UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811-23179
First Trust Alternative Opportunities Fund
(Exact name of registrant as specified in charter)
c/o UMB Fund Services, Inc.
235 West Galena Street
Milwaukee, WI 53212
(Address of principal executive offices) (Zip code)
Ann Maurer
235 W. Galena Street
Milwaukee, WI 53212
(414) 299-2217
(Name and address of agent for service)
Registrant's telephone number, including area code: 414.299.2217
Date of fiscal year end: March 31
Date of reporting period: July 1, 2021 - June 30, 2022
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, NE, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507.
ITEM 1. PROXY VOTING RECORD
For First Trust Alternative Opportunities Fund
| TICKER | CUSIP | SHARE-HOLDER | DID FUND | WHAT VOTE | ||
| NAME OF ISSUER | SYMBOL | NUMBER | MEETING DATE | MATTER VOTED ON | VOTE | WAS CAST |
| Driehaus Mutual Funds | 262028814 | 7/1/2021 | Approve Investment Advisory Agreement between Driehaus Mutual Funds and Driehaus Capital Management LLC | Yes | For | |
| Driehaus Mutual Funds | 262028814 | 7/1/2021 | Elect Director Theodore J. Beck | Yes | For | |
| Driehaus Mutual Funds | 262028814 | 7/1/2021 | Elect Director Francis J. Harmon | Yes | For | |
| Driehaus Mutual Funds | 262028814 | 7/1/2021 | Elect Director Christopher J. Towle | Yes | For | |
| Driehaus Mutual Funds | 262028814 | 7/1/2021 | Elect Director Dawn M. Vroegop | Yes | For | |
| Driehaus Mutual Funds | 262028814 | 7/1/2021 | Elect Director Stephen T. Weber | Yes | For | |
| Driehaus Mutual Funds | 262028814 | 7/1/2021 | Elect Director Daniel F. Zemanek | Yes | For | |
| Knoll, Inc. | KNL | 498904200 | 7/13/2021 | Approve Merger Agreement | Yes | For |
| Knoll, Inc. | KNL | 498904200 | 7/13/2021 | Advisory Vote on Golden Parachutes | Yes | For |
| Knoll, Inc. | KNL | 498904200 | 7/13/2021 | Adjourn Meeting | Yes | For |
| Talend SA | TLND | 874224207 | 7/26/2021 | Elect Amy Coleman Redenbaugh as Director | Yes | For |
| Talend SA | TLND | 874224207 | 7/26/2021 | Elect Kenneth Virnig as Director | Yes | For |
| Talend SA | TLND | 874224207 | 7/26/2021 | Elect Mike Hoffmann as Director | Yes | For |
| Talend SA | TLND | 874224207 | 7/26/2021 | Elect Elizabeth Yates as Director | Yes | For |
| Talend SA | TLND | 874224207 | 7/26/2021 | Elect David Murphy as Director | Yes | For |
| Talend SA | TLND | 874224207 | 7/26/2021 | Elect Kristin Nimsger as Director | Yes | For |
| Talend SA | TLND | 874224207 | 7/26/2021 | Elect Jim Hagan as Director | Yes | For |
| Talend SA | TLND | 874224207 | 7/26/2021 | Approve Transaction with Talend SAS | Yes | For |
| Talend SA | TLND | 874224207 | 7/26/2021 | Approve Merger by Absorption of the Company by Tahoe AcquireCo B.V. | Yes | For |
| Talend SA | TLND | 874224207 | 7/26/2021 | Authorize Filing of Required Documents/Other Formalities | Yes | For |
| Weingarten Realty Investors | WRI | 948741103 | 8/3/2021 | Approve Merger Agreement | Yes | For |
| Weingarten Realty Investors | WRI | 948741103 | 8/3/2021 | Advisory Vote on Golden Parachutes | Yes | For |
| Weingarten Realty Investors | WRI | 948741103 | 8/3/2021 | Adjourn Meeting | Yes | For |
| Xilinx, Inc. | XLNX | 983919101 | 8/4/2021 | Elect Director Dennis Segers | Yes | For |
| Xilinx, Inc. | XLNX | 983919101 | 8/4/2021 | Elect Director Raman K. Chitkara | Yes | For |
| Xilinx, Inc. | XLNX | 983919101 | 8/4/2021 | Elect Director Saar Gillai | Yes | For |
| Xilinx, Inc. | XLNX | 983919101 | 8/4/2021 | Elect Director Ronald S. Jankov | Yes | For |
| Xilinx, Inc. | XLNX | 983919101 | 8/4/2021 | Elect Director Mary Louise Krakauer | Yes | For |
| Xilinx, Inc. | XLNX | 983919101 | 8/4/2021 | Elect Director Thomas H. Lee | Yes | For |
| Xilinx, Inc. | XLNX | 983919101 | 8/4/2021 | Elect Director Jon A. Olson | Yes | For |
| Xilinx, Inc. | XLNX | 983919101 | 8/4/2021 | Elect Director Victor Peng | Yes | For |
| Xilinx, Inc. | XLNX | 983919101 | 8/4/2021 | Elect Director Elizabeth W. Vanderslice | Yes | For |
| Xilinx, Inc. | XLNX | 983919101 | 8/4/2021 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For |
| Xilinx, Inc. | XLNX | 983919101 | 8/4/2021 | Ratify Ernst & Young LLP as Auditors | Yes | For |
| Athene Holding Ltd. | ATH | G0684D107 | 8/31/2021 | Elect Director Marc Beilinson | Yes | For |
| Athene Holding Ltd. | ATH | G0684D107 | 8/31/2021 | Elect Director Robert L. Borden | Yes | For |
| Athene Holding Ltd. | ATH | G0684D107 | 8/31/2021 | Elect Director Mitra Hormozi | Yes | For |
| Athene Holding Ltd. | ATH | G0684D107 | 8/31/2021 | Elect Director H. Carl McCall | Yes | For |
| Athene Holding Ltd. | ATH | G0684D107 | 8/31/2021 | Elect Director Manfred Puffer | Yes | For |
| Athene Holding Ltd. | ATH | G0684D107 | 8/31/2021 | Elect Director Lynn Swann | Yes | For |
| Athene Holding Ltd. | ATH | G0684D107 | 8/31/2021 | Ratify PricewaterhouseCoopers LLP as Auditors | Yes | For |
| Athene Holding Ltd. | ATH | G0684D107 | 8/31/2021 | Authorize Board to Fix Remuneration of the Auditors | Yes | For |
| Athene Holding Ltd. | ATH | G0684D107 | 8/31/2021 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For |
| Athene Holding Ltd. | ATH | G0684D107 | 12/21/2021 | Approve Merger Agreement | Yes | For |
| Athene Holding Ltd. | ATH | G0684D107 | 12/21/2021 | Adjourn Meeting | Yes | For |
| Athene Holding Ltd. | ATH | G0684D107 | 12/21/2021 | Advisory Vote on Golden Parachutes | Yes | For |
| TriState Capital Holdings, Inc. | TSC | 89678F100 | 2/28/2022 | Approve Merger Agreement | Yes | For |
| TriState Capital Holdings, Inc. | TSC | 89678F100 | 2/28/2022 | Adjourn Meeting | Yes | For |
| Nuance Communications, Inc. | NUAN | 67020Y100 | 3/1/2022 | Elect Director Mark Benjamin | Yes | For |
| Nuance Communications, Inc. | NUAN | 67020Y100 | 3/1/2022 | Elect Director Daniel Brennan | Yes | For |
| Nuance Communications, Inc. | NUAN | 67020Y100 | 3/1/2022 | Elect Director Lloyd Carney | Yes | For |
| Nuance Communications, Inc. | NUAN | 67020Y100 | 3/1/2022 | Elect Director Thomas Ebling | Yes | For |
| Nuance Communications, Inc. | NUAN | 67020Y100 | 3/1/2022 | Elect Director Robert Finocchio | Yes | For |
| Nuance Communications, Inc. | NUAN | 67020Y100 | 3/1/2022 | Elect Director Laura S. Kaiser | Yes | For |
| Nuance Communications, Inc. | NUAN | 67020Y100 | 3/1/2022 | Elect Director Michal Katz | Yes | For |
| Nuance Communications, Inc. | NUAN | 67020Y100 | 3/1/2022 | Elect Director Mark Laret | Yes | For |
| Nuance Communications, Inc. | NUAN | 67020Y100 | 3/1/2022 | Elect Director Sanjay Vaswani | Yes | For |
| Nuance Communications, Inc. | NUAN | 67020Y100 | 3/1/2022 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For |
| Nuance Communications, Inc. | NUAN | 67020Y100 | 3/1/2022 | Ratify BDO USA, LLP as Auditors | Yes | For |
| CMC Materials, Inc. | CCMP | 12571T100 | 3/3/2022 | Approve Merger Agreement | Yes | For |
| CMC Materials, Inc. | CCMP | 12571T100 | 3/3/2022 | Advisory Vote on Golden Parachutes | Yes | For |
| CMC Materials, Inc. | CCMP | 12571T100 | 3/3/2022 | Adjourn Meeting | Yes | For |
| Bottomline Technologies, Inc. | EPAY | 101388106 | 3/8/2022 | Approve Merger Agreement | Yes | For |
| Bottomline Technologies, Inc. | EPAY | 101388106 | 3/8/2022 | Adjourn Meeting | Yes | For |
| Bottomline Technologies, Inc. | EPAY | 101388106 | 3/8/2022 | Advisory Vote on Golden Parachutes | Yes | For |
| Mimecast Limited | MIME | G14838A99 | 3/11/2022 | Approve Scheme of Arrangement | Yes | For |
| Mimecast Limited | MIME | G14838109 | 3/11/2022 | Approve Scheme of Arrangement | Yes | For |
| Mimecast Limited | MIME | G14838109 | 3/11/2022 | Advisory Vote on Golden Parachutes | Yes | For |
| Change Healthcare Inc. | CHNG | 15912K100 | 3/29/2022 | Elect Director Neil E. de Crescenzo | Yes | For |
| Change Healthcare Inc. | CHNG | 15912K100 | 3/29/2022 | Elect Director Howard L. Lance | Yes | For |
| Change Healthcare Inc. | CHNG | 15912K100 | 3/29/2022 | Elect Director Nella Domenici | Yes | For |
| Change Healthcare Inc. | CHNG | 15912K100 | 3/29/2022 | Elect Director Nicholas L. Kuhar | Yes | For |
| Change Healthcare Inc. | CHNG | 15912K100 | 3/29/2022 | Elect Director Diana McKenzie | Yes | For |
| Change Healthcare Inc. | CHNG | 15912K100 | 3/29/2022 | Elect Director Bansi Nagji | Yes | For |
| Change Healthcare Inc. | CHNG | 15912K100 | 3/29/2022 | Elect Director Philip M. Pead | Yes | For |
| Change Healthcare Inc. | CHNG | 15912K100 | 3/29/2022 | Elect Director Phillip W. Roe | Yes | For |
| Change Healthcare Inc. | CHNG | 15912K100 | 3/29/2022 | Elect Director Neil P. Simpkins | Yes | For |
| Change Healthcare Inc. | CHNG | 15912K100 | 3/29/2022 | Elect Director Robert J. Zollars | Yes | For |
| Change Healthcare Inc. | CHNG | 15912K100 | 3/29/2022 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For |
| Change Healthcare Inc. | CHNG | 15912K100 | 3/29/2022 | Ratify Deloitte & Touche LLP as Auditors | Yes | For |
| Morgan Stanley Institutional Liquidity Funds | 61747C707 | 3/31/2022 | Elect Director Nancy C. Everett | Yes | For | |
| Morgan Stanley Institutional Liquidity Funds | 61747C707 | 3/31/2022 | Elect Director Jakki L. Haussler | Yes | For | |
| Morgan Stanley Institutional Liquidity Funds | 61747C707 | 3/31/2022 | Elect Director Patricia A. Maleski | Yes | For | |
| Morgan Stanley Institutional Liquidity Funds | 61747C707 | 3/31/2022 | Elect Director Frances L. Cashman | Yes | For | |
| Morgan Stanley Institutional Liquidity Funds | 61747C707 | 3/31/2022 | Elect Director Eddie A. Grier | Yes | For | |
| Morgan Stanley Institutional Liquidity Funds | 61747C707 | 3/31/2022 | Elect Director Nancy C. Everett | Yes | For | |
| Morgan Stanley Institutional Liquidity Funds | 61747C707 | 3/31/2022 | Elect Director Jakki L. Haussler | Yes | For | |
| Morgan Stanley Institutional Liquidity Funds | 61747C707 | 3/31/2022 | Elect Director Patricia A. Maleski | Yes | For | |
| Morgan Stanley Institutional Liquidity Funds | 61747C707 | 3/31/2022 | Elect Director Frances L. Cashman | Yes | For | |
| Morgan Stanley Institutional Liquidity Funds | 61747C707 | 3/31/2022 | Elect Director Eddie A. Grier | Yes | For | |
| Morgan Stanley Institutional Liquidity Funds | 61747C707 | 3/31/2022 | Elect Director Nancy C. Everett | Yes | For | |
| Morgan Stanley Institutional Liquidity Funds | 61747C707 | 3/31/2022 | Elect Director Jakki L. Haussler | Yes | For | |
| Morgan Stanley Institutional Liquidity Funds | 61747C707 | 3/31/2022 | Elect Director Patricia A. Maleski | Yes | For | |
| Morgan Stanley Institutional Liquidity Funds | 61747C707 | 3/31/2022 | Elect Director Frances L. Cashman | Yes | For | |
| Morgan Stanley Institutional Liquidity Funds | 61747C707 | 3/31/2022 | Elect Director Eddie A. Grier | Yes | For | |
| Morgan Stanley Institutional Liquidity Funds | 61747C707 | 3/31/2022 | Elect Director Nancy C. Everett | Yes | For | |
| Morgan Stanley Institutional Liquidity Funds | 61747C707 | 3/31/2022 | Elect Director Jakki L. Haussler | Yes | For | |
| Morgan Stanley Institutional Liquidity Funds | 61747C707 | 3/31/2022 | Elect Director Patricia A. Maleski | Yes | For | |
| Morgan Stanley Institutional Liquidity Funds | 61747C707 | 3/31/2022 | Elect Director Frances L. Cashman | Yes | For | |
| Morgan Stanley Institutional Liquidity Funds | 61747C707 | 3/31/2022 | Elect Director Eddie A. Grier | Yes | For | |
| Griffin Institutional Access Credit Fund | CRDIX | 39822Y307 | 4/27/2022 | Approve New Management Agreement between Griffin Institutional Access Credit Fund and Griffin Capital Credit Advisor, LLC | Yes | Against |
| Griffin Institutional Access Credit Fund | CRDIX | 39822Y307 | 4/27/2022 | Approve New Management Agreement between Griffin Institutional Access Credit Fund and Griffin Capital Credit Advisor, LLC | Yes | Abstain |
| Griffin Institutional Access Credit Fund | CRDIX | 39822Y307 | 4/27/2022 | Approve New Management Agreement between Griffin Institutional Access Credit Fund and Griffin Capital Credit Advisor, LLC | Yes | Abstain |
| Griffin Institutional Access Credit Fund | CRDIX | 39822Y307 | 4/27/2022 | Approve New Management Agreement between Griffin Institutional Access Credit Fund and Griffin Capital Credit Advisor, LLC | Yes | For |
| Griffin Institutional Access Credit Fund | CRDIX | 39822Y307 | 4/27/2022 | Approve New Management Agreement between Griffin Institutional Access Credit Fund and Griffin Capital Credit Advisor, LLC | Yes | For |
| Griffin Institutional Access Credit Fund | CRDIX | 39822Y307 | 4/27/2022 | Approve New Investment Subadvisory Agreement for Griffin Institutional Access Credit Fund between Griffin Capital Credit Advisor, LLC and Apollo Credit Management, LLC | Yes | Against |
| Griffin Institutional Access Credit Fund | CRDIX | 39822Y307 | 4/27/2022 | Approve New Investment Subadvisory Agreement for Griffin Institutional Access Credit Fund between Griffin Capital Credit Advisor, LLC and Apollo Credit Management, LLC | Yes | Against |
| Griffin Institutional Access Credit Fund | CRDIX | 39822Y307 | 4/27/2022 | Approve New Investment Subadvisory Agreement for Griffin Institutional Access Credit Fund between Griffin Capital Credit Advisor, LLC and Apollo Credit Management, LLC | Yes | Abstain |
| Griffin Institutional Access Credit Fund | CRDIX | 39822Y307 | 4/27/2022 | Approve New Investment Subadvisory Agreement for Griffin Institutional Access Credit Fund between Griffin Capital Credit Advisor, LLC and Apollo Credit Management, LLC | Yes | Abstain |
| Griffin Institutional Access Credit Fund | CRDIX | 39822Y307 | 4/27/2022 | Approve New Investment Subadvisory Agreement for Griffin Institutional Access Credit Fund between Griffin Capital Credit Advisor, LLC and Apollo Credit Management, LLC | Yes | For |
| Griffin Institutional Access Credit Fund | CRDIX | 39822Y307 | 4/27/2022 | Elect Director Earl Hunt | Yes | For |
| Griffin Institutional Access Credit Fund | CRDIX | 39822Y307 | 4/27/2022 | Elect Director Meredith Coffey | Yes | For |
| Griffin Institutional Access Credit Fund | CRDIX | 39822Y307 | 4/27/2022 | Elect Director Christine Gallagher | Yes | For |
| Griffin Institutional Access Credit Fund | CRDIX | 39822Y307 | 4/27/2022 | Elect Director Michael Porter | Yes | For |
| Griffin Institutional Access Credit Fund | CRDIX | 39822Y307 | 4/27/2022 | Elect Director Carl J. Rickertsen | Yes | For |
| PNM Resources, Inc. | PNM | 69349H107 | 5/10/2022 | Elect Director Vicky A. Bailey | Yes | For |
| PNM Resources, Inc. | PNM | 69349H107 | 5/10/2022 | Elect Director Norman P. Becker | Yes | For |
| PNM Resources, Inc. | PNM | 69349H107 | 5/10/2022 | Elect Director Patricia K. Collawn | Yes | For |
| PNM Resources, Inc. | PNM | 69349H107 | 5/10/2022 | Elect Director E. Renae Conley | Yes | For |
| PNM Resources, Inc. | PNM | 69349H107 | 5/10/2022 | Elect Director Alan J. Fohrer | Yes | For |
| PNM Resources, Inc. | PNM | 69349H107 | 5/10/2022 | Elect Director Sidney M. Gutierrez | Yes | For |
| PNM Resources, Inc. | PNM | 69349H107 | 5/10/2022 | Elect Director James A. Hughes | Yes | For |
| PNM Resources, Inc. | PNM | 69349H107 | 5/10/2022 | Elect Director Maureen T. Mullarkey | Yes | For |
| PNM Resources, Inc. | PNM | 69349H107 | 5/10/2022 | Elect Director Donald K. Schwanz | Yes | For |
| PNM Resources, Inc. | PNM | 69349H107 | 5/10/2022 | Ratify KPMG LLP as Auditors | Yes | For |
| PNM Resources, Inc. | PNM | 69349H107 | 5/10/2022 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For |
| Ortho Clinical Diagnostics Holdings Plc | OCDX | G6829J107 | 5/16/2022 | Approve Scheme of Arrangement | Yes | For |
| Ortho Clinical Diagnostics Holdings Plc | OCDX | G6829J107 | 5/16/2022 | Approve Combination with Coronado Topco Inc | Yes | For |
| Ortho Clinical Diagnostics Holdings Plc | OCDX | G6829J107 | 5/16/2022 | Advisory Vote on Golden Parachutes | Yes | For |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 5/25/2022 | Non-Voting Agenda | Yes | |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 5/25/2022 | Consent to the Request of the Special Meeting and Agent Designation | Yes | For |
| Sportsman's Warehouse Holdings, Inc. | SPWH | 84920Y106 | 5/25/2022 | Elect Director Martha Bejar | Yes | For |
| Sportsman's Warehouse Holdings, Inc. | SPWH | 84920Y106 | 5/25/2022 | Elect Director Richard McBee | Yes | For |
| Sportsman's Warehouse Holdings, Inc. | SPWH | 84920Y106 | 5/25/2022 | Declassify the Board of Directors | Yes | For |
| Sportsman's Warehouse Holdings, Inc. | SPWH | 84920Y106 | 5/25/2022 | Ratify Grant Thornton LLP as Auditors | Yes | For |
| Sportsman's Warehouse Holdings, Inc. | SPWH | 84920Y106 | 5/25/2022 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For |
| NeoPhotonics Corporation | NPTN | 64051T100 | 6/2/2022 | Elect Director Kimberly Y. Chainey | Yes | For |
| NeoPhotonics Corporation | NPTN | 64051T100 | 6/2/2022 | Elect Director Rajiv Ramaswami | Yes | For |
| NeoPhotonics Corporation | NPTN | 64051T100 | 6/2/2022 | Elect Director Ihab Tarazi | Yes | For |
| NeoPhotonics Corporation | NPTN | 64051T100 | 6/2/2022 | Ratify BDO USA, LLP as Auditors | Yes | For |
| Cornerstone Building Brands, Inc. | CNR | 21925D109 | 6/24/2022 | Approve Merger Agreement | Yes | For |
| Cornerstone Building Brands, Inc. | CNR | 21925D109 | 6/24/2022 | Adjourn Meeting | Yes | For |
| Cornerstone Building Brands, Inc. | CNR | 21925D109 | 6/24/2022 | Advisory Vote on Golden Parachutes | Yes | For |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Non-Voting Agenda | Yes | |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Remove Eileen P. Drake, Kevin P. Chilton, Thomas A. Corcoran, James R. Henderson, Lance W. Lord, Audrey A. McNiff, Martin Turchin and Warren G. Lichtenstein as Directors | Yes | Do Not Vote |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Directors Warren G. Lichtenstein | Yes | Do Not Vote |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Tina W. Jonas | Yes | Do Not Vote |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Joanne M. Maguire | Yes | Do Not Vote |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Aimee J. Nelson | Yes | Do Not Vote |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Mark A. Tucker | Yes | Do Not Vote |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Martin Turchin | Yes | Do Not Vote |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Mathias W. Winter | Yes | Do Not Vote |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Heidi R. Wood | Yes | Do Not Vote |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Adjourn Meeting | Yes | Do Not Vote |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Remove Warren G. Lichtenstein, Kevin P. Chilton, Thomas A. Corcoran, James R. Henderson, Lance W. Lord, Audrey A. McNiff, Martin Turchin and Eileen P. Drake as Directors | Yes | For |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Directors Gail Baker | Yes | For |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Marion C. Blakey | Yes | For |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Charlie F. Bolden | Yes | For |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Kevin P. Chilton | Yes | For |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Thomas A. Corcoran | Yes | For |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Eileen P. Drake | Yes | For |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Deborah Lee James | Yes | For |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Lance W. Lord | Yes | For |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Adjourn Meeting | Yes | For |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Non-Voting Agenda | Yes | |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Remove Eileen P. Drake, Kevin P. Chilton, Thomas A. Corcoran, James R. Henderson, Lance W. Lord, Audrey A. McNiff, Martin Turchin and Warren G. Lichtenstein as Directors | Yes | Do Not Vote |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Directors Warren G. Lichtenstein | Yes | Do Not Vote |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Tina W. Jonas | Yes | Do Not Vote |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Joanne M. Maguire | Yes | Do Not Vote |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Aimee J. Nelson | Yes | Do Not Vote |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Mark A. Tucker | Yes | Do Not Vote |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Martin Turchin | Yes | Do Not Vote |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Mathias W. Winter | Yes | Do Not Vote |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Heidi R. Wood | Yes | Do Not Vote |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Adjourn Meeting | Yes | Do Not Vote |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Remove Warren G. Lichtenstein, Kevin P. Chilton, Thomas A. Corcoran, James R. Henderson, Lance W. Lord, Audrey A. McNiff, Martin Turchin and Eileen P. Drake as Directors | Yes | For |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Directors Gail Baker | Yes | For |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Marion C. Blakey | Yes | For |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Charlie F. Bolden | Yes | For |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Kevin P. Chilton | Yes | For |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Thomas A. Corcoran | Yes | For |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Eileen P. Drake | Yes | For |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Deborah Lee James | Yes | For |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Elect Director Lance W. Lord | Yes | For |
| Aerojet Rocketdyne Holdings, Inc. | AJRD | 007800105 | 6/30/2022 | Adjourn Meeting | Yes | For |
Vote Summary
| PIMCO FUNDS | ||||||||||||||||||||||||||||||||
| Security | 69346N107 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | NRGX | Meeting Date | 08-Jul-2021 | |||||||||||||||||||||||||||||
| ISIN | US69346N1072 | Agenda | 935443476 - Opposition | |||||||||||||||||||||||||||||
| Record Date | 29-Apr-2021 | Holding Recon Date | 29-Apr-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 07-Jul-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Deborah A. DeCotis | Split | Split | |||||||||||||||||||||||||||||
| 2 | David N. Fisher | Split | Split | |||||||||||||||||||||||||||||
| 3 | Hans W. Kertess | Split | Split | |||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
45,565 | 0 | 25-Jun-2021 | 25-Jun-2021 | |||||||||||||||||||||||||
| ALLIANZGI CONV & INCOME FD II | ||||||||||||||||||||||||||||||||
| Security | 92838U108 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | NCZ | Meeting Date | 08-Jul-2021 | |||||||||||||||||||||||||||||
| ISIN | US92838U1088 | Agenda | 935461121 - Management | |||||||||||||||||||||||||||||
| Record Date | 13-May-2021 | Holding Recon Date | 13-May-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 07-Jul-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Hans W. Kertess | Split | Split | |||||||||||||||||||||||||||||
| 2 | James S. MacLeod | Split | Split | |||||||||||||||||||||||||||||
| 3 | George R. Aylward | Split | Split | |||||||||||||||||||||||||||||
| 4 | Philip R. McLoughlin | Split | Split | |||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
68,280 | 0 | 07-Jul-2021 | 07-Jul-2021 | |||||||||||||||||||||||||
| SPARTAN ACQUISITION CORP. II | ||||||||||||||||||||||||||||||||
| Security | 846775104 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | SPRQ | Meeting Date | 08-Jul-2021 | |||||||||||||||||||||||||||||
| ISIN | US8467751041 | Agenda | 935465624 - Management | |||||||||||||||||||||||||||||
| Record Date | 01-Jun-2021 | Holding Recon Date | 01-Jun-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 07-Jul-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - To consider and vote upon a proposal to (a) approve and adopt the Business Combination Agreement, dated as of January 23, 2021 (the "Business Combination Agreement") by and among Spartan, SL Invest I Inc., a Delaware corporation and wholly owned subsidiary of Spartan ("MergerCo1"), SL Invest II LLC, a Delaware limited liability company and wholly owned subsidiary of Spartan ("MergerCo2"), SL Financial Investor I LLC, a Delaware limited liability company ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2A. | The Authorized Share Charter Sub-Proposal - To (a) increase the number of authorized shares of Spartan's capital stock, par value $0.0001 per share ("Common Stock"), from (i) 271,000,000 shares, consisting of 270,000,000 shares of Common Stock, including 250,000,000 shares of Class A common stock, par value $0.0001 per share ("Class A Common Stock"), and 20,000,000 shares of Class B common stock, par value $0.0001 per share ("Class B Common Stock") and 1,000,000 shares of preferred ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2B. | The Additional Charter Sub-Proposal - To make certain other changes that the Spartan Board deems appropriate for a public company, including changing the post- combination company's name to "Sunlight Financial Holdings Inc.," removing the provision that Spartan elects to not be subject to Section 203 of the Delaware General Corporation Law, eliminating the right of stockholders to act by written consent and certain other changes (the "Additional Charter Sub-Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 2C. | The Bylaw Amendment Charter Sub-Proposal - To require the affirmative vote of the holders of at least 66 2/3 % of the voting power of all then-outstanding shares of Sunlight Financial Holdings' capital stock entitled to vote generally in the election of directors, voting together as a single class, for the stockholders of Sunlight Financial Holdings to adopt, amend or repeal any provision of Sunlight Financial Holdings' bylaws (the "Bylaw Amendment Charter Sub-Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 2D. | The Charter Amendment Charter Sub-Proposal - To require, except as otherwise provided in the second amended and restated certificate of incorporation of Spartan (the "Proposed Second A&R Charter") to be adopted by Spartan prior to the closing of the Business Combination (the "Closing"), including, for example, to increase or decrease the number of authorized shares of Class A Common Stock, Class B Common Stock, Class C Common Stock or Preferred Stock the affirmative vote of the holders of ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The NYSE Proposal - To consider and vote upon a proposal to approve, for purposes of complying with applicable listing rules of the New York Stock Exchange (the "NYSE"), the issuance of up to (a) an aggregate of 115,000,000 shares of Class A Common Stock, including, without limitation, (i) in connection with the Business Combination, (ii) to the investors in the private offering of Class A Common Stock to certain investors in connection with the Business Combination (the "PIPE Financing"), ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | The 2021 Plan Proposal - To consider and vote upon a proposal to approve and adopt the Sunlight Financial Holdings 2021 Equity Incentive Plan (the "2021 Plan") and material terms thereunder (the "2021 Plan Proposal"). The 2021 Plan Proposal is conditioned on the approval of the Business Combination Proposal, the Charter Proposals and the NYSE Proposal. |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | The ESPP Proposal - To consider and vote upon a proposal to approve and adopt the Sunlight Financial Holdings Employee Stock Purchase Plan (the "ESPP") and material terms thereunder (the "ESPP Proposal"). The ESPP Proposal is conditioned on the approval of the Business Combination Proposal, the Charter Proposals and the NYSE Proposal. |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Matthew Potere | For | For | |||||||||||||||||||||||||||||
| 2 | Emil W. Henry, Jr. | For | For | |||||||||||||||||||||||||||||
| 3 | Brad Bernstein | For | For | |||||||||||||||||||||||||||||
| 4 | Jennifer D. Nordquist | For | For | |||||||||||||||||||||||||||||
| 5 | Kenneth Shea | For | For | |||||||||||||||||||||||||||||
| 6 | Joshua Siegel | For | For | |||||||||||||||||||||||||||||
| 7 | Philip Ryan | For | For | |||||||||||||||||||||||||||||
| 8 | Jeanette Gorgas | For | For | |||||||||||||||||||||||||||||
| 9 | Toan Huynh | For | For | |||||||||||||||||||||||||||||
| 7. | The Adjournment Proposal - To consider and vote upon a proposal to approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Business Combination Proposal, the Charter Proposals, the NYSE Proposal, the 2021 Plan Proposal, the ESPP Proposal or the Director Election Proposal. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
66 | 0 | 22-Jun-2021 | 22-Jun-2021 | |||||||||||||||||||||||||
| LANDCADIA HOLDINGS III, INC. | ||||||||||||||||||||||||||||||||
| Security | 51476H100 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | LCY | Meeting Date | 13-Jul-2021 | |||||||||||||||||||||||||||||
| ISIN | US51476H1005 | Agenda | 935468199 - Management | |||||||||||||||||||||||||||||
| Record Date | 16-Jun-2021 | Holding Recon Date | 16-Jun-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 12-Jul-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - to consider and vote upon a proposal to approve the agreement and plan of merger, dated as of January 24, 2021 (as may be amended and/or restated from time to time, the "Merger Agreement"), by and among Landcadia; Helios Sun Merger Sub, Inc., a Delaware corporation and a wholly- owned subsidiary of Landcadia ("Merger Sub"); HMAN Group Holdings Inc. a Delaware corporation ("Hillman Holdco"); and CCMP Sellers' Representative, LLC, solely in its capacity as representative of ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Charter Proposal - to consider and vote upon a proposal to approve, assuming the other condition precedent proposals (as defined below) are approved and adopted, the proposed third amended and restated certificate of incorporation of Landcadia (the "Proposed Charter"), which will replace Landcadia's second amended and restated certificate of incorporation, dated October 8, 2020 (the "Current Charter") and will be in effect upon the Closing of the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 3A. | Advisory Charter Proposal A - Our Current Charter requires the affirmative vote of holders of at least a majority of the voting power of outstanding shares to adopt, amend, alter or repeal the Current Charter. The Proposed Charter will require the approval by affirmative vote of the holders of at least 66% in voting power of the outstanding common stock of the combined company to amend certain provisions of the Proposed Charter as follows: Article FIFTH, which addresses amending or addressing the number ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3B. | Advisory Charter Proposal B - Our Current Charter requires the affirmative vote of holders of at least a majority of the voting power of outstanding shares for stockholders to adopt, amend, alter or repeal the bylaws of New Hillman. The Proposed Charter would require the approval by the affirmative vote of the holders of at least 66% in voting power of the then outstanding shares of common stock of New Hillman for stockholders to adopt, amend, alter or repeal the bylaws of New Hillman. |
Management | For | For | ||||||||||||||||||||||||||||
| 3C. | Advisory Charter Proposal C - Our Current Charter requires the affirmative vote of holders of at least a majority of the voting power of outstanding shares to remove a director from office. The Proposed Charter would require the approval by the affirmative vote of the holders of at least 66% in voting power of the then outstanding shares of common stock of New Hillman to remove a director from office. |
Management | For | For | ||||||||||||||||||||||||||||
| 3D. | Advisory Charter Proposal D - Under the Current Charter, Landcadia is subject to Section 203 of the DGCL. The additional amendment would cause the combined company to not be governed by Section 203 of the DGCL and, instead, include a provision in the Proposed Charter that is substantially similar to Section 203 of the DGCL, but excludes from the definition of "interested stockholder" (A) the investment funds affiliated with CCMP Capital Advisors, LP and their respective successors, ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3E. | Advisory Charter Proposal E - Our Current Charter authorizes the issuance of 380,000,000 shares of Landcadia Class A common stock, 20,000,000 shares of Landcadia Class B common stock and 1,000,000 shares of preferred stock. The Proposed Charter would increase the total number of authorized shares of common stock to 500,000,000 and 1,000,000 shares of preferred stock. As part of the transactions contemplated by the Merger Agreement and in accordance with the Current Charter, all Landcadia Class B ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3F. | Advisory Charter Proposal F - The Proposed Charter provides that New Hillman will renounce any interest or expectancy in, or in being offered an opportunity to participate in, any business opportunities that are from time to time available to CCMP Capital Advisors, LP, the investment funds affiliated with CCMP Capital Advisors, LP or their respective successors, Transferees, and Affiliates (each as defined in the Proposed Charter) (other than New Hillman and its subsidiaries) or any of ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3G. | Advisory Charter Proposal G - The Current Charter permits only holders of Class B common stock to take action by written consent in lieu of taking action at a meeting of stockholders. The Proposed Charter instead prohibits stockholder action by written consent by specifying that any action required or permitted to be taken by stockholders must be effected by a duly called annual or special meeting and may not be effected by written consent. |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | The Stock Issuance Proposal - to consider and vote upon a proposal to approve, assuming the other condition precedent proposals (as defined below) are approved and adopted, for the purposes of complying with the applicable listing rules of Nasdaq, the issuance of (x) shares of New Hillman common stock pursuant to the terms of the Merger Agreement and (y) shares of Landcadia Class A common stock to certain institutional investors including JFG Sponsor (collectively, the "PIPE Investors") in connection with the Private Placement. |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | The Incentive Plan Proposal - to consider and vote upon a proposal to approve, assuming the other condition precedent proposals (as defined below) are approved and adopted, the Hillman Solutions Corp. 2021 Equity Incentive Plan (the "Incentive Equity Plan"), a copy of which is attached to the accompanying proxy statement/prospectus as Annex F, including the authorization of the initial share reserve under the Incentive Equity Plan. |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The ESPP Proposal - to consider and vote upon a proposal to approve, assuming the condition precedent proposals (as defined below) are approved and adopted, the Hillman Solutions Corp. 2021 Employee Stock Purchase Plan (the "ESPP"), a copy of which is attached to the accompanying proxy statement/prospectus as Annex G, including the authorization of the initial share reserve under the ESPP. |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Douglas Cahill | For | For | |||||||||||||||||||||||||||||
| 2 | Joseph Scharfenberger | For | For | |||||||||||||||||||||||||||||
| 3 | Richard Zannino | For | For | |||||||||||||||||||||||||||||
| 4 | Aaron Jagdfeld | For | For | |||||||||||||||||||||||||||||
| 5 | David Owens | For | For | |||||||||||||||||||||||||||||
| 6 | Philip Woodlief | For | For | |||||||||||||||||||||||||||||
| 7 | Diana Dowling | For | For | |||||||||||||||||||||||||||||
| 8 | John Swygert | For | For | |||||||||||||||||||||||||||||
| 9 | Daniel O'Leary | For | For | |||||||||||||||||||||||||||||
| 10 | Teresa Gendron | For | For | |||||||||||||||||||||||||||||
| 8. | The Adjournment Proposal - to consider and vote upon a proposal to approve the adjournment of the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, any of the Business Combination Proposal, the Charter Proposal, the Stock Issuance Proposal, the Incentive Plan Proposal and the Director Election Proposal (together the "condition precedent proposals") would not be duly approved and ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,380 | 0 | 06-Jul-2021 | 06-Jul-2021 | |||||||||||||||||||||||||
| SANDBRIDGE ACQUISITION CORP CLASS A | ||||||||||||||||||||||||||||||||
| Security | 799793104 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | SBG | Meeting Date | 14-Jul-2021 | |||||||||||||||||||||||||||||
| ISIN | US7997931040 | Agenda | 935467224 - Management | |||||||||||||||||||||||||||||
| Record Date | 01-Jun-2021 | Holding Recon Date | 01-Jun-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 13-Jul-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1. | Business Combination Proposal - to approve the business combination agreement, dated as of February 15, 2021 (as may be amended and/or restated from time to time, the "Business Combination Agreement"), by and among Sandbridge Acquisition Corporation ("Sandbridge"), Project Olympus Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Sandbridge ("Merger Sub"), and Owlet Baby Care Inc., a Delaware corporation ("Owlet"), and the transactions contemplated thereby, pursuant ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Charter Amendment Proposal, including the Advisory Charter Amendment Proposals - to approve, assuming Proposal 1 is approved and adopted, the proposed amended and restated certificate of incorporation of Sandbridge (the "Proposed Charter"), which will replace Sandbridge's amended and restated certificate of incorporation, dated September 14, 2020 (the "Current Charter"), and which will be in effect as of the Effective Time (we refer to such proposal as the "Charter ... (due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2A. | Advisory Charter Amendment Proposal A -- Upon the effectiveness of the Proposed Charter, Sandbridge will be renamed Owlet, Inc. ("New Owlet") and will be authorized to issue 1,100,000,000 shares of capital stock, consisting of (i) 1,000,000,000 shares of New Owlet common stock, par value $0.0001 per share and (ii) 100,000,000 shares of undesignated preferred stock, par value $0.0001 per share, as opposed to the Current Charter, which authorizes Sandbridge to issue 111,000,000 shares of capital ... (due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2B. | Advisory Charter Amendment Proposal B -- Under the Proposed Charter, New Owlet will remove the provisions regarding New Owlet not being governed by Section 203 of the General Corporation Law of the State of Delaware relating to takeovers by interested stockholders. |
Management | For | For | ||||||||||||||||||||||||||||
| 2C. | Advisory Charter Amendment Proposal C -- Under the Proposed Charter, in addition to any vote required by Delaware law, Part B of Article IV, Article V, Article VI, Article VII, Article VIII and Article IX of the Proposed Charter may be amended only by the affirmative vote of the holders of at least two-thirds of the total voting power of the then outstanding shares of stock of New Owlet entitled to vote thereon, voting together as a single class. |
Management | For | For | ||||||||||||||||||||||||||||
| 2D. | Advisory Charter Amendment Proposal D -- Under the Proposed Charter, directors can be removed only for cause and only by the affirmative vote of the holders of at least two-thirds of the outstanding shares entitled to vote at an election of directors. |
Management | For | For | ||||||||||||||||||||||||||||
| 2E. | Advisory Charter Amendment Proposal E -- Under the Proposed Charter, the board of directors of New Owlet is expressly authorized to adopt, alter, amend or repeal the Bylaws in accordance with Delaware law; provided that, in addition to any vote required by Delaware law, the adoption, amendment or repeal of the Bylaws by New Owlet stockholders will require the affirmative vote of the holders of at least two-thirds of the voting power of all of the then outstanding shares of voting ... (due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2F. | Advisory Charter Amendment Proposal F -- To provide for certain additional changes, including, among other things, (i) changing the corporate name from "Sandbridge Acquisition Corporation" to "Owlet, Inc.", and (ii) removing certain provisions related to Sandbridge's status as a blank check company that will no longer be applicable upon consummation of the Merger, all of which the Sandbridge board of directors believes is necessary to adequately address the needs of New Owlet after the Merger. |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The NYSE Proposal - to approve, assuming Proposals 1 and 2 are approved and adopted, for the purposes of complying with the applicable listing rules of the New York Stock Exchange, the issuance of (i) 13,000,000 shares of Sandbridge Class A common stock to the certain investors pursuant to subscription agreements (the "Subscription Agreements") immediately prior to the Closing, plus any additional shares issued pursuant to Subscription Agreements we may enter into prior to Closing, and ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | The Incentive Award Plan Proposal - to approve, assuming Proposals 1, 2 and 3 are approved and adopted, the Owlet, Inc. 2021 Incentive Award Plan (the "New Owlet Incentive Award Plan"), including the authorization of the initial share reserve under the New Owlet Incentive Award Plan, including with respect to the number of shares that may be issued pursuant to the exercise of incentive stock options granted. |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | The ESPP Proposal - to approve, assuming Proposals 1, 2, 3 and 4 are approved and adopted, the Owlet, Inc. 2021 Employee Stock Purchase Plan (the "New Owlet ESPP"), including the authorization of the initial share reserve under the New Owlet ESPP. |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The Adjournment Proposal - to approve the adjournment of the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, any of Proposals 1, 2, 3, 4 or 5 would not be duly approved and adopted by our stockholders or we determine that one or more of the closing conditions under the Business Combination Agreement is not satisfied or waived. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
2,778 | 0 | 01-Jul-2021 | 01-Jul-2021 | |||||||||||||||||||||||||
| EMPOWER LTD. | ||||||||||||||||||||||||||||||||
| Security | G3R39W102 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | EMPW | Meeting Date | 14-Jul-2021 | |||||||||||||||||||||||||||||
| ISIN | KYG3R39W1020 | Agenda | 935468947 - Management | |||||||||||||||||||||||||||||
| Record Date | 07-Jun-2021 | Holding Recon Date | 07-Jun-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 13-Jul-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1. | Business Combination Proposal - Proposal to adopt the Merger Agreement, dated as of March 11, 2021 (as it may be amended from time to time, the "Merger Agreement") by and among Empower, Empower Merger Sub I, Inc., a Delaware corporation and subsidiary of Empower ("Merger Sub I"), Empower Merger Sub II, LLC, a Delaware limited liability company and subsidiary of Empower ("Merger Sub II") and Holley Intermediate Holdings, Inc., a Delaware corporation "Holley"),...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | Redomestication Proposal - Proposal to approve by special resolution the change of the Company's jurisdiction of incorporation by continuing and deregistering as an exempted company in the Cayman Islands and continuing and domesticating as a corporation incorporated under the laws of the State of Delaware (the "Domestication" and, together with the Mergers, the "Business Combination"). The Redomestication Proposal is conditioned on the approval of each of the Business Combination ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3A. | Authorized Shares - Proposal to amend the Cayman Constitutional Documents to authorize 555,000,000 shares, consisting of 550,000,000 shares of Domestication Common Stock and 5,000,000 shares of New Holley preferred stock. |
Management | For | For | ||||||||||||||||||||||||||||
| 3B. | Exclusive Forum Provision - Proposal to amend the Cayman Constitutional Documents to adopt Delaware as the exclusive forum. |
Management | For | For | ||||||||||||||||||||||||||||
| 3C. | Takeovers by Interested Stockholders - Proposal to amend the Cayman Constitutional Documents to allow New Holley to elect not to be governed by Section 203 of the DGCL relating to takeovers by interested stockholders and, instead, be governed by a provision substantially similar to Section 203 of the DGCL. |
Management | For | For | ||||||||||||||||||||||||||||
| 3D. | Adoption of Supermajority Vote Requirement to Amend the Proposed Organizational Documents - Proposal to amend the Cayman Constitutional Documents to require the affirmative vote of at least (i) 66 2/3% to adopt, amend or repeal Article VI of the Proposed Bylaws (ii) 66.7%, to adopt, amend or repeal amend, alter, repeal or rescind Section 4.2 and Articles V, VII, VIII, X, XI and XII of the Proposed Charter and (iii) 80% to adopt, amend or repeal Article IX of the Proposed Charter. |
Management | For | For | ||||||||||||||||||||||||||||
| 3E. | Removal of Directors - Proposal to amend the Cayman Constitutional Documents to permit the removal of a director only for cause and only by the affirmative vote of the holders of at least a majority of the outstanding shares entitled to vote at an election of directors. |
Management | For | For | ||||||||||||||||||||||||||||
| 3F. | Action by Written Consent of Stockholders - Proposal to amend the Cayman Constitutional Documents to require stockholders to take action at an annual or special meeting and prohibit stockholder action by written consent in lieu of a meeting. |
Management | For | For | ||||||||||||||||||||||||||||
| 3G. | Corporate Opportunities - Proposal to amend the Cayman Constitutional Documents to explicitly waive any expectation of corporate opportunities with respect to New Holley's non- employee directors. |
Management | For | For | ||||||||||||||||||||||||||||
| 3H. | Other Changes In Connection With Adoption of the Proposed Organizational Documents - Proposal to amend the Cayman Constitutional Documents to authorize (1) changing the corporate name from "Empower Ltd." to "Holley Inc.", (2) making New Holley's corporate existence perpetual, and (3) removing certain provisions related to Empower's status as a blank check company that will no longer be applicable upon consummation of the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | Binding Charter Proposals - Proposal to adopt by special resolution the Proposed Charter in the form attached to the Proxy Statement as Annex C. The Binding Charter Proposal is conditioned on the approval of each of the Business Combination Proposal, the Redomestication Proposal and the NYSE Proposal. Therefore, if each of the Business Combination Proposal, the Redomestication Proposal and the NYSE Proposal is not approved, the Binding Charter Proposal will have no effect. |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | Director Election Proposal - Proposal to elect seven (7) directors who upon consummation of the Business Combination will be directors of New Holley. The Director Election Proposal is conditioned on the approval of each of the Business Combination Proposal, the Redomestication Proposal, the NYSE Proposal and the Binding Charter Proposal. Therefore, if each of the Business Combination Proposal, the Redomestication Proposal, the NYSE Proposal and the Binding Charter Proposal is not approved, the ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The NYSE Proposal - Proposal to approve, for purposes of complying with applicable NYSE listing rules, the issuance of more than 20% of Empower Class A Shares and Empower Class B Shares pursuant to the Business Combination. The NYSE Proposal is conditioned on the approval of each of the Business Combination Proposal, the Redomestication Proposal and the Binding Charter Proposal. Therefore, if each of the Business Combination Proposal, the Redomestication Proposal and the ... (due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | Incentive Plan Proposal - Proposal to approve the Holley Inc. 2021 Stock Incentive Plan (the "Incentive Plan"), in the form attached to the Proxy Statement as Annex I, including the authorization of the initial share reserve under the Incentive Plan. The Incentive Plan Proposal is conditioned on the approval of each of the Business Combination Proposal, the Redomestication Proposal, the NYSE Proposal and the Binding Charter Proposal. Therefore, if each of the Business Combination ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 8. | Adjournment Proposal - Proposal to adjourn the Extraordinary Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if there are insufficient votes for, or otherwise in connection with, the approval of the Business Combination Proposal, the Redomestication Proposal, the Binding Charter Approval Proposal, the Incentive Plan Proposal, the Director Election Proposal and the NYSE Proposal. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,419 | 0 | 06-Jul-2021 | 06-Jul-2021 | |||||||||||||||||||||||||
