ||||||||||||||||||||||||||
| 4. | Stockholder proposal requesting the right of stockholders holding 10% of outstanding shares of common stock to call a special meeting. | Shareholder | Against | For | ||||||||||||||||||||||||||
| 5. | Stockholder proposal requesting the Board of Directors incorporate climate change metrics into executive compensation arrangements for our Chief Executive Officer and at least one other senior executive. | Shareholder | Against | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 330 | 0 | 27-Apr-2022 | 27-Apr-2022 | |||||||||||||||||||||||
| CRISPR THERAPEUTICS AG | ||||||||||||||||||||||||||||||
| Security | H17182108 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | CRSP | Meeting Date | 09-Jun-2022 | |||||||||||||||||||||||||||
| ISIN | CH0334081137 | Agenda | 935633974 - Management | |||||||||||||||||||||||||||
| Record Date | 18-Apr-2022 | Holding Recon Date | 18-Apr-2022 | |||||||||||||||||||||||||||
| City / | Country | / | Switzerland | Vote Deadline Date | 08-Jun-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1. | The approval of the Swiss statutory annual report, the consolidated financial statements and the statutory financial statements of the Company for the year ended December 31, 2021. | Management | For | For | ||||||||||||||||||||||||||
| 2. | The approval of the appropriation of financial results. | Management | For | For | ||||||||||||||||||||||||||
| 3. | The discharge of the members of the Board of Directors and Executive Committee. | Management | For | For | ||||||||||||||||||||||||||
| 4a. | Re-election of Rodger Novak, M.D., as member and Chairman | Management | For | For | ||||||||||||||||||||||||||
| 4b. | Re-election of Samarth Kulkami, Ph.D. as the member to the Board of Director. | Management | For | For | ||||||||||||||||||||||||||
| 4c. | Re-election of Ali Behbahani, M.D. as the member to the Board of Director. | Management | For | For | ||||||||||||||||||||||||||
| 4d. | Re-election of Bradley Bolzon, Ph.D. as the member to the Board of Director. | Management | For | For | ||||||||||||||||||||||||||
| 4e. | Re-election of H. Edward Fleming, Jr. M.D. as the member to the Board of Director. | Management | For | For | ||||||||||||||||||||||||||
| 4f. | Re-election of Simeon J. George, M.D. as the member to the Board of Director. | Management | For | For | ||||||||||||||||||||||||||
| 4g. | Re-election of John T. Greene as the member to the Board of Director. | Management | For | For | ||||||||||||||||||||||||||
| 4h. | Re-election of Katherine A. High, M.D. as the member to the Board of Director. | Management | For | For | ||||||||||||||||||||||||||
| 4i. | Re-election of Douglas A. Treco, Ph.D. as the member to the Board of Director. | Management | For | For | ||||||||||||||||||||||||||
| 4j. | Election of Maria Fardis, Ph.D. as the member to the Board of Director. | Management | For | For | ||||||||||||||||||||||||||
| 5a. | Re-election of the member of the Compensation Committee: Ali Behbahani, M.D. | Management | For | For | ||||||||||||||||||||||||||
| 5b. | Re-election of the member of the Compensation Committee: Simeon J. George, M.D. | Management | For | For | ||||||||||||||||||||||||||
| 5c. | Re-election of the member of the Compensation Committee: John T. Greene | Management | For | For | ||||||||||||||||||||||||||
| 6a. | Binding vote on total non-performance-related compensation for members of the Board of Directors from the 2022 Annual General Meeting to the 2023 annual general meeting of shareholders. | Management | For | For | ||||||||||||||||||||||||||
| 6b. | Binding vote on equity for members of the Board of Directors from the 2022 Annual General Meeting to the 2023 annual general meeting of shareholders. | Management | For | For | ||||||||||||||||||||||||||
| 6c. | Binding vote on total non-performance-related compensation for members of the Executive Committee from July 1, 2022 to June 30, 2023. | Management | For | For | ||||||||||||||||||||||||||
| 6d. | Binding vote on total variable compensation for members of the Executive Committee for the current year ending December 31, 2022. | Management | For | For | ||||||||||||||||||||||||||
| 6e. | Binding vote on equity for members of the Executive Committee from the 2022 Annual General Meeting to the 2023 annual general meeting of shareholders. | Management | For | For | ||||||||||||||||||||||||||
| 7. | Non-binding advisory vote to approve the compensation paid to the Company's named executive officers under U.S. securities law requirements. | Management | For | For | ||||||||||||||||||||||||||
| 8. | Non-binding advisory vote on the frequency of future shareholder advisory votes on the compensation paid to the Company's named executive officers under U.S. securities law requirements. | Management | 3 Years | For | ||||||||||||||||||||||||||
| 9. | The approval of increasing the maximum size of the Board of Directors. | Management | For | For | ||||||||||||||||||||||||||
