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 811-04873
The Gabelli Growth Fund
(Exact name of registrant as specified in charter)
One Corporate Center
Rye, New York 10580-1422
(Address of principal executive offices) (Zip code)
Bruce N. Alpert
Gabelli Funds, LLC
One Corporate Center
Rye, New York 10580-1422
(Name and address of agent for service)
Registrant's telephone number, including area code: 1-800-422-3554
Date of fiscal year end: December 31
Date of reporting period: July 1, 2019 – June 30, 2020
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
PROXY VOTING RECORD
FOR PERIOD JULY 1, 2019 TO JUNE 30, 2020
|
ProxyEdge Meeting Date Range: 07/01/2019 - 06/30/2020 The Gabelli Growth Fund |
Report Date: 07/01/2020 1 |
| Investment Company Report | |||||||||||||||
| NEW RELIC, INC. | |||||||||||||||
| Security | 64829B100 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | NEWR | Meeting Date | 22-Aug-2019 | ||||||||||||
| ISIN | US64829B1008 | Agenda | 935057922 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1. | DIRECTOR | Management | |||||||||||||
| 1 | Caroline W. Carlisle | For | For | ||||||||||||
| 2 | Dan Scholnick | For | For | ||||||||||||
| 3 | James Tolonen | For | For | ||||||||||||
| 2. | To
approve, on an advisory basis, the compensation of the Company's Named Executive Officers as disclosed in the Proxy Statement. |
Management | For | For | |||||||||||
| 3. | To
ratify the selection by the Audit Committee of the Board of Directors of Deloitte & Touche LLP as the independent registered public accounting firm of the Company for its fiscal year ending March 31, 2020. |
Management | For | For | |||||||||||
| NIKE, INC. | |||||||||||||||
| Security | 654106103 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | NKE | Meeting Date | 19-Sep-2019 | ||||||||||||
| ISIN | US6541061031 | Agenda | 935066298 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1. | DIRECTOR | Management | |||||||||||||
| 1 | Alan B. Graf, Jr. | For | For | ||||||||||||
| 2 | Peter B. Henry | For | For | ||||||||||||
| 3 | Michelle A. Peluso | For | For | ||||||||||||
| 2. | To approve executive compensation by an advisory vote. | Management | For | For | |||||||||||
| 3. | To
ratify the appointment of PricewaterhouseCoopers LLP as independent registered public accounting firm. |
Management | For | For | |||||||||||
| THE ESTEE LAUDER COMPANIES INC. | |||||||||||||||
| Security | 518439104 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | EL | Meeting Date | 15-Nov-2019 | ||||||||||||
| ISIN | US5184391044 | Agenda | 935082038 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election
of Class II Director: Ronald S. Lauder Please note an Abstain Vote means a Withhold vote against this director. |
Management | For | For | |||||||||||
| 1B. | Election
of Class II Director: William P. Lauder Please note an Abstain Vote means a Withhold vote against this director. |
Management | For | For | |||||||||||
| 1C. | Election
of Class II Director: Richard D. Parsons Please note an Abstain Vote means a Withhold vote against this director. |
Management | For | For | |||||||||||
| 1D. | Election
of Class II Director: Lynn Forester de Rothschild Please note an Abstain Vote means a Withhold vote against this director. |
Management | For | For | |||||||||||
| 1E. | Election
of Class II Director: Jennifer Tejada Please note an Abstain Vote means a Withhold vote against this director. |
Management | For | For | |||||||||||
| 1F. | Election
of Class II Director: Richard F. Zannino Please note an Abstain Vote means a Withhold vote against this director. |
Management | For | For | |||||||||||
| 2. | Ratification
of appointment of KPMG LLP as independent auditors for the 2020 fiscal year. |
Management | For | For | |||||||||||
| 3. | Advisory vote to approve executive compensation. | Management | For | For | |||||||||||
| 4. | Approval
of The Estée Lauder Companies Inc. Amended and Restated Fiscal 2002 Share Incentive Plan. |
Management | For | For | |||||||||||
| MICROSOFT CORPORATION | |||||||||||||||
| Security | 594918104 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | MSFT | Meeting Date | 04-Dec-2019 | ||||||||||||
| ISIN | US5949181045 | Agenda | 935092849 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: William H. Gates III | Management | For | For | |||||||||||
| 1B. | Election of Director: Reid G. Hoffman | Management | For | For | |||||||||||
| 1C. | Election of Director: Hugh F. Johnston | Management | For | For | |||||||||||
| 1D. | Election of Director: Teri L. List-Stoll | Management | For | For | |||||||||||
| 1E. | Election of Director: Satya Nadella | Management | For | For | |||||||||||
| 1F. | Election of Director: Sandra E. Peterson | Management | For | For | |||||||||||
| 1G. | Election of Director: Penny S. Pritzker | Management | For | For | |||||||||||
| 1H. | Election of Director: Charles W. Scharf | Management | For | For | |||||||||||
| 1I. | Election of Director: Arne M. Sorenson | Management | For | For | |||||||||||
| 1J. | Election of Director: John W. Stanton | Management | For | For | |||||||||||
| 1K. | Election of Director: John W. Thompson | Management | For | For | |||||||||||
| 1L. | Election of Director: Emma Walmsley | Management | For | For | |||||||||||
| 1M. | Election of Director: Padmasree Warrior | Management | For | For | |||||||||||
| 2. | Advisory
vote to approve named executive officer compensation |
Management | For | For | |||||||||||
| 3. | Ratification
of Deloitte & Touche LLP as our independent auditor for fiscal year 2020 |
Management | For | For | |||||||||||
| 4. | Shareholder
Proposal - Report on Employee Representation on Board of Directors |
Shareholder | Against | For | |||||||||||
| 5. | Shareholder Proposal - Report on Gender Pay Gap | Shareholder | Abstain | Against | |||||||||||
| COSTCO WHOLESALE CORPORATION | |||||||||||||||
| Security | 22160K105 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | COST | Meeting Date | 22-Jan-2020 | ||||||||||||
| ISIN | US22160K1051 | Agenda | 935114087 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1. | DIRECTOR | Management | |||||||||||||
| 1 | Susan L. Decker | For | For | ||||||||||||
| 2 | Richard A. Galanti | For | For | ||||||||||||
| 3 | Sally Jewell | For | For | ||||||||||||
| 4 | Charles T. Munger | For | For | ||||||||||||
| 2. | Ratification of selection of independent auditors. | Management | For | For | |||||||||||
| 3. | Approval,
on an advisory basis, of executive compensation. |
Management | For | For | |||||||||||
| 4. | Approval
to amend Articles of Incorporation to permit removal of directors without cause. |
Management | For | For | |||||||||||
| 5. | Shareholder
proposal regarding a director skills matrix and disclosure of director ideological perspectives. |
Shareholder | Against | For | |||||||||||
| VISA INC. | |||||||||||||||
| Security | 92826C839 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | V | Meeting Date | 28-Jan-2020 | ||||||||||||
| ISIN | US92826C8394 | Agenda | 935113807 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: Lloyd A. Carney | Management | For | For | |||||||||||
| 1B. | Election of Director: Mary B. Cranston | Management | For | For | |||||||||||
| 1C. | Election of Director: Francisco Javier Fernández-Carbajal | Management | For | For | |||||||||||
| 1D. | Election of Director: Alfred F. Kelly, Jr. | Management | For | For | |||||||||||
| 1E. | Election of Director: Ramon L. Laguarta | Management | For | For | |||||||||||
| 1F. | Election of Director: John F. Lundgren | Management | For | For | |||||||||||
| 1G. | Election of Director: Robert W. Matschullat | Management | For | For | |||||||||||
| 1H. | Election of Director: Denise M. Morrison | Management | For | For | |||||||||||
| 1I. | Election of Director: Suzanne Nora Johnson | Management | For | For | |||||||||||
| 1J. | Election of Director: John A. C. Swainson | Management | For | For | |||||||||||
