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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- 23066
Northern Lights Fund Trust IV
________________________________________________________________________
(Exact name of registrant as specified in charter)
225 Pictoria Drive, Suite 450
Cincinnati, OH 45246
________________________________________________________________________
(Address of principal executive offices) (Zip code)
The Corporation Trust Company
1209 Orange Street
Wilmington, DE 19801
________________________________________________________________________
(Name and address of agent for service)
Registrant's telephone number, including area code: (631) 470-2600
Date of fiscal year end: February 28
Date of reporting period: July 1, 2022- June 30, 2023
ITEM 1. PROXY VOTING RECORD:
Appended hereto as Exhibits 32 through 33 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, 2023 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.
Item 1, Exhibit 32
Registrant: Northern Lights Fund Trust IV- Inverse Cramer Tracker ETF
Investment Company Act file number: 811-23066
Reporting Period: July 1, 2022 through June 30, 2023
AMPRIUS TECHNOLOGIES, INC. Agenda Number: 935847333
Security: 03214Q108
Meeting Type: Annual
Meeting Date: 08-Jun-2023
Ticker: AMPX
ISIN: US03214Q1085
Proposal Number | Proposal | Proposal Type | Proposal Vote | For/Against Management |
1 | DIRECTOR Dr. Wen Hsieh | Mgmt | For | For |
Kathleen Ann Bayless | Mgmt | For | For | |
2 | The ratification of the appointment of BDO USA, LLP as our independent registered public accounting firm for our fiscal year ending December 31, 2023. | Mgmt | For | For |
CVR ENERGY, INC. Agenda Number: 935829412
Security: 12662P108
Meeting Type: Annual
Meeting Date: 01-Jun-2023
Ticker: CVI
ISIN: US12662P1084
Proposal Number | Proposal | Proposal Type | Proposal Vote | For/Against Management |
1 | Director Jaffrey A Firestone | Mgmt | For | For |
Hunter C. Gary | Mgmt | For | For | |
Davis L. Lamp | Mgmt | For | For | |
Stephen Mongillo | Mgmt | For | For | |
Ted Papapostolot | Mgmt | For | For | |
James M. Strock | Mgmt | For | For | |
2 | To approve, by a non-binding advisory vote, our named executive officer compensation (“say-on-Pay”). | Mgmt | For | For |
3 | To recommend, by a non-binding advisory vote, the frequency of future advisory votes on our named executive officer compensation (Say-on-Pay Frequency”). | Mgmt | 1 Year | For |
4 | To ratify the appointment of Grant Thornton LLP as CRV Energy’s independent Registered public accounting firm for 2023. | Mgmt | For | For |
GAMING AND LEISURE PROPERTIES, INC Agenda Number: 9358560940
Security: 36467J108
Meeting Type: Annual
Meeting Date: 15-Jun-2023
Ticker: GLPI
ISIN: US36467J1088
Proposal Number | Proposal | Proposal Type | Proposal Vote | For/Against Management |
1.1 | Election of Director to hold office until he 2024 Annual Meeting: Peter M. Carlino | Mgmt | For | For |
1.2 | Election of Director to hold office until the 2024 Annual Meeting: JoAnne A. Epps | Mgmt | For | For |
1.3 | Election of Director to hold office until the 2024 Annual Meeting: Carlo (“Lili”) Lynton | Mgmt | For | For |
1.4 | Election of Director to hold office until the 2024 Annual Meeting: Jospeh W. Marshal, III | Mgmt | For | For |
1.5 | Election of Director to hold office until the 2024 Annual Meeting: James B. Perry | Mgmt | For | For |
1.6 | Election of Director to hold office until the 2024 Annual Meeting: Barry F. Schwartz | Mgmt | For | For |
1.7 | Election of Director to hold office until the 2024 Annual Meeting: Earl C. Shanks | Mgmt | For | For |
1.8 | Election of Director to hold office until the 2024 Annual Meeting: E. Scott Urdang | Mgmt | For | For |
2 | To ratify the appointment of Deloitte & Touche LLP as the Company’s independent registered public accounting firm for the current fiscal year. | Mgmt | For | For |
3 | To approve, on a non-binding advisory basis, the Company’s executive compensation | Mgmt | For | For |
4 | To approve, on a non-binding basis, the frequency of future advisory votes to approve the Company’s executive compensation. | Mgmt | 1 Year | For |
GOODRX HOLDINGS, INC. Agenda Number: 935856851
Security: 38246G108
Meeting Type: Annual
Meeting Date: 14-Jun-2023
Ticker: GDRX
ISIN: US38246G1085
Proposal Number | Proposal | Proposal Type | Proposal Vote | For/Against Management |
1 | Director Julie Bradley | Mgmt | For | For |
Dipanjan Deb | Mgmt | For | For | |
Stephen LeSieur | Mgmt | For | For | |
Gregory Mondre | Mgmt | For | For | |
2 | Ratification of the appointment of PreicewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2023. | Mgmt | For | For |
3 | Approval, on an advisory (non-binding) basis, of the compensation of the Company’s named executive officers. | Mgmt | For | For |
INTEL CORPORATION Agenda Number: 935793631
Security: 458140100
Meeting Type: Annual
Meeting Date: 11-May-2023
Ticker: INTC
ISIN: US4581401001
Proposal Number | Proposal | Proposal Type | Proposal Vote | For/Against Management |
1a | Election of Director: Patrick P. Gelsinger | Mgmt | For | For |
1b | Election of Director: James J. Goetz | Mgmt | For | For |
1c | Election of Director: Andrea J. Goldsmith | Mgmt | For | For |
1d | Election of Director: Alyssa H. Henry | Mgmt | For | For |
1e | Election of Director: Omar Ishrank | Mgmt | For | For |
1f | Election of Director: Risa Lavizzo-Mourey | Mgmt | For | For |
1g | Election of Director: Tsu-Jae King Liu | Mgmt | For | For |
1h | Election of Director: Barbara G. Novick | Mgmt | For | For |
1i | Election of Director: Gregory D. Smith | Mgmt | For | For |
1j | Election of Director: Dion J. Weisler | Mgmt | For | For |
1k | Election of Director: Lip-Bu Tan | Mgmt | For | For |
1l | Election of Director: Frank D. Yeary | Mgmt | For | For |
2 | Ratification of selection of Ernst & Young LLP as our independent registered public accounting firm for 2023 | Mgmt | For | For |
3 | Advisory vote to approve executive compensation of out named executive officers. | Mgmt | For | For |
4 | Approval of amendment and restatement of the 2006 Equity Incentive Plan. | Mgmt | For | For |
5 | Advisory vote on the frequency of holding future advisory votes to approve executive compensation of our named executive officers. | Mgmt | 1 Year | For |
6 | Stockholder proposal requesting an executive stock retention period policy and reporting, if properly presented at the meeting. | Shr | Against | For |
7 | Stockholder proposal requesting commission and publication of a third party review od Intel’s China business ESG congruence, of properly presented at the meeting. | Shr | Against | For |
