N-PX 1 ftseries_npx.htm VOTE SUMMARY

 

 

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, 2020 - June 30, 2021

 

 

 

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: MAY 04, 2021   Meeting Type: Annual
Record Date:  MAR 12, 2021

#     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


--------------------------------------------------------------------------------

VISTRA CORP.

Ticker:       VST            Security ID:  92840M102
Meeting Date: APR 28, 2021   Meeting Type: Annual
Record Date:  MAR 16, 2021

#     Proposal                                Mgt Rec   Vote Cast    Sponsor
1.1   Elect Director Scott B. Helm            For       For          Management
1.2   Elect Director Hilary E. Ackermann      For       For          Management
1.3   Elect Director Arcilia C. Acosta        For       For          Management
1.4   Elect Director Gavin R. Baiera          For       For          Management
1.5   Elect Director  Paul M. Barbas          For       For          Management
1.6   Elect Director Lisa Crutchfield         For       For          Management
1.7   Elect Director Brian K. Ferraioli       For       For          Management
1.8   Elect Director Jeff D. Hunter           For       For          Management
1.9   Elect Director Curtis A. Morgan         For       For          Management
1.10  Elect Director John R. Sult             For       For          Management
2     Advisory Vote to Ratify Named           For       For          Management
      Executive Officers' Compensation
3     Ratify Deloitte & Touche LLP as         For       For          Management
      Auditors

 

FIRST TRUST PREFERRED SECURITIES AND INCOME FUND
                 
FIFTH THIRD BANCORP            
Ticker   FITBP            
CUSIP   316773886            
Meeting Date   4/13/2021            
                 
Proponent   Proposal Text   Did The Fund Cast Its Vote   How The Fund Voted   Vote For Or Against Management
Issuer   Annual Meeting   Yes   Abstain   N/A
                 
                 
BACR 7 7/8 PERP CORP - ISIN: XS1481041587            
Ticker                
CUSIP   G0809LDY2            
Meeting Date   12/16/2020            
                 
Proponent   Proposal Text   Did The Fund Cast Its Vote   How The Fund Voted   Vote For Or Against Management
Issuer   Special Meeting to approve replacement of LIBOR language in bonds   No        
                 
                 
SIGNATURE BANK            
Ticker   SBNYP            
CUSIP   82669G203            
Meeting Date   6/29/2021            
                 
Proponent   Proposal Text   Did The Fund Cast Its Vote   How The Fund Voted   Vote For Or Against Management
Issuer   Special Meeting - Share repurchase plan   Yes   Abstain   N/A

 

 

First Trust/Confluence Small Cap Value Fund

 

