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, 2022 – April 21, 2023
Item 1 – Proxy Voting Record.
| Vote Summary | |||||||||||||||||||||||||||||||
| TRANSDIGM GROUP INCORPORATED | |||||||||||||||||||||||||||||||
| Security | 893641100 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | TDG | Meeting Date | 12-Jul-2022 | ||||||||||||||||||||||||||||
| ISIN | US8936411003 | Agenda | 935666101 - Management | ||||||||||||||||||||||||||||
| Record Date | 18-May-2022 | Holding Recon Date | 18-May-2022 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-Jul-2022 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||
| 1 | David Barr | For | For | ||||||||||||||||||||||||||||
| 2 | Jane M. Cronin | For | For | ||||||||||||||||||||||||||||
| 3 | Mervin Dunn | For | For | ||||||||||||||||||||||||||||
| 4 | Michael Graff | For | For | ||||||||||||||||||||||||||||
| 5 | Sean Hennessy | For | For | ||||||||||||||||||||||||||||
| 6 | W. Nicholas Howley | For | For | ||||||||||||||||||||||||||||
| 7 | Gary E. McCullough | For | For | ||||||||||||||||||||||||||||
| 8 | Michele Santana | For | For | ||||||||||||||||||||||||||||
| 9 | Robert Small | For | For | ||||||||||||||||||||||||||||
| 10 | John Staer | For | For | ||||||||||||||||||||||||||||
| 11 | Kevin Stein | For | For | ||||||||||||||||||||||||||||
| 2. | To ratify the selection of Ernst & Young LLP as the Company's independent accountants for the fiscal year ending September 30, 2022. | Management | For | For | |||||||||||||||||||||||||||
| 3. | To approve (in an advisory vote) compensation paid to the Company's named executive officers. | 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 | 1,737 | 0 | 02-Jun-2022 | 02-Jun-2022 | ||||||||||||||||||||||||
| JAZZ PHARMACEUTICALS PLC | |||||||||||||||||||||||||||||||
| Security | G50871105 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | JAZZ | Meeting Date | 28-Jul-2022 | ||||||||||||||||||||||||||||
| ISIN | IE00B4Q5ZN47 | Agenda | 935674069 - Management | ||||||||||||||||||||||||||||
| Record Date | 01-Jun-2022 | Holding Recon Date | 01-Jun-2022 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 27-Jul-2022 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1a. | Election of Director to hold office until the 2025 Annual General Meeting: Jennifer E. Cook | Management | For | For | |||||||||||||||||||||||||||
| 1b. | Election of Director to hold office until the 2025 Annual General Meeting: Patrick G. Enright | Management | For | For | |||||||||||||||||||||||||||
| 1c. | Election of Director to hold office until the 2025 Annual General Meeting: Seamus Mulligan | Management | For | For | |||||||||||||||||||||||||||
| 1d. | Election of Director to hold office until the 2025 Annual General Meeting: Norbert G. Riedel, Ph.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, 2022 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 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 | |||||||||||||||||||||||||||
| 5. | To approve any motion to adjourn the Annual 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 Annual General Meeting to approve Proposal 4. | 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 | 1,880 | 0 | 11-Jun-2022 | 11-Jun-2022 | ||||||||||||||||||||||||
| LEGEND BIOTECH CORPORATION | |||||||||||||||||||||||||||||||
| Security | 52490G102 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | LEGN | Meeting Date | 14-Oct-2022 | ||||||||||||||||||||||||||||
| ISIN | US52490G1022 | Agenda | 935712439 - Management | ||||||||||||||||||||||||||||
| Record Date | 13-Sep-2022 | Holding Recon Date | 13-Sep-2022 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-Oct-2022 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1. | To receive the audited consolidated financial statements of the Company for the fiscal year ended December 31, 2021. | Management | For | For | |||||||||||||||||||||||||||