KOHL’S CORPORATION Agenda Number: 935780252
Security: 500255104
Meeting Type: Annual
Meeting Date: 10-May-2023
Ticker: KSS
ISIN: US5002551043
Proposal Number | Proposal | Proposal Type | Proposal Vote | For/Against Management |
1 | DIRECTOR Michael J. Bender | Mgmt | For | For |
Peter Boneparth | Mgmt | For | For | |
Yael Cosset | Mgmt | For | For | |
Christine Day | Mgmt | For | For | |
H. Charles Floyd | Mgmt | For | For | |
Margaret L. Jenkins | Mgmt | For | For | |
Thomas A. Kingsbury | Mgmt | For | For | |
Robbin Mitchell | Mgmt | For | For | |
Jones Prising | Mgmt | For | For | |
John E. Schlifske | Mgmt | For | For | |
Adrianne Shapira | Mgmt | For | For | |
2 | To approve, by an advisory vote, the compensation of our named executive officers. | Mgmt | For | For |
3 | To hold an advisory vote on the frequency of future shareholder advisory votes on the compensation of our named executive officers. | Mgmt | 1 Year | For |
4 | To ratify the appointment of Ernst & Young LLP as out independent registered public accounting firm for the fiscal year ending February 3, 2024 | Mgmt | For | For |
NOKIA CORPORATION Agenda Number: 935782931
Security: 654902204
Meeting Type: Annual
Meeting Date: 04-Apr-2023
Ticker: NOK
ISIN: US6549022043
Proposal Number | Proposal | Proposal Type | Proposal Vote | For/Against Management |
7 | Adoption of the Annual Accounts | Mgmt | For | For |
8 | Resolution on the use of the profit shown on the balance sheet and authorization of the Board of Directors to decide on the distribution of dividend and assets from the invested unrestricted equity fund | Mgmt | For | For |
9 | Resolution on the discharge of the members of the Board of Directors and the President and CEO from liability for the financial year 2022 | Mgmt | For | For |
10 | Addressing the Remuneration Report | Mgmt | For | For |
11 | Resolution on the renumeration to the members of the Board of Directors | Mgmt | For | For |
12 | Resolution on the number of members of the Board of Directors | Mgmt | For | For |
13a | Election of Director: Sari Baldauf | Mgmt | For | For |
13b | Election of Director: Thomas Dannenfeldt | Mgmt | For | For |
13c | Election of Director: Lisa Hook | Mgmt | For | For |
13d | Election of Director: Jeanette Horan | Mgmt | For | For |
13e | Election of Director: Thomas Sauerssig | Mgmt | For | For |
13f | Election of Director: Sren Skou | Mgmt | For | For |
13g | Election of Director: Carla Smits-Nusteling | Mgmt | For | For |
13h | Election of Director: Kai istm | Mgmt | For | For |
13i | Election of Director: Timo Ahopelto | Mgmt | For | For |
13j | Election of Director: Elizabeth Crain | Mgmt | For | For |
14 | Resolution on the remuneration of the Auditor | Mgmt | For | For |
15 | Election of Auditor for the financial year 2024 | Mgmt | For | For |
16 | Authorization to the Board of Directors to resolve to repurchase the Company’s own shares | Mgmt | For | For |
17 | Authorization to the Board of Directors to resolve to issue shares and special rights entitling to shares | Mgmt | For | For |
NORWEGIAN CRUISE LINE HOLDING LTD. Agenda Number: 935847826
Security:G66721104
Meeting Type: Annual
Meeting Date: 15-Jun-2023
Ticker: NCLH
ISIN: BMG667211046
Proposal Number | Proposal | Proposal Type | Proposal Vote | For/Against Management |
1a | Election of Class I Director: David M. Abrams | Mgmt | For | For |
1b | Election of Class I Director: Zillah Byng-Thorne | Mgmt | For | For |
1c | Election of Class I Director: Russell W. Galbut | Mgmt | For | For |
2 | Approval, on a non-binding, advisory basis, of the compensation of out named executive officers | Mgmt | For | For |
3 | Approval of an amendment to our 2013 Performance Incentive Plan (out “Plan”), including an increase in the number of shares available for grant under out Plan | Mgmt | For | For |
4 | Ratification of the appointment of PricewaterhouseCoopers LLP (“PwC”) as our independent registered public accounting firm for the year ending December 31, 2023 and the determination of PwC’s remuneration by our Audit Committee | Mgmt | For | For |
PALANTIR TECHNOLOGIES INC. Agenda Number: 935843816
Meeting Type: Annual
Meeting Date: 06-Jun-2023
Ticker: PLTR
ISINL US69608A1088
Proposal Number | Proposal | Proposal Type | Proposal Vote | For/Against Management |
1 | DIRECTOR Alexander Karp | Mgmt | For | For |
Stephen Cohen | Mgmt | For | For | |
Peter Thiel | Mgmt | For | For | |
Alexander Moore | Mgmt | For | For | |
Alexandra Schiff | Mgmt | For | For | |
Lauren Friedman Stat | Mgmt | For | For | |
Eric Woersching | Mgmt | For | For | |
2 | Ratification of the appointment of Ernst & Young LLP as Palantir’s independent registered public accounting firm for 2023. | Mgmt | For | For |
3 | Advisory vote to approve named executive officer compensation. | Mgmt | For | For |
READY CAPTIAL CORPORATION Agenda Number: 935844680
Security: 75574U101
Meeting Type: Special
Meeting Date: 30-May-2023
Ticker: RC
ISIN: US75574U1016
Proposal Number | Proposal | Proposal Type | Proposal Vote | For/Against Management |
1 | To consider and vote on a proposal (the “Ready Capital Common Stock Issuance Proposal”) to approve the issuance of shares of common stock, par value $0.0001 per share, of Ready Capital Corporation pursuant to the Agreement and Plan of Merger (as the same may be amended form time to time), dated as of February 26, 2023, by and among Ready Capital Corporation, RCC Merger Sub, LLC and Broadmark Realty Capital Inc. , a copy of which is attached as Annex A to the pint proxy statement/prospectus accompanying this proxy card. | Mgmt | For | For |
2 | To consider and vote upon a proposal to adjourn the special meeting, if necessary or appropriate, including to solicit additional proxies If there are not sufficient votes to approve the Ready Capital Common Stock Issuance Proposal. | Mgmt | For | For |
RIVIAN AUTOMOTIVE, INC. Agenda Number: 93587358
Security:76954A103
Meeting Type: Annual
Eeting Date: 21-Jun-2023
Ticker: RIVN
ISIN: US76954A1034
Proposal Number | Proposal | Proposal Type | Proposal Vote | For/Against Management |
1a | Election of Class II Director to serve until the 2026 Annual Meeting of Stockholders: Karen Boone | Mgmt | For | For |
1b | Election of Class II Director to serve until 2026 Annual Meeting of Stockholders: Rose Marcario | Mgmt | For | For |
2 | Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2023. | Mgmt | For | For |
3 | Approval, on advisory (non-binding) basis, of the compensation of out named executive officers. | Mgmt | For | For |
