--------------------------
OMB APPROVAL
--------------------------
OMB Number: 3235-0582
Expires: May 31, 2021
Estimated average burden
hours per response…7.2
---------------------------
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: 811-21720
Northern Lights Fund Trust
________________________________________________________________________
(Exact name of registrant as specified in charter)
225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246
(Address of principal executive offices) (Zip code)
Stephanie Shearer
Gemini Fund Services, LLC
80 Arkay Drive
Hauppauge, New York 11788
________________________________________________________________________
(Name and address of agent for service)
Registrant's telephone number, including area code: (631) 470-2600
Date of fiscal year end: March 31, April 30, June 30, July 31, September 31, November 30 and December 31
Date of reporting period: July 1, 2020 - June 30, 2021
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss. 239.24and 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.
ITEM 1. PROXY VOTING RECORD: (see attached table)
Appended hereto as Exhibits A through UU is the following information indicating for each matter relating to a portfolio security owned by the Registrant considered at any shareholder meeting held during the twelve month period ended June 30, 2014 with respect to which the Registrant was entitled to vote:
(a) The name of the issuer of the portfolio security;
(b) The exchange ticker symbol of the portfolio security;
(c) The Council on Uniform Securities Identification Procedures ("CUSIP") number for the portfolio security;
(d) The shareholder meeting date;
(e) A brief identification of the matter voted on;
(f) Whether the matter was proposed by the issuer or by a security holder;
(g) Whether the Registrant cast its vote on the matter;
(h) How the Registrant cast its vote (e.g., for or against proposal, or abstain; for or withhold regarding election of directors); and
(i) Whether the Registrant cast its vote for or against management.
Registrant: NORTHERN LIGHTS FUND TRUST - Astor Dynamic Allocation Fund | Item 1, Exhibit 5 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | N/A There were no Proxies voted during the reporting period. | |||||||||
2 |
Registrant: NORTHERN LIGHTS FUND TRUST - Astor Macro Alternative Fund | Item 1, Exhibit 6 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | N/A There were no Proxies voted during the reporting period. | |||||||||
2 |
Registrant: NORTHERN LIGHTS FUND TRUST - Astor Sector Allocation Fund | Item 1, Exhibit 7 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | N/A There were no Proxies voted during the reporting period. | |||||||||
2 |
Registrant: NORTHERN LIGHTS FUND TRUST - Athena Behavioral Tactical Fund | Item 1, Exhibit 8 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | N/A There were no Proxies voted during the reporting period. | |||||||||
2 |
Registrant: NORTHERN LIGHTS FUND TRUST - Biondo Focus Fund | Item 1, Exhibit 10 | ||||||||||||
Investment Company Act file number: 811-21720 | |||||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | |||||||||||||
Investment Company Report - Operating Acct | |||||||||||||
BED BATH & BEYOND INC. | |||||||||||||
Security | 075896100 | Meeting Type | Annual | ||||||||||
Ticker Symbol | BBBY | Meeting Date | 14-Jul-2020 | ||||||||||
ISIN | US0758961009 | Agenda | 935241238 - Management | ||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
1A. | Election of Director: Harriet Edelman | Management | For | For | |||||||||
1B. | Election of Director: Mark J. Tritton | Management | For | For | |||||||||
1C. | Election of Director: John E. Fleming | Management | For | For | |||||||||
1D. | Election of Director: Sue E. Gove | Management | For | For | |||||||||
1E. | Election of Director: Jeffrey A. Kirwan | Management | For | For | |||||||||
1F. | Election of Director: Johnathan B. (JB) Osborne | Management | For | For | |||||||||
1G. | Election of Director: Harsha Ramalingam | Management | For | For | |||||||||
1H. | Election of Director: Virginia P. Ruesterholz | Management | For | For | |||||||||
1I. | Election of Director: Joshua E. Schechter | Management | For | For | |||||||||
1J. | Election of Director: Andrea Weiss | Management | For | For | |||||||||
1K. | Election of Director: Mary A. Winston | Management | For | For | |||||||||
1L. | Election of Director: Ann Yerger | Management | For | For | |||||||||
2. | To ratify the appointment of KPMG LLP as independent auditors for the 2020 fiscal year. | Management | For | For | |||||||||
3. | To approve, by non-binding vote, the 2019 compensation paid to the Company's Named Executive Officers (commonly known as a "say-on-pay" proposal). | Management | For | For | |||||||||
EXACT SCIENCES CORPORATION | |||||||||||||
Security | 30063P105 | Meeting Type | Annual | ||||||||||
Ticker Symbol | EXAS | Meeting Date | 23-Jul-2020 | ||||||||||
ISIN | US30063P1057 | Agenda | 935236706 - Management | ||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
1. | DIRECTOR | Management | |||||||||||
1 | Eli Casdin | For | For | ||||||||||
2 | James E. Doyle | For | For | ||||||||||
3 | Freda Lewis-Hall | For | For | ||||||||||
4 | Kathleen Sebelius | For | For | ||||||||||
2. | To ratify the appointment of PricewaterhouseCoopers, LLP as the Company's independent registered public accounting firm for 2020. | Management | For | For | |||||||||
3. | To approve on an advisory basis the compensation of the Company's named executive officers. | Management | For | For | |||||||||
4. | To approve an amendment to the Company's Certificate of Incorporation increasing the number of authorized shares of common stock from 200,000,000 shares to 400,000,000 shares. | Management | For | For | |||||||||
ABIOMED, INC. | |||||||||||||
Security | 003654100 | Meeting Type | Annual | ||||||||||
Ticker Symbol | ABMD | Meeting Date | 12-Aug-2020 | ||||||||||
ISIN | US0036541003 | Agenda | 935242761 - Management | ||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
1. | DIRECTOR | Management | |||||||||||
1 | Dorothy E. Puhy | For | For | ||||||||||
2 | Paul G. Thomas | For | For | ||||||||||
3 | C.D. Van Gorder | For | For | ||||||||||
2. | Approval, by non-binding advisory vote, of the compensation of our named executive officers. | Management | For | For | |||||||||
3. | Ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending March 31, 2021. | Management | For | For | |||||||||
ALIBABA GROUP HOLDING LIMITED | |||||||||||||
Security | 01609W102 | Meeting Type | Annual | ||||||||||
Ticker Symbol | BABA | Meeting Date | 30-Sep-2020 | ||||||||||
ISIN | US01609W1027 | Agenda | 935265086 - Management | ||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
1. | Amend and restate the Company's Memorandum and Articles of Association to expressly permit completely virtual shareholders' meetings and reflect such updates as are detailed in the proxy statement and set forth in Exhibit A thereto. | Management | For | For | |||||||||
2.1 | Election of Director: MAGGIE WEI WU (To serve for a three year term or until such director's successor is elected or appointed and duly qualified). | Management | For | For | |||||||||
2.2 | Election of Director: KABIR MISRA (To serve for a three year term or until such director's successor is elected or appointed and duly qualified). | Management | For | For | |||||||||
2.3 | Election of Director: WALTER TEH MING KWAUK (To serve for a three year term or until such director's successor is elected or appointed and duly qualified). | Management | For | For | |||||||||
3. | Ratify the appointment of PricewaterhouseCoopers as the independent registered public accounting firm of the Company for the fiscal year ending March 31, 2021. | Management | For | For | |||||||||
ATLASSIAN CORPORATION PLC | |||||||||||||
Security | G06242104 | Meeting Type | Annual | ||||||||||
Ticker Symbol | TEAM | Meeting Date | 03-Dec-2020 | ||||||||||
ISIN | GB00BZ09BD16 | Agenda | 935287513 - Management | ||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
1. | To receive the Company's accounts and the reports of the directors and the auditors for the year ended June 30, 2020 (the Annual Report). | Management | For | For | |||||||||
2. | To approve the Directors' Remuneration Report, as set forth in the Annual Report. | Management | For | For | |||||||||
3. | To reappoint Ernst & Young LLP as auditor of the Company to hold office until the conclusion of the next annual general meeting of the Company. | Management | For | For | |||||||||
4. | To authorize the Audit Committee of the Board of Directors to determine the remuneration of the auditor. | Management | For | For | |||||||||
5. | To re-elect Shona L. Brown as a director of the Company. | Management | For | For | |||||||||
6. | To re-elect Michael Cannon-Brookes as a director of the Company. | Management | For | For | |||||||||
7. | To re-elect Scott Farquhar as a director of the Company. | Management | For | For | |||||||||
8. | To re-elect Heather Mirjahangir Fernandez as a director of the Company. | Management | For | For | |||||||||
9. | To re-elect Sasan Goodarzi as a director of the Company. | Management | For | For | |||||||||
10. | To re-elect Jay Parikh as a director of the Company. | Management | For | For | |||||||||
11. | To re-elect Enrique Salem as a director of the Company. | Management | For | For | |||||||||
12. | To re-elect Steven Sordello as a director of the Company. | Management | For | For | |||||||||
13. | To re-elect Richard P. Wong as a director of the Company. | Management | For | For | |||||||||
14. | To consider and, if thought fit, pass the following as an ordinary resolution: That the Company be generally and unconditionally authorized in accordance with section 693A of the Companies Act 2006 to make off-market purchases (within the meaning of section 693 of the Companies Act 2006) of its own Class A ordinary shares for the purposes of, or pursuant to, an employee share scheme (within the meaning of section 1166 of the Companies Act 2006). | Management | For | For | |||||||||
15. | To consider and, if thought fit, pass the following as an ordinary resolution: That the Company be authorized pursuant to section 694 of Companies Act 2006 to repurchase up to a maximum of 65,081 of its own Class A ordinary shares pursuant to, & on terms described in, a Securities Restriction Agreement and produced at meeting ("Securities Restriction Agreement") & that the terms, & entry into, of Securities Restriction Agreement is hereby approved, ratified & confirmed (authority conferred on Company by this Resolution 15 to expire on December 3, 2025). | Management | For | For | |||||||||
APPLE INC. | |||||||||||||
Security | 037833100 | Meeting Type | Annual | ||||||||||
Ticker Symbol | AAPL | Meeting Date | 23-Feb-2021 | ||||||||||
ISIN | US0378331005 | Agenda | 935323167 - 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: Monica Lozano | Management | For | For | |||||||||
1G. | Election of Director: Ron Sugar | Management | For | For | |||||||||
1H. | 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 fiscal 2021. | 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 entitled "Shareholder Proposal to Improve Executive Compensation Program". | Shareholder | Against | For | |||||||||
ADOBE INC | |||||||||||||
Security | 00724F101 | Meeting Type | Annual | ||||||||||
Ticker Symbol | ADBE | Meeting Date | 20-Apr-2021 | ||||||||||
ISIN | US00724F1012 | Agenda | 935343412 - Management | ||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
1A. | Election of Director for a term of one year: Amy Banse | Management | For | For | |||||||||