  RBC BEARINGS INCORPORATED        
  Security 75524B104                   Meeting Type   Annual  
  Ticker Symbol ROLL                              Meeting Date   09-Sep-2020  
  ISIN US75524B1044                   Agenda   935251304 - Management
  Record Date 13-Jul-2020                   Holding Recon Date   13-Jul-2020  
  City / Country     / United States             Vote Deadline Date   08-Sep-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management                      
        1 Dr. Michael J. Hartnett           For     For          
        2 Dolores J. Ennico           For     For          
  2.    To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year 2021. 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. 8,101   0 26-Jul-2020 26-Jul-2020  
  NATHAN'S FAMOUS, INC.        
  Security 632347100                   Meeting Type   Annual  
  Ticker Symbol NATH                              Meeting Date   15-Sep-2020  
  ISIN US6323471002                   Agenda   935253889 - Management
  Record Date 21-Jul-2020                   Holding Recon Date   21-Jul-2020  
  City / Country     / United States             Vote Deadline Date   14-Sep-2020  
  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 Andrew Levine           For     For          
        6 Howard M. Lorber           For     For          
        7 Wayne Norbitz           For     For          
        8 A.F. Petrocelli           For     For          
        9 Charles Raich           For     For          
  2.    Adoption, on an advisory basis, of a resolution approving the compensation of the Company's Named Executive Officers, as described in the Proxy Statement under "Executive Compensation". 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 2021. Management     For     For          
  4.    Adoption of 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. 6,609   0 31-Jul-2020 31-Jul-2020  
  RESOURCES CONNECTION, INC.        
  Security 76122Q105                   Meeting Type   Annual  
  Ticker Symbol RGP                               Meeting Date   22-Oct-2020  
  ISIN US76122Q1058                   Agenda   935271279 - Management
  Record Date 24-Aug-2020                   Holding Recon Date   24-Aug-2020  
  City / Country     / United States             Vote Deadline Date   21-Oct-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   Election of Director: Robert F. Kistinger Management     For     For          
  1B.   Election of Director: Marco von Maltzan Management     For     For          
  1C.   Election of Director: Jolene Sarkis Management     For     For          
  2.    Approval of the 2020 Performance Incentive 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 2021. 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. 60,004   0 13-Sep-2020 13-Sep-2020  
  PHIBRO ANIMAL HEALTH CORPORATION        
  Security 71742Q106                   Meeting Type   Annual  
  Ticker Symbol PAHC                              Meeting Date   02-Nov-2020  
  ISIN US71742Q1067                   Agenda   935272839 - Management
  Record Date 03-Sep-2020                   Holding Recon Date   03-Sep-2020  
  City / Country     / United States             Vote Deadline Date   30-Oct-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management                      
        1 Daniel M. Bendheim           For     For          
        2 Jonathan Bendheim           For     For          
        3 Sam Gejdenson           For     For          
  2.    Ratification of the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending June 30, 2021. 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. 46,495   0 20-Sep-2020 20-Sep-2020  
  EDGEWELL PERSONAL CARE COMPANY        
  Security 28035Q102                   Meeting Type   Annual  
  Ticker Symbol EPC                               Meeting Date   04-Feb-2021  
  ISIN US28035Q1022                   Agenda   935313813 - Management
  Record Date 27-Nov-2020                   Holding Recon Date   27-Nov-2020  
  City / Country     / United States             Vote Deadline Date   03-Feb-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   Election of Director: Robert W. Black Management     For     For          
  1B.   Election of Director: George R. Corbin Management     For     For          
  1C.   Election of Director: Daniel J. Heinrich Management     For     For          
  1D.   Election of Director: Carla C. Hendra Management     For     For          
  1E.   Election of Director: John C. Hunter, III Management     For     For          
  1F.   Election of Director: James C. Johnson Management     For     For          
  1G.   Election of Director: Rod R. Little Management     For     For          
  1H.   Election of Director: Joseph D. O'Leary Management     For     For          
  1I.   Election of Director: Rakesh Sachdev Management     For     For          
  1J.   Election of Director: Swan Sit Management     For     For          
  1K.   Election of Director: Gary K. Waring Management     For     For          
  2.    To ratify the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for fiscal 2021. Management     For     For          
  3.    To cast a non-binding advisory vote on 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. 38,600   0 31-Dec-2020 31-Dec-2020  
  J & J SNACK FOODS CORP.        
  Security 466032109                   Meeting Type   Annual  