| FG NEW AMERICA ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 30259V106 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | FGNA | Meeting Date | 16-Jul-2021 | |||||||||||||||||||||||||||||
| ISIN | US30259V1061 | Agenda | 935467779 - Management | |||||||||||||||||||||||||||||
| Record Date | 21-Jun-2021 | Holding Recon Date | 21-Jun-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 15-Jul-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | Business Combination Proposal - To consider and vote upon a proposal to approve and adopt the Business Combination Agreement, dated as of February 9, 2021 (a copy of which is attached to this proxy statement as Annex A) (as amended, the "Business Combination Agreement"), by and among the Company, Opportunity Financial, LLC, a Delaware limited liability company ("OppFi"), OppFi Shares, a Delaware limited liability company ("OFS") and Todd Schwartz, in his capacity as the member's ... (due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | NYSE Proposal - To consider and vote upon a proposal to approve, for purposes of complying with applicable NYSE listing rules, the issuance of more than 20% of the Company's issued and outstanding common stock (i) pursuant to the terms of the Business Combination Agreement and (ii) upon the exchange of the Retained OppFi Units pursuant to the terms of the OppFi A&R LLCA, in each case, that may result in a Member owning more than 20% of our outstanding common stock, or more than 20% of the ... (due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | Charter Proposal - To consider and vote upon proposal to approve the Company's proposed second amended and restated certificate of incorporation (the "proposed charter"), substantially in the form attached to the accompanying proxy statement as Annex C, in connection with the business combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 4A. | Advisory Charter Proposal A - to provide that special meetings of stockholders of the Company may be called, at any time when the SCG Holders (as defined in the accompanying proxy statement) beneficially own, in the aggregate, 35% or more of the voting power of the stock of the Company entitled to vote generally in the election of directors, by a representative of the SCG Holders. |
Management | For | For | ||||||||||||||||||||||||||||
| 4B. | Advisory Charter Proposal B - to provide that, at any time when the SCG Holders beneficially own, in the aggregate, less than 35% of the voting power of the stock of the Company entitled to vote generally in the election of directors, any action required or permitted to be taken by the stockholders of the Company must be effected at a duly called annual or special meeting of such holders and may not be effected by written consent of the stockholders; provided, however, that any action required or ... (due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4C. | Advisory Charter Proposal C - to provide that, at any time when the SCG Holders beneficially own, in the aggregate, 35% or more of the voting power of the stock of the Company entitled to vote generally in the election of directors, any action required or permitted to be taken at any annual or special meeting of stockholders of the Company may be taken without a meeting, without prior notice and without a vote, if a consent or consents in writing, setting forth the action so taken, shall be ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4D. | Advisory Charter Proposal D - to provide that the Company opts out of Section 203 of the Delaware General Corporation Law, which prevents certain Delaware corporations, under certain circumstances, from engaging in a "business combination" with certain "interested stockholders" and their affiliates, and, instead, effective immediately following the Closing of the business combination, the Company shall not engage in any business combination (as defined in the proposed charter), at ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4E. | Advisory Charter Proposal E - to provide that, at any time when the SCG Holders beneficially own, in the aggregate, 35% or more of the voting power of the stock of the Company entitled to vote generally in the election of directors, any newly created directorships resulting from an increase in the number of directors and any vacancies on the Board resulting from death, resignation, retirement, disqualification, removal or other cause may be filled by (i) the affirmative vote or written ... (due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4F. | Advisory Charter Proposal F - to provide that, at any time when the SCG Holders beneficially own, in the aggregate, 35% or more of the voting power of the stock of the Company entitled to vote generally in the election of directors, any or all of the directors may be removed from office at any time, either with or without cause and only by the affirmative vote or written consent of the holders of at least a majority in voting power of all then outstanding shares of common stock, voting together as ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4G. | Advisory Charter Proposal G - to change the name of the new public entity to "OppFi Inc." from "FG New America Acquisition Corp.". |
Management | For | For | ||||||||||||||||||||||||||||
| 4H. | Advisory Charter Proposal H - to, upon completion of the business combination, increase the authorized capital stock from 401,000,000 shares, consisting of 380,000,000 shares of Class A common stock, 20,000,000 shares of Class B common stock and 1,000,000 shares of preferred stock, to 501,000,000 shares, which would consist of 500,000,000 shares of common stock, including (i) 379,000,000 shares of Class A common stock, (ii) 6,000,000 shares of Class B common stock, and (iii) 115,000,000 ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | Incentive Plan Proposal - To consider and vote upon a proposal to approve the Incentive Plan, substantially in the form attached to the accompanying proxy statement as Annex E, including the authorization of the initial share reserve under the Incentive Plan. |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | ESPP Proposal - To consider and vote upon a proposal to approve, assuming the condition precedent proposals are approved and adopted, the ESPP, substantially in the form attached to the accompanying proxy statement as Annex F, including the authorization of the initial share reserve under the ESPP. |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Christina Favilla | For | For | |||||||||||||||||||||||||||||
| 2 | Jocelyn Moore | For | For | |||||||||||||||||||||||||||||
| 3 | Ted Schwartz | For | For | |||||||||||||||||||||||||||||
| 4 | Jared Kaplan | For | For | |||||||||||||||||||||||||||||
| 5 | Greg Zeeman | For | For | |||||||||||||||||||||||||||||
| 6 | David Vennettilli | For | For | |||||||||||||||||||||||||||||
| 7 | Todd Schwartz | For | For | |||||||||||||||||||||||||||||
| 8. | Adjournment Proposal - To consider and vote upon a proposal to approve the adjournment of the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if there are insufficient votes for, or otherwise in connection with, the approval of the condition precedent proposals. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
3,106 | 0 | 01-Jul-2021 | 01-Jul-2021 | |||||||||||||||||||||||||
| 10X CAPITAL VENTURE ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 88025V107 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | VCVC | Meeting Date | 21-Jul-2021 | |||||||||||||||||||||||||||||
| ISIN | US88025V1070 | Agenda | 935471879 - Management | |||||||||||||||||||||||||||||
| Record Date | 02-Jun-2021 | Holding Recon Date | 02-Jun-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 20-Jul-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Merger Proposal - To adopt the Agreement and Plan of Merger, dated as of February 3, 2021 and to approve the merger contemplated by such agreement (the "Merger") by and among REE Automotive Ltd, a corporation organized under the laws of Israel ("REE"), Spark Merger Sub Inc., a Delaware corporation and a direct, wholly-owned subsidiary of REE ("Merger Sub"), and the Company, which provides for, among other things, the merger of Merger Sub with and into the Company, with Company surviving as a wholly-owned subsidiary of REE. In connection with Merger. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Class B Charter Proposal - To amend the Company's amended and restated certificate of incorporation (the "Existing 10X Capital Charter") by adopting the second amended and restated certificate of incorporation (the "Proposed 10X Capital Charter"), which will provide that, immediately prior to the consummation of the Merger, all shares of 10X Capital Class B Common Stock will automatically convert into shares of 10X Class A Common Stock with an amended conversion ratio adjustment. |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Material Differences Charter Proposal - To approve the material differences between the Existing 10X Capital Charter and REE's articles of association to be in effect following the Merger (the "Amended and Restated Articles"). |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | The Adjournment Proposal - To adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, the Company is not authorized to consummate the Merger. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
2,010 | 0 | 14-Jul-2021 | 14-Jul-2021 | |||||||||||||||||||||||||
| ROTH CH ACQUISITION II | ||||||||||||||||||||||||||||||||
| Security | 778673103 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | ROCC | Meeting Date | 27-Jul-2021 | |||||||||||||||||||||||||||||
| ISIN | US7786731031 | Agenda | 935473695 - Management | |||||||||||||||||||||||||||||
| Record Date | 07-Jul-2021 | Holding Recon Date | 07-Jul-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 26-Jul-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - to approve and adopt, assuming each of the Charter Proposal and the Nasdaq Proposal is approved and adopted, the agreement and plan of merger, dated as of April 14, 2021 (the "Merger Agreement"), by and among ROCC, Roth CH II Merger Sub Corp., a Delaware corporation and wholly- owned subsidiary of ROCC ("Merger Sub"), and Reservoir Holdings, Inc., a Delaware corporation ("Reservoir"), pursuant to which Merger Sub will be merged with and into Reservoir, with ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2A. | To approve the proposed Second Amended and Restated Certificate of Incorporation of ROCC, a copy of which is attached to the proxy statement as Annex B: to amend the name of the new public entity from "Roth CH Acquisition II Co." to "Reservoir Media, Inc." |
Management | For | For | ||||||||||||||||||||||||||||
| 2B. | To approve the proposed Second Amended and Restated Certificate of Incorporation of ROCC, a copy of which is attached to the proxy statement as Annex B: to remove various provisions applicable only to blank check companies. |
Management | For | For | ||||||||||||||||||||||||||||
| 2C. | To approve the proposed Second Amended and Restated Certificate of Incorporation of ROCC, a copy of which is attached to the proxy statement as Annex B: to increase total number of authorized shares of the Combined Company's common stock to 750,000,000. |
Management | For | For | ||||||||||||||||||||||||||||
| 2D. | To approve the proposed Second Amended and Restated Certificate of Incorporation of ROCC, a copy of which is attached to the proxy statement as Annex B: to authorize a total of 75,000,000 shares of the Combined Company's preferred stock. |
Management | For | For | ||||||||||||||||||||||||||||
| 2E. | To approve the proposed Second Amended and Restated Certificate of Incorporation of ROCC, a copy of which is attached to the proxy statement as Annex B: to require an affirmative vote of holders of at least two-thirds (66 and 2/3%) of the total voting power of all of the then outstanding shares of stock of the Combined Company, voting together as a single class, to amend, alter, repeal or rescind certain provisions of the Proposed Charter. |
Management | For | For | ||||||||||||||||||||||||||||
| 2F. | To approve the proposed Second Amended and Restated Certificate of Incorporation of ROCC, a copy of which is attached to the proxy statement as Annex B: to require an affirmative vote of holders of at least two-thirds (66 and 2/3%) of the voting power of all of the then outstanding shares of voting stock of the Combined Company entitled to vote generally in an election of directors, voting together as a single class, to adopt, amend, alter or repeal the Combined Company's amended and restated bylaws. |
Management | For | For | ||||||||||||||||||||||||||||
| 2G. | To approve the proposed Second Amended and Restated Certificate of Incorporation of ROCC, a copy of which is attached to the proxy statement as Annex B: to provide for the removal of directors for cause only by affirmative vote of holders of at least two-thirds (66 and 2/3%) of the voting power of all of the then outstanding shares of voting stock of the Combined Company entitled to vote at an election of directors. |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Nasdaq Proposal - to approve, assuming the Business Combination Proposal is approved and adopted, for purposes of complying with applicable listing rules of the Nasdaq Stock Market LLC ("Nasdaq"), the issuance of more than 20% of the issued and outstanding shares of ROCC's common stock in connection with (i) the terms of the Merger Agreement, which will result in a change of control, as required by Nasdaq Listing Rule 5635(a) and 5635(b), (ii) the issuance and sale of ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Rell Lafargue | For | For | |||||||||||||||||||||||||||||
| 2 | Neil de Gelder | For | For | |||||||||||||||||||||||||||||
| 3 | Stephen M. Cook | For | For | |||||||||||||||||||||||||||||
| 4 | Jennifer G. Koss | For | For | |||||||||||||||||||||||||||||
| 5 | Adam Rothstein | For | For | |||||||||||||||||||||||||||||
| 6 | Golnar Khosrowshahi | For | For | |||||||||||||||||||||||||||||
| 7 | Ezra S. Field | For | For | |||||||||||||||||||||||||||||
| 8 | Ryan P. Taylor | For | For | |||||||||||||||||||||||||||||
| 5. | The Incentive Plan Proposal - to approve and adopt, assuming the Business Combination Proposal is approved and adopted, Reservoir Media, Inc. 2021 Omnibus Incentive Plan, a copy of which is attached to this proxy statement as Annex D, which will be assumed by the Combined Company in connection with the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The Adjournment Proposal - to approve a proposal to adjourn the special meeting of stockholders to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting of stockholders, there are not sufficient votes to approve the Business Combination Proposal, the Charter Proposal, the Nasdaq Proposal, the Directors Proposal or the Incentive Plan Proposal. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
350 | 0 | 16-Jul-2021 | 16-Jul-2021 | |||||||||||||||||||||||||
| NEW BEGINNINGS ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 64222H100 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | NBA | Meeting Date | 11-Aug-2021 | |||||||||||||||||||||||||||||
| ISIN | US64222H1005 | Agenda | 935479229 - Management | |||||||||||||||||||||||||||||
| Record Date | 12-Jul-2021 | Holding Recon Date | 12-Jul-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 10-Aug-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - To approve and adopt the Business Combination Agreement, dated as of March 8, 2021 (as it may be amended and/or restated from time to time, the "Business Combination Agreement"), by and among NBA, Airspan Networks Inc. ("Airspan") and Artemis Merger Sub Corp. ("Merger Sub"), and the transactions contemplated thereby (the "Business Combination"). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Charter Amendment Proposal - To adopt the proposed second amended and restated certificate of incorporation of NBA attached as Annex B to the proxy statement (the "Proposed Certificate of Incorporation"). |
Management | For | For | ||||||||||||||||||||||||||||
| 3A. | The Governance Proposal - To change the name of NBA to "Airspan Networks Holdings Inc." from the current name of "New Beginnings Acquisition Corp." and remove certain provisions related to New Beginnings' status as a special purpose acquisition company that will no longer be relevant following the closing of the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 3B. | The Governance Proposal - To increase (i) the number of shares of common stock NBA is authorized to issue from 100,000,000 shares to 250,000,000 shares and (ii) the number of shares of preferred stock NBA is authorized to issue from 1,000,000 shares to 10,000,000 shares. |
Management | For | For | ||||||||||||||||||||||||||||
| 3C. | The Governance Proposal - To require the vote of at least two- thirds of the voting power of the outstanding shares of capital stock, rather than a simple majority, to adopt, amend or repeal the post-Business Combination company's bylaws. |
Management | For | For | ||||||||||||||||||||||||||||
| 3D. | The Governance Proposal - To require the vote of at least two- thirds of the voting power of the outstanding shares of capital stock, rather than a simple majority, to remove a director from office and provide that directors may only be removed for cause. |
Management | For | For | ||||||||||||||||||||||||||||
| 3E. | The Governance Proposal - To introduce a three-class staggered board of directors. |
Management | For | For | ||||||||||||||||||||||||||||
| 3F. | The Governance Proposal - To require the vote of at least two- thirds of the voting power of the outstanding shares of capital stock, rather than a simple majority, to amend or repeal certain provisions of the Proposed Certificate of Incorporation. |
Management | For | For | ||||||||||||||||||||||||||||
| 3G. | The Governance Proposal - To remove the provision renouncing the corporate opportunity doctrine. |
Management | For | For | ||||||||||||||||||||||||||||
| 3H. | The Governance Proposal - To modify the forum selection provision to designate the U.S. federal district courts as the exclusive forum for claims arising under the Securities Act of 1933, as amended. |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Thomas S. Huseby | For | For | |||||||||||||||||||||||||||||
| 2 | Eric D. Stonestrom | For | For | |||||||||||||||||||||||||||||
| 3 | Bandel L. Carano | For | For | |||||||||||||||||||||||||||||
| 4 | Michael T. Flynn | For | For | |||||||||||||||||||||||||||||
| 5 | Scot B. Jarvis | For | For | |||||||||||||||||||||||||||||
| 6 | Michael Liebowitz | For | For | |||||||||||||||||||||||||||||
| 7 | Mathew Oommen | For | For | |||||||||||||||||||||||||||||
| 8 | Dominique Trempont | For | For | |||||||||||||||||||||||||||||
| 5. | The Stock Incentive Plan Proposal - To approve and adopt the Airspan Networks Holdings Inc. 2021 Stock Incentive Plan to be effective upon the closing of the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The NYSE American Proposal - To approve, in connection with the Business Combination, for purposes of complying with applicable listing rules of the NYSE American. The issuance, pursuant to the Business Combination Agreement, of an aggregate of 59,364,647 shares of NBA common stock. The issuance of up to 9,000,000 shares of NBA common stock upon exercise of warrants issued in connection with the Business Combination. The issuance of up to 7,135,353 shares of NBA common stock upon exercise of ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | The Adjournment Proposal - To approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Business Combination Proposal, the Charter Amendment Proposal, the Election of Directors Proposal, the Stock Incentive Plan Proposal, and the NYSE American Proposal. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,405 | 0 | 02-Aug-2021 | 02-Aug-2021 | |||||||||||||||||||||||||
| CF FINANCE ACQUISITION CORP III | ||||||||||||||||||||||||||||||||
| Security | 12529D108 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | CFAC | Meeting Date | 12-Aug-2021 | |||||||||||||||||||||||||||||
| ISIN | US12529D1081 | Agenda | 935477984 - Management | |||||||||||||||||||||||||||||
| Record Date | 12-Jul-2021 | Holding Recon Date | 12-Jul-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 11-Aug-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Pre-Merger Charter Amendment Proposal - To approve an amendment of CF III's current amended and restated certificate of incorporation (the "Existing Charter") to increase the number of authorized shares of Class A Common Stock from 200,000,000 to 300,000,000 shares for the purposes of carrying out the Business Combination (as defined below). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Business Combination Proposal - To approve and adopt the Agreement and Plan of Merger, dated February 17, 2021, as amended on April 30, 2021 (as the terms and conditions therein may be further amended, modified or waived from time to time, the "Merger Agreement"), by and among CF III, Meliora Merger Sub, Inc., a Delaware corporation and wholly-owned subsidiary of CF III ("Merger Sub"), and AEye, Inc., a Delaware corporation ("AEye"), and approve the transactions contemplated thereby, ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Wen Hsieh | For | For | |||||||||||||||||||||||||||||
| 2 | Timothy J. Dunn | For | For | |||||||||||||||||||||||||||||
| 3 | Luis Dussan | For | For | |||||||||||||||||||||||||||||
| 4 | Dr. Karl-Thomas Neumann | For | For | |||||||||||||||||||||||||||||
| 5 | Blair LaCorte | For | For | |||||||||||||||||||||||||||||
| 6 | Prof. Dr. B. Gottschalk | For | For | |||||||||||||||||||||||||||||
| 7 | Carol DiBattiste | For | For | |||||||||||||||||||||||||||||
| 4. | The Nasdaq Proposal - To approve, for purposes of complying with The Nasdaq Stock Market Listing Rule 5635 (the "Nasdaq Listing Rule"), the issuance of up to 154,081,440 shares of Class A Common Stock, par value $0.0001 per share, of CF III pursuant to the Merger Agreement and up to 22,500,000 shares of Class A Common Stock pursuant to the PIPE Investment. |
Management | For | For | ||||||||||||||||||||||||||||
| 5A. | Post-Merger Charter Amendment Proposal A - To consider and vote upon separate proposals to approve the following material differences between the proposed amended and restated certificate of incorporation of the Combined Entity (the "Amended Charter") that will be in effect upon the closing of the Merger and the Existing Charter: Change in Name. |
Management | For | For | ||||||||||||||||||||||||||||
| 5B. | Post-Merger Charter Amendment Proposal B - To consider and vote upon separate proposals to approve the following material differences between the proposed amended and restated certificate of incorporation of the Combined Entity (the "Amended Charter") that will be in effect upon the closing of the Merger and the Existing Charter: Change in Corporate Purpose. |
Management | For | For | ||||||||||||||||||||||||||||
| 5C. | Post-Merger Charter Amendment Proposal C - To consider and vote upon separate proposals to approve the following material differences between the proposed amended and restated certificate of incorporation of the Combined Entity (the "Amended Charter") that will be in effect upon the closing of the Merger and the Existing Charter: Elimination of Class B Common Stock. |
Management | For | For | ||||||||||||||||||||||||||||
| 5D. | Post-Merger Charter Amendment Proposal D - To consider and vote upon separate proposals to approve the following material differences between the proposed amended and restated certificate of incorporation of the Combined Entity (the "Amended Charter") that will be in effect upon the closing of the Merger and the Existing Charter: Additional Director Class and Increased Term. |
Management | For | For | ||||||||||||||||||||||||||||
| 5E. | Post-Merger Charter Amendment Proposal E - To consider and vote upon separate proposals to approve the following material differences between the proposed amended and restated certificate of incorporation of the Combined Entity (the "Amended Charter") that will be in effect upon the closing of the Merger and the Existing Charter: Amendment of Corporate Opportunities Provision. |
Management | For | For | ||||||||||||||||||||||||||||
| 5F. | Post-Merger Charter Amendment Proposal F - To consider and vote upon separate proposals to approve the following material differences between the proposed amended and restated certificate of incorporation of the Combined Entity (the "Amended Charter") that will be in effect upon the closing of the Merger and the Existing Charter: Removal of Blank Check Company Provisions. |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The Equity Incentive Plan Proposal - To approve and adopt the Equity Incentive Plan of the Combined Entity. |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | The Adjournment Proposal - To consider and vote upon a proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve the Pre- Merger Charter Amendment Proposal, the Business Combination Proposal, the Director Election Proposal, the Nasdaq Proposal, the Post-Merger Charter Amendment Proposals, or the Equity Incentive Plan Proposal. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
252 | 0 | 02-Aug-2021 | 02-Aug-2021 | |||||||||||||||||||||||||
| NEXTGEN ACQUISITION CORPORATION | ||||||||||||||||||||||||||||||||
| Security | G65305107 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | NGAC | Meeting Date | 18-Aug-2021 | |||||||||||||||||||||||||||||
| ISIN | KYG653051071 | Agenda | 935481553 - Management | |||||||||||||||||||||||||||||
| Record Date | 02-Jul-2021 | Holding Recon Date | 02-Jul-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 17-Aug-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The BCA Proposal - to consider and vote upon a proposal to approve by ordinary resolution and adopt the Agreement and Plan of Merger, dated as of February 21, 2021, as amended on May 14, 2021 (the "Merger Agreement"), by and among NextGen Acquisition Corporation ("NextGen"), Sky Merger Sub I, Inc. ("Merger Sub") and Xos, Inc. ("Xos"), a copy of which is attached to the proxy statement/prospectus statement as Annex A. The Merger Agreement provides for, among other things, the merger of Merger Sub with ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Domestication Proposal - to consider and vote upon a proposal to approve by special resolution, the change of NextGen's jurisdiction of incorporation by deregistering as an exempted company in the Cayman Islands and continuing and domesticating as a corporation incorporated under the laws of the State of Delaware (the "Domestication" and, together with the Merger, the "Business Combination") (the "Domestication Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 2A. | Organizational Documents Proposals - to consider and vote upon the following four separate proposals (collectively, the "Organizational Documents Proposals") to approve by special resolution, the following material differences between NextGen's Amended and Restated Memorandum and Articles of Association (as may be amended from time to time, the "Cayman Constitutional Documents") and the proposed new certificate of incorporation ("Proposed Certificate of Incorporation") and the proposed new ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | Organizational Documents Proposal A - to authorize the change in the authorized share capital of NextGen from 500,000,000 Class A ordinary shares, par value $0.0001 per share (the "NextGen Class A ordinary shares"), 50,000,000 Class B ordinary shares, par value $0.0001 per share (the "NextGen Class B ordinary shares" and, together with the Class A ordinary shares, the "ordinary shares"), and 5,000,000 preferred shares, par value $0.0001 per share (the "NextGen preferred shares"), to 1,000,000,000 shares ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | Organizational Documents Proposal B - to authorize the board of directors of New Xos (the "New Xos Board") to issue any or all shares of New Xos preferred stock in one or more series, with such terms and conditions as may be expressly determined by the New Xos Board and as may be permitted by the DGCL ("Organizational Documents Proposal B"). |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | Organizational Documents Proposal C - to provide that the New Xos Board be divided into three classes, with each class made up of, as nearly as may be possible, of one-third of the total number of directors constituting the entire New Xos Board, with only one class of directors being elected in each year and each class serving a three-year term ("Organizational Documents Proposal C"). |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | Organizational Documents Proposal D - to authorize all other changes in connection with the replacement of Cayman Constitutional Documents with the Proposed Certificate of Incorporation and Proposed Bylaws in connection with the consummation of the Business Combination (copies of which are attached to the proxy statement/prospectus as Annex I and Annex J, respectively), including (1) changing the corporate name from "NextGen Acquisition Corporation" to "Xos, Inc.", (2) making New ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | The Director Election Proposal - to consider and vote upon a proposal to approve by ordinary resolution, assuming the BCA Proposal, the Domestication Proposal and the Organizational Documents Proposals are approved, to elect six directors who, upon consummation of the Business Combination, will be the directors of New Xos (the "Director Election Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 8. | The Stock Issuance Proposal - to consider and vote upon a proposal to approve by ordinary resolution for purposes of complying with the applicable provisions of The Nasdaq Stock Market Listing Rule 5635, the issuance of New Xos common stock to (a) the PIPE Investors (as defined in the proxy statement/prospectus), including the Sponsor Related PIPE Investor (as defined in the proxy statement/prospectus), pursuant to the PIPE Investment (as defined in the proxy ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 9. | The Equity Incentive Plan Proposal - to consider and vote upon a proposal to approve by ordinary resolution, the Xos, Inc. 2021 Equity Incentive Plan (the "Equity Incentive Plan Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 10. | The ESPP Proposal - to consider and vote upon a proposal to approve by ordinary resolution, the Xos, Inc. 2021 Employee Stock Purchase Plan (the "ESPP Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 11. | The Adjournment Proposal - to consider and vote upon a proposal to approve the adjournment of the extraordinary general meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for the approval of one or more proposals at the extraordinary general meeting (the "Adjournment Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,419 | 0 | 06-Aug-2021 | 06-Aug-2021 | |||||||||||||||||||||||||
| LIV CAPITAL ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | G5510C108 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | LIVK | Meeting Date | 18-Aug-2021 | |||||||||||||||||||||||||||||
| ISIN | KYG5510C1087 | Agenda | 935481971 - Management | |||||||||||||||||||||||||||||
| Record Date | 15-Jul-2021 | Holding Recon Date | 15-Jul-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | Mexico | Vote Deadline Date | 17-Aug-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal. To approve by an ordinary resolution, that the transactions contemplated by the Agreement and Plan of Merger, dated as of May 9, 2021 (as amended or modified from time to time, the "merger agreement"), by and among LIV Capital Acquisition Corp., a Cayman Islands exempted company ("LIVK") and AgileThought, Inc., a Delaware corporation ("AT"), pursuant to which LIVK will domesticate as a new Delaware corporation and AT will subsequently be merged with and ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Nasdaq Proposal. To approve by ordinary resolution, that, for purposes of complying with applicable listing rules of The Nasdaq Stock Market LLC (the "Nasdaq"), the issuance by LIVK of (i) 2,650,000 shares of Class A common stock to the subscription investors pursuant to the subscription agreements and (ii) up to 36,712,131 shares of Class A common stock to equityholders of AgileThought, Inc., including LIV Fund IV solely with respect to its shares held as a pre-merger AT equity holder, pursuant to ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Domestication Proposal. To approve by special resolution that LIV Capital Acquisition Corp. be transferred by way of continuation to Delaware pursuant to Part XII of the Companies Act (As Revised) of the Cayman Islands and Section 388 of the General Corporation Law of the State of Delaware and, immediately upon being de-registered in the Cayman Islands, LIV Capital Acquisition Corp. be continued and domesticated as a corporation under the laws of the state of Delaware and, ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | The Charter Amendment Proposal. To approve by special resolution, that the Amended and Restated Memorandum and Articles of Association of LIV Capital Acquisition Corp. currently in effect be amended and restated by the deletion in their entirety and the substitution in their place of the proposed Certificate of Incorporation (a copy of which is attached to the proxy statement/prospectus in respect of the shareholders meeting as Annex B) including the authorization of the change in authorized share capital as indicated therein. |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | To approve by ordinary resolution, that, (x) in connection with the amendment and restatement of the Amended and Restated Memorandum and Articles of Association of LIV Capital Acquisition Corp. by deleting them in their entirety and substituting in their place the proposed Certificate of Incorporation (a copy of which is attached to the proxy statement/prospectus in respect of the shareholders meeting as Annex B), the provisions in the proposed Certificate of ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | To approve by ordinary resolution, that, in connection with the amendment and restatement of the Amended and Restated Memorandum and Articles of Association of LIV Capital Acquisition Corp. by deleting them in their entirety and substituting in their place the proposed Certificate of Incorporation (a copy of which is attached to the proxy statement/prospectus in respect of the shareholders meeting as Annex B), the provisions in the proposed Certificate of Incorporation dividing the board of directors ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | To approve by ordinary resolution, that, in connection with the amendment and restatement of the Amended and Restated Memorandum and Articles of Association of LIV Capital Acquisition Corp. by deleting them in their entirety and substituting in their place the proposed Certificate of Incorporation (a copy of which is attached to the proxy statement/prospectus in respect of the shareholders meeting as Annex B), the provisions in the proposed Certificate of Incorporation providing that the directors may ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 8. | To approve by ordinary resolution, that, in connection with the amendment and restatement of the Amended and Restated Memorandum and Articles of Association of LIV Capital Acquisition Corp. by deleting them in their entirety and substituting in their place the proposed Certificate of Incorporation (a copy of which is attached to the proxy statement/prospectus in respect of the shareholders meeting as Annex B), the provisions in the proposed Certificate of Incorporation removing the ability of ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 9. | To approve by ordinary, advisory resolution, that, in connection with the amendment and restatement of the Amended and Restated Memorandum and Articles of Association of LIV Capital Acquisition Corp. by deleting them in their entirety and substituting in their place the proposed Certificate of Incorporation (a copy of which is attached to the proxy statement/prospectus in respect of the shareholders meeting as Annex B), the provisions in the proposed Certificate of ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 10. | To approve by ordinary, advisory resolution, that in connection with the amendment and restatement of the Amended and Restated Memorandum and Articles of Association of LIV Capital Acquisition Corp. by deleting them in their entirety and substituting in their place the proposed Certificate of Incorporation (a copy of which is attached to the proxy statement/prospectus in respect of the shareholders meeting as Annex B), the provisions in the proposed Certificate of ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 11. | The Equity Incentive Plan Proposal. To approve by ordinary resolution, that the New AT 2021 Equity Incentive Plan in the form attached to the proxy statement/prospectus dated July 29, 2021 be adopted and approved in all respects. |
Management | For | For | ||||||||||||||||||||||||||||
| 12. | The Employee Stock Purchase Plan Proposal. To approve by ordinary resolution, that the New AT 2021 Employee Stock Purchase Plan in the form attached to the proxy statement/prospectus dated July 29, 2021 be adopted and approved in all respects. |
Management | For | For | ||||||||||||||||||||||||||||
| 13. | The Adjournment Proposal. To approve by ordinary resolution, that the adjournment of the general meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that it is determined by LIV Capital Acquisition Corp. that more time is necessary or appropriate to approve one or more proposals at the general meeting be approved and adopted in all respects. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
4,087 | 0 | 05-Aug-2021 | 05-Aug-2021 | |||||||||||||||||||||||||
| GOOD WORKS ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 38216X107 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | GWAC | Meeting Date | 25-Aug-2021 | |||||||||||||||||||||||||||||
| ISIN | US38216X1072 | Agenda | 935482531 - Management | |||||||||||||||||||||||||||||
| Record Date | 27-Jul-2021 | Holding Recon Date | 27-Jul-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 24-Aug-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - RESOLVED, that Good Works's entry into the Agreement and Plan of Merger, dated as of March 4, 2021 (as may be amended, supplemented or otherwise modified from time to time, the "Merger Agreement"), by and among Currency Merger Sub, Inc., a Delaware corporation and a wholly- owned direct subsidiary of GWAC ("Merger Sub"), and Cipher Mining Technologies Inc., a Delaware corporation ("Cipher"), a copy of which is attached to the accompanying proxy ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2A. | Advisory Charter Amendment Proposal A - Under the Proposed Certificate of Incorporation, New Cipher will be authorized to issue 510,000,000 shares of GWAC capital stock, consisting of (i) 500,000,000 shares of common stock, par value $0.001 per share and (ii) 10,000,000 shares of undesignated preferred stock, par value $0.001 per share, as opposed to the Current Certificate of Incorporation, which authorizes GWAC to issue 101,000,000 shares of capital stock, consisting of (a) ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2B. | Advisory Charter Amendment Proposal B - Under the Proposed Certificate of Incorporation, in addition to any vote required by Delaware law, Part B of Article IV, Article V, Article VI, Article VII, Article VIII and Article IX of the Proposed Certificate of Incorporation may be amended only by the affirmative vote of the holders of at least two- thirds of the total voting power of the then outstanding shares of stock of New Cipher entitled to vote thereon, voting together as a single class. |
Management | For | For | ||||||||||||||||||||||||||||
| 2C. | Advisory Charter Amendment Proposal C - Under the Proposed Certificate of Incorporation, directors can be removed only for cause and only by the affirmative vote of the holders of at least a two-thirds of the outstanding shares entitled to vote at an election of directors. |
Management | For | For | ||||||||||||||||||||||||||||
| 2D. | Advisory Charter Amendment Proposal D - Under the Proposed Certificate of Incorporation, the New Cipher Board is expressly authorized to adopt, alter, amend or repeal the Bylaws in accordance with Delaware law; provided that, in addition to any vote required by Delaware law, the adoption, amendment or repeal of the Bylaws by New Cipher stockholders will require the affirmative vote of the holders of at least two-thirds of the voting power of all of the then outstanding shares of voting ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2E. | Advisory Charter Amendment Proposal E - to provide for certain additional changes, including, among other things, (i) changing the corporate name from "Good Works Acquisition Corp." to "Cipher Mining Inc.", and (ii) removing certain provisions related to GWAC's status as a blank check company that will no longer be applicable upon consummation of the Business Combination, all of which the GWAC Board believes is necessary to adequately address the needs of GWAC after the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Incentive Plan Proposal - RESOLVED, that the Incentive Award Plan, a copy of which is attached to the proxy statement/prospectus as Annex L, be approved, ratified and confirmed in all respects. |
Management | For | For | ||||||||||||||||||||||||||||
| 4A. | Election of Class I Director until 2022 annual meeting: Caitlin Long |
Management | For | For | ||||||||||||||||||||||||||||
| 4B. | Election of Class I Director until 2022 annual meeting: Robert Dykes |
Management | For | For | ||||||||||||||||||||||||||||
| 4C. | Election of Class II Director until 2023 annual meeting: Holly Morrow Evans |
Management | For | For | ||||||||||||||||||||||||||||
| 4D. | Election of Class II Director until 2023 annual meeting: James Newsome |
Management | For | For | ||||||||||||||||||||||||||||
| 4E. | Election of Class II Director until 2023 annual meeting: Wesley Williams |
Management | For | For | ||||||||||||||||||||||||||||
| 4F. | Election of Class III Director until 2024 annual meeting: Tyler Page |
Management | For | For | ||||||||||||||||||||||||||||
| 4G. | Election of Class III Director until 2024 annual meeting: Cary Grossman |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | The Nasdaq Proposal - RESOLVED, that, for purpose of complying with Nasdaq Listing Rule 5635, the issuance of GWAC Common Stock in connection with the Business Combination, the PIPE Financing and the Bitfury Private Placement be approved, ratified and confirmed in all respects. |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The Adjournment Proposal - RESOLVED, that, the adjournment of the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Business Combination Proposal, the Charter Proposal, the Incentive Plan Proposal, the Director Election Proposal, and the Nasdaq Proposal, or if we determine that one or more of the closing conditions to Merger ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,401 | 0 | 06-Aug-2021 | 06-Aug-2021 | |||||||||||||||||||||||||
| LIBERTY ALL-STAR GROWTH FUND, INC. | ||||||||||||||||||||||||||||||||
| Security | 529900102 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | ASG | Meeting Date | 26-Aug-2021 | |||||||||||||||||||||||||||||
| ISIN | US5299001025 | Agenda | 935472693 - Management | |||||||||||||||||||||||||||||
| Record Date | 14-Jun-2021 | Holding Recon Date | 14-Jun-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 25-Aug-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | To approve an amendment to the Growth Fund's Articles of Incorporation increasing the number of shares of capital stock the Growth Fund is authorized to issue from 60 million shares of Common Stock, par value $.10 per share, to 200 million shares of such stock. |
Management | Split | Split | ||||||||||||||||||||||||||||
| 3. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Thomas W. Brock | Split | Split | |||||||||||||||||||||||||||||
| 2 | John J. Neuhauser | Split | Split | |||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
5 | 0 | 25-Aug-2021 | 25-Aug-2021 | |||||||||||||||||||||||||
| BLUE WATER ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 09607T104 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | BLUW | Meeting Date | 27-Aug-2021 | |||||||||||||||||||||||||||||
| ISIN | US09607T1043 | Agenda | 935478823 - Management | |||||||||||||||||||||||||||||
| Record Date | 16-Jul-2021 | Holding Recon Date | 16-Jul-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 26-Aug-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1. | The Business Combination Proposal - To approve and adopt the Agreement and Plan of Merger, dated as of April 27, 2021 (as it may be amended or supplemented from time to time, the "Merger Agreement"), by and among Blue Water, Blue Water Merger Sub Corp., a Delaware corporation and wholly-owned subsidiary of Blue Water ("Merger Sub") and Clarus Therapeutics, Inc., a Delaware corporation ("Clarus"), and approve the transactions contemplated thereby, including the merger of Merger Sub with ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | To approve and adopt a second amendment and restatement of Blue Water's certificate of incorporation ("Blue Water Charter"): provide that the name of Blue Water shall be changed to "Clarus Therapeutics Holdings, Inc." |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | To approve and adopt a second amendment and restatement of Blue Water's certificate of incorporation ("Blue Water Charter"): provide for the structure of the board of directors of Blue Water (the "Board") immediately after the consummation of the Business Combination (the "Closing"), split into three classes of as even size as practicable, Class I, II, and III, each to serve a term of three (3) years, except for the initial term, for which the Class I directors will be up for reelection at the ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | To approve and adopt a second amendment and restatement of Blue Water's certificate of incorporation ("Blue Water Charter"): remove and change certain provisions in the Blue Water Charter related to Blue Water's status as a special purpose acquisition company. |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | To approve and adopt a second amendment and restatement of Blue Water's certificate of incorporation ("Blue Water Charter"): conditioned upon the approval of Proposals 2 through 4, to approve the proposed Amended Charter in the form appended to the accompanying proxy statement/prospectus as Annex B, which includes the approval of all other changes in the proposed Amended Charter in connection with replacing the existing Blue Water Charter with the proposed Amended Charter as of the ... (due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | John Amory | For | For | |||||||||||||||||||||||||||||
| 2 | Alex Zisson | For | For | |||||||||||||||||||||||||||||
| 3 | Elizabeth Cermak | For | For | |||||||||||||||||||||||||||||
| 4 | Mark Prygocki | For | For | |||||||||||||||||||||||||||||
| 5 | Robert Dudley | For | For | |||||||||||||||||||||||||||||
| 6 | Kimberly Murphy | For | For | |||||||||||||||||||||||||||||
| 7 | Joseph Hernandez | For | For | |||||||||||||||||||||||||||||
| 7. | The Incentive Plan Proposal - To consider and vote upon a proposal to adopt the Clarus Therapeutics Holdings, Inc. 2021 Stock Option and Incentive Plan, a copy of which is appended to the accompanying proxy statement/prospectus as Annex C. |
Management | For | For | ||||||||||||||||||||||||||||
| 8. | The ESPP Proposal - To consider and vote upon a proposal to adopt the Clarus Therapeutics Holdings, Inc. 2021 Employee Stock Purchase Plan, a copy of which is appended to the accompanying proxy statement/prospectus as Annex D. |