1B. | Election of Director for a term of one year: Melanie Boulden | Management | For | For | |||||||||
1C. | Election of Director for a term of one year: Frank Calderoni | Management | For | For | |||||||||
1D. | Election of Director for a term of one year: James Daley | Management | For | For | |||||||||
1E. | Election of Director for a term of one year: Laura Desmond | Management | For | For | |||||||||
1F. | Election of Director for a term of one year: Shantanu Narayen | Management | For | For | |||||||||
1G. | Election of Director for a term of one year: Kathleen Oberg | Management | For | For | |||||||||
1H. | Election of Director for a term of one year: Dheeraj Pandey | Management | For | For | |||||||||
1I. | Election of Director for a term of one year: David Ricks | Management | For | For | |||||||||
1J. | Election of Director for a term of one year: Daniel Rosensweig | Management | For | For | |||||||||
1K. | Election of Director for a term of one year: John Warnock | Management | For | For | |||||||||
2. | Approve the Adobe Inc. 2019 Equity Incentive Plan, as amended, to increase the available share reserve by 6 million shares. | Management | For | For | |||||||||
3. | Ratify the appointment of KPMG LLP as our independent registered public accounting firm for our fiscal year ending on December 3, 2021. | Management | For | For | |||||||||
4. | Approve, on an advisory basis, the compensation of our named executive officers. | Management | For | For | |||||||||
SVB FINANCIAL GROUP | |||||||||||||
Security | 78486Q101 | Meeting Type | Annual | ||||||||||
Ticker Symbol | SIVB | Meeting Date | 22-Apr-2021 | ||||||||||
ISIN | US78486Q1013 | Agenda | 935339982 - Management | ||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
1. | DIRECTOR | Management | |||||||||||
1 | Greg Becker | For | For | ||||||||||
2 | Eric Benhamou | For | For | ||||||||||
3 | John Clendening | For | For | ||||||||||
4 | Richard Daniels | For | For | ||||||||||
5 | Alison Davis | For | For | ||||||||||
6 | Roger Dunbar | For | For | ||||||||||
7 | Joel Friedman | For | For | ||||||||||
8 | Jeffrey Maggioncalda | For | For | ||||||||||
9 | Beverly Kay Matthews | For | For | ||||||||||
10 | Mary Miller | For | For | ||||||||||
11 | Kate Mitchell | For | For | ||||||||||
12 | Garen Staglin | For | For | ||||||||||
2. | To approve, on an advisory basis, our executive compensation ("Say on Pay"). | Management | For | For | |||||||||
3. | To ratify the appointment of KPMG LLP as the Company's independent registered public accounting firm for its fiscal year ending December 31, 2021. | Management | For | For | |||||||||
INTUITIVE SURGICAL, INC. | |||||||||||||
Security | 46120E602 | Meeting Type | Annual | ||||||||||
Ticker Symbol | ISRG | Meeting Date | 22-Apr-2021 | ||||||||||
ISIN | US46120E6023 | Agenda | 935347460 - Management | ||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
1A. | Election of Director: Craig H. Barratt, Ph.D. | Management | For | For | |||||||||
1B. | Election of Director: Joseph C. Beery | Management | For | For | |||||||||
1C. | Election of Director: Gary S. Guthart, Ph.D. | Management | For | For | |||||||||
1D. | Election of Director: Amal M. Johnson | Management | For | For | |||||||||
1E. | Election of Director: Don R. Kania, Ph.D. | Management | For | For | |||||||||
1F. | Election of Director: Amy L. Ladd, M.D. | Management | For | For | |||||||||
1G. | Election of Director: Keith R. Leonard, Jr. | Management | For | For | |||||||||
1H. | Election of Director: Alan J. Levy, Ph.D. | Management | For | For | |||||||||
1I. | Election of Director: Jami Dover Nachtsheim | Management | For | For | |||||||||
1J. | Election of Director: Monica P. Reed, M.D. | Management | For | For | |||||||||
1K. | Election of Director: Mark J. Rubash | Management | For | For | |||||||||
2. | To approve, by advisory vote, the compensation of the Company's Named Executive Officers. | Management | For | For | |||||||||
3. | The ratification of appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | For | For | |||||||||
4. | To approve the Company's Amended and Restated 2010 Incentive Award Plan. | Management | For | For | |||||||||
EDWARDS LIFESCIENCES CORPORATION | |||||||||||||
Security | 28176E108 | Meeting Type | Annual | ||||||||||
Ticker Symbol | EW | Meeting Date | 04-May-2021 | ||||||||||
ISIN | US28176E1082 | Agenda | 935354035 - Management | ||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
1.1 | Election of Director: Kieran T. Gallahue | Management | For | For | |||||||||
1.2 | Election of Director: Leslie S. Heisz | Management | For | For | |||||||||
1.3 | Election of Director: Paul A. LaViolette | Management | For | For | |||||||||
1.4 | Election of Director: Steven R. Loranger | Management | For | For | |||||||||
1.5 | Election of Director: Martha H. Marsh | Management | For | For | |||||||||
1.6 | Election of Director: Michael A. Mussallem | Management | For | For | |||||||||
1.7 | Election of Director: Ramona Sequeira | Management | For | For | |||||||||
1.8 | Election of Director: Nicholas J. Valeriani | Management | For | For | |||||||||
2. | Advisory Vote to Approve Named Executive Officer Compensation. | Management | For | For | |||||||||
3. | Approval of the Amendment and Restatement of the Company's 2001 Employee Stock Purchase Plan for United States Employees (the "U.S. ESPP") to Increase the Total Number of Shares of Common Stock Available for Issuance under the U.S. ESPP by 3,300,000 Shares. | Management | For | For | |||||||||
4. | Approval of the Amendment and Restatement of the Company's 2001 Employee Stock Purchase Plan for International Employees (the "International ESPP") to Increase the Total Number of Shares of Common Stock Available for Issuance under the International ESPP by 1,200,000 Shares. | 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 | |||||||||
7. | Advisory Vote on a Stockholder Proposal to Adopt a Policy to Include Non-Management Employees as Prospective Director Candidates. | Shareholder | Against | For | |||||||||
VERTEX PHARMACEUTICALS INCORPORATED | |||||||||||||
Security | 92532F100 | Meeting Type | Annual | ||||||||||
Ticker Symbol | VRTX | Meeting Date | 19-May-2021 | ||||||||||
ISIN | US92532F1003 | Agenda | 935383959 - Management | ||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
1A. | Election of Director: Sangeeta Bhatia | Management | For | For | |||||||||
1B. | Election of Director: Lloyd Carney | Management | For | For | |||||||||
1C. | Election of Director: Alan Garber | Management | For | For | |||||||||
1D. | Election of Director: Terrence Kearney | Management | For | For | |||||||||
1E. | Election of Director: Reshma Kewalramani | Management | For | For | |||||||||
1F. | Election of Director: Yuchun Lee | Management | For | For | |||||||||
1G. | Election of Director: Jeffrey Leiden | Management | For | For | |||||||||
1H. | Election of Director: Margaret McGlynn | Management | For | For | |||||||||
1I. | Election of Director: Diana McKenzie | Management | For | For | |||||||||
1J. | Election of Director: Bruce Sachs | Management | For | For | |||||||||
2. | Ratification of Ernst & Young LLP as independent Registered Public Accounting firm for the year ending December 31, 2021. | Management | For | For | |||||||||
3. | Advisory vote to approve named executive officer compensation. | Management | For | For | |||||||||
4. | Shareholder proposal, if properly presented at the meeting, regarding a report on lobbying activities. | Shareholder | Against | For | |||||||||
5. | Shareholder proposal, if properly presented at the meeting, regarding a report on political spending. | Shareholder | Against | For | |||||||||
ILLUMINA, INC. | |||||||||||||
Security | 452327109 | Meeting Type | Annual | ||||||||||
Ticker Symbol | ILMN | Meeting Date | 26-May-2021 | ||||||||||
ISIN | US4523271090 | Agenda | 935395485 - Management | ||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
1A. | Election of Director: Caroline D. Dorsa | Management | For | For | |||||||||
1B. | Election of Director: Robert S. Epstein, M.D. | Management | For | For | |||||||||
1C. | Election of Director: Scott Gottlieb, M.D. | Management | For | For | |||||||||
1D. | Election of Director: Gary S. Guthart | Management | For | For | |||||||||
1E. | Election of Director: Philip W. Schiller | Management | For | For | |||||||||
1F. | Election of Director: John W. Thompson | Management | For | For | |||||||||
2. | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending January 2, 2022. | Management | For | For | |||||||||
3. | To approve, on an advisory basis, the compensation of the named executive officers as disclosed in the Proxy Statement. | Management | For | For | |||||||||
AMAZON.COM, INC. | |||||||||||||
Security | 023135106 | Meeting Type | Annual | ||||||||||
Ticker Symbol | AMZN | Meeting Date | 26-May-2021 | ||||||||||
ISIN | US0231351067 | Agenda | 935397592 - Management | ||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
1A. | Election of Director: Jeffrey P. Bezos | Management | For | For | |||||||||
1B. | Election of Director: Keith B. Alexander | 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. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CUSTOMER DUE DILIGENCE. | Shareholder | Against | For | |||||||||
5. | SHAREHOLDER PROPOSAL REQUESTING A MANDATORY INDEPENDENT BOARD CHAIR POLICY. | Shareholder | Against | For | |||||||||
6. | SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL REPORTING ON GENDER/RACIAL PAY. | Shareholder | Against | For | |||||||||
7. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON PROMOTION DATA. | Shareholder | Against | For | |||||||||
8. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON PACKAGING MATERIALS. | Shareholder | Against | For | |||||||||
9. | SHAREHOLDER PROPOSAL REQUESTING A DIVERSITY AND EQUITY AUDIT REPORT. | Shareholder | Against | For | |||||||||
10. | SHAREHOLDER PROPOSAL REQUESTING AN ALTERNATIVE DIRECTOR CANDIDATE POLICY. | Shareholder | Against | For | |||||||||
11. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON COMPETITION STRATEGY AND RISK. | Shareholder | Against | For | |||||||||
12. | SHAREHOLDER PROPOSAL REQUESTING AN ADDITIONAL REDUCTION IN THRESHOLD FOR CALLING SPECIAL SHAREHOLDER MEETINGS. | Shareholder | Against | For | |||||||||
13. | SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL REPORTING ON LOBBYING. | Shareholder | Against | For | |||||||||
14. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CUSTOMER USE OF CERTAIN TECHNOLOGIES. | Shareholder | Against | For | |||||||||
ALPHABET INC. | |||||||||||||
Security | 02079K305 | Meeting Type | Annual | ||||||||||
Ticker Symbol | GOOGL | Meeting Date | 02-Jun-2021 | ||||||||||
ISIN | US02079K3059 | Agenda | 935406264 - Management | ||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
1A. | Election of Director: Larry Page | Management | For | For | |||||||||
1B. | Election of Director: Sergey Brin | Management | For | For | |||||||||
1C. | Election of Director: Sundar Pichai | Management | For | For | |||||||||
1D. | Election of Director: John L. Hennessy | Management | For | For | |||||||||
1E. | Election of Director: Frances H. Arnold | Management | For | For | |||||||||
1F. | Election of Director: L. John Doerr | Management | For | For | |||||||||
1G. | Election of Director: Roger W. Ferguson Jr. | Management | For | For | |||||||||
1H. | Election of Director: Ann Mather | Management | For | For | |||||||||
1I. | Election of Director: Alan R. Mulally | Management | For | For | |||||||||
1J. | Election of Director: K. Ram Shriram | Management | For | For | |||||||||