| 1K. | Election of Director: Maynard G. Webb, Jr. | Management | For | For | |||||||||||
| 2. | Advisory vote to approve executive compensation. | Management | For | For | |||||||||||
| 3. | Ratification
of the appointment of KPMG LLP as our independent registered public accounting firm for the 2020 fiscal year. |
Management | For | For | |||||||||||
| APPLE INC. | |||||||||||||||
| Security | 037833100 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | AAPL | Meeting Date | 26-Feb-2020 | ||||||||||||
| ISIN | US0378331005 | Agenda | 935121563 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: James Bell | Management | For | For | |||||||||||
| 1B. | Election of Director: Tim Cook | Management | For | For | |||||||||||
| 1C. | Election of Director: Al Gore | Management | For | For | |||||||||||
| 1D. | Election of Director: Andrea Jung | Management | For | For | |||||||||||
| 1E. | Election of Director: Art Levinson | Management | For | For | |||||||||||
| 1F. | Election of Director: Ron Sugar | Management | For | For | |||||||||||
| 1G. | Election of Director: Sue Wagner | Management | For | For | |||||||||||
| 2. | Ratification
of the appointment of Ernst & Young LLP as Apple's independent registered public accounting firm for 2020 |
Management | For | For | |||||||||||
| 3. | Advisory vote to approve executive compensation | Management | For | For | |||||||||||
| 4. | A
shareholder proposal entitled "Shareholder Proxy Access Amendments" |
Shareholder | Against | For | |||||||||||
| 5. | A
shareholder proposal relating to sustainability and executive compensation |
Shareholder | Against | For | |||||||||||
| 6. | A
shareholder proposal relating to policies on freedom of expression |
Shareholder | Abstain | Against | |||||||||||
| THE WALT DISNEY COMPANY | |||||||||||||||
| Security | 254687106 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | DIS | Meeting Date | 11-Mar-2020 | ||||||||||||
| ISIN | US2546871060 | Agenda | 935125648 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: Susan E. Arnold | Management | For | For | |||||||||||
| 1B. | Election of Director: Mary T. Barra | Management | For | For | |||||||||||
| 1C. | Election of Director: Safra A. Catz | Management | For | For | |||||||||||
| 1D. | Election of Director: Francis A. deSouza | Management | For | For | |||||||||||
| 1E. | Election of Director: Michael B.G. Froman | Management | For | For | |||||||||||
| 1F. | Election of Director: Robert A. Iger | Management | For | For | |||||||||||
| 1G. | Election of Director: Maria Elena Lagomasino | Management | For | For | |||||||||||
| 1H. | Election of Director: Mark G. Parker | Management | For | For | |||||||||||
| 1I. | Election of Director: Derica W. Rice | Management | For | For | |||||||||||
| 2. | To
ratify the appointment of PricewaterhouseCoopers LLP as the Company's registered public accountants for fiscal 2020. |
Management | For | For | |||||||||||
| 3. | To
approve the advisory resolution on executive compensation. |
Management | For | For | |||||||||||
| 4. | To
approve an amendment to the Company's Amended and Restated 2011 Stock Incentive Plan. |
Management | Against | Against | |||||||||||
| 5. | Shareholder
proposal requesting an annual report disclosing information regarding the Company's lobbying policies and activities. |
Shareholder | Against | For | |||||||||||
| APPLIED MATERIALS, INC. | |||||||||||||||
| Security | 038222105 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | AMAT | Meeting Date | 12-Mar-2020 | ||||||||||||
| ISIN | US0382221051 | Agenda | 935126258 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: Judy Bruner | Management | For | For | |||||||||||
| 1B. | Election of Director: Xun (Eric) Chen | Management | For | For | |||||||||||
| 1C. | Election of Director: Aart J. de Geus | Management | For | For | |||||||||||
| 1D. | Election of Director: Gary E. Dickerson | Management | For | For | |||||||||||
| 1E. | Election of Director: Stephen R. Forrest | Management | For | For | |||||||||||
| 1F. | Election of Director: Thomas J. Iannotti | Management | For | For | |||||||||||
| 1G. | Election of Director: Alexander A. Karsner | Management | For | For | |||||||||||
| 1H. | Election of Director: Adrianna C. Ma | Management | For | For | |||||||||||
| 1I. | Election of Director: Yvonne McGill | Management | For | For | |||||||||||
| 1J. | Election of Director: Scott A. McGregor | Management | For | For | |||||||||||
| 2. | Approval,
on an advisory basis, of the compensation of Applied Materials' named executive officers for fiscal year 2019. |
Management | For | For | |||||||||||
| 3. | Ratification
of the appointment of KPMG LLP as Applied Materials' independent registered public accounting firm for fiscal year 2020. |
Management | For | For | |||||||||||
| 4. | Approval
of an amendment and restatement of Applied Materials' Certificate of Incorporation to allow shareholders to act by written consent. |
Management | For | For | |||||||||||
| ADOBE INC | |||||||||||||||
| Security | 00724F101 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | ADBE | Meeting Date | 09-Apr-2020 | ||||||||||||
| ISIN | US00724F1012 | Agenda | 935132580 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: Amy Banse | Management | For | For | |||||||||||
| 1B. | Election of Director: Frank Calderoni | Management | For | For | |||||||||||
| 1C. | Election of Director: James Daley | Management | For | For | |||||||||||
| 1D. | Election of Director: Laura Desmond | Management | For | For | |||||||||||
| 1E. | Election of Director: Charles Geschke | Management | For | For | |||||||||||
| 1F. | Election of Director: Shantanu Narayen | Management | For | For | |||||||||||
| 1G. | Election of Director: Kathleen Oberg | Management | For | For | |||||||||||
| 1H. | Election of Director: Dheeraj Pandey | Management | For | For | |||||||||||
| 1I. | Election of Director: David Ricks | Management | For | For | |||||||||||
| 1J. | Election of Director: Daniel Rosensweig | Management | For | For | |||||||||||
| 1K. | Election of Director: John Warnock | Management | For | For | |||||||||||
| 2. | Approve
the 2020 Employee Stock Purchase Plan, which amends and restates the 1997 Employee Stock Purchase Plan. |
Management | For | For | |||||||||||
| 3. | Ratify
the appointment of KPMG LLP as our independent registered public accounting firm for our fiscal year ending on November 27, 2020. |
Management | For | For | |||||||||||
| 4. | Approve,
on an advisory basis, the compensation of our named executive officers. |
Management | For | For | |||||||||||
| 5. | Consider and vote upon one stockholder proposal. | Shareholder | Abstain | Against | |||||||||||
| HONEYWELL INTERNATIONAL INC. | |||||||||||||||
| Security | 438516106 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | HON | Meeting Date | 27-Apr-2020 | ||||||||||||
| ISIN | US4385161066 | Agenda | 935137794 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: Darius Adamczyk | Management | For | For | |||||||||||
| 1B. | Election of Director: Duncan B. Angove | Management | For | For | |||||||||||
| 1C. | Election of Director: William S. Ayer | Management | For | For | |||||||||||
| 1D. | Election of Director: Kevin Burke | Management | For | For | |||||||||||
| 1E. | Election of Director: D. Scott Davis | Management | For | For | |||||||||||
| 1F. | Election of Director: Linnet F. Deily | Management | For | For | |||||||||||
| 1G. | Election of Director: Deborah Flint | Management | For | For | |||||||||||
| 1H. | Election of Director: Judd Gregg | Management | For | For | |||||||||||
| 1I. | Election of Director: Clive Hollick | Management | For | For | |||||||||||
| 1J. | Election of Director: Grace D. Lieblein | Management | For | For | |||||||||||
| 1K. | Election of Director: Raymond T. Odierno | Management | For | For | |||||||||||
| 1L. | Election of Director: George Paz | Management | For | For | |||||||||||
| 1M. | Election of Director: Robin L. Washington | Management | For | For | |||||||||||