Management | For | For | ||||||||||||||||||||||||||||
| 9. | The Adjournment Proposal - To consider and vote upon a proposal to adjourn this special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve the Business Combination Proposal, the Charter Amendment Proposals, the Director Election Proposal, the Incentive Plan Proposal, or the ESPP Proposal. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,705 | 0 | 02-Aug-2021 | 02-Aug-2021 | |||||||||||||||||||||||||
| CHARDAN HEALTHCARE ACQUISITION 2 CORP. | ||||||||||||||||||||||||||||||||
| Security | 15957T107 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | CHAQ | Meeting Date | 01-Sep-2021 | |||||||||||||||||||||||||||||
| ISIN | US15957T1079 | Agenda | 935483862 - Management | |||||||||||||||||||||||||||||
| Record Date | 05-Aug-2021 | Holding Recon Date | 05-Aug-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 31-Aug-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | To consider and vote upon a proposal to approve the transactions (collectively, the "Business Combination") contemplated by that certain Agreement and Plan of Merger, dated March 22, 2021 (as it may be amended, supplemented or otherwise modified from time to time, the "Merger Agreement"), by and among Chardan, CHAQ2 Merger Sub, Inc., a Delaware corporation and a wholly-owned direct subsidiary of Chardan ("Merger Sub"), and Renovacor, Inc., a Delaware corporation ("Renovacor"), a copy of which is ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2A. | To consider and vote upon proposal to approve and adopt changes to the certificate of incorporation of Chardan reflected in the second amended and restated certificate of incorporation of Chardan in the form attached as Annex B to the accompanying proxy statement / information statement (the "second amended and restated certificate of incorporation"): to change Chardan's name from "Chardan Healthcare Acquisition 2 Corp." to "Renovacor, Inc." |
Management | For | For | ||||||||||||||||||||||||||||
| 2B. | To consider and vote upon proposal to approve and adopt changes to the certificate of incorporation of Chardan reflected in the second amended and restated certificate of incorporation of Chardan in the form attached as Annex B to the accompanying proxy statement / information statement (the "second amended and restated certificate of incorporation"): to approve the removal of certain provisions relating to Chardan's status as a special purpose acquisition company. |
Management | For | For | ||||||||||||||||||||||||||||
| 2C. | To consider and vote upon proposal to approve and adopt changes to the certificate of incorporation of Chardan reflected in the second amended and restated certificate of incorporation of Chardan in the form attached as Annex B to the accompanying proxy statement / information statement (the "second amended and restated certificate of incorporation"): to approve an increase in the number of shares of authorized capital stock of Chardan. |
Management | For | For | ||||||||||||||||||||||||||||
| 2D. | To consider and vote upon proposal to approve and adopt changes to the certificate of incorporation of Chardan reflected in the second amended and restated certificate of incorporation of Chardan in the form attached as Annex B to the accompanying proxy statement / information statement (the "second amended and restated certificate of incorporation"): to approve the classification of New Renovacor's board of directors into three separate classes, with directors in each class serving a three-year term. |
Management | For | For | ||||||||||||||||||||||||||||
| 2E. | To consider and vote upon proposal to approve and adopt changes to the certificate of incorporation of Chardan reflected in the second amended and restated certificate of incorporation of Chardan in the form attached as Annex B to the accompanying proxy statement / information statement (the "second amended and restated certificate of incorporation"): to approve the provision of New Renovacor's proposed certificate that would require the vote of at least two-thirds of the voting power of ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2F. | To consider and vote upon proposal to approve and adopt changes to the certificate of incorporation of Chardan reflected in the second amended and restated certificate of incorporation of Chardan in the form attached as Annex B to the accompanying proxy statement / information statement (the "second amended and restated certificate of incorporation"): to expressly consent to the selection of the federal district courts of the United States of America as the sole and exclusive forum for the ... (due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2G. | To consider and vote upon proposal to approve and adopt changes to the certificate of incorporation of Chardan reflected in the second amended and restated certificate of incorporation of Chardan in the form attached as Annex B to the accompanying proxy statement / information statement (the "second amended and restated certificate of incorporation"): to approve the provisions in the proposed certificate that provide that special meetings of the stockholders of New Renovacor may be called at ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2H. | To consider and vote upon proposal to approve and adopt changes to the certificate of incorporation of Chardan reflected in the second amended and restated certificate of incorporation of Chardan in the form attached as Annex B to the accompanying proxy statement / information statement (the "second amended and restated certificate of incorporation"): to approve the provisions in the proposed certificate that would prohibit stockholders of New Renovacor from acting by written consent. |
Management | For | For | ||||||||||||||||||||||||||||
| 2I. | To consider and vote upon proposal to approve and adopt changes to the certificate of incorporation of Chardan reflected in the second amended and restated certificate of incorporation of Chardan in the form attached as Annex B to the accompanying proxy statement / information statement (the "second amended and restated certificate of incorporation"): to approve the provisions in the proposed certificate permitting stockholders to remove a director from office only for cause. |
Management | For | For | ||||||||||||||||||||||||||||
| 2J. | To consider and vote upon proposal to approve and adopt changes to the certificate of incorporation of Chardan reflected in the second amended and restated certificate of incorporation of Chardan in the form attached as Annex B to the accompanying proxy statement / information statement (the "second amended and restated certificate of incorporation"): to approve the provisions in the proposed certificate that would require the vote of at least two-thirds of the voting power of New ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | To consider and vote on a proposal to approve and adopt the Chardan Healthcare Acquisition 2 Corp. 2021 Incentive Plan (the "Incentive Plan") - we refer to this proposal as the "incentive plan proposal." A copy of the Incentive Plan is attached to the accompanying proxy statement / information statement as Annex C. |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | To consider and vote upon a proposal to approve, for purposes of complying with Section 312.03(c) of the NYSE Listed Company Manual, the issuance of more than 20% of Chardan's issued and outstanding shares of common stock in connection with the Business Combination, including, without limitation, the private placement of 3,000,000 shares of common stock to certain investors pursuant subscription agreements entered into in connection with the Business Combination - we refer to this proposal as the "NYSE proposal". |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | To consider and vote upon a proposal to adjourn the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the business combination proposal, the Charter Proposals, the incentive plan proposal or the NYSE proposal - we refer to this proposal as the "adjournment proposal." |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,662 | 0 | 11-Aug-2021 | 11-Aug-2021 | |||||||||||||||||||||||||
| GENESIS PARK ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | G38245109 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | GNPK | Meeting Date | 01-Sep-2021 | |||||||||||||||||||||||||||||
| ISIN | KYG382451097 | Agenda | 935485498 - Management | |||||||||||||||||||||||||||||
| Record Date | 02-Aug-2021 | Holding Recon Date | 02-Aug-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 31-Aug-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - RESOLVED, as an ordinary resolution, that (a) GPAC's entry into the Agreement and Plan of Merger, dated as of March 25, 2021 (as may be amended, supplemented or otherwise modified from time to time, the "Merger Agreement"), by and among GPAC, Shepard Merger Sub Corporation, a Delaware corporation and direct, wholly owned subsidiary of GPAC ("Merger Sub"), Cosmos Intermediate, LLC, a Delaware limited liability company and direct, wholly owned ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Domestication Proposal - RESOLVED, as a special resolution, that GPAC be transferred by way of continuation to Delaware pursuant to Sections 206 through 209 of Part XII of the Companies Act (as Revised) of the Cayman Islands and Section 388 of the General Corporation Law of the State of Delaware ("DGCL") and, immediately upon being de-registered in the Cayman Islands, GPAC be continued and domesticated as a corporation under the laws of the State of Delaware (the "Domestication" and ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Charter Amendment Proposal - RESOLVED, as a special resolution, that the existing amended and restated memorandum and articles of association of GPAC (together, the "Existing Governing Documents") be amended and restated by the deletion in their entirety and the substitution in their place of the proposed new certificate of incorporation, a copy of which is attached to the accompanying proxy statement/prospectus as Annex C (the "Proposed Certificate of Incorporation") and the proposed ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | Governing Documents Proposal A - RESOLVED, as a non-binding, advisory resolution, that the change in the authorized share capital of GPAC from (i) US$25,200 divided into 230,000,000 Class A ordinary shares, par value $0.0001 per share, 20,000,000 Class B ordinary shares, par value $0.0001 per share, and 2,000,000 preference shares, par value $0.0001 per share, to (ii) 500,000,000 shares of the New Redwire Common Stock and 100,000,000 shares of preferred stock, par value $0.0001 per ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | Governing Documents Proposal B - RESOLVED, as a non-binding, advisory resolution, that the authorization to the board of directors of New Redwire to issue all or any shares of New Redwire Preferred Stock in one or more series and to fix for each such series such voting powers, designations, preferences and rights and such qualifications, limitations or restrictions thereof, as may be determined by the New Redwire Board and as may be permitted by the DGCL, be approved. |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | Governing Documents Proposal C - RESOLVED, as a non-binding, advisory resolution, that the removal of the ability of New Redwire stockholders to take action by written consent in lieu of a meeting from and after the time that Holdings and its permitted transferees no longer beneficially own a majority of the voting power of the then-outstanding shares of capital stock of New Redwire be approved. |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | Governing Documents Proposal D - RESOLVED, as a non-binding, advisory resolution, that the amendment and restatement of the Existing Governing Documents be approved and that all other changes necessary or, as mutually agreed in good faith by GPAC, Holdings and Cosmos, desirable in connection with the replacement of the Existing Governing Documents with the Proposed Certificate of Incorporation and Proposed Bylaws as part of the Domestication (copies of which are attached to the ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 8. | The NYSE Proposal - RESOLVED, as an ordinary resolution, that for purposes of complying with the applicable provisions of New York Stock Exchange (the "NYSE") Listing Rule 312.03, the issuance of (i) 37,200,000 shares of New Redwire Common Stock to Holdings in the Business Combination and (ii) an aggregate of 10,000,000 shares of New Redwire Common Stock at a price of $10.00 per share pursuant to the Subscription Agreements (the "Subscription Agreements") with certain investors (the "PIPE ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 9. | The Incentive Equity Plan Proposal - RESOLVED, as an ordinary resolution, that the Redwire Corporation 2021 Omnibus Incentive Plan, a copy of which is attached to the accompanying proxy statement/prospectus as Annex J, be adopted and approved. |
Management | For | For | ||||||||||||||||||||||||||||
| 10. | The Employee Stock Purchase Plan Proposal - RESOLVED, as an ordinary resolution, that the Redwire Corporation 2021 Employee Stock Purchase Plan, a copy of which is attached to the accompanying proxy statement/prospectus as Annex K, be adopted and approved. |
Management | For | For | ||||||||||||||||||||||||||||
| 11. | The Adjournment Proposal - RESOLVED, as an ordinary resolution, that the adjournment of the extraordinary general meeting to a later date or dates (a) to the extent necessary to ensure that any required supplement or amendment to the accompanying proxy statement/prospectus is provided to GPAC shareholders, (b) in order to solicit additional proxies from GPAC shareholders in favor of one or more of the proposals at the extraordinary general meeting or (c) if GPAC shareholders redeem an amount of ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,220 | 0 | 16-Aug-2021 | 16-Aug-2021 | |||||||||||||||||||||||||
| SUSTAINABLE OPPORTUNITIES ACQ. CORP. | ||||||||||||||||||||||||||||||||
| Security | G8598Y109 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | SOAC | Meeting Date | 03-Sep-2021 | |||||||||||||||||||||||||||||
| ISIN | KYG8598Y1098 | Agenda | 935485943 - Management | |||||||||||||||||||||||||||||
| Record Date | 21-Jun-2021 | Holding Recon Date | 21-Jun-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 02-Sep-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1. | The Continuance Proposal - to consider and vote upon a proposal by special resolution to approve the migration and continuance of SOAC from the Cayman Islands to British Columbia, pursuant to Part XII of the Cayman Islands Companies Act (as Revised) and Part 9, Division 8 of the Business Corporations Act (British Columbia) (the "BCBCA") (such continuance, the "Continuance"). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Business Combination Proposal - to consider and vote upon a proposal by ordinary resolution to approve the Business Combination Agreement, dated as of March 4, 2021 (as amended or supplemented from time to time, the "Business Combination Agreement"), by and among SOAC, 1291924 B.C. Unlimited Liability Company, an unlimited liability company existing under the laws of British Columbia, Canada ("NewCo Sub") and DeepGreen Metals Inc., a company existing under the laws of British Columbia, ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Charter Proposal - to consider and vote upon the approval by special resolution of the amendment and restatement of the Existing Governing Documents (as defined herein) in their entirety by the notice and articles of association of TMC the metals company Inc. (the "TMC Articles"), including the change in authorized share capital and change of name of SOAC to "TMC the metals company Inc." in connection with the Business Combination. SOAC refers to this as the "Charter Proposal." |
Management | For | For | ||||||||||||||||||||||||||||
| 4A. | Organizational Documents Proposal 4a - the establishment of the authorized capital of TMC to consist of (i) an unlimited number of common shares, (ii) an unlimited number of preferred shares, issuable in series, and (iii) the TMC Special Shares, in each case, without par value (this proposal is referred to herein as "Organizational Documents Proposal 4a"). |
Management | For | For | ||||||||||||||||||||||||||||
| 4B. | Organizational Documents Proposal 4b - the declassification of the board of directors with the result being that each director will be elected on an annual basis (this proposal is referred to herein as "Organizational Documents Proposal 4b"). |
Management | For | For | ||||||||||||||||||||||||||||
| 4C. | Organizational Documents Proposal 4c - the reduction of the requisite quorum for a meeting of shareholders from a majority to at least two shareholders representing no less than one-third (33 1/3%) of the shares entitled to vote at such meeting (this proposal is referred to herein as "Organizational Documents Proposal 4c"). |
Management | For | For | ||||||||||||||||||||||||||||
| 4D. | Organizational Documents Proposal 4d - the inclusion of an advance notice provision that requires a shareholder to provide notice to TMC in advance of a meeting of shareholders should such shareholder wish to nominate a person for election to the board of directors (this proposal is referred to herein as "Organizational Documents Proposal 4d"). |
Management | For | For | ||||||||||||||||||||||||||||
| 4E. | Organizational Documents Proposal 4e - the inclusion of a forum selection provision whereby, subject to limited exceptions, or unless TMC consents in writing to the selection of an alternative forum, the Supreme Court of the Province of British Columbia, Canada, and the appellate courts therefrom, will be the sole and exclusive forum for certain shareholder litigation matters (this proposal is referred to herein as "Organizational Documents Proposal 4e"). |
Management | For | For | ||||||||||||||||||||||||||||
| 4F. | Organizational Documents Proposal 4f - certain other changes, including the changes in the rights and restrictions attached to the Class B ordinary shares, and the deletion of the provisions relating to the initial public offering, the Sponsors, the initial business combination and other related matters (this proposal is referred to herein as "Organizational Documents Proposal 4f"). |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | The NYSE Proposal - to consider and vote upon a proposal by ordinary resolution to approve, for purposes of complying with the provisions of the New York Stock Exchange ("NYSE") Listing Rule 312.03, the issuance of TMC Common Shares (as defined in the accompanying proxy statement/prospectus), and securities convertible into or exchangeable for TMC Common Shares, in connection with the Business Combination and the PIPE Investment (the "NYSE Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The Incentive Award Plan Proposal - to consider and vote upon the approval by ordinary resolution of the TMC Incentive Plan (as defined in the accompanying proxy statement/prospectus). SOAC refers to this as the "Incentive Award Plan Proposal." A copy of the Incentive Award Plan Proposal is attached to an amendment to the accompanying proxy statement/prospectus as Annex D. |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | The Adjournment Proposal - to consider and vote upon a proposal by ordinary resolution to approve the adjournment of the Extraordinary General Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for the approval of one or more proposals at the Extraordinary General Meeting (the "Adjournment Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
904 | 0 | 19-Aug-2021 | 19-Aug-2021 | |||||||||||||||||||||||||
| FIRST TRUST ADVISORS | ||||||||||||||||||||||||||||||||
| Security | 33740K101 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | FIV | Meeting Date | 13-Sep-2021 | |||||||||||||||||||||||||||||
| ISIN | US33740K1016 | Agenda | 935484080 - Management | |||||||||||||||||||||||||||||
| Record Date | 23-Jul-2021 | Holding Recon Date | 23-Jul-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 10-Sep-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Richard E. Erickson | Split | Split | |||||||||||||||||||||||||||||
| 2 | Thomas R. Kadlec | Split | Split | |||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
28,147 | 0 | 10-Sep-2021 | 10-Sep-2021 | |||||||||||||||||||||||||
| SOARING EAGLE ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | G8354H100 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | SRNGU | Meeting Date | 14-Sep-2021 | |||||||||||||||||||||||||||||
| ISIN | KYG8354H1002 | Agenda | 935486387 - Management | |||||||||||||||||||||||||||||
| Record Date | 10-Aug-2021 | Holding Recon Date | 10-Aug-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 13-Sep-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - to consider and vote upon a proposal to approve and adopt, by way of ordinary resolution, the agreement and plan of merger, dated as of May 11, 2021 (as may be amended, restated, supplemented or otherwise modified from time to time, the "Merger Agreement"), by and among SRNG, SEAC Merger Sub Inc., a Delaware corporation and a wholly owned subsidiary of SRNG ("Merger Sub"), and Ginkgo Bioworks, Inc. a Delaware corporation ("Ginkgo"), pursuant to which, among other ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Domestication Proposal - to consider and vote upon a proposal to approve, by way of special resolution in accordance with Article 49 of SRNG's amended and restated articles of association, assuming the Business Combination Proposal is approved and adopted, the transfer of SRNG by way of continuation to Delaware pursuant to Part XII of the Companies Act (Revised) of the Cayman Islands and Section 388 of the General Corporation Law of the State of Delaware and, ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Governing Documents Proposal - to consider and vote upon a proposal to approve and adopt, by way of special resolution, assuming the Business Combination Proposal and the Domestication Proposal are approved and adopted, the proposed certificate of incorporation of SRNG (the "Proposed Charter"), and the proposed bylaws of SRNG (the "Proposed Bylaws"), which together will replace SRNG's amended and restated memorandum and articles of association, dated October 22, 2020 (the "Current Charter"), ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4A. | Advisory Governing Documents Proposal A - Under the Proposed Charter, New Ginkgo will be authorized to issue 16,000,000,000 shares of capital stock, consisting of (i) 15,800,000,000 shares of common stock, including 10,500,000,000 shares of New Ginkgo Class A common stock, par value $0.0001 per share ("New Ginkgo Class A common stock"), 4,500,000,000 shares of New Ginkgo Class B common stock, par value $0.0001 per share ("New Ginkgo Class B common stock"), and 800,000,000 shares of New Ginkgo Class C ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4B. | Advisory Governing Documents Proposal B - Holders of shares of New Ginkgo Class A common stock will be entitled to cast one vote per share of New Ginkgo Class A common stock on each matter properly submitted to New Ginkgo's stockholders entitled to vote, holders of shares of New Ginkgo Class B common stock will be entitled to cast 10 votes per share of New Ginkgo Class B common stock on each matter properly submitted to New Ginkgo's stockholders entitled to vote and holders of shares of New ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4C. | Advisory Governing Documents Proposal C - The number of directors constituting the New Ginkgo board of directors (the "New Ginkgo Board") shall be fixed from time to time solely by resolution of the New Ginkgo Board and the holders of shares of New Ginkgo Class B common stock shall be entitled to nominate and elect one-quarter of the total number of directors of New Ginkgo (the "Class B Directors") for so long as the outstanding number of shares of Class B common stock continue to represent ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4D. | Advisory Governing Documents Proposal D - (i) The number of authorized shares of New Ginkgo Class A common stock, New Ginkgo Class B common stock and New Ginkgo Class C common stock may be increased by the affirmative vote of the holders of shares representing a majority of the voting power of all of the outstanding shares of capital stock of New Ginkgo entitled to vote thereon, irrespective of the provisions of Section 242(b) (2) of the DGCL (or any successor provision thereto), (ii) the ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4E. | Advisory Governing Documents Proposal E - Authorization of all other changes in the Proposed Charter and the Proposed Bylaws, including (1) adopting Delaware as the exclusive forum for certain stockholder litigation and the federal district courts of the United States as the exclusive forum for certain other stockholder litigation, in each case unless New Ginkgo expressly consents in writing to the selection of an alternative forum, (2) electing not to be governed by Section 203 of the DGCL and ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4F. | Advisory Governing Documents Proposal F - Authorization of an amendment to the Proposed Charter in order to change the corporate name of "Soaring Eagle Acquisition Corp." to "Ginkgo Bioworks Holdings, Inc." in connection with the consummation of the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | The Director Election Proposal - For holders of SRNG Class B ordinary shares, to consider and vote upon a proposal to approve, by way of ordinary resolution, assuming the Business Combination Proposal, the Domestication Proposal and the Governing Documents Proposal are approved and adopted, to elect seven directors to serve on the New Ginkgo Board; provided that as long as the outstanding number of shares of New Ginkgo Class B common stock continue to represent at least 2% of the ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The Stock Issuance Proposal - to consider and vote upon a proposal to approve, by way of ordinary resolution, assuming the Business Combination Proposal, the Domestication Proposal, the Governing Documents Proposal and the Director Election Proposal are approved and adopted, for the purposes of complying with the applicable listing rules of Nasdaq, the issuance of (x) shares of New Ginkgo Class A common stock pursuant to the terms of the Merger Agreement and (y) shares of New SRNG Class A common stock ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | The Incentive Plan Proposal - to consider and vote upon a proposal to approve by way of ordinary resolution, assuming the Business Combination Proposal, the Domestication Proposal, the Governing Documents Proposal, the Director Election Proposal and the Stock Issuance Proposal are approved and adopted, the Ginkgo Bioworks Holdings, Inc. 2021 Incentive Award Plan (the "2021 Plan"), including the authorization of the initial share reserve under the 2021 Plan (we refer to such proposal as the "Incentive Plan Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 8. | The ESPP Proposal - to consider and vote upon a proposal to approve by way of ordinary resolution, assuming the Business Combination Proposal, the Domestication Proposal, the Governing Documents Proposal, the Director Election Proposal, the Stock Issuance Proposal and the Incentive Plan Proposal are approved and adopted, the Ginkgo Bioworks Holdings, Inc. 2021 Employee Stock Purchase Plan (the "ESPP"), including the authorization of the initial share reserve under the ESPP (the "ESPP Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 9. | The Adjournment Proposal - to consider and vote upon a proposal to approve by way of ordinary resolution the adjournment of the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, any of the Business Combination Proposal, the Domestication Proposal, the Governing Documents Proposal, the Director Election Proposal, the Stock Issuance Proposal, the Incentive Plan ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
4 | 0 | 19-Aug-2021 | 19-Aug-2021 | |||||||||||||||||||||||||
| SOARING EAGLE ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | G8354H126 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | SRNG | Meeting Date | 14-Sep-2021 | |||||||||||||||||||||||||||||
| ISIN | KYG8354H1267 | Agenda | 935486387 - Management | |||||||||||||||||||||||||||||
| Record Date | 10-Aug-2021 | Holding Recon Date | 10-Aug-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 13-Sep-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1. | The Business Combination Proposal - to consider and vote upon a proposal to approve and adopt, by way of ordinary resolution, the agreement and plan of merger, dated as of May 11, 2021 (as may be amended, restated, supplemented or otherwise modified from time to time, the "Merger Agreement"), by and among SRNG, SEAC Merger Sub Inc., a Delaware corporation and a wholly owned subsidiary of SRNG ("Merger Sub"), and Ginkgo Bioworks, Inc. a Delaware corporation ("Ginkgo"), pursuant to which, among other ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Domestication Proposal - to consider and vote upon a proposal to approve, by way of special resolution in accordance with Article 49 of SRNG's amended and restated articles of association, assuming the Business Combination Proposal is approved and adopted, the transfer of SRNG by way of continuation to Delaware pursuant to Part XII of the Companies Act (Revised) of the Cayman Islands and Section 388 of the General Corporation Law of the State of Delaware and, ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Governing Documents Proposal - to consider and vote upon a proposal to approve and adopt, by way of special resolution, assuming the Business Combination Proposal and the Domestication Proposal are approved and adopted, the proposed certificate of incorporation of SRNG (the "Proposed Charter"), and the proposed bylaws of SRNG (the "Proposed Bylaws"), which together will replace SRNG's amended and restated memorandum and articles of association, dated October 22, 2020 (the "Current Charter"), ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4A. | Advisory Governing Documents Proposal A - Under the Proposed Charter, New Ginkgo will be authorized to issue 16,000,000,000 shares of capital stock, consisting of (i) 15,800,000,000 shares of common stock, including 10,500,000,000 shares of New Ginkgo Class A common stock, par value $0.0001 per share ("New Ginkgo Class A common stock"), 4,500,000,000 shares of New Ginkgo Class B common stock, par value $0.0001 per share ("New Ginkgo Class B common stock"), and 800,000,000 shares of New Ginkgo Class C ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4B. | Advisory Governing Documents Proposal B - Holders of shares of New Ginkgo Class A common stock will be entitled to cast one vote per share of New Ginkgo Class A common stock on each matter properly submitted to New Ginkgo's stockholders entitled to vote, holders of shares of New Ginkgo Class B common stock will be entitled to cast 10 votes per share of New Ginkgo Class B common stock on each matter properly submitted to New Ginkgo's stockholders entitled to vote and holders of shares of New ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4C. | Advisory Governing Documents Proposal C - The number of directors constituting the New Ginkgo board of directors (the "New Ginkgo Board") shall be fixed from time to time solely by resolution of the New Ginkgo Board and the holders of shares of New Ginkgo Class B common stock shall be entitled to nominate and elect one-quarter of the total number of directors of New Ginkgo (the "Class B Directors") for so long as the outstanding number of shares of Class B common stock continue to represent ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4D. | Advisory Governing Documents Proposal D - (i) The number of authorized shares of New Ginkgo Class A common stock, New Ginkgo Class B common stock and New Ginkgo Class C common stock may be increased by the affirmative vote of the holders of shares representing a majority of the voting power of all of the outstanding shares of capital stock of New Ginkgo entitled to vote thereon, irrespective of the provisions of Section 242(b) (2) of the DGCL (or any successor provision thereto), (ii) the ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4E. | Advisory Governing Documents Proposal E - Authorization of all other changes in the Proposed Charter and the Proposed Bylaws, including (1) adopting Delaware as the exclusive forum for certain stockholder litigation and the federal district courts of the United States as the exclusive forum for certain other stockholder litigation, in each case unless New Ginkgo expressly consents in writing to the selection of an alternative forum, (2) electing not to be governed by Section 203 of the DGCL and ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4F. | Advisory Governing Documents Proposal F - Authorization of an amendment to the Proposed Charter in order to change the corporate name of "Soaring Eagle Acquisition Corp." to "Ginkgo Bioworks Holdings, Inc." in connection with the consummation of the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | The Director Election Proposal - For holders of SRNG Class B ordinary shares, to consider and vote upon a proposal to approve, by way of ordinary resolution, assuming the Business Combination Proposal, the Domestication Proposal and the Governing Documents Proposal are approved and adopted, to elect seven directors to serve on the New Ginkgo Board; provided that as long as the outstanding number of shares of New Ginkgo Class B common stock continue to represent at least 2% of the ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The Stock Issuance Proposal - to consider and vote upon a proposal to approve, by way of ordinary resolution, assuming the Business Combination Proposal, the Domestication Proposal, the Governing Documents Proposal and the Director Election Proposal are approved and adopted, for the purposes of complying with the applicable listing rules of Nasdaq, the issuance of (x) shares of New Ginkgo Class A common stock pursuant to the terms of the Merger Agreement and (y) shares of New SRNG Class A common stock ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | The Incentive Plan Proposal - to consider and vote upon a proposal to approve by way of ordinary resolution, assuming the Business Combination Proposal, the Domestication Proposal, the Governing Documents Proposal, the Director Election Proposal and the Stock Issuance Proposal are approved and adopted, the Ginkgo Bioworks Holdings, Inc. 2021 Incentive Award Plan (the "2021 Plan"), including the authorization of the initial share reserve under the 2021 Plan (we refer to such proposal as the "Incentive Plan Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 8. | The ESPP Proposal - to consider and vote upon a proposal to approve by way of ordinary resolution, assuming the Business Combination Proposal, the Domestication Proposal, the Governing Documents Proposal, the Director Election Proposal, the Stock Issuance Proposal and the Incentive Plan Proposal are approved and adopted, the Ginkgo Bioworks Holdings, Inc. 2021 Employee Stock Purchase Plan (the "ESPP"), including the authorization of the initial share reserve under the ESPP (the "ESPP Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 9. | The Adjournment Proposal - to consider and vote upon a proposal to approve by way of ordinary resolution the adjournment of the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, any of the Business Combination Proposal, the Domestication Proposal, the Governing Documents Proposal, the Director Election Proposal, the Stock Issuance Proposal, the Incentive Plan ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
2,825 | 0 | 19-Aug-2021 | 19-Aug-2021 | |||||||||||||||||||||||||
| PIONEER MUNICIPAL HIGH INCOME TRUST | ||||||||||||||||||||||||||||||||
| Security | 723763108 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | MHI | Meeting Date | 15-Sep-2021 | |||||||||||||||||||||||||||||
| ISIN | US7237631087 | Agenda | 935481818 - Management | |||||||||||||||||||||||||||||
| Record Date | 09-Jul-2021 | Holding Recon Date | 09-Jul-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 14-Sep-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Craig C. MacKay | Split | Split | |||||||||||||||||||||||||||||
| 2 | Thomas J. Perna | Split | Split | |||||||||||||||||||||||||||||
| 3 | Fred J. Ricciardi | Split | Split | |||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
7,065 | 0 | 14-Sep-2021 | 14-Sep-2021 | |||||||||||||||||||||||||
| FUSION ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 36118H105 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | FUSE | Meeting Date | 21-Sep-2021 | |||||||||||||||||||||||||||||
| ISIN | US36118H1059 | Agenda | 935494740 - Management | |||||||||||||||||||||||||||||
| Record Date | 02-Sep-2021 | Holding Recon Date | 02-Sep-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 20-Sep-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1. | The Business Combination Proposal - to consider and vote upon a proposal to approve the agreement and plan of merger, dated as of February 11, 2021 (as may be amended and/or restated from time to time, the "Merger Agreement"), by and among Fusion Acquisition Corp. ("Fusion"), ML Merger Sub Inc., a Delaware corporation and a wholly-owned subsidiary of Fusion ("Merger Sub"), and MoneyLion Inc., a Delaware corporation ("MoneyLion"); and the transactions contemplated thereby, pursuant to which ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2A. | The Charter Proposal - A proposal to approve and adopt, assuming the Business Combination Proposal is approved and adopted, the A&R Charter, which, if approved, would take effect upon the Closing (we refer to this proposal as "Charter Proposal A"). |
Management | For | For | ||||||||||||||||||||||||||||
| 2B. | The Charter Proposal - A proposal to approve and adopt, assuming the Business Combination Proposal and Charter Proposal A are approved and adopted, an amendment to the A&R Charter to increase the number of authorized shares of Class A common stock, par value $0.0001 per share, of New MoneyLion (the "New MoneyLion Class A common stock") from 380,000,000 to 2,000,000,000 and the total number of authorized shares from 401,000,000 to 2,200,000,000, which, if approved, would take ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3A. | Advisory Charter Proposal 3a - to provide that New MoneyLion will have authorized capital stock of 2,200,000,000 shares, consisting of 2,000,000,000 shares of Class A common stock, par value $0.0001 per share (the "New MoneyLion Class A common stock") and 200,000,000 shares of preferred stock, par value $0.0001 per share, as opposed to Fusion having authorized capital stock of 401,000,000 shares, consisting of 380,000,000 shares of Fusion Class A common stock, 20,000,000 shares of ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3B. | Advisory Charter Proposal 3b - to provide that directors of New MoneyLion may be removed from office only for cause and only with the affirmative vote of the holders of at least 66 2/3% of the voting power of the outstanding shares of stock of New MoneyLion. |
Management | For | For | ||||||||||||||||||||||||||||
| 3C. | Advisory Charter Proposal 3c - to change the stockholder vote required to amend certain provisions of the Proposed Charter. |
Management | For | For | ||||||||||||||||||||||||||||
| 3D. | Advisory Charter Proposal 3d - to change the stockholder vote required to amend the amended and restated bylaws of New MoneyLion (the "Proposed Bylaws"). |
Management | For | For | ||||||||||||||||||||||||||||
| 3E. | Advisory Charter Proposal 3e - to prohibit stockholders from acting by written consent by specifying that any action required or permitted to be taken by stockholders must be effected by a duly called annual or special meeting and may not be effected by written consent. |
Management | For | For | ||||||||||||||||||||||||||||
| 3F. | Advisory Charter Proposal 3f - to provide for certain additional changes, including, among other things, (i) changing the post- business combination company's corporate name from "Fusion Acquisition Corp." to "MoneyLion Inc." and making the company's corporate existence perpetual and (ii) removing certain provisions related to our status as a blank check company that will no longer apply upon consummation of the Business Combination, all of which our board of directors believes are ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | The Stock Issuance Proposal - to consider and vote upon a proposal to approve, assuming the Business Combination Proposal and the Charter Proposals are approved and adopted, for the purposes of complying with the applicable listing rules of the NYSE, the issuance of (x) shares of Fusion Class A common stock pursuant to the terms of the Merger Agreement and (y) shares of Fusion Class A common stock to certain institutional investors (the "PIPE Investors") in connection with the Private Placement. |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | The Incentive Plan Proposal - to consider and vote upon a proposal to approve, assuming the Business Combination Proposal, the Charter Proposals and the Stock Issuance Proposal are approved and adopted, the MoneyLion Inc. Incentive Plan (the "Incentive Plan"), including the authorization of the initial share reserve under the Incentive Plan. |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The ESPP Proposal - to consider and vote upon a proposal to approve, assuming the Business Combination Proposal, the Charter Proposals, the Stock Issuance Proposal and the Incentive Plan Proposal are approved and adopted, the MoneyLion Inc. Employee Stock Purchase Plan (the "ESPP"), including the authorization of the initial share reserve under the ESPP. |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | The Adjournment Proposal - to consider and vote upon a proposal to approve the adjournment of the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, any of the Business Combination Proposal, the Charter Proposals, the Stock Issuance Proposal, the Incentive Plan Proposal and the ESPP Proposal (together the "condition precedent proposals") would not be duly approved and ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
594 | 0 | 15-Sep-2021 | 15-Sep-2021 | |||||||||||||||||||||||||
| UNION ACQUISITION CORP. II | ||||||||||||||||||||||||||||||||
| Security | G9402Q100 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | LATN | Meeting Date | 22-Sep-2021 | |||||||||||||||||||||||||||||
| ISIN | KYG9402Q1001 | Agenda | 935490968 - Management | |||||||||||||||||||||||||||||
| Record Date | 19-Aug-2021 | Holding Recon Date | 19-Aug-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 21-Sep-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal: To consider and vote upon a proposal by ordinary resolution to approve and adopt the Business Combination Agreement, dated as of March 31, 2021, as may be amended, by and among Union, Procaps, Holdco and Merger Sub and the Transactions contemplated thereby, and the business combination of Union and Procaps as described therein (the "Business Combination"). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Merger Proposal: To consider and vote upon a proposal by special resolution to approve and adopt the Merger with Merger Sub and authorize, approve and confirm the Plan of Merger. |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Nasdaq Proposal: To consider and vote upon a proposal by ordinary resolution to approve, for purposes of complying with applicable listing roles of The Nasdaq Stock Market the issuance of more than 20% of the current total issued and outstanding SPAC Ordinary Shares. |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | The Adjournment Proposal: An ordinary resolution to, if necessary, adjourn the Extraordinary General Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event there are insufficient votes for, or otherwise in connection with Proposals 1, 2 and 3. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
95 | 0 | 01-Sep-2021 | 01-Sep-2021 | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE |
145442.18 | UMB BANK, N.A. |
1,990 | 0 | 01-Sep-2021 | 01-Sep-2021 | |||||||||||||||||||||||||
| AMPLITUDE HEALTHCARE ACQUISITION CORP | ||||||||||||||||||||||||||||||||
| Security | 03212A105 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | AMHC | Meeting Date | 22-Sep-2021 | |||||||||||||||||||||||||||||
| ISIN | US03212A1051 | Agenda | 935491059 - Management | |||||||||||||||||||||||||||||
| Record Date | 20-Aug-2021 | Holding Recon Date | 20-Aug-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 21-Sep-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1. | The Business Combination Proposal - to consider and vote upon a proposal to (a) adopt and approve the Business Combination Agreement, dated as of May 5, 2021 (as may be amended, supplemented or otherwise modified from time to time, the "Business Combination Agreement"), by and among AMHC, Ample Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of AMHC ("Merger Sub"), and Jasper Therapeutics, Inc., a Delaware corporation ("Jasper"), pursuant to which ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Charter Amendment Proposal - to consider and vote upon a proposal to approve, assuming the Business Combination Proposal is approved and adopted, a proposed amended and restated certificate of incorporation (the "Proposed Charter"), which will amend and restate AMHC's current amended and restated certificate of incorporation (the "Current Charter"), and which Proposed Charter will be in effect when duly filed with the Secretary of State of the State of Delaware in connection with the closing of the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Bylaws Amendment Proposal - consider and vote upon a proposal to approve, assuming the Business Combination Proposal is approved and adopted, the proposed amended and restated bylaws (the "Proposed Bylaws"), which will amend and restate AMHC's current bylaws. |
Management | For | For | ||||||||||||||||||||||||||||
| 4A. | The Advisory Charter Amendment Proposal - consider and vote upon a proposal to approve, on a non-binding advisory basis, the following material differences between the Proposed Charter and the Current Charter: Advisory Charter Proposal A - to change the corporate name of New Jasper to "Jasper Therapeutics, Inc." |
Management | For | For | ||||||||||||||||||||||||||||
| 4B. | The Advisory Charter Amendment Proposal - consider and vote upon a proposal to approve, on a non-binding advisory basis, the following material differences between the Proposed Charter and the Current Charter: Advisory Charter Proposal B - to increase AMHC's capitalization so that it will have 490,000,000 authorized shares of voting common stock, 2,000,000 authorized shares of non-voting common stock and 10,000,000 authorized shares of preferred stock. |
Management | For | For | ||||||||||||||||||||||||||||
| 4C. | The Advisory Charter Amendment Proposal - consider and vote upon a proposal to approve, on a non-binding advisory basis, the following material differences between the Proposed Charter and the Current Charter: Advisory Charter Proposal C - to provide that the removal of any director be only for cause and by the affirmative vote of at least 66 2/3% of New Jasper's then- outstanding shares of capital stock entitled to vote generally in the election of directors (provided that as of the three-year ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4D. | The Advisory Charter Amendment Proposal - consider and vote upon a proposal to approve, on a non-binding advisory basis, the following material differences between the Proposed Charter and the Current Charter: Advisory Charter Proposal D - to provide that certain amendments to provisions of the Proposed Charter will require the approval of at least 66 2/3% of New Jasper's then- outstanding shares of capital stock entitled to vote generally in the election of directors, voting together as a ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4E. | The Advisory Charter Amendment Proposal - consider and vote upon a proposal to approve, on a non-binding advisory basis, the following material differences between the Proposed Charter and the Current Charter: Advisory Charter Proposal E - to provide that amendments to the Proposed Bylaws will require the approval of at least 66 2/3% of New Jasper's then-outstanding shares of capital stock entitled to vote generally in the election of directors, voting together as a single-class (provided that as ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4F. | The Advisory Charter Amendment Proposal - consider and vote upon a proposal to approve, on a non-binding advisory basis, the following material differences between the Proposed Charter and the Current Charter: Advisory Charter Proposal F - to make New Jasper's corporate existence perpetual as opposed to AMHC's corporate existence, which is required to be dissolved and liquidated 24 months following the closing of its initial public offering, and to remove from the Proposed Charter the various ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4G. | The Advisory Charter Amendment Proposal - consider and vote upon a proposal to approve, on a non-binding advisory basis, the following material differences between the Proposed Charter and the Current Charter: Advisory Charter Proposal G - to remove the provision that allows certain stockholders to act by written consent as opposed to holding a stockholders meeting |
