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 No. 811-22452
First Trust Series Fund
Exact Name of Registrant as Specified in Declaration of Trust
120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187
Address of Principal Executive Offices (Number, Street, City, State, Zip Code)
W. Scott Jardine
First Trust Portfolios L.P.
120 East Liberty Drive, Suite 400
Wheaton, Illinois 60187
Name and Address (Number, Street, City, State, Zip Code) of Agent for Service
(630) 765-8000
Registrant's Telephone Number, including Area Code
Date of fiscal year end: October 31
Date of reporting period: July 1, 2019 - 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 (ss.ss. 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, 100 F Street, N.E., Washington D.C. 20549. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. Section 3507.
Item 1. Proxy Voting Record
================= First Trust Short Duration High Income Fund ==================
CUMULUS MEDIA INC.
Ticker: CMLS Security ID: 231082801
Meeting Date: APR 30, 2020 Meeting Type: Annual
Record Date: MAR 18, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Mary G. Berner For For Management
1.2 Elect Director David M. Baum For For Management
1.3 Elect Director Matthew C. Blank For For Management
1.4 Elect Director Thomas H. Castro For For Management
1.5 Elect Director Joan Hogan Gillman For For Management
1.6 Elect Director Andrew W. Hobson For For Management
1.7 Elect Director Brian G. Kushner For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
4 Approve Omnibus Stock Plan For Against Management
--------------------------------------------------------------------------------
VISTRA ENERGY CORP.
Ticker: VST Security ID: 92840M102
Meeting Date: APR 29, 2020 Meeting Type: Annual
Record Date: MAR 16, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Declassify the Board of Directors For For Management
2.1 Elect Director Hilary E. Ackermann For For Management
2.2 Elect Director Arcilia C. Acosta For For Management
2.3 Elect Director Gavin R. Baiera For For Management
2.4 Elect Director Paul M. Barbas For For Management
2.5 Elect Director Lisa Crutchfield For For Management
2.6 Elect Director Brian K. Ferraioli For For Management
2.7 Elect Director Scott B. Helm For For Management
2.8 Elect Director Jeff D. Hunter For For Management
2.9 Elect Director Curtis A. Morgan For For Management
2.10 Elect Director John R. (JR) Sult For For Management
3.1 Elect Director Gavin R. Baiera For For Management
3.2 Elect Director Scott B. Helm For For Management
3.3 Elect Director Curtis A. Morgan For For Management
3.4 Elect Director John R. (JR) Sult For For Management
4 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
5 Ratify Deloitte & Touche LLP as For For Management
Auditors
============== First Trust Preferred Securities and Income Fund ==============
MB FINANCIAL, INC.
--------------------------------------------------------------------------------
Ticker MBFPP
Primary CUSIP 55264U405
Meeting Date 7/18/2019
--------------------------------------------------------------------------------
DID THE FUND HOW THE VOTE FOR OR
PROPONENT PROPOSAL TEXT CAST ITS VOTE FUND VOTED AGAINST MANAGEMENT
Issuer Amend the Company's charter in substantially the form attached Yes For For
as Appendix A to the Notice of Special Meeting to (a) clarify
that stockholders shall not be entitled to exercise any rights
of an objecting stockholder provided under the Maryland
General Corporation Law and (b) remove Article 9 of the
Company's charter relating to the approval of certain business
combinations with an interested stockholder. PLEASE SELECT FOR
TO GIVE YOUR CONSENT. PLEASE SELECT AGAINST IF YOU DO NOT
CONSENT. ONLY VALID VOTING OPTIONS ARE FOR AND AGAINST.
MB FINANCIAL, INC.
--------------------------------------------------------------------------------
Ticker MBFPP
Primary CUSIP 55264U405
Meeting Date 8/23/2019
--------------------------------------------------------------------------------
DID THE FUND HOW THE VOTE FOR OR
PROPONENT PROPOSAL TEXT CAST ITS VOTE FUND VOTED AGAINST MANAGEMENT
Issuer Approve the merger of the Company with and into Fifth Third Yes For For
Bancorp ("Fifth Third"), with Fifth Third surviving the merger
================ First Trust/Confluence Small Cap Value Fund ================
| Vote Summary | |||||||||||||||||||||||||||||||||
| THERMON GROUP HOLDINGS, INC. | |||||||||||||||||||||||||||||||||
| Security | 88362T103 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | THR | Meeting Date | 25-Jul-2019 | ||||||||||||||||||||||||||||||
| ISIN | US88362T1034 | Agenda | 935051259 - Management | ||||||||||||||||||||||||||||||
| Record Date | 03-Jun-2019 | Holding Recon Date | 03-Jun-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Jul-2019 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||||
| 1 | Linda A. Dalgetty | For | For | ||||||||||||||||||||||||||||||
| 2 | Marcus J. George | For | For | ||||||||||||||||||||||||||||||
| 3 | Kevin J. McGinty | For | For | ||||||||||||||||||||||||||||||
| 4 | John T. Nesser, III | For | For | ||||||||||||||||||||||||||||||
| 5 | Michael W. Press | For | For | ||||||||||||||||||||||||||||||
| 6 | Charles A. Sorrentino | For | For | ||||||||||||||||||||||||||||||
| 7 | Bruce A. Thames | For | For | ||||||||||||||||||||||||||||||
| 2. | To ratify the appointment of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending March 31, 2020. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | To approve, on a non-binding advisory basis, the compensation of the Company's executive officers as described in the proxy statement. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 31,938 | 0 | 16-Jun-2019 | 26-Jul-2019 | ||||||||||||||||||||||||||
| RBC BEARINGS INCORPORATED | |||||||||||||||||||||||||||||||||
| Security | 75524B104 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | ROLL | Meeting Date | 11-Sep-2019 | ||||||||||||||||||||||||||||||
| ISIN | US75524B1044 | Agenda | 935066250 - Management | ||||||||||||||||||||||||||||||
| Record Date | 15-Jul-2019 | Holding Recon Date | 15-Jul-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 10-Sep-2019 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||||
| 1 | Edward D. Stewart | For | For | ||||||||||||||||||||||||||||||
| 2 | Daniel A. Bergeron | For | For | ||||||||||||||||||||||||||||||
| 3 | Michael H. Ambrose | For | For | ||||||||||||||||||||||||||||||
