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 811-06445
The Herzfeld Caribbean Basin Fund, Inc.
(Exact name of registrant as specified in charter)
| 119 Washington Avenue, Suite 504, Miami Beach, FL | 33139 | |
| (Address of principal executive offices) | (Zip code) |
(Name and address of agent for service)
Registrant's telephone number, including area code: 305-777-1660
Date of fiscal year end: 6/30
Date of reporting period: July 1, 2020 – June 30, 2021
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss. 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 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. ss. 3507.
| SEC 2451 (4-03) | Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
Vote Summary
| SPANISH BROADCASTING SYSTEM, INC. | ||||
| Security | 846425833 | Meeting Type | Annual | |
| Ticker Symbol | SBSAA | Meeting Date | 22-Jul-2020 | |
| ISIN | US8464258339 | Agenda | 935242153 - Management | |
| Record Date | 11-Jun-2020 | Holding Recon Date | 11-Jun-2020 | |
| City / Country | /
United States |
Vote Deadline Date | 21-Jul-2020 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||
| 1. | DIRECTOR | Management | |||||
| 1 | Raúl Alarcón | Withheld | For | Against | |||
| 2 | Joseph A. García | Withheld | For | Against | |||
| 3 | Manuel E. Machado | Withheld | For | Against | |||
| 4 | Jason L. Shrinsky | Withheld | For | Against | |||
| 5 | José A. Villamil | Withheld | For | Against | |||
| 6 | Mitchell A. Yelen | Withheld | For | Against | |||
| CONSOLIDATED WATER CO. LTD. | ||||
| Security | G23773107 | Meeting Type | Annual | |
| Ticker Symbol | CWCO | Meeting Date | 18-Nov-2020 | |
| ISIN | KYG237731073 | Agenda | 935281991 - Management | |
| Record Date | 15-Sep-2020 | Holding Recon Date | 15-Sep-2020 | |
| City / Country | /
United States |
Vote Deadline Date | 17-Nov-2020 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||
| 1. | DIRECTOR | Management | |||||
| 1 | Carson K. Ebanks | For | For | For | |||
| 2 | Richard L. Finlay | For | For | For | |||
| 3 | Clarence B. Flowers, Jr | For | For | For | |||
| 4 | Frederick W. McTaggart | For | For | For | |||
| 2. | An advisory vote on executive compensation. | Management | For | For | For | ||
| 3. | The ratification of the selection of Marcum LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2020, at the remuneration to be determined by the Audit Committee of the Board of Directors. | Management | For | For | For | ||
| SIDERURGICA VENEZOLANA SIVENSA, S.A. | ||||
| Security | 825865702 | Meeting Type | Annual | |
| Ticker Symbol | SDNWY | Meeting Date | 04-Dec-2020 | |
| ISIN | US8258657027 | Agenda | 935298085 - Management | |
| Record Date | 04-Nov-2020 | Holding Recon Date | 04-Nov-2020 | |
| City / Country | /
United States |
Vote Deadline Date | 27-Nov-2020 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |
| 1. | To consider and resolve, in view of the Reports of the Internal Comptrollers, about the financial statements submitted by the Board of Directors corresponding to the fiscal year ended on September 30, 2020, as well as to consider and resolve about the Report of the Board of Directors. | Management | For | None | ||
| 2. | To consider and resolve about the appointment of the Principal and Alternate Members of the Board of Directors. | Management | For | None | ||
| 3. | To consider and resolve about the appointment of the Principal Internal Comptrollers and their respective Alternates, as well as their annual compensation. | Management | For | None | ||
| 4. | To consider and resolve about the appointment of the Principal and Alternate Judicial Representatives. | Management | For | None |
| FOMENTO ECONOMICO MEXICANO S.A.B. DE CV | ||||
| Security | 344419106 | Meeting Type | Annual | |
| Ticker Symbol | FMX | Meeting Date | 24-Mar-2021 | |
| ISIN | US3444191064 | Agenda | 935341785 - Management | |
| Record Date | 25-Feb-2021 | Holding Recon Date | 25-Feb-2021 | |
| City / Country | /
United States |
Vote Deadline Date | 18-Mar-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |
| I | Report of the chief executive officer of the Company, which includes the financial statements of the Company for the 2020 fiscal year; opinion of the Board of Directors of the Company regarding the content of the report of the chief executive officer; reports of the Board of Directors of the Company regarding the main policies and accounting and information criteria applied during the preparation of the Company’s financial information, including the report of the ..(Due to space limits, see proxy material for full proposal). | Management | For | None | ||
| II | Application of the results for the 2020 fiscal year of the Company, which will include a dividend declaration and payment in cash, in Mexican pesos. | Management | For | None | ||
| III | Determination of the maximum amount to be allocated for the Company’s stock repurchase fund kept pursuant to article 56 subsection IV of the Law. | Management | For | None | ||
| IV | Election of the members of the Board of Directors and secretaries of the Company, qualification of their independence, in accordance with the Law, and resolution with respect to their remuneration. | Management | For | None | ||
| V | Election of members of the following Committees: (i) Strategy and Finance, (ii) Audit, and (iii) Corporate Practices of the Company; appointment of each of their respective chairman, and resolution with respect to their remuneration. | Management | For | None | ||
| VI | Appointment of delegates for the formalization of the Meeting’s resolutions. | Management | For | None | ||
| VII | Reading and, if applicable, approval of the Meeting’s minute. | Management | For | None |
| CEMEX, S.A.B. DE C.V. | ||||
| Security | 151290889 | Meeting Type | Annual | |
| Ticker Symbol | CX | Meeting Date | 25-Mar-2021 | |
| ISIN | US1512908898 | Agenda | 935340098 - Management | |
| Record Date | 22-Feb-2021 | Holding Recon Date | 22-Feb-2021 | |
| City / Country | / Mexico | Vote Deadline Date | 19-Mar-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |
| O1 | PRESENTATION OF THE CHIEF EXECUTIVE OFFICER’S REPORT, INCLUDING CEMEX’S FINANCIAL STATEMENTS, RESULTS OF OPERATIONS, REPORT OF CASH FLOW AND VARIATIONS OF CAPITAL STOCK, AND PRESENTATION OF THE BOARD OF DIRECTORS’ REPORT, FOR THE FISCAL YEAR 2020, AS REQUIRED BY THE MEXICAN SECURITIES MARKET LAW (LEY DEL MERCADO DE VALORES); AND, AFTER HEARING THE OPINION OF THE BOARD OF DIRECTORS AS TO THE REPORTS BY THE CHIEF EXECUTIVE OFFICER, BY THE AUDIT, CORPORATE PRACTICES AND FINANCE, AND SUSTAINABILITY ..DUE TO SPACE LIMITS, SEE PROXY MATERIAL FOR FULL PROPOSAL. | Management | For | None | ||
| O2 | PROPOSAL OF ALLOCATION OF PROFITS FOR THE FISCAL YEAR ENDED DECEMBER 31, 2020. | Management | For | None | ||
| O3 | PRESENTATION OF THE BOARD OF DIRECTORS’ REPORT ON THE PROCEDURES AND APPROVALS PURSUANT TO WHICH THE REPURCHASE OF CEMEX’S SHARES WAS INSTRUCTED FOR THE YEAR ENDED ON DECEMBER 31, 2020. | Management | For | None | ||
| O4 | PROPOSAL TO DETERMINE THE AMOUNT OF A RESERVE FOR THE ACQUISITION OF CEMEX’S SHARES OR OTHER INSTRUMENTS REPRESENTING SUCH SHARES. | Management | For | None | ||
| O5A | PROPOSAL TO DECREASE THE CAPITAL STOCK OF CEMEX IN ITS VARIABLE PART BY CANCELLING THE CEMEX SHARES REPURCHASED IN 2020 UNDER CEMEX’S SHARE REPURCHASE PROGRAM. | Management | For | None | ||
| O5B | PROPOSAL TO DECREASE THE CAPITAL STOCK OF CEMEX IN ITS VARIABLE PART BY CANCELLING THE TREASURY SHARES ISSUED TO SUPPORT THE ISSUANCE OF NEW CONVERTIBLE NOTES OR FOR THEIR PLACEMENT IN A PUBLIC OFFERING OR PRIVATE PLACEMENT. | Management | For | None | ||
| O6 | APPOINTMENT OF MEMBERS, PRESIDENT AND SECRETARY OF THE BOARD OF DIRECTORS, AND OF MEMBERS AND PRESIDENTS, RESPECTIVELY, OF THE AUDIT, CORPORATE PRACTICES AND FINANCE, AND SUSTAINABILITY COMMITTEES. | Management | For | None | ||
| O7 | COMPENSATION OF THE MEMBERS OF THE BOARD OF DIRECTORS AND OF THE AUDIT, CORPORATE PRACTICES AND FINANCE, AND SUSTAINABILITY COMMITTEES. | Management | For | None | ||
| O8 | APPOINTMENT OF DELEGATES TO FORMALIZE THE RESOLUTIONS ADOPTED AT THE MEETING. | Management | For | None | ||
| E1 | PROPOSAL TO SPECIFY CEMEX’s CORPORATE PURPOSE AND THE ACTIVITIES THAT CEMEX MAY PERFORM IN ORDER TO FULFIL ITS CORPORATE PURPOSE, CONSEQUENTLY AMENDING ARTICLE 2 OF CEMEX’s BY-LAWS; AND, IN THE EVENT OF APPROVAL, THE AUTHORIZATION TO PROCEED WITH THE CERTIFICATION OF THE RESTATED BY-LAWS. | Management | For | None | ||
| E2 | APPOINTMENT OF DELEGATES TO FORMALIZE THE RESOLUTIONS ADOPTED AT THE MEETING. | Management | For | None |
| LENNAR CORPORATION | ||||
| Security | 526057104 | Meeting Type | Annual | |
| Ticker Symbol | LEN | Meeting Date | 07-Apr-2021 | |
| ISIN | US5260571048 | Agenda | 935339300 - Management | |
| Record Date | 16-Feb-2021 | Holding Recon Date | 16-Feb-2021 | |
| City / Country | /
United States |
Vote Deadline Date | 06-Apr-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |
| 1A. | Election of Director to serve until the 2022 Annual Meeting: Amy Banse | Management | Against | For | Against | |
| 1B. | Election of Director to serve until the 2022 Annual Meeting: Rick Beckwitt | Management | Against | For | Against | |
| 1C. | Election of Director to serve until the 2022 Annual Meeting: Steven L. Gerard | Management | Against | For | Against | |
| 1D. | Election of Director to serve until the 2022 Annual Meeting: Tig Gilliam | Management | Against | For | Against | |
| 1E. | Election of Director to serve until the 2022 Annual Meeting: Sherrill W. Hudson | Management | Against | For | Against | |
| 1F. | Election of Director to serve until the 2022 Annual Meeting: Jonathan M. Jaffe | Management | Against | For | Against | |
| 1G. | Election of Director to serve until the 2022 Annual Meeting: Sidney Lapidus | Management | Against | For | Against | |
| 1H. | Election of Director to serve until the 2022 Annual Meeting: Teri P. McClure | Management | Against | For | Against | |
| 1I. | Election of Director to serve until the 2022 Annual Meeting: Stuart Miller | Management | Against | For | Against | |
| 1J. | Election of Director to serve until the 2022 Annual Meeting: Armando Olivera | Management | Against | For | Against | |
| 1K. | Election of Director to serve until the 2022 Annual Meeting: Jeffrey Sonnenfeld | Management | Against | For | Against | |
| 2. | Approval, on an advisory basis, of the compensation of our named executive officers. | Management | Against | For | Against | |
| 3. | Ratification of the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for our fiscal year ending November 30, 2021. | Management | For | For | For | |
| 4. | Approval of a stockholder proposal regarding our common stock voting structure. | Shareholder | For | Against | Against |
| CARNIVAL CORPORATION | ||||
| Security | 143658300 | Meeting Type | Annual | |
| Ticker Symbol | CCL | Meeting Date | 20-Apr-2021 | |
| ISIN | PA1436583006 | Agenda | 935339158 - Management | |
| Record Date | 19-Feb-2021 | Holding Recon Date | 19-Feb-2021 | |
| City / Country | /
United States |
Vote Deadline Date | 19-Apr-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |
| 1. | To re-elect Micky Arison as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | Against | For | Against | |
| 2. | To re-elect Sir Jonathon Band as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | Against | For | Against | |
| 3. | To re-elect Jason Glen Cahilly as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | For | |
| 4. | To re-elect Helen Deeble as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | For | |
| 5. | To re-elect Arnold W. Donald as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | For | |
| 6. | To elect Jeffery J. Gearhart as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | For | |
| 7. | To re-elect Richard J. Glasier as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | Against | For | Against | |
| 8. | To re-elect Katie Lahey as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | For | |
| 9. | To re-elect Sir John Parker as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | Against | For | Against | |
| 10. | To re-elect Stuart Subotnick as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | Against | For | Against | |
| 11. | To re-elect Laura Weil as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | For | |