Management | For | For | ||||||||||||||||||||||||||||
| 4H. | The Advisory Charter Amendment Proposal - consider and vote upon a proposal to approve, on a non-binding advisory basis, the following material differences between the Proposed Charter and the Current Charter: Advisory Charter Proposal H - to remove the current limitation in place on the corporate opportunity doctrine. |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | The Nasdaq Stock Issuance Proposal - to consider and vote upon a proposal to approve, assuming the Business Combination Proposal is approved and adopted, for purposes of complying with the applicable provisions of Nasdaq Listing Rule 5635, (a) the issuance of up to 27,500,000 newly issued shares of New Jasper Common Stock in the Business Combination, which amount will be determined as described in more detail in the accompanying proxy statement/prospectus and (b) the PIPE Investment. |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Kurt von Emster | For | For | |||||||||||||||||||||||||||||
| 2 | Anna French, D.Phil | For | For | |||||||||||||||||||||||||||||
| 3 | Judith Shizuru, MD, PhD | For | For | |||||||||||||||||||||||||||||
| 4 | William Lis | For | For | |||||||||||||||||||||||||||||
| 5 | Christian W. Nolet | For | For | |||||||||||||||||||||||||||||
| 7. | The Equity Incentive Plan Proposal - to consider and vote upon a proposal to approve, assuming the Business Combination Proposal is approved and adopted, the Jasper Therapeutics, Inc. 2021 Equity Incentive Plan, a copy of which is appended to the accompanying proxy statement/ prospectus as Annex D, which will become effective as of the date immediately preceding the date of the closing of the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 8. | The ESPP Proposal - consider and vote upon a proposal to approve, assuming the Business Combination Proposal is approved and adopted, the Jasper Therapeutics, Inc. 2021 Employee Stock Purchase Plan, a copy of which is appended to the accompanying proxy statement/prospectus as Annex E, which will become effective as of the date immediately preceding the date of the closing of the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 9. | The Adjournment Proposal - approve a proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve the Business Combination Proposal, the Charter Amendment Proposal, the Bylaws Amendment Proposal, the Nasdaq Stock Issuance Proposal, the Director Election Proposal, the Equity Incentive Plan Proposal or the ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
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| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
2,490 | 0 | 01-Sep-2021 | 01-Sep-2021 | |||||||||||||||||||||||||
| SABA CAPITAL INCOME FUND | ||||||||||||||||||||||||||||||||
| Security | 78518H103 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | BRW | Meeting Date | 24-Sep-2021 | |||||||||||||||||||||||||||||
| ISIN | US78518H1032 | Agenda | 935484674 - Management | |||||||||||||||||||||||||||||
| Record Date | 16-Jul-2021 | Holding Recon Date | 16-Jul-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 23-Sep-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Aditya Bindal | Split | Split | |||||||||||||||||||||||||||||
| 2 | Karen Caldwell | Split | Split | |||||||||||||||||||||||||||||
| 3 | Ketu Desai | Split | Split | |||||||||||||||||||||||||||||
| 4 | Kieran Goodwin | Split | Split | |||||||||||||||||||||||||||||
| 5 | Thomas Bumbolow | Split | Split | |||||||||||||||||||||||||||||
| 6 | Andrew Kellerman | Split | Split | |||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
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| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE |
145442.18 | UMB BANK, N.A. |
130,214 | 0 | 23-Sep-2021 | 23-Sep-2021 | |||||||||||||||||||||||||
| SABA CAPITAL INCOME FUND | ||||||||||||||||||||||||||||||||
| Security | 78518H103 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | BRW | Meeting Date | 24-Sep-2021 | |||||||||||||||||||||||||||||
| ISIN | US78518H1032 | Agenda | 935484674 - Management | |||||||||||||||||||||||||||||
| Record Date | 16-Jul-2021 | Holding Recon Date | 16-Jul-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 23-Sep-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Aditya Bindal | Split | Split | |||||||||||||||||||||||||||||
| 2 | Karen Caldwell | Split | Split | |||||||||||||||||||||||||||||
| 3 | Ketu Desai | Split | Split | |||||||||||||||||||||||||||||
| 4 | Kieran Goodwin | Split | Split | |||||||||||||||||||||||||||||
| 5 | Thomas Bumbolow | Split | Split | |||||||||||||||||||||||||||||
| 6 | Andrew Kellerman | Split | Split | |||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
153,336 | 0 | 23-Sep-2021 | 23-Sep-2021 | |||||||||||||||||||||||||
| MONTES ARCHIMEDES ACQUISITION CORP | ||||||||||||||||||||||||||||||||
| Security | 612657106 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | MAAC | Meeting Date | 28-Sep-2021 | |||||||||||||||||||||||||||||
| ISIN | US6126571065 | Agenda | 935485979 - Management | |||||||||||||||||||||||||||||
| Record Date | 10-Aug-2021 | Holding Recon Date | 10-Aug-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 27-Sep-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1. | The Business Combination Proposal-To consider and vote upon a proposal to approve the Business Combination Agreement, dated as of May 1, 2021 (as amended on June 9, 2021), by and among Montes Archimedes Acquisition Corp., ("MAAC"), Roivant Sciences Ltd., ("Roivant"), and Rhine Merger Sub, Inc., ("Merger Sub") (the "Business Combination Agreement") and the transactions contemplated thereby (the "Business Combination"), pursuant to which Merger Sub will merge with and into MAAC, with MAAC surviving the merger as a wholly-owned subsidiary of Roivant. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Nasdaq Proposal-To consider and vote upon a proposal to approve, for purposes of complying with Nasdaq Listing Rule 5635(a), (b) and (d), the issuance of more than 20% of the issued and outstanding shares of MAAC Class A common stock and MAAC Class B common stock upon the completion of the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Adjournment Proposal-To consider and vote upon a proposal to adjourn the MAAC Special Meeting to a later date or time, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the MAAC Special Meeting, there are not sufficient votes to approve the Business Combination Proposal or holders of shares of MAAC Class A common stock have elected to redeem an amount of shares of MAAC Class A common stock. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
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| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,420 | 0 | 19-Aug-2021 | 19-Aug-2021 | |||||||||||||||||||||||||
| TUSCAN HOLDINGS CORP II | ||||||||||||||||||||||||||||||||
| Security | 90070A103 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | THCA | Meeting Date | 28-Sep-2021 | |||||||||||||||||||||||||||||
| ISIN | US90070A1034 | Agenda | 935491035 - Management | |||||||||||||||||||||||||||||
| Record Date | 20-Aug-2021 | Holding Recon Date | 20-Aug-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 27-Sep-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1. | Extension Amendment Proposal - Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to December 31, 2021. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | Adjournment Proposal - Approve the adjournment of the special meeting to a later date or dates, if the Company determines that additional time is necessary to effectuate the Extension. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
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| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE |
145442.18 | UMB BANK, N.A. |
2,002 | 0 | 01-Sep-2021 | 01-Sep-2021 | |||||||||||||||||||||||||
| PTK ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 69375F108 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | PTK | Meeting Date | 28-Sep-2021 | |||||||||||||||||||||||||||||
| ISIN | US69375F1084 | Agenda | 935491441 - Management | |||||||||||||||||||||||||||||
| Record Date | 24-Aug-2021 | Holding Recon Date | 24-Aug-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 27-Sep-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1. | The Business Combination Proposal - to adopt and approve the Business Combination Agreement, dated as of May 25, 2021 (the "Business Combination Agreement"), among PTK, Valens Semiconductor Ltd, a company organized under the laws of the State of Israel ("Valens") and Valens Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Valens ("Merger Sub"), pursuant to which Merger Sub will merge with and into PTK, with PTK surviving the merger as a wholly owned subsidiary of Valens (the "Business Combination"). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Adjournment Proposal - to approve a proposal to adjourn the Special Meeting to a later date or dates if it is determined that more time is necessary or appropriate, in the judgment of the board of directors of PTK or the officer presiding over the Special Meeting, for PTK to consummate the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
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| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,843 | 0 | 15-Sep-2021 | 15-Sep-2021 | |||||||||||||||||||||||||
| STAR PEAK CORP II | ||||||||||||||||||||||||||||||||
| Security | 855179107 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | STPC | Meeting Date | 28-Sep-2021 | |||||||||||||||||||||||||||||
| ISIN | US8551791077 | Agenda | 935492998 - Management | |||||||||||||||||||||||||||||
| Record Date | 09-Aug-2021 | Holding Recon Date | 09-Aug-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 27-Sep-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1. | The Business Combination Proposal - To consider and vote upon a proposal to approve and adopt the Agreement and Plan of Merger, dated as of May 8, 2021 (as it may be amended and/or restated from time to time, the "Merger Agreement"), by and among the Star Peak Corp II (the "Company" or "STPC" and, following the consummation of the Merger (as defined below), "New Benson Hill"), STPC II Merger Sub Corp., a Delaware corporation and wholly-owned subsidiary of STPC ("Merger Sub"), and Benson Hill, ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Charter Proposal - To approve the elimination of the Class B Common Stock classification and provide for a single class of common stock. |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Charter Proposal - To provide that amendments to the Company's waiver of corporate opportunities will only be prospective only and provide certain other clarificatory amendments to the waiver of corporate opportunities provision. |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | The Charter Proposal - To provide that, prior to the third anniversary of the closing of the Merger, the affirmative vote of at least 66 2/3% of the voting power of the outstanding shares of capital stock outstanding and entitled to vote thereon, voting together as a single class, shall be required to (A) adopt, amend or repeal the bylaws by action of the stockholders of New Benson Hill, or (B) to amend or repeal any provision of the Proposed Charter in Article V (Board of ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | The Charter Proposal - Conditioned upon the approval of Proposals No. 2 through No. 4 above, a proposal to approve the Proposed Charter, which includes the approval of all other changes in the Proposed Charter in connection with replacing the Existing Charter with the Proposed Charter, including changing STPC's name from "Star Peak Corp II" to "Benson Hill, Inc." as of the closing of the Merger. |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The NYSE Proposal - To consider and vote upon a proposal to approve, for purposes of complying with applicable listing rules of the New York Stock Exchange: (i) the issuance of shares of New Benson Hill common stock immediately following the consummation of the merger, pursuant to the PIPE Agreements (as defined in the Proxy Statement); (ii) the issuance of shares of New Benson Hill common stock pursuant to the Merger Agreement; and (iii) the related change of control of STPC that will occur ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | The Incentive Plan Proposal - To consider and vote upon a proposal to approve and adopt the New Benson Hill 2021 Omnibus Incentive Plan. |
Management | For | For | ||||||||||||||||||||||||||||
| 8. | The Adjournment Proposal - To consider and vote upon a proposal to adjourn the STPC Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the STPC Special Meeting, there are not sufficient votes to approve the Business Combination Proposal, the Charter Proposals, the NYSE Proposal or the Incentive Plan Proposal, or holders of STPC's Class A Common Stock have elected to redeem an amount of Class A ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
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| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
140 | 0 | 15-Sep-2021 | 15-Sep-2021 | |||||||||||||||||||||||||
| GALILEO ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | G3770A102 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | GLEO | Meeting Date | 28-Sep-2021 | |||||||||||||||||||||||||||||
| ISIN | KYG3770A1022 | Agenda | 935495160 - Management | |||||||||||||||||||||||||||||
| Record Date | 02-Aug-2021 | Holding Recon Date | 02-Aug-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 27-Sep-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1. | The Domestication Proposal - To consider and vote upon a proposal by special resolution to (a) change the domicile of Galileo pursuant to a transfer by way of continuation of an exempted company out of the Cayman Islands and a domestication into the State of Delaware as a corporation (the "Domestication"). The Domestication will be effected immediately prior to the consummation of the Business Combination (as defined below) by Galileo filing a Certificate of Corporate ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Business Combination Proposal - To consider and vote upon a proposal by ordinary resolution to approve the Agreement and Plan of Merger and Reorganization, dated as of April 28, 2021 (as amended or supplemented from time to time, the "Merger Agreement"), by and among Galileo Acquisition Corp. ("Galileo"), Galileo Acquisition Holdings Inc., a Delaware corporation and a wholly-owned subsidiary of Galileo ("Merger Sub"), Galileo Founders Holdings, L.P., a Delaware limited partnership (the ... (due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Charter Proposal - To consider and vote on a proposal by special resolution to approve, in connection with the Business Combination, the replacement of Galileo's Amended and Restated Memorandum and Articles of Association (the "Current Charter") with the proposed new certificate of incorporation (the "Proposed Charter") of Galileo, in the form appended to the joint proxy statement/consent solicitation statement/prospectus as Annex A, to be effective upon the Domestication. "RESOLVED, ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | Advisory Organizational Document Proposal 4 - To approve and adopt provisions in the Proposed Charter, which will amend and replace the Current Charter if the Charter Proposal is approved, requiring the affirmative vote of the holders of at least 66 2/3% of the voting power of all the then outstanding shares of stock of the Company entitled to vote to remove a director for cause. |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | Advisory Organizational Document Proposal 5 - To approve and adopt provisions in the Proposed Charter, which will amend and replace the Current Charter if the Charter Proposal is approved, providing that (i) special meetings of stockholders for any purpose or purposes may be called at any time by the majority of the combined company Board, the Chairman of the combined company Board or the Chief Executive Officer of the combined company, and may not be called by another other person or persons and ... (due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | Advisory Organizational Document Proposal 6 - To approve and adopt provisions in the Proposed Charter, which will amend and replace the Current Charter if the Charter Proposal is approved, providing adopting Delaware as the exclusive forum for certain shareholder litigation. |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | Advisory Organizational Document Proposal 7 - To approve and adopt provisions in the Proposed Charter, which will amend and replace the Current Charter if the Charter Proposal is approved, changing the post- Business Combination company's corporate name from "Galileo Acquisition Corp." to "Shapeways Holdings, Inc.". |
Management | For | For | ||||||||||||||||||||||||||||
| 8. | Advisory Organizational Document Proposal 8 - To approve and adopt provisions in the Proposed Charter, which will amend and replace the Current Charter if the Charter Proposal is approved, to remove certain provisions related to Galileo's status as a blank check company that will no longer apply upon consummation of the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 9. | Advisory Organizational Document Proposal 9 - To approve and adopt provisions in the Proposed Charter, which will amend and replace the Current Charter if the Charter Proposal is approved, increasing the total number of authorized shares of all classes of stock to 130,000,000 shares, each with a par value of $.0001 per share, consisting of (i) 120,000,000 shares of Common Stock, and (ii) 10,000,000 shares of preferred stock." |
Management | For | For | ||||||||||||||||||||||||||||
| 10. | The Share Escrow Amendment Proposal - To consider and vote on a proposal by ordinary resolution to approve an amendment, in the form appended to the joint proxy statement/consent solicitation statement/prospectus as Annex D, to the Share Escrow Agreement entered into at the time of Galileo's initial public offering, effected by the filing with the Securities and Exchange Commission of the prospectus contained in the registration statement on Form S-1 (File No. 333-234049), the Sponsor and the ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 11. | The NYSE Proposal - To consider and vote on a proposal by ordinary resolution to approve, for purposes of complying with the applicable provisions of NYSE Listing Rule 312.03, the issuance of (a) shares of Common Stock of the combined company to the PIPE Investors, pursuant to the PIPE Investment (each as defined in the joint proxy statement/consent solicitation statement/prospectus), and (b) shares of Galileo stock to the Shapeways stockholders pursuant to the Merger Agreement. ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 12. | The Incentive Plan Proposal - To consider and vote on a proposal by ordinary resolution to approve the Shapeways Holdings, Inc. 2021 Equity Incentive Plan, in the form appended to the joint proxy statement/consent solicitation statement/prospectus as Annex E. "RESOLVED, as an ordinary resolution, that the Shapeways Holdings, Inc. 2021 Equity Incentive Plan, the form of which is appended to the joint proxy statement/consent solicitation statement/prospectus in respect of the meeting as Annex E, be approved and adopted in all respects." |
Management | For | For | ||||||||||||||||||||||||||||
| 13. | The Employment Stock Purchase Plan Proposal - To consider and vote on a proposal by ordinary resolution to approve the Shapeways Holdings, Inc. 2021 Employee Stock Purchase Plan, in the form appended to the joint proxy statement/consent solicitation statement/prospectus as Annex F. "RESOLVED, as an ordinary resolution, that the Shapeways Holdings, Inc. 2021 Employee Stock Purchase Plan, the form of which is appended to the joint proxy statement/consent solicitation statement/ ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 14. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Josh Wolfe | For | For | |||||||||||||||||||||||||||||
| 2 | Greg Kress | For | For | |||||||||||||||||||||||||||||
| 3 | Robert Jan Galema | For | For | |||||||||||||||||||||||||||||
| 4 | Patrick S. Jones | For | For | |||||||||||||||||||||||||||||
| 5 | Alberto Recchi | For | For | |||||||||||||||||||||||||||||
| 6 | Ryan Kearny | For | For | |||||||||||||||||||||||||||||
| 15. | The Adjournment Proposal - To consider and vote upon a proposal by ordinary to adjourn the Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if it is determined by the Galileo Board that more time is necessary or appropriate to approve one or more proposals at the Meeting. "RESOLVED, as an ordinary resolution, that the adjournment of the meeting to a later date or dates, if necessary, be determined by the chairman of the meeting to ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE |
145442.18 | UMB BANK, N.A. |
3,118 | 0 | 15-Sep-2021 | 15-Sep-2021 | |||||||||||||||||||||||||
| LIFESCI ACQUISITION II CORP. | ||||||||||||||||||||||||||||||||
| Security | 53229E103 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | LSAQ | Meeting Date | 04-Oct-2021 | |||||||||||||||||||||||||||||
| ISIN | US53229E1038 | Agenda | 935499586 - Management | |||||||||||||||||||||||||||||
| Record Date | 27-Aug-2021 | Holding Recon Date | 27-Aug-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 01-Oct-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1 | Business Combination Proposal: To approve the transactions contemplated under the Agreement and Plan of Merger, dated as of May 6, 2021 (the "Merger Agreement"), by and among LifeSci Acquisition II Corp. ("LSAQ"), LifeSci Acquisition II Merger Sub, Inc., a Delaware corporation and wholly-owned subsidiary of LSAQ and Science 37, Inc. |
Management | For | For | ||||||||||||||||||||||||||||
| 2 | Charter Approval Proposal: To approve the Second Amended and Restated Certificate of Incorporation of LSAQ, to, among other things, change LSAQ's name to "Science 37 Holdings, Inc.," amend certain provisions related to authorized capital stock, the required vote to amend the charter and bylaws, and director removal. |
Management | For | For | ||||||||||||||||||||||||||||
| 3A | increase the number of shares of (i) common stock LSAQ is authorized to issue from 30,000,000 shares to 400,000,000 shares and (ii) preferred stock LSAQ is authorized to issue from 1,000,000 shares to 100,000,000 shares. |
Management | For | For | ||||||||||||||||||||||||||||
| 3B | require the vote of at least two-thirds (66 and 2/3%) of the voting power of the then outstanding shares of voting stock of LSAQ entitled to vote at an election of directors, rather than a simple majority, to amend, alter, repeal or rescind the LSAQ's certificate of incorporation. |
Management | For | For | ||||||||||||||||||||||||||||
| 3C | require the vote of at least two-thirds (66 and 2/3%) of the voting power of the then outstanding shares of voting stock of LSAQ entitled to vote at an election of directors, rather than a simple majority, to amend, alter, repeal or rescind LSAQ's bylaws. |
Management | For | For | ||||||||||||||||||||||||||||
| 3D | require the vote of at least two-thirds (66 and 2/3%) of the voting power of the then outstanding shares of voting stock of LSAQ, rather than a simple majority, to remove a director from office. |
Management | For | For | ||||||||||||||||||||||||||||
| 3E | remove certain provisions related to LSAQ's status as a special purpose acquisition company that will no longer be relevant following the closing of the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 4 | The Stock Plan Proposal: To approve the Science 37 Holdings, Inc. 2021 Incentive Award Plan. |
Management | For | For | ||||||||||||||||||||||||||||
| 5 | The Employee Stock Plan Proposal: To approve the Science 37 Holdings, Inc. 2021 Employee Stock Purchase Plan. |
Management | For | For | ||||||||||||||||||||||||||||
| 6 | The Nasdaq Proposal: To approve: (i) for purposes of complying with Nasdaq Listing Rule 5635 (a) and (b), the issuance of more than 20% of the issued and outstanding shares of LSAQ common stock and the resulting change in control in connection with the Business Combination, and (ii) for purposes of complying with Nasdaq Listing Rule 5635(d), the issuance of more than 20% of the common stock in connection with the PIPE Investment and conversion of the Private Placement Warrants upon the consummation of the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 7 | Adjournment Proposal: To consider and vote upon a proposal to approve the adjournment of the Meeting by the chairman thereof to a later date, if necessary, under certain circumstances, including for the purpose of soliciting additional proxies in favor of the foregoing Proposals, in the event LSAQ does not receive the requisite stockholder vote to approve the Proposals. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
464 | 0 | 27-Sep-2021 | 27-Sep-2021 | |||||||||||||||||||||||||
| PETRA ACQUISITION INC | ||||||||||||||||||||||||||||||||
| Security | 716421102 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | PAIC | Meeting Date | 08-Oct-2021 | |||||||||||||||||||||||||||||
| ISIN | US7164211028 | Agenda | 935500707 - Management | |||||||||||||||||||||||||||||
| Record Date | 21-Sep-2021 | Holding Recon Date | 21-Sep-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 07-Oct-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | EXTENSION AMENDMENT - APPROVAL OF AN AMENDMENT TO THE COMPANY'S SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO EXTEND THE DATE BY WHICH THE COMPANY HAS TO CONSUMMATE A BUSINESS COMBINATION (THE "EXTENSION") UNTIL NOVEMBER 13, 2021, OR, IF THE COMPANY SHALL, IN ITS SOLE DISCRETION DETERMINE, DECEMBER 13, 2021, OR, IF THE COMPANY SHALL IN ITS SOLE DISCRETION DETERMINE, JANUARY 13, 2022. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | ADJOURNMENT - APPROVAL TO DIRECT THE CHAIRMAN OF THE SPECIAL MEETING TO ADJOURN THE SPECIAL MEETING TO A LATER DATE OR DATES, IF NECESSARY, TO PERMIT FURTHER SOLICITATION AND VOTE OF PROXIES IF, BASED UPON THE TABULATED VOTE AT THE TIME OF THE MEETING, THERE ARE NOT SUFFICIENT VOTES TO APPROVE THE PROPOSAL 1. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
3,382 | 0 | 28-Sep-2021 | 28-Sep-2021 | |||||||||||||||||||||||||
| LIVE OAK ACQUISITION CORP. II | ||||||||||||||||||||||||||||||||
| Security | 53804W106 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | LOKB | Meeting Date | 12-Oct-2021 | |||||||||||||||||||||||||||||
| ISIN | US53804W1062 | Agenda | 935499233 - Management | |||||||||||||||||||||||||||||
| Record Date | 13-Sep-2021 | Holding Recon Date | 13-Sep-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 11-Oct-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - To consider and vote upon a proposal to (a) approve and adopt the Business Combination Agreement and Plan of Reorganization, dated as of May 6, 2021 (the "Business Combination Agreement"), among LOKB, Live Oak Merger Sub Inc., a Delaware corporation and a wholly owned direct subsidiary of LOKB ("Merger Sub"), and Navitas Semiconductor Limited, a private company limited by shares organized under the laws of Ireland ("Navitas Ireland") that ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Authorized Share Charter Proposal - To consider and vote upon a proposal to increase the number of authorized shares of LOKB's capital stock, par value $0.0001 per share, from 111,000,000 shares, consisting of (a) 110,000,000 shares of common stock, including 100,000,000 shares of Class A common stock (the "Class A Common Stock"), and 10,000,000 shares of Class B common stock (the "LOKB Class B Common Stock"), and (b) 1,000,000 shares of preferred stock, to 751,000,000 shares, ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Additional Charter Proposal - To consider and vote upon a proposal to make certain other changes that the LOKB Board deems appropriate for a public operating company, including (a) eliminating provisions in the Charter relating to LOKB's Initial Business Combination that will no longer be applicable to LOKB following the closing of the Business Combination (the "Closing"), including provisions relating to (i) redemption rights with respect to Class A Common Stock, (ii) the trust ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | The PIPE Proposal - To consider and vote upon a proposal to approve, for purposes of complying with applicable listing rules of the New York Stock Exchange, the issuance and sale of 15,500,000 shares of Class A Common Stock in a private offering of securities to certain investors in connection with the Business Combination, which will occur substantially concurrently with, and is contingent upon, the consummation of the transactions contemplated by the Business Combination Agreement (the "PIPE Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | The 2021 Plan Proposal - To consider and vote upon a proposal to approve and adopt the 2021 Equity Incentive Plan (the "2021 Plan") and the material terms thereunder (the "2021 Plan Proposal"). The 2021 Plan Proposal is conditioned on the approval of the Business Combination Proposal and the PIPE Proposal. |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Gene Sheridan | For | For | |||||||||||||||||||||||||||||
| 2 | Daniel Kinzer | For | For | |||||||||||||||||||||||||||||
| 3 | Brian Long | For | For | |||||||||||||||||||||||||||||
| 4 | Dipender Saluja | For | For | |||||||||||||||||||||||||||||
| 5 | David Moxam | For | For | |||||||||||||||||||||||||||||
| 6 | Richard J. Hendrix | For | For | |||||||||||||||||||||||||||||
| 7 | Gary K. Wunderlich, Jr. | For | For | |||||||||||||||||||||||||||||
| 7. | The Adjournment Proposal - To consider and vote upon a proposal to approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Business Combination Proposal, the Charter Proposals, the PIPE Proposal, the 2021 Plan Proposal or the Director Election Proposal (the "Adjournment Proposal"). The ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
699 | 0 | 27-Sep-2021 | 27-Sep-2021 | |||||||||||||||||||||||||
| MILLER/HOWARD HIGH INCOME EQUITY FUND | ||||||||||||||||||||||||||||||||
| Security | 600379101 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | HIE | Meeting Date | 15-Oct-2021 | |||||||||||||||||||||||||||||
| ISIN | US6003791018 | Agenda | 935499295 - Management | |||||||||||||||||||||||||||||
| Record Date | 10-Sep-2021 | Holding Recon Date | 10-Sep-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 14-Oct-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Charles I. Leone* | Split | Split | |||||||||||||||||||||||||||||
| 2 | Mayra Martinez-Sacco* | Split | Split | |||||||||||||||||||||||||||||
| 3 | Catherine M. Johnston# | Split | Split | |||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE |
145442.18 | UMB BANK, N.A. |
10,286 | 0 | 14-Oct-2021 | 14-Oct-2021 | |||||||||||||||||||||||||
| MILLER/HOWARD HIGH INCOME EQUITY FUND | ||||||||||||||||||||||||||||||||
| Security | 600379101 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | HIE | Meeting Date | 15-Oct-2021 | |||||||||||||||||||||||||||||
| ISIN | US6003791018 | Agenda | 935499295 - Management | |||||||||||||||||||||||||||||
| Record Date | 10-Sep-2021 | Holding Recon Date | 10-Sep-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 14-Oct-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Charles I. Leone* | Split | Split | |||||||||||||||||||||||||||||
| 2 | Mayra Martinez-Sacco* | Split | Split | |||||||||||||||||||||||||||||
| 3 | Catherine M. Johnston# | Split | Split | |||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
40,535 | 0 | 14-Oct-2021 | 14-Oct-2021 | |||||||||||||||||||||||||
| GREENROSE ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 395392103 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | GNRS | Meeting Date | 27-Oct-2021 | |||||||||||||||||||||||||||||
| ISIN | US3953921034 | Agenda | 935505062 - Management | |||||||||||||||||||||||||||||
| Record Date | 23-Sep-2021 | Holding Recon Date | 23-Sep-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 26-Oct-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Extension Amendment Proposal - to consider and vote upon a proposal (the "Extension Amendment Proposal") to amend the Company's amended and restated certificate of incorporation to extend the date by which the Company has to consummate a business combination (the "Extension") from October 13, 2021 to November 30, 2021 (the "Extended Date"); a copy of the proposed amendment to the Company's amended and restated certificate of incorporation to effectuate the Extension is attached to the accompanying proxy statement as Annex A. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Qualified Business Combinations Proposal - to consider and vote upon a proposal (the "Qualified Business Combinations Proposal") to approve the Qualified Business Combinations; copies of the Theraplant Merger Agreement, Asset Purchase Agreement, Theraplant Amendment No. 1, and True Harvest Amendment No. 1 are attached to the accompanying proxy statement as Annex B, Annex C, Annex D and Annex E, respectively. |
Management | For | For | ||||||||||||||||||||||||||||
| 3A. | Increase the number of shares of Common Stock, par value $0.0001 per share, that Greenrose is authorized to issue from 70,000,000 to 150,000,000 - we refer to this proposal as "Proposal 3a" or the "Share Increase Proposal". |
Management | For | For | ||||||||||||||||||||||||||||
| 3B. | Include a provision to allow for the redemption of Greenrose Common Stock from stockholders who are deemed "Unsuitable Persons" according to applicable regulations, such that Greenrose would be ineligible to obtain or maintain a cannabis license - we refer to this proposal as "Proposal 3b" or the "Unsuitable Person Redemption Proposal". |
Management | For | For | ||||||||||||||||||||||||||||
| 3C. | Change the stockholder vote required to amend certain provisions contained in the Proposed Charter from 65% to 50% - we refer to this proposal as "Proposal 3c" or the "Transition to Operating Company Charter Amendment Proposal". |
Management | For | For | ||||||||||||||||||||||||||||
| 3D. | Change the name of the Company from "Greenrose Acquisition Corp." to "The Greenrose Holding Company Inc." - we refer to this proposal as "Proposal 3d" or the "Name Change Proposal". |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | The Accountant Proposal - to consider and vote upon a proposal (the "Accountant Proposal") to ratify the change of the Company's independent registered public accounting firm from Marcum LLP to Macias Gini & O'Connell, LLP ("MGO") for the fiscal year ending December 31, 2021. |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | The Director Election Proposal - to consider and vote upon a proposal (the "Director Election Proposal") to re- elect two Class A Directors, Steven Cummings and John Falcon, to serve as members of the Company's board of directors for three-year terms expiring at the Company's 2024 annual meeting of stockholders, or upon their earlier resignation or removal. |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The Incentive Plan Proposal - to consider and vote upon a proposal (the "Incentive Plan Proposal") to approve and adopt the Company's 2021 Equity Incentive Plan, a copy of which is attached the accompanying proxy statement as Annex G (the "Incentive Plan"), including with respect to the authorization of the initial share reserve under the Incentive Plan and the number of shares that may be issued pursuant to the exercise of incentive stock options granted. |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | The Adjournment Proposal - to consider and vote upon a proposal (the "Adjournment Proposal") to adjourn the Special Meeting to a later date or dates, if necessary (i) to ensure that any supplement or amendment to the accompanying proxy statement that the Board has determined in good faith is required by applicable law to be disclosed to the Company stockholders and for such supplement or amendment to be promptly disseminated to Company stockholders prior to the Special Meeting. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
3,975 | 0 | 11-Oct-2021 | 11-Oct-2021 | |||||||||||||||||||||||||
| MOUNTAIN CREST ACQUISITION CORP II | ||||||||||||||||||||||||||||||||
| Security | 62402D105 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | MCAD | Meeting Date | 27-Oct-2021 | |||||||||||||||||||||||||||||
| ISIN | US62402D1054 | Agenda | 935508121 - Management | |||||||||||||||||||||||||||||
| Record Date | 08-Sep-2021 | Holding Recon Date | 08-Sep-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 26-Oct-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal: To consider and vote on a proposal to adopt and approve (a) the Agreement and Plan of Merger, dated as of April 6, 2021 and as amended as of August 30, 2021 and September 27, 2021 (the "Merger Agreement"), by and among Mountain Crest Acquisition Corp. II, a Delaware corporation ("MCAD"), MCAD Merger Sub Inc., a Delaware corporation and wholly owned subsidiary of MCAD ("Merger Sub"), and Better Therapeutics, Inc., a Delaware corporation ("BTX"), ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Charter Amendment Proposal: To consider and vote on a proposal to adopt the proposed amended and restated certificate of incorporation of MCAD (the "Proposed Certificate of Incorporation"). |
Management | For | For | ||||||||||||||||||||||||||||
| 3A. | The Governance Proposal: To consider and vote, on a non-binding advisory basis, on seven separate governance proposals relating to the following material differences between the Current Charter and the Proposed Certificate of Incorporation: To amend the name of MCAD to "Better Therapeutics, Inc." from "Mountain Crest Acquisition Corp. II" and remove certain provisions related to MCAD's status as a special purpose acquisition company that will no longer be relevant following the closing of the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 3B. | The Governance Proposal: To consider and vote, on a non-binding advisory basis, on seven separate governance proposals relating to the following material differences between the Current Charter and the Proposed Certificate of Incorporation: To increase the authorized shares of (i) Common Stock from 30,000,000 shares to 200,000,000 shares and (ii) preferred stock from no shares to 10,000,000 shares. |
Management | For | For | ||||||||||||||||||||||||||||
| 3C. | The Governance Proposal: To consider and vote, on a non-binding advisory basis, on seven separate governance proposals relating to the following material differences between the Current Charter and the Proposed Certificate of Incorporation: Require the vote of at least two-thirds of the voting power of the outstanding shares of capital stock, rather than a simple majority, to adopt, amend or repeal MCAD's bylaws. |
Management | For | For | ||||||||||||||||||||||||||||
| 3D. | The Governance Proposal: To consider and vote, on a non-binding advisory basis, on seven separate governance proposals relating to the following material differences between the Current Charter and the Proposed Certificate of Incorporation: Require the vote of a majority of the voting power of the outstanding shares of capital stock, to remove a director from office. |
Management | For | For | ||||||||||||||||||||||||||||
| 3E. | The Governance Proposal: To consider and vote, on a non-binding advisory basis, on seven separate governance proposals relating to the following material differences between the Current Charter and the Proposed Certificate of Incorporation: Require the vote a majority of the voting power of the outstanding shares of capital stock, to amend or repeal certain provisions of the Proposed Certificate of Incorporation. |
Management | For | For | ||||||||||||||||||||||||||||
| 3F. | The Governance Proposal: To consider and vote, on a non-binding advisory basis, on seven separate governance proposals relating to the following material differences between the Current Charter and the Proposed Certificate of Incorporation: Require that special meetings of stockholders may only be called by the board of directors and not by stockholders, subject to any special rights of the holders of preferred stock. |
Management | For | For | ||||||||||||||||||||||||||||
| 3G. | The Governance Proposal: To consider and vote, on a non-binding advisory basis, on seven separate governance proposals relating to the following material differences between the Current Charter and the Proposed Certificate of Incorporation: Remove the forum selection provision providing for concurrent jurisdiction in the Court of Chancery and the federal district court for the District of Delaware for claims arising under the Securities Act of 1933 from the Proposed Certificate of ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | The Nasdaq Proposal: To consider and vote on a proposal to approve, for purposes of complying with Nasdaq Rules 5635(a) and (b), (i) the issuance of more than 20% of the issued and outstanding MCAD common stock, $.0001 par value, (the "Common Stock") and the resulting change in control in connection with the Business Combination and (ii) for the purposes of complying with Nasdaq Rules 5635(d) the issuance of more than 20% of the issued and outstanding Common Stock in the PIPE Investment (as ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | David Perry | For | For | |||||||||||||||||||||||||||||
| 2 | Kevin Appelbaum | For | For | |||||||||||||||||||||||||||||
| 3 | Richard Carmona | For | For | |||||||||||||||||||||||||||||
| 4 | Suying Liu | For | For | |||||||||||||||||||||||||||||
| 5 | Andy Armanino | For | For | |||||||||||||||||||||||||||||
| 6 | Geoffrey Parker | For | For | |||||||||||||||||||||||||||||
| 7 | Risa Lavizzo-Mourey | For | For | |||||||||||||||||||||||||||||
| 6. | The 2021 Stock Option and Incentive Plan Proposal: To consider and vote on a proposal to approve the 2021 Stock Option and Incentive Plan (the "2021 Plan"), in connection with the Business Combination (the "2021 Plan Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | The 2021 Employee Stock Purchase Plan Proposal: To consider and vote on a proposal to approve the 2021 Employee Stock Purchase Plan (the "2021 ESPP"), in connection with the Business Combination (the "2021 ESPP Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 8. | The Adjournment Proposal: To approve a proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve the Business Combination Proposal, the Charter Amendment Proposal, the Governance Proposal, the Nasdaq Proposal, the Directors Proposal, the 2021 Plan Proposal or the 2021 ESPP Proposal. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,937 | 0 | 20-Oct-2021 | 20-Oct-2021 | |||||||||||||||||||||||||
| EATON VANCE SENIOR INCOME TRUST | ||||||||||||||||||||||||||||||||
| Security | 27826S103 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | EVF | Meeting Date | 29-Oct-2021 | |||||||||||||||||||||||||||||
| ISIN | US27826S1033 | Agenda | 935488646 - Management | |||||||||||||||||||||||||||||
| Record Date | 03-Aug-2021 | Holding Recon Date | 03-Aug-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 28-Oct-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Mark R. Fetting | Split | Split | |||||||||||||||||||||||||||||
| 2 | Helen Frame Peters | Split | Split | |||||||||||||||||||||||||||||
| 3 | Keith Quinton | Split | Split | |||||||||||||||||||||||||||||
| 4 | Scott E. Wennerholm | Split | Split | |||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE |
145442.18 | UMB BANK, N.A. |
50,015 | 0 | 13-Oct-2021 | 13-Oct-2021 | |||||||||||||||||||||||||
| EATON VANCE SENIOR INCOME TRUST | ||||||||||||||||||||||||||||||||
| Security | 27826S103 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | EVF | Meeting Date | 29-Oct-2021 | |||||||||||||||||||||||||||||
| ISIN | US27826S1033 | Agenda | 935488646 - Management | |||||||||||||||||||||||||||||
| Record Date | 03-Aug-2021 | Holding Recon Date | 03-Aug-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 28-Oct-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Mark R. Fetting | Split | Split | |||||||||||||||||||||||||||||
| 2 | Helen Frame Peters | Split | Split | |||||||||||||||||||||||||||||
| 3 | Keith Quinton | Split | Split | |||||||||||||||||||||||||||||
| 4 | Scott E. Wennerholm | Split | Split | |||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
47,530 | 0 | 13-Oct-2021 | 13-Oct-2021 | |||||||||||||||||||||||||
| MERIDA MERGER CORP. I | ||||||||||||||||||||||||||||||||
| Security | 58953M106 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | MCMJ | Meeting Date | 29-Oct-2021 | |||||||||||||||||||||||||||||
| ISIN | US58953M1062 | Agenda | 935503967 - Management | |||||||||||||||||||||||||||||
| Record Date | 24-Sep-2021 | Holding Recon Date | 24-Sep-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 28-Oct-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | Extension Amendment Proposal: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to December 31, 2021. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | Adjournment Proposal: to consider and vote upon a proposal to adjourn the special meeting to a later date or dates, if determined by the parties to the Merger Agreement in accordance with the Merger Agreement. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE |
145442.18 | UMB BANK, N.A. |
4,094 | 0 | 07-Oct-2021 | 07-Oct-2021 | |||||||||||||||||||||||||
| AGBA ACQUISITION LIMITED | ||||||||||||||||||||||||||||||||
| Security | G0120M109 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | AGBA | Meeting Date | 02-Nov-2021 | |||||||||||||||||||||||||||||
| ISIN | VGG0120M1095 | Agenda | 935509503 - Management | |||||||||||||||||||||||||||||
| Record Date | 12-Oct-2021 | Holding Recon Date | 12-Oct-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 01-Nov-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | APPROVAL OF AN AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION TO EXTEND THE DATE BY WHICH THE COMPANY HAS TO CONSUMMATE A BUSINESS COMBINATION (THE "EXTENSION") TWO (2) TIMES FOR AN ADDITIONAL THREE (3) MONTH EACH TIME FROM NOVEMBER 16, 2021 TO MAY 16, 2022. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | APPROVAL OF AN AMENDMENT TO THE COMPANY'S EXISTING INVESTMENT MANAGEMENT TRUST AGREEMENT TO MAKE CHANGES NECESSARY TO REFLECT THE EXTENSION. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
2,247 | 0 | 20-Oct-2021 | 20-Oct-2021 | |||||||||||||||||||||||||
| DD3 ACQUISITION CORP. II | ||||||||||||||||||||||||||||||||
| Security | 23318M100 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | DDMX | Meeting Date | 18-Nov-2021 | |||||||||||||||||||||||||||||
| ISIN | US23318M1009 | Agenda | 935513639 - Management | |||||||||||||||||||||||||||||
