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Esoterica Thematic Trust

Filed: 31 Aug 20, 11:36am

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, 2019 to June 30, 2020

 

Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (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:

 

The Registrant did not vote any proxies during the reporting period.

 

Esoterica Thematic Trust

Esoterica NextG Economy ETF

July 1, 2019 to June 30, 2020

 

Issuer of securityTickerMeeting dateCUSIPItemMatter voted onIssuer or Shareholder ProposalDid Registrant Vote on Behalf of FundFund Vote (FOR, AGAINST, ABSTAIN, or WITHHOLD)Did Registrant Cast its Vote For or Against Management Recommendation
Facebook, Inc. FB5/27/202030303M1021.01Directors: Peggy AlfordIssuerNoNo VoteNo Vote
    1.02Directors: Marc L. AndreessenIssuerNoNo VoteNo Vote
    1.03Directors: Andrew W. HoustonIssuerNoNo VoteNo Vote
    1.04Directors: Nancy KilleferIssuerNoNo VoteNo Vote
    1.05Directors: Robert M. KimmitIssuerNoNo VoteNo Vote
    1.06Directors: Sheryl K. SandbergIssuerNoNo VoteNo Vote
    1.07Directors: Peter A. ThielIssuerNoNo VoteNo Vote
    1.08Directors: Tracey T. TravisIssuerNoNo VoteNo Vote
    1.09Directors: Mark ZuckerbergIssuerNoNo VoteNo Vote
    2To ratify the appointment of Ernst & Young LLP as Facebook, Inc.'s independent registered public accounting firm for the fiscal year ending December 31 ,2020.IssuerNoNo VoteNo Vote
    3To approve director compensation policyIssuerNoNo VoteNo Vote
    4A stockholder proposal regarding change in stockholder votingShareholderNoNo VoteNo Vote
    5A stockholder proposal regarding an independent chairShareholderNoNo VoteNo Vote
    6A stockholder proposal regarding majority voting for directorsShareholderNoNo VoteNo Vote
    7A stockholder proposal regarding political advertisingShareholderNoNo VoteNo Vote
    8A stockholder proposal regarding human/civil rights expert on boardShareholderNoNo VoteNo Vote
    9A stockholder proposal regarding report on civil and human rights risksShareholderNoNo VoteNo Vote
    10A stockholder proposal regarding child exploitationShareholderNoNo VoteNo Vote
    11A stockholder proposal regarding median gender/racial pay gapShareholderNoNo VoteNo Vote
NXP Semiconductors NV. NXPI5/27/2020N6596X1091Adoption of 2019 Statutory Annual AccountsIssuerNoNo VoteNo Vote
    2Discharge of the members of the Board for their responsiblities in the fiscal year ended December 31, 2019IssuerNoNo VoteNo Vote
    3AAppoint Kurt Sievers as executive directorIssuerNoNo VoteNo Vote
    3BRe-appoint Sir Peter Bonfield as non-executive directorIssuerNoNo VoteNo Vote
    3CRe-appoint Kenneth A. Goldman as non-executive directorIssuerNoNo VoteNo Vote
    3DRe-appoint Josef Kaeser as non-executive directorIssuerNoNo VoteNo Vote
    3ERe-appoint Lena Olving as non-executive directorIssuerNoNo VoteNo Vote
    3FRe-appoint Peter Smitham as non-executive directorIssuerNoNo VoteNo Vote
    3GRe-appoint Julie Southern as non-executive directorIssuerNoNo VoteNo Vote
    3HRe-appoint Jasmin Staiblin as non-executive directorIssuerNoNo VoteNo Vote
    3IRe-appoint Gregory Summe as non-executive directorIssuerNoNo VoteNo Vote
    3JRe-appoint Karl-Henrik Sundström as non-executive directorIssuerNoNo VoteNo Vote
    4Authorization of the Board to issue ordinary shares of the Company and grant rights to acquire ordinary sharesIssuerNoNo VoteNo Vote
    5Authorization of the Board to restrict or exclude pre-emption rights accruing in connection with an issue of shares or grant of rightsIssuerNoNo VoteNo Vote
    6Authorization of the Board to repurchase ordinary sharesIssuerNoNo VoteNo Vote
    7Authorization of the Board to cancel ordinary shares held or to be acquired by the CompanyIssuerNoNo VoteNo Vote
    8Appointment of Ernst & Young Accountants LLP as independent auditors for a three-year period, starting with the fiscal year ending December 31, 2020IssuerNoNo VoteNo Vote