| 12. | To re-elect Randall J. Weisenburger as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | Against | For | Against | |
| 13. | To hold a (non-binding) advisory vote to approve executive compensation (in accordance with legal requirements applicable to U.S. companies). | Management | For | For | For | |
| 14. | To hold a (non-binding) advisory vote to approve the Carnival plc Director’s Remuneration Report (in accordance with legal requirements applicable to UK companies). | Management | For | For | For | |
| 15. | To re-appoint the UK firm of PricewaterhouseCoopers LLP as independent auditors of Carnival plc and to ratify the selection of the U.S. firm of PricewaterhouseCoopers LLP as the independent registered public accounting firm of Carnival Corporation. | Management | For | For | For | |
| 16. | To authorize the Audit Committee of Carnival plc to determine the remuneration of the independent auditors of Carnival plc (in accordance with legal requirements applicable to UK companies). | Management | For | For | For | |
| 17. | To receive the UK accounts and reports of the Directors and auditors of Carnival plc for the year ended November 30, 2020 (in accordance with legal requirements applicable to UK companies). | Management | For | For | For | |
| 18. | To approve the giving of authority for the allotment of new shares by Carnival plc (in accordance with customary practice for UK companies). | Management | For | For | For | |
| 19. | To approve the disapplication of pre- emption rights in relation to the allotment of new shares by Carnival plc (in accordance with customary practice for UK companies). | Management | For | For | For | |
| 20. | To approve a general authority for Carnival plc to buy back Carnival plc ordinary shares in the open market (in accordance with legal requirements applicable to UK companies desiring to implement share buy back programs). | Management | For | For | For | |
| 21. | To approve the Amendment of the Carnival Corporation 2020 Stock Plan. | Management | For | For | For |
| BANCO LATINOAMERICANO DE COMERCIO EXT. | ||||
| Security | P16994132 | Meeting Type | Annual | |
| Ticker Symbol | BLX | Meeting Date | 21-Apr-2021 | |
| ISIN | PAP169941328 | Agenda | 935355645 - Management | |
| Record Date | 15-Mar-2021 | Holding Recon Date | 15-Mar-2021 | |
| City / Country | / Panama | Vote Deadline Date | 20-Apr-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |
| 1. | To approve the Bank’s audited consolidated financial statements for the fiscal year ended December 31, 2020. | Management | For | For | For | |
| 2. | To ratify the appointment of KPMG as the Bank’s independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | For | For | For | |
| 3a. | Election of Director: Miguel Heras Castro | Management | For | For | For | |
| 3b. | Election of Director: Isela Costantini | Management | For | For | For | |
| 3c. | Election of Director: Alexandra M. Aguirre | Management | For | For | For | |
| 4. | To approve, on an advisory basis, the compensation of the Bank’s executive officers. | Management | For | For | For |
| GRUPO AEROPORTUARIO DEL SURESTE SA DE CV | ||||
| Security | 40051E202 | Meeting Type | Annual | |
| Ticker Symbol | ASR | Meeting Date | 22-Apr-2021 | |
| ISIN | US40051E2028 | Agenda | 935381993 - Management | |
| Record Date | 29-Mar-2021 | Holding Recon Date | 29-Mar-2021 | |
| City / Country | /
United States |
Vote Deadline Date | 16-Apr-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |
| 1A | Presentation and, if applicable, approval of the following: Report of the Chief Executive Officer, in accordance with Article 172 of the General Corporations Law and of Article 44, subsection XI, of the Securities Market Law (“Ley del Mercado de Valores”), accompanied by the independent auditor’s report, in connection with the operations and results for the fiscal year ended December 31, 2020, as well as of the Board of Directors’ opinion of the content of such report. | Management | For | None | ||
| 1B | Presentation and, if applicable, approval of the following: Report of the Board of Directors in accordance with Article 172, subsection b, of the General Corporations Law, which contains the main policies, as well as the accounting and reporting criteria followed in the preparation of the financial information of the Company. | Management | For | None | ||
| 1C | Presentation and, if applicable, approval of the following: Report of the activities and operations in which the Board of Directors intervened, in accordance with Article 28 IV (e) of the Securities Market Law. | Management | For | None | ||
| 1D | Presentation and, if applicable, approval of the following: Individual and consolidated financial statements of the Company for the fiscal year ended December 31, 2020. | Management | For | None | ||
| 1E | Presentation and, if applicable, approval of the following: Annual report on the activities carried out by the Audit Committee of the Company in accordance with Article 43 of the Securities Market Law and report on the Company’s subsidiaries. | Management | For | None | ||
| 1F | Presentation and, if applicable, approval of the following: Report on compliance with the tax obligations of the Company for the fiscal year ended December 31, 2019, in accordance with Article 76, section XIX of the Income Tax Law (“Ley del Impuesto sobre la Renta”). | Management | For | None | ||
| 2A | Proposal on and, if applicable, approval of the application of the Company’s results for the fiscal year 2020: Proposal for increase of the legal reserve by Ps. 98,875,960.00. | Management | For | None | ||
| 2B | Proposal on and, if applicable, approval of the application of the Company’s results for the fiscal year 2020: Proposal and, if applicable, approval of the amount of Ps. 1,878,643,244.00 as the maximum amount that may be used by the Company to repurchase its shares in 2020 pursuant to Article 56 of the Securities Market Law; proposal and, if applicable, approval of the provisions and policies regarding the repurchase of Company shares. | Management | For | None | ||
| 3A | Ratification, if applicable, of the following: Administration by the Board of Directors and the Chief Executive Officer for the fiscal year of 2020. | Management | For | None | ||