4 | Stockholder proposal requesting the adoption of a human rights policy. | Shr | Against | For |
ROCKET LAB USA, INC. Agenda Number: 93582168
Security: 773122106
Meeting Type: Annual
Meeting Date: 14-Jun-2023
Ticker: RKLB
ISIN: US7731221062
Proposal Number | Proposal | Proposal Type | Proposal Vote | For/Against Management |
1 | Director Edward Frank | Mgmt | For | For |
Michael Griffin | Mgmt | For | For | |
Matt Ocko | Mgmt | For | For | |
2 | To ratify the appointment of Deloitte & Touche LLP as out independent registered public accounting firm for the fiscal year ending December 31, 2023. | Mgmt | For | For |
3 | To approve, on a non-binding advisory basis, the frequency of future stockholder advisory votes on the compensation of our named executive officers. | For | 1 Year | For |
4 | To approve, on a non-binding advisory basis, the compensation of our named executive officers disclosed in the accompanying proxy statement. | Mgmt | For | For |
UNITEDHEALTH GROUP INCORPORATED Agenda Number: 935835237
Security: 91324P102
Meeting Type: Annual
Meeting Date: 05-Jun-2023
Ticker: UNH
ISIN: US91324P1021
Proposal Number | Proposal | Proposal Type | Proposal Vote | For/Against Management |
1a | Election of Director: Timothy Flynn | Mgmt | For | For |
1b | Election of Director: Paul Garcia | Mgmt | For | For |
1c | Election of Director: Kristen Gil | Mgmt | For | For |
1d | Election of Director: Stephen Hemsley | Mgmt | For | For |
1e | Election of Director: Michael Hooper | Mgmt | For | For |
1f | Election of Director: F. William McNabb III | Mgmt | For | For |
1g | Election of Director: Valerie Montgomery Rice, M.D | Mgmt | For | For |
1h | Election of Director: John Noseworthy, M.D. | Mgmt | For | For |
1i | Election of Director: Andrew Witty | Mgmt | For | For |
2 | Advisory approval of the Company’s executive compensation. | Mgmt | For | For |
3 | Advisory approval of the frequency of holding future say-on-pay votes. | Mgmt | 1 Year | For |
4 | Ratification of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm for the Company for the year ending December 31, 2023. | Mgmt | For | For |
5 | If properly presented at the 2023 Annual Meeting of Shareholders, the shareholder proposal seeking a third-party racial equity audit. | Shr | Against | For |
6 | If properly presented at the 2023 Annual Meeting of Shareholders, the shareholder proposal requiring a political contributions congruency report. | Shr | Against | For |
7 | If properly presented at the 2023 Annual Meeting of Shareholders, the shareholder proposal seeking shareholder ratification of termination pay. | Shr | Against | For |
Item 1, Exhibit 33
Registrant: Northern Lights Fund Trust IV- Long Cramer Tracker ETF
Investment Company Act file number: 811-23066
Reporting Period: July 1, 2022 through June 30, 2023
ADVANCED MICRO DEVICES, INC Agenda Number: 935797728
Security: 007903107
Meeting Type: Annual
Meeting Date: 18-May-2023
Ticker: AMD
ISIN: US0079031078
Prop. # Proposal | Proposal Type | Proposal Vote | For/Against/ Management |
1a. Election of Director: Nora M. Denzel | Mgmt | For | For |
1b. Election of Director: Mark Durcan | Mgmt | For | For |
1c. Election of Director: Michael P. Gregoire | Mgmt | For | For |
1d Election of Director: Joseph A. Householder | Mgmt | For | For |
1e. Election of Director: John W. Marren | Mgmt | For | For |
1f.Election of Director: Jon A. Olson | Mgmt | For | For |
1g.Election of Director: Lisa T. Su | Mgmt | For | For |
1h. Election of Director: Abhi Y. Talwalkar | Mgmt | For | For |
1i. Election of Director: Elizabeth W. Vanderslice | Mgmt | For | For |
2. Approve of the Advanced Micro Devices, Inc. 2023 Equity Incentive Plan. | Mgmt | For | For |
3. Ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the current fiscal year. | Mgmt | For | For |
4. Advisory vote to approve the executive compensation of our named executive officers. | Mgmt | For | For |
5. Advisory vote on the frequency of future advisory votes on executive compensation. | Mgmt | 1year | For |
AMAZON.COM, INC. Agenda Number: 935825452
Security: 023135106
Meeting Type: Annual
Meeting Date: 24-May-2023
Ticker: AMZN
ISIN: US0231351067
Prop. # Proposal | Proposal Type | Proposal Vote | For/Against/ Management |
1a.Election of Director: Jeffrey P. Bezos | Mgmt | For | For |
1b.Election of Director: Andrew R. Jassy | Mgmt | For | For |
1c.Election of Director: Keith B. Alexander | Mgmt | For | For |
1d. Election of Director: Edith W. Cooper | Mgmt | For | For |
1e. Election of Director: Jamie S. Gorelick | Mgmt | For | For |
1f. Election of Director: Daniel P. Huttenlocher | Mgmt | For | For |
1g. Election of Director: Judith A. McGrath | Mgmt | For | For |
1h.Election of Director: Indra K. Nooyi | Mgmt | For | For |
1i. Election of Director: Jonathan J. Rubinstein | Mgmt | For | For |
1j. Election of Director: Patricia Q. Stonesifer | Mgmt | For | For |
1k.Election of Director: Wendell P. Weeks | Mgmt | For | For |
2. RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS | Mgmt | For | For |
3. ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION | Mgmt | For | For |
4. ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION | Mgmt | I year | For |
5. REAPPROVAL OF OUR 1997 STOCK INCENTIVE PLAN, AS AMENDED AND RESTATED, FOR PURPOSES OF FRENCH TAX LAW | Mgmt | For | For |
6. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON RETIREMENT PLAN OPTIONS | Shr | Against | For |
7. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CUSTOMER DUE DILIGENCE | Shr | Against | For |
8. SHAREHOLDER PROPOSAL REQUESTING REPORTING ON CONTENT AND PRODUCT REMOVAL/RESTRICTIONS | Shr | Against | For |
9. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CONTENT REMOVAL REQUESTS | Shr | Against | For |
10. SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL REPORTING ON STAKEHOLDER IMPACTS | Shr | Against | For |
11. SHAREHOLDER PROPOSAL REQUESTING ALTERNATIVE TAX REPORTING | Shr | Against | For |
12. SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL REPORTING ON CLIMATE LOBBYING | Shr | Against | For |
13. SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL REPORTING ON GENDER/RACIAL PAY | Shr | Against | For |
14. SHAREHOLDER PROPOSAL REQUESTING AN ANALYSIS OF COSTS ASSOCIATED WITH DIVERSITY, EQUITY, AND INCLUSION PROGRAMS | Shr | Against | For |
15. SHAREHOLDER PROPOSAL REQUESTING AN AMENDMENT TO OUR BYLAWS TO REQUIRE SHAREHOLDER APPROVAL FOR CERTAIN FUTURE AMENDMENTS | Shr | Against | For |
16. SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL REPORTING ON FREEDOM OF ASSOCIATION | Shr | Against | For |