  Ticker Symbol JJSF                              Meeting Date   10-Feb-2021  
  ISIN US4660321096                   Agenda   935320490 - Management
  Record Date 14-Dec-2020                   Holding Recon Date   14-Dec-2020  
  City / Country     / United States             Vote Deadline Date   09-Feb-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management                      
        1 Peter G. Stanley           For     For          
  2.    ADVISORY VOTE ON APPROVAL OF THE COMPENSATION OF EXECUTIVES. Management     For     For          
  3.    VOTE ON APPROVAL OF THE AMENDED AND RESTATED LONG-TERM 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. 8,258   0 25-Dec-2020 25-Dec-2020  
  I3 VERTICALS, INC.        
  Security 46571Y107                   Meeting Type   Annual  
  Ticker Symbol IIIV                              Meeting Date   26-Feb-2021  
  ISIN US46571Y1073                   Agenda   935329309 - Management
  Record Date 15-Jan-2021                   Holding Recon Date   15-Jan-2021  
  City / Country     / United States             Vote Deadline Date   25-Feb-2021  
  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, 2021. 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. 41,480   0 28-Jan-2021 28-Jan-2021  
  SJW GROUP        
  Security 784305104                   Meeting Type   Annual  
  Ticker Symbol SJW                               Meeting Date   28-Apr-2021  
  ISIN US7843051043                   Agenda   935351116 - Management
  Record Date 03-Mar-2021                   Holding Recon Date   03-Mar-2021  
  City / Country     / United States             Vote Deadline Date   27-Apr-2021  
  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: C. Guardino Management     For     For          
  1D.   Election of Director: M. Hanley Management     For     For          
  1E.   Election of Director: H. Hunt Management     For     For          
  1F.   Election of Director: G. P. Landis Management     For     For          
  1G.   Election of Director: D. C. Man Management     For     For          
  1H.   Election of Director: D. B. More Management     For     For          
  1I.   Election of Director: E. W. Thornburg 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 Deloitte & Touche LLP as the independent registered public accounting firm of the Company for fiscal year 2021. 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. 20,713   0 19-Mar-2021 19-Mar-2021  
  AVANOS MEDICAL,INC.        
  Security 05350V106                   Meeting Type   Annual  
  Ticker Symbol AVNS                              Meeting Date   29-Apr-2021  
  ISIN US05350V1061                   Agenda   935345226 - Management
  Record Date 05-Mar-2021                   Holding Recon Date   05-Mar-2021  
  City / Country     / United States             Vote Deadline Date   28-Apr-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   Election of Director: Gary D. Blackford Management     For     For          
  1B.   Election of Director: Patrick O'Leary Management     For     For          
  2.    Ratification of the selection of Deloitte & Touche LLP as the independent registered public accounting firm to audit the Company's 2021 financial statements. Management     For     For          
  3.    Advisory vote to approve named executive officer compensation. Management     For     For          
  4.    Advisory vote to approve the frequency of stockholder votes on our named executive officers' compensation. Management     1 Year     For          
  5.    Approval of our 2021 Long Term 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. 33,217   0 25-Mar-2021 25-Mar-2021  
  ALLIED MOTION TECHNOLOGIES INC.        
  Security 019330109                   Meeting Type   Annual  
  Ticker Symbol AMOT                              Meeting Date   05-May-2021  
  ISIN US0193301092                   Agenda   935387767 - Management
  Record Date 10-Mar-2021                   Holding Recon Date   10-Mar-2021  
  City / Country     / United States             Vote Deadline Date   04-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   ELECTION OF DIRECTOR TO HOLD OFFICE UNTIL THE NEXT ANNUAL MEETING: R. B. Engel Management     For     For          
  1B.   ELECTION OF DIRECTOR TO HOLD OFFICE UNTIL THE NEXT ANNUAL MEETING: R. D. Federico Management     For     For          
  1C.   ELECTION OF DIRECTOR TO HOLD OFFICE UNTIL THE NEXT ANNUAL MEETING: S. C. Finch Management     For     For          
  1D.   ELECTION OF DIRECTOR TO HOLD OFFICE UNTIL THE NEXT ANNUAL MEETING: J. J. Tanous Management     For     For          
  1E.   ELECTION OF DIRECTOR TO HOLD OFFICE UNTIL THE NEXT ANNUAL MEETING: N. R. Tzetzo Management     For     For          
  1F.   ELECTION OF DIRECTOR TO HOLD OFFICE UNTIL THE NEXT ANNUAL MEETING: R. S. Warzala Management     For     For          
  1G.   ELECTION OF DIRECTOR TO HOLD OFFICE UNTIL THE NEXT ANNUAL MEETING: 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 2021. 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. 30,205   0 11-Apr-2021 11-Apr-2021  
  BROWN & BROWN, INC.        
  Security 115236101                   Meeting Type   Annual  
  Ticker Symbol BRO                               Meeting Date   05-May-2021  
  ISIN US1152361010                   Agenda   935355772 - Management
  Record Date 01-Mar-2021                   Holding Recon Date   01-Mar-2021  