| 3BA | Appointment of Director: Fernando Chico Pardo (President) | Management | For | None | ||
| 3BB | Appointment of Director: José Antonio Pérez Antón | Management | For | None | ||
| 3BC | Appointment of Director: Pablo Chico Hernández | Management | For | None | ||
| 3BD | Appointment of Director: Aurelio Pérez Alonso | Management | For | None | ||
| 3BE | Appointment of Director: Rasmus Christiansen | Management | For | None |
| 3BF | Appointment of Director: Francisco Garza Zambrano | Management | For | None | ||
| 3BG | Appointment of Director: Ricardo Guajardo Touché | Management | For | None | ||
| 3BH | Appointment of Director: Guillermo Ortiz Martínez | Management | For | None | ||
| 3BI | Appointment of Director: Bárbara Garza Lagüera Gonda | Management | For | None | ||
| 3BJ | Appointment of Director: Heliane Steden | Management | For | None | ||
| 3BK | Appointment of Director: Diana M. Chavez | Management | For | None | ||
| 3BL | Appointment of Director: Rafael Robles Miaja (Secretary) | Management | For | None | ||
| 3BM | Appointment of Director: Ana María Poblanno Chanona (Deputy Secretary) | Management | For | None | ||
| 3CA | Appointment or ratification, as applicable, of the Chairperson of the Audit Committee: Ricardo Guajardo Touché | Management | For | None | ||
| 3DA | Appointment or ratification, as applicable, of the persons who serve or will serve on the Nominations and Compensations Committee of the Company: Bárbara Garza Lagüera Gonda (President) | Management | For | None | ||
| 3DB | Appointment or ratification, as applicable, of the persons who serve or will serve on the Nominations and Compensations Committee of the Company: Fernando Chico Pardo | Management | For | None | ||
| 3DC | Appointment or ratification, as applicable, of the persons who serve or will serve on the Nominations and Compensations Committee of the Company: José Antonio Pérez Antón | Management | For | None | ||
| 3EA | Determination of corresponding compensations: Board of Directors: Ps. 72,600.00 (in each case net of taxes in Mexican legal tender) | Management | For | None | ||
| 3EB | Determination of corresponding compensations: Operations Committee: Ps. 72,600.00 (in each case net of taxes in Mexican legal tender) | Management | For | None | ||
| 3EC | Determination of corresponding compensations: Nominations & Compensations Committee: Ps. 72,600.00 (in each case net of taxes in Mexican legal tender) | Management | For | None | ||
| 3ED | Determination of corresponding compensations: Audit Committee: Ps. 102,850.00 (in each case net of taxes in Mexican legal tender) | Management | For | None | ||
| 3EE | Determination of corresponding compensations: Acquisitions & Contracts Committee: Ps. 24,200.00 (in each case net of taxes in Mexican legal tender) | Management | For | None | ||
| 4A | Appointment of delegates in order to enact the resolutions adopted at the Meeting and, if applicable, to formalize such resolutions: Claudio R. Góngora Morales | Management | For | None | ||
| 4B | Appointment of delegates in order to enact the resolutions adopted at the Meeting and, if applicable, to formalize such resolutions: Rafael Robles Miaja | Management | For | None | ||
| 4C | Appointment of delegates in order to enact the resolutions adopted at the Meeting and, if applicable, to formalize such resolutions: Ana María Poblanno Chanona | Management | For | None |
| SEABOARD CORPORATION | ||||
| Security | 811543107 | Meeting Type | Annual | |
| Ticker Symbol | SEB | Meeting Date | 26-Apr-2021 | |
| ISIN | US8115431079 | Agenda | 935348385 - Management | |
| Record Date | 26-Feb-2021 | Holding Recon Date | 26-Feb-2021 | |
| City / Country | /
United States |
Vote Deadline Date | 23-Apr-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||
| 1. | DIRECTOR | Management | |||||
| 1 | Ellen S. Bresky | Withheld | For | Against | |||
| 2 | David A. Adamsen | Withheld | For | Against | |||
| 3 | Douglas W. Baena | Withheld | For | Against | |||
| 4 | Paul M. Squires | Withheld | For | Against | |||
| 2. | Ratify the appointment of KPMG LLP as independent auditors of the Company. | Management | For | For | For | ||
| 3. | Stockholder proposal, if properly presented at the meeting, requesting that Seaboard confirm that the company will comply with California Proposition 12 and that it faces no material losses as a result. | Shareholder | For | Against | Against | ||
| AMERICA MOVIL, S.A.B. DE C.V. | ||||
| Security | 02364W105 | Meeting Type | Annual | |
| Ticker Symbol | AMX | Meeting Date | 26-Apr-2021 | |
| ISIN | US02364W1053 | Agenda | 935405488 - Management | |
| Record Date | 06-Apr-2021 | Holding Recon Date | 06-Apr-2021 | |
| City / Country | /
United States |
Vote Deadline Date | 22-Apr-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |
| 1A | Appointment or, ratification of the member of the Board of Director of the Company: Pablo Roberto González Guajardo | Management | For | None | ||
| 1B | Appointment or, ratification of the member of the Board of Director of the Company: David Ibarra Muñoz | Management | For | None | ||
| 2 | Appointment of delegates to execute and, if applicable, formalize the resolutions adopted by the meeting. Adoption of resolutions thereon. | Management | For | None |
| AMERICA MOVIL, S.A.B. DE C.V. | ||||
| Security | 02364W105 | Meeting Type | Annual | |
| Ticker Symbol | AMX | Meeting Date | 26-Apr-2021 | |
| ISIN | US02364W1053 | Agenda | 935410059 - Management | |
| Record Date | 15-Apr-2021 | Holding Recon Date | 15-Apr-2021 | |
| City / Country | /
United States |
Vote Deadline Date | 22-Apr-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |
| 1A | Appointment or, ratification of the member of the Board of Director of the Company: Pablo Roberto González Guajardo | Management | For | None | ||
| 1B | Appointment or, ratification of the member of the Board of Director of the Company: David Ibarra Muñoz | Management | For | None | ||
| 2 | Appointment of delegates to execute and, if applicable, formalize the resolutions adopted by the meeting. Adoption of resolutions thereon. | Management | For | None |
| GRUPO TELEVISA, S.A.B. | ||||
