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: 811-23473
Esoterica Thematic Trust
(Exact name of registrant as specified in charter)
135 W. 52nd Street Suite 16C
New York, New York 10019
(Address of principal executive offices) (Zip code)
The Corporation Trust Company
1209 Orange Street
Wilmington, Delaware 19801
(Name and address of agent for service)
Registrant’s telephone number, including area code: (860) 543-3942
Date of fiscal year end: October 31
Date of reporting period: July 1, 2020 to 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 (Sections 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant’s proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. Section 3507.
ITEM 1. PROXY VOTING RECORD:
Esoterica Thematic Trust | |||||||
Esoterica NextG Economy ETF (2021) | |||||||
Issuer of security | Ticker | Meeting date | CUSIP | Matter voted on | Issuer or Shareholder Proposal | Fund Vote (FOR, AGAINST, ABSTAIN, or WITHHOLD) | Did Registrant Cast its Vote For or Against Management Recommendation? |
Facebook, Inc. | FB | 5/26/2021 | 30303M102 | Directors: Peggy Alford | Issuer | NO VOTE | No Vote |
Directors: Marc L. Andreessen | Issuer | NO VOTE | No Vote | ||||
Directors: Andrew W. Houston | Issuer | NO VOTE | No Vote | ||||
Directors: Nancy Killefer | Issuer | NO VOTE | No Vote | ||||
Directors: Robert M. Kimmit | Issuer | NO VOTE | No Vote | ||||
Directors: Sheryl K. Sandberg | Issuer | NO VOTE | No Vote | ||||
Directors: Peter A. Thiel | Issuer | NO VOTE | No Vote | ||||
Directors: Tracey T. Travis | Issuer | NO VOTE | No Vote | ||||
Directors: Mark Zuckerberg | Issuer | NO VOTE | No Vote | ||||
To ratify the appointment of Ernst & Young LLP as Facebook, Inc.'s independent registered public accounting firm for the fiscal year ending December 31 ,2021. | Issuer | NO VOTE | No Vote | ||||
To approve an amendment to the director compensation policy. | Issuer | NO VOTE | No Vote | ||||
A shareholder proposal regarding dual class capital structure | Shareholder | NO VOTE | No Vote | ||||
A shareholder proposal regarding an independent chair. | Shareholder | NO VOTE | No Vote | ||||
A shareholder proposal regarding child exploitation. | Shareholder | NO VOTE | No Vote | ||||
A shareholder proposal regarding human/civil right expert on board. | Shareholder | NO VOTE | No Vote | ||||
A shareholder proposal regarding platform misuse. | Shareholder | NO VOTE | No Vote | ||||
A shareholder proposal regarding public benefit corporation. | Shareholder | NO VOTE | No Vote | ||||
Amazon.com, Inc. | AMZ | 5/26/2021 | 023135106 | Election of director: Jeffrey P. Bezos | Issuer | NO VOTE | No Vote |
Election of director: Rosalind G. Brewer | Issuer | NO VOTE | No Vote | ||||
Election of director: Jamie S. Gorelick | Issuer | NO VOTE | No Vote | ||||
Election of director: Daniel P. Huttenlocher | Issuer | NO VOTE | No Vote | ||||
Election of director: Judith A. McGrath | Issuer | NO VOTE | No Vote | ||||
Election of director: Indra K. Nooyi | Issuer | NO VOTE | No Vote | ||||
Election of director: Jonathan J. Rubinstein | Issuer | NO VOTE | No Vote | ||||
Election of director: Thomas O. Ryder | Issuer | NO VOTE | No Vote | ||||
Election of director: Patricia Q. Stonesifer | Issuer | NO VOTE | No Vote | ||||
Election of director: Wendell P. Weeks | Issuer | NO VOTE | No Vote | ||||
RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS | Issuer | NO VOTE | No Vote | ||||
ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION | Issuer | NO VOTE | No Vote | ||||
SHAREHOLDER REOPOSAL REQUESTING A REPORT ON SUSTMER DUE DILIGENCE | Shareholder | NO VOTE | No Vote | ||||
SHAREHOLDER REPROSAL REQUESTING A MANDATORY INDEPENDENT BOARD CHAIR POLICY | Shareholder | NO VOTE | No Vote | ||||
SHAREHOLDER REOPOSAL REQUESTING ADDMONAL REPORTING ON GENDER/RACIAL PAY | Shareholder | NO VOTE | No Vote | ||||
SHAREHOLDER REOPOSAL REQUESTING A REPORT ON PROMOTION DATA | Shareholder | NO VOTE | No Vote | ||||
SHAREHOLDER REOPOSAL REQUESTING A REPORT ON PACKING MATERIALS | Shareholder | NO VOTE | No Vote | ||||
SHAREHOLDER REOPOSAL REQUESTING A DIVERSITY AND EQUITY AUDIT REPORT | Shareholder | NO VOTE | No Vote | ||||
SHAREHOLDER REOPOSAL REQUESTING AN ALTERNATIVE DIRECTOR CANDIDATE POLICY | Shareholder | NO VOTE | No Vote | ||||
SHAREHOLDER REOPOSAL REQUESTING REQUESTING A REPORT ON COMPETITION STRATEGY AND RISK | Shareholder | NO VOTE | No Vote | ||||
SHAREHOLDER REOPOSAL REQUESTING AN ADDITIONAL REPORTING ON LOBBYING | Shareholder | NO VOTE | No Vote | ||||
SHAREHOLDER REOPOSAL REQUESTING REQUESTING A REPORT ON CUSTOMER USE OF CERTAIN TECHOLOGIES | Shareholder | NO VOTE | No Vote | ||||
Netflix, Inc. | NFLX | 6/3/2021 | 64110L106 | Class I Director: Richard N.Barton | Issuer | NO VOTE | No Vote |
Class I Director: Rodolphe Belmer | Issuer | NO VOTE | No Vote | ||||
Class I Director: Bradford L. Smith | Issuer | NO VOTE | No Vote | ||||
Class I Director: Anne M. Sweeney | Issuer | NO VOTE | No Vote | ||||
To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the year ending December 31,2021. | Issuer | NO VOTE | No Vote | ||||
Advisory approval of the company's executive officer compensation. | Issuer | NO VOTE | No Vote | ||||
Stockholder proposal entitled,"proposal 4 - political Disclosures," if properly presented at the meeting. | Shareholder | NO VOTE | No Vote | ||||
Stockholder Proposal entitled, "Proposal 5 - Simple Majority Vote," if properly presented at the meeting. | Shareholder | NO VOTE | No Vote | ||||
Stockholder proposal entitiled, "Stockholder Proposal to Improve the Executive Compaensation Philosophy,"if Properly presented at the meeting. | Shareholder | NO VOTE | No Vote | ||||
ServiceNow Inc. | NOW | 6/7/2021 | 81762P102 | Election of Director: Susan L. Bostrom | Issuer | NO VOTE | No Vote |
Election of Director: Jonathan C. Chadwick | Issuer | NO VOTE | No Vote | ||||
Election of Director: Lawrence J. Jackson,Jr. | Issuer | NO VOTE | No Vote | ||||
Election of Director:Frederic B. Luddy | Issuer | NO VOTE | No Vote | ||||
Election of Director: Jeffrey A. Miller | Issuer | NO VOTE | No Vote | ||||
To approve, on an adviosry basis, the compensation of our named Executive officers ("Say- on-pay). | Issuer | NO VOTE | No Vote | ||||
To ratify PrivewaterhouseCoopers LLP as the independent registed public accounting frim for 2021. | Issuer | NO VOTE | No Vote | ||||
To approve an amendment to our Restated Certificate if Incorporation, as amended, to provide shareholders with the right to call a special meeting. | Issuer | NO VOTE | No Vote | ||||
MONGODB, Inc. | MDB | 6/29/2021 | 60937P106 | Class I Director: Roelof Botha | Issuer | NO VOTE | No Vote |