17. SHAREHOLDER PROPOSAL REQUESTING A NEW POLICY REGARDING OUR EXECUTIVE COMPENSATION PROCESS | Shr | Against | For |
18. SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL REPORTING ON ANIMAL WELFARE STANDARDS | Shr | Against | For |
19. SHAREHOLDER PROPOSAL REQUESTING AN ADDITIONAL BOARD COMMITTEE | Shr | Against | For |
20.SHAREHOLDER PROPOSAL REQUESTING AN ALTERNATIVE DIRECTOR CANDIDATE POLICY | Shr | Against | For |
21.SHAREHOLDER PROPOSAL REQUESTING A REPORT ON WAREHOUSE WORKING CONDITIONS | Shr | Against | For |
22.SHAREHOLDER PROPOSAL REQUESTING A REPORT ON PACKAGING MATERIALS | Shr | Against | For |
23. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CUSTOMER USE OF CERTAIN TECHNOLOGIES
| Shr | Against | For |
BERKSHIRE HATHAWAY INC. Agenda Number: 935785418
Security: 084670702
Meeting Type: Annual
Meeting Date: 06-May-2023
Ticker: BRKB
ISIN: US084670702
Prop. # Proposal | Proposal Type | Proposal Vote | For/Against/ Management |
1. Director | |||
Warren E. Buffett | Mgmt | For | For |
Charles T. Munge | Mgmt | For | For |
Gregory E. Abel | Mgmt | For | For |
Howard G. Buffett | Mgmt | For | For |
Susan A. Buffett | Mgmt | For | For |
Stephen B. Burke | Mgmt | For | For |
Kenneth I. Chenault | Mgmt | For | For |
Christopher C. Davis | Mgmt | For | For |
Susan L. Decker | Mgmt | For | For |
Charlotte Guyman | Mgmt | For | For |
Ajit Jain | Mgmt | For | For |
Thomas S. Murphy, Jr. | Mgmt | For | For |
Ronald L. Olson | Mgmt | For | For |
Wallace R. Weitz | Mgmt | For | For |
Meryl B. Witmer | Mgmt | For | For |
2.Non-binding resolution to approve the compensation of the Company's Named Executive Officers, as described in the 2023 Proxy Statement. | Mgmt | For | For |
3.Years frequency (whether annual, biennial or triennial) with which shareholders of the Company shall be entitled to have an advisory vote on executive compensation | Mgmt | 3 years | For |
4. Shareholder proposal regarding how the Company manages physical and transitional climate related risks and opportunities. | Shr | Against | For |
5. Shareholder proposal regarding how climate related risks are being governed by the Company. | Shr | Against | For |
6. Shareholder proposal regarding how the Company intends to measure, disclose and reduce GHG emissions associated with its underwriting, insuring and investment activities. | Shr | Against | For |
7. Shareholder proposal regarding the reporting on the effectiveness of the Corporation's diversity, equity and inclusion efforts. | Shr | Against | For |
8. Shareholder proposal regarding the adoption of a policy requiring that two separate people hold the offices of the Chairman and the CEO. | Shr | Against | For |
9. Shareholder proposal requesting that the Company avoid supporting or taking a public policy position on controversial social and political issues. | Shr | Against | For |
CATERPILLAR INC. Agenda Number: 935854794
Security: 149123101
Meeting Type: Annual
Meeting Date: 14-Jun-2023
Ticker: CAT
ISIN: US1491231015
Prop. # Proposal | Proposal Type | Proposal Vote | For/Against/ Management |
1a.Election of Director: Kelly A. Ayotte | Mgmt | For | For |
1b.Election of Director: David L. Calhoun | Mgmt | For | For |
1c.Election of Director: Daniel M. Dickinson | Mgmt | For | For |
1d.Election of Director: James C. Fish, Jr. | Mgmt | For | For |
1e.Election of Director: Gerald Johnson | Mgmt | For | For |
1f.Election of Director: David W. MacLennan | Mgmt | For | For |
1g.Election of Director: Judith F. Marks | Mgmt | For | For |
1h.Election of Director: Debra L. Reed-Klages | Mgmt | For | For |
1i.Election of Director: Susan C. Schwab | Mgmt | For | For |
1j.Election of Director: D. James Umbleby III. | Mgmt | For | For |
1k.Election of Director: Rayford Wilkins, Jr. | Mgmt | For | For |
2. RATIFICATION OF THE APPOINTMENT INDEPENDENT REGISTERED ACCOUNTING FIRM | Mgmt | For | For |
3. ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION | Mgmt | For | For |
4. Advisory Vote on the Frequency of Executive Compensation Votes. | Mgmt | I year | For |
5. Approval of Caterpillar Inc. 2023 Long-Term Mgmt Incentive Plan. | Mgmt | For | For |
6. SHAREHOLDER PROPOSAL Report on Corporate Climate Lobbying in Line with Paris Agreement. | Shr | Against | For |
7. SHAREHOLDER PROPOSAL Lobbying Disclosure | Shr | Against | For |
8. SHAREHOLDER PROPOSAL Report on Activities in Conflict-Affected Areas. | Shr | Against | For |
9. SHAREHOLDER PROPOSAL Civil Rights, Non-Discrimination and Returns to Merit Audit | Shr | Against | For |
CRYOPORT, INC. Agenda Number: 935793768
Security: 229050307
Meeting Type: Annual
Meeting Date: 12-May-2023
Ticker: CYRX
ISIN: US2290503075
Prop. # Proposal | Proposal Type | Proposal Vote | For/Against/ Management |
1.Director: Linda Baddour | Mgmt | For | For |
Richard Berman | Mgmt | For | For |
Daniel Hancock | Mgmt | For | For |
Robert Hariri MD, PhD | Mgmt | For | For |
Ram M. Jagannath | Mgmt | For | For |
Ramkumar Mandalam, PhD | Mgmt | For | For |
Jerrell W. Shelton | Mgmt | For | For |
Edward Zecchini | Mgmt | For | For |
2. To ratify the appointment of Deloitte &Touche LLP as the independent registered public accounting firm of the Company and its subsidiaries for the year ending December 31, 2023. | Mgmt | For | For |
3. To approve, on an advisory basis, the compensation of the named executive officers, as disclosed in this Proxy Statement. | Mgmt | For | For |
FERRARI, NV Agenda Number: 935792398
Security: N3167Y103
Meeting Type: Annual
Meeting Date: 14-Apr-2023
Ticker: RACE
ISIN: NL0011585146
Prop. # Proposal | Proposal Type | Proposal Vote | For/Against/ Management |
2c. Remuneration Report 2022 (advisory vote). | Mgmt | For | For |
2d. Adoption of the 2022 Annual Accounts | Mgmt | For | For |
2e. Determination and distribution of dividend | Mgmt | For | For |
2f. Granting of discharge to the directors in respect of the performance of their duties during the financial year 2022 | Mgmt | For | For |
3a. Re-appointment of John Elkann (executive director) | Mgmt | For | For |
3b. Re-appointment of Benedetto Vigna (executive director) | Mgmt | For | For |
3c. Re-appointment of Piero Ferrari (non-executive director) | Mgmt | For | For |
3d. Re-appointment of Delphine Arnault (non-executive director) | Mgmt | For | For |
3e. Re-appointment of Francesca Bellettini non-executive director) | Mgmt | For | For |
3f. Re-appointment of Eduardo H. Cue (non-executive director) | Mgmt | For | For |
3g. Re-appointment of Sergio Duca (non-executive director) | Mgmt | For | For |
3h. Re-appointment of John Galantic (non-executive director) | Mgmt | For | For |