| Security | 40049J206 | Meeting Type | Annual | |
| Ticker Symbol | TV | Meeting Date | 28-Apr-2021 | |
| ISIN | US40049J2069 | Agenda | 935409993 - Management | |
| Record Date | 09-Apr-2021 | Holding Recon Date | 09-Apr-2021 | |
| City / Country | /
United States |
Vote Deadline Date | 22-Apr-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |
| L1 | José Antonio Chedraui Eguía | Management | Abstain | None | ||
| L2 | Sebastián Mejía | Management | Abstain | None | ||
| LA1 | Raúl Morales Medrano | Management | Abstain | None | ||
| L3 | Appointment of special delegates to formalize the resolutions adopted at the meeting | Management | Abstain | None | ||
| D1 | David M. Zaslav | Management | Abstain | None | ||
| D2 | Enrique Francisco José Senior Hernández | Management | Abstain | None | ||
| D1A | Raúl Morales Medrano | Management | Abstain | None | ||
| D1B | Herbert Allen III | Management | Abstain | None | ||
| D3 | Appointment of special delegates to formalize the resolutions adopted at the meeting | Management | Abstain | None | ||
| A | Presentation of the Co-Chief Executive Officers’ report | Management | For | None | ||
| B | Presentation of the report referred to by article 172 | Management | For | None | ||
| C | Presentation of the report on the operations and activities in which the Board of Directors intervened during the 2020 fiscal year | Management | For | None | ||
| D | Presentation of the Audit Committee’s annual report | Management | For | None | ||
| E | Presentation of the Corporate Practices Committee’s annual report | Management | For | None | ||
| F | Presentation of the report regarding certain fiscal obligations of the Company, pursuant to the applicable legislation. | Management | For | None | ||
| G | Resolution regarding the allocation of results for the fiscal year | Management | For | None | ||
| H | Presentation of the report regarding the policies and resolutions | Management | For | None | ||
| A1 | Emilio Fernando Azcárraga Jean | Management | Against | None | ||
| A2 | Alfonso de Angoitia Noriega | Management | Against | None | ||
| A3 | Alberto Bailléres González | Management | Against | None | ||
| A4 | Eduardo Tricio Haro | Management | Against | None | ||
| A5 | Michael T. Fries | Management | Against | None | ||
| A6 | Fernando Senderos Mestre | Management | Against | None | ||
| A7 | Bernardo Gómez Martínez | Management | Against | None | ||
| A8 | Jon Feltheimer | Management | Against | None | ||
| A9 | Enrique Krauze Kleinbort | Management | Against | None | ||
| A10 | Guadalupe Phillips Margain | Management | Against | None | ||
| A11 | Carlos Hank González | Management | Against | None | ||
| B1 | Lorenzo Alejandro Mendoza Giménez | Management | Against | None | ||
| B2 | Salvi Rafael Folch Viadero | Management | Against | None | ||
| B3 | Guillermo García Naranjo Álvarez | Management | Against | None | ||
| B4 | Francisco José Chevez Robelo | Management | Against | None | ||
| B5 | José Luis Fernández Fernández | Management | Against | None | ||
| BA1 | Julio Barba Hurtado | Management | For | None | ||
| BA2 | Jorge Agustín Lutteroth Echegoyen | Management | For | None | ||
| BA3 | Joaquín Balcárcel Santa Cruz | Management | For | None | ||
| BA4 | Luis Alejandro Bustos Olivares | Management | For | None | ||
| BA5 | Félix José Araujo Ramírez | Management | For | None | ||
| A12 | Appointment and/or ratification of the members that shall conform the Executive Committee | Management | Against | None | ||
| A13 | Appointment and/or ratification of the Chairman of the Audit Committee | Management | Against | None | ||
| A14 | Appointment and/or ratification of the Chairman of the Corporate Practices Committee | Management | Against | None | ||
| A15 | Compensation to the members of the Board of Directors, of the Executive Committee, of the Audit Committee and of the Corporate Practices Committee | Management | For | None | ||
| A16 | Appointment of special delegates to formalize the resolutions adopted at the meeting | Management | For | None | ||
| AB1 | Resolution regarding the cancellation of shares and corresponding capital stock reduction and consequent amendment to article Sixth of the by-laws | Management | Abstain | None | ||
| AB2 | Appointment of special delegates to formalize the resolutions | Management | Abstain | None |
| POPULAR, INC. | ||||
| Security | 733174700 | Meeting Type | Annual | |
| Ticker Symbol | BPOP | Meeting Date | 06-May-2021 | |
| ISIN | PR7331747001 | Agenda | 935355506 - Management | |
| Record Date | 12-Mar-2021 | Holding Recon Date | 12-Mar-2021 | |
| City / Country | /
United States |
Vote Deadline Date | 05-May-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |
| 1a) | Election of Class 1 Director for a one-year term: Alejandro M. Ballester | Management | For | For | For | |
| 1b) | Election of Class 1 Director for a one-year term: Richard L. Carrión | Management | For | For | For | |
| 1c) | Election of Class 1 Director for a one-year term: Carlos A. Unanue | Management | For | For | For | |
| 2) | Approve, on an advisory basis, the Corporation’s executive compensation. | Management | For | For | For | |
| 3) | Approve, on an advisory basis, the frequency of future advisory votes on the Corporation’s executive compensation. | Management | 1 Year | 1 Year | For | |
| 4) | Ratify the appointment of PricewaterhouseCoopers LLP as Popular, Inc.’s independent registered public accounting firm for 2021. | Management | For | For | For |
| CARIBBEAN UTILITIES COMPANY, LTD. | ||||
| Security | G1899E146 | Meeting Type | Annual | |
| Ticker Symbol | CUPUF | Meeting Date | 11-May-2021 | |
| ISIN | KYG1899E1465 | Agenda | 935395687 - Management | |
| Record Date | 25-Mar-2021 | Holding Recon Date | 25-Mar-2021 | |
| City / Country | /
Cayman Islands |
Vote Deadline Date | 06-May-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||
| 1 | DIRECTOR | Management | |||||
| 1 | Jennifer P. Dilbert | For | For | For | |||
| 2 | Sheree L. Ebanks | For | For | For | |||
| 3 | Woodrow S. Foster | For | For | For | |||
| 4 | Susan M. Grey | For | For | For | |||
| 5 | Sophia A. Harris | For | For | For | |||
| 6 | R. Scott Hawkes | For | For | For | |||