Class I Director: Dev Ittycheria | Issuer | NO VOTE | No Vote | ||||
Class I Director: John McMahon | Issuer | NO VOTE | No Vote | ||||
Approve, on a non-binding advisory basis, the compensation of our named executive officers | Issuer | NO VOTE | No Vote | ||||
Ratification the selection of PwC as our independent registered public accounting firm for our fiscal year ending January 31, 2022 | Issuer | NO VOTE | No Vote | ||||
Marvell Technology Group LTD. | MRVL | 7/16/2021 | G5876H105 | Election of director: W. TUDOR BROWN | Issuer | NO VOTE | No Vote |
Election of director: BRAD W. BUSS | Issuer | NO VOTE | No Vote | ||||
Election of director: EDWARD H. FRANK | Issuer | NO VOTE | No Vote | ||||
Election of director: RICHARD S. HILL | Issuer | NO VOTE | No Vote | ||||
Election of director: MARACHEL L.KNIGHT | Issuer | NO VOTE | No Vote | ||||
Election of director: BETHANY J. MAYER | Issuer | NO VOTE | No Vote | ||||
Election of director: MATTHEW J. MURPHY | Issuer | NO VOTE | No Vote | ||||
Election of director: MICAEL G.STRACHAN | Issuer | NO VOTE | No Vote | ||||
Election of director: ROBERT E. SWITZ | Issuer | NO VOTE | No Vote | ||||
Election of director: BETHANY J. MAYER | Issuer | NO VOTE | No Vote | ||||
Election of director: FORD TAMER | Issuer | NO VOTE | No Vote | ||||
An advisory (non-binding) vote to approve compensation of our named executive officers. | Issuer | NO VOTE | No Vote | ||||
To ratify the appointment of Deloitte & Touche LLP as its independent registered public accounting firm for the fiscal year ended January 29, 2022. | Issuer | NO VOTE | No Vote | ||||
Snowflake Inc. | SNOW | 7/8/2021 | 833445109 | Class I director: BENOIT DAGEVILLE | Issuer | NO VOTE | No Vote |
Class I director: MARK S. GARRETT | Issuer | NO VOTE | No Vote | ||||
Class I director: JAYSHREEE V. ULLAL | Issuer | NO VOTE | No Vote | ||||
To ratify the the selection of PwC LLP as our independent registered public accounting firm for the fiscal year ending January 31, 2022 | Issuer | NO VOTE | No Vote | ||||
Datadog, Inc. | DDOG | 6/10/2021 | 23804L103 | Class II Director: ALEXIS LE-QUOC | Issuer | NO VOTE | No Vote |
Class II Director: MICHAEL CALLAHAN | Issuer | NO VOTE | No Vote | ||||
Advisory vote to approve the compensation of our named executive officers; Advisory vote to recommend the frequency of future advisory votes in the compensation our named executive officers | Issuer | NO VOTE | No Vote | ||||
To ratify the selection by the audit Committee of our Board of Directors of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending December 31, 202 | Issuer | NO VOTE | No Vote | ||||
Workday, Inc. | WDAY | 6/8/2021 | 98138H101 | Class III Diretor: ANEEL BHURI | Issuer | NO VOTE | No Vote |
Class III Diretor: ANN-MARIE CAMPBELL | Issuer | NO VOTE | No Vote | ||||
Class III Diretor: DAVID A. DUFFIELD | Issuer | NO VOTE | No Vote | ||||
Class III Diretor: LEE J. STYSLINGER III | Issuer | NO VOTE | No Vote | ||||
To ratify the appointment of Ernst & Young LLP as Workday's independent registered public accounting firm for the fiscal year ending January 31, 2022. | Issuer | NO VOTE | No Vote | ||||
To approve, on an advisory basis, the compensation of our named executive officers as disclosed in the Proxy Statement. | Issuer | NO VOTE | No Vote | ||||