    9Determination of the remuneration of the members and Chairs of the Audit Committee, the Compensation Committee, and the Nominating and Governance Committee of the BoardIssuerNoNo VoteNo Vote
    10Amendment of the Company's Articles of AssociationIssuerNoNo VoteNo Vote
    11Non-binding, advisory vote to approve Named Executive Officer compensationIssuerNoNo VoteNo Vote
    12To recommend, by non-binding vote, the frequency of executive compensation votesIssuerNoNo VoteNo Vote
NXP Semiconductors NV. NXPI5/27/2020N6596X1091Adoption of 2019 Statutory Annual AccountsIssuerNoNo VoteNo Vote
    2Discharge of the memebers of the Board for their responsiblities in the fiscal year ended December 2019IssuerNoNo VoteNo Vote
    3AAppoint Kurt Sievers as executive directorIssuerNoNo VoteNo Vote
    3BRe-appoint Sir Peter Bonfield as non-executive directorIssuerNoNo VoteNo Vote
    3CRe-appoint Kenneth A. Goldman as non-executive directorIssuerNoNo VoteNo Vote
    3DRe-appoint Josef Kaeser as non-executive directorIssuerNoNo VoteNo Vote
    3ERe-appoint Lena Olving as non-executive directorIssuerNoNo VoteNo Vote
    3FRe-appoint Peter Smitham as non-executive directorIssuerNoNo VoteNo Vote
    3GRe-appoint Julie Southern as non-executive directorIssuerNoNo VoteNo Vote
    3HRe-appoint Jasmin Staiblin as non-executive directorIssuerNoNo VoteNo Vote
    3IRe-appoint Gregory Summe as non-executive directorIssuerNoNo VoteNo Vote
    3JRe-appoint Karl-Henrik Sundström as non-executive directorIssuerNoNo VoteNo Vote
    4Authorization of the Board to issue ordinary shares of the Company and grant rights to acquire ordinary sharesIssuerNoNo VoteNo Vote
    5Authorization of the Board to restrict or exclude pre-emption rights accruing in connection with an issue of shares or grant of rightsIssuerNoNo VoteNo Vote
    6Authorization of the Board to repurchase ordinary sharesIssuerNoNo VoteNo Vote
    7Authorization of the Board to cancel ordinary shares held or to be acquired by the CompanyIssuerNoNo VoteNo Vote
    8Appointment of Ernst & Young Accountants LLP as independent auditors for a three-year period, starting with the fiscal year ending December 31, 2020IssuerNoNo VoteNo Vote
    9Determination of the remuneration of the members and Chairs of the Audit Committee, the Compensation Committee, and the Nominating and Governance Committee of the BoardIssuerNoNo VoteNo Vote
    10Amendment of the Company's Articles of AssociationIssuerNoNo VoteNo Vote
    11Non-binding, advisory vote to approve Named Executive Officer compensationIssuerNoNo VoteNo Vote
    12To recommend, by non-binding vote, the frequency of executive compensation votesIssuerNoNo VoteNo Vote
Amazon.com, Inc. AMZ5/27/20200231351061AElection of director: Jeffrey P. BezosIssuerNoNo VoteNo Vote
    1BElection of director: Rosalind G. BrewerIssuerNoNo VoteNo Vote
    1CElection of director: Jamie S. GorelickIssuerNoNo VoteNo Vote
    1DElection of director: Daniel P. HuttenlocherIssuerNoNo VoteNo Vote
    1EElection of director: Judith A. McGrathIssuerNoNo VoteNo Vote
    1FElection of director: Indra K. NooyiIssuerNoNo VoteNo Vote
    1GElection of director: Jonathan J. RubinsteinIssuerNoNo VoteNo Vote
    1HElection of director: Thomas O. RyderIssuerNoNo VoteNo Vote
    1IElection of director: Patricia Q. StonesiferIssuerNoNo VoteNo Vote
    1JElection of director: Wendell P. WeeksIssuerNoNo VoteNo Vote
    2RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORSIssuerNoNo VoteNo Vote
    3ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATIONIssuerNoNo VoteNo Vote
    4APPROVAL OF AMENDMENT TO RESTATED CERTIFICATE OF INCORPORATION TO LOWER STOCK OWNERSHIP THRESHOLD FOR SHAREHOLDERS TO REQUEST A SPECIAL MEETINGIssuerNoNo VoteNo Vote
    5SHAREHOLDER PROPOSAL REQUESTING A REPORT ON EFFECTS OF FOOD WASTEShareholderNoNo VoteNo Vote
    6SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CUSTOMER USE OF CERTAIN TECHNOLOGIESShareholderNoNo VoteNo Vote