  City / Country     / United States             Vote Deadline Date   04-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management                      
        1 J. Hyatt Brown           For     For          
        2 Hugh M. Brown           For     For          
        3 J. Powell Brown           For     For          
        4 L. L. Gellerstedt III           For     For          
        5 James C. Hays           For     For          
        6 Theodore J. Hoepner           For     For          
        7 James S. Hunt           For     For          
        8 Toni Jennings           For     For          
        9 Timothy R.M. Main           For     For          
        10 H. Palmer Proctor, Jr.           For     For          
        11 Wendell S. Reilly           For     For          
        12 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, 2021. 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. 26,140   0 31-Mar-2021 31-Mar-2021  
  GLADSTONE COMMERCIAL CORPORATION        
  Security 376536108                   Meeting Type   Annual  
  Ticker Symbol GOOD                              Meeting Date   06-May-2021  
  ISIN US3765361080                   Agenda   935355847 - Management
  Record Date 10-Mar-2021                   Holding Recon Date   10-Mar-2021  
  City / Country     / United States             Vote Deadline Date   05-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management                      
        1 Terry L. Brubaker           For     For          
        2 Caren D. Merrick           For     For          
        3 Walter H. Wilkinson, Jr           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, 2021. 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. 78,108   0 24-Mar-2021 24-Mar-2021  
  FRONTDOOR, INC.        
  Security 35905A109                   Meeting Type   Annual  
  Ticker Symbol FTDR                              Meeting Date   12-May-2021  
  ISIN US35905A1097                   Agenda   935368995 - Management
  Record Date 23-Mar-2021                   Holding Recon Date   23-Mar-2021  
  City / Country     / United States             Vote Deadline Date   11-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   Election of Class II Director: Richard P. Fox Management     For     For          
  1B.   Election of Class II Director: Brian P. McAndrews Management     For     For          
  1C.   Election of Class II Director: Rexford J. Tibbens Management     For     For          
  1D.   Election of Class III Director: Anna C. Catalano Management     For     For          
  1E.   Election of Class III Director: William C. Cobb Management     For     For          
  2.    To ratify the selection of Deloitte & Touche LLP as the Company's independent registered public accounting firm for fiscal 2021. Management     For     For          
  3.    Advisory vote to approve the Company's named executive officer compensation. Management     For     For          
  4.    To approve amendments to the Company's Amended and Restated Certificate of Incorporation to eliminate certain supermajority voting requirements and clarify provisions related to advancement of expenses. 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. 38,000   0 07-Apr-2021 07-Apr-2021  
  JOHN BEAN TECHNOLOGIES CORPORATION        
  Security 477839104                   Meeting Type   Annual  
  Ticker Symbol JBT                               Meeting Date   14-May-2021  
  ISIN US4778391049                   Agenda   935363096 - Management
  Record Date 19-Mar-2021                   Holding Recon Date   19-Mar-2021  
  City / Country     / United States             Vote Deadline Date   13-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   Election of Director: C. Maury Devine Management     For     For          
  1B.   Election of Director: Emmanuel Lagarrigue Management     For     For          
  1C.   Election of Director: James M. Ringler 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 PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2021. 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. 12,781   0 05-Apr-2021 05-Apr-2021  
  MORNINGSTAR, INC.        
  Security 617700109                   Meeting Type   Annual  
  Ticker Symbol MORN                              Meeting Date   14-May-2021  
  ISIN US6177001095                   Agenda   935361650 - Management
  Record Date 15-Mar-2021                   Holding Recon Date   15-Mar-2021  
  City / Country     / United States             Vote Deadline Date   13-May-2021  
  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: Doniel Sutton Management     For     For          
  1J.   Election of Director: Caroline Tsay Management     For     For          
  2.    Approve the Morningstar, Inc. Amended and Restated 2011 Stock Incentive Plan. Management     For     For          
  3.    Advisory vote to approve executive compensation. Management     For     For          
  4.    Ratification of the appointment of KPMG LLP as Morningstar's independent registered public accounting firm for 2021. 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. 7,752   0 06-Apr-2021 06-Apr-2021  
  VERITEX HOLDINGS INC.        
  Security 923451108                   Meeting Type   Annual  
  Ticker Symbol VBTX                              Meeting Date   18-May-2021  
  ISIN US9234511080                   Agenda   935417229 - Management
  Record Date 05-Apr-2021                   Holding Recon Date   05-Apr-2021  
