UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number: 811-23473
Esoterica Thematic Trust
(Exact name of registrant as specified in charter)
135 W. 52nd Street Suite 16C
New York, New York 10019
(Address of principal executive offices) (Zip code)
The Corporation Trust Company
1209 Orange Street
Wilmington, Delaware 19801
(Name and address of agent for service)
Registrant’s telephone number, including area code: (860) 543-3942
Date of fiscal year end: October 31
Date of reporting period: July 1, 2019 to June 30, 2020
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (Sections 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant’s proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. Section 3507.
ITEM 1. PROXY VOTING RECORD:
The Registrant did not vote any proxies during the reporting period.
Esoterica Thematic Trust
Esoterica NextG Economy ETF
July 1, 2019 to June 30, 2020
| Issuer of security | Ticker | Meeting date | CUSIP | Item | Matter voted on | Issuer or Shareholder Proposal | Did Registrant Vote on Behalf of Fund | Fund Vote (FOR, AGAINST, ABSTAIN, or WITHHOLD) | Did Registrant Cast its Vote For or Against Management Recommendation |
| Facebook, Inc. | FB | 5/27/2020 | 30303M102 | 1.01 | Directors: Peggy Alford | Issuer | No | No Vote | No Vote |
| 1.02 | Directors: Marc L. Andreessen | Issuer | No | No Vote | No Vote | ||||
| 1.03 | Directors: Andrew W. Houston | Issuer | No | No Vote | No Vote | ||||
| 1.04 | Directors: Nancy Killefer | Issuer | No | No Vote | No Vote | ||||
| 1.05 | Directors: Robert M. Kimmit | Issuer | No | No Vote | No Vote | ||||
| 1.06 | Directors: Sheryl K. Sandberg | Issuer | No | No Vote | No Vote | ||||
| 1.07 | Directors: Peter A. Thiel | Issuer | No | No Vote | No Vote | ||||
| 1.08 | Directors: Tracey T. Travis | Issuer | No | No Vote | No Vote | ||||
| 1.09 | Directors: Mark Zuckerberg | Issuer | No | No Vote | No Vote | ||||
| 2 | To ratify the appointment of Ernst & Young LLP as Facebook, Inc.'s independent registered public accounting firm for the fiscal year ending December 31 ,2020. | Issuer | No | No Vote | No Vote | ||||
| 3 | To approve director compensation policy | Issuer | No | No Vote | No Vote | ||||
| 4 | A stockholder proposal regarding change in stockholder voting | Shareholder | No | No Vote | No Vote | ||||
| 5 | A stockholder proposal regarding an independent chair | Shareholder | No | No Vote | No Vote | ||||
| 6 | A stockholder proposal regarding majority voting for directors | Shareholder | No | No Vote | No Vote | ||||
| 7 | A stockholder proposal regarding political advertising | Shareholder | No | No Vote | No Vote | ||||
| 8 | A stockholder proposal regarding human/civil rights expert on board | Shareholder | No | No Vote | No Vote | ||||
| 9 | A stockholder proposal regarding report on civil and human rights risks | Shareholder | No | No Vote | No Vote | ||||
| 10 | A stockholder proposal regarding child exploitation | Shareholder | No | No Vote | No Vote | ||||
| 11 | A stockholder proposal regarding median gender/racial pay gap | Shareholder | No | No Vote | No Vote | ||||
| NXP Semiconductors NV. | NXPI | 5/27/2020 | N6596X109 | 1 | Adoption of 2019 Statutory Annual Accounts | Issuer | No | No Vote | No Vote |
| 2 | Discharge of the members of the Board for their responsiblities in the fiscal year ended December 31, 2019 | Issuer | No | No Vote | No Vote | ||||
| 3A | Appoint Kurt Sievers as executive director | Issuer | No | No Vote | No Vote | ||||
| 3B | Re-appoint Sir Peter Bonfield as non-executive director | Issuer | No | No Vote | No Vote | ||||
| 3C | Re-appoint Kenneth A. Goldman as non-executive director | Issuer | No | No Vote | No Vote | ||||
| 3D | Re-appoint Josef Kaeser as non-executive director | Issuer | No | No Vote | No Vote | ||||