To approve, on an advisory basis, the frequency of future advisory votes concerning the compensation of our named executive officers. | Issuer | NO VOTE | No Vote | ||||
Square, Inc. | SQ | 6/15/2021 | 852234103 | ADVISORY VOTE ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS | Issuer | NO VOTE | No Vote |
RATIFICATION OF APPOINTMENT OF ERNST &YOUNG LLP AS OUR INDEPENDENT REGISTERD PUBLIC ACCOUNTING FIRM FOR OUR FISCAL YEAR ENDING DECENER 31,2021 | Shareholder | NO VOTE | No Vote | ||||
STOCKHOLDER PROPOSAL, IF PROPERLY PRESENTED AT THE MEETING, REGARDING AN INDEOENDENT CHAIR. | Shareholder | NO VOTE | No Vote | ||||
STOCKHOLDER PROPOSAL, IF PROPERLY PRESENTED AT THE MEETING, REGARDING A CHANGE IN STOCKHOLDER VOTING. | Shareholder | NO VOTE | No Vote | ||||
Twilio Inc. | TWLO | 6/16/2021 | 90138F102 | Class II Director: JEFF LAWSON | Issuer | NO VOTE | No Vote |
Class II Director: BYRON DEETER | Issuer | NO VOTE | No Vote | ||||
Class II Director: JEFFREY EPSTEIN | Issuer | NO VOTE | No Vote | ||||
Ratification of the appointment of KPMG LLP as the Company's independent registered public accouting firm for the sical year ending Decemner 31, 2021. | Issuer | NO VOTE | No Vote | ||||
Approval of, on a non-binding advisory basis, the compensation of the company's named executive officers. | Issuer | NO VOTE | No Vote | ||||
Splunk Inc. | SPLK | 6/17/2021 | 848637104 | Class III Diretor: SARA BAACK | Issuer | NO VOTE | No Vote |
Class III Diretor: SEAN BOYLE | Issuer | NO VOTE | No Vote | ||||
Class III Diretor: DOUGLAS MERRITT | Issuer | NO VOTE | No Vote | ||||
Class III Diretor: GRAHAM SMITH | Issuer | NO VOTE | No Vote | ||||
To ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending January 31,2022. | Issuer | NO VOTE | No Vote | ||||
To approve, on an advisory basis, the compensation of our named executive officers as disclosed in the Proxy Statement. | Issuer | NO VOTE | No Vote | ||||
Advanced Micro Devices, Inc. | AMD | 5/19/2021 | 7903107 | Election of director: JOHN E. CALDWELL | Issuer | NO VOTE | No Vote |
Election of director: NORA M. DANZEL | Issuer | NO VOTE | No Vote | ||||
Election of director: MARK DURCAN | Issuer | NO VOTE | No Vote | ||||
Election of director: MICHAEL P. GREGOIRE | Issuer | NO VOTE | No Vote | ||||
Election of director: JOHN W. MARREN | Issuer | NO VOTE | No Vote | ||||
Election of director: LISA T. SU | Issuer | NO VOTE | No Vote | ||||
Election of director: ABHI Y. TALWALKAR | Issuer | NO VOTE | No Vote | ||||
Ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the current fiscal year | Issuer | NO VOTE | No Vote | ||||
Adviosry vote to approve the executive compensation of our named executive officers | Issuer | NO VOTE | No Vote | ||||
Transact any other business that properly comes before our Annual Meeting ot any adjourment or postponement thereof. | Issuer | NO VOTE | No Vote | ||||
Skyworks Solutions, Inc. | SWKS | 5/12/2021 | 83088M102 | Director: ALAN S. BATEY | issuer | NO VOTE | No Vote |
Director: KEVIN L. BEEBE | Issuer | NO VOTE | No Vote | ||||
Director: TIMOTHY R. FUREY | Issuer | NO VOTE | No Vote | ||||
Director: LIAM K. GRIFFIN | Issuer | NO VOTE | No Vote | ||||
Director: CHRISTINE KING | Issuer | NO VOTE | No Vote | ||||
Director: DAVID P. MCGLADE | Issuer | NO VOTE | No Vote | ||||