| 7 | J. F. Richard Hew | For | For | For | |||
| 8 | Gretchen L. Holloway | For | For | For | |||
| 9 | Mark R. Macfee | For | For | For | |||
| 10 | David E. Ritch | For | For | For | |||
| 11 | Gary J. Smith | For | For | For | |||
| 12 | Peter A. Thomson | For | For | For | |||
| 2 | Appointment of Deloitte LLP as Auditors | Management | For | For | For | ||
| MARTIN MARIETTA MATERIALS, INC. | ||||
| Security | 573284106 | Meeting Type | Annual | |
| Ticker Symbol | MLM | Meeting Date | 13-May-2021 | |
| ISIN | US5732841060 | Agenda | 935406238 - Management | |
| Record Date | 05-Mar-2021 | Holding Recon Date | 05-Mar-2021 | |
| City / Country | /
United States |
Vote Deadline Date | 12-May-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |
| 1A. | Election of Director: Dorothy M. Ables | Management | For | For | For | |
| 1B. | Election of Director: Sue W. Cole | Management | Against | For | Against | |
| 1C. | Election of Director: Smith W. Davis | Management | Against | For | Against | |
| 1D. | Election of Director: Anthony R. Foxx | Management | For | For | For | |
| 1E. | Election of Director: John J. Koraleski | Management | For | For | For | |
| 1F. | Election of Director: C. Howard Nye | Management | For | For | For | |
| 1G. | Election of Director: Laree E. Perez | Management | Against | For | Against | |
| 1H. | Election of Director: Thomas H. Pike | Management | For | For | For | |
| 1I. | Election of Director: Michael J. Quillen | Management | For | For | For | |
| 1J. | Election of Director: Donald W. Slager | Management | Against | For | Against | |
| 1K. | Election of Director: David C. Wajsgras | Management | For | For | For | |
| 2. | Ratification of appointment of PricewaterhouseCoopers as independent auditors. | Management | For | For | For | |
| 3. | Approval, by a non-binding advisory vote, of the compensation of Martin Marietta Materials, Inc.’s named executive officers. | Management | Against | For | Against |
| VULCAN MATERIALS COMPANY | ||||
| Security | 929160109 | Meeting Type | Annual | |
| Ticker Symbol | VMC | Meeting Date | 14-May-2021 | |
| ISIN | US9291601097 | Agenda | 935362917 - Management | |
| Record Date | 17-Mar-2021 | Holding Recon Date | 17-Mar-2021 | |
| City / Country | /
United States |
Vote Deadline Date | 13-May-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |
| 1A. | Election of Director: Thomas A. Fanning | Management | For | For | For | |
| 1B. | Election of Director: J. Thomas Hill | Management | For | For | For | |
| 1C. | Election of Director: Cynthia L. Hostetler | Management | For | For | For | |
| 1D. | Election of Director: Richard T. O’Brien | Management | For | For | For | |
| 2. | Approval, on an advisory basis, of the compensation of our named executive officers. | Management | For | For | For | |
| 3. | Ratification of the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for 2021. | Management | For | For | For |
| MARRIOTT VACATIONS WORLDWIDE CORPORATION | ||||
| Security | 57164Y107 | Meeting Type | Annual | |
| Ticker Symbol | VAC | Meeting Date | 14-May-2021 | |
| ISIN | US57164Y1073 | Agenda | 935367474 - Management | |
| Record Date | 15-Mar-2021 | Holding Recon Date | 15-Mar-2021 | |
| City / Country | /
United States |
Vote Deadline Date | 13-May-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||
| 1. | DIRECTOR | Management | |||||
| 1 | Lizanne Galbreath | For | For | For | |||
| 2 | Melquiades R. Martinez | For | For | For | |||
| 3 | Stephen R. Quazzo | For | For | For | |||
| 4 | Stephen P. Weisz | For | For | For | |||
| 2. | Ratification of the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for its 2021 fiscal year. | Management | For | For | For | ||
| 3. | Advisory vote to approve named executive officer compensation. | Management | For | For | For | ||
| NORWEGIAN CRUISE LINE HOLDINGS LTD. | ||||
| Security | G66721104 | Meeting Type | Annual | |
| Ticker Symbol | NCLH | Meeting Date | 20-May-2021 | |
| ISIN | BMG667211046 | Agenda | 935378148 - Management | |
| Record Date | 02-Mar-2021 | Holding Recon Date | 02-Mar-2021 | |
| City / Country | /
United States |
Vote Deadline Date | 19-May-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |
| 1A. | Election of Class II Director: Adam M. Aron | Management | For | For | For | |
| 1B. | Election of Class II Director: Stella David | Management | For | For | For | |
| 1C. | Election of Class II Director: Mary E. Landry | Management | For | For | For | |
| 2. | Approval, on a non-binding, advisory basis, of the compensation of our named executive officers. | Management | Against | For | Against | |
| 3. | Approval of an increase in our authorized share capital to increase the number of ordinary shares authorized for issuance from 490,000,000 to 980,000,000. | Management | For | For | For | |
| 4. | Approval of an amendment to our 2013 Performance Incentive Plan (our “Plan”), including an increase in the number of shares available for grant under our Plan. | Management | For | For | For | |
| 5. | Ratification of the appointment of PricewaterhouseCoopers LLP (“PwC”) as our independent registered public accounting firm for the year ending December 31, 2021 and the determination of PwC’s remuneration by our Audit Committee. | Management | For | For | For |
| NEXTERA ENERGY, INC. | ||||
| Security | 65339F101 | Meeting Type | Annual | |
| Ticker Symbol | NEE | Meeting Date | 20-May-2021 | |
| ISIN | US65339F1012 | Agenda | 935378201 - Management | |
| Record Date | 23-Mar-2021 | Holding Recon Date | 23-Mar-2021 | |
| City / Country | /
United States |
Vote Deadline Date | 19-May-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |
| 1A. | Election of Director: Sherry S. Barrat | Management | Against | For | Against | |
| 1B. | Election of Director: James L. Camaren | Management | Against | For | Against | |
| 1C. | Election of Director: Kenneth B. Dunn | Management | For | For | For | |
| 1D. | Election of Director: Naren K. Gursahaney | Management | For | For | For | |
| 1E. | Election of Director: Kirk S. Hachigian | Management | Against | For | Against | |
| 1F. | Election of Director: Amy B. Lane | Management | Against | For | Against | |