| 2. | Advisory Vote to Approve Executive Compensation. | Management | For | For | |||||||||||
| 3. | Approval of Independent Accountants. | Management | For | For | |||||||||||
| 4. | Let Shareholders Vote on Bylaw Amendments. | Shareholder | Against | For | |||||||||||
| 5. | Report on Lobbying Activities and Expenditures. | Shareholder | Abstain | Against | |||||||||||
| UNITED TECHNOLOGIES CORPORATION | |||||||||||||||
| Security | 913017109 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | UTX | Meeting Date | 27-Apr-2020 | ||||||||||||
| ISIN | US9130171096 | Agenda | 935142707 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: Lloyd J. Austin III | Management | For | For | |||||||||||
| 1B. | Election of Director: Gregory J. Hayes | Management | For | For | |||||||||||
| 1C. | Election of Director: Marshall O. Larsen | Management | For | For | |||||||||||
| 1D. | Election of Director: Robert K. (Kelly) Ortberg | Management | For | For | |||||||||||
| 1E. | Election of Director: Margaret L. O'Sullivan | Management | For | For | |||||||||||
| 1F. | Election of Director: Denise L. Ramos | Management | For | For | |||||||||||
| 1G. | Election of Director: Fredric G. Reynolds | Management | For | For | |||||||||||
| 1H. | Election of Director: Brian C. Rogers | Management | For | For | |||||||||||
| 2. | Advisory Vote to Approve Executive Compensation. | Management | For | For | |||||||||||
| 3. | Appoint
PricewaterhouseCoopers LLP to Serve as Independent Auditor for 2020. |
Management | For | For | |||||||||||
| 4. | Shareowner
Proposal regarding a Simple Majority Vote Requirement. |
Shareholder | For | ||||||||||||
| 5. | Shareowner
Proposal to Create a Committee to Prepare a Report regarding the Impact of Plant Closure on Communities and Alternatives to Help Mitigate the Effects. |
Shareholder | Abstain | Against | |||||||||||
| DANAHER CORPORATION | |||||||||||||||
| Security | 235851102 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | DHR | Meeting Date | 05-May-2020 | ||||||||||||
| ISIN | US2358511028 | Agenda | 935150615 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: Linda Hefner Filler | Management | For | For | |||||||||||
| 1B. | Election of Director: Thomas P. Joyce, Jr. | Management | For | For | |||||||||||
| 1C. | Election of Director: Teri List-Stoll | Management | For | For | |||||||||||
| 1D. | Election of Director: Walter G. Lohr, Jr. | Management | For | For | |||||||||||
| 1E. | Election of Director: Jessica L. Mega, MD, MPH | Management | For | For | |||||||||||
| 1F. | Election of Director: Pardis C. Sabeti, MD, D. Phil. | Management | For | For | |||||||||||
| 1G. | Election of Director: Mitchell P. Rales | Management | For | For | |||||||||||
| 1H. | Election of Director: Steven M. Rales | Management | For | For | |||||||||||
| 1I. | Election of Director: John T. Schwieters | Management | For | For | |||||||||||
| 1J. | Election of Director: Alan G. Spoon | Management | For | For | |||||||||||
| 1K. | Election of Director: Raymond C. Stevens, Ph.D. | Management | For | For | |||||||||||
| 1L. | Election of Director: Elias A. Zerhouni, MD | Management | For | For | |||||||||||
| 2. | To
ratify the selection of Ernst & Young LLP as Danaher's independent registered public accounting firm for the year ending December 31, 2020 |
Management | For | For | |||||||||||
| 3. | To
approve on an advisory basis the Company's named executive officer compensation |
Management | For | For | |||||||||||
| 4. | To
act upon a shareholder proposal requesting that Danaher amend its governing documents to reduce the percentage of shares required for shareholders to call a special meeting of shareholders from 25% to 10% |
Shareholder | Against | For | |||||||||||
| BRISTOL-MYERS SQUIBB COMPANY | |||||||||||||||
| Security | 110122108 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | BMY | Meeting Date | 05-May-2020 | ||||||||||||
| ISIN | US1101221083 | Agenda | 935151681 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: Peter J. Arduini | Management | For | For | |||||||||||
| 1B. | Election of Director: Robert Bertolini | Management | For | For | |||||||||||
| 1C. | Election of Director: Michael W. Bonney | Management | For | For | |||||||||||
| 1D. | Election of Director: Giovanni Caforio, M.D. | Management | For | For | |||||||||||
| 1E. | Election of Director: Matthew W. Emmens | Management | For | For | |||||||||||
| 1F. | Election of Director: Julia A. Haller, M.D. | Management | For | For | |||||||||||
| 1G. | Election of Director: Dinesh C. Paliwal | Management | For | For | |||||||||||
| 1H. | Election of Director: Theodore R. Samuels | Management | For | For | |||||||||||
| 1I. | Election of Director: Vicki L. Sato, Ph.D. | Management | For | For | |||||||||||
| 1J. | Election of Director: Gerald L. Storch | Management | For | For | |||||||||||
| 1K. | Election of Director: Karen H. Vousden, Ph.D. | Management | For | For | |||||||||||
| 1L. | Election of Director: Phyllis R. Yale | Management | For | For | |||||||||||
| 2. | Advisory
vote to approve the compensation of our Named Executive Officers. |
Management | For | For | |||||||||||
| 3. | Ratification
of the appointment of an independent registered public accounting firm. |
Management | For | For | |||||||||||
| 4. | Shareholder Proposal on Separate Chair & CEO. | Shareholder | Against | For | |||||||||||
| 5. | Shareholder
Proposal on Shareholder Right to Act by Written Consent. |
Shareholder | Against | For | |||||||||||
| PEPSICO, INC. | |||||||||||||||
| Security | 713448108 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | PEP | Meeting Date | 06-May-2020 | ||||||||||||
| ISIN | US7134481081 | Agenda | 935148901 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: Shona L. Brown | Management | For | For | |||||||||||
| 1B. | Election of Director: Cesar Conde | Management | For | For | |||||||||||
| 1C. | Election of Director: Ian Cook | Management | For | For | |||||||||||
| 1D. | Election of Director: Dina Dublon | Management | For | For | |||||||||||
| 1E. | Election of Director: Richard W. Fisher | Management | For | For | |||||||||||
| 1F. | Election of Director: Michelle Gass | Management | For | For | |||||||||||
| 1G. | Election of Director: Ramon L. Laguarta | Management | For | For | |||||||||||
| 1H. | Election of Director: David C. Page | Management | For | For | |||||||||||
| 1I. | Election of Director: Robert C. Pohlad | Management | For | For | |||||||||||
| 1J. | Election of Director: Daniel Vasella | Management | For | For | |||||||||||
| 1K. | Election of Director: Darren Walker | Management | For | For | |||||||||||
| 1L. | Election of Director: Alberto Weisser | Management | For | For | |||||||||||
| 2. | Ratification
of the appointment of KPMG LLP as the Company's independent registered public accounting firm for fiscal year 2020. |
Management | For | For | |||||||||||
| 3. | Advisory
approval of the Company's executive compensation. |
Management | For | For | |||||||||||
| 4. | Shareholder
Proposal - Reduce Ownership Threshold to Call Special Shareholder Meetings. |
Shareholder | Against | For | |||||||||||
| 5. | SHAREHOLDER
PROPOSAL - REPORT ON SUGAR AND PUBLIC HEALTH. |
Shareholder | Against | For | |||||||||||
| EDWARDS LIFESCIENCES CORPORATION | |||||||||||||||
| Security | 28176E108 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | EW | Meeting Date | 07-May-2020 | ||||||||||||
| ISIN | US28176E1082 | Agenda | 935151845 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: Michael A. Mussallem | Management | For | For | |||||||||||
| 1B. | Election of Director: Kieran T. Gallahue | Management | For | For | |||||||||||
| 1C. | Election of Director: Leslie S. Heisz | Management | For | For | |||||||||||
| 1D. | Election of Director: William J. Link, Ph.D. | Management | For | For | |||||||||||
| 1E. | Election of Director: Steven R. Loranger | Management | For | For | |||||||||||