Director: ROBERT A. SCHRIESHEIM | Issuer | NO VOTE | No Vote | ||||
Director: KIMBERLY S. STEVENSON | Issuer | NO VOTE | No Vote | ||||
To ratify the selection by the Company's Audit Committee of KPMG LLP as the independent registered public accounting firm for the company’s for fiscal year 2021. | issuer | NO VOTE | No Vote | ||||
To approve the compnay;s Amended and Restated 2015 Long-Term Incentive Plan. | Issuer | NO VOTE | No Vote | ||||
To approve a stockholder propsal regarding supermajority voting provisions. | Shareholder | NO VOTE | No Vote | ||||
Coupa Software Incorporated | COUP | 5/26/2021 | 22266L106 | Election of Director: ROGER SIBONI | Issuer | NO VOTE | No Vote |
Election of Director: TAYLOE STANSBURY | Issuer | NO VOTE | No Vote | ||||
Ratify the appointment of Ernst & Young LLP as independent registered public accounting firm for fiscal year ending January 31, 2022. | Issuer | NO VOTE | No Vote | ||||
Advisory (non - binding) vote to approve named executive officer compsensation. | Issuer | NO VOTE | No Vote | ||||
Cloudfare, Inc. | NET | 6/3/2021 | 18915M107 | Class II Director: MARIA EITEL | Issuer | NO VOTE | No Vote |
Class II Director: MATTHEW PRINCE | Issuer | NO VOTE | No Vote | ||||
Class II Director: KATRIN SUDER | Issuer | NO VOTE | No Vote | ||||
Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for our fiscal year ending December 31, 2021. | Issuer | NO VOTE | No Vote | ||||
To approve, on an advisory basis, the compensation of our named executive officers. | Issuer | NO VOTE | No Vote | ||||
To approve, on an advisory basis, the frequency of future stockholder advisory votes on the compensation of our named executive officers | Issuer | NO VOTE | No Vote | ||||
Nvidia Corportaion | NVDA | 6/3/2021 | 67066G104 | Election of director: ROBERT K. BURGESS | Issuer | NO VOTE | No Vote |
Election of director: TENCH COXE | Issuer | NO VOTE | No Vote | ||||
Election of director: JOHN O.DABIRI | Issuer | NO VOTE | No Vote | ||||
Election of director: PERSIS S. DRELL | Issuer | NO VOTE | No Vote | ||||
Election of director: JEN- HSUN HUANG | Issuer | NO VOTE | No Vote | ||||
Election of director: DAWN HUDSON | Issuer | NO VOTE | No Vote | ||||
Election of director: HARVEY C.JONES | Issuer | NO VOTE | No Vote | ||||
Election of director: MICHAEL G. MCCAFFERY | Issuer | NO VOTE | No Vote | ||||
Election of director: STEPHEN C. NEAL | Issuer | NO VOTE | No Vote | ||||
Election of director: MARK L.PERRY | Issuer | NO VOTE | No Vote | ||||
Election of director: BROOKE SEAWELL | Issuer | NO VOTE | No Vote | ||||
Election of director: AARTI SHAH | Issuer | NO VOTE | No Vote | ||||
Election of director: MARK A. STEVENS | Issuer | NO VOTE | No Vote | ||||
Approval of our executive compensation | Issuer | NO VOTE | No Vote | ||||
Ratification OF the selection of Price water house Cooper LLP as our independent registered public accounting firm for fiscal year 2022 | Issuer | NO VOTE | No Vote | ||||
Approval of an amendment to our charter to increase the number of authorized shares of common stock from 2 bullion shares to 4 billion shares | Issuer | NO VOTE | No Vote |
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.
Esoterica Thematic Trust | ||
By: | /s/ Quindong (Bruce) Liu | |
Quindong (Bruce) Liu | ||
Principal Executive Officer | ||
Date: | August 26, 2021 |