| 2. | To ratify the appointment of Ernst & Young LLP as independent auditor of the Company (the "Independent Auditor") for the fiscal year ending December 31, 2022. | Management | For | For | |||||||||||||||||||||||||||
| 3. | To re-elect Dr. Patrick Casey, whose term of office will expire pursuant to article 88(b) of the Company's memorandum of association, to serve as a Class II director of the Company for a full term of three (3) years. | Management | For | For | |||||||||||||||||||||||||||
| 4. | To re-elect Mr. Philip Yau, whose term of office will expire pursuant to article 88(b) of the Company's memorandum of association, to serve as a Class II director of the Company for a full term of three (3) years. | Management | For | For | |||||||||||||||||||||||||||
| 5. | To re-elect Dr. Fangliang Zhang, whose term of office will expire pursuant to article 88(b) of the Company's memorandum of association, to serve as a Class II director of the Company for a full term of three (3) years. | Management | For | For | |||||||||||||||||||||||||||
| 6. | To authorize each of the directors and officers of the Company to take any and every action that might be necessary to effect the foregoing resolutions as such director or officer, in his or her absolute discretion, thinks fit. | 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 | 4,916 | 0 | 17-Sep-2022 | 17-Sep-2022 | ||||||||||||||||||||||||
| SPDR SERIES TRUST | |||||||||||||||||||||||||||||||
| Security | 78468R556 | Meeting Type | Special | ||||||||||||||||||||||||||||
| Ticker Symbol | XOP | Meeting Date | 20-Oct-2022 | ||||||||||||||||||||||||||||
| ISIN | US78468R5569 | Agenda | 935696572 - Management | ||||||||||||||||||||||||||||
| Record Date | 20-Jul-2022 | Holding Recon Date | 20-Jul-2022 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 19-Oct-2022 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||
| 1 | Clare S. Richer | For | For | ||||||||||||||||||||||||||||
| 2 | Sandra G. Sponem | For | For | ||||||||||||||||||||||||||||
| 3 | Kristi L. Rowsell | For | For | ||||||||||||||||||||||||||||
| 4 | Gunjan Chauhan | For | For | ||||||||||||||||||||||||||||
| 5 | Carolyn M. Clancy | 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 | 2,210 | 0 | 04-Aug-2022 | 04-Aug-2022 | ||||||||||||||||||||||||
| MICROSOFT CORPORATION | |||||||||||||||||||||||||||||||
| Security | 594918104 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | MSFT | Meeting Date | 13-Dec-2022 | ||||||||||||||||||||||||||||
| ISIN | US5949181045 | Agenda | 935722567 - Management | ||||||||||||||||||||||||||||
| Record Date | 12-Oct-2022 | Holding Recon Date | 12-Oct-2022 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 12-Dec-2022 | ||||||||||||||||||||||||||
| 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. | Ratification of the Selection of Deloitte & Touche LLP as our Independent Auditor for Fiscal Year 2023 | Management | For | For | |||||||||||||||||||||||||||
| 4. | Shareholder Proposal - Cost/Benefit Analysis of Diversity and Inclusion | Shareholder | Against | For | |||||||||||||||||||||||||||
| 5. | Shareholder Proposal - Report on Hiring of Persons with Arrest or Incarceration Records | Shareholder | Against | For | |||||||||||||||||||||||||||
| 6. | Shareholder Proposal - Report on Investment of Retirement Funds in Companies Contributing to Climate Change | Shareholder | Against | For | |||||||||||||||||||||||||||
| 7. | Shareholder Proposal - Report on Government Use of Microsoft Technology | Shareholder | Against | For | |||||||||||||||||||||||||||
| 8. | Shareholder Proposal - Report on Development of Products for Military | Shareholder | Against | For | |||||||||||||||||||||||||||
| 9. | Shareholder Proposal - Report on Tax Transparency | 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 | 840 | 0 | 28-Oct-2022 | 28-Oct-2022 | ||||||||||||||||||||||||
| 997AL96 | CLOUGH GLOBAL LONG SHORT FUND | 997AL96 | STATE STREET BANK & TRUST CO | 3,511 | 0 | 28-Oct-2022 | 28-Oct-2022 | ||||||||||||||||||||||||