| 1F. | Election of Director: Martha H. Marsh | Management | For | For | |||||||||||
| 1G. | Election of Director: Ramona Sequeira | Management | For | For | |||||||||||
| 1H. | Election of Director: Nicholas J. Valeriani | Management | For | For | |||||||||||
| 2. | ADVISORY
VOTE TO APPROVE COMPENSATION OF NAMED EXECUTIVE OFFICERS. |
Management | For | For | |||||||||||
| 3. | APPROVAL
OF THE 2020 NONEMPLOYEE DIRECTORS STOCK INCENTIVE PROGRAM. |
Management | For | For | |||||||||||
| 4. | APPROVAL
OF AMENDMENT OF THE CERTIFICATE OF INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF COMMON STOCK FOR THE PURPOSE OF EFFECTING A THREE-FOR-ONE STOCK SPLIT. |
Management | For | For | |||||||||||
| 5. | RATIFICATION
OF APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. |
Management | For | For | |||||||||||
| 6. | ADVISORY
VOTE ON A STOCKHOLDER PROPOSAL REGARDING ACTION BY WRITTEN CONSENT. |
Shareholder | Against | For | |||||||||||
| CROWN CASTLE INTERNATIONAL CORP | |||||||||||||||
| Security | 22822V101 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | CCI | Meeting Date | 14-May-2020 | ||||||||||||
| ISIN | US22822V1017 | Agenda | 935157823 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: P. Robert Bartolo | Management | For | For | |||||||||||
| 1B. | Election of Director: Jay A. Brown | Management | For | For | |||||||||||
| 1C. | Election of Director: Cindy Christy | Management | For | For | |||||||||||
| 1D. | Election of Director: Ari Q. Fitzgerald | Management | For | For | |||||||||||
| 1E. | Election of Director: Robert E. Garrison II | Management | For | For | |||||||||||
| 1F. | Election of Director: Andrea J. Goldsmith | Management | For | For | |||||||||||
| 1G. | Election of Director: Lee W. Hogan | Management | For | For | |||||||||||
| 1H. | Election of Director: Edward C. Hutcheson, Jr. | Management | For | For | |||||||||||
| 1I. | Election of Director: J. Landis Martin | Management | For | For | |||||||||||
| 1J. | Election of Director: Robert F. McKenzie | Management | For | For | |||||||||||
| 1K. | Election of Director: Anthony J. Melone | Management | For | For | |||||||||||
| 1L. | Election of Director: W. Benjamin Moreland | Management | For | For | |||||||||||
| 2. | The
ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accountants for fiscal year 2020. |
Management | For | For | |||||||||||
| 3. | The
non-binding, advisory vote to approve the compensation of the Company's named executive officers. |
Management | For | For | |||||||||||
| FISERV, INC. | |||||||||||||||
| Security | 337738108 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | FISV | Meeting Date | 14-May-2020 | ||||||||||||
| ISIN | US3377381088 | Agenda | 935160464 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1. | DIRECTOR | Management | |||||||||||||
| 1 | Frank J. Bisignano | For | For | ||||||||||||
| 2 | Alison Davis | For | For | ||||||||||||
| 3 | Henrique de Castro | For | For | ||||||||||||
| 4 | Harry F. DiSimone | For | For | ||||||||||||
| 5 | Dennis F. Lynch | For | For | ||||||||||||
| 6 | Heidi G. Miller | For | For | ||||||||||||
| 7 | Scott C. Nuttall | For | For | ||||||||||||
| 8 | Denis J. O'Leary | For | For | ||||||||||||
| 9 | Doyle R. Simons | For | For | ||||||||||||
| 10 | Jeffery W. Yabuki | For | For | ||||||||||||
| 2. | To
approve, on an advisory basis, the compensation of the named executive officers of Fiserv, Inc. |
Management | For | For | |||||||||||
| 3. | To
ratify the appointment of Deloitte & Touche LLP as the independent registered public accounting firm of Fiserv, Inc. for 2020. |
Management | For | For | |||||||||||
| 4. | A
shareholder proposal requesting the company provide political spending disclosure. |
Shareholder | Abstain | Against | |||||||||||
| AMERICAN TOWER CORPORATION | |||||||||||||||
| Security | 03027X100 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | AMT | Meeting Date | 18-May-2020 | ||||||||||||
| ISIN | US03027X1000 | Agenda | 935169450 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: Thomas A. Bartlett | Management | For | For | |||||||||||
| 1B. | Election of Director: Raymond P. Dolan | Management | For | For | |||||||||||
| 1C. | Election of Director: Robert D. Hormats | Management | For | For | |||||||||||
| 1D. | Election of Director: Gustavo Lara Cantu | Management | For | For | |||||||||||
| 1E. | Election of Director: Grace D. Lieblein | Management | For | For | |||||||||||
| 1F. | Election of Director: Craig Macnab | Management | For | For | |||||||||||
| 1G. | Election of Director: JoAnn A. Reed | Management | For | For | |||||||||||
| 1H. | Election of Director: Pamela D.A. Reeve | Management | For | For | |||||||||||
| 1I. | Election of Director: David E. Sharbutt | Management | For | For | |||||||||||
| 1J. | Election of Director: Bruce L. Tanner | Management | For | For | |||||||||||
| 1K. | Election of Director: Samme L. Thompson | Management | For | For | |||||||||||
| 2. | To
ratify the selection of Deloitte & Touche LLP as the Company's independent registered public accounting firm for 2020. |
Management | For | For | |||||||||||
| 3. | To
approve, on an advisory basis, the Company's executive compensation. |
Management | For | For | |||||||||||
| 4. | To
require periodic reports on political contributions and expenditures. |
Shareholder | Abstain | Against | |||||||||||
| 5. | To
amend the bylaws to reduce the ownership threshold required to call a special meeting of the stockholders. |
Shareholder | Against | For | |||||||||||
| ZOETIS INC. | |||||||||||||||
| Security | 98978V103 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | ZTS | Meeting Date | 20-May-2020 | ||||||||||||
| ISIN | US98978V1035 | Agenda | 935169905 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: Gregory Norden | Management | For | For | |||||||||||
| 1B. | Election of Director: Louise M. Parent | Management | For | For | |||||||||||
| 1C. | Election of Director: Kristin C. Peck | Management | For | For | |||||||||||
| 1D. | Election of Director: Robert W. Scully | Management | For | For | |||||||||||
| 2. | Advisory
vote to approve our executive compensation (Say on Pay). |
Management | For | For | |||||||||||
| 3. | Advisory
vote on the frequency of future advisory votes on executive compensation (Say on Pay frequency). |
Management | 1 Year | For | |||||||||||
| 4. | Ratification
of appointment of KPMG LLP as our independent registered public accounting firm for 2020. |
Management | For | For | |||||||||||
| THERMO FISHER SCIENTIFIC INC. | |||||||||||||||
| Security | 883556102 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | TMO | Meeting Date | 20-May-2020 | ||||||||||||
| ISIN | US8835561023 | Agenda | 935170136 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: Marc N. Casper | Management | For | For | |||||||||||
| 1B. | Election of Director: Nelson J. Chai | Management | For | For | |||||||||||
| 1C. | Election of Director: C. Martin Harris | Management | For | For | |||||||||||
| 1D. | Election of Director: Tyler Jacks | Management | For | For | |||||||||||
| 1E. | Election of Director: Judy C. Lewent | Management | For | For | |||||||||||
| 1F. | Election of Director: Thomas J. Lynch | Management | For | For | |||||||||||
| 1G. | Election of Director: Jim P. Manzi | Management | For | For | |||||||||||
| 1H. | Election of Director: James C. Mullen | Management | For | For | |||||||||||
| 1I. | Election of Director: Lars R. Sørensen | Management | For | For | |||||||||||
| 1J. | Election of Director: Debora L. Spar | Management | For | For | |||||||||||
| 1K. | Election of Director: Scott M. Sperling | Management | For | For | |||||||||||
| 1L. | Election of Director: Dion J. Weisler | Management | For | For | |||||||||||
| 2. | An
advisory vote to approve named executive officer compensation. |
Management | For | For | |||||||||||
| 3. | Ratification
of the Audit Committee's selection of PricewaterhouseCoopers LLP as the Company's independent auditors for 2020. |