  City / Country     / United States             Vote Deadline Date   17-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management                      
        1 C. Malcolm Holland, III           For     For          
        2 Arcilia Acosta           For     For          
        3 Pat S. Bolin           For     For          
        4 April Box           For     For          
        5 Blake Bozman           For     For          
        6 William D. Ellis           For     For          
        7 William E. Fallon           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, 2021. 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. 57,769   0 27-Apr-2021 27-Apr-2021  
  FORWARD AIR CORPORATION        
  Security 349853101                   Meeting Type   Annual  
  Ticker Symbol FWRD                              Meeting Date   19-May-2021  
  ISIN US3498531017                   Agenda   935380763 - Management
  Record Date 24-Mar-2021                   Holding Recon Date   24-Mar-2021  
  City / Country     / United States             Vote Deadline Date   18-May-2021  
  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 G. Michael Lynch           For     For          
        7 George S. Mayes, Jr.           For     For          
        8 Chitra Nayak           For     For          
        9 Scott M. Niswonger           For     For          
        10 Javier Polit           For     For          
        11 Richard H. Roberts           For     For          
        12 Thomas Schmitt           For     For          
        13 Laurie A. Tucker           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. 12,422   0 10-Apr-2021 10-Apr-2021  
  KADANT INC.        
  Security 48282T104                   Meeting Type   Annual  
  Ticker Symbol KAI                               Meeting Date   19-May-2021  
  ISIN US48282T1043                   Agenda   935365797 - Management
  Record Date 22-Mar-2021                   Holding Recon Date   22-Mar-2021  
  City / Country     / United States             Vote Deadline Date   18-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   Election of Director for a three-year term expiring in 2024: Erin L. Russell Management     For     For          
  1B.   Election of Director for a three-year term expiring in 2024: William P. Tully Management     For     For          
  2.    To approve, by non-binding advisory vote, our executive compensation. Management     For     For          
  3.    To approve restricted stock unit grants to our non- employee directors. Management     For     For          
  4.    To ratify the selection of KPMG LLP as our company's independent registered public accounting firm for 2021. 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. 12,284   0 08-Apr-2021 08-Apr-2021  
  NEENAH, INC.        
  Security 640079109                   Meeting Type   Annual  
  Ticker Symbol NP                                Meeting Date   20-May-2021  
  ISIN US6400791090                   Agenda   935381258 - Management
  Record Date 26-Mar-2021                   Holding Recon Date   26-Mar-2021  
  City / Country     / United States             Vote Deadline Date   19-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   Election of Class II Director: Margaret S. Dano Management     For     For          
  1B.   Election of Class II Director: Donna M. Costello 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, 2021. 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. 24,710   0 13-Apr-2021 13-Apr-2021  
  RAYONIER INC.        
  Security 754907103                   Meeting Type   Annual  
  Ticker Symbol RYN                               Meeting Date   20-May-2021  
  ISIN US7549071030                   Agenda   935383389 - Management
  Record Date 19-Mar-2021                   Holding Recon Date   19-Mar-2021  
  City / Country     / United States             Vote Deadline Date   19-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   Election of Director: Dod A. Fraser Management     For     For          
  1B.   Election of Director: Keith E. Bass Management     For     For          
  1C.   Election of Director: Scott R. Jones Management     For     For          
  1D.   Election of Director: V. Larkin Martin Management     For     For          
  1E.   Election of Director: Meridee A. Moore Management     For     For          
  1F.   Election of Director: Ann C. Nelson Management     For     For          
  1G.   Election of Director: David L. Nunes Management     For     For          
  1H.   Election of Director: Matthew J. Rivers 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 2021. 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. 43,088   0 14-Apr-2021 14-Apr-2021  
  PERFICIENT, INC.        
  Security 71375U101                   Meeting Type   Annual  
  Ticker Symbol PRFT                              Meeting Date   25-May-2021  
  ISIN US71375U1016                   Agenda   935391716 - Management
  Record Date 29-Mar-2021                   Holding Recon Date   29-Mar-2021  
  City / Country     / United States             Vote Deadline Date   24-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   Election of Director: Jeffrey S. Davis Management     For     For          
  1B.   Election of Director: Ralph C. Derrickson Management     For     For          
  1C.   Election of Director: David S. Lundeen Management     For     For          