| PALO ALTO NETWORKS, INC. | |||||||||||||||||||||||||||||||
| Security | 697435105 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | PANW | Meeting Date | 13-Dec-2022 | ||||||||||||||||||||||||||||
| ISIN | US6974351057 | Agenda | 935732140 - Management | ||||||||||||||||||||||||||||
| Record Date | 14-Oct-2022 | Holding Recon Date | 14-Oct-2022 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 12-Dec-2022 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1a. | Election of Class II Director: Dr. Helene D. Gayle | Management | For | For | |||||||||||||||||||||||||||
| 1b. | Election of Class II Director: James J. Goetz | Management | For | For | |||||||||||||||||||||||||||
| 2. | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for our fiscal year ending July 31, 2023. | Management | For | For | |||||||||||||||||||||||||||
| 3. | To approve, on an advisory basis, the compensation of our named executive officers. | Management | For | For | |||||||||||||||||||||||||||
| 4. | To approve an amendment to the 2021 Palo Alto Networks, Inc. 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 | 3,930 | 0 | 08-Nov-2022 | 08-Nov-2022 | ||||||||||||||||||||||||
| VISA INC. | |||||||||||||||||||||||||||||||
| Security | 92826C839 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | V | Meeting Date | 24-Jan-2023 | ||||||||||||||||||||||||||||
| ISIN | US92826C8394 | Agenda | 935745779 - Management | ||||||||||||||||||||||||||||
| Record Date | 25-Nov-2022 | Holding Recon Date | 25-Nov-2022 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 23-Jan-2023 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1a. | Election of Director: Lloyd A. Carney | Management | For | For | |||||||||||||||||||||||||||
| 1b. | Election of Director: Kermit R. Crawford | Management | For | For | |||||||||||||||||||||||||||
| 1c. | Election of Director: Francisco Javier Fernández-Carbajal | Management | For | For | |||||||||||||||||||||||||||
| 1d. | Election of Director: Alfred F. Kelly, Jr. | Management | For | For | |||||||||||||||||||||||||||
| 1e. | Election of Director: Ramon Laguarta | Management | For | For | |||||||||||||||||||||||||||
| 1f. | Election of Director: Teri L. List | Management | For | For | |||||||||||||||||||||||||||
| 1g. | Election of Director: John F. Lundgren | Management | For | For | |||||||||||||||||||||||||||
| 1h. | Election of Director: Denise M. Morrison | Management | For | For | |||||||||||||||||||||||||||
| 1i. | Election of Director: Linda J. Rendle | Management | For | For | |||||||||||||||||||||||||||
| 1j. | Election of Director: Maynard G. Webb, Jr. | Management | For | For | |||||||||||||||||||||||||||
| 2. | To approve, on an advisory basis, the compensation paid to our named executive officers. | Management | For | For | |||||||||||||||||||||||||||
| 3. | To hold an advisory vote on the frequency of future advisory votes to approve executive compensation. | Management | 3 Years | Against | |||||||||||||||||||||||||||
| 4. | To ratify the appointment of KPMG LLP as our independent registered public accounting firm for fiscal year 2023. | Management | For | For | |||||||||||||||||||||||||||
| 5. | To vote on a stockholder proposal requesting an independent board chair policy. | 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 | 800 | 0 | 03-Dec-2022 | 03-Dec-2022 | ||||||||||||||||||||||||
| JABIL INC. | |||||||||||||||||||||||||||||||
| Security | 466313103 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | JBL | Meeting Date | 26-Jan-2023 | ||||||||||||||||||||||||||||
| ISIN | US4663131039 | Agenda | 935747317 - Management | ||||||||||||||||||||||||||||
| Record Date | 30-Nov-2022 | Holding Recon Date | 30-Nov-2022 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 25-Jan-2023 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1a. | Election of Director to serve until the next Annual Meeting of Shareholders: Anousheh Ansari | Management | For | For | |||||||||||||||||||||||||||