| 2. | To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year 2020. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | To consider a resolution regarding the stockholder advisory vote on named executive officer compensation. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 5,771 | 0 | 31-Jul-2019 | 31-Jul-2019 | ||||||||||||||||||||||||||
| PATTERSON COMPANIES, INC. | |||||||||||||||||||||||||||||||||
| Security | 703395103 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | PDCO | Meeting Date | 16-Sep-2019 | ||||||||||||||||||||||||||||||
| ISIN | US7033951036 | Agenda | 935065462 - Management | ||||||||||||||||||||||||||||||
| Record Date | 19-Jul-2019 | Holding Recon Date | 19-Jul-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 13-Sep-2019 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1a. | Election of Director: John D. Buck | Management | For | For | |||||||||||||||||||||||||||||
| 1b. | Election of Director: Alex N. Blanco | Management | For | For | |||||||||||||||||||||||||||||
| 1c. | Election of Director: Jody H. Feragen | Management | For | For | |||||||||||||||||||||||||||||
| 1d. | Election of Director: Robert C. Frenzel | Management | For | For | |||||||||||||||||||||||||||||
| 1e. | Election of Director: Francis J. Malecha | Management | For | For | |||||||||||||||||||||||||||||
| 1f. | Election of Director: Ellen A. Rudnick | Management | For | For | |||||||||||||||||||||||||||||
| 1g. | Election of Director: Neil A. Schrimsher | Management | For | For | |||||||||||||||||||||||||||||
| 1h. | Election of Director: Mark S. Walchirk | Management | For | For | |||||||||||||||||||||||||||||
| 2. | Approval of amendment to Amended and Restated Employee Stock Purchase Plan. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | Advisory approval of executive compensation. | Management | For | For | |||||||||||||||||||||||||||||
| 4. | To ratify the selection of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending April 25, 2020. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 29,055 | 0 | 03-Aug-2019 | 03-Aug-2019 | ||||||||||||||||||||||||||
| NATHAN'S FAMOUS, INC. | |||||||||||||||||||||||||||||||||
| Security | 632347100 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | NATH | Meeting Date | 18-Sep-2019 | ||||||||||||||||||||||||||||||
| ISIN | US6323471002 | Agenda | 935066503 - Management | ||||||||||||||||||||||||||||||
| Record Date | 23-Jul-2019 | Holding Recon Date | 23-Jul-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 17-Sep-2019 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||||
| 1 | Robert J. Eide | For | For | ||||||||||||||||||||||||||||||
| 2 | Eric Gatoff | For | For | ||||||||||||||||||||||||||||||
| 3 | Brian S. Genson | For | For | ||||||||||||||||||||||||||||||
| 4 | Barry Leistner | For | For | ||||||||||||||||||||||||||||||
| 5 | Howard M. Lorber | For | For | ||||||||||||||||||||||||||||||
| 6 | Wayne Norbitz | For | For | ||||||||||||||||||||||||||||||
| 7 | A.F. Petrocelli | For | For | ||||||||||||||||||||||||||||||
| 8 | Charles Raich | For | For | ||||||||||||||||||||||||||||||
| 2. | The adoption of the Nathan's Famous. Inc. 2019 Stock Incentive Plan. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | Ratification of the appointment of Marcum LLP as the independent registered public accounting firm of Nathan's Famous, Inc. for fiscal 2020. | Management | For | For | |||||||||||||||||||||||||||||
| 4. | A non-binding stockholder proposal to request that the Board of Directors initiate the appropriate processes to amend Nathan's Famous, Inc.'s certificate of incorporation and/or by-laws to require a majority vote in uncontested elections of directors of Nathan's Famous, Inc. | Shareholder | For | Against | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 4,559 | 0 | 01-Aug-2019 | 01-Aug-2019 | ||||||||||||||||||||||||||
| MONOTYPE IMAGING HOLDINGS INC. | |||||||||||||||||||||||||||||||||
| Security | 61022P100 | Meeting Type | Special | ||||||||||||||||||||||||||||||
| Ticker Symbol | TYPE | Meeting Date | 09-Oct-2019 | ||||||||||||||||||||||||||||||
| ISIN | US61022P1003 | Agenda | 935079815 - Management | ||||||||||||||||||||||||||||||
| Record Date | 23-Aug-2019 | Holding Recon Date | 23-Aug-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Oct-2019 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | To adopt the Agreement and Plan of Merger, dated as of July 25, 2019 (as it may be amended, supplemented or otherwise modified from time to time, the "merger agreement"), by and among Marvel Parent, LLC, a Delaware limited liability company ("Parent"), Marvel Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), and Monotype Imaging Holdings Inc., a Delaware corporation ("Monotype" or the "Company"), pursuant to which Merger Sub will be merged with and into the Company (the "merger") | Management | For | For | |||||||||||||||||||||||||||||
| 2. | To approve a nonbinding, advisory proposal to approve the compensation that may be paid or may become payable to the Company's named executive officers in connection with, or following, the consummation of the merger | Management | For | For | |||||||||||||||||||||||||||||
| 3. | To approve a proposal to adjourn the special meeting to a later date or time, if necessary or appropriate as determined by the Company, to solicit additional proxies if there are insufficient votes at the time of the special meeting or any adjournment or postponement thereof to approve the merger proposal | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 33,783 | 0 | 04-Oct-2019 | 04-Oct-2019 | ||||||||||||||||||||||||||
| RESOURCES CONNECTION, INC. | |||||||||||||||||||||||||||||||||
| Security | 76122Q105 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | RECN | Meeting Date | 15-Oct-2019 | ||||||||||||||||||||||||||||||
| ISIN | US76122Q1058 | Agenda | 935079536 - Management | ||||||||||||||||||||||||||||||
| Record Date | 23-Aug-2019 | Holding Recon Date | 23-Aug-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 14-Oct-2019 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1A. | Election of Director for a three-year term: Anthony C. Cherbak | Management | For | For | |||||||||||||||||||||||||||||
| 1B. | Election of Director for a three-year term: Neil F. Dimick | Management | For | For | |||||||||||||||||||||||||||||
| 1C. | Election of Director for a three-year term: Kate W. Duchene | Management | For | For | |||||||||||||||||||||||||||||
| 2. | Approval of the 2019 Employee Stock Purchase Plan. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | Ratification of the appointment of RSM US LLP as the Company's independent registered public accounting firm for fiscal year 2020. | Management | For | For | |||||||||||||||||||||||||||||