3i. Re-appointment of Maria Patrizia Grieco (non-executive director) | Mgmt | For | For |
3j. Re-appointment of Adam Keswick (non-executive director) | Mgmt | I year | For |
3k. Appointment of Michelangelo Volpi (non-executive director) | Mgmt | For | For |
4.1 Proposal to designate the Board of Directors as the corporate body authorized to issue common shares and to grant rights to subscribe for common shares as provided for in article 6 of the Company's articles of association | Mgmt | For | For |
4.2 Proposal to designate the Board of Directors as the corporate body authorized to limit or to exclude pre-emption rights for common shares as provided for in article 7 of the Company's articles of association | Mgmt | For | For |
5. Delegation to the Board of Directors of the authority to acquire common shares in the capital of the Company - Proposal to authorize the Board of Directors to acquire fully paid-up common shares in the Company's own share capital as specified in article 8 of the Company's articles of association | Mgmt | For | For |
6. Approval of awards to the executive directors - Proposal to approve the proposed award of (rights to subscribe for) common shares in the capital of the Company to the executive directors in accordance with article 14.6 of the Company's articles of association and Dutch law | Mgmt | For | For |
FORD MOTOR COMPANY Agenda Number: 935790128
Security: 345370860
Meeting Type: Annual
Meeting Date: 11-May-2023
Ticker: F
ISIN: US3453708600
Prop. # Proposal | Proposal Type | Proposal Vote | For/Against/ Management |
1a. Election of Director: Kimberly A. Casiano | Mgmt | For | For |
1b. Election of Director: Alexandra Ford English 1c. Election of Director: James D. Farley, Jr. 1d. Election of Director: Henry Ford III 1e. Election of Director: William Clay Ford, Jr. 1f. Election of Director: William W. Helman IV 1g. Election of Director: Jon M. Huntsman, Jr. 1h. Election of Director: William E. Kennard 1i. Election of Director: John C. May 1j. Election of Director: Beth E. Mooney 1k. Election of Director: Lynn Vojvodich Radakovich 1l. Election of Director: John L. Thornton 1m. Election of Director: John B. Veihmeyer 1n. Election of Director: John S. Weinberg | Mgmt Mgmt Mgmt Mgmt Mgmt Mgmt Mgmt Mgmt Mgmt Mgmt Mgmt Mgmt Mgmt | For For For For For For For For For For For For For | For For For For For For For For For For For For For |
2.Ratification of Independent Registered Public Accounting Firm. | Mgmt | For | For |
3. Say-on-Pay - An Advisory Vote to Approve the Compensation of the Named Executives | Mgmt | For | For |
4. An Advisory Vote on the Frequency of a Shareholder Vote to Approve the Compensation of the Named Executives. | Mgmt | 1 Year | For |
5. Approval of the 2023 Long-Term Incentive Plan. | Mgmt | For | For |
6. Relating to Consideration of a Recapitalization Plan to Provide That All of the Company's Outstanding Stock Have One Vote Per Share. | Shr | Against | For |
7. Relating to Disclosure of the Company's Reliance on Child Labor Outside of the United States. | Shr | Against | For |
8. Relating to Reporting on the Company's Animal Testing Practices. | Shr | Against | For |
HALLIBURTON COMPANY Agenda Number: 935798528
Security: 406216101
Meeting Type: Annual
Meeting Date: 17-May-2023
Ticker: HAL
ISIN: US4062161017
Prop. # Proposal | Proposal Type | Proposal Vote | For/Against/ Management |
1a. Election of Director: Abdulaziz F. Khayyal 1b. Election of Director: William E. Albrecht 1c. Election of Director: M. Katherine Banks 1d. Election of Director: Alan M. Bennett 1e. Election of Director: Milton Carroll 1f. Election of Director: Earl M. Cummings 1g. Election of Director: Murry S. Gerber 1h. Election of Director: Robert A. Malone 1i. Election of Director: Jeffrey A. Miller 1j. Election of Director: Bhavesh V. Patel 1k. Election of Director: Maurice S. Smith 1l. Election of Director: Janet L. Weiss 1m. Election of Director: Tobi M. Edwards Young | Mgmt Mgmt Mgmt Mgmt Mgmt Mgmt Mgmt Mgmt Mgmt Mgmt Mgmt Mgmt Mgmt | For For For For For For For For For For For For For | For For For For For For For For For For For For For |
2. Ratification of Selection of Principal Independent Public Accountants. | Mgmt | For | For |
3. Advisory Approval of Executive Compensation | Mgmt | For | For |
4 Advisory Vote on the Frequency of Future Advisory Votes on Executive Compensation | Mgmt | 1 Year | For |
5. Approval of the 2023 Long-Term Incentive Plan. | Mgmt | For | For |
6. Approval of Miscellaneous Amendments to the Certificate of Incorporation | Mgmt | For | For |
HONEYWELL INTERNATIONAL INC. Agenda Number: 935801200
Security: 438516106
Meeting Type: Annual
Meeting Date: 19-May-2023
Ticker: HON
ISIN: US4385161066
Prop. # Proposal | Proposal Type | Proposal Vote | For/Against/ Management |
1a.Election of Director: Darius Adamczyk | Mgmt | For | For |
1b.Election of Director: Duncan B. Angove | Mgmt | For | For |
1c.Election of Director: William S. Ayer | Mgmt | For | For |
1d. Election of Director: Kevin Burke | Mgmt | For | For |
1e.Election of Director: D. Scott Davis | Mgmt | For | For |
1f.Election of Director: Deborah Flint | Mgmt | For | For |
1g.Election of Director: Vimal Kapur | Mgmt | For | For |
1h.Election of Director: Rose Lee | Mgmt | For | For |
1i.Election of Director: Grace D. Lieblein | Mgmt | For | For |
1j.Election of Director: Robin L. Washington | Mgmt | For | For |
1k.Election of Director: Robin Watson | Mgmt | For | For |
2. ADVISORY VOTE TO APPROVE FREQUENCY OF ADVISORY VOTE ON EXECUTIVE COMPENSATION | Mgmt | 1 year | For |
3. ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION | Mgmt | For | For |
4. Approval of Independent Accountants | Mgmt | For | For |
5. Shareowner Proposal- Independent Board Chariman. | Shr | Against | For |
6. Shareowner Proposal- Environmental and Health Impact Report. | Shr | Against | For |
MERCADOLIBRE, INC. Agenda Number: 935843765
Security: 58733R102
Meeting Type: Annual
Meeting Date: 07-Jun-2023
Ticker: MELI
ISIN: US58733R1023
Prop. # Proposal | Proposal Type | Proposal Vote | For/Against/ Management |
1.Director: Susan Segal Mario Eduardo Vazquez Alejandro N. Aguzin |
Mgmt Mgmt Mgmt |
For For For |
For For For |
2. To approve, on an advisory basis, the compensation of our named executive officers for fiscal year 2022. | Mgmt | For | For |
3 To approve, on an advisory basis, the frequency of holding an advisory vote on executive compensation. | Mgmt | I year | For |
4. To ratify the appointment of Pistrelli, Henry Martin y Asociados S.R.L., a member firm of Ernst & Young Global Limited, as our independent registered public accounting firm for the fiscal year ending December 31, 2023. | Mgmt | For | For |