1K. | Election of Director: Robin L. Washington | Management | 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, 2021. | Management | For | For | |||||||||
3. | Approval of Alphabet's 2021 Stock Plan. | Management | For | For | |||||||||
4. | A stockholder proposal regarding equal shareholder voting, if properly presented at the meeting. | Shareholder | Against | For | |||||||||
5. | A stockholder proposal regarding the nomination of human rights and/or civil rights expert to the board, if properly presented at the meeting. | Shareholder | Against | For | |||||||||
6. | A stockholder proposal regarding a report on sustainability metrics, if properly presented at the meeting. | Shareholder | Against | For | |||||||||
7. | A stockholder proposal regarding a report on takedown requests, if properly presented at the meeting. | Shareholder | Against | For | |||||||||
8. | A stockholder proposal regarding a report on whistleblower policies and practices, if properly presented at the meeting. | Shareholder | Against | For | |||||||||
9. | A stockholder proposal regarding a report on charitable contributions, if properly presented at the meeting. | Shareholder | Against | For | |||||||||
10. | A stockholder proposal regarding a report on risks related to anticompetitive practices, if properly presented at the meeting. | Shareholder | Against | For | |||||||||
11. | A stockholder proposal regarding a transition to a public benefit corporation, if properly presented at the meeting. | Shareholder | Against | For | |||||||||
SERVICENOW, INC. | |||||||||||||
Security | 81762P102 | Meeting Type | Annual | ||||||||||
Ticker Symbol | NOW | Meeting Date | 07-Jun-2021 | ||||||||||
ISIN | US81762P1021 | Agenda | 935416746 - Management | ||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
1A. | Election of Director: Susan L. Bostrom | Management | For | For | |||||||||
1B. | Election of Director: Jonathan C. Chadwick | Management | For | For | |||||||||
1C. | Election of Director: Lawrence J. Jackson, Jr. | Management | For | For | |||||||||
1D. | Election of Director: Frederic B. Luddy | Management | For | For | |||||||||
1E. | Election of Director: Jeffrey A. Miller | Management | For | For | |||||||||
2. | To approve, on an advisory basis, the compensation of our Named Executive Officers ("Say-on-Pay"). | Management | For | For | |||||||||
3. | To ratify PricewaterhouseCoopers LLP as the independent registered public accounting firm for 2021. | Management | For | For | |||||||||
4. | To approve an amendment to our Restated Certificate of Incorporation, as amended, to provide shareholders with the right to call a special meeting. | Management | For | For | |||||||||
5. | To approve the 2021 Equity Incentive Plan to replace the 2012 Equity Incentive Plan. | Management | For | For | |||||||||
6. | To approve the Amended and Restated 2012 Employee Stock Purchase Plan. | Management | For | For | |||||||||
REATA PHARMACEUTICALS, INC. | |||||||||||||
Security | 75615P103 | Meeting Type | Annual | ||||||||||
Ticker Symbol | RETA | Meeting Date | 10-Jun-2021 | ||||||||||
ISIN | US75615P1030 | Agenda | 935416657 - Management | ||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
1. | DIRECTOR | Management | |||||||||||
1 | William D. McClellan Jr | For | For | ||||||||||
2 | William E. Rose | For | For | ||||||||||
2. | To approve, on an advisory basis, the compensation of our named executive officers. | Management | For | For | |||||||||
3. | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | For | For | |||||||||
IOVANCE BIOTHERAPEUTICS, INC. | |||||||||||||
Security | 462260100 | Meeting Type | Annual | ||||||||||
Ticker Symbol | IOVA | Meeting Date | 11-Jun-2021 | ||||||||||
ISIN | US4622601007 | Agenda | 935419324 - Management | ||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
1. | DIRECTOR | Management | |||||||||||
1 | Iain Dukes, D. Phil | For | For | ||||||||||
2 | Maria Fardis, Ph.D, MBA | For | For | ||||||||||
3 | Athena Countouriotis MD | For | For | ||||||||||
4 | Ryan Maynard | For | For | ||||||||||
5 | Merrill A. McPeak | For | For | ||||||||||
6 | Wayne P. Rothbaum | For | For | ||||||||||
7 | Michael Weiser MD Ph.D | For | For | ||||||||||
2. | To approve, by non-binding advisory vote, the compensation of our named executive officers. | Management | For | For | |||||||||
3. | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for our fiscal year ending December 31, 2021. | Management | For | For | |||||||||
SQUARE, INC. | |||||||||||||
Security | 852234103 | Meeting Type | Annual | ||||||||||
Ticker Symbol | SQ | Meeting Date | 15-Jun-2021 | ||||||||||
ISIN | US8522341036 | Agenda | 935420860 - Management | ||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
1. | DIRECTOR | Management | |||||||||||
1 | Randy Garutti | For | For | ||||||||||
2 | Mary Meeker | For | For | ||||||||||
3 | Lawrence Summers | For | For | ||||||||||
4 | Darren Walker | For | For | ||||||||||
2. | ADVISORY VOTE ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | |||||||||
3. | RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR OUR FISCAL YEAR ENDING DECEMBER 31, 2021. | Management | For | For | |||||||||
4. | STOCKHOLDER PROPOSAL, IF PROPERLY PRESENTED AT THE MEETING, REGARDING AN INDEPENDENT CHAIR. | Shareholder | Against | For | |||||||||
5. | STOCKHOLDER PROPOSAL, IF PROPERLY PRESENTED AT THE MEETING, REGARDING A CHANGE IN STOCKHOLDER VOTING. | Shareholder | Against | For | |||||||||
BED BATH & BEYOND INC. | |||||||||||||
Security | 075896100 | Meeting Type | Annual | ||||||||||
Ticker Symbol | BBBY | Meeting Date | 17-Jun-2021 | ||||||||||
ISIN | US0758961009 | Agenda | 935440090 - Management | ||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
1A. | Election of Director to serve until the 2022 Annual Meeting: Harriet Edelman | Management | For | For | |||||||||
1B. | Election of Director to serve until the 2022 Annual Meeting: Mark J. Tritton | Management | For | For | |||||||||
1C. | Election of Director to serve until the 2022 Annual Meeting: John E. Fleming | Management | For | For | |||||||||
1D. | Election of Director to serve until the 2022 Annual Meeting: Sue E. Gove | Management | For | For | |||||||||
1E. | Election of Director to serve until the 2022 Annual Meeting: Jeffrey A. Kirwan | Management | For | For | |||||||||
1F. | Election of Director to serve until the 2022 Annual Meeting: Virginia P. Ruesterholz | Management | For | For | |||||||||
1G. | Election of Director to serve until the 2022 Annual Meeting: Joshua E. Schechter | Management | For | For | |||||||||
1H. | Election of Director to serve until the 2022 Annual Meeting: Andrea M. Weiss | Management | For | For | |||||||||
1I. | Election of Director to serve until the 2022 Annual Meeting: Mary A. Winston | Management | For | For | |||||||||
1J. | Election of Director to serve until the 2022 Annual Meeting: Ann Yerger | Management | For | For | |||||||||
2. | To ratify the appointment of KPMG LLP as independent auditors for the 2021 fiscal year. | Management | For | For | |||||||||
3. | To approve, by non-binding vote, the 2020 compensation paid to the Company's Named Executive Officers (commonly known as a "say-on-pay" proposal). | Management | For | For | |||||||||
MASTERCARD INCORPORATED | |||||||||||||
Security | 57636Q104 | Meeting Type | Annual | ||||||||||
Ticker Symbol | MA | Meeting Date | 22-Jun-2021 | ||||||||||
ISIN | US57636Q1040 | Agenda | 935420644 - Management | ||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
1A. | Election of Director: Ajay Banga | Management | For | For | |||||||||
1B. | Election of Director: Merit E. Janow | 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: Oki Matsumoto | Management | For | For | |||||||||
1H. | Election of Director: Michael Miebach | 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 2021. | Management | For | For | |||||||||
4. | Approval of the amendment and restatement of the Mastercard Incorporated 2006 Long Term Incentive Plan. | Management | For | For | |||||||||
5. | Approval of the amendment and restatement of the Mastercard Incorporated 2006 Non-Employee Director Equity Compensation Plan. | Management | For | For | |||||||||
6. | Approval of amendments to Mastercard's Certificate of Incorporation to remove supermajority voting requirements. | Management | For | For | |||||||||
EXACT SCIENCES CORPORATION | |||||||||||||
Security | 30063P105 | Meeting Type | Annual | ||||||||||
Ticker Symbol | EXAS | Meeting Date | 30-Jun-2021 | ||||||||||
ISIN | US30063P1057 | Agenda | 935434960 - Management | ||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
1. | DIRECTOR | Management | |||||||||||
1 | Paul Clancy | For | For | ||||||||||
2 | Pierre Jacquet | For | For | ||||||||||
3 | Daniel Levangie | For | For | ||||||||||
2. | To ratify the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2021. | Management | For | For | |||||||||
3. | To approve, on an advisory basis, the compensation of the Company's named executive officers. | Management | For | For | |||||||||
Investment Company Report - Biondo Focus Fund Collateral Acct | |||||||||||||
APPLE INC. | |||||||||||||
Security | 037833100 | Meeting Type | Annual | ||||||||||
Ticker Symbol | AAPL | Meeting Date | 23-Feb-2021 | ||||||||||
ISIN | US0378331005 | Agenda | 935323167 - 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: Monica Lozano | Management | For | For | |||||||||
1G. | Election of Director: Ron Sugar | Management | For | For | |||||||||
1H. | 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 fiscal 2021. | 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 entitled "Shareholder Proposal to Improve Executive Compensation Program". | Shareholder | Against | For | |||||||||
INTUITIVE SURGICAL, INC. | |||||||||||||
Security | 46120E602 | Meeting Type | Annual | ||||||||||
Ticker Symbol | ISRG | Meeting Date | 22-Apr-2021 | ||||||||||
ISIN | US46120E6023 | Agenda | 935347460 - Management | ||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
1A. | Election of Director: Craig H. Barratt, Ph.D. | Management | For | For | |||||||||
1B. | Election of Director: Joseph C. Beery | Management | For | For | |||||||||
1C. | Election of Director: Gary S. Guthart, Ph.D. | Management | For | For | |||||||||
1D. | Election of Director: Amal M. Johnson | Management | For | For | |||||||||
1E. | Election of Director: Don R. Kania, Ph.D. | Management | For | For | |||||||||
1F. | Election of Director: Amy L. Ladd, M.D. | Management | For | For | |||||||||
1G. | Election of Director: Keith R. Leonard, Jr. | Management | For | For | |||||||||
1H. | Election of Director: Alan J. Levy, Ph.D. | Management | For | For | |||||||||
1I. | Election of Director: Jami Dover Nachtsheim | Management | For | For | |||||||||
1J. | Election of Director: Monica P. Reed, M.D. | Management | For | For | |||||||||
1K. | Election of Director: Mark J. Rubash | Management | For | For | |||||||||
2. | To approve, by advisory vote, the compensation of the Company's Named Executive Officers. | Management | For | For | |||||||||
3. | The ratification of appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | For | For | |||||||||
4. | To approve the Company's Amended and Restated 2010 Incentive Award Plan. | Management | For | For | |||||||||
ILLUMINA, INC. | |||||||||||||
Security | 452327109 | Meeting Type | Annual | ||||||||||
Ticker Symbol | ILMN | Meeting Date | 26-May-2021 | ||||||||||
ISIN | US4523271090 | Agenda | 935395485 - Management | ||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
1A. | Election of Director: Caroline D. Dorsa | Management | For | For | |||||||||
1B. | Election of Director: Robert S. Epstein, M.D. | Management | For | For | |||||||||