  1D.   Election of Director: Brian L. Matthews Management     For     For          
  1E.   Election of Director: Nancy C. Pechloff Management     For     For          
  1F.   Election of Director: Gary M. Wimberly Management     For     For          
  2.    Proposal to approve, on an advisory basis, a resolution relating to the 2020 compensation of the named executive officers. Management     For     For          
  3.    Proposal to ratify KPMG LLP as Perficient, Inc.'s independent registered public accounting firm for the 2021 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. 22,449   0 15-Apr-2021 15-Apr-2021  
  RE/MAX HOLDINGS, INC.        
  Security 75524W108                   Meeting Type   Annual  
  Ticker Symbol RMAX                              Meeting Date   26-May-2021  
  ISIN US75524W1080                   Agenda   935389901 - Management
  Record Date 31-Mar-2021                   Holding Recon Date   31-Mar-2021  
  City / Country     / United States             Vote Deadline Date   25-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management                      
        1 Adam Contos           For     For          
        2 Kathleen Cunningham           For     For          
        3 Gail Liniger           For     For          
        4 Christine Riordan           For     For          
  2.    Ratification of the appointment of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. 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. 42,955   0 21-Apr-2021 21-Apr-2021  
  NORTHWEST NATURAL HOLDING COMPANY        
  Security 66765N105                   Meeting Type   Annual  
  Ticker Symbol NWN                               Meeting Date   27-May-2021  
  ISIN US66765N1054                   Agenda   935400123 - Management
  Record Date 08-Apr-2021                   Holding Recon Date   08-Apr-2021  
  City / Country     / United States             Vote Deadline Date   26-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management                      
        1 Timothy P. Boyle*           For     For          
        2 Monica Enand*           For     For          
        3 Hon. Dave McCurdy*           For     For          
        4 Malia H. Wasson*           For     For          
        5 Karen Lee**           For     For          
        6 Nathan I. Partain**           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 2021. 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. 28,090   0 17-Apr-2021 17-Apr-2021  
  FARO TECHNOLOGIES, INC.        
  Security 311642102                   Meeting Type   Annual  
  Ticker Symbol FARO                              Meeting Date   28-May-2021  
  ISIN US3116421021                   Agenda   935395473 - Management
  Record Date 26-Mar-2021                   Holding Recon Date   26-Mar-2021  
  City / Country     / United States             Vote Deadline Date   27-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management                      
        1 Lynn Brubaker           For     For          
        2 Jeroen van Rotterdam           For     For          
  2.    The ratification of Grant Thornton LLP as the Company's independent registered public accounting firm for 2021. Management     For     For          
  3.    Non-binding resolution to approve 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. 20,345   0 18-Apr-2021 18-Apr-2021  
  HEALTHCARE SERVICES GROUP, INC.        
  Security 421906108                   Meeting Type   Annual  
  Ticker Symbol HCSG                              Meeting Date   01-Jun-2021  
  ISIN US4219061086                   Agenda   935406036 - Management
  Record Date 31-Mar-2021                   Holding Recon Date   31-Mar-2021  
  City / Country     / United States             Vote Deadline Date   28-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management                      
        1 John M. Briggs           For     For          
        2 Diane S. Casey           For     For          
        3 Daniela Castagnino           For     For          
        4 Robert L. Frome           For     For          
        5 Laura Grant           For     For          
        6 John J. McFadden           For     For          
        7 Dino D. Ottaviano           For     For          
        8 Jude Visconto           For     For          
        9 Theodore Wahl           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, 2021. Management     For     For          
  3.    To hold an advisory vote to approve the compensation of the 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. 54,292   0 27-Apr-2021 27-Apr-2021  
  BRP GROUP INC        
  Security 05589G102                   Meeting Type   Annual  
  Ticker Symbol BRP                               Meeting Date   16-Jun-2021  
  ISIN US05589G1022                   Agenda   935420769 - Management
  Record Date 19-Apr-2021                   Holding Recon Date   19-Apr-2021  
  City / Country     / United States             Vote Deadline Date   15-Jun-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management                      
        1 Trevor Baldwin           For     For          
        2 Barbara Matas           For     For          
        3 Jay Cohen           For     For          