META PLATFORMS, INC. Agenda Number: 935830960
Security: 30303M102
Meeting Type: Annual
Meeting Date: 31-May-2023
Ticker: META
ISIN: US30303M1027
Prop. # Proposal | Proposal Type | Proposal Vote | For/Against/ Management |
1.DIRECTOR Peggy Alford Marc L. Andreessen Andrew W. Houston Nancy Killefer Robert M. Kimmitt Sheryl K. Sandberg Tracey T. Travis Tony Xu Mark Zuckerberg |
Mgmt Mgmt Mgmt Mgmt Mgmt Mgmt Mgmt Mgmt Mgmt
|
For For For For For For For For For
|
For For For For For For For For For
|
2 To ratify the appointment of Ernst & Young LLP as Meta Platforms, Inc.'s independent registered public accounting firm for the fiscal year ending December 31, 2023. | Mgmt | Against | For |
3 A shareholder proposal regarding government takedown requests. | Shr | Against | For |
4. A shareholder proposal regarding dual class capital structure. | Shr | Against | For |
5. A shareholder proposal regarding human rights impact assessment of targeted advertising | Shr | Against | For |
6. A shareholder proposal regarding report on lobbying disclosures | Shr | Against | For |
7. A shareholder proposal regarding report allegations of political entanglement and content management biases in India. | Shr | Against | For |
8. A shareholder proposal regarding report on framework to assess company lobbying alignment with climate goals. | Shr | Against | For |
9. A shareholder proposal regarding report on reproductive rights and data privacy. | Shr | Against | For |
10. A shareholder proposal regarding report on enforcement of Community Standards and user content. | Shr | Against | For |
11. A shareholder proposal regarding report on child safety impacts and actual harm reduction to children. | Shr | Against | For |
12. A shareholder proposal regarding report on pay calibration to externalized costs. | Shr | Against | For |
13. A shareholder proposal regarding performance review of the audit & risk oversight committee. | Shr | Against | For |
NVIDIA CORPORATION Agenda Number: 935863224
Security: 67066G104
Meeting Type: Annual
Meeting Date: 22-Jun-2023
Ticker: NVDA
ISIN: US67066G1040
Prop. # Proposal | Proposal Type | Proposal Vote | For/Against/ Management |
1a.Election of Director: Robert K. Burgess | Mgmt | For | For |
1b.Election of Director: Tench Coxe | Mgmt | For | For |
1c.Election of Director: John O. Dabiri | Mgmt | For | For |
1d. Election of Director: Persis S. Drell | Mgmt | For | For |
1e.Election of Director: Jen-Hsun Huang | Mgmt | For | For |
1f.Election of Director: Dawn Hudson | Mgmt | For | For |
1g.Election of Director: Harvey C. Jones | Mgmt | For | For |
1h.Election of Director: Michael G. McCaffery | Mgmt | For | For |
1i.Election of Director: Stephen C. Neal | Mgmt | For | For |
1j.Election of Director: Mark L. Perry | Mgmt | For | For |
1k.Election of Director: : A. Brooke Seawell | Mgmt | For | For |
1l. Election of Director: Aarti Shah | Mgmt | For | For |
1m. Election of Director: Mark A. Stevens | Mgmt | For | For |
2. Advisory approval of our executive compensation. | Mgmt | For | For |
3. Advisory approval of the frequency of holding an advisory vote on our executive compensation. | Mgmt | 1 Year | For |
4. Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2024. | Mgmt | For | For |
ON HOLDING AG Agenda Number: 935824892
Security: H5919C104
Meeting Type: Annual
Meeting Date: 25-May-2023
Ticker: ONON
ISIN: CH1134540470
Prop. # Proposal | Proposal Type | Proposal Vote | For/Against/ Management |
1. Acknowledgement of the Annual Report and the Audit Reports and Approval of the Management Report, the Annual Consolidated Financial Statements of On Holding AG and the Annual Financial Statements of On Holding AG for 2022 | Mgmt | For | For |
2. Appropriation of 2022 Financial Results | Mgmt | For | For |
3. Discharge of the Members of the Board of Directors and of the Executive Committee | Mgmt | For | For |
4. Re-Election of Alex Perez as Proposed Representative of the Holders of Class A Shares on the Board of Directors | Mgmt | For | For |
5a. Re-Election of David Allemann as Member of the Board of Directors | Mgmt | For | For |
5b. Re-Election of Amy Banse as Member of the Board of Directors | Mgmt | For | For |
5c. Re-Election of Olivier Bernhard as of the Board of Directors | Mgmt | For | For |
5d. Re-Election of Caspar Coppetti as Member of the Board of Directors | Mgmt | For | For |
5e. Re-Election of Kenneth Fox as Member of the Board of Directors | Mgmt | For | For |
5f. Re-Election of Alex Perez as Member of the Board of Directors | Mgmt | For | For |
5g. Re-Election of Dennis Durkin as Member the Board of Directors | Mgmt | For | For |
6a. Re-Election of David Allemann as Co-Chairman of the Board of Directors | Mgmt | For | For |
6b. Re-Election of Caspar Coppetti as Co-Chairman of the Board of Directors | Mgmt | For | For |
7a. Re-Election of Kenneth Fox as Member of the Nomination and Compensation Committee | Mgmt | For | For |
7b. Re-Election of Alex Perez as Member of the Nomination and Compensation Committee | Mgmt | For | For |
7c. Re-Election of Amy Banse as Member of the Nomination and Compensation Committee | Mgmt | For | For |
8. Re-Election of the Independent Proxy Representative | Mgmt | For | For |
9. Re-Election of Statutory Auditors | Mgmt | For | For |
10a Compensation Report; Approval of the Compensation of the Board of Directors and the Executive Committee: Consultative Vote on the 2022 Compensation Report | Mgmt | For | For |
10b Compensation Report; Approval of the Compensation of the Board of Directors and the Executive Committee: Approval of the Maximum Aggregate Compensation for the Non-Executive Members of the Board of Directors for the Period between this Annual General Shareholders' Meeting and the next Annual General Shareholders' Meeting to be held in 2024 | Mgmt | For | For |
10c Compensation Report; Approval of Compensation of the Board of Directors and the Executive Committee: Approval of the Maximum Aggregate Compensation for the Members of the Executive Committee for the Financial Year 2024 | Mgmt | For | For |
11a Amendment of the Articles of Association: Capital Band and Deletion of Authorized Share Capita | Mgmt | For | For |
11b Amendment of the Articles of Association: Shares and Share Register | Mgmt | For | For |
11c Amendment of the Articles of Association: General Shareholders' Meeting (Powers, Convocation, Representation, Resolutions, Protocol and General Shareholders' Meetings at Several Locations Simultaneously or in Hybrid Form) | Mgmt | For | For |