1C. | Election of Director: Scott Gottlieb, M.D. | Management | For | For | |||||||||
1D. | Election of Director: Gary S. Guthart | Management | For | For | |||||||||
1E. | Election of Director: Philip W. Schiller | Management | For | For | |||||||||
1F. | Election of Director: John W. Thompson | Management | For | For | |||||||||
2. | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending January 2, 2022. | Management | For | For | |||||||||
3. | To approve, on an advisory basis, the compensation of the named executive officers as disclosed in the Proxy Statement. | Management | For | For | |||||||||
MASTERCARD INCORPORATED | |||||||||||||
Security | 57636Q104 | Meeting Type | Annual | ||||||||||
Ticker Symbol | MA | Meeting Date | 22-Jun-2021 | ||||||||||
ISIN | US57636Q1040 | Agenda | 935420644 - Management | ||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
1A. | Election of Director: Ajay Banga | Management | For | For | |||||||||
1B. | Election of Director: Merit E. Janow | 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: Oki Matsumoto | Management | For | For | |||||||||
1H. | Election of Director: Michael Miebach | 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 2021. | Management | For | For | |||||||||
4. | Approval of the amendment and restatement of the Mastercard Incorporated 2006 Long Term Incentive Plan. | Management | For | For | |||||||||
5. | Approval of the amendment and restatement of the Mastercard Incorporated 2006 Non-Employee Director Equity Compensation Plan. | Management | For | For | |||||||||
6. | Approval of amendments to Mastercard's Certificate of Incorporation to remove supermajority voting requirements. | Management | For | For |
Registrant: NORTHERN LIGHTS FUND TRUST - BTS Managed Income Fund | Item 1, Exhibit 11 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | N/A There were no Proxies voted during the reporting period. | |||||||||
2 |
Registrant: NORTHERN LIGHTS FUND TRUST - BTS Tactical Fixed Income Fund | Item 1, Exhibit 12 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | N/A There were no Proxies voted during the reporting period. |
Registrant: NORTHERN LIGHTS FUND TRUST - CHANGING PARAMETERS FUND | Item 1, Exhibit 13 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | Hartford Floating Rate Fund Class I | HFLIX | 416649804 | Special Meeting; 10/21/2020 | The Fund held a Special Meeting of Shareholders to elect ten Board of Directors/Trustees. | MGMT | Y | Mirror Vote: "Please vote in the same proportion as the votes of all other shareholders in the Fund." | Mirror Vote: "Please vote in the same proportion as the votes of all other shareholders in the Fund." | |
2 | Nuveen High Yield Municpal Bond Fund | NHMRX | 67065Q772 | Special Meeting; 11/16/2020 | The Fund held a Special Meeting of Shareholders to elect ten Board of Directors/Trustees. | MGMT | Y | Mirror Vote: "Please vote in the same proportion as the votes of all other shareholders in the Fund." | Mirror Vote: "Please vote in the same proportion as the votes of all other shareholders in the Fund." |
Registrant: NORTHERN LIGHTS FUND TRUST - EAGLE MLP STRATEGY FUND | Item 1, Exhibit 24 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | The Williams Companies, Inc. | WMB | 969457100 | Annual; 04/27/2021 | 1.1 | Elect Director Alan S. Armstrong | MGMT | Y | FOR | FOR |
2 | The Williams Companies, Inc. | WMB | 969457100 | Annual; 04/27/2021 | 1.2 | Elect Director Stephen W. Bergstrom | MGMT | Y | FOR | FOR |
3 | The Williams Companies, Inc. | WMB | 969457100 | Annual; 04/27/2021 | 1.3 | Elect Director Nancy K. Buese | MGMT | Y | FOR | FOR |
4 | The Williams Companies, Inc. | WMB | 969457100 | Annual; 04/27/2021 | 1.4 | Elect Director Stephen I. Chazen | MGMT | Y | FOR | FOR |
5 | The Williams Companies, Inc. | WMB | 969457100 | Annual; 04/27/2021 | 1.5 | Elect Director Charles I. Cogut | MGMT | Y | FOR | FOR |
6 | The Williams Companies, Inc. | WMB | 969457100 | Annual; 04/27/2021 | 1.6 | Elect Director Michael A. Creel | MGMT | Y | FOR | FOR |
7 | The Williams Companies, Inc. | WMB | 969457100 | Annual; 04/27/2021 | 1.7 | Elect Director Stacey H. Dore | MGMT | Y | FOR | FOR |
8 | The Williams Companies, Inc. | WMB | 969457100 | Annual; 04/27/2021 | 1.8 | Elect Director Vicki L. Fuller | MGMT | Y | FOR | FOR |
9 | The Williams Companies, Inc. | WMB | 969457100 | Annual; 04/27/2021 | 1.9 | Elect Director Peter A. Ragauss | MGMT | Y | FOR | FOR |
10 | The Williams Companies, Inc. | WMB | 969457100 | Annual; 04/27/2021 | 1.10 | Elect Director Rose M. Robeson | MGMT | Y | FOR | FOR |
11 | The Williams Companies, Inc. | WMB | 969457100 | Annual; 04/27/2021 | 1.11 | Elect Director Scott D. Sheffield | MGMT | Y | FOR | FOR |
12 | The Williams Companies, Inc. | WMB | 969457100 | Annual; 04/27/2021 | 1.12 | Elect Director Murray D. Smith | MGMT | Y | FOR | FOR |
13 | The Williams Companies, Inc. | WMB | 969457100 | Annual; 04/27/2021 | 1.13 | Elect Director William H. Spence | MGMT | Y | FOR | FOR |
14 | The Williams Companies, Inc. | WMB | 969457100 | Annual; 04/27/2021 | 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | MGMT | Y | FOR | FOR |
15 | The Williams Companies, Inc. | WMB | 969457100 | Annual; 04/27/2021 | 3 | Ratify Ernst & Young LLP as Auditors | MGMT | Y | FOR | FOR |
16 | NuStar Energy L.P. | NS | 67058H102 | Annual; 04/29/2021 | 1.1 | Elect Director Bradley C. Barron | MGMT | Y | FOR | FOR |
17 | NuStar Energy L.P. | NS | 67058H102 | Annual; 04/29/2021 | 1.2 | Elect Director William B. Burnett | MGMT | Y | FOR | FOR |
18 | NuStar Energy L.P. | NS | 67058H102 | Annual; 04/29/2021 | 1.3 | Elect Director W. Grady Rosier | MGMT | Y | FOR | FOR |
19 | NuStar Energy L.P. | NS | 67058H102 | Annual; 04/29/2021 | 2 | Amend Omnibus Stock Plan | MGMT | Y | FOR | FOR |
20 | NuStar Energy L.P. | NS | 67058H102 | Annual; 04/29/2021 | 3 | Ratify KPMG LLP as Auditors | MGMT | Y | FOR | FOR |
21 | Gibson Energy Inc. | GEI | 374825206 | Annual/Special; 05/04/2021 | 1.1 | Elect Director James M. Estey | MGMT | Y | FOR | FOR |
22 | Gibson Energy Inc. | GEI | 374825206 | Annual/Special; 05/04/2021 | 1.2 | Elect Director Douglas P. Bloom | MGMT | Y | FOR | FOR |
23 | Gibson Energy Inc. | GEI | 374825206 | Annual/Special; 05/04/2021 | 1.3 | Elect Director James J. Cleary | MGMT | Y | FOR | FOR |
24 | Gibson Energy Inc. | GEI | 374825206 | Annual/Special; 05/04/2021 | 1.4 | Elect Director Judy E. Cotte | MGMT | Y | FOR | FOR |
25 | Gibson Energy Inc. | GEI | 374825206 | Annual/Special; 05/04/2021 | 1.5 | Elect Director John L. Festival | MGMT | Y | FOR | FOR |
26 | Gibson Energy Inc. | GEI | 374825206 | Annual/Special; 05/04/2021 | 1.6 | Elect Director Marshall L. McRae | MGMT | Y | FOR | FOR |
27 | Gibson Energy Inc. | GEI | 374825206 | Annual/Special; 05/04/2021 | 1.7 | Elect Director Margaret C. Montana | MGMT | Y | FOR | FOR |
28 | Gibson Energy Inc. | GEI | 374825206 | Annual/Special; 05/04/2021 | 1.8 | Elect Director Mary Ellen Peters | MGMT | Y | FOR | FOR |
29 | Gibson Energy Inc. | GEI | 374825206 | Annual/Special; 05/04/2021 | 1.9 | Elect Director Steven R. Spaulding | MGMT | Y | FOR | FOR |
30 | Gibson Energy Inc. | GEI | 374825206 | Annual/Special; 05/04/2021 | 2 | Approve PricewaterhouseCoopers LLP as Auditors and Authorize Board to Fix Their Remuneration | MGMT | Y | FOR | FOR |
31 | Gibson Energy Inc. | GEI | 374825206 | Annual/Special; 05/04/2021 | 3 | Advisory Vote on Executive Compensation Approach | MGMT | Y | FOR | FOR |
32 | Gibson Energy Inc. | GEI | 374825206 | Annual/Special; 05/04/2021 | 4 | Amend By-Law No. 1 | MGMT | Y | FOR | FOR |
33 | Gibson Energy Inc. | GEI | 374825206 | Annual/Special; 05/04/2021 | 5 | Amend Articles Re: Limit the Number of Preferred Shares that May be Issued in the Futurewithout shareholder approval | MGMT | Y | FOR | FOR |
34 | Enbridge Inc. | ENB | 29250N105 | Annual; 05/05/2021 | 1.1 | Elect Director Pamela L. Carter | MGMT | Y | FOR | FOR |
35 | Enbridge Inc. | ENB | 29250N105 | Annual; 05/05/2021 | 1.2 | Elect Director Marcel R. Coutu | MGMT | Y | FOR | FOR |
36 | Enbridge Inc. | ENB | 29250N105 | Annual; 05/05/2021 | 1.3 | Elect Director Susan M. Cunningham | MGMT | Y | FOR | FOR |
37 | Enbridge Inc. | ENB | 29250N105 | Annual; 05/05/2021 | 1.4 | Elect Director Gregory L. Ebel | MGMT | Y | FOR | FOR |
38 | Enbridge Inc. | ENB | 29250N105 | Annual; 05/05/2021 | 1.5 | Elect Director J. Herb England | MGMT | Y | FOR | FOR |
39 | Enbridge Inc. | ENB | 29250N105 | Annual; 05/05/2021 | 1.6 | Elect Director Gregory J. Goff | MGMT | Y | FOR | FOR |
40 | Enbridge Inc. | ENB | 29250N105 | Annual; 05/05/2021 | 1.7 | Elect Director V. Maureen Kempston Darkes | MGMT | Y | FOR | FOR |
41 | Enbridge Inc. | ENB | 29250N105 | Annual; 05/05/2021 | 1.8 | Elect Director Teresa S. Madden | MGMT | Y | FOR | FOR |
42 | Enbridge Inc. | ENB | 29250N105 | Annual; 05/05/2021 | 1.9 | Elect Director Al Monaco | MGMT | Y | FOR | FOR |
43 | Enbridge Inc. | ENB | 29250N105 | Annual; 05/05/2021 | 1.10 | Elect Director Stephen S. Poloz | MGMT | Y | FOR | FOR |
44 | Enbridge Inc. | ENB | 29250N105 | Annual; 05/05/2021 | 1.11 | Elect Director Dan C. Tutcher | MGMT | Y | FOR | FOR |
45 | Enbridge Inc. | ENB | 29250N105 | Annual; 05/05/2021 | 2 | Approve PricewaterhouseCoopers LLP as Auditors and Authorize Board to Fix Their Remuneration | MGMT | Y | FOR | FOR |
46 | Enbridge Inc. | ENB | 29250N105 | Annual; 05/05/2021 | 3 | Advisory Vote on Executive Compensation Approach | MGMT | Y | FOR | FOR |
47 | Pembina Pipeline Corporation | PPL | 706327103 | Annual; 05/07/2021 | 1.1 | Elect Director Randall J. Findlay | MGMT | Y | FOR | FOR |
48 | Pembina Pipeline Corporation | PPL | 706327103 | Annual; 05/07/2021 | 1.2 | Elect Director Anne-Marie N. Ainsworth | MGMT | Y | FOR | FOR |
49 | Pembina Pipeline Corporation | PPL | 706327103 | Annual; 05/07/2021 | 1.3 | Elect Director Cynthia Carroll | MGMT | Y | FOR | FOR |
50 | Pembina Pipeline Corporation | PPL | 706327103 | Annual; 05/07/2021 | 1.4 | Elect Director Michael H. Dilger | MGMT | Y | FOR | FOR |
51 | Pembina Pipeline Corporation | PPL | 706327103 | Annual; 05/07/2021 | 1.5 | Elect Director Robert G. Gwin | MGMT | Y | FOR | FOR |
52 | Pembina Pipeline Corporation | PPL | 706327103 | Annual; 05/07/2021 | 1.6 | Elect Director Maureen E. Howe | MGMT | Y | FOR | FOR |
53 | Pembina Pipeline Corporation | PPL | 706327103 | Annual; 05/07/2021 | 1.7 | Elect Director Gordon J. Kerr | MGMT | Y | FOR | FOR |
54 | Pembina Pipeline Corporation | PPL | 706327103 | Annual; 05/07/2021 | 1.8 | Elect Director David M.B. LeGresley | MGMT | Y | FOR | FOR |
55 | Pembina Pipeline Corporation | PPL | 706327103 | Annual; 05/07/2021 | 1.9 | Elect Director Leslie A. O'Donoghue | MGMT | Y | FOR | FOR |
56 | Pembina Pipeline Corporation | PPL | 706327103 | Annual; 05/07/2021 | 1.10 | Elect Director Bruce D. Rubin | MGMT | Y | FOR | FOR |
57 | Pembina Pipeline Corporation | PPL | 706327103 | Annual; 05/07/2021 | 1.11 | Elect Director Henry W. Sykes | MGMT | Y | FOR | FOR |
58 | Pembina Pipeline Corporation | PPL | 706327103 | Annual; 05/07/2021 | 2 | Approve KPMG LLP as Auditors and Authorize Board to Fix Their Remuneration | MGMT | Y | FOR | FOR |
59 | Pembina Pipeline Corporation | PPL | 706327103 | Annual; 05/07/2021 | 3 | Advisory Vote on Executive Compensation Approach | MGMT | Y | FOR | FOR |
60 | Keyera Corp. | KEY | 493271100 | Annual; 05/11/2021 | 1.1 | Elect Director Jim Bertram | MGMT | Y | FOR | FOR |
61 | Keyera Corp. | KEY | 493271100 | Annual; 05/11/2021 | 1.2 | Elect Director Doug Haughey | MGMT | Y | FOR | FOR |
62 | Keyera Corp. | KEY | 493271100 | Annual; 05/11/2021 | 1.3 | Elect Director Michael Norris | MGMT | Y | FOR | FOR |