| 3E | Re-appoint Lena Olving as non-executive director | Issuer | No | No Vote | No Vote | ||||
| 3F | Re-appoint Peter Smitham as non-executive director | Issuer | No | No Vote | No Vote | ||||
| 3G | Re-appoint Julie Southern as non-executive director | Issuer | No | No Vote | No Vote | ||||
| 3H | Re-appoint Jasmin Staiblin as non-executive director | Issuer | No | No Vote | No Vote | ||||
| 3I | Re-appoint Gregory Summe as non-executive director | Issuer | No | No Vote | No Vote | ||||
| 3J | Re-appoint Karl-Henrik Sundström as non-executive director | Issuer | No | No Vote | No Vote | ||||
| 4 | Authorization of the Board to issue ordinary shares of the Company and grant rights to acquire ordinary shares | Issuer | No | No Vote | No Vote | ||||
| 5 | Authorization of the Board to restrict or exclude pre-emption rights accruing in connection with an issue of shares or grant of rights | Issuer | No | No Vote | No Vote | ||||
| 6 | Authorization of the Board to repurchase ordinary shares | Issuer | No | No Vote | No Vote | ||||
| 7 | Authorization of the Board to cancel ordinary shares held or to be acquired by the Company | Issuer | No | No Vote | No Vote | ||||
| 8 | Appointment of Ernst & Young Accountants LLP as independent auditors for a three-year period, starting with the fiscal year ending December 31, 2020 | Issuer | No | No Vote | No Vote | ||||
| 9 | Determination of the remuneration of the members and Chairs of the Audit Committee, the Compensation Committee, and the Nominating and Governance Committee of the Board | Issuer | No | No Vote | No Vote | ||||
| 10 | Amendment of the Company's Articles of Association | Issuer | No | No Vote | No Vote | ||||
| 11 | Non-binding, advisory vote to approve Named Executive Officer compensation | Issuer | No | No Vote | No Vote | ||||
| 12 | To recommend, by non-binding vote, the frequency of executive compensation votes | Issuer | No | No Vote | No Vote | ||||
| NXP Semiconductors NV. | NXPI | 5/27/2020 | N6596X109 | 1 | Adoption of 2019 Statutory Annual Accounts | Issuer | No | No Vote | No Vote |
| 2 | Discharge of the memebers of the Board for their responsiblities in the fiscal year ended December 2019 | Issuer | No | No Vote | No Vote | ||||
| 3A | Appoint Kurt Sievers as executive director | Issuer | No | No Vote | No Vote | ||||
| 3B | Re-appoint Sir Peter Bonfield as non-executive director | Issuer | No | No Vote | No Vote | ||||
| 3C | Re-appoint Kenneth A. Goldman as non-executive director | Issuer | No | No Vote | No Vote | ||||
| 3D | Re-appoint Josef Kaeser as non-executive director | Issuer | No | No Vote | No Vote | ||||
| 3E | Re-appoint Lena Olving as non-executive director | Issuer | No | No Vote | No Vote | ||||
| 3F | Re-appoint Peter Smitham as non-executive director | Issuer | No | No Vote | No Vote | ||||
| 3G | Re-appoint Julie Southern as non-executive director | Issuer | No | No Vote | No Vote | ||||
| 3H | Re-appoint Jasmin Staiblin as non-executive director | Issuer | No | No Vote | No Vote | ||||
| 3I | Re-appoint Gregory Summe as non-executive director | Issuer | No | No Vote | No Vote | ||||
| 3J | Re-appoint Karl-Henrik Sundström as non-executive director | Issuer | No | No Vote | No Vote | ||||
| 4 | Authorization of the Board to issue ordinary shares of the Company and grant rights to acquire ordinary shares | Issuer | No | No Vote | No Vote | ||||
| 5 | Authorization of the Board to restrict or exclude pre-emption rights accruing in connection with an issue of shares or grant of rights | Issuer | No | No Vote | No Vote | ||||
| 6 | Authorization of the Board to repurchase ordinary shares | Issuer | No | No Vote | No Vote | ||||
| 7 | Authorization of the Board to cancel ordinary shares held or to be acquired by the Company | Issuer | No | No Vote | No Vote | ||||