| 4. | Advisory approval of the Company's executive compensation. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 49,104 | 0 | 15-Sep-2019 | 15-Sep-2019 | ||||||||||||||||||||||||||
| CAMBREX CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 132011107 | Meeting Type | Special | ||||||||||||||||||||||||||||||
| Ticker Symbol | CBM | Meeting Date | 23-Oct-2019 | ||||||||||||||||||||||||||||||
| ISIN | US1320111073 | Agenda | 935085490 - Management | ||||||||||||||||||||||||||||||
| Record Date | 19-Sep-2019 | Holding Recon Date | 19-Sep-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 22-Oct-2019 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | To adopt the Agreement and Plan of Merger, dated as of August 7, 2019 (the "Merger Agreement"), by and among Catalog Intermediate Inc., Catalog Merger Sub Inc. and the Company. | Management | For | For | |||||||||||||||||||||||||||||
| 2. | To approve, on an advisory (non-binding) basis, the compensation that may be paid or become payable to the Companys named executive officers that is based on or otherwise relates to the Merger Agreement and the transactions contemplated by the Merger Agreement. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | To adjourn the Special Meeting to a later date or dates, if necessary or appropriate and permitted under the Merger Agreement, to solicit additional proxies if there are insufficient votes to adopt the Merger Agreement at the time of the Special Meeting. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 9,119 | 0 | 21-Oct-2019 | 21-Oct-2019 | ||||||||||||||||||||||||||
| PHIBRO ANIMAL HEALTH CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 71742Q106 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | PAHC | Meeting Date | 04-Nov-2019 | ||||||||||||||||||||||||||||||
| ISIN | US71742Q1067 | Agenda | 935082002 - Management | ||||||||||||||||||||||||||||||
| Record Date | 05-Sep-2019 | Holding Recon Date | 05-Sep-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 01-Nov-2019 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||||
| 1 | Jack C. Bendheim | For | For | ||||||||||||||||||||||||||||||
| 2 | E. Thomas Corcoran | For | For | ||||||||||||||||||||||||||||||
| 3 | Dr. George Gunn | For | For | ||||||||||||||||||||||||||||||
| 2. | Approval, on an advisory basis, of the compensation paid to the named executive officers, as disclosed in the proxy statement. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | Advisory vote on the frequency of future advisory votes on the compensation of the named executive officers. | Management | 1 Year | Against | |||||||||||||||||||||||||||||
| 4. | Ratification of the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending June 30, 2020. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 27,945 | 0 | 22-Sep-2019 | 22-Sep-2019 | ||||||||||||||||||||||||||
| INNOPHOS HOLDINGS, INC. | |||||||||||||||||||||||||||||||||
| Security | 45774N108 | Meeting Type | Special | ||||||||||||||||||||||||||||||
| Ticker Symbol | IPHS | Meeting Date | 15-Jan-2020 | ||||||||||||||||||||||||||||||
| ISIN | US45774N1081 | Agenda | 935114607 - Management | ||||||||||||||||||||||||||||||
| Record Date | 25-Nov-2019 | Holding Recon Date | 25-Nov-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 14-Jan-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | To adopt the Agreement and Plan of Merger, dated as of October 20, 2019 (as it may be amended, supplemented or otherwise modified from time to time, the "merger agreement"), by and among Iris Parent LLC, a Delaware limited liability company, Iris Merger Sub 2019, Inc., a Delaware corporation and wholly owned subsidiary of Parent, and Innophos Holdings, Inc., a Delaware corporation (the "Company"). | Management | For | For | |||||||||||||||||||||||||||||
| 2. | To approve, on a nonbinding, advisory basis, the compensation that may be paid or may become payable to the Company's named executive officers in connection with, or following, the consummation of the transactions contemplated by the merger agreement. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | To approve the adjournment of the special meeting to a later date or time, if necessary or appropriate as determined by the Company, to solicit additional proxies if there are insufficient votes at the time of the special meeting or any adjournment or postponement thereof to approve the adoption of the merger agreement. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 24,440 | 0 | 11-Jan-2020 | 11-Jan-2020 | ||||||||||||||||||||||||||
| MTS SYSTEMS CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 553777103 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | MTSC | Meeting Date | 11-Feb-2020 | ||||||||||||||||||||||||||||||
| ISIN | US5537771033 | Agenda | 935117817 - Management | ||||||||||||||||||||||||||||||
| Record Date | 16-Dec-2019 | Holding Recon Date | 16-Dec-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 10-Feb-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||||
| 1 | David J. Anderson | For | For | ||||||||||||||||||||||||||||||
| 2 | Jeffrey A. Graves | For | For | ||||||||||||||||||||||||||||||
| 3 | Nancy Altobello | For | For | ||||||||||||||||||||||||||||||
| 4 | David D. Johnson | For | For | ||||||||||||||||||||||||||||||
| 5 | Randy J. Martinez | For | For | ||||||||||||||||||||||||||||||
| 6 | Michael V. Schrock | For | For | ||||||||||||||||||||||||||||||
| 7 | Chun Hung (Kenneth) Yu | For | For | ||||||||||||||||||||||||||||||
| 8 | Linda Zukauckas | For | For | ||||||||||||||||||||||||||||||
| 2. | To ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending October 3, 2020. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | To approve a 500,000 share increase in the number of shares authorized under the Company's 2017 Stock Incentive Plan. | Management | For | For | |||||||||||||||||||||||||||||
| 4. | To approve, in a non-binding, advisory vote, the compensation of the Company's named executive officers. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 12,954 | 0 | 01-Jan-2020 | 01-Jan-2020 | ||||||||||||||||||||||||||
| VAREX IMAGING CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 92214X106 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | VREX | Meeting Date | 13-Feb-2020 | ||||||||||||||||||||||||||||||
| ISIN | US92214X1063 | Agenda | 935119354 - Management | ||||||||||||||||||||||||||||||