63 | Keyera Corp. | KEY | 493271100 | Annual; 05/11/2021 | 1.4 | Elect Director Charlene Ripley | MGMT | Y | FOR | FOR |
64 | Keyera Corp. | KEY | 493271100 | Annual; 05/11/2021 | 1.5 | Elect Director Janet Woodruff | MGMT | Y | FOR | FOR |
65 | Keyera Corp. | KEY | 493271100 | Annual; 05/11/2021 | 1.6 | Elect Director Blair Goertzen | MGMT | Y | FOR | FOR |
66 | Keyera Corp. | KEY | 493271100 | Annual; 05/11/2021 | 1.7 | Elect Director Gianna Manes | MGMT | Y | FOR | FOR |
67 | Keyera Corp. | KEY | 493271100 | Annual; 05/11/2021 | 1.8 | Elect Director Thomas O'Connor | MGMT | Y | FOR | FOR |
68 | Keyera Corp. | KEY | 493271100 | Annual; 05/11/2021 | 1.9 | Elect Director Dean Setoguchi | MGMT | Y | FOR | FOR |
69 | Keyera Corp. | KEY | 493271100 | Annual; 05/11/2021 | 2 | Approve Deloitte LLP as Auditors and Authorize Board to Fix Their Remuneration | MGMT | Y | FOR | FOR |
70 | Keyera Corp. | KEY | 493271100 | Annual; 05/11/2021 | 3 | Advisory Vote on Executive Compensation Approach | MGMT | Y | FOR | FOR |
71 | Kinder Morgan, Inc. | KMI | 49456B101 | Annual; 05/12/2021 | 1.1 | Elect Director Richard D. Kinder | MGMT | Y | FOR | FOR |
72 | Kinder Morgan, Inc. | KMI | 49456B101 | Annual; 05/12/2021 | 1.2 | Elect Director Steven J. Kean | MGMT | Y | FOR | FOR |
73 | Kinder Morgan, Inc. | KMI | 49456B101 | Annual; 05/12/2021 | 1.3 | Elect Director Kimberly A. Dang | MGMT | Y | FOR | FOR |
74 | Kinder Morgan, Inc. | KMI | 49456B101 | Annual; 05/12/2021 | 1.4 | Elect Director Ted A. Gardner | MGMT | Y | FOR | FOR |
75 | Kinder Morgan, Inc. | KMI | 49456B101 | Annual; 05/12/2021 | 1.5 | Elect Director Anthony W. Hall, Jr. | MGMT | Y | FOR | FOR |
76 | Kinder Morgan, Inc. | KMI | 49456B101 | Annual; 05/12/2021 | 1.6 | Elect Director Gary L. Hultquist | MGMT | Y | FOR | FOR |
77 | Kinder Morgan, Inc. | KMI | 49456B101 | Annual; 05/12/2021 | 1.7 | Elect Director Ronald L. Kuehn, Jr. | MGMT | Y | FOR | FOR |
78 | Kinder Morgan, Inc. | KMI | 49456B101 | Annual; 05/12/2021 | 1.8 | Elect Director Deborah A. Macdonald | MGMT | Y | FOR | FOR |
79 | Kinder Morgan, Inc. | KMI | 49456B101 | Annual; 05/12/2021 | 1.9 | Elect Director Michael C. Morgan | MGMT | Y | FOR | FOR |
80 | Kinder Morgan, Inc. | KMI | 49456B101 | Annual; 05/12/2021 | 1.10 | Elect Director Arthur C. Reichstetter | MGMT | Y | FOR | FOR |
81 | Kinder Morgan, Inc. | KMI | 49456B101 | Annual; 05/12/2021 | 1.11 | Elect Director C. Park Shaper | MGMT | Y | FOR | FOR |
82 | Kinder Morgan, Inc. | KMI | 49456B101 | Annual; 05/12/2021 | 1.12 | Elect Director William A. Smith | MGMT | Y | FOR | FOR |
83 | Kinder Morgan, Inc. | KMI | 49456B101 | Annual; 05/12/2021 | 1.13 | Elect Director Joel V. Staff | MGMT | Y | FOR | FOR |
84 | Kinder Morgan, Inc. | KMI | 49456B101 | Annual; 05/12/2021 | 1.14 | Elect Director Robert F. Vagt | MGMT | Y | FOR | FOR |
85 | Kinder Morgan, Inc. | KMI | 49456B101 | Annual; 05/12/2021 | 1.15 | Elect Director Perry M. Waughtal | MGMT | Y | FOR | FOR |
86 | Kinder Morgan, Inc. | KMI | 49456B101 | Annual; 05/12/2021 | 2 | Amend Omnibus Stock Plan | MGMT | Y | FOR | FOR |
87 | Kinder Morgan, Inc. | KMI | 49456B101 | Annual; 05/12/2021 | 3 | Ratify PricewaterhouseCoopers LLP as Auditors | MGMT | Y | FOR | FOR |
88 | Kinder Morgan, Inc. | KMI | 49456B101 | Annual; 05/12/2021 | 4 | Advisory Vote to Ratify Named Executive Officers' Compensation | MGMT | Y | FOR | FOR |
89 | Cheniere Energy, Inc. | LNG | 16411R208 | Annual; 05/13/2021 | 1a | Elect Director G. Andrea Botta | MGMT | Y | FOR | FOR |
90 | Cheniere Energy, Inc. | LNG | 16411R208 | Annual; 05/13/2021 | 1b | Elect Director Jack A. Fusco | MGMT | Y | FOR | FOR |
91 | Cheniere Energy, Inc. | LNG | 16411R208 | Annual; 05/13/2021 | 1c | Elect Director Vicky A. Bailey | MGMT | Y | FOR | FOR |
92 | Cheniere Energy, Inc. | LNG | 16411R208 | Annual; 05/13/2021 | 1d | Elect Director Nuno Brandolini | MGMT | Y | FOR | FOR |
93 | Cheniere Energy, Inc. | LNG | 16411R208 | Annual; 05/13/2021 | 1e | Elect Director David B. Kilpatrick | MGMT | Y | FOR | FOR |
94 | Cheniere Energy, Inc. | LNG | 16411R208 | Annual; 05/13/2021 | 1f | Elect Director Sean T. Klimczak | MGMT | Y | FOR | FOR |
95 | Cheniere Energy, Inc. | LNG | 16411R208 | Annual; 05/13/2021 | 1g | Elect Director Andrew Langham | MGMT | Y | FOR | FOR |
96 | Cheniere Energy, Inc. | LNG | 16411R208 | Annual; 05/13/2021 | 1h | Elect Director Donald F. Robillard, Jr. | MGMT | Y | FOR | FOR |
97 | Cheniere Energy, Inc. | LNG | 16411R208 | Annual; 05/13/2021 | 1i | Elect Director Neal A. Shear | MGMT | Y | FOR | FOR |
98 | Cheniere Energy, Inc. | LNG | 16411R208 | Annual; 05/13/2021 | 1j | Elect Director Andrew J. Teno | MGMT | Y | FOR | FOR |
99 | Cheniere Energy, Inc. | LNG | 16411R208 | Annual; 05/13/2021 | 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | MGMT | Y | FOR | FOR |
100 | Cheniere Energy, Inc. | LNG | 16411R208 | Annual; 05/13/2021 | 3 | Ratify KPMG LLP as Auditors | MGMT | Y | FOR | FOR |
101 | Plains GP Holdings, L.P. | PAGP | 72651A207 | Annual; 05/19/2021 | 1.1 | Elect Director Greg L. Armstrong | MGMT | Y | FOR | FOR |
102 | Plains GP Holdings, L.P. | PAGP | 72651A207 | Annual; 05/19/2021 | 1.2 | Elect Director John T. Raymond | MGMT | Y | FOR | FOR |
103 | Plains GP Holdings, L.P. | PAGP | 72651A207 | Annual; 05/19/2021 | 1.3 | Elect Director Bobby S. Shackouls | MGMT | Y | FOR | FOR |
104 | Plains GP Holdings, L.P. | PAGP | 72651A207 | Annual; 05/19/2021 | 1.4 | Elect Director Christopher M. Temple | MGMT | Y | FOR | FOR |
105 | Plains GP Holdings, L.P. | PAGP | 72651A207 | Annual; 05/19/2021 | 2 | Ratify PricewaterhouseCoopers LLP as Auditor | MGMT | Y | FOR | FOR |
106 | Plains GP Holdings, L.P. | PAGP | 72651A207 | Annual; 05/19/2021 | 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | MGMT | Y | FOR | FOR |
107 | Plains GP Holdings, L.P. | PAGP | 72651A207 | Annual; 05/19/2021 | 4 | Amend Omnibus Stock Plan | MGMT | Y | FOR | FOR |
108 | NextEra Energy, Inc. | NEE | 65339F101 | Annual; 05/20/2021 | 1a | Elect Director Sherry S. Barrat | MGMT | Y | FOR | FOR |
109 | NextEra Energy, Inc. | NEE | 65339F101 | Annual; 05/20/2021 | 1b | Elect Director James L. Camaren | MGMT | Y | FOR | FOR |
110 | NextEra Energy, Inc. | NEE | 65339F101 | Annual; 05/20/2021 | 1c | Elect Director Kenneth B. Dunn | MGMT | Y | FOR | FOR |
111 | NextEra Energy, Inc. | NEE | 65339F101 | Annual; 05/20/2021 | 1d | Elect Director Naren K. Gursahaney | MGMT | Y | FOR | FOR |
112 | NextEra Energy, Inc. | NEE | 65339F101 | Annual; 05/20/2021 | 1e | Elect Director Kirk S. Hachigian | MGMT | Y | FOR | FOR |
113 | NextEra Energy, Inc. | NEE | 65339F101 | Annual; 05/20/2021 | 1f | Elect Director Amy B. Lane | MGMT | Y | FOR | FOR |
114 | NextEra Energy, Inc. | NEE | 65339F101 | Annual; 05/20/2021 | 1g | Elect Director David L. Porges | MGMT | Y | FOR | FOR |
115 | NextEra Energy, Inc. | NEE | 65339F101 | Annual; 05/20/2021 | 1h | Elect Director James L. Robo | MGMT | Y | FOR | FOR |
116 | NextEra Energy, Inc. | NEE | 65339F101 | Annual; 05/20/2021 | 1i | Elect Director Rudy E. Schupp | MGMT | Y | FOR | FOR |
117 | NextEra Energy, Inc. | NEE | 65339F101 | Annual; 05/20/2021 | 1j | Elect Director John L. Skolds | MGMT | Y | FOR | FOR |
118 | NextEra Energy, Inc. | NEE | 65339F101 | Annual; 05/20/2021 | 1k | Elect Director Lynn M. Utter | MGMT | Y | FOR | FOR |
119 | NextEra Energy, Inc. | NEE | 65339F101 | Annual; 05/20/2021 | 1l | Elect Director Darryl L. Wilson | MGMT | Y | FOR | FOR |
120 | NextEra Energy, Inc. | NEE | 65339F101 | Annual; 05/20/2021 | 2 | Ratify Deloitte & Touche LLP as Auditors | MGMT | Y | FOR | FOR |
121 | NextEra Energy, Inc. | NEE | 65339F101 | Annual; 05/20/2021 | 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | MGMT | Y | FOR | FOR |
122 | NextEra Energy, Inc. | NEE | 65339F101 | Annual; 05/20/2021 | 4 | Approve Omnibus Stock Plan | MGMT | Y | FOR | FOR |
123 | NextEra Energy, Inc. | NEE | 65339F101 | Annual; 05/20/2021 | 5 | Provide Right to Act by Written Consent | SHAREHOLD | Y | FOR | AGAINST |
124 | Targa Resources Corp. | TRGP | 87612G101 | Annual; 05/25/2021 | 1.1 | Elect Director Beth A. Bowman | MGMT | Y | FOR | FOR |
125 | Targa Resources Corp. | TRGP | 87612G101 | Annual; 05/25/2021 | 1.2 | Elect Director Lindsey M. Cooksen | MGMT | Y | FOR | FOR |
126 | Targa Resources Corp. | TRGP | 87612G101 | Annual; 05/25/2021 | 1.3 | Elect Director Robert B. Evans | MGMT | Y | FOR | FOR |
127 | Targa Resources Corp. | TRGP | 87612G101 | Annual; 05/25/2021 | 1.4 | Elect Director Joe Bob Perkins | MGMT | Y | FOR | FOR |
128 | Targa Resources Corp. | TRGP | 87612G101 | Annual; 05/25/2021 | 1.5 | Elect Director Ershel C. Redd, Jr. | MGMT | Y | FOR | FOR |
129 | Targa Resources Corp. | TRGP | 87612G101 | Annual; 05/25/2021 | 2 | Ratify PricewaterhouseCoopers LLP as Auditors | MGMT | Y | FOR | FOR |
130 | Targa Resources Corp. | TRGP | 87612G101 | Annual; 05/25/2021 | 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | MGMT | Y | FOR | FOR |
131 | Targa Resources Corp. | TRGP | 87612G101 | Annual; 05/25/2021 | 4 | Increase Authorized Common Stock | MGMT | Y | FOR | FOR |
132 | ONEOK, Inc. | OKE | 682680103 | Annual; 05/26/2021 | 1.1 | Elect Director Brian L. Derksen | MGMT | Y | FOR | FOR |
133 | ONEOK, Inc. | OKE | 682680103 | Annual; 05/26/2021 | 1.2 | Elect Director Julie H. Edwards | MGMT | Y | FOR | FOR |
134 | ONEOK, Inc. | OKE | 682680103 | Annual; 05/26/2021 | 1.3 | Elect Director John W. Gibson | MGMT | Y | FOR | FOR |
135 | ONEOK, Inc. | OKE | 682680103 | Annual; 05/26/2021 | 1.4 | Elect Director Mark W. Helderman | MGMT | Y | FOR | FOR |
136 | ONEOK, Inc. | OKE | 682680103 | Annual; 05/26/2021 | 1.5 | Elect Director Randall J. Larson | MGMT | Y | FOR | FOR |
137 | ONEOK, Inc. | OKE | 682680103 | Annual; 05/26/2021 | 1.6 | Elect Director Steven J. Malcolm | MGMT | Y | FOR | FOR |
138 | ONEOK, Inc. | OKE | 682680103 | Annual; 05/26/2021 | 1.7 | Elect Director Jim W. Mogg | MGMT | Y | FOR | FOR |
139 | ONEOK, Inc. | OKE | 682680103 | Annual; 05/26/2021 | 1.8 | Elect Director Pattye L. Moore | MGMT | Y | FOR | FOR |
140 | ONEOK, Inc. | OKE | 682680103 | Annual; 05/26/2021 | 1.9 | Elect Director Eduardo A. Rodriguez | MGMT | Y | FOR | FOR |
141 | ONEOK, Inc. | OKE | 682680103 | Annual; 05/26/2021 | 1.10 | Elect Director Gerald B. Smith | MGMT | Y | FOR | FOR |
142 | ONEOK, Inc. | OKE | 682680103 | Annual; 05/26/2021 | 1.11 | Elect Director Terry K. Spencer | MGMT | Y | FOR | FOR |
143 | ONEOK, Inc. | OKE | 682680103 | Annual; 05/26/2021 | 2 | Ratify PricewaterhouseCoopers LLP as Auditors | MGMT | Y | FOR | FOR |
144 | ONEOK, Inc. | OKE | 682680103 | Annual; 05/26/2021 | 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | MGMT | Y | FOR | FOR |
145 | Antero Midstream Corporation | AM | 03676B102 | Annual; 06/16/2021 | 1.1 | Elect Director Michael N. Kennedy | MGMT | Y | FOR | FOR |
146 | Antero Midstream Corporation | AM | 03676B102 | Annual; 06/16/2021 | 1.2 | Elect Director Brooks J. Klimley | MGMT | Y | FOR | FOR |
147 | Antero Midstream Corporation | AM | 03676B102 | Annual; 06/16/2021 | 1.3 | Elect Director John C. Mollenkopf | MGMT | Y | FOR | FOR |
148 | Antero Midstream Corporation | AM | 03676B102 | Annual; 06/16/2021 | 2 | Ratify KPMG LLP as Auditors | MGMT | Y | FOR | FOR |
149 | Antero Midstream Corporation | AM | 03676B102 | Annual; 06/16/2021 | 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | MGMT | Y | FOR | FOR |
Registrant: NORTHERN LIGHTS FUND TRUST - Ladenburg Aggressive Growth Fund | Item 1, Exhibit 26 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | N/A There were no proxy votes to report during the Reporting Period. | |||||||||
2 |