| Record Date | 14-Oct-2021 | Holding Recon Date | 14-Oct-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | Mexico | Vote Deadline Date | 17-Nov-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - To consider and vote upon a proposal to approve and adopt the Business Combination Agreement, dated as of June 21, 2021 (as may be amended, supplemented, or otherwise modified from time to time, the "Business Combination Agreement"), by and among DD3, Codere Newco, S.A.U., Servicios de Juego Online S.A.U., Codere Online Luxembourg, S.A. and Codere Online U.S. Corp., and the business combination contemplated thereby (the "Business Combination"). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Nasdaq Proposal - To consider and vote upon a proposal to approve, for purposes of complying with Nasdaq Listing Rule 5635(a), the issuance of more than 20% of the current total issued and outstanding shares of DD3 common stock to certain investors pursuant to forward purchase agreements entered into at the time of DD3's initial public offering and subscription agreements entered into in connection with PIPE transactions at or prior to the closing of the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Adjournment Proposal - To consider and vote upon a proposal to authorize the adjournment of the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the Special Meeting, there are not sufficient votes to approve one or more proposals presented to stockholders for vote or public stockholders have elected to redeem an amount of public shares such that the minimum available cash condition to the obligation to closing of the Business Combination would not be satisfied. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,712 | 0 | 29-Oct-2021 | 29-Oct-2021 | |||||||||||||||||||||||||
| YUNHONG INTERNATIONAL | ||||||||||||||||||||||||||||||||
| Security | G98882106 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | ZGYH | Meeting Date | 18-Nov-2021 | |||||||||||||||||||||||||||||
| ISIN | KYG988821065 | Agenda | 935518348 - Management | |||||||||||||||||||||||||||||
| Record Date | 20-Oct-2021 | Holding Recon Date | 20-Oct-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | China | Vote Deadline Date | 17-Nov-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Extension Amendment Proposal - To amend the amended and restated Memorandum and Articles of Association of Yunhong International ("Yunhong") to extend the date by which Yunhong has to consummate a business combination from November 18, 2021 to May 18, 2022 (if Yunhong's sponsor chooses to extend the period of time to consummate a business combination by the full amount of time). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
2,638 | 0 | 11-Nov-2021 | 11-Nov-2021 | |||||||||||||||||||||||||
| INVESCO SENIOR INCOME TRUST | ||||||||||||||||||||||||||||||||
| Security | 46131H107 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | VVR | Meeting Date | 23-Nov-2021 | |||||||||||||||||||||||||||||
| ISIN | US46131H1077 | Agenda | 935470714 - Management | |||||||||||||||||||||||||||||
| Record Date | 10-May-2021 | Holding Recon Date | 10-May-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 22-Nov-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Jack M. Fields | Split | Split | |||||||||||||||||||||||||||||
| 2 | Martin L. Flanagan | Split | Split | |||||||||||||||||||||||||||||
| 3 | Elizabeth Krentzman | Split | Split | |||||||||||||||||||||||||||||
| 4 | Robert C. Troccoli | Split | Split | |||||||||||||||||||||||||||||
| 5 | James D. Vaughn | Split | Split | |||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
122,805 | 0 | 05-Aug-2021 | 05-Aug-2021 | |||||||||||||||||||||||||
| EAST STONE ACQUISITION CORPORATION | ||||||||||||||||||||||||||||||||
| Security | G2911D108 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | ESSC | Meeting Date | 24-Nov-2021 | |||||||||||||||||||||||||||||
| ISIN | VGG2911D1087 | Agenda | 935518350 - Management | |||||||||||||||||||||||||||||
| Record Date | 25-Oct-2021 | Holding Recon Date | 25-Oct-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 23-Nov-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1) | The Extension Amendment Proposal: To amend the amended and restated Memorandum and Articles of Association of East Stone Acquisition Corporation ("East Stone") to extend the date by which East Stone has to consummate a business combination from November 24, 2021 to February 24, 2022. |
Management | For | For | ||||||||||||||||||||||||||||
| 2) | The Adjournment Proposal: To instruct the chairman of the special meeting to adjourn the special meeting of East Stone shareholders to a later date or dates, if necessary, to permit further solicitation and vote of Proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve the Extension Amendment Proposal. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
2,245 | 0 | 11-Nov-2021 | 11-Nov-2021 | |||||||||||||||||||||||||
| THIMBLE POINT ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 88408P107 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | THMA | Meeting Date | 30-Nov-2021 | |||||||||||||||||||||||||||||
| ISIN | US88408P1075 | Agenda | 935514136 - Management | |||||||||||||||||||||||||||||
| Record Date | 18-Oct-2021 | Holding Recon Date | 18-Oct-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 29-Nov-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | A proposal to (a) approve and adopt the Business Combination Agreement, dated as of June 21, 2021 (as it may be amended, supplemented or otherwise modified from time to time in accordance with its terms, the "Business Combination Agreement"), by and among THMA, Oz Merger Sub, Inc., a Delaware corporation and wholly-owned subsidiary of THMA ("Merger Sub"), and Pear Therapeutics, Inc., a Delaware corporation ("Pear"), and (b) approve the transactions contemplated thereby, including ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | A proposal to amend the current certificate of incorporation of THMA (the "Current Charter") and adopt the Second Amended and Restated Certificate of Incorporation (the "Proposed Charter") to be effective upon the consummation of the Merger (the "Closing") which will include amendments to (a) increase the number of authorized shares of THMA's capital stock, par value $0.0001 per share, from 221,000,000 shares, consisting of (i) 220,000,000 shares of common stock, including 200,000,000 shares ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | On a non-binding advisory basis, a separate proposal with respect to certain governance provisions in the Proposed Charter in accordance with Securities and Exchange Commission guidance. The Proposed Charter, and the provisions that are the subject of this proposal, is further described in the Proxy Statement for the Special Meeting and a copy of the Proposed Charter is attached as Annex B to the Proxy Statement. |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Zack Lynch | For | For | |||||||||||||||||||||||||||||
| 2 | Kirthiga Reddy | For | For | |||||||||||||||||||||||||||||
| 3 | Andrew J. Schwab | For | For | |||||||||||||||||||||||||||||
| 4 | Alison Bauerlein | For | For | |||||||||||||||||||||||||||||
| 5 | Nancy Schlichting | For | For | |||||||||||||||||||||||||||||
| 6 | Jorge Gomez | For | For | |||||||||||||||||||||||||||||
| 7 | Corey McCann | For | For | |||||||||||||||||||||||||||||
| 5. | A proposal to approve, in connection with the Merger, for purposes of complying with applicable listing rules of the NASDAQ Stock Market ("NASDAQ"), the issuance and/or sale of (a) up to 132,395,625 THMA Class A Common Shares to the holders of Pear's capital stock pursuant to the Business Combination Agreement and the reservation for issuance of THMA Class A Common Shares subject to Rollover Options (as defined in the Proxy Statement) pursuant to the Business Combination Agreement ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | A proposal to approve and adopt the Pear Holdings Corp. 2021 Stock Option and Incentive Plan (the "2021 Plan"), a copy of which is attached as Annex K to the Proxy Statement, and the material terms thereunder. |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | A proposal to approve and adopt the Pear Holdings Corp. Employee Stock Purchase Plan (the "2021 ESPP"), a copy of which is attached as Annex L to the Proxy Statement, and the material terms thereunder. |
Management | For | For | ||||||||||||||||||||||||||||
| 8. | A proposal to approve the adjournment of the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, Proposals 1-2 and 4-7. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
2,175 | 0 | 10-Nov-2021 | 10-Nov-2021 | |||||||||||||||||||||||||
| HIGH INCOME SECURITIES FUND | ||||||||||||||||||||||||||||||||
| Security | 42968F108 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | PCF | Meeting Date | 30-Nov-2021 | |||||||||||||||||||||||||||||
| ISIN | US42968F1084 | Agenda | 935517170 - Management | |||||||||||||||||||||||||||||
| Record Date | 21-Sep-2021 | Holding Recon Date | 21-Sep-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 29-Nov-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Phillip Goldstein | Split | Split | |||||||||||||||||||||||||||||
| 2 | Andrew Dakos | Split | Split | |||||||||||||||||||||||||||||
| 3 | Rajeev Das | Split | Split | |||||||||||||||||||||||||||||
| 4 | Richard Dayan | Split | Split | |||||||||||||||||||||||||||||
| 5 | Gerald Hellerman | Split | Split | |||||||||||||||||||||||||||||
| 6 | Ben H. Harris | Split | Split | |||||||||||||||||||||||||||||
| 7 | Mortiz Sell | Split | Split | |||||||||||||||||||||||||||||
| 2. | To provide a non-binding advisory vote on whether the amendment to the Fund's proxy voting policy is in the best interests of the Fund and its shareholders. |
Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
100 | 0 | 29-Nov-2021 | 29-Nov-2021 | |||||||||||||||||||||||||
| ALDEL FINANCIAL INC. | ||||||||||||||||||||||||||||||||
| Security | 01407X104 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | ADF | Meeting Date | 01-Dec-2021 | |||||||||||||||||||||||||||||
| ISIN | US01407X1046 | Agenda | 935521307 - Management | |||||||||||||||||||||||||||||
| Record Date | 09-Nov-2021 | Holding Recon Date | 09-Nov-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 30-Nov-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - to adopt the Business Combination Agreement, dated as of August 17, 2021 (the "Business Combination Agreement"), by and among Aldel, Aldel Merger Sub LLC, a Delaware limited liability company and wholly owned subsidiary of Aldel ("Merger Sub"), and The Hagerty Group, LLC, a Delaware limited liability company ("Hagerty"), which is attached to the accompanying proxy statement as Annex A and pursuant to which: (a) all of the outstanding equity interests ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The NYSE Proposal - to approve, for purposes of complying with applicable listing rules of the New York Stock Exchange, (a) the issuance of approximately 250,000,000 shares of Class A Common Stock upon exchange of the Class V Common Stock and OpCo Units issued in connection with the Business Combination in accordance with the Exchange Agreement (as defined in the accompanying proxy statement) and (b) the issuance and sale of 70,385,000 shares of Class A Common Stock in a private offering of ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Charter Amendment Proposal - to approve an amendment and restatement of Aldel's amended and restated certificate of incorporation (the "Current Charter") in the form of the Proposed Charter attached to the accompanying proxy statement as Annex B. |
Management | For | For | ||||||||||||||||||||||||||||
| 4A. | Advisory Charter Proposal A - increase Aldel's authorized shares from 401,000,000 authorized shares to 500,000,000 authorized shares of Class A common stock, 300,000,000 authorized shares of Class V common stock and 20,000,000 authorized shares of preferred stock. |
Management | For | For | ||||||||||||||||||||||||||||
| 4B. | Advisory Charter Proposal B - provide that each share of Class V common stock will be entitled to ten votes until the earlier of (a) the transfer of each such share other than to a Qualified Transferee (as defined in the Proposed Charter) and (b) 15 years from the date of effectiveness of the Proposed Charter. |
Management | For | For | ||||||||||||||||||||||||||||
| 4C. | Advisory Charter Proposal C - provide that directors may be removed from office for any reason by the affirmative vote of the holders of at least a majority of the voting power of all then outstanding shares of capital stock of New Hagerty entitled to vote generally in the election of directors, voting together as a single class until a Control Trigger Event (as defined in the Proposed Charter) occurs, after which directors may only be removed from office for cause by the affirmative vote of the ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4D. | Advisory Charter Proposal D - provide that the Bylaws of New Hagerty may be amended by the affirmative vote of the holders of at least a majority of the voting power of all then outstanding shares of capital stock of New Hagerty entitled to vote generally in the election of directors, voting together as a single class until a Control Trigger Event occurs, after which the Bylaws may only be amended by the affirmative vote of the holders of at least 75% of the voting power of all then ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4E. | Advisory Charter Proposal E - require the affirmative vote of holders of the majority of the voting power of the outstanding shares of capital stock for the amendment, alteration, change or repeal of any provision in the charter; provided, however, that upon a Control Trigger Event the affirmative vote of the holders of at least 75% of the voting power of all then outstanding shares of capital stock entitled to vote generally in the election of directors, voting together as a single class, shall ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4F. | Advisory Charter Proposal F - delete the various provisions in Aldel's current amended and restated certificate of incorporation applicable only to special purpose acquisition corporations (such as the obligation to dissolve and liquidate if a business combination is not consummated within a certain period of time). |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | The Directors Proposal - to elect, effective as of the consummation of the Business Combination, Michael Angelina, Robert Kauffman, McKeel Hagerty, Michael Crowley, Michael Tipsord, Laurie Harris, Mika Salmi, Bill Swanson and Sabrina Kay, to serve on New Hagerty's board of directors. |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The Equity Incentive Plan Proposal - to approve and adopt the 2021 Equity Incentive Plan, a copy of which is attached to the accompanying proxy statement as Annex C. |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | The Employee Stock Purchase Plan Proposal - to approve and adopt the employee stock purchase plan, a copy of which is attached to the accompanying proxy statement as Annex D. |
Management | For | For | ||||||||||||||||||||||||||||
| 8. | The Adjournment Proposal - to consider and vote upon a proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve Proposals 1, 2, 3, 4, 5, 6 or 7. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
2,574 | 0 | 15-Nov-2021 | 15-Nov-2021 | |||||||||||||||||||||||||
| FORESIGHT ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 34552Y106 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | FORE | Meeting Date | 03-Dec-2021 | |||||||||||||||||||||||||||||
| ISIN | US34552Y1064 | Agenda | 935514148 - Management | |||||||||||||||||||||||||||||
| Record Date | 08-Oct-2021 | Holding Recon Date | 08-Oct-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 02-Dec-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combinations Proposal - To approve and adopt the Agreement and Plan of Merger, dated as of May 25, 2021 (as it may be amended or restated from time to time, the "Merger Agreement), by and among Foresight, P3 Health Group Holdings, LLC ("P3") and FAC Merger Sub LLC ("P3 LLC") and the Transaction and Combination Agreement, dated as of May 25, 2021 (as it may be amended or restated from time to time, the "Transaction and Combination Agreement") among Foresight and the blocker ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Charter Amendment Proposal - To approve and adopt the proposed second amended and restated certificate of incorporation of Foresight attached as Annex C to the proxy statement (the "Proposed Charter"). |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Bylaw Amendment Proposal - To approve amendments to Foresight's bylaws, in the form of the amended and restated bylaws attached as Annex D to the proxy statement (the "Proposed Bylaws"). |
Management | For | For | ||||||||||||||||||||||||||||
| 4A. | Advisory Governance Proposal 4A - to increase the number of authorized shares of Class A Common Stock from 200,000,000 to 800,000,000 and increase the number of authorized shares of preferred stock from 1,000,000 to 10,000,000. |
Management | For | For | ||||||||||||||||||||||||||||
| 4B. | Advisory Governance Proposal 4B - to create a new class of capital stock, Class V Common Stock, which will carry certain voting rights but no economic rights, and set the number of authorized shares of Class V Common Stock to 205,000,000. |
Management | For | For | ||||||||||||||||||||||||||||
| 4C. | Advisory Governance Proposal 4C - to provide that the post- combination company renounces all interest and expectancy that the post-combination company would be entitled to have in, and all rights to be offered an opportunity to participate in, any business opportunity that from time to time may be presented to Foresight Sponsor Group, LLC and Chicago Pacific Founders or their affiliates (other than the post-combination company and its subsidiaries), and any of their respective principals, ... (due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4D. | Advisory Governance Proposal 4D - to provide for certain additional changes, including, among other things, (i) changing the corporate name from "Foresight Acquisition Corp." to "P3 Health Partners Inc.", (ii) making the post- combination company's corporate existence perpetual, and (iii) removing certain provisions related to Foresight's status as a blank check company that will no longer be applicable upon consummation of the Business Combinations, all of which ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4E. | Advisory Governance Proposal 4E - to modify the forum selection provision to designate the U.S. federal district courts as the exclusive forum for claims arising under the Securities Act and provide that the forum selection provision will not apply to claims seeking to enforce any liability or duty created by the Exchange Act. |
Management | For | For | ||||||||||||||||||||||||||||
| 4F. | Advisory Governance Proposal 4F - to update the advance notice requirements for stockholder proposals and nominations to require enhanced disclosure about both the proposing stockholder and the nominee, including director questionnaires, disclosures of voting commitments and compensation arrangements, representations that any nominee will comply with all post- combination company board policies and enhanced disclosure of derivative and synthetic ownership interests. |
Management | For | For | ||||||||||||||||||||||||||||
| 4G. | Advisory Governance Proposal 4G - to provide that special meetings of stockholders may be called by the Chairman of the post-combination company board or a majority of the whole board. |
Management | For | For | ||||||||||||||||||||||||||||
| 4H. | Advisory Governance Proposal 4H - to change the required vote for stockholder approval in order to alter, amend or repeal the bylaws from the affirmative vote of a majority of the voting power of all outstanding shares of capital stock of the post- combination company entitled to vote generally in the election of directors, voting together as a single class, to at least sixty-six and two-thirds percent (66 2/3%) of the voting power of all of the outstanding voting stock of the post- combination company entitled to vote. |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | Nasdaq Proposal - To approve, in connection with the Business Combinations, for purposes of complying with applicable listing rules of The Nasdaq Capital Market: the issuance of (i) shares of Class A Common Stock to the blocker sellers in the transactions contemplated by the Transaction and Combination Agreement and (ii) shares of Class V Common Stock to the P3 equityholders who subscribe for shares of Class V Common Stock in the P3 equityholders subscription, with the number of such ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | 2021 Plan Proposal - To approve the P3 Health Partners Inc. 2021 Incentive Award Plan. |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | Stockholder Adjournment Proposal - To approve the adjournment of the special meeting of stockholders to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of any of the stockholder proposals. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
471 | 0 | 10-Nov-2021 | 10-Nov-2021 | |||||||||||||||||||||||||
| GIGCAPITAL4, INC. | ||||||||||||||||||||||||||||||||
| Security | 37518G101 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | GIG | Meeting Date | 03-Dec-2021 | |||||||||||||||||||||||||||||
| ISIN | US37518G1013 | Agenda | 935518956 - Management | |||||||||||||||||||||||||||||
| Record Date | 05-Oct-2021 | Holding Recon Date | 05-Oct-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 02-Dec-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | To approve and adopt the Agreement and Plan of Merger dated June 4, 2021, as amended on August 6, 2021, and as it may be further amended from time to time, the ("Merger Agreement") by and among the Company, GigCapital4 Merger Sub Corporation, a Delaware corporation ("Merger Sub"), BigBear.ai Holdings, LLC, a Delaware limited liability company ("BigBear"), and BBAI Ultimate Holdings, LLC, a Delaware limited liability company, a copy of which is attached to the proxy statement as Annex A, and approve the transactions contemplated thereby. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | To approve, for purposes of complying with applicable Nasdaq listing rules, the issuance of more than 20% of the Company's outstanding GigCapital4 Common Stock in connection with the Business Combination and the Convertible Note Subscription Agreements, including up to 123,710,000 shares of GigCapital4 Common Stock to Ultimate as the sole equity holder of BigBear, and 17,391,304 shares of GigCapital4 Common Stock upon conversion of the Convertible Notes. |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | To consider and vote upon a proposal to amend the Company's current amended and restated certificate of incorporation (the "Charter") to provide for the classification of our board of directors (our "Board") into three classes of directors with staggered terms of office and to make certain related changes. |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | To consider and vote upon a proposal to amend the Company's Charter to provide for certain additional changes, including but not limited to changing the Company's name from "GigCapital4, Inc." to "BigBear.ai Holdings, Inc." and eliminating certain provisions specific to our status as a blank check company. |
Management | For | For | ||||||||||||||||||||||||||||
| 5A. | To approve the BigBear.ai Holdings, Inc. 2021 Long- Term Incentive Plan (the "2021 Plan"), including the authorization of the initial share reserve under the 2021 Plan. |
Management | For | For | ||||||||||||||||||||||||||||
| 5B. | To approve the BigBear.ai Holdings, Inc. 2021 Employee Stock Purchase Plan (the "2021 ESPP"), including the authorization of the initial share reserve under the 2021 ESPP. |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | To elect, effective at Closing, eleven directors to serve staggered terms on our board of directors until the 2022, 2023 and 2024 annual meetings of stockholders, respectively, and until their respective successors are duly elected and qualified. |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | To approve, if necessary the adjournment of the Special Meeting to a later date or dates to permit further solicitation and votes of proxies in the event there are insufficient votes for, or otherwise in connection with, the approval of the Business Combination Proposal, the Nasdaq Stock Issuance Proposal, the Charter Amendment Proposals, the Equity Plans Proposals or the Election of Directors Proposal. This proposal will only be presented at the Special Meeting if there are not sufficient votes to approve the proposals. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
705 | 0 | 11-Nov-2021 | 11-Nov-2021 | |||||||||||||||||||||||||
| SEVEN OAKS ACQUISITION CORP | ||||||||||||||||||||||||||||||||
| Security | 81787X106 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | SVOK | Meeting Date | 07-Dec-2021 | |||||||||||||||||||||||||||||
| ISIN | US81787X1063 | Agenda | 935521799 - Management | |||||||||||||||||||||||||||||
| Record Date | 26-Oct-2021 | Holding Recon Date | 26-Oct-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 06-Dec-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - To consider and vote upon a proposal to approve the agreement and plan of merger (as the same may be amended and/or restated from time to time, the "Business Combination Agreement"), dated June 13, 2021, by and among Seven Oaks, Blossom Merger Sub, Inc., a wholly owned subsidiary of Seven Oaks ("Merger Sub"), Blossom Merger Sub II, LLC, a wholly owned subsidiary of Seven Oaks ("Merger Sub II"), and Giddy Inc. (d/b/a Boxed), a Delaware corporation ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | Organizational Documents Proposal - To consider and vote upon a proposal to approve, assuming the Business Combination Proposal is approved and adopted, the proposed amended and restated certificate of incorporation and the proposed amended and restated bylaws of Seven Oaks, which will be renamed "Boxed, Inc." ("New Boxed") in connection with the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 3A. | Advisory Organizational Documents Proposal - To authorize the change in the authorized capital stock of Seven Oaks from 380,000,000 shares of Class A common stock, par value $0.0001 per share, 20,000,000 shares of Class B common stock, par value $0.0001 per share, and 1,000,000 shares of preferred stock, par value $0.0001 per share, to 600,000,000 shares of common stock, par value $0.0001 per share, of New Boxed and 60,000,000 shares of preferred stock, par value $0.0001 per share, of New Boxed. |
Management | For | For | ||||||||||||||||||||||||||||
| 3B. | Advisory Organizational Documents Proposal - To authorize all other changes in connection with the replacement of the Current Organizational Documents with the Proposed Organizational Documents in connection with the consummation of the Business Combination, including (1) changing the corporate name from "Seven Oaks Acquisition Corp." to "Boxed, Inc.", (2) making New Boxed's corporate existence perpetual, (3) electing not to be governed by Section 203 of the DGCL and, instead, to be governed ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | The Stock Issuance Proposal - To consider and vote upon a proposal to approve, assuming the Business Combination Proposal and the Organizational Documents Proposal are approved and adopted, for the purposes of complying with the applicable listing rules of Nasdaq, the issuance of (x) shares of New Boxed common stock pursuant to the terms of the Business Combination Agreement, (y) shares of Seven Oaks Class A common stock to certain institutional and other investors in connection with the ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | The Incentive Award Plan Proposal - To consider and vote upon a proposal to approve, assuming the Business Combination Proposal, the Organizational Documents Proposal and the Stock Issuance Proposal are approved and adopted, the Boxed, Inc. 2021 Incentive Award Plan (the "Incentive Award Plan"), including the authorization of the initial share reserve under the Incentive Award Plan. |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The ESPP Proposal - To consider and vote upon a proposal to approve, assuming the Business Combination Proposal, the Organizational Documents Proposal and the Stock Issuance Proposal are approved and adopted, the Boxed, Inc. 2021 Employee Stock Purchase Plan (the "ESP Plan"), including the authorization of the initial share reserve under the ESP Plan. |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | The Adjournment Proposal - To consider and vote upon a proposal to approve the adjournment of the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, any of the Business Combination Proposal, the Organizational Documents Proposal, the Stock Issuance Proposal, the Incentive Plan Proposal and the ESPP Proposal would not be duly approved and adopted by our ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
2,078 | 0 | 29-Nov-2021 | 29-Nov-2021 | |||||||||||||||||||||||||
| SPECIAL OPPORTUNITIES FUND, INC | ||||||||||||||||||||||||||||||||
| Security | 84741T104 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | SPE | Meeting Date | 08-Dec-2021 | |||||||||||||||||||||||||||||
| ISIN | US84741T1043 | Agenda | 935521511 - Management | |||||||||||||||||||||||||||||
| Record Date | 13-Oct-2021 | Holding Recon Date | 13-Oct-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 07-Dec-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Mr. Andrew Dakos | Split | Split | |||||||||||||||||||||||||||||
| 2 | Mr. Phillip Goldstein | Split | Split | |||||||||||||||||||||||||||||
| 3 | Mr. Ben Harris | Split | Split | |||||||||||||||||||||||||||||
| 4 | Mr. Gerald Hellerman | Split | Split | |||||||||||||||||||||||||||||
| 5 | Mr. Mark Lunder | Split | Split | |||||||||||||||||||||||||||||
| 6 | Mr. Charles Walden | Split | Split | |||||||||||||||||||||||||||||
| 2. | To provide a non-binding advisory vote on whether the amendment to the Fund's proxy voting policy is in the best interests of the Fund and its stockholders. |
Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
35,595 | 0 | 07-Dec-2021 | 07-Dec-2021 | |||||||||||||||||||||||||
| ISOS ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | G4962C112 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | ISOS | Meeting Date | 14-Dec-2021 | |||||||||||||||||||||||||||||
| ISIN | KYG4962C1125 | Agenda | 935526509 - Management | |||||||||||||||||||||||||||||
| Record Date | 04-Nov-2021 | Holding Recon Date | 04-Nov-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 13-Dec-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1) | The BCA Proposal - To approve and adopt the Business Combination Agreement, dated as of July 1, 2021, (the "Business Combination Agreement"), by and among Isos and Bowlero Corp. which provides for, among other things, the merger of Bowlero with and into Isos (the "Merger"), with Isos surviving the Merger, in accordance with the terms and subject to the conditions of the Business Combination Agreement. |
Management | For | For | ||||||||||||||||||||||||||||
| 2) | The Domestication Proposal - To approve change Isos's jurisdiction of incorporation by deregistering as an exempted company in the Cayman Islands and continuing and domesticating as a corporation incorporated under the laws of the State of Delaware (the "Domestication" and, together with the Merger, the "Business Combination"). |
Management | For | For | ||||||||||||||||||||||||||||
| 3A) | Organizational Documents Proposal A - change in authorized capital stock |
Management | For | For | ||||||||||||||||||||||||||||
| 3B) | Organizational Documents Proposal B - issuance of preferred stock |
Management | For | For | ||||||||||||||||||||||||||||
| 3C) | Organizational Documents Proposal C - adopt Delaware as exclusive forum for certain stockholder litigation |
Management | For | For | ||||||||||||||||||||||||||||
| 3D) | Organizational Documents Proposal D - elect not to be governed by Section 203 of the DGCL |
Management | For | For | ||||||||||||||||||||||||||||
| 3E) | Organizational Documents Proposal E - to approve certain super- majority provisions for certain amendments |
Management | For | For | ||||||||||||||||||||||||||||
| 3F) | Organizational Documents Proposal F - to approve certain super- majority provisions for removal of directors |
Management | For | For | ||||||||||||||||||||||||||||
| 3G) | Organizational Documents Proposal G - to approve super-voting provisions New Bowlero Class B common stock |
Management | For | For | ||||||||||||||||||||||||||||
| 3H) | Organizational Documents Proposal H - to provide for certain additional changes |
Management | For | For | ||||||||||||||||||||||||||||
| 4) | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Thomas F. Shannon | For | For | |||||||||||||||||||||||||||||
| 2 | Brett I. Parker | For | For | |||||||||||||||||||||||||||||
| 3 | John A. Young | For | For | |||||||||||||||||||||||||||||
| 4 | Michael J. Angelakis | For | For | |||||||||||||||||||||||||||||
| 5 | Rachael A. Wagner | For | For | |||||||||||||||||||||||||||||
| 6 | Robert J. Bass | For | For | |||||||||||||||||||||||||||||
| 7 | George Barrios | For | For | |||||||||||||||||||||||||||||
| 8 | Michelle Wilson | For | For | |||||||||||||||||||||||||||||
| 9 | Sandeep Mathrani | For | For | |||||||||||||||||||||||||||||
| 5) | The Stock Issuance Proposal - To approve for purposes of complying with the applicable provisions of the NYSE, the issuance of Class A common stock and Series A preferred stock pursuant to the Business Combination Agreement, the PIPE Offering and the Forward Purchase Contract. |
Management | For | For | ||||||||||||||||||||||||||||
| 6) | The Incentive Plan Proposal - To approve the Bowlero Corp. 2021 Omnibus Incentive Plan. |
Management | For | For | ||||||||||||||||||||||||||||
| 7) | The ESPP Proposal - To approve the Bowlero Corp. Employee Stock Purchase Plan. |
Management | For | For | ||||||||||||||||||||||||||||
| 8) | The Adjournment Proposal - To approve the adjournment of the extraordinary general meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for the approval of one or more proposals at the extraordinary general meeting. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,392 | 0 | 29-Nov-2021 | 29-Nov-2021 | |||||||||||||||||||||||||
| MEXICO EQUITY AND INCOME FUND, INC. | ||||||||||||||||||||||||||||||||
| Security | 592834105 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | MXE | Meeting Date | 16-Dec-2021 | |||||||||||||||||||||||||||||
| ISIN | US5928341057 | Agenda | 935524214 - Management | |||||||||||||||||||||||||||||
| Record Date | 18-Oct-2021 | Holding Recon Date | 18-Oct-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 15-Dec-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1A. | To elect the below-named nominee as Class II Director to hold office for the time period relating to such nominee's class and until his successor has been duly elected and qualified: Richard Abraham |
Management | Split | Split | ||||||||||||||||||||||||||||
| 1B. | To elect the below-named nominee as Class II Director to hold office for the time period relating to such nominee's class and until his successor has been duly elected and qualified: Rajeev Das |
Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
4,613 | 0 | 15-Dec-2021 | 15-Dec-2021 | |||||||||||||||||||||||||
| BULL HORN HOLDINGS CORP. | ||||||||||||||||||||||||||||||||
| Security | G1686P106 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | BHSE | Meeting Date | 16-Dec-2021 | |||||||||||||||||||||||||||||
| ISIN | VGG1686P1062 | Agenda | 935526357 - Management | |||||||||||||||||||||||||||||
| Record Date | 02-Nov-2021 | Holding Recon Date | 02-Nov-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 15-Dec-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Baron Davis | For | For | |||||||||||||||||||||||||||||
| 2 | Michael Gandler | For | For | |||||||||||||||||||||||||||||
| 3 | Jeff Wattenberg | For | For | |||||||||||||||||||||||||||||
| 4 | Doug Schaer | For | For | |||||||||||||||||||||||||||||
| 2. | To ratify the appointment of Marcum 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 |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
2,030 | 0 | 29-Nov-2021 | 29-Nov-2021 | |||||||||||||||||||||||||
| MCAP ACQUISITION CORPORATION | ||||||||||||||||||||||||||||||||
| Security | 55282T109 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | MACQ | Meeting Date | 21-Dec-2021 | |||||||||||||||||||||||||||||
| ISIN | US55282T1097 | Agenda | 935532209 - Management | |||||||||||||||||||||||||||||
| Record Date | 04-Nov-2021 | Holding Recon Date | 04-Nov-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 20-Dec-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - to consider and vote upon a proposal to approve and adopt the Business Combination Agreement, dated as of July 27, 2021 (as may from time to time be amended, restated, supplemented or otherwise modified, the "Business Combination Agreement"), by and among MCAP, GRNT Merger Sub 1 LLC,. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Charter Amendment Proposal - to approve and adopt, an amendment to MCAP's current certificate of incorporation. |
Management | For | For | ||||||||||||||||||||||||||||
| 3A. | Advisory Proposal A - provide that the total number of shares of all classes of capital stock which the Company will have authority to issue is 370,000,000 shares, consisting of (i) 350,000,000 shares of common stock, par value $0.0001 per share and (ii) 20,000,000 shares of preferred stock, par value $0.0001 per share. |
Management | For | For | ||||||||||||||||||||||||||||
| 3B. | Advisory Proposal B - provide that the capital stock consists of common and preferred stock only and does not delineate classes of common stock. |
Management | For | For | ||||||||||||||||||||||||||||
| 3C | Advisory Proposal C - provide for the waiver of the corporate opportunity doctrine with respect to H.I.G. and its affiliates and any Non-Employee Director or his or her affiliates. |
Management | For | For | ||||||||||||||||||||||||||||
| 3D. | Advisory Proposal D - provide that certain actions under the Proposed Charter relating to the nomination and election of directors are subject to the Stockholders Agreement. |
Management | For | For | ||||||||||||||||||||||||||||
| 3E. | Advisory Proposal E - provide that any action required or permitted to be taken by the stockholders of the combined company must be effected by a duly called annual or special meeting of such stockholders and may not be effected by written consent of the stockholders. |
Management | For | For | ||||||||||||||||||||||||||||
| 3F. | Advisory Proposal F - provide that amendments to the Proposed Charter will require the affirmative vote of the holders of at least 66 2/3% of the voting power of the then outstanding shares of capital stock of the combined company entitled to vote, voting together as a single class. |
Management | For | For | ||||||||||||||||||||||||||||
| 3G. | Advisory Proposal G - provide that directors may be removed by the affirmative vote of the holders of at least 66 2/3% of voting stock of the combined company entitled to vote at an election of directors. |
Management | For | For | ||||||||||||||||||||||||||||
| 3H. | Advisory Proposal H - (i) provide that the post-business combination company's corporate name would change from "MCAP Acquisition Corporation" to "AdTheorent, Inc." and make the Company's corporate existence perpetual and (ii) remove certain provisions related to MCAP's status as a blank check company that will no longer apply upon consummation of the business combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 4A. | Election of Director 2022 special meeting of stockholders: John Black |
Management | For | For | ||||||||||||||||||||||||||||
| 4B. | Election of Director 2022 special meeting of stockholders: Danielle Qi |
Management | For | For | ||||||||||||||||||||||||||||
| 4C. | Election of Director 2022 special meeting of stockholders: Ben Tatta |
Management | For | For | ||||||||||||||||||||||||||||
| 4D. | Election of Director 2023 special meeting of stockholders: Rich Boghosian |
Management | For | For | ||||||||||||||||||||||||||||
| 4E. | Election of Director 2023 special meeting of stockholders: Vineet Mehra |
Management | For | For | ||||||||||||||||||||||||||||
| 4F. | Election of Director 2023 special meeting of stockholders: Zia Uddin |
Management | For | For | ||||||||||||||||||||||||||||
| 4G. | Election of Director 2024 special meeting of stockholders: Kihara Kiarie |
Management | For | For | ||||||||||||||||||||||||||||
| 4H. | Election of Director 2024 special meeting of stockholders: James Lawson |
Management | For | For | ||||||||||||||||||||||||||||
| 4I. | Election of Director 2024 special meeting of stockholders: Eric Tencer |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | The Long-Term Incentive Plan Proposal - to consider and vote upon a proposal to approve the 2021 Long-Term Incentive Plan to be effective after the closing of the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The ESPP Proposal - to consider and vote upon a proposal to approve the 2021 Employee Stock Purchase Plan ("ESPP") to be effective after the closing of the Business Combination |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | The Nasdaq Proposal - to consider and vote upon a proposal to approve, (i) for purposes of complying with Nasdaq Listing Rules 5635(a) and (b), the issuance of more than 20% of the issued and outstanding Class A common stock and the resulting change in control in connection with the Business Combination and (ii) for the purposes of complying with Nasdaq Listing Rules 5635(d) the issuance of more than 20% of the issued and outstanding shares of Class A common stock in the PIPE Financing, upon the completion of the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 8. | The Adjournment Proposal - to consider and vote on a proposal to adjourn the Stockholders Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Stockholders Meeting, there are not sufficient votes to approve one or more proposals presented to stockholders for vote. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
237 | 0 | 17-Dec-2021 | 17-Dec-2021 | |||||||||||||||||||||||||
| TUSCAN HOLDINGS CORP II | ||||||||||||||||||||||||||||||||
| Security | 90070A103 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | THCA | Meeting Date | 21-Dec-2021 | |||||||||||||||||||||||||||||
| ISIN | US90070A1034 | Agenda | 935533047 - Management | |||||||||||||||||||||||||||||
| Record Date | 30-Nov-2021 | Holding Recon Date | 30-Nov-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 20-Dec-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | Extension Amendment Proposal: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to March 31, 2022. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | Adjournment Proposal: Approve the adjournment of the special meeting to a later date or dates, if the Company determines that additional time is necessary to effectuate the Extension. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE |
145442.18 | UMB BANK, N.A. |
2,002 | 0 | 17-Dec-2021 | 17-Dec-2021 | |||||||||||||||||||||||||
| MERIDA MERGER CORP. I | ||||||||||||||||||||||||||||||||
| Security | 58953M106 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | MCMJ | Meeting Date | 22-Dec-2021 | |||||||||||||||||||||||||||||
| ISIN | US58953M1062 | Agenda | 935531360 - Management | |||||||||||||||||||||||||||||
| Record Date | 09-Nov-2021 | Holding Recon Date | 09-Nov-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 21-Dec-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | Extension Amendment Proposal: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to February 28, 2022. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | Adjournment Proposal: Approve the adjournment of the special meeting to a later date or dates, if the Company determines that additional time is necessary to effectuate the Extension. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE |
145442.18 | UMB BANK, N.A. |
4,094 | 0 | 03-Dec-2021 | 03-Dec-2021 | |||||||||||||||||||||||||
| FS DEVELOPMENT CORP. II | ||||||||||||||||||||||||||||||||
| Security | 30318F100 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | FSII | Meeting Date | 23-Dec-2021 | |||||||||||||||||||||||||||||
| ISIN | US30318F1003 | Agenda | 935532235 - Management | |||||||||||||||||||||||||||||
| Record Date | 18-Nov-2021 | Holding Recon Date | 18-Nov-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 22-Dec-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | To (a) adopt and approve the Merger Agreement and (b) approve the Business Combination (the "Business Combination Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | To approve, assuming the Business Combination Proposal is approved and adopted, for purposes of complying with the applicable provisions of Nasdaq Stock Exchange Listing Rule 5635 (each, a "Nasdaq Listing Rule"), (a) the issuance of 32,500,000 newly issued shares of FS Development II Class A Common Stock in the Business Combination, (b) the issuance and sale of 7,500,000 newly issued shares of FS Development II Class A Common Stock in a private placement concurrent with the Business combination ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3A. | Charter Amendment Proposal A - To approve, assuming the Business Combination Proposal is approved and adopted, a proposed second amended and restated certificate of incorporation, which will amend and restate FS Development Corp. II's current certificate of incorporation, dated February 16, 2021 (the "Current Charter"), and which proposed second amended and restated certificate of incorporation will be in effect upon the closing of the Business Combination (the "Closing"). |
Management | For | For | ||||||||||||||||||||||||||||
| 3B. | Charter Amendment Proposal B - To approve and adopt a proposed amendment to the second amended and restated certificate of incorporation to increase the number of shares of FS Development II Class A Common stock from 100,000,000 to 250,000,000 and the total number of authorized shares from 110,000,000 (following approval of Charter Amendment Proposal A) to 260,000,000, which proposed amendment to the second amended and restated certificate of incorporation will be in effect upon the Closing. |
Management | For | For | ||||||||||||||||||||||||||||
| 4A. | Advisory Charter Proposal A - To increase the authorized shares of FS Development II Class A Common Stock to 250,000,000 shares (if Charter Amendment Proposal B passes). If Charter Amendment Proposal B does not pass, the authorized shares of FS Development II Class A Common Stock will remain 100,000,000 shares. |
Management | For | For | ||||||||||||||||||||||||||||
| 4B. | Advisory Charter Proposal B - To increase the authorized shares of "blank check" preferred stock that the Combined Entity's board of directors could issue to discourage a takeover attempt to 10,000,000 shares. |
Management | For | For | ||||||||||||||||||||||||||||
| 4C. | Advisory Charter Proposal C - To provide that certain amendments to provisions of the Proposed Charter will require the approval of at least 66.67% of the Combined Entity's then-outstanding shares of capital stock entitled to vote on such amendment. |
Management | For | For | ||||||||||||||||||||||||||||
| 4D. | Advisory Charter Proposal D - To make the Combined Entity's corporate existence perpetual as opposed to FS Development II's corporate existence, which is required to be dissolved and liquidated 24 months following the closing of its initial public offering and to remove from the Proposed Charter the various provisions applicable only to specified purpose acquisition corporations contained in the Current Charter. |
Management | For | For | ||||||||||||||||||||||||||||
| 4E. | Advisory Charter Proposal E - To provide that any amendment to the Amended Bylaws will require the approval of at least 66.67% of the Combined Entity's then-outstanding shares of capital stock entitled to vote on such amendment, provided that if the board of directors of the Combined Entity recommends approval of such amendment, such amendment will require the approval of a majority of the Combined Entity's then- outstanding shares of capital stock entitled to vote on such amendment. |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | To approve, assuming the Business Combination Proposal is approved and adopted, the 2021 Stock Option and Incentive Plan a copy of which is appended to the accompanying proxy statement/ prospectus as Annex E, which will become effective the day prior to the Closing (the "Incentive Plan Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | To approve a proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve the Business Combination Proposal, the Nasdaq Stock Issuance Proposal, the Charter Amendment Proposals, the Advisory Charter Proposals, or the Incentive Plan Proposal, or we determine that one or more of the closing conditions under the Business Combination is not satisfied or waived. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
47 | 0 | 17-Dec-2021 | 17-Dec-2021 | |||||||||||||||||||||||||