| Record Date | 18-Dec-2019 | Holding Recon Date | 18-Dec-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 12-Feb-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1A. | Election of Director: Jocelyn D. Chertoff M.D. | Management | For | For | |||||||||||||||||||||||||||||
| 1B. | Election of Director: Ruediger Naumann-Etienne | Management | For | For | |||||||||||||||||||||||||||||
| 1C. | Election of Director: Sunny S. Sanyal | Management | For | For | |||||||||||||||||||||||||||||
| 2. | To approve, on an advisory basis, our executive compensation as described in the accompanying Proxy Statement. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | To approve the Varex Imaging Corporation 2020 Omnibus Stock Plan. | Management | For | For | |||||||||||||||||||||||||||||
| 4. | To ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2020. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 20,941 | 0 | 03-Jan-2020 | 03-Jan-2020 | ||||||||||||||||||||||||||
| I3 VERTICALS, INC. | |||||||||||||||||||||||||||||||||
| Security | 46571Y107 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | IIIV | Meeting Date | 28-Feb-2020 | ||||||||||||||||||||||||||||||
| ISIN | US46571Y1073 | Agenda | 935126614 - Management | ||||||||||||||||||||||||||||||
| Record Date | 17-Jan-2020 | Holding Recon Date | 17-Jan-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 27-Feb-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||||
| 1 | Gregory Daily | For | For | ||||||||||||||||||||||||||||||
| 2 | Clay Whitson | For | For | ||||||||||||||||||||||||||||||
| 3 | Elizabeth S. Courtney | For | For | ||||||||||||||||||||||||||||||
| 4 | John Harrison | For | For | ||||||||||||||||||||||||||||||
| 5 | Burton Harvey | For | For | ||||||||||||||||||||||||||||||
| 6 | Timothy McKenna | For | For | ||||||||||||||||||||||||||||||
| 7 | David Morgan | For | For | ||||||||||||||||||||||||||||||
| 8 | David Wilds | For | For | ||||||||||||||||||||||||||||||
| 2. | To ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2020. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 35,780 | 0 | 30-Jan-2020 | 30-Jan-2020 | ||||||||||||||||||||||||||
| JAMES RIVER GROUP HOLDINGS, LTD. | |||||||||||||||||||||||||||||||||
| Security | G5005R107 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | JRVR | Meeting Date | 28-Apr-2020 | ||||||||||||||||||||||||||||||
| ISIN | BMG5005R1079 | Agenda | 935154980 - Management | ||||||||||||||||||||||||||||||
| Record Date | 13-Mar-2020 | Holding Recon Date | 13-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | Bermuda | Vote Deadline Date | 27-Apr-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||||
| 1 | J. Adam Abram | For | For | ||||||||||||||||||||||||||||||
| 2 | Robert P. Myron | For | For | ||||||||||||||||||||||||||||||
| 3 | Michael T. Oakes | For | For | ||||||||||||||||||||||||||||||
| 2. | To approve the re-appointment of Ernst & Young LLP, an independent registered public accounting firm, as our independent auditor to serve until the 2021 Annual General Meeting of Shareholders, and to authorize our Board of Directors, acting by the Audit Committee, to determine the independent auditor's remuneration. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | To approve, on a non-binding, advisory basis, the 2019 compensation of our named executive officers. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 21,319 | 0 | 04-Apr-2020 | 04-Apr-2020 | ||||||||||||||||||||||||||
| SJW GROUP | |||||||||||||||||||||||||||||||||
| Security | 784305104 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | SJW | Meeting Date | 29-Apr-2020 | ||||||||||||||||||||||||||||||
| ISIN | US7843051043 | Agenda | 935150261 - Management | ||||||||||||||||||||||||||||||
| Record Date | 04-Mar-2020 | Holding Recon Date | 04-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 28-Apr-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1A. | Election of Director: K. Armstrong | Management | For | For | |||||||||||||||||||||||||||||
| 1B. | Election of Director: W. J. Bishop | Management | For | For | |||||||||||||||||||||||||||||
| 1C. | Election of Director: M. Hanley | Management | For | For | |||||||||||||||||||||||||||||
| 1D. | Election of Director: H. Hunt | Management | For | For | |||||||||||||||||||||||||||||
| 1E. | Election of Director: G. P. Landis | Management | For | For | |||||||||||||||||||||||||||||
| 1F. | Election of Director: D. C. Man | Management | For | For | |||||||||||||||||||||||||||||
| 1G. | Election of Director: D. B. More | Management | For | For | |||||||||||||||||||||||||||||
| 1H. | Election of Director: E. W. Thornburg | Management | For | For | |||||||||||||||||||||||||||||
| 1I. | Election of Director: R. A. Van Valer | Management | For | For | |||||||||||||||||||||||||||||
| 1J. | Election of Director: C. P. Wallace | Management | For | For | |||||||||||||||||||||||||||||
| 2. | To approve, on an advisory basis, the compensation of the named executive officers as disclosed in the accompanying proxy statement. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | Ratify the appointment of KPMG LLP as the independent registered public accounting firm of the Company for fiscal year 2020. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 14,233 | 0 | 24-Mar-2020 | 24-Mar-2020 | ||||||||||||||||||||||||||
| AVANOS MEDICAL,INC. | |||||||||||||||||||||||||||||||||
| Security | 05350V106 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | AVNS | Meeting Date | 30-Apr-2020 | ||||||||||||||||||||||||||||||
| ISIN | US05350V1061 | Agenda | 935142872 - Management | ||||||||||||||||||||||||||||||
| Record Date | 02-Mar-2020 | Holding Recon Date | 02-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 29-Apr-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1A. | Election of Class I Director Serving until the Annual Meeting in 2023: Heidi Kunz | Management | For | For | |||||||||||||||||||||||||||||
| 1B. | Election of Class I Director Serving until the Annual Meeting in 2023: Joseph Woody | Management | For | For | |||||||||||||||||||||||||||||
| 2. | Ratification of the selection of Deloitte & Touche LLP as the independent registered public accounting firm to audit the Company's 2020 financial statements. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | Advisory vote to approve named executive officer compensation. | Management | For | For | |||||||||||||||||||||||||||||
| 4. | Approval of amendment to our Certificate of Incorporation to declassify our Board of Directors. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 28,617 | 0 | 20-Mar-2020 | 20-Mar-2020 | ||||||||||||||||||||||||||