Registrant: NORTHERN LIGHTS FUND TRUST - Ladenburg Growth Fund | Item 1, Exhibit 27 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1 , 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | N/A There were no proxy votes to report during the Reporting Period. | |||||||||
2 |
Registrant: NORTHERN LIGHTS FUND TRUST - Ladenburg Growth & Income Fund | Item 1, Exhibit 28 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | N/A There were no proxy votes to report during the Reporting Period. | |||||||||
2 |
Registrant: NORTHERN LIGHTS FUND TRUST - Ladenburg Income Fund | Item 1, Exhibit 29 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | N/A There were no proxy votes to report during the Reporting Period. | |||||||||
2 |
Registrant: NORTHERN LIGHTS FUND TRUST - Ladenburg Income & Growth Fund | Item 1, Exhibit 30 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | N/A There were no proxy votes to report during the Reporting Period. |
Registrant: NORTHERN LIGHTS FUND TRUST - PFG ACTIVE CORE BOND STRATEGY FUND | Item 1, Exhibit 37 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | NA - There were no proxies voted during the Reporting Period | |||||||||
2 |
Registrant: NORTHERN LIGHTS FUND TRUST - PFG AMERICAN FUNDS CONSERVATIVE INCOME STRATEGY FUND | Item 1, Exhibit 38 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | NA - There were no proxies voted during the Reporting Period |
Registrant: NORTHERN LIGHTS FUND TRUST - PFG AMERICAN FUNDS GROWTH STRATEGY FUND | Item 1, Exhibit 39 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | NA - There were no proxies voted during the Reporting Period |
Registrant: NORTHERN LIGHTS FUND TRUST - PFG BALANCED STRATEGY FUND | Item 1, Exhibit 40 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | NA - There were no proxies voted during the Reporting Period |
Registrant: NORTHERN LIGHTS FUND TRUST - PFG BNY MELLON® DIVERSIFIER STARTEGY FUND | Item 1, Exhibit 41 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | NA - There were no proxies voted during the Reporting Period |
Registrant: NORTHERN LIGHTS FUND TRUST - PFG BR EQUITY ESG STRATEGY FUND | Item 1, Exhibit 42 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | NA - There were no proxies voted during the Reporting Period |
Registrant: NORTHERN LIGHTS FUND TRUST - PFG EQUITY STRATEGY FUND | Item 1, Exhibit 43 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | NA - There were no proxies voted during the Reporting Period |
Registrant: NORTHERN LIGHTS FUND TRUST - PFG FIDELITY INSTITUTIONAL AM EQUITY INDEX STRATEGY FUND | Item 1, Exhibit 44 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | NA - There were no proxies voted during the Reporting Period |
Registrant: NORTHERN LIGHTS FUND TRUST - PFG FIDELITY INSTITUTIONAL AM EQUITY SECTOR STRATEGY FUND | Item 1, Exhibit 45 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | NA - There were no proxies voted during the Reporting Period |
Registrant: NORTHERN LIGHTS FUND TRUST - PFG GLOBAL STRATEGY FUND | Item 1, Exhibit 46 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | NA - There were no proxies voted during the Reporting Period |
Registrant: NORTHERN LIGHTS FUND TRUST - PFG JP MORGAN® TACTICAL AGGRESSIVE STRATEGY FUND | Item 1, Exhibit 47 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | NA - There were no proxies voted during the Reporting Period |
Registrant: NORTHERN LIGHTS FUND TRUST - PFG JP MORGAN® TACTICAL MODERATE STRATEGY FUND | Item 1, Exhibit 48 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | NA - There were no proxies voted during the Reporting Period |
Registrant: NORTHERN LIGHTS FUND TRUST - PFG MEEDER TACTICAL STRATEGY FUND | Item 1, Exhibit 49 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | NA - There were no proxies voted during the Reporting Period |
Registrant: NORTHERN LIGHTS FUND TRUST - PFG MFS® AGGRESSIVE GROWTH STRATEGY FUND | Item 1, Exhibit 50 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | NA - There were no proxies voted during the Reporting Period |
Registrant: NORTHERN LIGHTS FUND TRUST - PFG TACTICAL INCOME STRATEGY FUND | Item 1, Exhibit 51 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | NA - There were no proxies voted during the Reporting Period |
Registrant: NORTHERN LIGHTS FUND TRUST - Probabilities Fund | Item 1, Exhibit 54 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | N/A There were no Proxies voted during the reporting period. | |||||||||
2 |
Registrant: NORTHERN LIGHTS FUND TRUST - PSI Strategic Growth Fund | Item 1, Exhibit 55 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | N/A There were no Proxies voted during the reporting period. | |||||||||
2 |
Registrant: NORTHERN LIGHTS FUND TRUST - PSI Tactical Growth Fund | Item 1, Exhibit 56 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) SHAREHOLD Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management Recommendation | ||
1 | Procter & Gamble Co | PG | US7427181091 | ANNUAL: 10/13/2020 | 1 | Election of Directors: Francis S. Blake; Angela F. Braly; Amy L. Chang; Joseph Jimenez; Debra L. Lee; Terry J. Lundgren; Christine M. McCarthy; W. James McNerney, Jr.; Nelson Peltz; David S. Taylor; Margaret C. Whitman; Patricia A Woertz | MNGT | Yes | Mirror | FOR |
2 | Procter & Gamble Co | PG | US7427181091 | ANNUAL: 10/13/2020 | 2 | Ratify Appointment of the Independent Registered Public Accounting Firm. | MNGT | Yes | Mirror | FOR |
3 | Procter & Gamble Co | PG | US7427181091 | ANNUAL: 10/13/2020 | 3 | Advisory Vote to Approve the Company's Executive Compensation (the "Say on Pay" vote). | MNGT | Yes | Mirror | FOR |
4 | Procter & Gamble Co | PG | US7427181091 | ANNUAL: 10/13/2020 | 4 | Approval of The Proctor & Gamble Company International Stock Ownership Plan, As Amended and Restated. | MNGT | Yes | Mirror | FOR |
5 | Procter & Gamble Co | PG | US7427181091 | ANNUAL: 10/13/2020 | 5 | Report on Efforts to Eliminate Deforestation. | SHAREHOLD | Yes | Mirror | AGAINST |
6 | Procter & Gamble Co | PG | US7427181091 | ANNUAL: 10/13/2020 | 6 | Annual Report on Diversity. | SHAREHOLD | Yes | Mirror | AGAINST |
7 | Cardinal Health Inc | CAH | US14149Y1082 | ANNUAL: 11/04/2020 | 1 | Election of Directors: Carrie S. Cox; Calvin Darden; Bruce L. Downey; Sheri H. Edison; David C. Evans; Patricia A. Hemingway Hall; Akhil Johri; Michael C. Kaufmann; Gregory B. Kenny; Nancy Killefer; J. Michael Losh; Dean A Scarborough; John H. Weiland | MNGT | Yes | Mirror | FOR |
8 | Cardinal Health Inc | CAH | US14149Y1082 | ANNUAL: 11/04/2020 | 2 | To ratify the appointment of Ernst & Young LLP as our independent auditor for the fiscal year ending June 30, 2021. | MNGT | Yes | Mirror | FOR |
9 | Cardinal Health Inc | CAH | US14149Y1082 | ANNUAL: 11/04/2020 | 3 | To approve, on a non-binding advisory basis, the compensation of our named executive officers. | MNGT | Yes | Mirror | FOR |
10 | Cardinal Health Inc | CAH | US14149Y1082 | ANNUAL: 11/04/2020 | 4 | To approve an amendment to our Restated Code of Regulations to reduce the share ownership threshold for calling a special meeting of SHAREHOLDs. | MNGT | Yes | Mirror | FOR |
11 | Cardinal Health Inc | CAH | US14149Y1082 | ANNUAL: 11/04/2020 | 5 | SHAREHOLD proposal to reduce the share ownership threshold for calling a special meeting of SHAREHOLDs, if properly presented. | SHAREHOLD | Yes | Mirror | AGAINST |
12 | Cardinal Health Inc | CAH | US14149Y1082 | ANNUAL: 11/04/2020 | 6 | SHAREHOLD proposal to adopt a policy that the chairman of the board be an independent director, if properly presented. | SHAREHOLD | Yes | Mirror | AGAINST |
13 | Clorox Co | CLX | US1890541097 | ANNUAL: 11/18/2020 | 1 | Election of Directors: Amy Banse; Richard H. Carmona; Benno Dorer; Spencer C. Fleischer; Esther Lee; A.D. David Mackay; Paul Parker; Linda Rendle; Matthew J. Shattock; Kathryn Tesija; Pamela Thomas-Graham; Russell Weiner; Christopher J. Williams | MNGT | Yes | Mirror | FOR |
14 | Clorox Co | CLX | US1890541097 | ANNUAL: 11/18/2020 | 2 | Advisory Vote to Approve Executive Compensation. | MNGT | Yes | Mirror | FOR |
15 | Clorox Co | CLX | US1890541097 | ANNUAL: 11/18/2020 | 3 | Ratification of the Selection of Ernst & Young LLP as the Clorox Company's Independent Registered Public Accounting Firm. | MNGT | Yes | Mirror | FOR |
16 | Clorox Co | CLX | US1890541097 | ANNUAL: 11/18/2020 | 4 | Approval of the Amended and Restated Certificate of Incorporation to Eliminate Supermajority Voting Provision. | MNGT | Yes | Mirror | FOR |
17 | Sysco Corp | SYY | US8718291078 | ANNUAL: 11/20/2020 | 1 | Election of Directors: Daniel J. Brutto; John M. Cassaday; Joshua D. Frank; Larry C. Glasscock; Bradley M. Halverson; John M. Hinshaw; Kevin P. Hourican; Hans-Joachim Koerber; Stephanie A. Lundquist; Nelson Peltz; Edward D. Shirley; Shelia G. Talton | MNGT | Yes | Mirror | FOR |
18 | Sysco Corp | SYY | US8718291078 | ANNUAL: 11/20/2020 | 2 | To approve by advisory vote the compensation paid to Sysco's named executive officers, as disclosed in Sysco's 2020 proxy statement. | MNGT | Yes | Mirror | FOR |
19 | Sysco Corp | SYY | US8718291078 | ANNUAL: 11/20/2020 | 3 | To ratify the appointment of Ernst & Young LLP as Sysco's independent registered public accounting firm for fiscal 2021. | MNGT | Yes | Mirror | FOR |
20 | Hormel Foods Corp | HRL | US4404521001 | ANNUAL: 01/26/2021 | 1 | Elect a board of 12 directors: Prama Bhatt; Gary C. Bhojwani; Terrel K. Crews; Stephen M. Lacy; Elsa A. Murano, Ph.D.; Susan K. Nestegard; William A. Newlands; Christopher J. Policinski; Jose Luis Prado; Sally J. Smith; James P. Snee; Steven A. White | MNGT | Yes | Mirror | FOR |
21 | Hormel Foods Corp | HRL | US4404521001 | ANNUAL: 01/26/2021 | 2 | Ratify the appointment by the Audit Committee of the Board of Directors of Ernst & Young LLP as independent registered public accounting firm for the fiscal year ending October 31, 2021. | MNGT | Yes | Mirror | FOR |
22 | Hormel Foods Corp | HRL | US4404521001 | ANNUAL: 01/26/2021 | 3 | Approve the Named Executive Officer compensation as disclosed in the Company's 2021 annual meeting proxy statement. | MNGT | Yes | Mirror | FOR |
23 | Eaton Vance Floating Rate I | EIBLX | 277911491 | SPECIAL: 02/18/2021 | 1 | To approve a new investment advisory agreement with Eaton Vance Management or Boston Management and Research, as applicable, to serve as the Series' investment adviser. | MNGT | Yes | Mirror | FOR |
24 | Eaton Vance Floating Rate I | EIBLX | 277911491 | SPECIAL: 02/18/2021 | 3 | To provide voting instruction to each applicable Series, each of which invests pursuant to a master-feeder arrangement, with respect to the approval of a new investment advisory agreement with Boston Management and Research to serve as investment adviser to the Portfolio in which such Series invests. | MNGT | Yes | Mirror | FOR |
25 | Starbucks Corp | SBUX | US8552441094 | ANNUAL: 03/17/2021 | 1 | Election of Directors: Richard E. Allison, Jr.; Rosalind G. Brewer; Andrew Campion; Mary N. Dillion; Isabel Ge Mahe; Mellody Hobson; Kevin R. Johnson; Jørgen Vig Knudstorp; Satya Nadella; Joshua Cooper Ramo; Clara Shih; Javier G. Teruel | MNGT | Yes | Mirror | FOR |
26 | Starbucks Corp | SBUX | US8552441094 | ANNUAL: 03/17/2021 | 2 | Advisory resolution to approve our executive officer compensation. | MNGT | Yes | Mirror | FOR |
27 | Starbucks Corp | SBUX | US8552441094 | ANNUAL: 03/17/2021 | 3 | Ratification of selection of Deloitte & Touche LLP as our independent registered public accounting firm for fiscal 2021. | MNGT | Yes | Mirror | FOR |
28 | Starbucks Corp | SBUX | US8552441094 | ANNUAL: 03/17/2021 | 4 | Employee Board Representation | SHAREHOLD | Yes | Mirror | AGAINST |