Management | For | For | |||||||||||
| PAYPAL HOLDINGS, INC. | |||||||||||||||
| Security | 70450Y103 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | PYPL | Meeting Date | 21-May-2020 | ||||||||||||
| ISIN | US70450Y1038 | Agenda | 935170869 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: Rodney C. Adkins | Management | For | For | |||||||||||
| 1B. | Election of Director: Jonathan Christodoro | Management | For | For | |||||||||||
| 1C. | Election of Director: John J. Donahoe | Management | For | For | |||||||||||
| 1D. | Election of Director: David W. Dorman | Management | For | For | |||||||||||
| 1E. | Election of Director: Belinda J. Johnson | Management | For | For | |||||||||||
| 1F. | Election of Director: Gail J. McGovern | Management | For | For | |||||||||||
| 1G. | Election of Director: Deborah M. Messemer | Management | For | For | |||||||||||
| 1H. | Election of Director: David M. Moffett | Management | For | For | |||||||||||
| 1I. | Election of Director: Ann M. Sarnoff | Management | For | For | |||||||||||
| 1J. | Election of Director: Daniel H. Schulman | Management | For | For | |||||||||||
| 1K. | Election of Director: Frank D. Yeary | Management | For | For | |||||||||||
| 2. | Advisory
vote to approve named executive officer compensation. |
Management | For | For | |||||||||||
| 3. | Ratification
of the appointment of PricewaterhouseCoopers LLP as our independent auditor for 2020. |
Management | For | For | |||||||||||
| 4. | Stockholder
Proposal - Stockholder right to act by written consent. |
Shareholder | Against | For | |||||||||||
| 5. | Stockholder
Proposal - Human and indigenous peoples' rights. |
Shareholder | Abstain | Against | |||||||||||
| MCDONALD'S CORPORATION | |||||||||||||||
| Security | 580135101 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | MCD | Meeting Date | 21-May-2020 | ||||||||||||
| ISIN | US5801351017 | Agenda | 935171190 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election
of Director for a one-year term expiring in 2021: Lloyd Dean |
Management | For | For | |||||||||||
| 1B. | Election
of Director for a one-year term expiring in 2021: Robert Eckert |
Management | For | For | |||||||||||
| 1C. | Election
of Director for a one-year term expiring in 2021: Catherine Engelbert |
Management | For | For | |||||||||||
| 1D. | Election
of Director for a one-year term expiring in 2021: Margaret Georgiadis |
Management | For | For | |||||||||||
| 1E. | Election
of Director for a one-year term expiring in 2021: Enrique Hernandez, Jr. |
Management | For | For | |||||||||||
| 1F. | Election
of Director for a one-year term expiring in 2021: Christopher Kempczinski |
Management | For | For | |||||||||||
| 1G. | Election
of Director for a one-year term expiring in 2021: Richard Lenny |
Management | For | For | |||||||||||
| 1H. | Election
of Director for a one-year term expiring in 2021: John Mulligan |
Management | For | For | |||||||||||
| 1I. | Election
of Director for a one-year term expiring in 2021: Sheila Penrose |
Management | For | For | |||||||||||
| 1J. | Election
of Director for a one-year term expiring in 2021: John Rogers, Jr. |
Management | For | For | |||||||||||
| 1K. | Election
of Director for a one-year term expiring in 2021: Paul Walsh |
Management | For | For | |||||||||||
| 1L. | Election
of Director for a one-year term expiring in 2021: Miles White |
Management | For | For | |||||||||||
| 2. | Advisory vote to approve executive compensation. | Management | For | For | |||||||||||
| 3. | Advisory
vote to approve the appointment of Ernst & Young LLP as independent auditor for 2020. |
Management | For | For | |||||||||||
| 4. | Vote
to approve the Company's Amended and Restated 2012 Omnibus Stock Ownership Plan. |
Management | For | For | |||||||||||
| 5. | Advisory
vote on a shareholder proposal requesting to change the thresholds to call special shareholder meetings, if properly presented. |
Shareholder | Against | For | |||||||||||
| 6. | Advisory
vote on a shareholder proposal requesting the Board issue a report on sugar and public health, if properly presented. |
Shareholder | Against | For | |||||||||||
| THE HOME DEPOT, INC. | |||||||||||||||
| Security | 437076102 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | HD | Meeting Date | 21-May-2020 | ||||||||||||
| ISIN | US4370761029 | Agenda | 935172130 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: Gerard J. Arpey | Management | For | For | |||||||||||
| 1B. | Election of Director: Ari Bousbib | Management | For | For | |||||||||||
| 1C. | Election of Director: Jeffery H. Boyd | Management | For | For | |||||||||||
| 1D. | Election of Director: Gregory D. Brenneman | Management | For | For | |||||||||||
| 1E. | Election of Director: J. Frank Brown | Management | For | For | |||||||||||
| 1F. | Election of Director: Albert P. Carey | Management | For | For | |||||||||||
| 1G. | Election of Director: Helena B. Foulkes | Management | For | For | |||||||||||
| 1H. | Election of Director: Linda R. Gooden | Management | For | For | |||||||||||
| 1I. | Election of Director: Wayne M. Hewett | Management | For | For | |||||||||||
| 1J. | Election of Director: Manuel Kadre | Management | For | For | |||||||||||
| 1K. | Election of Director: Stephanie C. Linnartz | Management | For | For | |||||||||||
| 1L. | Election of Director: Craig A. Menear | Management | For | For | |||||||||||
| 2. | Ratification of the Appointment of KPMG LLP | Management | For | For | |||||||||||
| 3. | Advisory
Vote to Approve Executive Compensation ("Say-on-Pay") |
Management | For | For | |||||||||||
| 4. | Shareholder
Proposal Regarding Amendment of Shareholder Written Consent Right |
Shareholder | Against | For | |||||||||||
| 5. | Shareholder Proposal Regarding EEO-1 Disclosure | Shareholder | Abstain | Against | |||||||||||
| 6. | Shareholder
Proposal Regarding Executive Ownership Guidelines |
Shareholder | Against | For | |||||||||||
| 7. | Shareholder
Proposal Regarding Electioneering Contributions Congruency Analysis |
Shareholder | Abstain | Against | |||||||||||
| NEXTERA ENERGY, INC. | |||||||||||||||
| Security | 65339F101 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | NEE | Meeting Date | 21-May-2020 | ||||||||||||
| ISIN | US65339F1012 | Agenda | 935172661 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: Sherry S. Barrat | Management | For | For | |||||||||||
| 1B. | Election of Director: James L. Camaren | Management | For | For | |||||||||||
| 1C. | Election of Director: Kenneth B. Dunn | Management | For | For | |||||||||||
| 1D. | Election of Director: Naren K. Gursahaney | Management | For | For | |||||||||||
| 1E. | Election of Director: Kirk S. Hachigian | Management | For | For | |||||||||||
| 1F. | Election of Director: Toni Jennings | Management | For | For | |||||||||||
| 1G. | Election of Director: Amy B. Lane | Management | For | For | |||||||||||
| 1H. | Election of Director: David L. Porges | Management | For | For | |||||||||||
| 1I. | Election of Director: James L. Robo | Management | For | For | |||||||||||
| 1J. | Election of Director: Rudy E. Schupp | Management | For | For | |||||||||||
| 1K. | Election of Director: John L. Skolds | Management | For | For | |||||||||||
| 1L. | Election of Director: William H. Swanson | Management | For | For | |||||||||||
| 1M. | Election of Director: Darryl L. Wilson | Management | For | For | |||||||||||
| 2. | Ratification
of appointment of Deloitte & Touche LLP as NextEra Energy's independent registered public accounting firm for 2020 |
Management | For | For | |||||||||||
| 3. | Approval,
by non-binding advisory vote, of NextEra Energy's compensation of its named executive officers as disclosed in the proxy statement |
Management | For | For | |||||||||||
| 4. | A
proposal entitled "Political Contributions Disclosure" to request semiannual reports disclosing political contribution policies and expenditures |