| 8 | Appointment of Ernst & Young Accountants LLP as independent auditors for a three-year period, starting with the fiscal year ending December 31, 2020 | Issuer | No | No Vote | No Vote | ||||
| 9 | Determination of the remuneration of the members and Chairs of the Audit Committee, the Compensation Committee, and the Nominating and Governance Committee of the Board | Issuer | No | No Vote | No Vote | ||||
| 10 | Amendment of the Company's Articles of Association | Issuer | No | No Vote | No Vote | ||||
| 11 | Non-binding, advisory vote to approve Named Executive Officer compensation | Issuer | No | No Vote | No Vote | ||||
| 12 | To recommend, by non-binding vote, the frequency of executive compensation votes | Issuer | No | No Vote | No Vote | ||||
| Amazon.com, Inc. | AMZ | 5/27/2020 | 023135106 | 1A | Election of director: Jeffrey P. Bezos | Issuer | No | No Vote | No Vote |
| 1B | Election of director: Rosalind G. Brewer | Issuer | No | No Vote | No Vote | ||||
| 1C | Election of director: Jamie S. Gorelick | Issuer | No | No Vote | No Vote | ||||
| 1D | Election of director: Daniel P. Huttenlocher | Issuer | No | No Vote | No Vote | ||||
| 1E | Election of director: Judith A. McGrath | Issuer | No | No Vote | No Vote | ||||
| 1F | Election of director: Indra K. Nooyi | Issuer | No | No Vote | No Vote | ||||
| 1G | Election of director: Jonathan J. Rubinstein | Issuer | No | No Vote | No Vote | ||||
| 1H | Election of director: Thomas O. Ryder | Issuer | No | No Vote | No Vote | ||||
| 1I | Election of director: Patricia Q. Stonesifer | Issuer | No | No Vote | No Vote | ||||
| 1J | Election of director: Wendell P. Weeks | Issuer | No | No Vote | No Vote | ||||
| 2 | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS | Issuer | No | No Vote | No Vote | ||||
| 3 | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION | Issuer | No | No Vote | No Vote | ||||
| 4 | APPROVAL OF AMENDMENT TO RESTATED CERTIFICATE OF INCORPORATION TO LOWER STOCK OWNERSHIP THRESHOLD FOR SHAREHOLDERS TO REQUEST A SPECIAL MEETING | Issuer | No | No Vote | No Vote | ||||
| 5 | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON EFFECTS OF FOOD WASTE | Shareholder | No | No Vote | No Vote | ||||
| 6 | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CUSTOMER USE OF CERTAIN TECHNOLOGIES | Shareholder | No | No Vote | No Vote | ||||
| 7 | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON POTENTIAL CUSTOMER MISUSE OF CERTAIN TECHNOLOGIES | Shareholder | No | No Vote | No Vote | ||||
| 8 | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON EFFORTS TO RESTRICT CERTAIN PRODUCTS | Shareholder | No | No Vote | No Vote | ||||
| 9 | SHAREHOLDER PROPOSAL REQUESTING A MANDATORY INDEPENDENT BOARD CHAIR POLICY | Shareholder | No | No Vote | No Vote | ||||
| 10 | SHAREHOLDER PROPOSAL REQUESTING AN ALTERNATIVE REPORT ON GENDER/RACIAL PAY | Shareholder | No | No Vote | No Vote | ||||
| 11 | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CERTAIN COMMUNITY IMPACTS | Shareholder | No | No Vote | No Vote | ||||
| 12 | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON VIEWPOINT DISCRIMINATION | Shareholder | No | No Vote | No Vote | ||||
| 13 | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON PROMOTION DATA | Shareholder | No | No Vote | No Vote | ||||
| 14 | SHAREHOLDER PROPOSAL REQUESTING AN ADDITIONAL REDUCTION IN THRESHOLD FOR CALLING SPECIAL SHAREHOLDER MEETINGS | Shareholder | No | No Vote | No Vote | ||||
| 15 | SHAREHOLDER PROPOSAL REQUESTING A SPECIFIC SUPPLY CHAIN REPORT FORMAT | Shareholder | No | No Vote | No Vote | ||||
| 16 | SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL REPORTING ON LOBBYING | Shareholder | No | No Vote | No Vote | ||||
| Netflix, Inc. | NFLX | 6/4/2020 | 64110L106 | 1A | Election of Class III Director: Reed Hastings | Issuer | No | No Vote | No Vote |