29 | Delaware Ivy High Income Fund Class A | WHIAX | 466000668 | SPECIAL: 04/01/2021 | 1 | To elect fourteen (14) trustees to the Board of Trustees of each Trust: Jerome D. Abernathy; Thomas L. Bennett; Ann D. Borowiec; Joseph W. Chow; H. Jeffrey Dobbs; John A. Fry; Joseph Harroz, Jr.; Lucinda S. Landreth; Sandra A. J. Lawrence; Frances A. Sevilla-Sacasa; Thomas K. Whitford; Christianna Wood; Janet L. Yeomans; Shawn K. Lytle | MNGT | Yes | Mirror | FOR |
30 | Delaware Ivy High Income Fund Class I | IVHIX | 466000122 | SPECIAL: 04/01/2021 | 1 | To approve a new investment advisory agreement for each Fund. | MNGT | Yes | Mirror | FOR |
31 | Delaware Ivy High Income Fund Class I | IVHIX | 466000122 | SPECIAL: 04/01/2021 | 2 | To approve each Fund's ability to rely on a new manager of managers exemptive order. | MNGT | Yes | Mirror | FOR |
32 | Coca-Cola Co | KO | US1912161007 | ANNUAL: 04/20/2021 | 1 | Election of Board: Herbert A. Allen; Marc Bolland; Ana Botin; Christopher C. Davis; Barry Diller; Helene D. Gayle; Alexis M. Herman; Robert A. Kotick, Maria Elena Lagomasino; James Quincey; Caroline J. Tsay; David B. Weinberg | MNGT | Yes | Mirror | FOR |
33 | Coca-Cola Co | KO | US1912161007 | ANNUAL: 04/20/2021 | 2 | Advisory vote to approve executive compensation. | MNGT | Yes | Mirror | FOR |
34 | Coca-Cola Co | KO | US1912161007 | ANNUAL: 04/20/2021 | 3 | Ratification of the appointment of Ernst & Young LLP as Independent Auditors. | MNGT | Yes | Mirror | FOR |
35 | Coca-Cola Co | KO | US1912161007 | ANNUAL: 04/20/2021 | 4 | Shareowner proposal on sugar and public health. | SHAREHOLD | Yes | Mirror | AGAINST |
36 | Johnson & Johnson | JNJ | US4781601046 | ANNUAL: 04/22/2021 | 1 | Election of Directors: Mary C. Beckerle; D. Scott Davis; Ian E. L. Davis; Jennifer A. Doudna; Alex Gorsky; Marillyn A. Hewson; Hubert Joly; Mark B. McClellan; Anne M. Mulcahy; Charles Prince; A. Eugene Washington; Mark A. Weinberger; Nadja Y. West; Ronald A. Williams | MNGT | Yes | Mirror | FOR |
37 | Johnson & Johnson | JNJ | US4781601046 | ANNUAL: 04/22/2021 | 2 | Advisory Vote to Approved Named Executive Officer Compensation. | MNGT | Yes | Mirror | FOR |
38 | Johnson & Johnson | JNJ | US4781601046 | ANNUAL: 04/22/2021 | 3 | Ratification of Appointment of PricewaterhouseCoopers LLP as the Independent Registered Public Accounting Firm for 2021. | MNGT | Yes | Mirror | FOR |
39 | Johnson & Johnson | JNJ | US4781601046 | ANNUAL: 04/22/2021 | 4 | Report on Government Financial Support and Access to COVID-19 Vaccines and Therapeutics. | SHAREHOLD | Yes | Mirror | AGAINST |
40 | Johnson & Johnson | JNJ | US4781601046 | ANNUAL: 04/22/2021 | 5 | Independent Board Chair. | SHAREHOLD | Yes | Mirror | AGAINST |
41 | Johnson & Johnson | JNJ | US4781601046 | ANNUAL: 04/22/2021 | 6 | Civil Rights Audit. | SHAREHOLD | Yes | Mirror | AGAINST |
42 | Johnson & Johnson | JNJ | US4781601046 | ANNUAL: 04/22/2021 | 7 | Executive Compensation Bonus Deferral. | SHAREHOLD | Yes | Mirror | AGAINST |
43 | NorthWestern Corp | NWE | US6680743050 | ANNUAL: 04/22/2021 | 1 | Election of Directors: Anthony T. Clark; Dana J. Dykhouse; Jan R. Horsfall; Britt E. Ide; Linda G. Sullivan; Robert C. Rowe; Mahvash Yazdi; Jeffrey W. Yingling | MNGT | Yes | Mirror | FOR |
44 | NorthWestern Corp | NWE | US6680743050 | ANNUAL: 04/22/2021 | 2 | Ratification of Deloitte & Touche LLP as the independent registered public accounting firm for 2021. | MNGT | Yes | Mirror | FOR |
45 | NorthWestern Corp | NWE | US6680743050 | ANNUAL: 04/22/2021 | 3 | Approval of the Equity Compensation Plan. | MNGT | Yes | Mirror | FOR |
46 | NorthWestern Corp | NWE | US6680743050 | ANNUAL: 04/22/2021 | 4 | Advisory vote to approve named executive officer compensation. | MNGT | Yes | Mirror | FOR |
47 | NorthWestern Corp | NWE | US6680743050 | ANNUAL: 04/22/2021 | 5 | Transaction of any other matters and business as may properly come before the annual meeting of any postponement or adjournment of the annual meeting. | MNGT | Yes | Mirror | FOR |
48 | Pfizer Inc | PFE | US7170811035 | ANNUAL: 04/22/2021 | 1 | Election of Directors: Ronald E. Blaylock; Albert Bourla; Susan Desmond-Hellmann; Joseph J. Echevarria; Scott Gottlieb; Helen H. Hobbs; Susan Hockfield; Dan R. Littman; Shantanu Narayen; Suzanne Nora Johnson; James Quincey, James C. Smith | MNGT | Yes | Mirror | FOR |
49 | Pfizer Inc | PFE | US7170811035 | ANNUAL: 04/22/2021 | 2 | Ratify the selection of KPMG LLP as independent registered public accounting firm for 2021. | MNGT | Yes | Mirror | FOR |
50 | Pfizer Inc | PFE | US7170811035 | ANNUAL: 04/22/2021 | 3 | 2021 advisory approval of executive compensation. | MNGT | Yes | Mirror | FOR |
51 | Pfizer Inc | PFE | US7170811035 | ANNUAL: 04/22/2021 | 4 | SHAREHOLD proposal regarding independent chair policy. | SHAREHOLD | Yes | Mirror | AGAINST |
52 | Pfizer Inc | PFE | US7170811035 | ANNUAL: 04/22/2021 | 5 | SHAREHOLD proposal regarding political spending report. | SHAREHOLD | Yes | Mirror | AGAINST |
53 | Pfizer Inc | PFE | US7170811035 | ANNUAL: 04/22/2021 | 6 | SHAREHOLD proposal regarding access to COVID-19 products. | SHAREHOLD | Yes | Mirror | AGAINST |
54 | BCE Inc | BCE | CA05534B7604 | ANNUAL: 04/27/2021 | 1 | Election of Directors: Mirko Bibic; David F. Denison; Robert P. Dexter; Ian Greenberg; Katherine Lee; Monique F. Leroux; Sheila A. Murray; Gordon M. Nixon; Louis P. Pagnutti; Calin Rovinescu; Karen Sheriff; Robert C. Simmonds; Jennifer Tory; Cornell Wright | MNGT | Yes | Mirror | FOR |
55 | BCE Inc | BCE | CA05534B7604 | ANNUAL: 04/27/2021 | 2 | Appointment of Deloitte LLP as auditors. | MNGT | Yes | Mirror | FOR |
56 | BCE Inc | BCE | CA05534B7604 | ANNUAL: 04/27/2021 | 3 | Advisory resolution on executive compensation as described in the management proxy guide. | MNGT | Yes | Mirror | FOR |
57 | Eli Lilly and Co | LLY | US5324571083 | ANNUAL: 05/03/2021 | 1 | Election of the following directors, each to serve a three-year term: K. Baicker, Ph.D.; J.E. Frywaid; J. Jackson; G. Sulzberger; J.P. Tai | MNGT | Yes | Mirror | FOR |
58 | Eli Lilly and Co | LLY | US5324571083 | ANNUAL: 05/03/2021 | 2 | Approval, on an advisory basis, of the compensation paid to the company's named executive officers. | MNGT | Yes | Mirror | FOR |
59 | Eli Lilly and Co | LLY | US5324571083 | ANNUAL: 05/03/2021 | 3 | Ratification of the appointment of Ernst & Young LLP as the independent auditor for 2021. | MNGT | Yes | Mirror | FOR |
60 | Eli Lilly and Co | LLY | US5324571083 | ANNUAL: 05/03/2021 | 4 | Approval of amendments to the company's Articles of Incorporation to eliminate the classified board structure. | MNGT | Yes | Mirror | FOR |
61 | Eli Lilly and Co | LLY | US5324571083 | ANNUAL: 05/03/2021 | 5 | Approval of amendments to the company's Articles of incorporation to eliminate supermajority voting provisions. | MNGT | Yes | Mirror | FOR |
62 | Eli Lilly and Co | LLY | US5324571083 | ANNUAL: 05/03/2021 | 6 | SHAREHOLD proposal to disclose direct and indirect lobbying activities and expenditures. | SHAREHOLD | Yes | Mirror | AGAINST |
63 | Eli Lilly and Co | LLY | US5324571083 | ANNUAL: 05/03/2021 | 7 | SHAREHOLD proposal to amend the bylaws to require in independent board chair. | SHAREHOLD | Yes | Mirror | AGAINST |
64 | Eli Lilly and Co | LLY | US5324571083 | ANNUAL: 05/03/2021 | 8 | SHAREHOLD proposal to implement a bonus deferral policy. | SHAREHOLD | Yes | Mirror | AGAINST |
65 | Eli Lilly and Co | LLY | US5324571083 | ANNUAL: 05/03/2021 | 9 | SHAREHOLD proposal to disclose clawbacks on executive incentive compensation due to misconduct. | SHAREHOLD | Yes | Mirror | AGAINST |
66 | PepsiCo Inc | PEP | US7134481081 | ANNUAL: 05/05/2021 | 1 | Election of Directors: Segun Agbaje; Shona L. Brown; Cesar Conde; Ian Cook; Dina Dublon; Michelle Gass; Ramon L. Laguarta; Dave Lewis; David C. Page; Robert C. Pohlad; Daniel Vasella; Darren Walker; Alberto Weisser | MNGT | Yes | Mirror | FOR |
67 | PepsiCo Inc | PEP | US7134481081 | ANNUAL: 05/05/2021 | 2 | Ratification of the appointment of KPMG LLP as the Company's independent registered public accounting firm for fiscal year 2021. | MNGT | Yes | Mirror | FOR |
68 | PepsiCo Inc | PEP | US7134481081 | ANNUAL: 05/05/2021 | 3 | Advisory approval of the Company's executive compensation. | MNGT | Yes | Mirror | FOR |
69 | PepsiCo Inc | PEP | US7134481081 | ANNUAL: 05/05/2021 | 4 | SHAREHOLD Proposal - Special SHAREHOLD Meeting Vote Threshold. | SHAREHOLD | Yes | Mirror | AGAINST |
70 | PepsiCo Inc | PEP | US7134481081 | ANNUAL: 05/05/2021 | 5 | SHAREHOLD Proposal - Report on Sugar and Public Health. | SHAREHOLD | Yes | Mirror | AGAINST |
71 | PepsiCo Inc | PEP | US7134481081 | ANNUAL: 05/05/2021 | 6 | SHAREHOLD Proposal - Report on External Public Health Costs. | SHAREHOLD | Yes | Mirror | AGAINST |
72 | Duke Energy Corp | DUK | US26441C2044 | ANNUAL: 05/06/2021 | 1 | Election of Directors: Michael G. Browning; Annette K. Clayton; Theodore F. Craver, Jr.; Robert M. Davis; Caroline Dorsa; W. Roy Dunbar; Nicholas C. Fanandakis; Lynn J. Good; John T. Herron; E. Marie McKee; Michael J. Pacilio; Thomas E. Skains; William E. Webster, Jr. | MNGT | Yes | Mirror | FOR |
73 | Duke Energy Corp | DUK | US26441C2044 | ANNUAL: 05/06/2021 | 2 | Ratification of Deloitte & Touche LLP as Duke Energy's independent registered public accounting firm for 2021. | MNGT | Yes | Mirror | FOR |
74 | Duke Energy Corp | DUK | US26441C2044 | ANNUAL: 05/06/2021 | 3 | Advisory vote to approve Duke Energy's named executive officer compensation. | MNGT | Yes | Mirror | FOR |
75 | Duke Energy Corp | DUK | US26441C2044 | ANNUAL: 05/06/2021 | 4 | Amendment to the Amended and Restated Certificate of Incorporation of Duke Energy Corporation to eliminate supermajority requirements. | MNGT | Yes | Mirror | FOR |
76 | Duke Energy Corp | DUK | US26441C2044 | ANNUAL: 05/06/2021 | 5 | SHAREHOLD proposal regarding independent board chair. | SHAREHOLD | Yes | Mirror | AGAINST |
77 | Duke Energy Corp | DUK | US26441C2044 | ANNUAL: 05/06/2021 | 6 | SHAREHOLD proposal regarding providing a semiannual report on Duke Energy's political contributions and expenditures. | SHAREHOLD | Yes | Mirror | AGAINST |
78 | 3M Co | MMM | US88579Y1010 | ANNUAL: 05/11/2021 | 1 | To elect 12 members to the Board of Directors, each, for a term of one year: Thomas "Tony" K. Brown; Pamela J. Craig; David B. Dillon; Michael L. Eskew; James R. Fitterling; Herbert L. Henkel; Amy E. Hood; Muhtar Kent; Dambisa F. Moyo; Gregory R. Page; Michael F. Roman; Patricia A. Woertz | MNGT | Yes | Mirror | FOR |
79 | 3M Co | MMM | US88579Y1010 | ANNUAL: 05/11/2021 | 2 | To ratify the appointment of PricewaterhouseCoopers LLP and 3M's independent registered public accounting firm. | MNGT | Yes | Mirror | FOR |
80 | 3M Co | MMM | US88579Y1010 | ANNUAL: 05/11/2021 | 3 | Advisory approval of executive compensation. | MNGT | Yes | Mirror | FOR |
81 | 3M Co | MMM | US88579Y1010 | ANNUAL: 05/11/2021 | 4 | To approve the amendment and restatement of 3MCompany 2016 Long-Term Incentive Plan. | MNGT | Yes | Mirror | FOR |
82 | 3M Co | MMM | US88579Y1010 | ANNUAL: 05/11/2021 | 5 | SHAREHOLD proposal on setting target amounts for CEO compensation. | SHAREHOLD | Yes | Mirror | AGAINST |
83 | 3M Co | MMM | US88579Y1010 | ANNUAL: 05/11/2021 | 6 | SHAREHOLD proposal on transitioning the Company to a public benefit corporation. | SHAREHOLD | Yes | Mirror | AGAINST |
84 | Waste Management Inc | WM | US94106L1098 | ANNUAL: 05/11/2021 | 1 | Election of Directors: James C. Fish, Jr.; Andrés R. Gluski; Victoria M. Holt; Kathleen M. Mazzarella; Sean E. Menke; William B. Plummer; John C. Pope; Maryrose T. Sylvester; Thomas H. Weidemeyer | MNGT | Yes | Mirror | FOR |
85 | Waste Management Inc | WM | US94106L1098 | ANNUAL: 05/11/2021 | 2 | Ratification of the appointment of Ernst & Young LLP as the independent registered public accounting firm for 2021. | MNGT | Yes | Mirror | FOR |