| 10. | The approval of an adjustment of the maximum number of authorized share capital and extending the date by which the Board of Directors may increase the share capital. | Management | For | For | ||||||||||||||||||||||||||
| 11. | The approval of an adjustment of the conditional share capital for the conversion of bonds and similar debt instruments. | Management | For | For | ||||||||||||||||||||||||||
| 12. | The approval of an increase in the conditional share capital for employee equity plans. | Management | For | For | ||||||||||||||||||||||||||
| 13. | The approval of an Amendment to the CRISPR Therapeutics AG 2018 Stock Option and Incentive Plan. | Management | For | For | ||||||||||||||||||||||||||
| 14. | The re-election of the independent voting rights representative. | Management | For | For | ||||||||||||||||||||||||||
| 15. | The re-election of the auditors. | Management | For | For | ||||||||||||||||||||||||||
| 16. | The transaction of any other business that may properly come before the 2022 Annual General Meeting or any adjournment or postponement thereof. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 7,721 | 0 | 30-Apr-2022 | 30-Apr-2022 | |||||||||||||||||||||||
| BLOCK, INC. | ||||||||||||||||||||||||||||||
| Security | 852234103 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | SQ | Meeting Date | 14-Jun-2022 | |||||||||||||||||||||||||||
| ISIN | US8522341036 | Agenda | 935629583 - Management | |||||||||||||||||||||||||||
| Record Date | 21-Apr-2022 | Holding Recon Date | 21-Apr-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 13-Jun-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||||||||||||||||
| 1 | Jack Dorsey | For | For | |||||||||||||||||||||||||||
| 2 | Paul Deighton | For | For | |||||||||||||||||||||||||||
| 2. | ADVISORY VOTE ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||||||||||||||||||||
| 3. | ADVISORY VOTE ON THE FREQUENCY OF FUTURE STOCKHOLDER ADVISORY VOTES ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | 3 Years | Against | ||||||||||||||||||||||||||
| 4. | RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR OUR FISCAL YEAR ENDING DECEMBER 31, 2022. | Management | For | For | ||||||||||||||||||||||||||
| 5. | STOCKHOLDER PROPOSAL, IF PROPERLY PRESENTED AT THE MEETING, REGARDING A CHANGE IN STOCKHOLDER VOTING. | Shareholder | Against | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 6,750 | 0 | 29-Apr-2022 | 29-Apr-2022 | |||||||||||||||||||||||
| VERACYTE, INC. | ||||||||||||||||||||||||||||||
| Security | 92337F107 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | VCYT | Meeting Date | 15-Jun-2022 | |||||||||||||||||||||||||||
| ISIN | US92337F1075 | Agenda | 935625838 - Management | |||||||||||||||||||||||||||
| Record Date | 18-Apr-2022 | Holding Recon Date | 18-Apr-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 14-Jun-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1a. | Election of Class III Director to serve until the 2025 Annual Meeting: Karin Eastham | Management | For | For | ||||||||||||||||||||||||||
| 1b. | Election of Class III Director to serve until the 2025 Annual Meeting: Jens Holstein | Management | For | For | ||||||||||||||||||||||||||
| 2. | The ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for 2022. | Management | For | For | ||||||||||||||||||||||||||
| 3. | The approval, on a non-binding advisory basis, of the compensation of our named executive officers, as disclosed in our proxy statement. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 9,685 | 0 | 30-Apr-2022 | 30-Apr-2022 | |||||||||||||||||||||||
| C4 THERAPEUTICS, INC. | ||||||||||||||||||||||||||||||
| Security | 12529R107 | Meeting Type | Annual | |||||||||||||||||||||||||||
| Ticker Symbol | CCCC | Meeting Date | 22-Jun-2022 | |||||||||||||||||||||||||||
| ISIN | US12529R1077 | Agenda | 935636374 - Management | |||||||||||||||||||||||||||
| Record Date | 25-Apr-2022 | Holding Recon Date | 25-Apr-2022 | |||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 21-Jun-2022 | |||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||||||||||||||||
| 1 | Alain J. Cohen | For | For | |||||||||||||||||||||||||||
| 2 | Bruce Downey | For | For | |||||||||||||||||||||||||||
| 3 | Glenn Dubin | For | For | |||||||||||||||||||||||||||
| 2. | To cast a non-binding, advisory vote on the frequency of future non-binding, advisory votes to approve the compensation of our named executive officers every. | Management | 3 Years | Against | ||||||||||||||||||||||||||
| 3. | To cast a non-binding, advisory vote to approve the compensation of our named executive officers. | Management | For | For | ||||||||||||||||||||||||||
| 4. | To ratify the engagement of KPMG LLP as our independent registered public accounting firm for the year ending December 31, 2022. | Management | For | For | ||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||
| 997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 14,000 | 0 | 30-Apr-2022 | 30-Apr-2022 | |||||||||||||||||||||||
-2-
SIGNATURE
Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| Clough Funds Trust | |||
| By: | /s/ Dawn Cotten | ||
| Dawn Cotten | |||
| President | |||
| Date: | August 3, 2022 | ||
-3-