| ALLIED MOTION TECHNOLOGIES INC. | |||||||||||||||||||||||||||||||||
| Security | 019330109 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | AMOT | Meeting Date | 06-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US0193301092 | Agenda | 935180480 - Management | ||||||||||||||||||||||||||||||
| Record Date | 11-Mar-2020 | Holding Recon Date | 11-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 05-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1A. | Election of Director: L.P. Duch | Management | For | For | |||||||||||||||||||||||||||||
| 1B. | Election of Director: R.B. Engel | Management | For | For | |||||||||||||||||||||||||||||
| 1C. | Election of Director: R.D. Federico | Management | For | For | |||||||||||||||||||||||||||||
| 1D. | Election of Director: G.J. Laber | Management | For | For | |||||||||||||||||||||||||||||
| 1E. | Election of Director: J.J. Tanous | Management | For | For | |||||||||||||||||||||||||||||
| 1F. | Election of Director: R.S. Warzala | Management | For | For | |||||||||||||||||||||||||||||
| 1G. | Election of Director: M.R. Winter | Management | For | For | |||||||||||||||||||||||||||||
| 2. | ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | RATIFICATION OF THE APPOINTMENT OF THE COMPANY'S INDEPENDENT PUBLIC ACCOUNTING FIRM FOR 2020. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 24,055 | 0 | 15-Apr-2020 | 15-Apr-2020 | ||||||||||||||||||||||||||
| BROWN & BROWN, INC. | |||||||||||||||||||||||||||||||||
| Security | 115236101 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | BRO | Meeting Date | 06-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US1152361010 | Agenda | 935154978 - Management | ||||||||||||||||||||||||||||||
| Record Date | 02-Mar-2020 | Holding Recon Date | 02-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 05-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||||
| 1 | J. Hyatt Brown | For | For | ||||||||||||||||||||||||||||||
| 2 | Samuel P. Bell, III | For | For | ||||||||||||||||||||||||||||||
| 3 | Hugh M. Brown | For | For | ||||||||||||||||||||||||||||||
| 4 | J. Powell Brown | For | For | ||||||||||||||||||||||||||||||
| 5 | Lawrence L. Gellerstedt | For | For | ||||||||||||||||||||||||||||||
| 6 | James C. Hays | For | For | ||||||||||||||||||||||||||||||
| 7 | Theodore J. Hoepner | For | For | ||||||||||||||||||||||||||||||
| 8 | James S. Hunt | For | For | ||||||||||||||||||||||||||||||
| 9 | Toni Jennings | For | For | ||||||||||||||||||||||||||||||
| 10 | Timothy R.M. Main | For | For | ||||||||||||||||||||||||||||||
| 11 | H. Palmer Proctor, Jr. | For | For | ||||||||||||||||||||||||||||||
| 12 | Wendell S. Reilly | For | For | ||||||||||||||||||||||||||||||
| 13 | Chilton D. Varner | For | For | ||||||||||||||||||||||||||||||
| 2. | To ratify the appointment of Deloitte & Touche LLP as Brown & Brown, Inc.'s independent registered public accountants for the fiscal year ending December 31, 2020. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | To approve, on an advisory basis, the compensation of named executive officers. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 19,690 | 0 | 03-Apr-2020 | 03-Apr-2020 | ||||||||||||||||||||||||||
| GLADSTONE COMMERCIAL CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 376536108 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | GOOD | Meeting Date | 07-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US3765361080 | Agenda | 935149117 - Management | ||||||||||||||||||||||||||||||
| Record Date | 11-Mar-2020 | Holding Recon Date | 11-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 06-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||||
| 1 | Michela A. English | For | For | ||||||||||||||||||||||||||||||
| 2 | Anthony W. Parker | For | For | ||||||||||||||||||||||||||||||
| 2. | To ratify our Audit Committee's selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending December 31, 2020. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 36,708 | 0 | 25-Mar-2020 | 25-Mar-2020 | ||||||||||||||||||||||||||
| BANK OF MARIN BANCORP | |||||||||||||||||||||||||||||||||
| Security | 063425102 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | BMRC | Meeting Date | 12-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US0634251021 | Agenda | 935180909 - Management | ||||||||||||||||||||||||||||||
| Record Date | 23-Mar-2020 | Holding Recon Date | 23-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||||
| 1 | Steven I. Barlow | For | For | ||||||||||||||||||||||||||||||
| 2 | Russell A. Colombo | For | For | ||||||||||||||||||||||||||||||
| 3 | James C. Hale | For | For | ||||||||||||||||||||||||||||||
| 4 | Robert Heller | For | For | ||||||||||||||||||||||||||||||
| 5 | Norma J. Howard | For | For | ||||||||||||||||||||||||||||||
| 6 | Kevin R. Kennedy | For | For | ||||||||||||||||||||||||||||||
| 7 | William H. McDevitt, Jr | For | For | ||||||||||||||||||||||||||||||
| 8 | Leslie E. Murphy | For | For | ||||||||||||||||||||||||||||||
| 9 | Joel Sklar, MD | For | For | ||||||||||||||||||||||||||||||
| 10 | Brian M. Sobel | For | For | ||||||||||||||||||||||||||||||
| 2. | TO APPROVE, BY NON-BINDING VOTE, EXECUTIVE COMPENSATION | Management | For | For | |||||||||||||||||||||||||||||
| 3. | TO APPROVE THE BANK OF MARIN BANCORP 2020 DIRECTOR STOCK PLAN | Management | For | For | |||||||||||||||||||||||||||||
| 4. | RATIFICATION OF THE SELECTION OF INDEPENDENT AUDITOR | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 20,068 | 0 | 11-Apr-2020 | 11-Apr-2020 | ||||||||||||||||||||||||||
| FORWARD AIR CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 349853101 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | FWRD | Meeting Date | 12-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US3498531017 | Agenda | 935155045 - Management | ||||||||||||||||||||||||||||||
| Record Date | 11-Mar-2020 | Holding Recon Date | 11-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||||
| 1 | Ronald W. Allen | For | For | ||||||||||||||||||||||||||||||
| 2 | Ana B. Amicarella | For | For | ||||||||||||||||||||||||||||||
| 3 | Valerie A. Bonebrake | For | For | ||||||||||||||||||||||||||||||
| 4 | C. Robert Campbell | For | For | ||||||||||||||||||||||||||||||
| 5 | R. Craig Carlock | For | For | ||||||||||||||||||||||||||||||
| 6 | C. John Langley, Jr. | For | For | ||||||||||||||||||||||||||||||
| 7 | G. Michael Lynch | For | For | ||||||||||||||||||||||||||||||
| 8 | Thomas Schmitt | For | For | ||||||||||||||||||||||||||||||