| 1G. | Election of Director: David L. Porges | Management | For | For | For | |
| 1H. | Election of Director: James L. Robo | Management | Against | For | Against | |
| 1I. | Election of Director: Rudy E. Schupp | Management | For | For | For | |
| 1J. | Election of Director: John L. Skolds | Management | For | For | For | |
| 1K. | Election of Director: Lynn M. Utter | Management | For | For | For | |
| 1L. | Election of Director: Darryl L. Wilson | Management | Against | For | Against | |
| 2. | Ratification of appointment of Deloitte & Touche LLP as NextEra Energy’s independent registered public accounting firm for 2021. | Management | For | 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 | Against | For | Against | |
| 4. | Approval of the NextEra Energy, Inc. 2021 Long Term Incentive Plan. | Management | For | For | For | |
| 5. | A proposal entitled “Right to Act by Written Consent” to request action by written consent of shareholders. | Shareholder | For | Against | Against |
| MASTEC, INC. | ||||
| Security | 576323109 | Meeting Type | Annual | |
| Ticker Symbol | MTZ | Meeting Date | 20-May-2021 | |
| ISIN | US5763231090 | Agenda | 935380989 - Management | |
| Record Date | 15-Mar-2021 | Holding Recon Date | 15-Mar-2021 | |
| City / Country | /
United States |
Vote Deadline Date | 19-May-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||
| 1. | DIRECTOR | Management | |||||
| 1 | Jose R. Mas | For | For | For | |||
| 2 | Javier Palomarez | Withheld | For | Against | |||
| 2. | Ratification of the appointment of BDO USA, LLP as our independent registered public accounting firm for 2021. | Management | For | For | For | ||
| 3. | Approval of a non-binding advisory resolution regarding the compensation of our named executive officers. | Management | Against | For | Against | ||
| 4. | Approval of the MasTec, Inc. Amended and Restated 2013 Incentive Compensation Plan. | Management | For | For | For | ||
| PGT INNOVATIONS, INC. | ||||
| Security | 69336V101 | Meeting Type | Annual | |
| Ticker Symbol | PGTI | Meeting Date | 20-May-2021 | |
| ISIN | US69336V1017 | Agenda | 935428929 - Management | |
| Record Date | 23-Apr-2021 | Holding Recon Date | 23-Apr-2021 | |
| City / Country | /
United States |
Vote Deadline Date | 19-May-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |
| 1A. | Election of Class III Director to serve until the 2024 Annual Meeting: Rodney Hershberger | Management | For | For | For | |
| 1B. | Election of Class III Director to serve until the 2024 Annual Meeting: Floyd F. Sherman | Management | For | For | For | |
| 1C. | Election of Class III Director to serve until the 2024 Annual Meeting: Sheree L. Bargabos | Management | For | For | For | |
| 2. | To ratify the selection of Ernst & Young LLP as our independent registered public accounting firm for the 2021 fiscal year. | Management | For | For | For | |
| 3. | To approve the compensation of our Named Executive Officers on an advisory basis. | Management | For | For | For |
| FIRST BANCORP | ||||
| Security | 318672706 | Meeting Type | Annual | |
| Ticker Symbol | FBP | Meeting Date | 21-May-2021 | |
| ISIN | PR3186727065 | Agenda | 935372691 - Management | |
| Record Date | 25-Mar-2021 | Holding Recon Date | 25-Mar-2021 | |
| City / Country | /
United States |
Vote Deadline Date | 20-May-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |
| 1A. | Election of Director: Juan Acosta Reboyras | Management | Against | For | Against | |
| 1B. | Election of Director: Aurelio Alemàn | Management | For | For | For | |
| 1C. | Election of Director: Luz A. Crespo | Management | Against | For | Against | |
| 1D. | Election of Director: Tracey Dedrick | Management | For | For | For | |
| 1E. | Election of Director: Patricia M. Eaves | Management | For | For | For | |
| 1F. | Election of Director: Daniel E. Frye | Management | For | For | For | |
| 1G. | Election of Director: John A. Heffern | Management | Against | For | Against | |
| 1H. | Election of Director: Roberto R. Herencia | Management | Against | For | Against | |
| 1I. | Election of Director: Félix M. Villamil’ | Management | For | For | For | |
| 2. | To approve on a non-binding basis the 2020 compensation of First BanCorp’s named executive officers. | Management | Against | For | Against | |
| 3. | To ratify the appointment of Crowe LLP as our independent registered public accounting firm for our 2021 fiscal year. | Management | For | For | For |
| CONSOLIDATED WATER CO. LTD. | ||||
| Security | G23773107 | Meeting Type | Annual | |
| Ticker Symbol | CWCO | Meeting Date | 24-May-2021 | |
| ISIN | KYG237731073 | Agenda | 935385472 - Management | |
| Record Date | 25-Mar-2021 | Holding Recon Date | 25-Mar-2021 | |
| City / Country | /
United States |
Vote Deadline Date | 21-May-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||
| 1. | DIRECTOR | Management | |||||
| 1 | Wilmer F. Pergande | Withheld | For | Against | |||
| 2 | Leonard J. Sokolow | Withheld | For | Against | |||
| 3 | Raymond Whittaker | For | For | For | |||
| 2. | An advisory vote on executive compensation. | Management | For | For | For | ||
| 3. | The ratification of the selection of Marcum LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2021, at the remuneration to be determined by the Audit Committee of the Board of Directors. | Management | For | For | For | ||
| GRUPO TELEVISA, S.A.B. | ||||
| Security | 40049J206 | Meeting Type | Annual | |
| Ticker Symbol | TV | Meeting Date | 24-May-2021 | |
| ISIN | US40049J2069 | Agenda | 935431027 - Management | |
| Record Date | 30-Apr-2021 | Holding Recon Date | 30-Apr-2021 | |
| City / Country | /
United States |
Vote Deadline Date | 13-May-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |
| I | Presentation and, in its case, approval for the Company and its controlled entities to carry out certain actions to combine its content segment with Univision Holdings, Inc. or its successors, including the other related acts that may be necessary or convenient in connection with the above. | Management | For | None | ||
| II | Appointment of special delegates to formalize the resolutions adopted at the meeting. | Management | For | None |
| EVERTEC, INC. | ||||