| MALACCA STRAITS ACQUISITION CO. LTD. | ||||||||||||||||||||||||||||||||
| Security | G5859B117 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | MLAC | Meeting Date | 27-Dec-2021 | |||||||||||||||||||||||||||||
| ISIN | KYG5859B1178 | Agenda | 935528957 - Management | |||||||||||||||||||||||||||||
| Record Date | 15-Nov-2021 | Holding Recon Date | 15-Nov-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | China | Vote Deadline Date | 23-Dec-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1.1 | Appointment of Director to serve until the 2023 annual general meeting: Kenneth Ng |
Management | For | For | ||||||||||||||||||||||||||||
| 1.2 | Appointment of Director to serve until the 2023 annual general meeting: Stanley Wang |
Management | For | For | ||||||||||||||||||||||||||||
| 1.3 | Appointment of Director to serve until the 2023 annual general meeting: Christian Jason Chan |
Management | For | For | ||||||||||||||||||||||||||||
| 1.4 | Appointment of Director to serve until the 2023 annual general meeting: Ping He |
Management | For | For | ||||||||||||||||||||||||||||
| 1.5 | Appointment of Director to serve until the 2023 annual general meeting: Dwi Prasetyo Suseno |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | Ratification of the selection by the audit committee of WithumSmith+Brown, PC to serve as our independent registered public accounting firm for the year ended December 31, 2021. |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | Amend the Company's amended and restated memorandum and articles of association to extend the date that the Company has to consummate a business combination from January 17, 2022 (which is 18 months from the closing of our initial public offering) to October 17, 2022 (or such earlier date as determined by the Board of Directors). |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | Adjourn the Annual Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the other proposals. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
628 | 0 | 03-Dec-2021 | 03-Dec-2021 | |||||||||||||||||||||||||
| NEXTGEN ACQUISITION CORP. II | ||||||||||||||||||||||||||||||||
| Security | G65317102 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | NGCA | Meeting Date | 28-Dec-2021 | |||||||||||||||||||||||||||||
| ISIN | KYG653171028 | Agenda | 935534087 - Management | |||||||||||||||||||||||||||||
| Record Date | 19-Nov-2021 | Holding Recon Date | 19-Nov-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 27-Dec-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The BCA Proposal - to approve by ordinary resolution and adopt the Agreement and Plan of Merger, dated as of August 22, 2021, by and among NextGen, Merger Sub and Vieco USA, a copy of which is attached to the accompanying proxy statement/prospectus statement as Annex A (as may be amended from time to time, the "Merger Agreement"). The Merger Agreement provides, among other things, for the merger of Merger Sub with and into Vieco USA (the "Merger"), with Vieco USA surviving the Merger as a wholly ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Domestication Proposal - to approve by special resolution, the change of NextGen's jurisdiction of incorporation by deregistering as an exempted company in the Cayman Islands and continuing and domesticating as a corporation incorporated under the laws of the State of Delaware (the "Domestication" and, together with the Merger, the "Business Combination") (the "Domestication Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | Organizational Documents Proposal A - to authorize the change in the authorized share capital of NextGen from 500,000,000 Class A ordinary shares, par value $0.0001 per share (the "NextGen Class A ordinary shares"), 50,000,000 Class B ordinary shares, par value $0.0001 per share (the "NextGen Class B ordinary shares" and, together with the Class A ordinary shares, the "ordinary shares"), and 5,000,000 preferred shares, par value $0.0001 per share (the "NextGen preferred shares"), to 2,000,000,000 shares ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | Organizational Documents Proposal B - to authorize the board of directors of Virgin Orbit (the "Virgin Orbit Board") to issue any or all shares of Virgin Orbit preferred stock in one or more series, with such terms and conditions as may be expressly determined by the Virgin Orbit Board and as may be permitted by the DGCL, subject to the Stockholders' Agreement (as defined in the Merger Agreement) ("Organizational Documents Proposal B"). |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | Organizational Documents Proposal C - to provide that the Virgin Orbit Board be divided into three classes, with each class made up of, as nearly as may be possible, of one-third of the total number of directors constituting the entire Virgin Orbit Board, with only one class of directors being elected in each year and each class serving a three-year term ("Organizational Documents Proposal C"). |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | Organizational Documents Proposal D - to provide that certain provisions of the Proposed Organizational Documents will be subject to the Stockholders Agreement, including provisions governing amendments to the Proposed Organizational Documents, actions by written consent of stockholders and the issuance of preferred stock, with respect to which the Requisite Vieco USA Stockholder will have certain rights pursuant to the Stockholders' Agreement (and, following the post-Closing ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | Organizational Documents Proposal E - to authorize all other changes in connection with the replacement of Cayman Constitutional Documents with the Proposed Certificate of Incorporation and Proposed Bylaws in connection with the consummation of the Business Combination (copies of which are attached to the accompanying proxy statement/prospectus as Annex J and Annex K, respectively), including (1) changing the corporate name from "NextGen Acquisition Corp. II" to "Virgin ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 8. | The Director Election Proposal - to approve by ordinary resolution, to elect seven directors who, upon consummation of the Business Combination, will be the directors of Virgin Orbit (the "Director Election Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 9. | The Stock Issuance Proposal - to approve by ordinary resolution for purposes of complying with the applicable provisions of The Nasdaq Stock Market Listing Rule 5635, the issuance of Virgin Orbit common stock to (a) the PIPE Investors, including the Sponsor Related PIPE Investors and the Vieco USA PIPE Investors, pursuant to the PIPE Investment and (b) the Vieco USA Stockholders pursuant to the Merger Agreement (the "Stock Issuance Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 10. | The Incentive Award Plan Proposal - to approve by ordinary resolution, the Virgin Orbit Holdings, Inc. 2021 Incentive Award Plan (the "Incentive Award Plan Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 11. | The ESPP Proposal - to approve by ordinary resolution, the Virgin Orbit Holdings, Inc. 2021 Employee Stock Purchase Plan (the "ESPP Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 12. | The Adjournment Proposal - to approve the adjournment of the extraordinary general meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for the approval of one or more proposals at the extraordinary general meeting (the "Adjournment Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,720 | 0 | 17-Dec-2021 | 17-Dec-2021 | |||||||||||||||||||||||||
| PETRA ACQUISITION INC | ||||||||||||||||||||||||||||||||
| Security | 716421102 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | PAIC | Meeting Date | 06-Jan-2022 | |||||||||||||||||||||||||||||
| ISIN | US7164211028 | Agenda | 935537398 - Management | |||||||||||||||||||||||||||||
| Record Date | 16-Dec-2021 | Holding Recon Date | 16-Dec-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 05-Jan-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - to approve the Agreement and Plan of Merger, dated as of August 29, 2021 (as it may be further amended and/or restated from time to time, the "Business Combination Agreement"), by and among Petra, Petra Acquisition Merger Inc., a Delaware corporation and a wholly-owned subsidiary of Petra ("Merger Sub"), and Revelation Biosciences, Inc., a Delaware corporation ("Revelation"); and the transactions contemplated thereby, pursuant to which Merger Sub ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Nasdaq Proposal - to approve, for purposes of complying with applicable listing rules of The Nasdaq Stock Market LLC, the issuance of up to an aggregate of 10,500,000 shares of Common Stock in connection with the Business Combination (the "Nasdaq Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Charter Amendment Proposal - to approve the proposed third amended and restated certificate of incorporation of Petra (the "Proposed Charter"), which will replace Petra's second amended and restated certificate of incorporation, dated October 7, 2020 (the "Current Charter"), and will be in effect upon the consummation of the Business Combination (the "Charter Amendment Proposal"). A copy of the Proposed Charter is attached to the proxy statement/prospectus as Annex B. |
Management | For | For | ||||||||||||||||||||||||||||
| 4.1 | The Advisory Charter Proposal - to change the post- Business Combination company's corporate name from "Petra Acquisition, Inc." to "Revelation Biosciences, Inc." (we refer to such proposal as "Advisory Charter Proposal A"). |
Management | For | For | ||||||||||||||||||||||||||||
| 4.2 | The Advisory Charter Proposal - increasing the total number of authorized shares of stock from 101,000,000 to 105,000,000 and the number of authorized shares of Preferred Stock from 1,000,000 to 5,000,000 (we refer to such proposal as "Advisory Charter Proposal B"). |
Management | For | For | ||||||||||||||||||||||||||||
| 4.3 | The Advisory Charter Proposal - prohibiting stockholders from acting by written consent by specifying that any action required or permitted to be taken by stockholders must be effected by a duly called annual or special meeting and may not be effected by written consent (we refer to such proposal as "Advisory Charter Proposal C"). |
Management | For | For | ||||||||||||||||||||||||||||
| 4.4 | The Advisory Charter Proposal - removing certain provisions related to our status as a blank check company that will no longer apply upon consummation of the Business Combination, all of which our board of directors believes are necessary to adequately address the needs of the post-Business Combination company (we refer to such proposal as "Advisory Charter Proposal D"). |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | The Directors Proposal - to consider and vote upon a proposal to elect, effective as of the consummation of the Business Combination, James Rolke, George F. Tidmarsh, MD, PhD, Jennifer Carver, Jess Roper, and Curt LaBelle, MD (the current members of the Revelation board of directors) to serve on the post-Business Combination company's board of directors until their respective successors are duly elected and qualified (we refer to this proposal as the "Directors Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The Equity Incentive Plan Proposal - to approve the 2021 Equity Incentive Plan (the "Equity Incentive Plan"), a copy of which is annexed to the proxy statement/prospectus as Annex C, in connection with the Business Combination, including the authorization of the initial share reserve under the Equity Incentive Plan (the "Equity Incentive Plan Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | The Adjournment Proposal - to approve a proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve the Business Combination Proposal, the Nasdaq Proposal, the Charter Amendment Proposal, the Directors Proposal, or the Equity Incentive Plan Proposal (the "Adjournment Proposal"). We refer to this proposal as the ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
3,382 | 0 | 31-Dec-2021 | 31-Dec-2021 | |||||||||||||||||||||||||
| CAPSTAR SPECIAL PURPOSE ACQUISITION CORP | ||||||||||||||||||||||||||||||||
| Security | 14070Y101 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | CPSR | Meeting Date | 11-Jan-2022 | |||||||||||||||||||||||||||||
| ISIN | US14070Y1010 | Agenda | 935539114 - Management | |||||||||||||||||||||||||||||
| Record Date | 15-Nov-2021 | Holding Recon Date | 15-Nov-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 10-Jan-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - subject to the approval and adoption of the Charter Amendment Proposal, NYSE Stock Issuance Proposal, Director Election Proposal and Equity Incentive Plan Proposal, to (a) adopt and approve the Business Combination Agreement, dated as of July 19, 2021 and amended on November 8, 2021 (as may be further amended, supplemented or otherwise modified from time to time, the "Business Combination Agreement"), a copy of which is appended to the accompanying ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Charter Amendment Proposal - to approve, assuming the Business Combination Proposal, NYSE Stock Issuance Proposal, Director Election Proposal and Equity Incentive Plan Proposal are approved and adopted, a proposed amended and restated certificate of incorporation (the "Proposed Charter"), which will amend and restate CPSR's current amended and restated certificate of incorporation (the "Current Charter"), and which Proposed Charter will be in effect when duly filed with the ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3A. | Advisory Charter Proposal A - to change the corporate name of New Gelesis to "Gelesis Holdings, Inc.". |
Management | For | For | ||||||||||||||||||||||||||||
| 3B. | Advisory Charter Proposal B - to increase CPSR's capitalization so that it will have 900,000,000 authorized shares of common stock and 250,000,000 authorized shares of preferred stock. |
Management | For | For | ||||||||||||||||||||||||||||
| 3C. | Advisory Charter Proposal C - to divide the New Gelesis board of directors into three classes with staggered three- year terms. |
Management | For | For | ||||||||||||||||||||||||||||
| 3D. | Advisory Charter Proposal D - to provide that the removal of any director be only for cause and by the affirmative vote of at least 66 2/3% of New Gelesis' then-outstanding shares of capital stock entitled to vote generally in the election of directors. |
Management | For | For | ||||||||||||||||||||||||||||
| 3E. | Advisory Charter Proposal E - to provide that certain amendments to provisions of the Proposed Charter will require the approval of at least 66 2/3% of New Gelesis' then-outstanding shares of capital stock entitled to vote on such amendment. |
Management | For | For | ||||||||||||||||||||||||||||
| 3F. | Advisory Charter Proposal F - to make New Gelesis' corporate existence perpetual as opposed to CPSR's corporate existence, which is required to be dissolved and liquidated 24 months following the closing of its initial public offering, and to remove from the Proposed Charter the various provisions applicable only to special purpose acquisition companies. |
Management | For | For | ||||||||||||||||||||||||||||
| 3G. | Advisory Charter Proposal G - to remove the provisions setting the Court of Chancery of the State of Delaware as the sole and exclusive forum for certain stockholder actions. |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | The NYSE Stock Issuance Proposal - to approve, assuming the Business Combination Proposal, Charter Amendment Proposal, Director Election Proposal and Equity Incentive Plan Proposal are approved and adopted, for purposes of complying with the applicable provisions of Section 312 of the NYSE Listed Company Manual, (a) the issuance of up to 96,876,625 newly issued shares of common stock, par value $0.0001 per share, of New Gelesis, in the Business Combination, which amount will be determined ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | The Director Election Proposal - to approve, assuming the Business Combination Proposal, Charter Amendment Proposal, NYSE Stock Issuance Proposal and Equity Incentive Plan Proposal are approved and adopted, the appointment of eight directors who, upon consummation of the Business Combination, will become directors of New Gelesis. |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The Equity Incentive Plan Proposal - to approve, assuming the Business Combination Proposal, Charter Amendment Proposal, NYSE Stock Issuance Proposal and Director Election Proposal are approved and adopted, the Gelesis Holdings, Inc. 2021 Stock Option and Incentive Plan, a copy of which is appended to the accompanying proxy statement/prospectus as Exhibit H to the Business Combination Agreement, a copy of which is attached to the accompanying proxy statement/prospectus as Annex A, which will become effective the day prior to the Closing. |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | The Adjournment Proposal - to approve a proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve the Business Combination Proposal, the Charter Amendment Proposal, the NYSE Stock Issuance Proposal, the Director Election Proposal or the Equity Incentive Plan Proposal, or we determine that one or more ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
216 | 0 | 31-Dec-2021 | 31-Dec-2021 | |||||||||||||||||||||||||
| GORES METROPOULOS II, INC. | ||||||||||||||||||||||||||||||||
| Security | 382873107 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | GMII | Meeting Date | 14-Jan-2022 | |||||||||||||||||||||||||||||
| ISIN | US3828731071 | Agenda | 935539138 - Management | |||||||||||||||||||||||||||||
| Record Date | 30-Nov-2021 | Holding Recon Date | 30-Nov-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 13-Jan-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1.1 | Election of Director: Randall Bort | Management | For | For | ||||||||||||||||||||||||||||
| 1.2 | Election of Director: Michael Cramer | Management | For | For | ||||||||||||||||||||||||||||
| 1.3 | Election of Director: Joseph Gatto | Management | For | For | ||||||||||||||||||||||||||||
| 1.4 | Election of Director: Dean Metropoulos | Management | For | For | ||||||||||||||||||||||||||||
| 2. | Business Combination Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| 3. | Nasdaq Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| 4. | Charter Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| 5A. | Goverance Proposal: Change in Authorized Shares. | Management | For | For | ||||||||||||||||||||||||||||
| 5B. | Goverance Proposal: Classified Board. | Management | For | For | ||||||||||||||||||||||||||||
| 5C. | Goverance Proposal: Application of the Doctrine of Corporate Opportunity. |
Management | For | For | ||||||||||||||||||||||||||||
| 5D. | Goverance Proposal: Required Stockholder Vote to Amend the Certificate of Incorporation of the Company. |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | Management Equity Incentive Plan Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| 7. | Incentive Plan Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| 8. | ESPP Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| 9. | Adjournment Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
255 | 0 | 31-Dec-2021 | 31-Dec-2021 | |||||||||||||||||||||||||
| VISTAS MEDIA ACQUISITION CO., INC. | ||||||||||||||||||||||||||||||||
| Security | 92840T107 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | VMAC | Meeting Date | 19-Jan-2022 | |||||||||||||||||||||||||||||
| ISIN | US92840T1079 | Agenda | 935537766 - Management | |||||||||||||||||||||||||||||
| Record Date | 15-Dec-2021 | Holding Recon Date | 15-Dec-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 18-Jan-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - to consider and vote upon a proposal, which we refer to as the "Business Combination Proposal," to approve and adopt the business combination agreement, dated March 3, 2021 (as may be amended, supplemented, or otherwise modified from time to time, the "Business Combination Agreement"), by and among Vistas Media Acquisition Company Inc. ("VMAC"), Anghami, a Cayman Islands exempted company ("Anghami"), Anghami Inc., a Cayman Islands exempted ... (due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Nasdaq Proposal - to consider and vote upon a proposal to approve, for purposes of complying with applicable listing rules of The Nasdaq Stock Market LLC ("Nasdaq Listing Rules"), the issuance of more than 20% of the current total issued and outstanding shares of VMAC Class A Common Stock (the "Nasdaq Proposal") to the Subscribers of the PIPE Shares and to SHUAA for services rendered in connection with the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Stockholder Adjournment Proposal - to consider and vote upon a proposal to adjourn the special meeting of stockholders to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting of stockholders, there are not sufficient votes to approve one or more proposals presented to stockholders for vote or the holders of VMAC's Class A Common Stock (the "Public Stockholders") have ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,475 | 0 | 31-Dec-2021 | 31-Dec-2021 | |||||||||||||||||||||||||
| TREBIA ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | G9027T109 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | TREB | Meeting Date | 20-Jan-2022 | |||||||||||||||||||||||||||||
| ISIN | KYG9027T1094 | Agenda | 935539532 - Management | |||||||||||||||||||||||||||||
| Record Date | 22-Nov-2021 | Holding Recon Date | 22-Nov-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 19-Jan-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - a proposal to approve Trebia's entry into that certain Business Combination Agreement, dated as of June 28, 2021 and amended on November 30, 2021 (as may be amended, supplemented or otherwise modified from time to time, the "Business Combination Agreement"), by and among Trebia, S1 Holdco, LLC ("S1 Holdco"), Orchid Merger Sub I, Inc. ("Trebia Merger Sub I"), Orchid Merger Sub II, Inc. ("Trebia Merger Sub II"), System1 SS Protect Holdings, Inc. ("Protected") ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The NYSE Proposal - a proposal to approve, for the purposes of complying with the applicable provisions of Section 312.03 of the NYSE's Listed Company Manual, (i) the issuance of common stock of System1 (as defined below) in connection with the consummation of the transactions contemplated by the Business Combination Agreement and the other transaction agreements, (ii) all issuances of shares of common stock of System1 upon the conversion of shares of any other class of System1 common stock ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Domestication Proposal - a proposal to approve that Trebia be domesticated as a Delaware corporation in accordance with Section 388 of the DGCL and de- register as a Cayman Islands exempted company in accordance with Section 206 of the Cayman Islands Companies Act (As Revised) (the "Domestication"), upon which Trebia will change its name to "System1, Inc." ("System1"). |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | The Charter Amendment Proposal - a proposal to approve the amendment and restatement of the amended and restated memorandum and articles of association of Trebia by their deletion and replacement with the proposed certificate of incorporation of System1, (a copy of which is attached to the accompanying proxy statement/prospectus as Annex B (the "System1 Charter")), and the proposed bylaws of System1, a copy of which is attached to the accompanying proxy statement/prospectus as Annex C (the ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 5A. | Multi-class Shares Proposal - a proposal to authorize a change to the authorized capital stock of Trebia from (A) 400,000,000 Class A ordinary shares of Trebia, par value $0.0001 per share, 40,000,000 Class B ordinary shares of Trebia, par value $0.0001 per share, and 1,000,000 preferred shares of Trebia, par value $0.0001 per share, to (B) 500,000,000 shares of System1 class A common stock, par value $0.0001 per share, 25,000,000 shares of System1 class C common stock, par value $0.0001 per share, ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 5B. | Election, Number and Removal of Directors - a proposal to permit changes to the ability of shareholders to vote and remove directors from the System1 board of directors. |
Management | For | For | ||||||||||||||||||||||||||||
| 5C. | Approval of Business Combination - a proposal to approve the adoption of a majority voting requirement to approve a merger or other form of business combination, if such merger or business combination is approved by the System1 board of directors. |
Management | For | For | ||||||||||||||||||||||||||||
| 5D. | Exclusive Forum Provision - a proposal to make the Delaware Court of Chancery serve as the exclusive forum (or, in the event that the Delaware Court of Chancery does not have jurisdiction, the federal district court for the District of Delaware or other state courts of the State of Delaware) for any shareholder claims, including claims in the right of System1 that are based upon a violation of a duty by a current or former director, officer, employee or shareholder in such capacity, or as to ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 5E. | Action by Written Consent of Stockholders - a proposal to only permit action by System1 shareholders only at a duly called annual or special meeting of such shareholders. |
Management | For | For | ||||||||||||||||||||||||||||
| 5F. | Other Changes In Connection With Adoption of the System1 Organizational Documents - a proposal to approve and authorize (A) changing the corporate name from "Trebia Acquisition Corp." to "System1, Inc.", (B) making System1's corporate existence perpetual, and (C) removing certain provisions related to System1's status as a blank check company. |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The Incentive Plan Proposal - a proposal to approve and adopt the System1 2022 Incentive Award Plan (the "Incentive Plan") and the material terms thereunder, including the authorization of the accompanying initial share reserve thereunder. A copy of the Incentive Plan is attached to the accompanying proxy statement/prospectus as Annex D. |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Dexter Fowler | For | For | |||||||||||||||||||||||||||||
| 2 | Caroline Horn | For | For | |||||||||||||||||||||||||||||
| 3 | Jennifer Prince | For | For | |||||||||||||||||||||||||||||
| 4 | Moujan Kazerani | For | For | |||||||||||||||||||||||||||||
| 5 | Frank R. Martire, Jr. | For | For | |||||||||||||||||||||||||||||
| 6 | Christopher Phillips | For | For | |||||||||||||||||||||||||||||
| 7 | Michael Blend | For | For | |||||||||||||||||||||||||||||
| 8 | William P. Foley, II | For | For | |||||||||||||||||||||||||||||
| 8. | The Adjournment Proposal - a proposal to approve the adjournment of the Extraordinary General Meeting to a later date or dates (i) to the extent necessary to ensure that any required supplement or amendment to the accompanying proxy statement/prospectus is provided to Trebia Shareholders or, if as of the time for which the Extraordinary General Meeting is scheduled, there are insufficient Trebia ordinary shares represented (either in person or by proxy) to constitute ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,623 | 0 | 04-Jan-2022 | 04-Jan-2022 | |||||||||||||||||||||||||
| YELLOWSTONE ACQUISITION COMPANY | ||||||||||||||||||||||||||||||||
| Security | 98566K105 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | YSAC | Meeting Date | 25-Jan-2022 | |||||||||||||||||||||||||||||
| ISIN | US98566K1051 | Agenda | 935542135 - Management | |||||||||||||||||||||||||||||
| Record Date | 22-Dec-2021 | Holding Recon Date | 22-Dec-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 24-Jan-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - to approve and adopt the Equity Purchase Agreement, dated as of August 1, 2021, by and among YAC and Sky Harbour LLC, a Delaware limited liability company ("SKY"). The transactions contemplated by the Equity Purchase Agreement are referred to herein as the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The NYSE Proposal - to approve, assuming the Business Combination Proposal is approved and adopted, for purposes of complying with applicable NYSE listing rules, (i) the issuance by Sky Harbour Group Corporation ("SHG Corporation"), as successor to YAC, of Class A Common Stock and Class B Common Stock in the Business Combination in an amount equal to 20% or more of the amount of YAC's issued and outstanding common stock immediately prior to the issuance and (ii) the issuance by SHG ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Charter and Governance Proposals - to approve and adopt, assuming the Business Combination Proposal and the NYSE Proposal are approved and adopted, the Amended and Restated Certificate of Incorporation (the "A&R Certificate of Incorporation"), which, if approved, would take effect upon Closing, a copy of which is attached to the accompanying proxy statement as Annex B (the "Charter Proposal").In addition to the approval of the A&R Certificate of Incorporation, the stockholders are also ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3A. | To increase the total number of authorized shares and classes of stock to 260,000,000 shares consisting of (i) 10,000,000 shares of preferred stock, par value 0.0001 per share, (ii) 200,000,000 shares of Class A Common Stock. par value $0,0001 per share, and (iii) 50,000,000 shares of Class B Common Stock, par value $0.0001 per share. |
Management | For | For | ||||||||||||||||||||||||||||
| 3B. | To declassify the board of directors, to provide that the SHG Corporation Board will be elected by holders of Class A Common Stock and Class B Common Stock voting together as a single class and to provide that the number of directors of SHG Corporation will be not less than 3 and not more than 11, with the then- authorized number of directors being fixed from time to time by the SHG Corporation Board within such range, which number shall initially be seven. |
Management | For | For | ||||||||||||||||||||||||||||
| 3C. | To elect not to be governed by Section 203 of the DGCL. | Management | For | For | ||||||||||||||||||||||||||||
| 4. | The Director Election Proposal - for holders of YAC Class B Common Stock to elect, assuming the Business Combination Proposal, the NYSE Proposal, and the Charter Proposal are approved and adopted, seven Directors of the SHG Corporation Board until the 2022 annual meeting of stockholders or until such directors' successors have been duly elected and qualified, or until such directors' earlier death, resignation, retirement or removal. |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | The Incentive Plan Proposal - to approve and adopt, assuming the Business Combination Proposal, the NYSE Proposal, and the Charter Proposal are approved and adopted, the SHG Corporation 2022 Incentive Award Plan (the "2022 Plan"). |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The Adjournment Proposal - to approve the adjournment of the Special Meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of any of the condition precedent proposals. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,418 | 0 | 13-Jan-2022 | 13-Jan-2022 | |||||||||||||||||||||||||
| SPORTS ENTERTAINMENT ACQUISITION CORP | ||||||||||||||||||||||||||||||||
| Security | 84918M106 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | SEAH | Meeting Date | 26-Jan-2022 | |||||||||||||||||||||||||||||
| ISIN | US84918M1062 | Agenda | 935542919 - Management | |||||||||||||||||||||||||||||
| Record Date | 30-Dec-2021 | Holding Recon Date | 30-Dec-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 25-Jan-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | Business Combination Proposal - to approve and adopt Business Combination Agreement ("Business Combination Agreement"), by and among SEAC, SGHC Ltd. a non-cellular company ltd. by shares Inc. under the laws of Island of Guernsey ("SGHC"), Super Group (SGHC) Ltd. a non-cellular company ltd. by shares Inc. under laws of Island of Guernsey ("NewCo"), Super Group (SGHC) Merger Sub, Inc., a Delaware corp. and a wholly-owned subsidiary of NewCo ("Merger Sub" and, together with NewCo, SGHC and SGHC's direct and indirect subsidiaries, "Target Companies"). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | the Equity Incentive Plan Proposal - to consider and vote, on an advisory and non-binding basis, upon a proposal to approve, assuming the Business Combination Proposal is approved and adopted, the 2021 Equity Incentive Plan. |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | the Employee Stock Purchase Plan Proposal - to consider and vote, on an advisory and non-binding basis, upon a proposal to approve, assuming the Business Combination Proposal is approved and adopted, the 2021 Employee Stock Purchase Plan. |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | the Adjournment Proposal - to approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Business Combination Proposal. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
3,666 | 0 | 24-Jan-2022 | 24-Jan-2022 | |||||||||||||||||||||||||
| LIONHEART ACQUISITION CORP. II | ||||||||||||||||||||||||||||||||
| Security | 53625R104 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | LCAP | Meeting Date | 27-Jan-2022 | |||||||||||||||||||||||||||||
| ISIN | US53625R1041 | Agenda | 935541258 - Management | |||||||||||||||||||||||||||||
| Record Date | 31-Dec-2021 | Holding Recon Date | 31-Dec-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 26-Jan-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | Extension Amendment Proposal - Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate an initial business combination to August 18, 2022. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | Adjournment Proposal - Adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of Proposal 1. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,868 | 0 | 13-Jan-2022 | 13-Jan-2022 | |||||||||||||||||||||||||
| MERIDA MERGER CORP. I | ||||||||||||||||||||||||||||||||
| Security | 58953M106 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | MCMJ | Meeting Date | 01-Feb-2022 | |||||||||||||||||||||||||||||
| ISIN | US58953M1062 | Agenda | 935540092 - Management | |||||||||||||||||||||||||||||
| Record Date | 28-Dec-2021 | Holding Recon Date | 28-Dec-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 31-Jan-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - to consider and vote upon a proposal to approve the Agreement and Plan of Merger, dated as of August 9, 2021 and amended on September 8, 2021 (as amended, the "Merger Agreement"), by and among Merida, Merida Merger Sub, Inc., a Washington corporation ("Merger Sub I"), Merida Merger Sub II, LLC, a Washington limited liability company ("Merger Sub II" and, together with Merger Sub I, the "Merger Subs"), and Leafly Holdings, Inc., a Washington corporation ("Leafly"), and ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Nasdaq Proposal - to consider and vote upon a proposal, as required by the rules of the Nasdaq Stock Market, to approve (a) the issuance of shares of Common Stock in the Mergers in an amount greater than 20% of the number of shares of Common Stock outstanding before such issuances and (b) the issuance of shares of Common Stock resulting in a change of control of Merida. |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Charter Amendment Proposal - to consider and vote upon a proposal to adopt the Second Amended and Restated Certificate of Incorporation of Merida (the "Proposed Charter"). |
Management | For | For | ||||||||||||||||||||||||||||
| 4A. | The Governance Proposal - Increase the number of shares of common stock that New Leafly is authorized to issue from 50,000,000 shares to 200,000,000 shares and increase the number of shares of preferred stock that Merida (or, after the completion of the transactions contemplated by the Merger Agreement, "New Leafly") is authorized to issue from 1,000,000 shares to 5,000,000 shares. |
Management | For | For | ||||||||||||||||||||||||||||
| 4B. | The Governance Proposal - Require an affirmative vote of holders of at least two-thirds (66 2/3%) of the voting power of all of the then outstanding shares of voting stock following the consummation of the Mergers, voting together as a single class, to amend, alter, repeal or rescind certain provisions of the Proposed Charter related to the board of directors, special meetings, stockholder action by written consent, limitations on the liability of directors, the applicability of the doctrine of corporate opportunity, and amendments. |
Management | For | For | ||||||||||||||||||||||||||||
| 4C. | The Governance Proposal - Eliminate the ability of stockholders to act by written consent. |
Management | For | For | ||||||||||||||||||||||||||||
| 4D. | The Governance Proposal - Provide that special meetings of stockholders may only be called by the board of directors, chairman of the board, or chief executive officer of New Leafly, subject to the rights of the holders of any outstanding series of preferred stock. |
Management | For | For | ||||||||||||||||||||||||||||
| 5A. | The Director Election Proposal - to consider and vote upon a proposal to elect the director nominee identified below who will serve as a director of Merida until the 2024 annual meeting of stockholders, and until the nominee's successor is duly elected and qualified, subject to the nominee's earlier death, resignation, or removal: Andres Nannetti |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The Incentive Plan Proposal - to consider and vote upon a proposal to approve the 2021 Equity Incentive Plan (the "2021 Plan"), which is an incentive compensation plan for employees and other service providers of New Leafly and its subsidiaries. |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | The ESPP Proposal - to consider and vote upon a proposal to approve the 2021 Employee Stock Purchase Plan (the "ESPP"), which provides for employees and other service providers of New Leafly and its subsidiaries, to purchase shares of Common Stock. |
Management | For | For | ||||||||||||||||||||||||||||
| 8. | The Earnout Plan Proposal - to consider and vote upon a proposal to approve the Earnout Plan of New Leafly, which provides a mechanism for Participants to participate in the earnout pursuant to the Merger Agreement. |
Management | For | For | ||||||||||||||||||||||||||||
| 9. | The Adjournment Proposal - to consider and vote upon a proposal to adjourn the special meeting to a later date or dates if it is determined by Merida and Leafly that additional time is necessary to complete the Mergers for any reason. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE |
145442.18 | UMB BANK, N.A. |
4,094 | 0 | 04-Jan-2022 | 04-Jan-2022 | |||||||||||||||||||||||||
| OMNICHANNEL ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 68218L108 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | OCA | Meeting Date | 01-Feb-2022 | |||||||||||||||||||||||||||||
| ISIN | US68218L1089 | Agenda | 935542490 - Management | |||||||||||||||||||||||||||||
| Record Date | 27-Dec-2021 | Holding Recon Date | 27-Dec-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 31-Jan-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - to consider and vote upon a proposal to approve the business combination agreement, dated as of July 19, 2021 (as may be amended and/or restated from time to time, the "Business Combination Agreement"), by and among Omnichannel Acquisition Corp. ("Omnichannel"), Omnichannel Merger Sub, Inc., a Delaware corporation ("Merger Sub"), and Kin Insurance, Inc., a Delaware corporation ("Kin"), and the transactions contemplated thereby, pursuant to which Merger ... (due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Charter Proposal - to consider and vote upon a proposal to approve, assuming the Business Combination Proposal is approved and adopted, the proposed second amended and restated certificate of incorporation of Omnichannel (the "Proposed Charter"), which will replace Omnichannel's amended and restated certificate of incorporation, dated November 19, 2020 (the "Current Charter") and will be in effect upon the Closing of the Business Combination (we refer to such proposal as the "Charter ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3A. | Advisory Charter Proposal A - to approve the reclassification of Pubco's common stock to a single class. The Proposed Charter provides for the issuance of common stock and preferred stock, and does not provide for the issuance of Class A and Class B common stock. At the Effective Time, any distinction between the rights of Class A and Class B common stock will not survive the reclassification/conversion to Pubco common stock. Pursuant to the Current Charter, and at the Effective Time of the Business ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3B. | Advisory Charter Proposal B - to approve the provision in the Proposed Charter providing that a director may only be removed only for cause and only by the affirmative vote of at least two- thirds (66 and 2/3%) of the shares entitled to vote at an election of directors. Under the Current Charter, director removal requires an affirmative vote of a majority of the shares of Omnichannel Class B common stock. |
Management | For | For | ||||||||||||||||||||||||||||
| 3C. | Advisory Charter Proposal C - to approve amendments to certain provisions of the Proposed Charter to require the affirmative vote of at least two-thirds (66 and 2/3%) of the total voting power of all the then outstanding shares entitled to vote thereon, voting together as a single class, rather than by an affirmative vote of a majority of the shares entitled to vote under the Current Charter (and, for the provisions concerning election and removal of directors by shareholder vote, approval ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3D. | Advisory Charter Proposal D - to approve an amendment to the Proposed Charter allowing for the bylaws of Pubco to be amended, altered, repealed or adopted by the affirmative vote of the holders of at least two-thirds (66 and 2/3%) of the voting power of all of the then outstanding shares of voting stock of Pubco entitled to vote generally in an election of directors, as opposed to the bylaws of Omnichannel requiring the approval of a majority of the board of directors of Omnichannel or by the ... (due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | The Stock Issuance Proposal - to consider and vote upon a proposal to approve, assuming the Business Combination Proposal and the Charter Proposal are approved and adopted, for the purposes of complying with the applicable listing rules of the NYSE, the issuance of (x) shares of Omnichannel Class A common stock pursuant to the terms of the Business Combination Agreement and (y) shares of Omnichannel Class A common stock to certain institutional investors in connection with the private ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | The Incentive Plan Proposal - to consider and vote upon a proposal to approve, assuming the Business Combination Proposal, the Charter Proposal and the Stock Issuance Proposal are approved and adopted, the Kin Insurance Inc. 2021 Omnibus Incentive Equity Plan (the "Incentive Plan"), including the authorization of the initial share reserve under the Incentive Plan (the "Incentive Plan Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The Adjournment Proposal - to consider and vote upon a proposal to approve the adjournment of the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, any of the Business Combination Proposal, the Charter Proposal, the Stock Issuance Proposal and the Incentive Plan Proposal would not be duly approved and adopted by our stockholders or we determine that one or more of the ... (due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | The ESPP Proposal - to consider and vote upon a proposal to approve, assuming the Business Combination Proposal, the Charter Proposal and the Stock Issuance Proposal are approved and adopted, the Kin Insurance 2021 Employee Stock Purchase Plan (the "ESPP"), including the authorization of the initial share reserve under the ESPP. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,158 | 0 | 24-Jan-2022 | 24-Jan-2022 | |||||||||||||||||||||||||
| THAYER VENTURES ACQUISITION CORPORATION | ||||||||||||||||||||||||||||||||
| Security | 88332T100 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | TVAC | Meeting Date | 08-Feb-2022 | |||||||||||||||||||||||||||||
| ISIN | US88332T1007 | Agenda | 935544230 - Management | |||||||||||||||||||||||||||||
| Record Date | 21-Dec-2021 | Holding Recon Date | 21-Dec-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 07-Feb-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The "Business Combination Proposal" - To consider and vote upon a proposal to approve and adopt the Business Combination Agreement, dated as of June 30, 2021, (as may be further amended from time to time, the "Business Combination Agreement"), by and among Thayer, the Blocker Merger Subs, the Company Merger Sub, the Blockers and Inspirato, pursuant to which the Blocker Mergers will be effected and, immediately following the Blocker Mergers, Company Merger Sub will merge with and into Inspirato, ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The "Charter Proposal" - To consider and vote upon a proposal to adopt the Proposed Certificate of Incorporation in the form attached as Annex B to the accompanying proxy statement. |
Management | For | For | ||||||||||||||||||||||||||||
| 3A. | Name Change Charter Amendment - To change Thayer's name to "Inspirato Incorporated". |
Management | For | For | ||||||||||||||||||||||||||||
| 3B. | Authorized Share Charter Amendment - To increase the number of authorized shares of our Class A Common Stock, to authorize a new class of common stock called the Class V Common Stock, and to increase the number of authorized shares of our "blank check" preferred stock. |
Management | For | For | ||||||||||||||||||||||||||||
| 3C. | Actions by Stockholders Charter Amendment - To require that stockholders only act at annual and special meeting of the corporation and not by written consent. |
Management | For | For | ||||||||||||||||||||||||||||
| 3D. | Corporate Opportunity Charter Amendment - To eliminate the current limitations in place on the corporate opportunity doctrine. |
Management | For | For | ||||||||||||||||||||||||||||
| 3E. | Voting Thresholds Charter Amendment - To increase the required vote thresholds for stockholders approving amendments to the Proposed Certificate of Incorporation and the Proposed Bylaws to 66 2/3%. |
Management | For | For | ||||||||||||||||||||||||||||
| 3F. | Classified Board Amendment - To provide that the PubCo Board be divided into three classes with only one class of directors being elected in each year and each class serving a three-year term. |
Management | For | For | ||||||||||||||||||||||||||||
| 3G. | Additional Governance Amendments - To approve all other changes in connection with the replacement of the Existing Thayer Bylaws and Existing Thayer Certificate of Incorporation with the Proposed Certificate of Incorporation and the Proposed Bylaws, including adopting Delaware as the exclusive forum for certain shareholder litigation. |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | The "Incentive Plan Proposal" - To consider and vote upon a proposal to approve the Inspirato 2021 Equity Incentive Plan, including the authorization of the initial share reserve under such plan. |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | The "ESPP Proposal" - To consider and vote upon a proposal to approve the Inspirato 2021 Employee Stock Purchase Plan, including the authorization of the initial share reserve under such plan. |
Management | For | For | ||||||||||||||||||||||||||||
| 6A. | Merger Shares Issuance - To issue Combined Company Class A Common Stock and Combined Company Class V Common Stock in connection with the Mergers pursuant to the Business Combination Agreement. |
Management | For | For | ||||||||||||||||||||||||||||
| 6B. | PIPE Shares Issuance - To issue Thayer Class A Common Stock to the investors in the PIPE (as defined in the accompanying proxy statement). |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | The "Adjournment Proposal" - A proposal to adjourn the special meeting of Thayer's stockholders to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve one or more proposals presented to stockholders for vote at such special meeting. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