| 9 | Laurie A. Tucker | For | For | ||||||||||||||||||||||||||||||
| 10 | W. Gilbert West | For | For | ||||||||||||||||||||||||||||||
| 2. | To ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm of the Company. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | To approve, on a non-binding, advisory basis, the compensation of the named executive officers (the "say on pay vote"). | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 10,922 | 0 | 03-Apr-2020 | 03-Apr-2020 | ||||||||||||||||||||||||||
| KADANT INC. | |||||||||||||||||||||||||||||||||
| Security | 48282T104 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | KAI | Meeting Date | 12-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US48282T1043 | Agenda | 935153990 - Management | ||||||||||||||||||||||||||||||
| Record Date | 16-Mar-2020 | Holding Recon Date | 16-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1A. | Election of Director for a three-year term expiring in 2023: John M. Albertine | Management | For | For | |||||||||||||||||||||||||||||
| 1B. | Election of Director for a three-year term expiring in 2023: Thomas C. Leonard | Management | For | For | |||||||||||||||||||||||||||||
| 2. | To approve the amendment and restatement of our amended and restated employees' stock purchase plan. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | To approve, by non-binding advisory vote, our executive compensation. | Management | For | For | |||||||||||||||||||||||||||||
| 4. | To approve restricted stock unit grants to our non- employee directors. | Management | For | For | |||||||||||||||||||||||||||||
| 5. | To ratify the selection of KPMG LLP as our company's independent registered public accounting firm for 2020. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 10,234 | 0 | 03-Apr-2020 | 03-Apr-2020 | ||||||||||||||||||||||||||
| FRONTDOOR, INC. | |||||||||||||||||||||||||||||||||
| Security | 35905A109 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | FTDR | Meeting Date | 13-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US35905A1097 | Agenda | 935163802 - Management | ||||||||||||||||||||||||||||||
| Record Date | 19-Mar-2020 | Holding Recon Date | 19-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 12-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1A. | Election of Class II Director to serve for a one-year term: Richard P. Fox | Management | For | For | |||||||||||||||||||||||||||||
| 1B. | Election of Class II Director to serve for a one-year term: Brian P. McAndrews | Management | For | For | |||||||||||||||||||||||||||||
| 1C. | Election of Class II Director to serve for a one-year term: Rexford J. Tibbens | Management | For | For | |||||||||||||||||||||||||||||
| 2. | To ratify the selection of Deloitte & Touche LLP as the Company's independent registered public accounting firm for fiscal 2020. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | Advisory vote to approve the Company's named executive officer compensation. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 30,650 | 0 | 03-Apr-2020 | 03-Apr-2020 | ||||||||||||||||||||||||||
| RAYONIER INC. | |||||||||||||||||||||||||||||||||
| Security | 754907103 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | RYN | Meeting Date | 14-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US7549071030 | Agenda | 935161858 - Management | ||||||||||||||||||||||||||||||
| Record Date | 13-Mar-2020 | Holding Recon Date | 13-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 13-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1A. | Election of Director: Richard D. Kincaid | Management | For | For | |||||||||||||||||||||||||||||
| 1B. | Election of Director: Keith E. Bass | Management | For | For | |||||||||||||||||||||||||||||
| 1C. | Election of Director: Dod A. Fraser | Management | For | For | |||||||||||||||||||||||||||||
| 1D. | Election of Director: Scott R. Jones | Management | For | For | |||||||||||||||||||||||||||||
| 1E. | Election of Director: Blanche L. Lincoln | Management | For | For | |||||||||||||||||||||||||||||
| 1F. | Election of Director: V. Larkin Martin | Management | For | For | |||||||||||||||||||||||||||||
| 1G. | Election of Director: Ann C. Nelson | Management | For | For | |||||||||||||||||||||||||||||
| 1H. | Election of Director: David L. Nunes | Management | For | For | |||||||||||||||||||||||||||||
| 1I. | Election of Director: Andrew G. Wiltshire | Management | For | For | |||||||||||||||||||||||||||||
| 2. | Approval, on a non-binding advisory basis, of the compensation of our named executive officers as disclosed in the proxy statement. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | Ratification of the appointment of Ernst & Young, LLP as the independent registered public accounting firm for 2020. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 28,688 | 0 | 13-Apr-2020 | 13-Apr-2020 | ||||||||||||||||||||||||||
| JOHN BEAN TECHNOLOGIES CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 477839104 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | JBT | Meeting Date | 15-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US4778391049 | Agenda | 935163244 - Management | ||||||||||||||||||||||||||||||
| Record Date | 20-Mar-2020 | Holding Recon Date | 20-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 14-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1A. | Election of Director: Barbara L. Brasier | Management | For | For | |||||||||||||||||||||||||||||
| 1B. | Election of Director: Thomas W. Giacomini | Management | For | For | |||||||||||||||||||||||||||||
| 1C. | Election of Director: Polly B. Kawalek | Management | For | For | |||||||||||||||||||||||||||||
| 2. | Approve on an advisory basis a non-binding resolution regarding the compensation of named executive officers. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | Ratify the appointment of KPMG LLP as our independent registered public accounting firm for 2020. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 8,731 | 0 | 07-Apr-2020 | 07-Apr-2020 | ||||||||||||||||||||||||||
| MORNINGSTAR, INC. | |||||||||||||||||||||||||||||||||
| Security | 617700109 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | MORN | Meeting Date | 15-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US6177001095 | Agenda | 935160527 - Management | ||||||||||||||||||||||||||||||
| Record Date | 16-Mar-2020 | Holding Recon Date | 16-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 14-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1A. | Election of Director: Joe Mansueto | Management | For | For | |||||||||||||||||||||||||||||