| 1b. | Election of Director to serve until the next Annual Meeting of Shareholders: Christopher S. Holland | Management | For | For | |||||||||||||||||||||||||||
| 1c. | Election of Director to serve until the next Annual Meeting of Shareholders: Mark T. Mondello | Management | For | For | |||||||||||||||||||||||||||
| 1d. | Election of Director to serve until the next Annual Meeting of Shareholders: John C. Plant | Management | For | For | |||||||||||||||||||||||||||
| 1e. | Election of Director to serve until the next Annual Meeting of Shareholders: Steven A. Raymund | Management | For | For | |||||||||||||||||||||||||||
| 1f. | Election of Director to serve until the next Annual Meeting of Shareholders: Thomas A. Sansone | Management | For | For | |||||||||||||||||||||||||||
| 1g. | Election of Director to serve until the next Annual Meeting of Shareholders: David M. Stout | Management | For | For | |||||||||||||||||||||||||||
| 1h. | Election of Director to serve until the next Annual Meeting of Shareholders: Kathleen A. Walters | Management | For | For | |||||||||||||||||||||||||||
| 2. | Ratify the appointment of Ernst & Young LLP as Jabil's independent registered public accounting firm for the fiscal year ending August 31, 2023. | Management | For | For | |||||||||||||||||||||||||||
| 3. | Approve (on an advisory basis) Jabil's executive 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 | 5,300 | 0 | 10-Dec-2022 | 10-Dec-2022 | ||||||||||||||||||||||||
| GOLUB CAPITAL BDC, INC. | |||||||||||||||||||||||||||||||
| Security | 38173M102 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | GBDC | Meeting Date | 07-Feb-2023 | ||||||||||||||||||||||||||||
| ISIN | US38173M1027 | Agenda | 935752623 - Management | ||||||||||||||||||||||||||||
| Record Date | 12-Dec-2022 | Holding Recon Date | 12-Dec-2022 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 06-Feb-2023 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1a. | Election of Class I Director of the Company who will each serve for a term expiring in 2026: David B. Golub | Management | For | For | |||||||||||||||||||||||||||
| 1b. | Election of Class I Director of the Company who will each serve for a term expiring in 2026: Anita J. Rival | Management | For | For | |||||||||||||||||||||||||||
| 2. | To ratify the selection of Ernst & Young LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2023. | 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 | 11,600 | 0 | 23-Dec-2022 | 23-Dec-2022 | ||||||||||||||||||||||||
| HOLOGIC, INC. | |||||||||||||||||||||||||||||||
| Security | 436440101 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | HOLX | Meeting Date | 09-Mar-2023 | ||||||||||||||||||||||||||||
| ISIN | US4364401012 | Agenda | 935758132 - Management | ||||||||||||||||||||||||||||
| Record Date | 11-Jan-2023 | Holding Recon Date | 11-Jan-2023 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Mar-2023 | ||||||||||||||||||||||||||
| 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: Stacey D. Stewart | Management | For | For | |||||||||||||||||||||||||||
| 1i. | Election of Director: Amy M. Wendell | Management | For | For | |||||||||||||||||||||||||||
| 2. | A non-binding advisory resolution to approve executive compensation. | Management | For | For | |||||||||||||||||||||||||||
| 3. | A non-binding advisory vote on the frequency of future advisory votes to approve executive compensation. | Management | 3 Years | Against | |||||||||||||||||||||||||||
| 4. | Approval of the Hologic, Inc. Amended and Restated 2008 Equity Incentive Plan. | Management | For | For | |||||||||||||||||||||||||||
| 5. | Approval of the Hologic, Inc. Amended and Restated 2012 Employee Stock Purchase Plan. | Management | For | For | |||||||||||||||||||||||||||