2,463 | 0 | 24-Jan-2022 | 24-Jan-2022 | |||||||||||||||||||||||||
| EDOC ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | G4000A102 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | ADOC | Meeting Date | 09-Feb-2022 | |||||||||||||||||||||||||||||
| ISIN | KYG4000A1022 | Agenda | 935545648 - Management | |||||||||||||||||||||||||||||
| Record Date | 11-Jan-2022 | Holding Recon Date | 11-Jan-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 08-Feb-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1) | The Extension Amendment Proposal - To amend, by way of special resolution, the amended and restated Memorandum and Articles of Association of EDOC Acquisition Corp. ("Edoc") to extend the date by which Edoc has to consummate a business combination from February 12, 2022 to August 12, 2022. |
Management | For | For | ||||||||||||||||||||||||||||
| 2) | The Adjournment Proposal - To instruct the chairman of the extraordinary general meeting to adjourn the extraordinary general meeting of Edoc shareholders to a later date or dates, if necessary, to permit further solicitation and vote of Proxies if, based upon the tabulated vote at the time of the extraordinary general meeting, there are not sufficient votes to approve the Extension Amendment Proposal. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
923 | 0 | 01-Feb-2022 | 01-Feb-2022 | |||||||||||||||||||||||||
| ASTREA ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 04637C106 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | ASAX | Meeting Date | 15-Feb-2022 | |||||||||||||||||||||||||||||
| ISIN | US04637C1062 | Agenda | 935547301 - Management | |||||||||||||||||||||||||||||
| Record Date | 21-Jan-2022 | Holding Recon Date | 21-Jan-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 14-Feb-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - to consider and vote upon a proposal to approve and adopt the Agreement and Plan of Merger dated as of August 9, 2021 by and among Astrea, Peregrine Merger Sub, LLC, Lexyl Travel Technologies, LLC, Double Peregrine Merger Sub, LLC and Benjamin & Brothers, LLC, and the transactions contemplated by the Merger Agreement. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Charter Amendment Proposal - to consider and vote upon a proposal to approve the second amended and restated certificate of incorporation of Astrea. |
Management | For | For | ||||||||||||||||||||||||||||
| 3A. | The Advisory Charter Proposal - to consider and vote upon the following separate non-binding proposal: To reclassify Astrea's capital stock and to increase the total number of authorized shares and classes of stock from a total of 51,000,000 shares, par value $0.0001 per share, consisting of 50,000,000 shares of common stock and 1,000,000 shares of preferred stock, to a total of 380,000,000 shares, par value $0.0001 per share, consisting of (i) 375,000,000 shares of common stock, including (x) ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3B. | The Advisory Charter Proposal - to consider and vote upon the following separate non-binding proposal: To provide that the Company Board shall have the power to make, alter or amend or repeal any bylaw, but subject to the right of stockholders to alter or repeal any such bylaw; and to further provide that no bylaw made, altered or amended by the stockholders will retroactively invalidate any prior act of the Company Board that would have been valid if such bylaw had not been made, altered, or amended by the stockholders. |
Management | For | For | ||||||||||||||||||||||||||||
| 3C. | The Advisory Charter Proposal - to consider and vote upon the following separate non-binding proposal: To provide that, except as otherwise expressly permitted by the terms of any series of preferred stock permitting the holders of such series of preferred stock to call a special meeting of the holders of such series, special meetings of the stockholders of the Company may be called only by the chairman of the Company Board, the chief executive officer of the Company, or the Company Board; and the ...(due to space limits, see proxy statement for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3D. | The Advisory Charter Proposal - to consider and vote upon the following separate non-binding proposal: To provide that removal of one or more directors for cause requires the affirmative vote of the holders of at least two- thirds (66 and 2/3%) of the voting power of all of the then outstanding shares of voting stock of the Company following the consummation of the Business Combination, voting together as a single class. |
Management | For | For | ||||||||||||||||||||||||||||
| 3E. | The Advisory Charter Proposal - to consider and vote upon the following separate non-binding proposal: To provide that no stockholders holding less than forty percent (40%) of the total issued stock of the Company will be entitled to examine the books of account or documents or papers or vouchers of the Company, except by a resolution of the Company Board giving such privileges; however, this provision shall not restrict the examination of such corporate records as are by statute open to the inspection of stockholders. |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | The Nasdaq Proposal - to consider and vote upon a proposal, as required by the rules of the Nasdaq Stock Market, to approve the issuance or potential issuance of common stock in the Merger in an amount greater than 20% of the number of shares of Astrea Common Stock before such issuances and the issuance of common stock resulting in a change of control of Astrea. |
Management | For | For | ||||||||||||||||||||||||||||
| 5A. | Election of Director: Gianno Caldwell | Management | For | For | ||||||||||||||||||||||||||||
| 5B. | Election of Director: Jeffrey Goldstein | Management | For | For | ||||||||||||||||||||||||||||
| 5C. | Election of Director: James Wilkinson | Management | For | For | ||||||||||||||||||||||||||||
| 5D. | Election of Director: John Prince | Management | For | For | ||||||||||||||||||||||||||||
| 5E. | Election of Director: Mahesh Chaddah | Management | For | For | ||||||||||||||||||||||||||||
| 5F. | Election of Director: Dieter Huckestein | Management | For | For | ||||||||||||||||||||||||||||
| 5G. | Election of Director: Kate Walsh | Management | For | For | ||||||||||||||||||||||||||||
| 5H. | Election of Director: Timothy N. Hentschel | Management | For | For | ||||||||||||||||||||||||||||
| 5I. | Election of Director: Yatin Patel | Management | For | For | ||||||||||||||||||||||||||||
| 5J. | Election of Director: Mohsen Moazami | Management | For | For | ||||||||||||||||||||||||||||
| 5K. | Election of Director: Dylan Ratigan | Management | For | For | ||||||||||||||||||||||||||||
| 6. | The Incentive Plan Proposal - to consider and vote upon a proposal to approve and adopt the 2021 Long Term Incentive Award Plan. |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | The Employee Stock Purchase Plan Proposal - to consider and vote upon a proposal to approve and adopt the 2021 Employee Stock Purchase Plan. |
Management | For | For | ||||||||||||||||||||||||||||
| 8. | The Adjournment Proposal - to consider and vote upon a proposal to adjourn the special meeting to a later date or dates, if necessary. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
568 | 0 | 08-Feb-2022 | 08-Feb-2022 | |||||||||||||||||||||||||
| DTF TAX-FREE INCOME FUND INC. | ||||||||||||||||||||||||||||||||
| Security | 23334J107 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | DTF | Meeting Date | 07-Mar-2022 | |||||||||||||||||||||||||||||
| ISIN | US23334J1079 | Agenda | 935544329 - Management | |||||||||||||||||||||||||||||
| Record Date | 10-Dec-2021 | Holding Recon Date | 10-Dec-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 04-Mar-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1C. | Election of Director: Philip R. McLoughlin | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
11,075 | 0 | 04-Mar-2022 | 04-Mar-2022 | |||||||||||||||||||||||||
| CF ACQUISITION CORP. VIII | ||||||||||||||||||||||||||||||||
| Security | 12520C109 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | CFFE | Meeting Date | 08-Mar-2022 | |||||||||||||||||||||||||||||
| ISIN | US12520C1099 | Agenda | 935549317 - Management | |||||||||||||||||||||||||||||
| Record Date | 21-Jan-2022 | Holding Recon Date | 21-Jan-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 07-Mar-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1 | Extension Amendment Proposal: Amend the Company's amended and restated certificate of incorporation to extend the date by which the Company has to consummate a business combination from March 16, 2022 to September 30, 2022. |
Management | For | For | ||||||||||||||||||||||||||||
| 2 | Adjournment Proposal: Adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of Proposal 1. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,720 | 0 | 25-Feb-2022 | 25-Feb-2022 | |||||||||||||||||||||||||
| SPARTAN ACQUISITION CORP. III | ||||||||||||||||||||||||||||||||
| Security | 84677R106 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | SPAQ | Meeting Date | 08-Mar-2022 | |||||||||||||||||||||||||||||
| ISIN | US84677R1068 | Agenda | 935550598 - Management | |||||||||||||||||||||||||||||
| Record Date | 18-Jan-2022 | Holding Recon Date | 18-Jan-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 07-Mar-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - To consider and vote upon a proposal to (a) approve and adopt the Business Combination Agreement, dated as of July 28, 2021 (the "Business Combination Agreement"), by and among Spartan, Athena Pubco B.V., a Dutch private limited liability company (besloten vennootschap met beperkte aansprakelijkheid) ("Allego"), Athena Merger Sub, Inc., a Delaware corporation ("Merger Sub"), Madeleine Charging B.V., a Dutch private limited liability company (besloten vennootschap ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Governance Proposal - To consider and vote upon, on a non- binding advisory basis, a proposal to approve certain governance provisions contained in the Articles of Association of Allego N.V., the successor to Allego following the Business Combination (the "Allego Articles") that materially affect Allego shareholder rights (the "Governance Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Adjournment Proposal - To consider and vote upon a proposal to approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Business Combination Proposal (the "Adjournment Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,206 | 0 | 25-Feb-2022 | 25-Feb-2022 | |||||||||||||||||||||||||
| TECH AND ENERGY TRANSITION CORPORATION | ||||||||||||||||||||||||||||||||
| Security | 87823R102 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | TETC | Meeting Date | 15-Mar-2022 | |||||||||||||||||||||||||||||
| ISIN | US87823R1023 | Agenda | 935548480 - Management | |||||||||||||||||||||||||||||
| Record Date | 27-Jan-2022 | Holding Recon Date | 27-Jan-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 14-Mar-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1.1 | Election of Director: James Avery | Management | For | For | ||||||||||||||||||||||||||||
| 1.2 | Election of Director: Virginia Breen | Management | For | For | ||||||||||||||||||||||||||||
| 1.3 | Election of Director: Gregory Gilmore | Management | For | For | ||||||||||||||||||||||||||||
| 1.4 | Election of Director: Lawrence Handen | Management | For | For | ||||||||||||||||||||||||||||
| 1.5 | Election of Director: Dan Hesse | Management | For | For | ||||||||||||||||||||||||||||
| 1.6 | Election of Director: Diarmuid B. O'Connell | Management | For | For | ||||||||||||||||||||||||||||
| 1.7 | Election of Director: David Roseman | Management | For | For | ||||||||||||||||||||||||||||
| 2. | Ratification of independent registered public accounting firm. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,722 | 0 | 25-Feb-2022 | 25-Feb-2022 | |||||||||||||||||||||||||
| VIVEON HEALTH ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 92853V106 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | VHAQ | Meeting Date | 18-Mar-2022 | |||||||||||||||||||||||||||||
| ISIN | US92853V1061 | Agenda | 935549824 - Management | |||||||||||||||||||||||||||||
| Record Date | 28-Jan-2022 | Holding Recon Date | 28-Jan-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 17-Mar-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1 | Amend the Company's amended and restated certificate of incorporation to (i) extend the date by which the Company has to consummate a business combination for three months, from March 28, 2022 ("Original Termination Date") to June 28, 2022 ("Extended Date"), and (ii) allow Company, without another stockholder vote, to elect to extend the date to consummate a business combination on a monthly basis for up to six times by an additional one month each time after the Extended Date for a total of up to nine months after Original Termination Date. |
Management | For | For | ||||||||||||||||||||||||||||
| 2 | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Jagi Gill | For | For | |||||||||||||||||||||||||||||
| 2 | Rom Papadopoulos | For | For | |||||||||||||||||||||||||||||
| 3 | Demetrios G. Logothetis | For | For | |||||||||||||||||||||||||||||
| 4 | Brian Cole | For | For | |||||||||||||||||||||||||||||
| 5 | Doug Craft | For | For | |||||||||||||||||||||||||||||
| 3 | Ratification of Appointment of Independent Accountants | Management | For | For | ||||||||||||||||||||||||||||
| 4 | Adjournment Proposal | Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,805 | 0 | 25-Feb-2022 | 25-Feb-2022 | |||||||||||||||||||||||||
| BRILLIANT ACQUISITION CORPORATION | ||||||||||||||||||||||||||||||||
| Security | G1643W111 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | BRLI | Meeting Date | 18-Mar-2022 | |||||||||||||||||||||||||||||
| ISIN | VGG1643W1115 | Agenda | 935559320 - Management | |||||||||||||||||||||||||||||
| Record Date | 24-Feb-2022 | Holding Recon Date | 24-Feb-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 17-Mar-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | THE EXTENSION AMENDMENT PROPOSAL - APPROVAL OF AN AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED ARTICLES OF ASSOCIATION (THE "CURRENT ARTICLES") TO EXTEND THE DATE BY WHICH THE COMPANY HAS TO CONSUMMATE A BUSINESS COMBINATION (THE "EXTENSION") until July 23, 2022 by deleting articles 18.6, 18.7, 18.8 and 27.2 of the Current Articles in their entirety, replacing them with the following new articles 18.6,18.7 and 27.2, and renumbering articles as necessary: "18.6 "If the Company does not complete ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | THE AMENDED ARTICLES PROPOSAL - APPROVAL OF THE AMENDED ARTICLES, REFLECTING THE AMENDMENTS MADE TO THE CURRENT ARTICLES AS SET OUT IN PROPOSAL 1. |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | THE ADJOURNMENT PROPOSAL - APPROVAL TO DIRECT THE CHAIRMAN OF THE SPECIAL MEETING TO ADJOURN THE SPECIAL MEETING TO A LATER DATE OR DATES, IF NECESSARY, TO PERMIT FURTHER SOLICITATION AND VOTE OF PROXIES IF, BASED UPON THE TABULATED VOTE AT THE TIME OF THE MEETING,THERE ARE NOT SUFFICIENT VOTES TO APPROVE PROPOSAL 1 OR PROPOSAL 2. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,299 | 0 | 08-Mar-2022 | 08-Mar-2022 | |||||||||||||||||||||||||
| AMERICAN ACQUISITION OPPORTUNITY INC. | ||||||||||||||||||||||||||||||||
| Security | 02369M102 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | AMAO | Meeting Date | 21-Mar-2022 | |||||||||||||||||||||||||||||
| ISIN | US02369M1027 | Agenda | 935552352 - Management | |||||||||||||||||||||||||||||
| Record Date | 08-Feb-2022 | Holding Recon Date | 08-Feb-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 18-Mar-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | To amend our Amended and Restated Certificate of Incorporation to extend the date by which the Company must consummate a Business Combination from March 22, 2022 (the date which is 12 months from the closing date of the Company's IPO) to September 22, 2022 |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | To amend the Trust Agreement to extend the liquidation date from March 22, 2022 (the date which is 12 months from the closing date of the Company's IPO) to September 22, 2022. |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | To approve an adjournment of the special meeting, if necessary, to solicit additional proxies if there are not sufficient votes in favor of Proposal 1 and Proposal 2. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,724 | 0 | 25-Feb-2022 | 25-Feb-2022 | |||||||||||||||||||||||||
| TUSCAN HOLDINGS CORP II | ||||||||||||||||||||||||||||||||
| Security | 90070A103 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | THCA | Meeting Date | 29-Mar-2022 | |||||||||||||||||||||||||||||
| ISIN | US90070A1034 | Agenda | 935556716 - Management | |||||||||||||||||||||||||||||
| Record Date | 23-Feb-2022 | Holding Recon Date | 23-Feb-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 28-Mar-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | Extension Amendment Proposal: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to June 30, 2022. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | Adjournment Proposal: Approve the adjournment of the special meeting to a later date or dates, if the Company determines that additional time is necessary to effectuate the Extension. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE |
145442.18 | UMB BANK, N.A. |
2,002 | 0 | 08-Mar-2022 | 08-Mar-2022 | |||||||||||||||||||||||||
| MORGAN STANLEY INSTITUTIONAL LIQUIDITY | ||||||||||||||||||||||||||||||||
| Security | 61747C707 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | MVRXX | Meeting Date | 31-Mar-2022 | |||||||||||||||||||||||||||||
| ISIN | US61747C7074 | Agenda | 935543391 - Management | |||||||||||||||||||||||||||||
| Record Date | 27-Dec-2021 | Holding Recon Date | 27-Dec-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 30-Mar-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Nancy C. Everett | Split | Split | |||||||||||||||||||||||||||||
| 2 | Jakki L. Haussler | Split | Split | |||||||||||||||||||||||||||||
| 3 | Patricia A. Maleski | Split | Split | |||||||||||||||||||||||||||||
| 4 | Frances L. Cashman | Split | Split | |||||||||||||||||||||||||||||
| 5 | Eddie A. Grier | Split | Split | |||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
458,830 | 0 | 24-Feb-2022 | 30-Mar-2022 | |||||||||||||||||||||||||
| ABERDEEN FUNDS | ||||||||||||||||||||||||||||||||
| Security | 00301W105 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | AEF | Meeting Date | 31-Mar-2022 | |||||||||||||||||||||||||||||
| ISIN | US00301W1053 | Agenda | 935558037 - Management | |||||||||||||||||||||||||||||
| Record Date | 15-Feb-2022 | Holding Recon Date | 15-Feb-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 30-Mar-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1.1 | To elect one Class II Director of the Fund, for a three- year term until the 2025 Annual Meeting of Stockholders and until such Directors' successors are duly elected and qualify: William Maher |
Management | Split | Split | ||||||||||||||||||||||||||||
| 2.1 | To consider the continuation of the term of one Class III Director under the Fund's Corporate Governance Policies for a one-year term ending in 2023: Steven N. Rappaport |
Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE |
145442.18 | UMB BANK, N.A. |
15,016 | 0 | 30-Mar-2022 | 30-Mar-2022 | |||||||||||||||||||||||||
| ABERDEEN FUNDS | ||||||||||||||||||||||||||||||||
| Security | 00301W105 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | AEF | Meeting Date | 31-Mar-2022 | |||||||||||||||||||||||||||||
| ISIN | US00301W1053 | Agenda | 935558037 - Management | |||||||||||||||||||||||||||||
| Record Date | 15-Feb-2022 | Holding Recon Date | 15-Feb-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 30-Mar-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1.1 | To elect one Class II Director of the Fund, for a three- year term until the 2025 Annual Meeting of Stockholders and until such Directors' successors are duly elected and qualify: William Maher |
Management | Split | Split | ||||||||||||||||||||||||||||
| 2.1 | To consider the continuation of the term of one Class III Director under the Fund's Corporate Governance Policies for a one-year term ending in 2023: Steven N. Rappaport |
Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
6,268 | 0 | 30-Mar-2022 | 30-Mar-2022 | |||||||||||||||||||||||||
| BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | ||||||||||||||||||||||||||||||||
| Security | 10537L104 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | BWG | Meeting Date | 08-Apr-2022 | |||||||||||||||||||||||||||||
| ISIN | US10537L1044 | Agenda | 935557819 - Management | |||||||||||||||||||||||||||||
| Record Date | 08-Feb-2022 | Holding Recon Date | 08-Feb-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 07-Apr-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1.1 | Election of Class I Director to serve until 2025 Annual Meeting: Daniel P. Cronin |
Management | Split | Split | ||||||||||||||||||||||||||||
| 1.2 | Election of Class I Director to serve until 2025 Annual Meeting: Paolo M. Cucchi |
Management | Split | Split | ||||||||||||||||||||||||||||
| 2. | To ratify the selection of PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending October 31, 2022. |
Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
3,464 | 0 | 07-Apr-2022 | 07-Apr-2022 | |||||||||||||||||||||||||
| GLOBAL SPAC PARTNERS CO. | ||||||||||||||||||||||||||||||||
| Security | G3934K103 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | GLSPT | Meeting Date | 11-Apr-2022 | |||||||||||||||||||||||||||||
| ISIN | KYG3934K1031 | Agenda | 935582468 - Management | |||||||||||||||||||||||||||||
| Record Date | 14-Mar-2022 | Holding Recon Date | 14-Mar-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 08-Apr-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1) | The Extension Amendment Proposal - To amend, by way of special resolution, the amended and restated Memorandum and Articles of Association of Global SPAC Partners Co. ("Global") to extend the date by which Global has to consummate a business combination from April 13, 2022 to July 13, 2022 (or such earlier date as determined by Global's Board of Directors). |
Management | For | For | ||||||||||||||||||||||||||||
| 2) | The Adjournment Proposal - To instruct the chairman of the extraordinary general meeting to adjourn the extraordinary general meeting of Global shareholders to a later date or dates, if necessary, to permit further solicitation and vote of Proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve the Extension Amendment Proposal. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
2,532 | 0 | 06-Apr-2022 | 06-Apr-2022 | |||||||||||||||||||||||||
| PGIM SHORT DURATION HIGH YIELD OPP | ||||||||||||||||||||||||||||||||
| Security | 69355J104 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | SDHY | Meeting Date | 14-Apr-2022 | |||||||||||||||||||||||||||||
| ISIN | US69355J1043 | Agenda | 935545066 - Management | |||||||||||||||||||||||||||||
| Record Date | 17-Dec-2021 | Holding Recon Date | 17-Dec-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 13-Apr-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1.1 | Election of Class I Trustee: Ellen S. Alberding | Management | Split | Split | ||||||||||||||||||||||||||||
| 1.2 | Election of Class I Trustee: Stuart S. Parker | Management | Split | Split | ||||||||||||||||||||||||||||
| 1.3 | Election of Class I Trustee: Brian K. Reid | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
11,106 | 0 | 08-Mar-2022 | 13-Apr-2022 | |||||||||||||||||||||||||
| KAYNE ANDERSON MIDSTREAM/ENERGY FUND INC | ||||||||||||||||||||||||||||||||
| Security | 48661E108 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | KMF | Meeting Date | 21-Apr-2022 | |||||||||||||||||||||||||||||
| ISIN | US48661E1082 | Agenda | 935558138 - Management | |||||||||||||||||||||||||||||
| Record Date | 16-Feb-2022 | Holding Recon Date | 16-Feb-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 20-Apr-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1A. | ELECTION OF DIRECTOR FOR A TERM OF THREE YEARS: ANNE K. COSTIN |
Management | Split | Split | ||||||||||||||||||||||||||||
| 1B. | ELECTION OF DIRECTOR FOR A TERM OF THREE YEARS: ALBERT L. RICHEY |
Management | Split | Split | ||||||||||||||||||||||||||||
| 2. | THE RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS KMF'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2022. |
Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
26,576 | 0 | 06-Apr-2022 | 06-Apr-2022 | |||||||||||||||||||||||||
| BULL HORN HOLDINGS CORP. | ||||||||||||||||||||||||||||||||
| Security | G1686P106 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | BHSE | Meeting Date | 26-Apr-2022 | |||||||||||||||||||||||||||||
| ISIN | VGG1686P1062 | Agenda | 935600482 - Management | |||||||||||||||||||||||||||||
| Record Date | 31-Mar-2022 | Holding Recon Date | 31-Mar-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 25-Apr-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | Extension Proposal: To amend Bull Horn's Amended and Restated Memorandum and Articles of Association to extend the date that Bull Horn must consummate a business combination to November 3, 2022, by amending the Amended and Restated Memorandum and Articles of Association to delete the existing Regulation 23.2 thereof and replacing it with the new Regulation 23.2 in the form set forth in Annex A of the accompanying proxy statement. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | Adjournment Proposal: To direct the chairman of the special meeting to adjourn the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve the Extension Proposal. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
2,030 | 0 | 12-Apr-2022 | 12-Apr-2022 | |||||||||||||||||||||||||
| ARCHIMEDES TECH SPAC PARTNERS CO. | ||||||||||||||||||||||||||||||||
| Security | 039562301 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | ATSPT | Meeting Date | 26-Apr-2022 | |||||||||||||||||||||||||||||
| ISIN | US0395623012 | Agenda | 935608832 - Management | |||||||||||||||||||||||||||||
| Record Date | 16-Mar-2022 | Holding Recon Date | 16-Mar-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 25-Apr-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal: To approve the transactions contemplated under the Merger Agreement, dated as of November 15, 2021 (the "Merger Agreement"), by and among the Corporation, ATSPC Merger Sub, Inc., a Delaware corporation and wholly- owned subsidiary of the Corporation and SoundHound, Inc., a Delaware corporation (the "Business Combination"). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Charter Amendment Proposal: To approve the Second Amended and Restated Certificate of Incorporation of the Corporation (the "Amended Charter"). |
Management | For | For | ||||||||||||||||||||||||||||
| 3A. | The Advisory Proposal: To increase the total number of authorized shares of capital stock to (i) 499,000,000 shares of common stock, par value $0.0001 per share, which shall be designated as 455,000,000 shares of Class A common stock ("Class A Common Stock"), having one vote per share, and 44,000,000 shares of Class B common stock ("Class B Common Stock"), having ten votes per share, and (ii) 1,000,000 shares of preferred stock, par value $0.0001 per share. |
Management | For | For | ||||||||||||||||||||||||||||
| 3B. | The Advisory Proposal: To (a) establish a dual class common stock structure consisting of Class A Common Stock and Class B Common Stock, (b) provide that holders of Class A Common Stock will be entitled to one vote per share and holders of Class B Common Stock will be entitled to ten votes per share on all matters properly submitted to the Combined Company's stockholders entitled to vote thereon, and (c) provide that the number of authorized shares of Class A Common Stock or Class B ...(due to space limits,see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3C. | The Advisory Proposal: To provide that (i) the right of stockholders to call a special stockholder meeting shall be only called by the Chairman of the board of directors of the Corporation (the "Board"), Chief Executive Officer of the Corporation, or the Board pursuant to a resolution adopted by a majority of the Board and to (ii) remove of the right of stockholders to call a special stockholder meeting. |
Management | For | For | ||||||||||||||||||||||||||||
| 3D. | The Advisory Proposal: To remove the right of stockholders to act by written consent except to the extent otherwise set forth in the Bylaws of the Corporation. |
Management | For | For | ||||||||||||||||||||||||||||
| 3E. | The Advisory Proposal: To require the approval of holders of at least a majority of the voting power of the outstanding shares of capital stock of the Combined Company entitled to vote generally in the election of directors, voting together as a single class to amend certain provisions of the Amended Charter. |
Management | For | For | ||||||||||||||||||||||||||||
| 3F. | The Advisory Proposal: To remove the waiver of the corporate opportunity doctrine with respect to the Combined Company. |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | The Incentive Plan Proposal: To approve the SoundHound AI, Inc. 2022 Incentive Award Plan to be effective after consummation of the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | The ESPP Proposal: To approve the SoundHound AI, Inc. 2022 Employee Stock Purchase Plan to be effective after consummation of the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The Nasdaq Proposal: To approve, (i) for purposes of complying with Nasdaq Listing Rules 5635 (a) and (b), the issuance of more than 20% of the issued and outstanding shares of common stock and the resulting change in control in connection with the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 7A. | Election of Director: Dr. Keyvan Mohajer | Management | For | For | ||||||||||||||||||||||||||||
| 7B. | Election of Director: James Hom | Management | For | For | ||||||||||||||||||||||||||||
| 7C. | Election of Director: Larry Marcus | Management | For | For | ||||||||||||||||||||||||||||
| 7D. | Election of Director: Dr. Eric Ball | Management | For | For | ||||||||||||||||||||||||||||
| 7E. | Election of Director: Diana Sroka | Management | For | For | ||||||||||||||||||||||||||||
| 8. | The Adjournment Proposal: To approve any adjournment or postponement of the ATSP Special Meeting for the purpose of soliciting additional proxies in the event the Corporation does not receive the requisite stockholder vote to approve the Business Combination Proposal, the Charter Amendment Proposal, the Advisory Proposal, the Incentive Plan Proposal, the ESPP Proposal, the Nasdaq Proposal or the Directors Proposal. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
2,992 | 0 | 21-Apr-2022 | 21-Apr-2022 | |||||||||||||||||||||||||
| NUVEEN CORE PLUS IMPACT FUND | ||||||||||||||||||||||||||||||||
| Security | 67080D103 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | NPCT | Meeting Date | 28-Apr-2022 | |||||||||||||||||||||||||||||
| ISIN | US67080D1037 | Agenda | 935556184 - Management | |||||||||||||||||||||||||||||
| Record Date | 18-Jan-2022 | Holding Recon Date | 18-Jan-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 27-Apr-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1C. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | William C. Hunter | For | For | |||||||||||||||||||||||||||||
| 2 | Judith M. Stockdale | For | For | |||||||||||||||||||||||||||||
| 3 | Carole E. Stone | For | For | |||||||||||||||||||||||||||||
| 4 | Margaret L. Wolff | For | For | |||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
17,133 | 0 | 16-Mar-2022 | 16-Mar-2022 | |||||||||||||||||||||||||
| L&F ACQUISITION CORP | ||||||||||||||||||||||||||||||||
| Security | G53702109 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | LNFA | Meeting Date | 03-May-2022 | |||||||||||||||||||||||||||||
| ISIN | KYG537021092 | Agenda | 935611055 - Management | |||||||||||||||||||||||||||||
| Record Date | 04-Apr-2022 | Holding Recon Date | 04-Apr-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 02-May-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Extension Amendment Proposal - RESOLVED, as a special resolution that: a) the first sentence of Article 49.7 of L&F's Amended and Restated Memorandum and Articles of Association be deleted in its entirety and replaced with the following new first sentence of Article 49.7: "In the event that the Company does not consummate a Business Combination by August 24, 2022, or such later time as the Members may approve in accordance with the Articles, the Company shall:" b) Article 49.8(a) of L&F's ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Adjournment Proposal - RESOLVED, as an ordinary resolution, that the adjournment of the Shareholder Meeting to a later date or dates if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Shareholder Meeting, there are insufficient Class A ordinary shares, par value $0.0001 per share and Class B ordinary shares, par value $0.0001 per share in the capital of L&F represented (either in person or by proxy) to constitute a quorum necessary ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,038 | 0 | 21-Apr-2022 | 21-Apr-2022 | |||||||||||||||||||||||||
| AGBA ACQUISITION LIMITED | ||||||||||||||||||||||||||||||||
| Security | G0120M109 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | AGBA | Meeting Date | 03-May-2022 | |||||||||||||||||||||||||||||
| ISIN | VGG0120M1095 | Agenda | 935611093 - Management | |||||||||||||||||||||||||||||
| Record Date | 04-Apr-2022 | Holding Recon Date | 04-Apr-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 02-May-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | APPROVAL OF AN AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION TO EXTEND THE DATE BY WHICH THE COMPANY HAS TO CONSUMMATE A BUSINESS COMBINATION (THE "EXTENSION") TWO (2) TIMES FOR AN ADDITIONAL THREE (3) MONTHS EACH TIME FROM MAY 16, 2022 TO NOVEMBER 16, 2022. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | APPROVAL OF AN AMENDMENT TO THE COMPANY'S EXISTING INVESTMENT MANAGEMENT TRUST AGREEMENT TO MAKE CHANGES NECESSARY TO REFLECT THE EXTENSION. |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Gordon Lee | For | For | |||||||||||||||||||||||||||||
| 2 | Vera Tan | For | For | |||||||||||||||||||||||||||||
| 3 | Eric Lam | For | For | |||||||||||||||||||||||||||||
| 4 | Brian Chan | For | For | |||||||||||||||||||||||||||||
| 5 | Thomas Ng | For | For | |||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
2,247 | 0 | 21-Apr-2022 | 21-Apr-2022 | |||||||||||||||||||||||||
| BREEZE HOLDINGS ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 106762107 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | BREZ | Meeting Date | 05-May-2022 | |||||||||||||||||||||||||||||
| ISIN | US1067621078 | Agenda | 935597863 - Management | |||||||||||||||||||||||||||||
| Record Date | 21-Mar-2022 | Holding Recon Date | 21-Mar-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 04-May-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | Extension Amendment Proposal - amend the company's amended and restated certificate of incorporation to extend the time the company has to complete its initial business combination until September 26, 2022. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | Adjournment Proposal - adjourn the special meeting to a later date or dates to permit further solicitation of proxies if there are insufficient votes to approve Proposal No. 1. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,207 | 0 | 12-Apr-2022 | 12-Apr-2022 | |||||||||||||||||||||||||
| WESTERN ASSET DIVERSIFIED INCOME FUND | ||||||||||||||||||||||||||||||||
| Security | 95790K109 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | WDI | Meeting Date | 06-May-2022 | |||||||||||||||||||||||||||||
| ISIN | US95790K1097 | Agenda | 935558710 - Management | |||||||||||||||||||||||||||||
| Record Date | 08-Feb-2022 | Holding Recon Date | 08-Feb-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 05-May-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1.1 | Election of Class I Trustee to serve until 2025 Annual Meeting: Robert D. Agdern |
Management | Split | Split | ||||||||||||||||||||||||||||
| 1.2 | Election of Class I Trustee to serve until 2025 Annual Meeting: Carol L. Colman |
Management | Split | Split | ||||||||||||||||||||||||||||
| 1.3 | Election of Class I Trustee to serve until 2025 Annual Meeting: Daniel P. Cronin |
Management | Split | Split | ||||||||||||||||||||||||||||
| 2. | To ratify the selection of PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending December 31, 2022. |
Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
19,680 | 0 | 07-Apr-2022 | 07-Apr-2022 | |||||||||||||||||||||||||
| ZANITE ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 98907K103 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | ZNTE | Meeting Date | 06-May-2022 | |||||||||||||||||||||||||||||
| ISIN | US98907K1034 | Agenda | 935616081 - Management | |||||||||||||||||||||||||||||
| Record Date | 11-Apr-2022 | Holding Recon Date | 11-Apr-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 05-May-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | A proposal to adopt the Business Combination Agreement, dated as of December 21, 2021 (the "Business Combination Agreement"), a copy of which is attached to the accompanying proxy statement as Annex A, by and among the Company, Embraer S.A., a Brazilian corporation (sociedade anônima) ("Embraer"), EVE UAM LLC, a Delaware limited liability company and a newly formed direct wholly owned subsidiary of Embraer that was formed for purposes of conducting the UAM Business (as defined in the accompanying ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2A. | Charter Amendment Proposal A: to approve and adopt the Proposed Charter (other than the proposals addressed in Charter Amendment Proposal B), which, if approved, would amend and restate the Current Charter, and which, if approved, would take effect upon the Closing. |
Management | For | For | ||||||||||||||||||||||||||||
| 2B. | Charter Amendment Proposal B: to approve and adopt a proposed amendment to the Proposed Charter to (i) increase the number of authorized shares of Class A common stock from 100,000,000 to 1,000,000,000, which will become shares of common stock, par value of $0.001 per share, of the combined company upon the Closing, and the total number of authorized shares of common stock from 111,000,000 to 1,000,000,000 and (ii) provide that the number of authorized shares of any class of common stock or ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3A. | A proposal to increase the total number of authorized shares of stock to 1,100,000,000 shares, consisting of (i) 1,000,000,000 shares of common stock and (ii) 100,000,000 shares of preferred stock, par value $0.0001 per share. |
Management | For | For | ||||||||||||||||||||||||||||
| 3B. | A proposal to provide that the number of authorized shares of any class of common stock or preferred stock may be increased or decreased (but not below the number of shares thereof then outstanding) by the affirmative vote of the holders of a majority of the stock of the Company entitled to vote, irrespective of the provisions of Section 242(b)(2) of the DGCL |
Management | For | For | ||||||||||||||||||||||||||||
| 3C. | A proposal to require the affirmative vote of the holders of at least two-thirds of the total voting power of all the then outstanding shares of capital stock of the Company entitled to vote thereon, voting together as a single class to (1) make amendments to certain provisions of the Proposed Charter (Article THIRTEENTH (A)) and (2) amend the proposed bylaws (as defined in the accompanying proxy statement) (Article SIXTH (F) |
Management | For | For | ||||||||||||||||||||||||||||
| 3D. | A proposal to provide that any action required or permitted to be taken by the stockholders of the Company may be taken by written consent until the time the issued and outstanding shares of common stock owned by Embraer Entities (as defined in the accompanying proxy statement) represent less than 50% of the voting power of the then outstanding shares of capital stock of the Company. |
Management | For | For | ||||||||||||||||||||||||||||
| 3E. | A proposal to elect not to be governed by Section 203 of the DGCL relating to business combinations with interested stockholders. |
Management | For | For | ||||||||||||||||||||||||||||
| 3F. | A proposal to provide for certain additional changes, including, among other things, (i) changing the post- business combination company's corporate name from "Zanite Acquisition Corp." to "Eve Holding, Inc.", (ii) making the Company's corporate existence perpetual and (iii) removing certain provisions related to our status as a blank check company that will no longer apply upon consummation of the business combination, all of which our board of directors believes are necessary to adequately address the needs of the post-business combination Company. |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | A proposal to approve, for purposes of complying with applicable listing rules of the Nasdaq Stock Market ("Nasdaq"), (x) the issuance of more than 20% of the Company's issued and outstanding common stock in connection with the business combination, consisting of the issuance of (i) shares of common stock to EAH pursuant to the terms of the Business Combination Agreement and (ii) shares of common stock to the PIPE Investors (as defined in the accompanying proxy statement) in connection ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | A proposal to approve and adopt the Eve Holding, Inc. 2022 Stock Incentive Plan (the "Incentive Plan"), a copy of which is attached to the accompanying proxy statement as Annex K (the "Incentive Plan Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Sergio Pedreiro | For | For | |||||||||||||||||||||||||||||
| 2 | José M. Entrecanales | For | For | |||||||||||||||||||||||||||||
| 3 | Marion Clifton Blakey | For | For | |||||||||||||||||||||||||||||
| 4 | Paul Eremenko | For | For | |||||||||||||||||||||||||||||
| 5 | Luis Carlos Affonso | For | For | |||||||||||||||||||||||||||||
| 6 | Michael Amalfitano | For | For | |||||||||||||||||||||||||||||
| 7 | Kenneth C. Ricci | For | For | |||||||||||||||||||||||||||||
| 7. | A proposal to approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of any of the Condition Precedent Proposals (as defined below) or we determine that one or more of the Closing conditions under the Business Combination Agreement is not satisfied or waived (the "Adjournment Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
968 | 0 | 21-Apr-2022 | 21-Apr-2022 | |||||||||||||||||||||||||
| ARTISAN ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | G0509L102 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | ARTA | Meeting Date | 09-May-2022 | |||||||||||||||||||||||||||||
| ISIN | KYG0509L1023 | Agenda | 935614811 - Management | |||||||||||||||||||||||||||||
| Record Date | 04-Mar-2022 | Holding Recon Date | 04-Mar-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 06-May-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - a proposal to approve and authorize, as an ordinary resolution, (a) the business combination and other transactions contemplated by the Business Combination Agreement, dated as of September 15, 2021 (as amended by an Amendment to Business Combination Agreement dated as of March 30, 2022 (the "BCA Amendment") and as may be further amended, supplemented or otherwise modified from time to time, the "Business Combination Agreement"), by and among Prenetics ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Initial Merger Proposal - a proposal to approve and authorize, as a special resolution, (a) the Plan of Merger (the "Plan of Initial Merger"), by and among the Company, Artisan Merger Sub and PubCo, substantially in the form annexed as Exhibit F to the Business Combination Agreement, (b) the Company's entry into the Plan of Initial Merger, and (c) the merger of the Company with and into Artisan Merger Sub, with Artisan Merger Sub being the surviving entity and remaining as a wholly- owned subsidiary of PubCo. |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Adjournment Proposal - a proposal to approve, as an ordinary resolution, the adjournment of the Meeting to a later date or dates to be determined by the chairman of the Meeting, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for the approval of one or more proposals at the Meeting or if shareholders have elected to redeem an amount of Class A ordinary shares of the Company such that the minimum available cash condition contained ...(due to space limits,see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,437 | 0 | 21-Apr-2022 | 21-Apr-2022 | |||||||||||||||||||||||||
| OTR ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 67113Q105 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | OTRA | Meeting Date | 10-May-2022 | |||||||||||||||||||||||||||||
| ISIN | US67113Q1058 | Agenda | 935620030 - Management | |||||||||||||||||||||||||||||
| Record Date | 11-Apr-2022 | Holding Recon Date | 11-Apr-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 09-May-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1) | The Business Combination Proposal - to consider & vote on a proposal to approve & adopt Business Combination Agreement, dated as of January 31, 2022 (as it may be amended and/ or restated from time to time, the "Business Combination Agreement"), by & among OTR, Comera Life Sciences Holdings, Inc. ("Holdco"), Comera Life Sciences, Inc. ("Comera"), CLS Sub Merger 1 Corp. ("Comera Merger Sub") and CLS Sub Merger 2 Corp. ("OTR Merger Sub"), & transactions contemplated thereby, pursuant to which (i) Comera Merger Sub will be merged. |
Management | For | For | ||||||||||||||||||||||||||||
| 2a) | Advisory Governance Proposal 2A - to increase the number of authorized shares of common stock from 110,000,000 to 150,000,000. |
Management | For | For | ||||||||||||||||||||||||||||
| 2b) | Advisory Governance Proposal 2B - to change the number of classes of directors from two classes to three classes. |
Management | For | For | ||||||||||||||||||||||||||||
| 2c) | Advisory Governance Proposal 2C - to remove the renouncement of corporate opportunity doctrine. |
Management | For | For | ||||||||||||||||||||||||||||
| 3) | The Equity Incentive Award Plan Proposal - to consider and vote on a proposal to approve and adopt the equity incentive award plan established to be effective after the closing of the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 4) | The Adjournment Proposal - to consider and vote on a proposal to adjourn the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve one or more proposals presented to stockholders for vote. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,936 | 0 | 21-Apr-2022 | 21-Apr-2022 | |||||||||||||||||||||||||
| BETTER WORLD ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 08772B104 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | BWAC | Meeting Date | 12-May-2022 | |||||||||||||||||||||||||||||
| ISIN | US08772B1044 | Agenda | 935628795 - Management | |||||||||||||||||||||||||||||
| Record Date | 18-Apr-2022 | Holding Recon Date | 18-Apr-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 11-May-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | Amend the Company's amended and restated certificate of incorporation to extend the date by which the Company has to consummate a Business Combination from May 17, 2022 to August 17, 2022 or such earlier date as determined by the board of directors. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | Adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of Proposal 1. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,658 | 0 | 28-Apr-2022 | 28-Apr-2022 | |||||||||||||||||||||||||
| KINGSWOOD ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 496861105 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | KWAC | Meeting Date | 18-May-2022 | |||||||||||||||||||||||||||||
| ISIN | US4968611057 | Agenda | 935637768 - Management | |||||||||||||||||||||||||||||
| Record Date | 25-Apr-2022 | Holding Recon Date | 25-Apr-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 17-May-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1) | The Extension Amendment Proposal - to consider and vote upon a proposal to amend the Company's amended and restated certificate of incorporation to extend from May 24, 2022 to August 24, 2022 (the "Extension" and such date, the "Extended Date"). Please see the definitive proxy statement for the full proposal language. |