  2.    Company Proposal - Ratification for the Selection of PricewaterhouseCoopers LLP as our Independent Registered Public Accounting Firm for the Fiscal Year 2021. 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. 67,384   0 13-May-2021 13-May-2021  
  NATUS MEDICAL INCORPORATED        
  Security 639050103                   Meeting Type   Annual  
  Ticker Symbol NTUS                              Meeting Date   16-Jun-2021  
  ISIN US6390501038                   Agenda   935417077 - Management
  Record Date 19-Apr-2021                   Holding Recon Date   19-Apr-2021  
  City / Country     / United States             Vote Deadline Date   15-Jun-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   Election of  Director  to serve until  2022 Annual meeting: Ilan Daskal Management     For     For          
  1B.   Election of  Director  to serve until  2022 Annual meeting: Lisa Wipperman Heine Management     For     For          
  1C.   Election of  Director  to serve until  2022 Annual meeting: Jonathan A. Kennedy Management     For     For          
  1D.   Election of  Director  to serve until  2022 Annual meeting: Joshua H. Levine Management     For     For          
  1E.   Election of  Director  to serve until  2022 Annual meeting: Barbara R. Paul Management     For     For          
  1F.   Election of  Director  to serve until  2022 Annual meeting: Alice D. Schroeder Management     For     For          
  1G.   Election of  Director  to serve until  2022 Annual meeting: Thomas J. Sullivan Management     For     For          
  2.    Approval of the Natus Medical Incorporated 2021 Equity Incentive Plan. Management     For     For          
  3.    Approval, on an advisory basis, of the named executive officer compensation disclosed in the attached Proxy Statement. Management     For     For          
  4.    Ratification of appointment of KPMG LLP as our independent registered public accounting firm for the fiscal year ending December 31 , 2021. 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. 30,319   0 29-Apr-2021 29-Apr-2021  
  CANNAE HOLDINGS, INC.        
  Security 13765N107                   Meeting Type   Annual  
  Ticker Symbol CNNE                              Meeting Date   23-Jun-2021  
  ISIN US13765N1072                   Agenda   935422763 - Management
  Record Date 26-Apr-2021                   Holding Recon Date   26-Apr-2021  
  City / Country     / United States             Vote Deadline Date   22-Jun-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management                      
        1 William P. Foley, II           For     For          
        2 David Aung           For     For          
        3 Frank R. Martire           For     For          
        4 Richard N. Massey           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 2021 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. 48,376   0 04-May-2021 04-May-2021  
  MOVADO GROUP, INC.        
  Security 624580106                   Meeting Type   Annual  
  Ticker Symbol MOV                               Meeting Date   24-Jun-2021  
  ISIN US6245801062                   Agenda   935430342 - Management
  Record Date 29-Apr-2021                   Holding Recon Date   29-Apr-2021  
  City / Country     / United States             Vote Deadline Date   23-Jun-2021  
  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, 2022. 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. 66,441   0 14-May-2021 14-May-2021  
  BANK OF MARIN BANCORP        
  Security 063425102                   Meeting Type   Annual  
  Ticker Symbol BMRC                              Meeting Date   29-Jun-2021  
  ISIN US0634251021                   Agenda   935461234 - Management
  Record Date 02-Jun-2021                   Holding Recon Date   02-Jun-2021  
  City / Country     / United States             Vote Deadline Date   28-Jun-2021  
  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 Sanjiv S. Sanghvi           For     For          
        10 Joel Sklar, MD           For     For          
        11 Brian M. Sobel           For     For          
        12 Secil Tabli Watson           For     For          
  2.    To vote, on an advisory basis, to approve the Company's executive compensation for Named Executive Officers. Management     For     For          
  3.    To ratify 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. 35,968   0 11-Jun-2021 11-Jun-2021  
  THERMON GROUP HOLDINGS, INC.        
  Security 88362T103                   Meeting Type   Annual  
  Ticker Symbol THR                               Meeting Date   02-Aug-2021  
  ISIN US88362T1034                   Agenda   935462452 - Management
  Record Date 07-Jun-2021                   Holding Recon Date   07-Jun-2021  
  City / Country     / United States             Vote Deadline Date   30-Jul-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management                      
        1 John U. Clarke           For     For          
        2 Linda A. Dalgetty           For     For          
        3 Roger L. Fix           For     For          
        4 Marcus J. George           For     For          
        5 Kevin J. McGinty           For     For          
        6 John T. Nesser, III           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, 2022. 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. 77,011   0 25-Jun-2021 25-Jun-2021  

 

 

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 9, 2021      

 

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