| 1B. | Election of Director: Kunal Kapoor | Management | For | For | |||||||||||||||||||||||||||||
| 1C. | Election of Director: Robin Diamonte | Management | For | For | |||||||||||||||||||||||||||||
| 1D. | Election of Director: Cheryl Francis | Management | For | For | |||||||||||||||||||||||||||||
| 1E. | Election of Director: Steve Joynt | Management | For | For | |||||||||||||||||||||||||||||
| 1F. | Election of Director: Steve Kaplan | Management | For | For | |||||||||||||||||||||||||||||
| 1G. | Election of Director: Gail Landis | Management | For | For | |||||||||||||||||||||||||||||
| 1H. | Election of Director: Bill Lyons | Management | For | For | |||||||||||||||||||||||||||||
| 1I. | Election of Director: Jack Noonan | Management | For | For | |||||||||||||||||||||||||||||
| 1J. | Election of Director: Caroline Tsay | Management | For | For | |||||||||||||||||||||||||||||
| 2. | Advisory vote to approve executive compensation. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | Ratification of the appointment of KPMG LLP as Morningstar's independent registered public accounting firm for 2020. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 5,142 | 0 | 06-Apr-2020 | 06-Apr-2020 | ||||||||||||||||||||||||||
| VERITEX HOLDINGS INC. | |||||||||||||||||||||||||||||||||
| Security | 923451108 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | VBTX | Meeting Date | 19-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US9234511080 | Agenda | 935200369 - Management | ||||||||||||||||||||||||||||||
| Record Date | 31-Mar-2020 | Holding Recon Date | 31-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 18-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||||
| 1 | C. Malcolm Holland, III | For | For | ||||||||||||||||||||||||||||||
| 2 | Pat S. Bolin | For | For | ||||||||||||||||||||||||||||||
| 3 | April Box | For | For | ||||||||||||||||||||||||||||||
| 4 | Blake Bozman | For | For | ||||||||||||||||||||||||||||||
| 5 | William D. Ellis | For | For | ||||||||||||||||||||||||||||||
| 6 | William E. Fallon | For | For | ||||||||||||||||||||||||||||||
| 7 | Ned N. Fleming, III | For | For | ||||||||||||||||||||||||||||||
| 8 | Mark C. Griege | For | For | ||||||||||||||||||||||||||||||
| 9 | Gordon Huddleston | For | For | ||||||||||||||||||||||||||||||
| 10 | Steven D. Lerner | For | For | ||||||||||||||||||||||||||||||
| 11 | Manuel J. Mehos | For | For | ||||||||||||||||||||||||||||||
| 12 | Gregory B. Morrison | For | For | ||||||||||||||||||||||||||||||
| 13 | John T. Sughrue | For | For | ||||||||||||||||||||||||||||||
| 2. | Advisory vote to approve the compensation of our named executive officers. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | To ratify the appointment of Grant Thronton LLP as the independent registered public accounting firm of the Company for the year ending December 31, 2019. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 29,969 | 0 | 28-Apr-2020 | 28-Apr-2020 | ||||||||||||||||||||||||||
| NEENAH, INC. | |||||||||||||||||||||||||||||||||
| Security | 640079109 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | NP | Meeting Date | 21-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US6400791090 | Agenda | 935176950 - Management | ||||||||||||||||||||||||||||||
| Record Date | 27-Mar-2020 | Holding Recon Date | 27-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 20-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1A. | Election of Class I Director: William M. Cook | Management | For | For | |||||||||||||||||||||||||||||
| 1B. | Election of Class I Director: Philip C. Moore | Management | For | For | |||||||||||||||||||||||||||||
| 1C. | Election of Class I Director: Julie A. Schertell | Management | For | For | |||||||||||||||||||||||||||||
| 2. | Proposal to approve an advisory vote on the Company's executive compensation. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | Proposal to ratify Deloitte & Touche LLP as the independent registered public accounting firm of Neenah, Inc. for the fiscal year ending December 31, 2020. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 13,660 | 0 | 12-Apr-2020 | 12-Apr-2020 | ||||||||||||||||||||||||||
| HEALTHCARE SERVICES GROUP, INC. | |||||||||||||||||||||||||||||||||
| Security | 421906108 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | HCSG | Meeting Date | 26-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US4219061086 | Agenda | 935201931 - Management | ||||||||||||||||||||||||||||||
| Record Date | 01-Apr-2020 | Holding Recon Date | 01-Apr-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 22-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||||
| 1 | Theodore Wahl | For | For | ||||||||||||||||||||||||||||||
| 2 | John M. Briggs | For | For | ||||||||||||||||||||||||||||||
| 3 | Robert L. Frome | For | For | ||||||||||||||||||||||||||||||
| 4 | Dino D. Ottaviano | For | For | ||||||||||||||||||||||||||||||
| 5 | Michael E. McBryan | For | For | ||||||||||||||||||||||||||||||
| 6 | Diane S. Casey | For | For | ||||||||||||||||||||||||||||||
| 7 | John J. McFadden | For | For | ||||||||||||||||||||||||||||||
| 8 | Jude Visconto | For | For | ||||||||||||||||||||||||||||||
| 9 | Daniela Castagnino | For | For | ||||||||||||||||||||||||||||||
| 10 | Laura Grant | For | For | ||||||||||||||||||||||||||||||
| 2. | To approve and ratify the selection of Grant Thornton LLP as the independent registered public accounting firm of the Company for the current fiscal year ending December 31, 2020. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | To consider an advisory vote on executive compensation. | Management | For | For | |||||||||||||||||||||||||||||
| 4. | To approve and adopt the Company's 2020 Omnibus Incentive Plan. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 32,592 | 0 | 04-May-2020 | 04-May-2020 | ||||||||||||||||||||||||||
| BRP GROUP INC | |||||||||||||||||||||||||||||||||
| Security | 05589G102 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | BRP | Meeting Date | 27-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US05589G1022 | Agenda | 935199617 - Management | ||||||||||||||||||||||||||||||
| Record Date | 13-Apr-2020 | Holding Recon Date | 13-Apr-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 26-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||||
| 1 | Lowry Baldwin | For | For | ||||||||||||||||||||||||||||||
| 2 | Phillip Casey | For | For | ||||||||||||||||||||||||||||||