Management | For | For | ||||||||||||||||||||||||||||
| 2) | The Adjournment Proposal - to consider and vote upon a proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve one or more proposals presented to stockholders for vote (the "Adjournment Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,160 | 0 | 13-May-2022 | 13-May-2022 | |||||||||||||||||||||||||
| XAI OCTAGON FUNDS | ||||||||||||||||||||||||||||||||
| Security | 98400T205 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | XFLTPR | Meeting Date | 24-May-2022 | |||||||||||||||||||||||||||||
| ISIN | US98400T2050 | Agenda | 935621842 - Management | |||||||||||||||||||||||||||||
| Record Date | 01-Apr-2022 | Holding Recon Date | 01-Apr-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 23-May-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1a. | Election of Class II Trustee of the Trust, to be elected by common shares and preferred shares voting as a single class, to serve until the 2025 annual meeting: Gregory G. Dingens |
Management | Split | Split | ||||||||||||||||||||||||||||
| 1b. | Election of Class II Trustee of the Trust, to be elected by preferred shares voting as a separate class, to serve until the 2025 annual meeting: Philip G. Franklin |
Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
2,134 | 0 | 23-May-2022 | 23-May-2022 | |||||||||||||||||||||||||
| APOLLO STRATEGIC GROWTH CAPITAL | ||||||||||||||||||||||||||||||||
| Security | G0411R106 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | APSG | Meeting Date | 25-May-2022 | |||||||||||||||||||||||||||||
| ISIN | KYG0411R1065 | Agenda | 935649218 - Management | |||||||||||||||||||||||||||||
| Record Date | 01-Mar-2022 | Holding Recon Date | 01-Mar-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 24-May-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Domestication Proposal - to consider and vote upon a proposal to approve by special resolution under Cayman Islands law, assuming the Business Combination Proposal is approved and adopted, the change of APSG's jurisdiction of incorporation from the Cayman Islands to the State of Delaware by deregistering as an exempted company in the Cayman Islands and continuing and domesticating as a corporation incorporated under the laws of the State of Delaware (the "Domestication" and such proposal, the "Domestication Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Amendment Proposal - to consider and vote upon a proposal to approve by special resolution under Cayman Islands law, assuming the Business Combination Proposal and the Domestication Proposal are approved and adopted, the Acquiror Delaware Certificate, which, if approved, would take effect substantially concurrently with the Closing; 2A through 2K - The Unbundling Precatory Proposals - to approve, on a non-binding advisory basis, certain governance provisions in the Acquiror Delaware Certificate, ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2a. | To increase the authorized share capital from 361,000,000 shares consisting of 300,000,000 Acquiror Class A Ordinary Shares, 60,000,000 Acquiror Class B Ordinary Shares, and 1,000,000 undesignated preferred shares, par value $0.00005 per share, to authorized capital stock of shares, consisting of (i) 3,000,000,000 shares of Domesticated Acquiror Class A Common Stock, (ii) 3,000,000,000 shares of Domesticated Acquiror Class B Common Stock, (iii) 20,420,250 shares of Domesticated Acquiror ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2b. | To provide that the Acquiror Delaware Certificate may be amended, altered or repealed by the affirmative vote of the holders of at least 66 2/3% of all the then outstanding shares of stock entitled to vote, voting together as a single class in addition to any other vote required by the Acquiror Delaware Certificate or otherwise required by law. |
Management | For | For | ||||||||||||||||||||||||||||
| 2c. | To provide that (i) each holder of record of Domesticated Acquiror Class A Common Stock, Domesticated Acquiror Class B Common Stock and Domesticated Acquiror Class X Common Stock (solely prior to the automatic conversion thereof to shares of Domesticated Acquiror Class A Common Stock upon the Closing) will be entitled to vote on the election or removal of directors, voting together as a single class, (ii) any vacancy on the board of directors shall be filled by the affirmative ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2d. | To elect not to be governed by Section 203 of the DGCL. | Management | For | For | ||||||||||||||||||||||||||||
| 2e. | To provide that the Court of Chancery of the State of Delaware or, if such court does not have subject matter jurisdiction, another state or federal court located within the State of Delaware, shall be the exclusive forum for certain actions and claims. |
Management | For | For | ||||||||||||||||||||||||||||
| 2f. | To provide that each holder of record of Domesticated Acquiror Class A Common Stock, Domesticated Acquiror Class B Common Stock and Domesticated Acquiror Class X Common Stock (solely prior to the automatic conversion thereof to shares of Domesticated Acquiror Class A Common Stock upon the Closing) be entitled to one vote per share on all matters which stockholders generally are entitled to vote. |
Management | For | For | ||||||||||||||||||||||||||||
| 2g. | To provide that subject to applicable law and the rights of any holders of outstanding Preferred Stock, (i) each holder of Domesticated Acquiror Class A Common Stock, Domesticated Acquiror Class X Common Stock (solely prior to the automatic conversion thereof to shares of Domesticated Acquiror Class A Common Stock upon the Closing) and Class A-1 Preferred Stock shall be entitled to receive, ratably with the other participating shares, such dividends and other distributions as ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2h. | To eliminate various provisions in the Existing Organizational Documents applicable only to blank check companies, including the provisions requiring that APSG have net tangible assets of at least $5,000,001 immediately prior to, or upon such consummation of, a business combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 2i. | To restrict holders of Domesticated Acquiror Class B Common Stock from transferring their shares of Domesticated Acquiror Class B Common Stock unless such holder also transfers an equal number of Opco B Ordinary Shares in accordance with the GBT Amended & Restated M&A. |
Management | For | For | ||||||||||||||||||||||||||||
| 2j. | To allow PubCo, subject to the terms of the Business Combination Agreement, the Acquiror Delaware Certificate and the Acquiror Delaware Bylaws, to take all such actions as are contemplated by the Business Combination Agreement to cause the issuance of its equity securities as called for by the Egencia Equity Contribution Agreement and in accordance with the Acquiror Delaware Certificate, including any issuances, redemptions and cancellations and/or adjustments for no consideration. |
Management | For | For | ||||||||||||||||||||||||||||
| 2k. | To require PubCo to issue, reserve for issuance, cancel and/or redeem certain of its equity securities in accordance with the terms of the Exchange Agreement. |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Business Combination Proposal - to consider and vote upon a proposal to approve by ordinary resolution under Cayman Islands law and adopt, assuming the Domestication Proposal and Amendment Proposal are approved, the Business Combination Agreement (as amended from time to time, the "Business Combination Agreement"), dated as of December 2, 2021, by and between APSG and GBT Jersey Co Limited, a company limited by shares incorporated under the laws of Jersey ("GBT"), and the ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | The Issuance Proposal - to consider and vote upon a proposal to approve by ordinary resolution under Cayman Islands law, assuming the Domestication Proposal, the Amendment Proposal and the Business Combination Proposal are approved and adopted, for the purposes of complying with the applicable listing rules of the New York Stock Exchange, the issuance of Domesticated Acquiror Class A Common Stock to the PIPE Investors (as defined below) pursuant to the PIPE Subscription Agreements (as defined below) (the "Issuance Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | The Equity Incentive Plan Proposal - to consider and vote upon a proposal to approve by ordinary resolution under Cayman Islands law, assuming the Domestication Proposal, the Amendment Proposal, the Business Combination Proposal and the Issuance Proposal are approved and adopted, the Global Business Travel Group, Inc. 2022 Equity Incentive Plan, a copy of which is attached to the enclosed proxy statement/ prospectus as Annex E (the "Equity Incentive Plan Proposal"). |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The ESPP Proposal - to consider and vote upon a proposal to approve by ordinary resolution under Cayman Islands law, assuming the Domestication Proposal, the Amendment Proposal, the Business Combination Proposal, the Issuance Proposal, and the Equity Incentive Plan Proposal are approved and adopted, the Global Business Travel Group, Inc. Employee Stock Purchase Plan (the "ESPP"), a copy of which is attached to the enclosed proxy statement/prospectus as Annex F (the "ESPP Proposal" and, ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | The Adjournment Proposal - if put to the meeting, to consider and vote upon a proposal to approve by ordinary resolution under Cayman Islands law the adjournment of the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the proxies held at the time of the Special Meeting, any of the Condition Precedent Proposals would not be duly approved and adopted by our shareholders or we determine that one or more of the closing ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
3,489 | 0 | 13-May-2022 | 13-May-2022 | |||||||||||||||||||||||||
| REDBALL ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | G7417R105 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | RBAC | Meeting Date | 01-Jun-2022 | |||||||||||||||||||||||||||||
| ISIN | KYG7417R1056 | Agenda | 935652708 - Management | |||||||||||||||||||||||||||||
| Record Date | 22-Apr-2022 | Holding Recon Date | 22-Apr-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 31-May-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | BCA Proposal - To consider and vote upon a proposal to approve and adopt, by ordinary resolution, the Business Combination Agreement and Plan of Reorganization, dated as of October 13, 2021 (as amended from time to time, including by the First Amendment to Business Combination Agreement and Plan of Reorganization, dated December 12, 2021 (the "First Amendment") and the Second Amendment to Business Combination Agreement and Plan of Reorganization, dated March 28, 2022 (the "Second ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | Domestication Proposal - To consider and vote upon a proposal to approve, by special resolution, the deregistration by way of continuation of RedBall as an exempted company in the Cayman Islands and the domestication of RedBall as a corporation in the State of Delaware (the "Domestication" and, together with the Mergers and the other transactions contemplated by the Business Combination Agreement, the "Business Combination"). Upon the effective time of the Domestication, RedBall will be renamed ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | Charter Proposal - To consider and vote upon a proposal to approve, by special resolution, the replacement of the RedBall's Amended and Restated Memorandum and Articles of Association (as may be amended from time to time, the "Cayman Constitutional Documents"), currently in effect, with the proposed certificate of incorporation of New SeatGeek (the "Proposed Charter") (a copy of which is attached to the accompanying proxy statement/prospectus as Annex K), including the change of ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | Advisory Organizational Documents Proposal A - To consider and vote upon a proposal to approve the change in the authorized capital stock of RedBall from 400,000,000 Class A ordinary shares, par value $0.0001 per share, 40,222,222 Class B ordinary shares, par value $0.0001 per share ("RedBall Class B ordinary shares") and 1,000,000 preference shares, par value $0.0001 per share, to 1,000,000,000 shares of common stock, par value $0.0001 per share, of New SeatGeek ("New SeatGeek common stock") ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | Advisory Organizational Documents Proposal B - To consider and vote upon a proposal to authorize the board of directors of New SeatGeek (the "New SeatGeek Board") to issue any or all shares of New SeatGeek preferred stock in one or more classes or series, with such terms and conditions as may be expressly determined by the New SeatGeek Board and as may be permitted by the General Corporation Law of the State of Delaware (the "DGCL"). |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | Advisory Organizational Documents Proposal C - To consider and vote upon a proposal to approve each of the following: (i) that the Court of Chancery of the State of Delaware (or any other court located in the State of Delaware if such court is not available) will be the exclusive forum for bringing certain legal claims against New SeatGeek or any of its directors, officers, employees or stockholders, including any derivative actions or claims for breach of fiduciary duty, violation of the ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | Director Election Proposal A - To consider and vote upon a proposal to appoint, by ordinary resolution of the RedBall Class B ordinary shares, the two Class I directors, Richard H. Thaler and Lewis N. Wolff, who will serve as the Class I directors of RedBall until the earlier of the 2025 annual general meeting of shareholders, or the consummation of the Business Combination, each until such director's respective successor is duly appointed and qualified, subject to such director's earlier ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 8. | Director Election Proposal B - To consider and vote upon a proposal to elect, by ordinary resolution of the RedBall Class B ordinary shares, directors who, immediately following the consummation of the Business Combination, will be the directors of New SeatGeek (the "Director Election Proposal B"). |
Management | For | For | ||||||||||||||||||||||||||||
| 9. | Stock Issuance Proposal - To consider and vote upon a proposal to approve, by ordinary resolution, for purposes of complying with Section 312.03 of the NYSE Listed Company Manual, (i) the issuance of up to 6,500,000 shares of New SeatGeek common stock in the Backstop Subscription (as defined in the accompanying proxy statement/prospectus) pursuant to the Backstop Subscription Agreement and (ii) the issuance of up to 176,493,334 shares of New SeatGeek common stock (including the ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 10. | Equity Incentive Plan Proposal - To consider and vote upon a proposal to approve, by ordinary resolution, the New SeatGeek 2022 Equity Incentive Plan (as defined in the accompanying proxy statement/prospectus). |
Management | For | For | ||||||||||||||||||||||||||||
| 11. | ESPP Proposal - To consider and vote upon a proposal to approve by ordinary resolution the New SeatGeek 2022 Employee Stock Purchase Plan (as defined in the accompanying proxy statement/prospectus). |
Management | For | For | ||||||||||||||||||||||||||||
| 12. | Adjournment Proposal - To consider and vote upon a proposal to approve, by ordinary resolution, the adjournment of the extraordinary general meeting in lieu of annual general meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for the approval of one or more proposals at the extraordinary general meeting in lieu of annual general meeting. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,125 | 0 | 24-May-2022 | 24-May-2022 | |||||||||||||||||||||||||
| EDTECHX HOLDINGS ACQUISITION CORP. II | ||||||||||||||||||||||||||||||||
| Security | 28139A102 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | EDTX | Meeting Date | 02-Jun-2022 | |||||||||||||||||||||||||||||
| ISIN | US28139A1025 | Agenda | 935644244 - Management | |||||||||||||||||||||||||||||
| Record Date | 26-Apr-2022 | Holding Recon Date | 26-Apr-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 01-Jun-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | Extension Amendment Proposal: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to December 15, 2022. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | Adjournment Proposal: Approve the adjournment of the special meeting to a later date or dates, if the Company determines that additional time is necessary to effectuate the Extension. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
702 | 0 | 24-May-2022 | 24-May-2022 | |||||||||||||||||||||||||
| SVF INVESTMENT CORP. 3 | ||||||||||||||||||||||||||||||||
| Security | G8601N108 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | SVFC | Meeting Date | 03-Jun-2022 | |||||||||||||||||||||||||||||
| ISIN | KYG8601N1088 | Agenda | 935650350 - Management | |||||||||||||||||||||||||||||
| Record Date | 25-Apr-2022 | Holding Recon Date | 25-Apr-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 02-Jun-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - To consider and vote upon a proposal to approve, by ordinary resolution under Cayman Islands law, the Business Combination and adopt the Agreement and Plan of Merger, dated as of December 12, 2021 (as it may be amended, restated, supplemented or otherwise modified from time to time, the "Merger Agreement"), by and among SVF 3, Saturn Acquisition (DE) Corp., a wholly owned subsidiary of SVF 3 ("Merger Sub"), Warehouse Technologies LLC ("Warehouse") and Symbotic Holdings ...(due to space limits,see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Domestication Proposal - To consider and vote upon a proposal to approve, by special resolution under Cayman Islands law, assuming the Business Combination Proposal is approved and adopted, the change of SVF 3's jurisdiction of incorporation from the Cayman Islands to the State of Delaware by deregistering as an exempted company in the Cayman Islands and continuing and domesticating as a corporation incorporated under the laws of the State of Delaware. |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Organizational Documents Proposal - To consider and vote upon a proposal to approve and adopt, by special resolution under Cayman Islands law, assuming the Business Combination Proposal and the Domestication Proposal are approved and adopted, the proposed new certificate of incorporation (the "Proposed Charter") and bylaws (the "Proposed Bylaws," and, together with the Proposed Charter, the "Proposed Organizational Documents") of SVF 3 following the consummation of the Business ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4A. | Governance Proposal - To increase the authorized share capital from 221,000,000 shares divided into 200,000,000 Class A ordinary shares, par value $0.0001 per share, 20,000,000 Class B ordinary shares, par value $0.0001 per share, and 1,000,000 preferred shares, par value $0.0001 per share, to authorized capital stock of 4,458,000,000 shares, consisting of (i) 3,000,000,000 shares of Class A common stock, par value $0.0001 per share, (ii) 1,000,000,000 shares of Class V-1 common stock, ...(due to space limits,see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4B. | Governance Proposal - To provide that the Proposed Charter may be amended by the affirmative vote of a majority of the outstanding shares of voting stock entitled to vote thereon, voting together as a single class, except that (a) Section 4.03(b) through Section 4.04 and (b) Article V through Article XIV of the Proposed Charter may be amended, altered, repealed or rescinded, in whole or in part, or any provision inconsistent therewith or herewith may be adopted, only by the affirmative ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4C. | Governance Proposal - To provide for (i) the election of directors by a majority of the votes cast in respect of the shares present in person or represented by proxy at the meeting and entitled to vote on the election of directors, (ii) the filling of newly-created directorships or any vacancy on the board of directors by a majority vote of the remaining directors then in office, even if less than a quorum, or by a sole remaining director and (iii) the removal of directors with or ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4D. | Governance Proposal - To elect not to be governed by Section 203 of the General Corporation Law of the State of Delaware. |
Management | For | For | ||||||||||||||||||||||||||||
| 4E. | Governance Proposal - To provide that the Court of Chancery of the State of Delaware or, if such court does not have subject matter jurisdiction thereof, another state or federal court located within the State of Delaware, shall be the exclusive forum for certain actions and claims. |
Management | For | For | ||||||||||||||||||||||||||||
| 4F. | Governance Proposal - To provide that (i) each holder of record of Class A common stock, Class B common stock and Class V-1 common stock shall be entitled to one vote per share on all matters which stockholders generally are entitled to vote, and (ii) each holder of record of Class V- 3 common stock shall be entitled to three votes per share on all matters which stockholders generally are entitled to vote. |
Management | For | For | ||||||||||||||||||||||||||||
| 4G. | Governance Proposal - To provide that (i) holders of Class A common stock and Class B common stock, as such, shall be entitled to the payment of dividends and other distributions of cash, stock or property on the Class A common stock and Class B common stock, respectively, when, as and if declared by the board of directors in accordance with law and (ii) except with respect to certain stock dividends, dividends of cash or property may not be declared or paid on Class V-1 common stock or Class V-3 common stock. |
Management | For | For | ||||||||||||||||||||||||||||
| 4H. | Governance Proposal - To eliminate various provisions in Articles applicable only to blank check companies, including the provisions requiring that SVF 3 have net tangible assets of at least $5,000,001 immediately prior to, or upon such consummation of, a business combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 5.1 | Election of Director to serve until the 2023 Annual Meeting: Richard B. Cohen |
Management | For | For | ||||||||||||||||||||||||||||
| 5.2 | Election of Director to serve until the 2023 Annual Meeting: Michael J. Loparco |
Management | For | For | ||||||||||||||||||||||||||||
| 5.3 | Election of Director to serve until the 2023 Annual Meeting: Rollin Ford |
Management | For | For | ||||||||||||||||||||||||||||
| 5.4 | Election of Director to serve until the 2023 Annual Meeting: Charles Kane |
Management | For | For | ||||||||||||||||||||||||||||
| 5.5 | Election of Director to serve until the 2023 Annual Meeting: Todd Krasnow |
Management | For | For | ||||||||||||||||||||||||||||
| 5.6 | Election of Director to serve until the 2023 Annual Meeting: Vikas J. Parekh |
Management | For | For | ||||||||||||||||||||||||||||
| 5.7 | Election of Director to serve until the 2023 Annual Meeting: Merline Saintil |
Management | For | For | ||||||||||||||||||||||||||||
| 5.8 | Election of Director to serve until the 2023 Annual Meeting: Michael Rhodin |
Management | For | For | ||||||||||||||||||||||||||||
| 6. | The Merger Issuance Proposal - To consider and vote upon a proposal to approve, by ordinary resolution under Cayman Islands law, for purposes of complying with applicable listing rules of the Nasdaq Capital Market ("NASDAQ"), the issuance of shares of common stock pursuant to the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | The Subscription Agreements Proposal - To consider and vote upon a proposal to approve, by ordinary resolution under Cayman Islands law, for purposes of complying with applicable listing rules of NASDAQ, the issuance of shares of Class A common stock pursuant to the Subscription Agreements (as defined in the proxy statement/prospectus). |
Management | For | For | ||||||||||||||||||||||||||||
| 8. | The Incentive Compensation Plan Proposal - To consider and vote upon a proposal to approve and adopt, by ordinary resolution under Cayman Islands law, the Incentive Compensation Plan (as defined in the proxy statement/prospectus). |
Management | For | For | ||||||||||||||||||||||||||||
| 9. | The ESPP Proposal - To consider and vote upon a proposal to approve and adopt, by ordinary resolution under Cayman Islands law, the ESPP (as defined in the proxy statement/prospectus). |
Management | For | For | ||||||||||||||||||||||||||||
| 10. | The Adjournment Proposal - To consider and vote upon a proposal to approve, by ordinary resolution under Cayman Islands law, the adjournment of the Extraordinary General Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies (i) to ensure that any required supplement or amendment to the proxy statement or prospectus is provided to SVF 3's shareholders, and/or (ii) in the event that there are insufficient votes for, or otherwise in connection with, the ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
2,181 | 0 | 24-May-2022 | 24-May-2022 | |||||||||||||||||||||||||
| DELWINDS INSURANCE ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 24803C102 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | DWIN | Meeting Date | 06-Jun-2022 | |||||||||||||||||||||||||||||
| ISIN | US24803C1027 | Agenda | 935664676 - Management | |||||||||||||||||||||||||||||
| Record Date | 20-May-2022 | Holding Recon Date | 20-May-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 03-Jun-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | Amend the Company's Amended and Restated Certificate of Incorporation, to extend the date by which the Company must (i) consummate a business combination, (ii) cease its operations if it fails to complete such business combination, and (iii) redeem or repurchase 100% of the Company's Class A common stock included as part of the units sold in the Company's initial public offering, from 6/15/22 to 9/15/22 (or such earlier date as determined by Delwinds' board of directors), in the form attached to the Company's Proxy Statement. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | Adjournment Proposal: To approve the adjournment of the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if there are insufficient votes for, or otherwise in connection with, the approval of the Extension Amendment Proposal. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
2,456 | 0 | 08-Jun-2022 | ||||||||||||||||||||||||||
| GLOBIS ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 379582109 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | GLAQ | Meeting Date | 07-Jun-2022 | |||||||||||||||||||||||||||||
| ISIN | US3795821095 | Agenda | 935655590 - Management | |||||||||||||||||||||||||||||
| Record Date | 12-May-2022 | Holding Recon Date | 12-May-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 06-Jun-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||||||||||||||||||||
| 1. | To consider and vote upon, on a non-binding advisory basis, a proposal to change the corporate structure and jurisdiction of incorporation of Globis Nevada by way of continuation, an alteration of its authorized and issued share capital and re- registration from a Nevada corporation to a public company limited by shares incorporated under the laws of Gibraltar to be known as "Forafric Global PLC" ("New Forafric"). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | To consider and vote upon a proposal to approve and adopt (a) the merger of Globis with and into Merger Sub, with Merger Sub surviving (the "Merger"), and (b) the appointment of an agent to act on behalf of Globis stockholders such that, subject to and immediately following the completion of the Merger, the agent will exchange the issued and outstanding shares of common stock of Merger Sub issued pursuant to the Merger, on a one-for-one basis, for ordinary shares of New Forafric. |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | To consider and vote upon a proposal to approve the Business Combination Agreement, entered into as of December 19, 2021 (as amended or supplemented from time to time, the "Business Combination Agreement"), by and among Globis, Lighthouse Capital Limited ("Seller"), Forafric Agro Holdings Limited ("FAHL") and Globis Nevada, and the transactions contemplated by the Business Combination Agreement. |
Management | For | For | ||||||||||||||||||||||||||||
| 4. | To consider and vote upon the approval of the Equity Incentive Plan. |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Saad Bendidi | For | For | |||||||||||||||||||||||||||||
| 2 | Julien Benitah | For | For | |||||||||||||||||||||||||||||
| 3 | Franco Cassar | For | For | |||||||||||||||||||||||||||||
| 4 | James Lasry | For | For | |||||||||||||||||||||||||||||
| 5 | Paul Packer | For | For | |||||||||||||||||||||||||||||
| 6 | Ira Greenstein | For | For | |||||||||||||||||||||||||||||
| 7 | Rachel Bitan | For | For | |||||||||||||||||||||||||||||
| 6. | To consider and vote upon the terms of the Proposed Organizational Documents of New Forafric, including authorization of the change in authorized share capital as indicated therein and the change of name of Globis to "Forafric Global PLC" assuming the Business Combination Proposal and the Merger and Exchange Proposal are approved and adopted. |
Management | For | For | ||||||||||||||||||||||||||||
| 7a. | To acknowledge and agree to the change in the authorized capital stock of Globis from (i) 100,000,000 Common Stock, and 1,000,000 Preferred Stock, par value $0.0001 per share, to (ii) 100,000,000 Ordinary Shares and 1,000,000 Preferred Shares of New Forafric. |
Management | For | For | ||||||||||||||||||||||||||||
| 7b. | To acknowledge and agree to all other changes in connection with the replacement of terms of the Existing Organizational Documents with being subject to the terms of the Memorandum and Articles of Association to be adopted following the Redomiciliation and as a consequence of the re-registration as a Gibraltar public company limited by shares. |
Management | For | For | ||||||||||||||||||||||||||||
| 8. | To consider and vote upon, for the purposes of complying with the applicable provisions of Nasdaq Listing Rule 5635(a), the issuance of Ordinary Shares and securities convertible into or exchangeable for Ordinary Shares in connection with the Business Combination, and the Ordinary Shares issued in connection with the PIPE Investment, the conversion of the FAHL Bonds and the conversion of the FAHL Related Party Loans. |
Management | For | For | ||||||||||||||||||||||||||||
| 9. | To consider and vote upon a proposal to adjourn the Stockholders Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based on the tabulated vote, there are not sufficient votes at the time of the Stockholders Meeting to authorize Globis to consummate the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
2,109 | 0 | 24-May-2022 | 24-May-2022 | |||||||||||||||||||||||||
| ALTITUDE ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 02156Y103 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | ALTU | Meeting Date | 10-Jun-2022 | |||||||||||||||||||||||||||||
| ISIN | US02156Y1038 | Agenda | 935652710 - Management | |||||||||||||||||||||||||||||
| Record Date | 02-May-2022 | Holding Recon Date | 02-May-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 09-Jun-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1. | To amend (the "Extension Amendment") the Company's Amended and Restated Certificate of Incorporation (our "charter") to extend the date by which the Company must consummate a business combination (as defined below) (the "Extension") from June 11, 2022 (the date which is 18 months from the closing date of the Company's initial public offering of our units (the "IPO")) to October 11, 2022 (the date which is 22 months from the closing date of the IPO) (the "Extended Date"). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | A proposal to approve the adjournment of the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes to approve the Extension Amendment Proposal or if we determine that additional time is necessary to effectuate the Extension. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
300 | 0 | 24-May-2022 | 24-May-2022 | |||||||||||||||||||||||||
| KINS TECHNOLOGY GROUP INC. | ||||||||||||||||||||||||||||||||
| Security | 49714K109 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | KINZ | Meeting Date | 10-Jun-2022 | |||||||||||||||||||||||||||||
| ISIN | US49714K1097 | Agenda | 935658748 - Management | |||||||||||||||||||||||||||||
| Record Date | 10-May-2022 | Holding Recon Date | 10-May-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 09-Jun-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1. | The Charter Extension Proposal - amend the Charter pursuant to an amendment to the Charter in the form set forth in Annex A of the proxy statement to extend the date by which the Company must (1) consummate an initial business combination, (2) cease its operations except for the purpose of winding up if it fails to complete such initial business combination, and (3) redeem all of the shares of Class A Common Stock included as part of the units sold in the IPO from June 17,2022 to the Extended Date of December 16, 2022. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Trust Extension Proposal - amend the Trust Agreement pursuant to an amendment to the Trust Agreement in the form set forth in Annex B of the proxy statement, to extend the date on which Continental must liquidate the Trust Account if the Company has not completed its initial business combination, from June 17, 2022 to the Extended Date of December 16, 2022. |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Adjournment Proposal - approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the proposals for the Charter Extension and/or the Trust Extension. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
682 | 0 | 24-May-2022 | 24-May-2022 | |||||||||||||||||||||||||
| BIOTECH ACQUISITION COMPANY | ||||||||||||||||||||||||||||||||
| Security | G1125A108 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | BIOT | Meeting Date | 14-Jun-2022 | |||||||||||||||||||||||||||||
| ISIN | KYG1125A1085 | Agenda | 935652683 - Management | |||||||||||||||||||||||||||||
| Record Date | 28-Mar-2022 | Holding Recon Date | 28-Mar-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 13-Jun-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1. | The Business Combination Proposal - To consider and vote upon a proposal by ordinary resolution to approve the Agreement and Plan of Merger, dated as of November 8, 2021 (as it may be amended and supplemented from time to time, the "Merger Agreement") with Blade Therapeutics, Inc., a Delaware corporation ("Blade"), Blade Merger Subsidiary, Inc., a Delaware corporation and a wholly owned subsidiary of BAC ("Blade Merger Sub"), Biotech Sponsor LLC, a Delaware limited liability ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | Domestication Proposal - To consider and vote upon a Proposal by special resolution to (a) change BAC's corporate structure and de-register from an exempted company incorporated under the Cayman Islands Companies Act and transfer by way of continuation as a corporation incorporated under the laws of the State of Delaware (the "Domestication"), (b) in connection therewith to adopt upon the Domestication taking effect, the certificate of incorporation (the "Interim Charter"), in the form appended to ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Certificate of Incorporation Proposal - To consider and vote upon by special resolution under the Cayman Islands Companies Act a Proposal to replace the Interim Charter with the Proposed Certificate of Incorporation substantially in the form attached to the accompanying proxy statement/prospectus as Annex C, to be effective upon the consummation of the Business Combination. The Certificate of Incorporation Proposal is conditioned on the approval of the Business Combination Proposal ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4a. | Organizational Documents Proposals - To approve and adopt provisions in the Proposed Charter, which will amend and replace the Interim Charter if the Certificate of Incorporation Proposal is approved, requiring the affirmative vote of the holders of at least 66 2/3% of the voting power of all the then outstanding shares of Blade Biotherapeutics entitled to vote to remove a director for cause. |
Management | For | For | ||||||||||||||||||||||||||||
| 4b. | Organizational Documents Proposals - To approve and adopt provisions in the Proposed Charter, which will amend and replace the Interim Charter if the Certificate of Incorporation Proposal is approved, providing that (i) special meetings of stockholders for any purpose or purposes may be called at any time by the majority of the Blade Biotherapeutics Board, the Chairman of the Blade Biotherapeutics Board or the Chief Executive Officer of Blade Biotherapeutics, and may not be called by another other ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 4c. | Organizational Documents Proposals - To approve and adopt provisions in the Proposed Certificate of Incorporation, which will amend and replace the Interim Charter if the Certificate of Incorporation Proposal is approved, adopting Delaware as the exclusive forum for certain shareholder litigation. |
Management | For | For | ||||||||||||||||||||||||||||
| 4d. | Organizational Documents Proposals - To approve and adopt provisions in the Proposed Charter, which will amend and replace the Interim Charter if the Certificate of Incorporation Proposal is approved, changing the post- Business Combination company's corporate name from "Biotech Acquisition Company" to "Blade Biotherapeutics, Inc." |
Management | For | For | ||||||||||||||||||||||||||||
| 4e. | Organizational Documents Proposals - To approve and adopt provisions in the Proposed Charter, which will amend and replace the Interim Charter if the Certificate of Incorporation Proposal is approved, to remove certain provisions related to BAC's status as a blank check company that will no longer apply upon consummation of the Business Combination. |
Management | For | For | ||||||||||||||||||||||||||||
| 4f. | Organizational Documents Proposals - To approve and adopt provisions in the Proposed Charter, which will amend and replace the Interim Charter if the Certificate of Incorporation Proposal is approved, increasing the total number of authorized shares of all classes of stock to 310,000,000 shares, each with a par value of $0.0001 per share, consisting of (i) 300,000,000 shares of Common Stock, (ii) 10,000,000 shares of preferred stock. |
Management | For | For | ||||||||||||||||||||||||||||
| 4g. | Organizational Documents Proposals - To approve and adopt provisions in the Proposed Charter, which will amend and replace the Interim Charter if the Certificate of Incorporation Proposal is approved, electing not to be governed by Section 203 of the DGCL and, instead be governed by a provision substantially similar to Section 203 of the DGCL. |
Management | For | For | ||||||||||||||||||||||||||||
| 4h. | Organizational Documents Proposals - To approve and adopt provisions in the Proposed Charter, which will amend and replace the Interim Charter if the Certificate of Incorporation Proposal is approved, making Blade Biotherapeutics' corporate existence perpetual. |
Management | For | For | ||||||||||||||||||||||||||||
| 5. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Wendy Robbins | For | For | |||||||||||||||||||||||||||||
| 2 | Mark Timney | For | For | |||||||||||||||||||||||||||||
| 3 | Lloyd Klickstein | For | For | |||||||||||||||||||||||||||||
| 4 | James Scopa | For | For | |||||||||||||||||||||||||||||
| 5 | Luke Evnin | For | For | |||||||||||||||||||||||||||||
| 6 | Carl Goldfischer | For | For | |||||||||||||||||||||||||||||
| 7 | John A. Hohneker | For | For | |||||||||||||||||||||||||||||
| 8 | Michael Shleifer | For | For | |||||||||||||||||||||||||||||
| 6. | The Nasdaq Proposal - To consider and vote upon a proposal by ordinary resolution to approve, for purposes of complying with the applicable provisions of Nasdaq Listing Rules 5635(a), (b), (c), and (d), the issuance of (a) shares to the PIPE Investors pursuant to the PIPE Investment, and (b) shares to the Blade stockholders pursuant to the Merger Agreement. "RESOLVED, as an ordinary resolution, that for the purposes of complying with Nasdaq Listing Rules 5635(a), (b), (c), and (d), the ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 7. | Incentive Award Plan Proposal - To consider and vote on a Proposal by ordinary resolution to approve and adopt the Blade Biotherapeutics, Inc. 2022 Incentive Award Plan (the "2022 Plan") and the material terms thereunder. The BAC Board approved the 2022 Plan, prior to the BAC extraordinary general meeting, subject to shareholder approval at the BAC extraordinary general meeting. A copy of the proposed 2022 Plan is appended to the accompanying proxy statement/prospectus as Annex E. ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 8. | ESPP Proposal - To consider and vote on a Proposal by ordinary resolution to approve and adopt the Blade Biotherapeutics, Inc. 2022 Employee Stock Purchase Plan (the "ESPP") and the material terms thereunder. The BAC Board approved the ESPP, prior to the BAC extraordinary general meeting, subject to shareholder approval at the BAC extraordinary general meeting. A copy of the proposed ESPP is appended to the accompanying proxy statement/prospectus as Annex F. "RESOLVED, as an ordinary ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| 9. | The Adjournment Proposal - To consider and vote upon a proposal by ordinary resolution to adjourn the Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if it is determined by the BAC Board that more time is necessary or appropriate to approve one or more proposals at the Meeting or if certain conditions under the Merger Agreement are not satisfied or waived. "RESOLVED, as an ordinary resolution, that the adjournment of the Meeting to a later date or dates, ...(due to space limits, see proxy material for full proposal). |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
2,834 | 0 | 24-May-2022 | 24-May-2022 | |||||||||||||||||||||||||
| DUNE ACQUISITION CORPORATION | ||||||||||||||||||||||||||||||||
| Security | 265334102 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | DUNE | Meeting Date | 14-Jun-2022 | |||||||||||||||||||||||||||||
| ISIN | US2653341022 | Agenda | 935658762 - Management | |||||||||||||||||||||||||||||
| Record Date | 13-May-2022 | Holding Recon Date | 13-May-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 13-Jun-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1. | Amend the Company's Amended and Restated Certificate of Incorporation to extend the date by which the Company must consummate a business combination from June 22, 2022 (the date which is 18 months from the closing date of the Company's initial public offering(the "IPO")) to December 22, 2023 (the date which is 36 months from the closing date of the IPO). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | A proposal to approve the adjournment of the Special Meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Extension Amendment Proposal. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
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| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,068 | 0 | 24-May-2022 | 24-May-2022 | |||||||||||||||||||||||||
| AMERICAS TECHNOLOGY ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | G0404A102 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | ATA | Meeting Date | 14-Jun-2022 | |||||||||||||||||||||||||||||
| ISIN | KYG0404A1022 | Agenda | 935664563 - Management | |||||||||||||||||||||||||||||
| Record Date | 19-May-2022 | Holding Recon Date | 19-May-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 13-Jun-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1. | Extension Amendment Proposal: To amend, by way of special resolution, the Amended and Restated Memorandum and Articles of Association to extend the date by which the Company has to consummate a business combination from June 17, 2022 to December 17, 2022 or such earlier date as determined by the board of directors. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | Adjournment Proposal: To instruct the chairman of the extraordinary general meeting to adjourn the extraordinary general meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the extraordinary general meeting, there are not sufficient votes to approve the Extension Amendment Proposal. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
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| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,022 | 0 | 08-Jun-2022 | 08-Jun-2022 | |||||||||||||||||||||||||
| CORNER GROWTH ACQUISITION CORP. 2 | ||||||||||||||||||||||||||||||||
| Security | G2426E104 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | TRON | Meeting Date | 15-Jun-2022 | |||||||||||||||||||||||||||||
| ISIN | KYG2426E1044 | Agenda | 935671481 - Management | |||||||||||||||||||||||||||||
| Record Date | 20-May-2022 | Holding Recon Date | 20-May-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 14-Jun-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1. | Extension Proposal: Amend the Company's amended and restated memorandum and articles of association to (i) extend the date that the Company has to consummate a business combination from June 21, 2022 to July 21, 2022 (the "Extended Date") and (ii) allow the Company without another shareholder vote, to elect to extend the date to consummate a business combination after the Extended Date on a monthly basis for an additional eight months, through and until March 21, 2023 the ("Additional Extension Date"). |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | Adjournment Proposal: Adjourn the Extraordinary General Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of Proposal 1. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
2,805 | 0 | 08-Jun-2022 | 08-Jun-2022 | |||||||||||||||||||||||||
| VENTOUX CCM ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 92280L101 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | VTAQ | Meeting Date | 16-Jun-2022 | |||||||||||||||||||||||||||||
| ISIN | US92280L1017 | Agenda | 935661517 - Management | |||||||||||||||||||||||||||||
| Record Date | 27-Apr-2022 | Holding Recon Date | 27-Apr-2022 | |||||||||||||||||||||||||||||
| City / | Country | / | United States |
Vote Deadline Date | 15-Jun-2022 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1. | Charter Amendment Proposal: Amend the Company's amended and restated certificate of incorporation to (i) extend the date by which the Company has to consummate a business combination for three months, from June 30, 2022 to September 30, 2022 (the "Extension Date"), and (ii) allow the Company, without another stockholder vote, to elect to extend the date to consummate a business combination, after the Extension Date for an additional three months, through and until December 30, 2022. |
Management | For | For | ||||||||||||||||||||||||||||
| 2. | Trust Amendment Proposal: Amend the Investment Management Trust Agreement to extend the date on which the Trustee must liquidate the trust account established in connection with the IPO if the Company has not completed its initial business combination, from June 30, 2022 to September 30, 2022, or for an additional three months of December 30, 2022, if applicable. |
Management | For | For | ||||||||||||||||||||||||||||
| 3. | Adjournment Proposal: Adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of Proposal 1 and Proposal 2. |
Management | For | For | ||||||||||||||||||||||||||||
| Account Number |
Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares |
Vote Date | Date Confirmed |
|||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND |
145442.17 | UMB BANK, N.A. |
1,990 | 0 | 08-Jun-2022 | 08-Jun-2022 | |||||||||||||||||||||||||
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 Alternative Opportunities Fund |
| By (Signature and Title) | /s/ Michael Peck |
| Michael Peck, President | |
| Date | August 23, 2022 |