| 1B | Election of Class III Director: Jay C. Hoag | Issuer | No | No Vote | No Vote | ||||
| 1C | Election of Class III Director: Mathias Döpfner | Issuer | No | No Vote | No Vote | ||||
| 2 | To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the year ending December 31, 2020. | Issuer | No | No Vote | No Vote | ||||
| 3 | Advisory approval of the Company's executive officer compensation. | Issuer | No | No Vote | No Vote | ||||
| 4 | Approval of the Netflix, Inc. 2020 Stock Plan. | Issuer | No | No Vote | No Vote | ||||
| 5 | Stockholder proposal regarding political disclosures, if properly presented at the meeting. | Shareholder | No | No Vote | No Vote | ||||
| 6 | Stockholder proposal for simple majority vote, if properly presented at the meeting. | Shareholder | No | No Vote | No Vote | ||||
| 7 | Stockholder proposal for EEO policy risk report, if properly presented at the meeting. | Shareholder | No | No Vote | No Vote | ||||
| NVIDIA Corporation | NVDA | 6/9/2020 | 67066G104 | 1A | Election of Director: Robert K. Burgess | Issuer | No | No Vote | No Vote |
| 1B | Election of Director: Tench Coxe | Issuer | No | No Vote | No Vote | ||||
| 1C | Election of Director: Persis S. Drell | Issuer | No | No Vote | No Vote | ||||
| 1D | Election of Director: Jen-Hsun Huang | Issuer | No | No Vote | No Vote | ||||
| 1E | Election of Director: Dawn Hudson | Issuer | No | No Vote | No Vote | ||||
| 1F | Election of Director: Harvey C. Jones | Issuer | No | No Vote | No Vote | ||||
| 1G | Election of Director: Michael G. McCaffery | Issuer | No | No Vote | No Vote | ||||
| 1H | Election of Director: Stephen C. Neal | Issuer | No | No Vote | No Vote | ||||
| 1L | Election of Director: Mark L. Perry | Issuer | No | No Vote | No Vote | ||||
| 1J | Election of Director: A. Brooke Seawell | Issuer | No | No Vote | No Vote | ||||
| 1K | Election of Director: Mark A. Stevens | Issuer | No | No Vote | No Vote | ||||
| 2 | Approval of our executive compensation. | Issuer | No | No Vote | No Vote | ||||
| 3 | Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2021. | Issuer | No | No Vote | No Vote | ||||
| 4 | Approval of an amendment and restatement of our Amended and Restated 2007 Equity Incentive Plan. | Issuer | No | No Vote | No Vote | ||||
| 5 | Approval of an amendment and restatement of our Amended and Restated 2012 Employee Stock Purchase Plan. | Issuer | No | No Vote | No Vote | ||||
| Datadog | DDOG | 6/11/2020 | 23804L103 | 1A | Election of Class I director to hold office until our Annual Meeting of Stockholders in 2023: Olivier Pomel | Issuer | No | No Vote | No Vote |
| 1B | Election of Class I director to hold office until our Annual Meeting of Stockholders in 2023: Dev Ittycheria | Issuer | No | No Vote | No Vote | ||||
| 1C | Election of Class I director to hold office until our Annual Meeting of Stockholders in 2023: Shardul Shah | Issuer | No | No Vote | No Vote | ||||
| 2 | To ratify the selection by the Audit Committee of our Board of Directors of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020. | Issuer | No | No Vote | No Vote | ||||
| Splunk Inc. | SPLK | 6/11/2020 | 848637104 | 1A | Election of Class II Director: John Connors | Issuer | No | No Vote | No Vote |
| 1B | Election of Class II Director: Patricia Morrison | Issuer | No | No Vote | No Vote | ||||
| 1C | Election of Class II Director: Stephen Newberry | Issuer | No | No Vote | No Vote | ||||
| 2 | To ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending January 31, 2021. | Issuer | No | No Vote | No Vote | ||||
| 3 | To approve, on an advisory basis, the compensation of our named executive officers, as described in the proxy statement. | Issuer | No | No Vote | No Vote | ||||