| 6. | Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for fiscal 2023. | 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 | 7,350 | 0 | 20-Jan-2023 | 20-Jan-2023 | ||||||||||||||||||||||||
| TRANSDIGM GROUP INCORPORATED | |||||||||||||||||||||||||||||||
| Security | 893641100 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | TDG | Meeting Date | 09-Mar-2023 | ||||||||||||||||||||||||||||
| ISIN | US8936411003 | Agenda | 935759261 - Management | ||||||||||||||||||||||||||||
| Record Date | 13-Jan-2023 | Holding Recon Date | 13-Jan-2023 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Mar-2023 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||
| 1 | David Barr | For | For | ||||||||||||||||||||||||||||
| 2 | Jane Cronin | For | For | ||||||||||||||||||||||||||||
| 3 | Mervin Dunn | For | For | ||||||||||||||||||||||||||||
| 4 | Michael Graff | For | For | ||||||||||||||||||||||||||||
| 5 | Sean Hennessy | For | For | ||||||||||||||||||||||||||||
| 6 | W. Nicholas Howley | For | For | ||||||||||||||||||||||||||||
| 7 | Gary E. McCullough | For | For | ||||||||||||||||||||||||||||
| 8 | Michele Santana | For | For | ||||||||||||||||||||||||||||
| 9 | Robert Small | For | For | ||||||||||||||||||||||||||||
| 10 | John Staer | For | For | ||||||||||||||||||||||||||||
| 11 | Kevin Stein | For | For | ||||||||||||||||||||||||||||
| 2. | To ratify the selection of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2023. | Management | For | For | |||||||||||||||||||||||||||
| 3. | To approve (in an advisory vote) compensation paid to the Company's named executive officers. | Management | For | For | |||||||||||||||||||||||||||
| 4. | To determine the frequency of the advisory vote regarding compensation paid to the Company's named executive officers. | Management | 3 Years | ||||||||||||||||||||||||||||
| 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 | 380 | 0 | 28-Jan-2023 | 28-Jan-2023 | ||||||||||||||||||||||||
| 997AL96 | CLOUGH GLOBAL LONG SHORT FUND | 997AL96 | STATE STREET BANK & TRUST CO | 892 | 0 | 28-Jan-2023 | 28-Jan-2023 | ||||||||||||||||||||||||
| SAMSUNG ELECTRONICS CO LTD | |||||||||||||||||||||||||||||||
| Security | Y74718100 | Meeting Type | Annual General Meeting | ||||||||||||||||||||||||||||
| Ticker Symbol | Meeting Date | 15-Mar-2023 | |||||||||||||||||||||||||||||
| ISIN | KR7005930003 | Agenda | 716681437 - Management | ||||||||||||||||||||||||||||
| Record Date | 31-Dec-2022 | Holding Recon Date | 31-Dec-2022 | ||||||||||||||||||||||||||||
| City / | Country | GYEONG GI | / | Korea, Republic Of | Vote Deadline Date | 03-Mar-2023 | |||||||||||||||||||||||||
| SEDOL(s) | 6771720 - B19VC15 | Quick Code | |||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1 | APPROVAL OF FINANCIAL STATEMENTS | Management | For | For | |||||||||||||||||||||||||||
| 2 | ELECTION OF INSIDE DIRECTOR HAN JONG HUI | Management | For | For | |||||||||||||||||||||||||||
| 3 | APPROVAL OF REMUNERATION FOR DIRECTOR | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| AL94 | AL94 | STATE STREET BANK | 8,043 | 0 | 15-Feb-2023 | 15-Feb-2023 | |||||||||||||||||||||||||
| SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.) | |||||||||||||||||||||||||||||||
| Security | 806857108 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | SLB | Meeting Date | 05-Apr-2023 | ||||||||||||||||||||||||||||
| ISIN | AN8068571086 | Agenda | 935767105 - Management | ||||||||||||||||||||||||||||
| Record Date | 08-Feb-2023 | Holding Recon Date | 08-Feb-2023 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 04-Apr-2023 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1a. | Election of Director: Peter Coleman | Management | For | For | |||||||||||||||||||||||||||
| 1b. | Election of Director: Patrick de La Chevardière | Management | For | For | |||||||||||||||||||||||||||
| 1c. | Election of Director: Miguel Galuccio | Management | For | For | |||||||||||||||||||||||||||
| 1d. | Election of Director: Olivier Le Peuch | Management | For | For | |||||||||||||||||||||||||||