86 | Waste Management Inc | WM | US94106L1098 | ANNUAL: 05/11/2021 | 3 | Non-binding, advisory proposal to approve our executive compensation. | MNGT | Yes | Mirror | FOR |
87 | Gilead Sciences Inc | GILD | US3755581036 | ANNUAL: 05/12/2021 | 1 | To elect the nine director nominees named in the Proxy Statement to serve for the next year and until their successors are elected and qualified: Jacqueline K. Barton, Ph.D.; Jeffrey A. Bluestone, Ph.D.; Sandra J. Horning, M.D.; Kelly A. Kramer; Kevin E. Lofton; Harish Manwani; Daniel P. O'Day; Javier J. Rodriguez; Anthony Welters | MNGT | Yes | Mirror | FOR |
88 | Gilead Sciences Inc | GILD | US3755581036 | ANNUAL: 05/12/2021 | 2 | To ratify the selection of Ernst & Young LLP by the Audit Committee of the Board of Directors as the independent registered public accounting firm of Gilead for the fiscal year ending December 31, 2021. | MNGT | Yes | Mirror | FOR |
89 | Gilead Sciences Inc | GILD | US3755581036 | ANNUAL: 05/12/2021 | 3 | To approve, on an advisory basis, the compensation of our Named Executive Officers as presented in the Proxy Statement. | MNGT | Yes | Mirror | FOR |
90 | Gilead Sciences Inc | GILD | US3755581036 | ANNUAL: 05/12/2021 | 4 | To vote on a stockholder proposal, if properly presented at the meeting, requesting that the Board adopt a policy that the Chairperson of the Board of Directors be an independent director. | SHAREHOLD | Yes | Mirror | AGAINST |
91 | Verizon Communications Inc | VZ | US92343V1044 | ANNUAL: 05/13/2021 | 1 | Election of Directors: Shellye L. Archambeau; Roxanne S. Austin; Mark T. Bertolini; Melanie L. Healey; Clarence Otis, Jr.; Daniel H. Schulman; Rodney E. Slater; Hans E, Vestberg; Gregory G. Weaver | MNGT | Yes | Mirror | FOR |
92 | Verizon Communications Inc | VZ | US92343V1044 | ANNUAL: 05/13/2021 | 2 | Advisory Vote to Approve Executive Compensation. | MNGT | Yes | Mirror | FOR |
93 | Verizon Communications Inc | VZ | US92343V1044 | ANNUAL: 05/13/2021 | 3 | Ratification of Appointment of Independent Registered Public Accounting Firm. | MNGT | Yes | Mirror | FOR |
94 | Verizon Communications Inc | VZ | US92343V1044 | ANNUAL: 05/13/2021 | 4 | Shareholder Action by Written Consent. | SHAREHOLD | Yes | Mirror | AGAINST |
95 | Verizon Communications Inc | VZ | US92343V1044 | ANNUAL: 05/13/2021 | 5 | Amend Clawback Policy. | SHAREHOLD | Yes | Mirror | AGAINST |
96 | Verizon Communications Inc | VZ | US92343V1044 | ANNUAL: 05/13/2021 | 6 | Shareholder Ratification of Annual Equity Awards. | SHAREHOLD | Yes | Mirror | AGAINST |
97 | Mondelēz International Inc | MDLZ | US6092071058 | ANNUAL: 05/19/2021 | 1 | Election of Directors: Lewis W.K. Booth; Charles E. Bunch; Lois D. Juliber; Peter W. May; Jorge S. Mesquita; Jane H. Nielsen; Fredric G. Reynolds; Christiana S. Shi; Patrick T. Siewert; Michael A. Todman; Jean-François M. L. van Boxmeer; Dirk Van de Put | MNGT | Yes | Mirror | FOR |
98 | Mondelēz International Inc | MDLZ | US6092071058 | ANNUAL: 05/19/2021 | 2 | Advisory Vote to Approve Executive Compensation. | MNGT | Yes | Mirror | FOR |
99 | Mondelēz International Inc | MDLZ | US6092071058 | ANNUAL: 05/19/2021 | 3 | Ratification of PricewaterhouseCoopers LLP as Independent Registered Public Accountants for Fiscal Year Ending December 31, 2021. | MNGT | Yes | Mirror | FOR |
100 | Mondelēz International Inc | MDLZ | US6092071058 | ANNUAL: 05/19/2021 | 4 | Consider Employee Pay in Setting Chief Executive Officer Pay. | SHAREHOLD | Yes | Mirror | AGAINST |
101 | Ingredion Inc | INGR | US4571871023 | ANNUAL: 05/19/2021 | 1 | To elect 11 nominees nominated by the Company's Board of Directors to serve a Directors for a term of one year: Luis Aranguren-Trellez; David B. Fischer; Paul Hanrahan; Rhonda L. Jordan; Gregory B. Kenny; Barbara A. Klein; Victoria J. Reich; Stephan B. Tanda; Jorge A. Uribe; Dwayne A. Wilson; James P. Zallie | MNGT | Yes | Mirror | FOR |
102 | Ingredion Inc | INGR | US4571871023 | ANNUAL: 05/19/2021 | 2 | To approve, by advisory vote, the compensation of the Company's "named executive officers." | MNGT | Yes | Mirror | FOR |
103 | Ingredion Inc | INGR | US4571871023 | ANNUAL: 05/19/2021 | 3 | To ratify the appointment of KPMG LLP as the independent registered public accounting firm of the Company for the fiscal year ending December 31, 2021. | MNGT | Yes | Mirror | FOR |
104 | Ingredion Inc | INGR | US4571871023 | ANNUAL: 05/19/2021 | 4 | To approve an amendment to the Ingredion Incorporated Stock Incentive Plan to increase the number of shares of common stock authorized for issuance under the plan. | MNGT | Yes | Mirror | FOR |
105 | McDonald's Corp | MCD | US5801351017 | ANNUAL: 05/20/2021 | 1 | Election of Directors (each for a one-year term expiring in 2022): Lloyd Dean; Robert Eckert; Catherine Engelbert; Margaret Georgiadis; Enrique Hernandez, Jr.; Christopher Kempczinski; Richard Lenny, John Mulligan; Sheila Penrose; John Rogers, Jr.; Paul Walsh; Miles White | MNGT | Yes | Mirror | FOR |
106 | McDonald's Corp | MCD | US5801351017 | ANNUAL: 05/20/2021 | 2 | Advisory vote to approve executive compensation. | MNGT | Yes | Mirror | FOR |
107 | McDonald's Corp | MCD | US5801351017 | ANNUAL: 05/20/2021 | 3 | Advisory vote to ratify the appointment of Ernst & Young LLP as independent auditor for 2021. | MNGT | Yes | Mirror | FOR |
108 | McDonald's Corp | MCD | US5801351017 | ANNUAL: 05/20/2021 | 4 | Advisory vote on shareholder proposal requesting a report on sugar and public health, if properly presented. | SHAREHOLD | Yes | Mirror | AGAINST |
109 | McDonald's Corp | MCD | US5801351017 | ANNUAL: 05/20/2021 | 5 | Advisory vote on a shareholder proposal requesting a report on antibiotics and public health costs, if properly presented. | SHAREHOLD | Yes | Mirror | AGAINST |
110 | McDonald's Corp | MCD | US5801351017 | ANNUAL: 05/20/2021 | 6 | Advisory vote on a shareholder proposal requesting the ability for shareholders to act by written consent, if properly presented. | SHAREHOLD | Yes | Mirror | AGAINST |
111 | Alliant Energy Corp | LNT | US0188021085 | ANNUAL: 05/20/2021 | 1 | Election of Directors. Nominees for terms ending in 2024: Roger K. Newport; Dean C. Oestreich; Carol P. Sanders | MNGT | Yes | Mirror | FOR |
112 | Alliant Energy Corp | LNT | US0188021085 | ANNUAL: 05/20/2021 | 2 | Advisory vote to approve the compensation of our named executive officers. | MNGT | Yes | Mirror | FOR |
113 | Alliant Energy Corp | LNT | US0188021085 | ANNUAL: 05/20/2021 | 3 | Ratification of the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for 2021. | MNGT | Yes | Mirror | FOR |
114 | Alliant Energy Corp | LNT | US0188021085 | ANNUAL: 05/20/2021 | 4 | Shareholder proposal regarding a report on the costs and benefits of Alliant Energy's voluntary climate-related activities. | SHAREHOLD | Yes | Mirror | AGAINST |
115 | Republic Services Inc | RSG | US7607591002 | ANNUAL: 05/21/2021 | 1 | Election of Directors: Manuel Kadre; Tomago Collins; Michael A. Duffy; Thomas W. Handley; Jennifer M. Kirk; Michael Larson; Kim S. Pegula; James P. Snee; Brian S. Tyler; Sandra M. Volpe; Katharine B. Weymouth | MNGT | Yes | Mirror | FOR |
116 | Republic Services Inc | RSG | US7607591002 | ANNUAL: 05/21/2021 | 2 | Advisory vote to approve our named executive officer compensation. | MNGT | Yes | Mirror | FOR |
117 | Republic Services Inc | RSG | US7607591002 | ANNUAL: 05/21/2021 | 3 | Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for 2021. | MNGT | Yes | Mirror | FOR |
118 | Republic Services Inc | RSG | US7607591002 | ANNUAL: 05/21/2021 | 4 | Shareholder Proposal to incorporate ESG metrics into executive compensation. | SHAREHOLD | Yes | Mirror | AGAINST |
119 | Southern Co | SO | US8425871071 | ANNUAL: 05/26/2021 | 1 | Elect 13 Directors: Janaki Akella; Juanita Powell Barnco; Henry A. Clark III; Anthony F. Earley, Jr.; Thomas A. Fanning; David J Grain; Colette D. Honorable; Donald M. James; John D. Johns; Dale E. Klein; Ernest J. Moniz; William G. Smith, Jr. E. Jenner Wood III | MNGT | Yes | Mirror | FOR |
120 | Southern Co | SO | US8425871071 | ANNUAL: 05/26/2021 | 2 | Advisory vote to approve executive compensation. | MNGT | Yes | Mirror | FOR |
121 | Southern Co | SO | US8425871071 | ANNUAL: 05/26/2021 | 3 | Approve the 2021 Equity and Incentive Compensation Plan. | MNGT | Yes | Mirror | FOR |
122 | Southern Co | SO | US8425871071 | ANNUAL: 05/26/2021 | 4 | Ratify the appointment of Deloitte & Touche LLP as the independent registered public accounting firm for 2021. | MNGT | Yes | Mirror | FOR |
123 | Southern Co | SO | US8425871071 | ANNUAL: 05/26/2021 | 5 | Approve an amendment to the Restated Certificate of Incorporation to reduce the supermajority vote requirement to a majority vote requirement. | MNGT | Yes | Mirror | FOR |
124 | Keurig Dr Pepper Inc | KDP | US49271V1008 | ANNUAL: 06/18/2021 | 1 | Election of Directors: Robert Gamgort; Oliver Goudet; Peter Harf; Juliette Hickman; Genevieve Hovde; Paul S. Michaels; Pamela H. Patsley; Gerhard Pleuhs; Lubomira Rochet; Debra Sandler; Robert Singer; Justine Tan; Nelson Urdaneta; Larry D. Young | MNGT | Yes | Mirror | FOR |
125 | Keurig Dr Pepper Inc | KDP | US49271V1008 | ANNUAL: 06/18/2021 | 2 | To approve an advisory resolution regarding Keurig Dr Pepper Inc.'s executive compensation. | MNGT | Yes | Mirror | FOR |
126 | Keurig Dr Pepper Inc | KDP | US49271V1008 | ANNUAL: 06/18/2021 | 3 | To ratify the appointment of Deloitte & Touche LLP as Keurig Dr Pepper Inc.'s independent registered public accounting firm for fiscal year 2021. | MNGT | Yes | Mirror | FOR |
Registrant: NORTHERN LIGHTS FUND TRUST - Sierra Tactical All Asset Fund | Item 1, Exhibit 57 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
Allianz | ANNPX | 11/24/2020 | Changes to Fund charter | Mgmt | Y | Y | Mirror | |||
Nuveen | NHMRX | 11/16/2020 | Elections | Mgmt | Y | Y | Mirror | |||
Nuveen | NPSRX | 11/16/2020 | Elections | Mgmt | Y | Y | Mirror |
Registrant: NORTHERN LIGHTS FUND TRUST - SIERRA TACTICAL BOND FUND | Item 1, Exhibit 58 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
Nuveen | FJSYX | 11/16/2020 | Elections | Mgmt | Y | Y | Mirror |
Registrant: NORTHERN LIGHTS FUND TRUST - SIERRA TACTICAL CORE INCOME FUND | Item 1, Exhibit 59 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
Nuveen | NPSRX | 11/16/2020 | Elections | Mgmt | Y | Y | Mirror | |||
Allianz | ANNPX | 11/24/2020 | Change to Fund charter | Mgmt | Y | Y | Mirror |
Registrant: NORTHERN LIGHTS FUND TRUST - SIERRA TACTICAL MUNICIPAL FUND | Item 1, Exhibit 60 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
2 | Nuveen | NHMRX | 11/16/2020 | Elections | Mgmt | Y | Y | Mirror |
Registrant: NORTHERN LIGHTS FUND TRUST -Transwestern Institutional Short Duartion Government Bond Fund | Item 1, Exhibit 71 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | N/A - There were no proxies voted during the reporting period. |
Registrant: NORTHERN LIGHTS FUND TRUST -Zeo Short Duration Income Fund | Item 1, Exhibit 72 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | NA - There were no proxies voted during the Reporting Period | |||||||||
2 |
Registrant: NORTHERN LIGHTS FUND TRUST -Zeo Sustainable Credit Fund | Item 1, Exhibit 73 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | NA - There were no proxies voted during the Reporting Period |
SIGNATURES
See General Instruction F
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) Northern Lights Fund Trust
By (Signature and Title) * /s/ Kevin Wolf
Kevin Wolf, President
Date: August 3, 2021
* Print the name and title of each signing officer under his or her signature.