Shareholder | Against | For | |||||||||||
| 5. | A
proposal entitled "Right to Act by Written Consent" to request action by written consent of shareholders |
Shareholder | Against | For | |||||||||||
| MERCK & CO., INC. | |||||||||||||||
| Security | 58933Y105 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | MRK | Meeting Date | 26-May-2020 | ||||||||||||
| ISIN | US58933Y1055 | Agenda | 935176431 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: Leslie A. Brun | Management | For | For | |||||||||||
| 1B. | Election of Director: Thomas R. Cech | Management | For | For | |||||||||||
| 1C. | Election of Director: Mary Ellen Coe | Management | For | For | |||||||||||
| 1D. | Election of Director: Pamela J. Craig | Management | For | For | |||||||||||
| 1E. | Election of Director: Kenneth C. Frazier | Management | For | For | |||||||||||
| 1F. | Election of Director: Thomas H. Glocer | Management | For | For | |||||||||||
| 1G. | Election of Director: Risa Lavizzo-Mourey | Management | For | For | |||||||||||
| 1H. | Election of Director: Paul B. Rothman | Management | For | For | |||||||||||
| 1I. | Election of Director: Patricia F. Russo | Management | For | For | |||||||||||
| 1J. | Election of Director: Christine E. Seidman | Management | For | For | |||||||||||
| 1K. | Election of Director: Inge G. Thulin | Management | For | For | |||||||||||
| 1L. | Election of Director: Kathy J. Warden | Management | For | For | |||||||||||
| 1M. | Election of Director: Peter C. Wendell | Management | For | For | |||||||||||
| 2. | Non-binding
advisory vote to approve the compensation of our named executive officers. |
Management | For | For | |||||||||||
| 3. | Ratification
of the appointment of the Company's independent registered public accounting firm for 2020. |
Management | For | For | |||||||||||
| 4. | Shareholder
proposal concerning shareholder right to act by written consent. |
Shareholder | Against | For | |||||||||||
| 5. | Shareholder
proposal regarding allocation of corporate tax savings. |
Shareholder | Against | For | |||||||||||
| FACEBOOK, INC. | |||||||||||||||
| Security | 30303M102 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | FB | Meeting Date | 27-May-2020 | ||||||||||||
| ISIN | US30303M1027 | Agenda | 935178221 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1. | DIRECTOR | Management | |||||||||||||
| 1 | Peggy Alford | For | For | ||||||||||||
| 2 | Marc L. Andreessen | For | For | ||||||||||||
| 3 | Andrew W. Houston | For | For | ||||||||||||
| 4 | Nancy Killefer | For | For | ||||||||||||
| 5 | Robert M. Kimmitt | For | For | ||||||||||||
| 6 | Sheryl K. Sandberg | For | For | ||||||||||||
| 7 | Peter A. Thiel | For | For | ||||||||||||
| 8 | Tracey T. Travis | For | For | ||||||||||||
| 9 | Mark Zuckerberg | For | For | ||||||||||||
| 2. | To
ratify the appointment of Ernst & Young LLP as Facebook, Inc.'s independent registered public accounting firm for the fiscal year ending December 31, 2020. |
Management | For | For | |||||||||||
| 3. | To approve the director compensation policy. | Management | For | For | |||||||||||
| 4. | A
stockholder proposal regarding change in stockholder voting. |
Shareholder | Against | For | |||||||||||
| 5. | A stockholder proposal regarding an independent chair. | Shareholder | Against | For | |||||||||||
| 6. | A
stockholder proposal regarding majority voting for directors. |
Shareholder | Against | For | |||||||||||
| 7. | A stockholder proposal regarding political advertising. | Shareholder | Abstain | Against | |||||||||||
| 8. | A
stockholder proposal regarding human/civil rights expert on board. |
Shareholder | Abstain | Against | |||||||||||
| 9. | A
stockholder proposal regarding report on civil and human rights risks. |
Shareholder | Abstain | Against | |||||||||||
| 10. | A stockholder proposal regarding child exploitation. | Shareholder | Abstain | Against | |||||||||||
| 11. | A
stockholder proposal regarding median gender/racial pay gap. |
Shareholder | Abstain | Against | |||||||||||
| COUPA SOFTWARE INCORPORATED | |||||||||||||||
| Security | 22266L106 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | COUP | Meeting Date | 27-May-2020 | ||||||||||||
| ISIN | US22266L1061 | Agenda | 935186139 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1. | DIRECTOR | Management | |||||||||||||
| 1 | Scott Thompson | For | For | ||||||||||||
| 2. | Ratify
the appointment of Ernst & Young LLP as independent registered public accounting firm for fiscal year ending January 31, 2021. |
Management | For | For | |||||||||||
| 3. | Advisory
(non-binding) vote to approve named executive officer compensation. |
Management | For | For | |||||||||||
| AMAZON.COM, INC. | |||||||||||||||
| Security | 023135106 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | AMZN | Meeting Date | 27-May-2020 | ||||||||||||
| ISIN | US0231351067 | Agenda | 935186305 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of director: Jeffrey P. Bezos | Management | For | For | |||||||||||
| 1B. | Election of director: Rosalind G. Brewer | Management | For | For | |||||||||||
| 1C. | Election of director: Jamie S. Gorelick | Management | For | For | |||||||||||
| 1D. | Election of director: Daniel P. Huttenlocher | Management | For | For | |||||||||||
| 1E. | Election of director: Judith A. McGrath | Management | For | For | |||||||||||
| 1F. | Election of director: Indra K. Nooyi | Management | For | For | |||||||||||
| 1G. | Election of director: Jonathan J. Rubinstein | Management | For | For | |||||||||||
| 1H. | Election of director: Thomas O. Ryder | Management | For | For | |||||||||||
| 1I. | Election of director: Patricia Q. Stonesifer | Management | For | For | |||||||||||
| 1J. | Election of director: Wendell P. Weeks | Management | For | For | |||||||||||
| 2. | RATIFICATION
OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS |
Management | For | For | |||||||||||
| 3. | ADVISORY
VOTE TO APPROVE EXECUTIVE COMPENSATION |
Management | For | For | |||||||||||
| 4. | APPROVAL
OF AMENDMENT TO RESTATED CERTIFICATE OF INCORPORATION TO LOWER STOCK OWNERSHIP THRESHOLD FOR SHAREHOLDERS TO REQUEST A SPECIAL MEETING |
Management | For | For | |||||||||||
| 5. | SHAREHOLDER
PROPOSAL REQUESTING A REPORT ON EFFECTS OF FOOD WASTE |
Shareholder | Abstain | Against | |||||||||||
| 6. | SHAREHOLDER
PROPOSAL REQUESTING A REPORT ON CUSTOMER USE OF CERTAIN TECHNOLOGIES |
Shareholder | Abstain | Against | |||||||||||
| 7. | SHAREHOLDER
PROPOSAL REQUESTING A REPORT ON POTENTIAL CUSTOMER MISUSE OF CERTAIN TECHNOLOGIES |
Shareholder | Abstain | Against | |||||||||||
| 8. | SHAREHOLDER
PROPOSAL REQUESTING A REPORT ON EFFORTS TO RESTRICT CERTAIN PRODUCTS |
Shareholder | Abstain | Against | |||||||||||
| 9. | SHAREHOLDER
PROPOSAL REQUESTING A MANDATORY INDEPENDENT BOARD CHAIR POLICY |
Shareholder | Against | For | |||||||||||
| 10. | SHAREHOLDER
PROPOSAL REQUESTING AN ALTERNATIVE REPORT ON GENDER/RACIAL PAY |
Shareholder | Abstain | Against | |||||||||||
| 11. | SHAREHOLDER
PROPOSAL REQUESTING A REPORT ON CERTAIN COMMUNITY IMPACTS |
Shareholder | Abstain | Against | |||||||||||
| 12. | SHAREHOLDER
PROPOSAL REQUESTING A REPORT ON VIEWPOINT DISCRIMINATION |
Shareholder | Abstain | Against | |||||||||||
| 13. | SHAREHOLDER
PROPOSAL REQUESTING A REPORT ON PROMOTION DATA |
Shareholder | Abstain | Against | |||||||||||
| 14. | SHAREHOLDER
PROPOSAL REQUESTING AN ADDITIONAL REDUCTION IN THRESHOLD FOR CALLING SPECIAL SHAREHOLDER MEETINGS |
Shareholder | Against | For | |||||||||||
| 15. | SHAREHOLDER
PROPOSAL REQUESTING A SPECIFIC SUPPLY CHAIN REPORT FORMAT |
Shareholder | Abstain | Against | |||||||||||
| 16. | SHAREHOLDER
PROPOSAL REQUESTING ADDITIONAL REPORTING ON LOBBYING |
Shareholder | Abstain | Against | |||||||||||
| FIDELITY NAT'L INFORMATION SERVICES,INC. | |||||||||||||||
| Security | 31620M106 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | FIS | Meeting Date | 28-May-2020 | ||||||||||||