| 1e. | Election of Director: Samuel Leupold | Management | For | For | |||||||||||||||||||||||||||
| 1f. | Election of Director: Tatiana Mitrova | Management | For | For | |||||||||||||||||||||||||||
| 1g. | Election of Director: Maria Moraeus Hanssen | Management | For | For | |||||||||||||||||||||||||||
| 1h. | Election of Director: Vanitha Narayanan | Management | For | For | |||||||||||||||||||||||||||
| 1i. | Election of Director: Mark Papa | Management | For | For | |||||||||||||||||||||||||||
| 1j. | Election of Director: Jeff Sheets | Management | For | For | |||||||||||||||||||||||||||
| 1k. | Election of Director: Ulrich Spiesshofer | Management | For | For | |||||||||||||||||||||||||||
| 2. | Advisory vote on the frequency of future advisory votes on executive compensation. | Management | 3 Years | Against | |||||||||||||||||||||||||||
| 3. | Advisory approval of our executive compensation. | Management | For | For | |||||||||||||||||||||||||||
| 4. | Approval of our consolidated balance sheet at December 31, 2022; our consolidated statement of income for the year ended December 31, 2022; and the declarations of dividends by our Board of Directors in 2022, as reflected in our 2022 Annual Report to Shareholders. | Management | For | For | |||||||||||||||||||||||||||
| 5. | Ratification of the appointment of PricewaterhouseCoopers LLP as our independent auditors for 2023. | 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 | 5,300 | 0 | 25-Feb-2023 | 25-Feb-2023 | ||||||||||||||||||||||||
| THE BOEING COMPANY | |||||||||||||||||||||||||||||||
| Security | 097023105 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | BA | Meeting Date | 18-Apr-2023 | ||||||||||||||||||||||||||||
| ISIN | US0970231058 | Agenda | 935770063 - Management | ||||||||||||||||||||||||||||
| Record Date | 17-Feb-2023 | Holding Recon Date | 17-Feb-2023 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 17-Apr-2023 | ||||||||||||||||||||||||||
| 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: David L. Gitlin | Management | For | For | |||||||||||||||||||||||||||
| 1e. | Election of Director: Lynn J. Good | Management | For | For | |||||||||||||||||||||||||||
| 1f. | Election of Director: Stayce D. Harris | Management | For | For | |||||||||||||||||||||||||||
| 1g. | Election of Director: Akhil Johri | Management | For | For | |||||||||||||||||||||||||||
| 1h. | Election of Director: David L. Joyce | Management | For | For | |||||||||||||||||||||||||||
| 1i. | Election of Director: Lawrence W. Kellner | Management | For | For | |||||||||||||||||||||||||||
| 1j. | Election of Director: Steven M. Mollenkopf | Management | For | For | |||||||||||||||||||||||||||
| 1k. | Election of Director: John M. Richardson | Management | For | For | |||||||||||||||||||||||||||
| 1l. | Election of Director: Sabrina Soussan | Management | For | For | |||||||||||||||||||||||||||
| 1m. | Election of Director: Ronald A. Williams | Management | For | For | |||||||||||||||||||||||||||
| 2. | Approve, on an Advisory Basis, Named Executive Officer Compensation. | Management | For | For | |||||||||||||||||||||||||||
| 3. | Approve, on an Advisory Basis, the Frequency of Future Advisory Votes on Named Executive Officer Compensation. | Management | 3 Years | Against | |||||||||||||||||||||||||||
| 4. | Approve The Boeing Company 2023 Incentive Stock Plan. | Management | For | For | |||||||||||||||||||||||||||
| 5. | Ratify the Appointment of Deloitte & Touche LLP as Independent Auditor for 2023. | Management | For | For | |||||||||||||||||||||||||||
| 6. | China Report. | Shareholder | Against | For | |||||||||||||||||||||||||||
| 7. | Report on Lobbying Activities. | Shareholder | Against | For | |||||||||||||||||||||||||||
| 8. | Report on Climate Lobbying. | Shareholder | Against | For | |||||||||||||||||||||||||||