11d Amendment of the Articles of Association: Tasks, Meetings and Resolutions of the Board of Directors, Supplementary Amount of the Executive Committee, Mandates Outside of the Group and Certain Editorial Changes | Mgmt | For | For |
12. If a new proposal is made under a new or existing agenda item, I instruct the Independent Proxy Representative to: | Mgmt | Abstain |
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PIONEER NATURAL RESOURCES COMPANY Agenda Number: 935817241
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Security: 723787107
Meeting Type: Annual
Meeting Date: 25-May-2023
Ticker: PXD
ISIN: US7237871071
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Prop. # Proposal | Proposal Type | Proposal Vote | For/Against/ Management |
1a. ELECTION OF DIRECTOR: A.R. Alameddine | Mgmt | For | For |
1b. ELECTION OF DIRECTOR: Lori G. Billingsley | Mgmt | For | For |
1c. ELECTION OF DIRECTOR: Edison C. Buchanan | Mgmt | For | For |
1d. ELECTION OF DIRECTOR: Richard P. Dealy | Mgmt | For | For |
1e. ELECTION OF DIRECTOR: Maria S. Dreyfus | Mgmt | For | For |
1f. ELECTION OF DIRECTOR: Matthew M. Gallagher | Mgmt | For | For |
1g. ELECTION OF DIRECTOR: Phillip A. Gobe | Mgmt | For | For |
1h. ELECTION OF DIRECTOR: Stacy P. Methvin | Mgmt | For | For |
1i. ELECTION OF DIRECTOR: Royce W. Mitchell | Mgmt | For | For |
1j. ELECTION OF DIRECTOR: Scott D. Sheffield | Mgmt | For | For |
1k. ELECTION OF DIRECTOR: J. Kenneth Thompson | Mgmt | For | For |
1l. ELECTION OF DIRECTOR: Phoebe A. Wood | Mgmt | For | For |
2. RATIFICATION OF SELECTION OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2023. | Mgmt | For | For |
3. ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION | Mgmt | For | For |
4. ADVISORY VOTE TO APPROVE THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION. | Mgmt | 1 Year | For |
SALESFORCE, INC. Agenda Number: 935846127
Security: 79466L302
Meeting Type: Annual
Meeting Date: 08-Jun-2023
Ticker: CRM
ISIN: US79466L3024
Prop. # Proposal | Proposal Type | Proposal Vote | For/Against/ Management |
1a. Election of Director: Marc Benioff | Mgmt | For | For |
1b. Election of Director: Laura Alber | Mgmt | For | For |
1c. Election of Director: Craig Conway | Mgmt | For | For |
1d. Election of Director: Arnold Donald | Mgmt | For | For |
1e. Election of Director: Parker Harris | Mgmt | For | For |
1f. Election of Director: Neelie Kroes | Mgmt | For | For |
1g. Election of Director: Sachin Mehra | Mgmt | For | For |
1h. Election of Director: Mason Morfit | Mgmt | For | For |
1i. Election of Director: Oscar Munoz | Mgmt | For | For |
1j. Election of Director: John V. Roos | Mgmt | For | For |
1k. Election of Director: Robin Washington | Mgmt | For | For |
1l. Election of Director: Maynard Webb | Mgmt | For | For |
1m. Election of Director: Susan Wojcicki | Mgmt | For | For |
2. Amendment and restatement of our 2013 Equity Incentive Plan to increase the number of shares reserved for issuance. | Mgmt | For | For |
3. Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending January 31, 2024. | Mgmt | For | For |
4. An advisory vote to approve the fiscal 2023 compensation of our named executive officers. | Mgmt | For | For |
5. An advisory vote on the frequency of holding future advisory votes to approve executive compensation. | Mgmt | 1 Year | For |
6. A stockholder proposal requesting a policy to require the Chair of the Board be an independent member of the Board and not a former CEO of the Company, if properly presented at the meeting. | Shr | Against | For |
7. A stockholder proposal requesting a policy to forbid all Company directors from sitting on any other boards, if properly presented at the meeting. | Shr | Against | For |
SHOPIFY INC. Agenda Number: 935878453
Security: 82509L107
Meeting Type: Annual
Meeting Date: 27-Jun-2023
Ticker: SHOP
ISIN: CA82509L1076
Prop. # Proposal | Proposal Type | Proposal Vote | For/Against/ Management |
1a. Election of Director: Tobias L?tke | Mgmt | For | For |
1b. Election of Director: Robert Ashe | Mgmt | For | For |
1c. Election of Director: Gail Goodman | Mgmt | For | For |
1d. Election of Director: Colleen Johnston | Mgmt | For | For |
1e. Election of Director: Jeremy Levine | Mgmt | For | For |
1f. Election of Director: Toby Shannan | Mgmt | For | For |
1g. Election of Director: Fidji Simo | Mgmt | For | For |
1h. Election of Director: Bret Taylor | Mgmt | For | For |
2 Auditor Proposal Resolution approving the re-appointment of PricewaterhouseCoopers LLP as auditors of Shopify Inc. and authorizing the Board of Directors to fix their remuneration. | Mgmt | For | For |
3. Advisory Vote on Executive Compensation Proposal Non-binding advisory resolution that the shareholders accept Shopify Inc.'s approach to executive compensation as disclosed in the Management Information Circular for the Meeting. | Mgmt | For | For |
SIGNET JEWELERS LIMITED Agenda Number: 935858487
Security: G81276100
Meeting Type: Annual
Meeting Date: 16-Jun-2023
Ticker: SIG
ISIN: BMG812761002
Prop. # Proposal | Proposal Type | Proposal Vote | For/Against/ Management |
1a. Election of Director to serve until the next Annual Meeting: H. Todd Stitzer | Mgmt | For | For |
1b. Election of Director to serve until the next Annual Meeting: Virginia C. Drosos | Mgmt | For | For |
1c. Election of Director to serve until the next Annual Meeting: Andr? V. Branch | Mgmt | For | For |
1d. Election of Director to serve until the next Annual Meeting: R. Mark Graf | Mgmt | For | For |
1e. Election of Director to serve until the next Annual Meeting: Zackery A. Hicks | Mgmt | For | For |
1f. Election of Director to serve until the next Annual Meeting: Sharon L. McCollam | Mgmt | For | For |
1g. Election of Director to serve until the next Annual Meeting: Helen McCluskey | Mgmt | For | For |
1h. Election of Director to serve until the next Annual Meeting: Nancy A. Reardon | Mgmt | For | For |
1i. Election of Director to serve until the next Annual Meeting: Jonathan Seiffer | Mgmt | For | For |
1j. Election of Director to serve until the Annual Meeting: Brian Tilzer | Mgmt | For | For |
1k. Election of Director to serve until the next Annual Meeting: Eugenia Ulasewicz | Mgmt | For | For |
1l. Election of Director to serve until the Annual Meeting: Dont L. Wilson | Mgmt | For | For |
2. Appointment of KPMG LLP as independent auditor of the Company, to hold office from the conclusion of this Meeting until the conclusion of the next Annual Meeting of Shareholders and authorization of the Audit Committee to determine its compensation. | Mgmt | For | For |