| ISIN | US31620M1062 | Agenda | 935171203 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: Lee Adrean | Management | For | For | |||||||||||
| 1B. | Election of Director: Ellen R. Alemany | Management | For | For | |||||||||||
| 1C. | Election of Director: Lisa A. Hook | Management | For | For | |||||||||||
| 1D. | Election of Director: Keith W. Hughes | Management | For | For | |||||||||||
| 1E. | Election of Director: Gary L. Lauer | Management | For | For | |||||||||||
| 1F. | Election of Director: Gary A. Norcross | Management | For | For | |||||||||||
| 1G. | Election of Director: Louise M. Parent | Management | For | For | |||||||||||
| 1H. | Election of Director: Brian T. Shea | Management | For | For | |||||||||||
| 1I. | Election of Director: James B. Stallings, Jr. | Management | For | For | |||||||||||
| 1J. | Election of Director: Jeffrey E. Stiefler | Management | For | For | |||||||||||
| 2. | Advisory
vote on Fidelity National Information Services, Inc. executive compensation. |
Management | For | For | |||||||||||
| 3. | To
ratify the appointment of KPMG LLP as our independent registered public accounting firm for 2020. |
Management | For | For | |||||||||||
| UNITEDHEALTH GROUP INCORPORATED | |||||||||||||||
| Security | 91324P102 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | UNH | Meeting Date | 01-Jun-2020 | ||||||||||||
| ISIN | US91324P1021 | Agenda | 935188931 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: Richard T. Burke | Management | For | For | |||||||||||
| 1B. | Election of Director: Timothy P. Flynn | Management | For | For | |||||||||||
| 1C. | Election of Director: Stephen J. Hemsley | Management | For | For | |||||||||||
| 1D. | Election of Director: Michele J. Hooper | Management | For | For | |||||||||||
| 1E. | Election of Director: F. William McNabb III | Management | For | For | |||||||||||
| 1F. | Election of Director: Valerie C. Montgomery Rice, M.D. | Management | For | For | |||||||||||
| 1G. | Election of Director: John H. Noseworthy, M.D. | Management | For | For | |||||||||||
| 1H. | Election of Director: Glenn M. Renwick | Management | For | For | |||||||||||
| 1I. | Election of Director: David S. Wichmann | Management | For | For | |||||||||||
| 1J. | Election of Director: Gail R. Wilensky, Ph.D. | Management | For | For | |||||||||||
| 2. | Advisory
approval of the Company's executive compensation. |
Management | For | For | |||||||||||
| 3. | Ratification
of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm for the Company for the year ending December 31, 2020. |
Management | For | For | |||||||||||
| 4. | Approval
of the UnitedHealth Group 2020 Stock Incentive Plan. |
Management | Against | Against | |||||||||||
| 5. | If
properly presented at the 2020 Annual Meeting of Shareholders, the shareholder proposal set forth in the proxy statement requesting any material amendment to the Company's Bylaws be subject to a non-binding shareholder vote. |
Shareholder | Against | For | |||||||||||
| ALPHABET INC. | |||||||||||||||
| Security | 02079K305 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | GOOGL | Meeting Date | 03-Jun-2020 | ||||||||||||
| ISIN | US02079K3059 | Agenda | 935196762 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1. | DIRECTOR | Management | |||||||||||||
| 1 | Larry Page | For | For | ||||||||||||
| 2 | Sergey Brin | For | For | ||||||||||||
| 3 | Sundar Pichai | For | For | ||||||||||||
| 4 | John L. Hennessy | For | For | ||||||||||||
| 5 | Frances H. Arnold | For | For | ||||||||||||
| 6 | L. John Doerr | For | For | ||||||||||||
| 7 | Roger W. Ferguson, Jr. | For | For | ||||||||||||
| 8 | Ann Mather | For | For | ||||||||||||
| 9 | Alan R. Mulally | For | For | ||||||||||||
| 10 | K. Ram Shriram | For | For | ||||||||||||
| 11 | Robin L. Washington | For | For | ||||||||||||
| 2. | Ratification
of the appointment of Ernst & Young LLP as Alphabet's independent registered public accounting firm for the fiscal year ending December 31, 2020. |
Management | For | For | |||||||||||
| 3. | An
amendment to Alphabet's Amended and Restated 2012 Stock Plan to increase the share reserve by 8,500,000 shares of Class C capital stock. |
Management | For | For | |||||||||||
| 4. | Advisory
vote to approve named executive officer compensation. |
Management | For | For | |||||||||||
| 5. | A
stockholder proposal regarding equal shareholder voting, if properly presented at the meeting. |
Shareholder | Against | For | |||||||||||
| 6. | A
stockholder proposal regarding a report on arbitration of employment-related claims, if properly presented at the meeting. |
Shareholder | Abstain | Against | |||||||||||
| 7. | A
stockholder proposal regarding the establishment of a human rights risk oversight committee, if properly presented at the meeting. |
Shareholder | Abstain | Against | |||||||||||
| 8. | A
stockholder proposal regarding non-binding vote on amendment of bylaws, if properly presented at the meeting. |
Shareholder | Against | For | |||||||||||
| 9. | A
stockholder proposal regarding a report on sustainability metrics, if properly presented at the meeting. |
Shareholder | Abstain | Against | |||||||||||
| 10. | A
stockholder proposal regarding a report on takedown requests, if properly presented at the meeting. |
Shareholder | Abstain | Against | |||||||||||
| 11. | A
stockholder proposal regarding majority vote for election of directors, if properly presented at the meeting. |
Shareholder | Against | For | |||||||||||
| 12. | A
stockholder proposal regarding a report on gender/racial pay equity, if properly presented at the meeting. |
Shareholder | Abstain | Against | |||||||||||
| 13. | A
stockholder proposal regarding the nomination of human rights and/or civil rights expert to the board, if properly presented at the meeting. |
Shareholder | Abstain | Against | |||||||||||
| 14. | A
stockholder proposal regarding a report on whistleblower policies and practices, if properly presented at the meeting |
Shareholder | Abstain | Against | |||||||||||
| NETFLIX, INC. | |||||||||||||||
| Security | 64110L106 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | NFLX | Meeting Date | 04-Jun-2020 | ||||||||||||
| ISIN | US64110L1061 | Agenda | 935188412 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Class III Director: Reed Hastings | Management | Abstain | Against | |||||||||||
| 1B. | Election of Class III Director: Jay C. Hoag | Management | Abstain | Against | |||||||||||
| 1C. | Election of Class III Director: Mathias Döpfner | Management | Abstain | Against | |||||||||||
| 2. | To
ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the year ending December 31, 2020. |
Management | For | For | |||||||||||
| 3. | Advisory
approval of the Company's executive officer compensation. |
Management | For | For | |||||||||||
| 4. | Approval of the Netflix, Inc. 2020 Stock Plan. | Management | For | For | |||||||||||
| 5. | Stockholder
proposal regarding political disclosures, if properly presented at the meeting. |
Shareholder | Abstain | Against | |||||||||||
| 6. | Stockholder
proposal for simple majority vote, if properly presented at the meeting. |
Shareholder | Abstain | Against | |||||||||||
| 7. | Stockholder
proposal for EEO policy risk report, if properly presented at the meeting. |
Shareholder | Abstain | Against | |||||||||||
| THE CHARLES SCHWAB CORPORATION | |||||||||||||||
| Security | 808513105 | Meeting Type | Special | ||||||||||||
| Ticker Symbol | SCHW | Meeting Date | 04-Jun-2020 | ||||||||||||
| ISIN | US8085131055 | Agenda | 935219091 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1. | Approve
the issuance of Schwab common shares, consisting of common stock and nonvoting common stock, to holders of shares of TD Ameritrade common stock in connection with the merger contemplated with TD Ameritrade. |
Management | For | For | |||||||||||
| 2. | Approve