| Salesforce.com Inc. | CRM | 6/11/2020 | 79466L302 | 1A | Election of Director: Marc Benioff | Issuer | No | No Vote | No Vote |
| 1B | Election of Director: Craig Conway | Issuer | No | No Vote | No Vote | ||||
| 1C | Election of Director: Parker Harris | Issuer | No | No Vote | No Vote | ||||
| 1D | Election of Director: Alan Hassenfeld | Issuer | No | No Vote | No Vote | ||||
| 1E | Election of Director: Neelie Kroes | Issuer | No | No Vote | No Vote | ||||
| 1F | Election of Director: Colin Powell | Issuer | No | No Vote | No Vote | ||||
| 1G | Election of Director: Sanford Robertson | Issuer | No | No Vote | No Vote | ||||
| 1H | Election of Director: John V. Roos | Issuer | No | No Vote | No Vote | ||||
| 1I | Election of Director: Robin Washington | Issuer | No | No Vote | No Vote | ||||
| 1J | Election of Director: Maynard Webb | Issuer | No | No Vote | No Vote | ||||
| 1K | Election of Director: Susan Wojcicki | Issuer | No | No Vote | No Vote | ||||
| 2 | Amendment and restatement of our 2013 Equity Incentive Plan | Issuer | No | No Vote | No Vote | ||||
| 3 | Amendment and restatement of our 2004 Employee Stock Purchase Plan. | Issuer | No | No Vote | No Vote | ||||
| 4 | Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending January 31, 2021. | Issuer | No | No Vote | No Vote | ||||
| 5 | An advisory vote to approve the fiscal 2020 compensation of our named executive officers. | Issuer | No | No Vote | No Vote | ||||
| 6 | A stockholder proposal requesting the ability of stockholders to act by written consent, if properly presented at the meeting. | Shareholder | No | No Vote | No Vote | ||||
| ServiceNow Inc. | NOW | 6/17/2020 | 81762P102 | 1A | Election of Director: William R. McDermott | Issuer | No | No Vote | No Vote |
| 1B | Election of Director: Anita M. Sands | Issuer | No | No Vote | No Vote | ||||
| 1C | Election of Director: Dennis M. Woodside | Issuer | No | No Vote | No Vote | ||||
| 2 | To approve, on an advisory basis, the compensation of our Named Executive Officers ("Say-on-Pay"). | Issuer | No | No Vote | No Vote | ||||
| 3 | Ratification of PricewaterhouseCoopers LLP as the independent registered public accounting firm for 2020 | Issuer | No | No Vote | No Vote | ||||
| 4 | To approve an amendment to our Restated Certificate of Incorporation to declassify our Board of Directors. | Issuer | No | No Vote | No Vote | ||||
| 5 | To hold an advisory vote on the frequency of future advisory votes on executive compensation. | Issuer | No | No Vote | No Vote | ||||
| Zoom Video Communications Inc. | ZM | 6/18/2020 | 98980L101 | 1.01 | Directors: Peter Gassner | Issuer | No | No Vote | No Vote |
| 1.02 | Directors: Eric S. Yuan | Issuer | No | No Vote | No Vote | ||||
| 1.03 | Directors: Lt. Gen. H.R. McMaster | Issuer | No | No Vote | No Vote | ||||
| 2 | Ratify the appointment of KPMG LLP as our independent registered public accounting firm for our fiscal year ending January 31, 2021. | Issuer | No | No Vote | No Vote | ||||
| Slack Technologies, Inc. | WORK | 6/19/2020 | 83088V102 | 1.01 | Directors: Stewart Butterfield | Issuer | No | No Vote | No Vote |
| 1.02 | Directors: John O'Farrell | ||||||||
| 2 | A proposal to ratify the appointment of KPMG LLP as our independent registered public accounting firm for the fiscal year ending January 31, 2021. | Issuer | No | No Vote | No Vote | ||||
| MONGODB, Inc. | MDB | 7/10/2020 | 60937P106 | 1.01 | Directors: Archana Agrawal | Issuer | No | No Vote | No Vote |
| 1.02 | Directors: Hope Cochran | Issuer | No | No Vote | No Vote | ||||
| 1.03 | Directors: Dwight Merriman | Issuer | No | No Vote | No Vote | ||||
| 2 | Approval, on a non-binding advisory basis, of the compensation of our named executive officers. | Issuer | No | No Vote | No Vote | ||||