3. Approval, on a non-binding advisory basis of the compensation of the Company's named executive officers as disclosed in the Proxy Statement (the "Say-on-Pay" vote). | Mgmt | For | For |
4. Approval, on a non-binding advisory basis, of the frequency of the Say-on-Pay vote. | Mgmt | 1 Year | For |
SOFI TECHNOLOGIES, INC. Agenda Number: 935858906
Security: 83406F102
Meeting Type: Annual
Meeting Date: 14-Jun-2023
Ticker: SOFI
ISIN: US83406F1021
Prop. # Proposal | Proposal Type | Proposal Vote | For/Against/ Management |
1a. Election of Director: Ahmed Al-Hammadi | Mgmt | For | For |
1b. Election of Director: Ruzwana Bashir | Mgmt | For | For |
1c. Election of Director: Michael Bingle | Mgmt | For | For |
1d. Election of Director: Richard Costolo | Mgmt | For | For |
1e. Election of Director: Steven Freiberg | Mgmt | For | For |
1f. Election of Director: John Hele | Mgmt | For | For |
1g. Election of Director: Tom Hutton | Mgmt | For | For |
1h. Election of Director: Clara Liang | Mgmt | For | For |
1i. Election of Director: Anthony Noto | Mgmt | For | For |
1j. Election of Director: Harvey Schwartz | Mgmt | For | For |
1k. Election of Director: Magdalena Yesil | Mgmt | For | For |
2. To approve, on a non-binding advisory basis, the compensation of the Company's named executive officers. | Mgmt | For | For |
3. To ratify the selection of Deloitte & Touche LLP by the Audit Committee of the Board of Directors as the independent registered public accounting firm of the Company for its year ending December 31, 2023. | Mgmt | For | For |
4. To approve an Amendment to the Company's Certificate of Incorporation to give the Board of Directors discretionary authority to effect a reverse stock split. | Mgmt | For | For |
STELLANTIS N.V. Agenda Number: 935790421
Security: N82405106
Meeting Type: Annual
Meeting Date: 13-Apr-2023
Ticker: STLA
ISIN: NL00150001Q9
Prop. # Proposal | Proposal Type | Proposal Vote | For/Against/ Management |
2c. Annual Report 2022: Remuneration Report 2022 excluding pre-merger legacy matters (advisory voting). | Mgmt | For | For |
2d. Annual Report 2022: Remuneration Report 2022 on the pre-merger legacy matters (advisory voting). | Mgmt | For | For |
2e. Annual Report 2022: Adoption of the Annual Accounts 2022. | Mgmt | For | For |
2f. Annual Report 2022: Approval of 2022 dividend. | Mgmt | For | For |
2g. Annual Report 2022: Granting of discharge to the directors in respect of the performance of their duties during the financial year 2022. | Mgmt | For | For |
3. Appointment of Non-Executive Director: Proposal to appoint Mr. Beno?t Ribadeau-Dumas as Non-Executive Director | Mgmt | For | For |
4a. Appointment of the Independent Auditor(s): Proposal to appoint Ernst & Young Accountants LLP as the Company's independent auditor for the financial year 2023. | Mgmt | For | For |
4b. Appointment of the Independent Auditor(s): Proposal to appoint Deloitte Accountants B.V. as the Company's independent auditor for the financial year 2024. | Mgmt | For | For |
5. Amendment to Remuneration Policy: Proposal to amend paragraph 6 of the Remuneration Policy for the Board of Directors. | Mgmt | For | For |
6a. Delegation to the Board of Directors of the authority to issue shares in the capital of the Company and to limit or to exclude. pre-emptive rights: Proposal to designate. the Board of Directors as the corporate body authorized to issue common shares and to grant rights to subscribe for common shares as provided for in article 7 of the Company's articles of association. | Mgmt | For | For |
6b. Delegation to the Board of Directors of the authority to issue shares in the capital of the Company and to limit or to exclude. pre-emptive rights: Proposal to designate the Board of Directors as the corporate body authorized to limit or to exclude preemption rights for common shares as provided for in article 8 of the Company's articles of association. | Mgmt | For | For |
7. Delegation to the Board of Directors of the authority to acquire common shares in the Company's capital: Proposal to authorize the Board of Directors to acquire fully paid-up common shares in the Company's own share capital in accordance with article 9 of the Company's articles of association. | Mgmt | For | For |
8. Cancellation of shares in the capital of the Company: Proposal to cancel common shares held by the Company in its own share capital as specified in article 10 of the Company's articles of association. | Mgmt | For | For |
TESLA, INC. Agenda Number: 935804636
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Security: 88160R101
Meeting Type: Annual
Meeting Date: 16-May-2023
Ticker: TSLA
ISIN: US88160R1014
Prop. # Proposal | Proposal Type | Proposal Vote | For/Against/ Management |
1.1 Election of Director: Elon Musk | Mgmt | For | For |
1.2 Election of Director: Robyn Denholm | Mgmt | For | For |
1.3 Election of Director: JB Straubel | Mgmt | For | For |
2.Tesla proposal to approve executive compensation on a non- binding advisory basis. | Mgmt | For | For |
3.Tesla proposal to approve the frequency of future votes on executive compensation on a non-binding advisory basis. | Mgmt | 3 Years | For |
4.Tesla proposal to ratify the appointment of independent registered public accounting firm. | Mgmt | For | For |
5.Stockholder proposal regarding reporting on key-person risk. | Shr | Against | For |
THE HERSHEY COMPANY Agenda Number: 935793871
Security: 427866108
Meeting Type: Annual
Meeting Date: 16-May-2023
Ticker: HSY
ISIN: US4278661081
Prop. # Proposal | Proposal Type | Proposal Vote | For/Against/ Management |
1.Director: Pamela M. Arway | Mgmt | For | For |
Michele G. Buck | Mgmt | For | For |
Victor L. Crawford | Mgmt | For | For |
Robert M. Dutkowsky | Mgmt | For | For |
Mary Kay Haben | Mgmt | For | For |
James C. Katzman | Mgmt | For | For |
M. Diane Koken | Mgmt | For | For |
Huong Maria T. Kraus | Mgmt | For | For |
Robert M.Malcolm | Mgmt | For | For |
Anthony J. Palmer | Mgmt | For | For |
Juan R. Perez | Mgmt | For | For |
2. Ratify the appointment of Ernst & Young LLP as independent auditors for 2023 | Mgmt | For | For |
3. Approve named executive officer compensation on a non-binding advisory basis. | Mgmt | For | For |
4. The frequency of future advisory votes on named executive officer compensation. | Mgmt | I year | For |
5. Stockholder Proposal titled "Public Report Living Wage & Income." | Shr | Against | For |
* Management position unknown
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
(Registrant) Northern Lights Fund Trust IV
By (Signature and Title) /s/ Jennifer Farrell
Secretary of the Trust
Date: August 21, 2023