an amendment to the Schwab charter to increase the number of authorized shares of capital stock of Schwab by 300 million and create a new class of Schwab nonvoting common stock. |
Management | For | For | |||||||||||
| 3. | Approve
a proposal that will give the Schwab board of directors authority to adjourn the Schwab special meeting from time to time if necessary to solicit additional proxies if there are not sufficient votes to approve Proposals 1 and 2 above at the time of the Schwab special meeting, or any adjournment or postponement of the Schwab special meeting. |
Management | For | For | |||||||||||
| ROPER TECHNOLOGIES, INC. | |||||||||||||||
| Security | 776696106 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | ROP | Meeting Date | 08-Jun-2020 | ||||||||||||
| ISIN | US7766961061 | Agenda | 935189868 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1. | DIRECTOR | Management | |||||||||||||
| 1 | Shellye L. Archambeau | For | For | ||||||||||||
| 2 | Amy Woods Brinkley | For | For | ||||||||||||
| 3 | John F. Fort, III | For | For | ||||||||||||
| 4 | L. Neil Hunn | For | For | ||||||||||||
| 5 | Robert D. Johnson | For | For | ||||||||||||
| 6 | Robert E. Knowling, Jr. | For | For | ||||||||||||
| 7 | Wilbur J. Prezzano | For | For | ||||||||||||
| 8 | Laura G. Thatcher | For | For | ||||||||||||
| 9 | Richard F. Wallman | For | For | ||||||||||||
| 10 | Christopher Wright | For | For | ||||||||||||
| 2. | To
consider, on a non-binding advisory basis, a resolution approving the compensation of our named executive officers. |
Management | For | For | |||||||||||
| 3. | To
ratify the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the year ending December 31, 2020. |
Management | For | For | |||||||||||
| 4. | To
approve an amendment to the Roper Technologies, Inc. Director Compensation Plan. |
Management | For | For | |||||||||||
| NVIDIA CORPORATION | |||||||||||||||
| Security | 67066G104 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | NVDA | Meeting Date | 09-Jun-2020 | ||||||||||||
| ISIN | US67066G1040 | Agenda | 935196445 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: Robert K. Burgess | Management | For | For | |||||||||||
| 1B. | Election of Director: Tench Coxe | Management | For | For | |||||||||||
| 1C. | Election of Director: Persis S. Drell | Management | For | For | |||||||||||
| 1D. | Election of Director: Jen-Hsun Huang | Management | For | For | |||||||||||
| 1E. | Election of Director: Dawn Hudson | Management | For | For | |||||||||||
| 1F. | Election of Director: Harvey C. Jones | Management | For | For | |||||||||||
| 1G. | Election of Director: Michael G. McCaffery | Management | For | For | |||||||||||
| 1H. | Election of Director: Stephen C. Neal | Management | For | For | |||||||||||
| 1I. | Election of Director: Mark L. Perry | Management | For | For | |||||||||||
| 1J. | Election of Director: A. Brooke Seawell | Management | For | For | |||||||||||
| 1K. | Election of Director: Mark A. Stevens | Management | For | For | |||||||||||
| 2. | Approval of our executive compensation. | Management | For | For | |||||||||||
| 3. | Ratification
of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2021. |
Management | For | For | |||||||||||
| 4. | Approval
of an amendment and restatement of our Amended and Restated 2007 Equity Incentive Plan. |
Management | For | For | |||||||||||
| 5. | Approval
of an amendment and restatement of our Amended and Restated 2012 Employee Stock Purchase Plan. |
Management | For | For | |||||||||||
| MASTERCARD INCORPORATED | |||||||||||||||
| Security | 57636Q104 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | MA | Meeting Date | 16-Jun-2020 | ||||||||||||
| ISIN | US57636Q1040 | Agenda | 935196332 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: Richard Haythornthwaite | Management | For | For | |||||||||||
| 1B. | Election of Director: Ajay Banga | Management | For | For | |||||||||||
| 1C. | Election of Director: Richard K. Davis | Management | For | For | |||||||||||
| 1D. | Election of Director: Steven J. Freiberg | Management | For | For | |||||||||||
| 1E. | Election of Director: Julius Genachowski | Management | For | For | |||||||||||
| 1F. | Election of Director: Choon Phong Goh | Management | For | For | |||||||||||
| 1G. | Election of Director: Merit E. Janow | Management | For | For | |||||||||||
| 1H. | Election of Director: Oki Matsumoto | Management | For | For | |||||||||||
| 1I. | Election of Director: Youngme Moon | Management | For | For | |||||||||||
| 1J. | Election of Director: Rima Qureshi | Management | For | For | |||||||||||
| 1K. | Election of Director: José Octavio Reyes Lagunes | Management | For | For | |||||||||||
| 1L. | Election of Director: Gabrielle Sulzberger | Management | For | For | |||||||||||
| 1M. | Election of Director: Jackson Tai | Management | For | For | |||||||||||
| 1N. | Election of Director: Lance Uggla | Management | For | For | |||||||||||
| 2. | Advisory
approval of Mastercard's executive compensation |
Management | For | For | |||||||||||
| 3. | Ratification
of the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for Mastercard for 2020 |
Management | For | For | |||||||||||
| SERVICENOW, INC. | |||||||||||||||
| Security | 81762P102 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | NOW | Meeting Date | 17-Jun-2020 | ||||||||||||
| ISIN | US81762P1021 | Agenda | 935196685 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: William R. McDermott | Management | For | For | |||||||||||
| 1B. | Election of Director: Anita M. Sands | Management | For | For | |||||||||||
| 1C. | Election of Director: Dennis M. Woodside | Management | For | For | |||||||||||
| 2. | To
approve, on an advisory basis, the compensation of our Named Executive Officers ("Say-on-Pay"). |
Management | For | For | |||||||||||
| 3. | Ratification
of PricewaterhouseCoopers LLP as the independent registered public accounting firm for 2020. |
Management | For | For | |||||||||||
| 4. | To
approve an amendment to our Restated Certificate of Incorporation to declassify our Board of Directors. |
Management | For | For | |||||||||||
| 5. | To
hold an advisory vote on the frequency of future advisory votes on executive compensation. |
Management | 1 Year | For | |||||||||||
| AUTODESK, INC. | |||||||||||||||
| Security | 052769106 | Meeting Type | Annual | ||||||||||||
| Ticker Symbol | ADSK | Meeting Date | 18-Jun-2020 | ||||||||||||
| ISIN | US0527691069 | Agenda | 935210601 - Management | ||||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||||
| 1A. | Election of Director: Andrew Anagnost | Management | For | For | |||||||||||
| 1B. | Election of Director: Karen Blasing | Management | For | For | |||||||||||
| 1C. | Election of Director: Reid French | Management | For | For | |||||||||||
| 1D. | Election of Director: Dr. Ayanna Howard | Management | For | For | |||||||||||
| 1E. | Election of Director: Blake Irving | Management | For | For | |||||||||||
| 1F. | Election of Director: Mary T. McDowell | Management | For | For | |||||||||||
| 1G. | Election of Director: Stephen Milligan | Management | For | For | |||||||||||
| 1H. | Election of Director: Lorrie M. Norrington | Management | For | For | |||||||||||
| 1I. | Election of Director: Betsy Rafael | Management | For | For | |||||||||||
| 1J. | Election of Director: Stacy J. Smith | Management | For | For | |||||||||||
| 2. | Ratify
the appointment of Ernst & Young LLP as Autodesk, Inc.'s independent registered public accounting firm for the fiscal year ending January 31, 2021. |
Management | For | For | |||||||||||
| 3. | Approve,
on an advisory (non-binding) basis, the compensation of Autodesk, Inc.'s named executive officers. |
Management | For | For | |||||||||||
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 | The Gabelli Growth Fund |
| By (Signature and Title)* | /s/ Bruce N. Alpert |
| Bruce N. Alpert, Principal Executive Officer |
| Date | August 21, 2020 |
*Print the name and title of each signing officer under his or her signature.