| 2. | Ratification for the Selection of PricewaterhouseCoopers LLP as our Independent Registered Public Accounting Firm for the Fiscal Year 2020. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 43,371 | 0 | 29-Apr-2020 | 29-Apr-2020 | ||||||||||||||||||||||||||
| RE/MAX HOLDINGS, INC. | |||||||||||||||||||||||||||||||||
| Security | 75524W108 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | RMAX | Meeting Date | 27-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US75524W1080 | Agenda | 935179261 - Management | ||||||||||||||||||||||||||||||
| Record Date | 31-Mar-2020 | Holding Recon Date | 31-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 26-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||||
| 1 | Joseph DeSplinter | For | For | ||||||||||||||||||||||||||||||
| 2 | Roger Dow | For | For | ||||||||||||||||||||||||||||||
| 3 | Ronald Harrison | For | For | ||||||||||||||||||||||||||||||
| 4 | Laura Kelly | For | For | ||||||||||||||||||||||||||||||
| 2. | Advisory vote to approve the compensation of our named executive officers. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | Ratification of the appointment of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 33,855 | 0 | 25-Apr-2020 | 25-Apr-2020 | ||||||||||||||||||||||||||
| NORTHWEST NATURAL HOLDING COMPANY | |||||||||||||||||||||||||||||||||
| Security | 66765N105 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | NWN | Meeting Date | 28-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US66765N1054 | Agenda | 935191243 - Management | ||||||||||||||||||||||||||||||
| Record Date | 09-Apr-2020 | Holding Recon Date | 09-Apr-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 27-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||||
| 1 | David H. Anderson* | For | For | ||||||||||||||||||||||||||||||
| 2 | Martha L. Byorum* | For | For | ||||||||||||||||||||||||||||||
| 3 | John D. Carter* | For | For | ||||||||||||||||||||||||||||||
| 4 | C. Scott Gibson* | For | For | ||||||||||||||||||||||||||||||
| 5 | Monica Enand# | For | For | ||||||||||||||||||||||||||||||
| 2. | Advisory vote to approve Named Executive Officer Compensation. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | The ratification of the appointment of PricewaterhouseCoopers LLP as Northwest Natural Holding Company's independent registered public accountants for the fiscal year 2020. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 13,840 | 0 | 25-Apr-2020 | 25-Apr-2020 | ||||||||||||||||||||||||||
| CANNAE HOLDINGS, INC. | |||||||||||||||||||||||||||||||||
| Security | 13765N107 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | CNNE | Meeting Date | 17-Jun-2020 | ||||||||||||||||||||||||||||||
| ISIN | US13765N1072 | Agenda | 935208846 - Management | ||||||||||||||||||||||||||||||
| Record Date | 20-Apr-2020 | Holding Recon Date | 20-Apr-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 16-Jun-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||||
| 1 | Hugh R. Harris | For | For | ||||||||||||||||||||||||||||||
| 2 | C. Malcolm Holland | For | For | ||||||||||||||||||||||||||||||
| 3 | Mark D. Linehan | For | For | ||||||||||||||||||||||||||||||
| 2. | Approval of a non-binding advisory resolution on the compensation paid to our named executive officers. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | Ratification of the appointment of Deloitte as our independent registered public accounting firm for the 2020 fiscal year. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 38,076 | 0 | 07-May-2020 | 07-May-2020 | ||||||||||||||||||||||||||
| NATUS MEDICAL INCORPORATED | |||||||||||||||||||||||||||||||||
| Security | 639050103 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | NTUS | Meeting Date | 17-Jun-2020 | ||||||||||||||||||||||||||||||
| ISIN | US6390501038 | Agenda | 935214875 - Management | ||||||||||||||||||||||||||||||
| Record Date | 24-Apr-2020 | Holding Recon Date | 24-Apr-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 16-Jun-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1A. | Election of Director: Jonathan A. Kennedy | Management | For | For | |||||||||||||||||||||||||||||
| 1B. | Election of Director: Barbara R. Paul | Management | For | For | |||||||||||||||||||||||||||||
| 1C. | Election of Director: Alice D. Schroeder | Management | For | For | |||||||||||||||||||||||||||||
| 1D. | Election of Director: Thomas J. Sullivan | Management | For | For | |||||||||||||||||||||||||||||
| 1E. | Election of Director: Ilan Daskal | Management | For | For | |||||||||||||||||||||||||||||
| 2. | Advisory Vote to Approve Named Executive Officer Compensation. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | To ratify the appointment of KPMG LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 23,319 | 0 | 10-May-2020 | 10-May-2020 | ||||||||||||||||||||||||||
| MOVADO GROUP, INC. | |||||||||||||||||||||||||||||||||
| Security | 624580106 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | MOV | Meeting Date | 25-Jun-2020 | ||||||||||||||||||||||||||||||
| ISIN | US6245801062 | Agenda | 935215017 - Management | ||||||||||||||||||||||||||||||
| Record Date | 30-Apr-2020 | Holding Recon Date | 30-Apr-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Jun-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||||
| 1 | Peter A. Bridgman | For | For | ||||||||||||||||||||||||||||||
| 2 | Alex Grinberg | For | For | ||||||||||||||||||||||||||||||
| 3 | Efraim Grinberg | For | For | ||||||||||||||||||||||||||||||
| 4 | Alan H. Howard | For | For | ||||||||||||||||||||||||||||||
| 5 | Richard Isserman | For | For | ||||||||||||||||||||||||||||||
| 6 | Ann Kirschner | For | For | ||||||||||||||||||||||||||||||
| 7 | Stephen Sadove | For | For | ||||||||||||||||||||||||||||||
| 2. | To ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending January 31, 2021. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | To approve, on an advisory basis, the compensation of the Company's named executive officers, as described in the proxy statement under "Executive Compensation". | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 46,100 | 0 | 13-May-2020 | 13-May-2020 | ||||||||||||||||||||||||||
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.
| (Registrant) | FIRST TRUST SERIES FUND | |||
| By (Signature and Title)* | /s/ James M. Dykas | |||
| James M. Dykas, President and Chief Executive Officer | ||||
| Date | August 19, 2020 | |||
* Print the name and title of each signing officer under his or her signature.