| Security | 30040P103 | Meeting Type | Annual | |
| Ticker Symbol | EVTC | Meeting Date | 27-May-2021 | |
| ISIN | PR30040P1032 | Agenda | 935388149 - Management | |
| Record Date | 29-Mar-2021 | Holding Recon Date | 29-Mar-2021 | |
| City / Country | /
Puerto Rico |
Vote Deadline Date | 26-May-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |
| 1A. | Election of Director: Frank G. D’Angelo | Management | For | For | For | |
| 1B. | Election of Director: Morgan M. Schuessler, Jr. | Management | For | For | For | |
| 1C. | Election of Director: Kelly Barrett | Management | For | For | For | |
| 1D. | Election of Director: Olga Botero | Management | For | For | For | |
| 1E. | Election of Director: Jorge A. Junquera | Management | For | For | For | |
| 1F. | Election of Director: Iván Pagán | Management | For | For | For | |
| 1G. | Election of Director: Aldo J. Polak | Management | For | For | For | |
| 1H. | Election of Director: Alan H. Schumacher | Management | For | For | For | |
| 1I. | Election of Director: Brian J. Smith | Management | For | For | For | |
| 2. | Advisory Vote on Executive Compensation. | Management | For | For | For | |
| 3. | Ratification of the Appointment of Deloitte & Touche LLP as the Company’s Independent Registered Public Accounting Firm. | Management | For | For | For | |
| 4. | Advisory Vote on the Frequency of the Executive Compensation Advisory Vote. | Management | 1 Year | 1 Year | For |
| ROYAL CARIBBEAN CRUISES LTD. | ||||
| Security | V7780T103 | Meeting Type | Annual | |
| Ticker Symbol | RCL | Meeting Date | 02-Jun-2021 | |
| ISIN | LR0008862868 | Agenda | 935411215 - Management | |
| Record Date | 08-Apr-2021 | Holding Recon Date | 08-Apr-2021 | |
| City / Country | /
United States |
Vote Deadline Date | 01-Jun-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |
| 1A. | Election of Director: John F. Brock | Management | Against | For | Against | |
| 1B. | Election of Director: Richard D. Fain | Management | For | For | For | |
| 1C. | Election of Director: Stephen R. Howe, Jr. | Management | Against | For | Against | |
| 1D. | Election of Director: William L. Kimsey | Management | Against | For | Against | |
| 1E. | Election of Director: Amy McPherson | Management | For | For | For | |
| 1F. | Election of Director: Maritza G. Montiel | Management | For | For | For | |
| 1G. | Election of Director: Ann S. Moore | Management | For | For | For | |
| 1H. | Election of Director: Eyal M. Ofer | Management | Against | For | Against | |
| 1I. | Election of Director: William K. Reilly | Management | For | For | For | |
| 1J. | Election of Director: Vagn O. Sørensen | Management | Against | For | Against | |
| 1K. | Election of Director: Donald Thompson | Management | For | For | For | |
| 1L. | Election of Director: Arne Alexander Wilhelmsen | Management | Against | For | Against | |
| 2. | Advisory approval of the Company’s compensation of its named executive officers. | Management | Against | For | Against | |
| 3. | Approval of the amendment to the Company’s 1994 Employee Stock Purchase Plan. | Management | For | For | For | |
| 4. | Ratification of the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for 2021. | Management | For | For | For | |
| 5. | The shareholder proposal regarding political contributions disclosure. | Shareholder | For | Against | Against |
| AERSALE CORPORATION | ||||
| Security | 00810F106 | Meeting Type | Annual | |
| Ticker Symbol | ASLE | Meeting Date | 15-Jun-2021 | |
| ISIN | US00810F1066 | Agenda | 935419881 - Management | |
| Record Date | 22-Apr-2021 | Holding Recon Date | 22-Apr-2021 | |
| City / Country | /
United States |
Vote Deadline Date | 14-Jun-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |
| 1A. | Election of Director: Nicolas Finazzo | Management | Against | For | Against | |
| 1B. | Election of Director: Robert B. Nichols | Management | Against | For | Against | |
| 1C. | Election of Director: Sai S. Devabhaktuni | Management | Against | For | Against | |
| 1D. | Election of Director: General C. Robert Kehler | Management | Against | For | Against | |
| 1E. | Election of Director: Michael Kirton | Management | Against | For | Against | |
| 1F. | Election of Director: Peter Nolan | Management | Against | For | Against | |
| 1G. | Election of Director: Jonathan Seiffer | Management | Against | For | Against | |
| 1H. | Election of Director: Richard J. Townsend | Management | Against | For | Against | |
| 1I. | Election of Director: Eric J. Zahler | Management | Against | For | Against | |
| 2. | Ratification of the appointment of Grant Thornton LLP as the Company’s independent registered public accounting firm. | Management | For | For | For | |
| 3. | Approval of amendments to the Company’s Amended and Restated Certificate of Incorporation, as amended, to provide that any director or the entire board of directors may be removed with or without cause, and to clarify the director vacancy provision. | Management | Against | For | Against |
| NEW FORTRESS ENERGY INC | ||||
| Security | 644393100 | Meeting Type | Annual | |
| Ticker Symbol | NFE | Meeting Date | 15-Jun-2021 | |
| ISIN | US6443931000 | Agenda | 935427559 - Management | |
| Record Date | 23-Apr-2021 | Holding Recon Date | 23-Apr-2021 | |
| City / Country | /
United States |
Vote Deadline Date | 14-Jun-2021 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||
| 1. | DIRECTOR | Management | |||||
| 1 | David J. Grain | Withheld | For | Against | |||
| 2 | C. William Griffin | Withheld | For | Against | |||
| 2. | To ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm for New Fortress Energy Inc. for fiscal year 2021. | Management | For | For | For | ||
| 3. | To approve, by a non-binding advisory vote, the compensation of our named executive officers. | Management | For | For | For | ||
| 4. | To approve, by a non-binding advisory vote, the frequency of future advisory votes on executive compensation. | Management | 1 Year | 3 Years | Against | ||
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 Herzfeld Caribbean Basin Fund, Inc. | ||
| By (Signature and Title)* | /s/ Erik M. Herzfeld - President | ||
| Date | August 27, 2021 |
* Print the name and title of each signing officer.