| 3 | Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending January 31, 2021. | Issuer | No | No Vote | No Vote | ||||
| Marvell Technology Group LTD. | MRVL | 7/23/2020 | G5876H105 | 1A | Election of Director: Tudor Brown | Issuer | No | No Vote | No Vote |
| 1B | Election of Director: Brad Buss | Issuer | No | No Vote | No Vote | ||||
| 1C | Election of Director: Edward Frank | Issuer | No | No Vote | No Vote | ||||
| 1D | Election of Director: Richard S. Hill | Issuer | No | No Vote | No Vote | ||||
| 1E | Election of Director: Bethany Mayer | Issuer | No | No Vote | No Vote | ||||
| 1F | Election of Director: Matthew J. Murphy | Issuer | No | No Vote | No Vote | ||||
| 1G | Election of Director: Michael Strachan | Issuer | No | No Vote | No Vote | ||||
| 1H | Election of Director: Robert E. Switz | Issuer | No | No Vote | No Vote | ||||
| 2 | An advisory (non-binding) vote to approve compensation of our named executive officers. | Issuer | No | No Vote | No Vote | ||||
| 3 | The appointment of Deloitte & Touche LLP as our auditors and independent registered public accounting firm, and authorization of the audit committee, acting on behalf of our board of directors, to fix the remuneration of the firm for the fiscal year ending January 30, 2021. | Issuer | No | No Vote | No Vote | ||||
| Qorvo Inc. | QRVO | 8/4/2020 | 74736K101 | 1.01 | Directors: Ralph G. Quinsey | Issuer | No | No Vote | No Vote |
| 1.02 | Directors: Robert A. Bruggeworth | Issuer | No | No Vote | No Vote | ||||
| 1.03 | Directors: Jeffery R. Gardner | Issuer | No | No Vote | No Vote | ||||
| 1.04 | Directors: John R. Harding | Issuer | No | No Vote | No Vote | ||||
| 1.05 | Directors: David H. Y. Ho | Issuer | No | No Vote | No Vote | ||||
| 1.06 | Directors: Roderick D. Nelson | Issuer | No | No Vote | No Vote | ||||
| 1.07 | Directors: Dr. Walden C. Rhines | Issuer | No | No Vote | No Vote | ||||
| 1.08 | Directors: Susan L. Spradley | Issuer | No | No Vote | No Vote | ||||
| 1.09 | Directors: Walter H. Wilkinson Jr. | Issuer | No | No Vote | No Vote | ||||
| 2 | To approve, on an advisory basis, the compensation of our Named Executive Officers (as defined in the proxy statement). | Issuer | No | No Vote | No Vote | ||||
| 3 | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending April 3, 2021. | Issuer | No | No Vote | No Vote | ||||
| XILINX, Inc. | XLNX | 8/5/2020 | 983919101 | 1.1 | Election of Director: Dennis Segers | Issuer | No | No Vote | No Vote |
| 1.2 | Election of Director: Raman K. Chitkara | Issuer | No | No Vote | No Vote | ||||
| 1.3 | Election of Director: Saar Gillai | Issuer | No | No Vote | No Vote | ||||
| 1.4 | Election of Director: Ronald S. Jankov | Issuer | No | No Vote | No Vote | ||||
| 1.5 | Election of Director: Mary Louise Krakauer | Issuer | No | No Vote | No Vote | ||||
| 1.6 | Election of Director: Thomas H. Lee | Issuer | No | No Vote | No Vote | ||||
| 1.7 | Election of Director: Jon A. Olson | Issuer | No | No Vote | No Vote | ||||
| 1.8 | Election of Director: Victor Peng | Issuer | No | No Vote | No Vote | ||||
| 1.9 | Election of Director: Elizabeth W. Vanderslice | Issuer | No | No Vote | No Vote | ||||
| 2 | Proposal to approve, on an advisory basis, the compensation of the Company's named executive officers. | Issuer | No | No Vote | No Vote | ||||
| 3 | Proposal to ratify the appointment of Ernst & Young LLP as the Company's independent registered accounting firm for fiscal 2021. | Issuer | No | No Vote | No Vote | ||||
| Facebook Inc. | FB | 12/22/2020 | 30303M102 | 1 | Non-voting Agenda | Issuer | No | No Vote | No Vote |
SIGNATURES
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.
| Esoterica Thematic Trust | ||
| By: | /s/ Karan Trehan | |
| Karan Trehan | ||
| Principal Executive Officer | ||
| Date: | August 31, 2020 | |