| 9. | Pay Equity 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 | 4,430 | 0 | 04-Mar-2023 | 04-Mar-2023 | ||||||||||||||||||||||||
| AIRBUS SE | |||||||||||||||||||||||||||||||
| Security | N0280G100 | Meeting Type | Annual General Meeting | ||||||||||||||||||||||||||||
| Ticker Symbol | Meeting Date | 19-Apr-2023 | |||||||||||||||||||||||||||||
| ISIN | NL0000235190 | Agenda | 716761514 - Management | ||||||||||||||||||||||||||||
| Record Date | 22-Mar-2023 | Holding Recon Date | 22-Mar-2023 | ||||||||||||||||||||||||||||
| City / | Country | AMSTER DAM | / | Netherlands | Vote Deadline Date | 03-Apr-2023 | |||||||||||||||||||||||||
| SEDOL(s) | 4012250 - 4012346 - 4057273 - B01DGJ8 - B16Q6Y4 - B87GTC1 - BDC50T2 - BF444K0 - BHZLF67 - BLDBRM7 | 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 | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 859228 DUE TO RECEIVED-UPDATED AGENDA. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE-DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK-YOU. | Non-Voting | |||||||||||||||||||||||||||||
| A | OPEN MEETING | Non-Voting | |||||||||||||||||||||||||||||
| B | DISCUSSION ON COMPANY'S CORPORATE GOVERNANCE STRUCTURE | Non-Voting | |||||||||||||||||||||||||||||
| C | RECEIVE REPORT ON BUSINESS AND FINANCIAL STATEMENTS | Non-Voting | |||||||||||||||||||||||||||||
| D | RECEIVE EXPLANATION ON COMPANY'S DIVIDEND POLICY | Non-Voting | |||||||||||||||||||||||||||||
| E | RECEIVE BOARD REPORT | Non-Voting | |||||||||||||||||||||||||||||
| F | DISCUSSION ON LEADING THE JOURNEY TOWARDS CLEAN AEROSPACE | Non-Voting | |||||||||||||||||||||||||||||
| G | DISCUSS POTENTIAL LONG-TERM STRATEGIC AND TECHNOLOGICAL PARTNERSHIP WITH-EVIDIAN AND ACQUISITION OF A MINORITY STAKE IN EVIDIAN | Non-Voting | |||||||||||||||||||||||||||||
| 1 | ADOPT FINANCIAL STATEMENTS | Management | For | For | |||||||||||||||||||||||||||
| 2 | APPROVE ALLOCATION OF INCOME | Management | For | For | |||||||||||||||||||||||||||
| 3 | APPROVE DISCHARGE OF NON-EXECUTIVE DIRECTORS | Management | For | For | |||||||||||||||||||||||||||
| 4 | APPROVE DISCHARGE OF EXECUTIVE DIRECTORS | Management | For | For | |||||||||||||||||||||||||||
| 5 | RATIFY ERNST & YOUNG ACCOUNTANTS LLP AS AUDITORS | Management | For | For | |||||||||||||||||||||||||||
| 6 | APPROVE IMPLEMENTATION OF REMUNERATION POLICY | Management | For | For | |||||||||||||||||||||||||||
| 7 | REELECT RALPH D. CROSBY, JR. AS NON- EXECUTIVE DIRECTOR | Management | For | For | |||||||||||||||||||||||||||
| 8 | REELECT MARK DUNKERLEY AS NON-EXECUTIVE DIRECTOR | Management | For | For | |||||||||||||||||||||||||||
| 9 | REELECT STEPHAN GEMKOW AS NON-EXECUTIVE DIRECTOR | Management | For | For | |||||||||||||||||||||||||||
| 10 | ELECT ANTONY WOOD AS NON-EXECUTIVE DIRECTOR | Management | For | For | |||||||||||||||||||||||||||
| 11 | GRANT BOARD AUTHORITY TO ISSUE SHARES AND EXCLUDE PREEMPTIVE RIGHTS FOR THE PURPOSE OF EMPLOYEE SHARE OWNERSHIP PLANS AND SHARE-RELATED LONG-TERM INCENTIVE PLANS | Management | For | For | |||||||||||||||||||||||||||
| 12 | GRANT BOARD AUTHORITY TO ISSUE SHARES AND EXCLUDE PREEMPTIVE RIGHTS FOR THE PURPOSE OF COMPANY FUNDING | Management | For | For | |||||||||||||||||||||||||||
| 13 | AUTHORIZE REPURCHASE OF UP TO 10 PERCENT OF ISSUED SHARE CAPITAL | Management | For | For | |||||||||||||||||||||||||||
| 14 | APPROVE CANCELLATION OF REPURCHASED SHARES | Management | For | For | |||||||||||||||||||||||||||
| H | CLOSE MEETING | 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 | |||||||||||||||||||||||||||||
| CMMT | 10 MAR 2023: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN NUMBERING-OF ALL RESOLUTIONS. IF YOU HAVE ALREADY SENT IN YOUR VOTES TO MID 869634,-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 | 8,558 | 0 | 10-Mar-2023 | 10-Mar-2023 | |||||||||||||||||||||||||
- 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/ Lainey Ejiasa | ||
| Lainey Ejiasa | |||
| President | |||
| Date: | April 27, 2023 | ||
- 3 -