    7SHAREHOLDER PROPOSAL REQUESTING A REPORT ON POTENTIAL CUSTOMER MISUSE OF CERTAIN TECHNOLOGIESShareholderNoNo VoteNo Vote
    8SHAREHOLDER PROPOSAL REQUESTING A REPORT ON EFFORTS TO RESTRICT CERTAIN PRODUCTSShareholderNoNo VoteNo Vote
    9SHAREHOLDER PROPOSAL REQUESTING A MANDATORY INDEPENDENT BOARD CHAIR POLICYShareholderNoNo VoteNo Vote
    10SHAREHOLDER PROPOSAL REQUESTING AN ALTERNATIVE REPORT ON GENDER/RACIAL PAYShareholderNoNo VoteNo Vote
    11SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CERTAIN COMMUNITY IMPACTSShareholderNoNo VoteNo Vote
    12SHAREHOLDER PROPOSAL REQUESTING A REPORT ON VIEWPOINT DISCRIMINATIONShareholderNoNo VoteNo Vote
    13SHAREHOLDER PROPOSAL REQUESTING A REPORT ON PROMOTION DATAShareholderNoNo VoteNo Vote
    14SHAREHOLDER PROPOSAL REQUESTING AN ADDITIONAL REDUCTION IN THRESHOLD FOR CALLING SPECIAL SHAREHOLDER MEETINGSShareholderNoNo VoteNo Vote
    15SHAREHOLDER PROPOSAL REQUESTING A SPECIFIC SUPPLY CHAIN REPORT FORMATShareholderNoNo VoteNo Vote
    16SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL REPORTING ON LOBBYINGShareholderNoNo VoteNo Vote
Netflix, Inc. NFLX6/4/202064110L1061AElection of Class III Director: Reed HastingsIssuerNoNo VoteNo Vote
    1BElection of Class III Director: Jay C. HoagIssuerNoNo VoteNo Vote
    1CElection of Class III Director: Mathias DöpfnerIssuerNoNo VoteNo Vote
    2To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the year ending December 31, 2020.IssuerNoNo VoteNo Vote
    3Advisory approval of the Company's executive officer compensation.IssuerNoNo VoteNo Vote
    4Approval of the Netflix, Inc. 2020 Stock Plan.IssuerNoNo VoteNo Vote
    5Stockholder proposal regarding political disclosures, if properly presented at the meeting.ShareholderNoNo VoteNo Vote
    6Stockholder proposal for simple majority vote, if properly presented at the meeting.ShareholderNoNo VoteNo Vote
    7Stockholder proposal for EEO policy risk report, if properly presented at the meeting.ShareholderNoNo VoteNo Vote
NVIDIA Corporation NVDA6/9/202067066G1041AElection of Director: Robert K. BurgessIssuerNoNo VoteNo Vote
    1BElection of Director: Tench CoxeIssuerNoNo VoteNo Vote
    1CElection of Director: Persis S. DrellIssuerNoNo VoteNo Vote
    1DElection of Director: Jen-Hsun HuangIssuerNoNo VoteNo Vote
    1EElection of Director: Dawn HudsonIssuerNoNo VoteNo Vote
    1FElection of Director: Harvey C. JonesIssuerNoNo VoteNo Vote
    1GElection of Director: Michael G. McCafferyIssuerNoNo VoteNo Vote
    1HElection of Director: Stephen C. NealIssuerNoNo VoteNo Vote
    1LElection of Director: Mark L. PerryIssuerNoNo VoteNo Vote
    1JElection of Director: A. Brooke SeawellIssuerNoNo VoteNo Vote
    1KElection of Director: Mark A. StevensIssuerNoNo VoteNo Vote
    2Approval of our executive compensation.IssuerNoNo VoteNo Vote
    3Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2021.IssuerNoNo VoteNo Vote
    4Approval of an amendment and restatement of our Amended and Restated 2007 Equity Incentive Plan.IssuerNoNo VoteNo Vote
    5Approval of an amendment and restatement of our Amended and Restated 2012 Employee Stock Purchase Plan.IssuerNoNo VoteNo Vote
Datadog DDOG6/11/202023804L1031AElection of Class I director to hold office until our Annual Meeting of Stockholders in 2023: Olivier PomelIssuerNoNo VoteNo Vote
    1BElection of Class I director to hold office until our Annual Meeting of Stockholders in 2023: Dev IttycheriaIssuerNoNo VoteNo Vote
    1CElection of Class I director to hold office until our Annual Meeting of Stockholders in 2023: Shardul ShahIssuerNoNo VoteNo Vote
    2To 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, 2020.IssuerNoNo VoteNo Vote
Splunk Inc.SPLK6/11/20208486371041AElection of Class II Director: John ConnorsIssuerNoNo VoteNo Vote
    1BElection of Class II Director: Patricia MorrisonIssuerNoNo VoteNo Vote
    1CElection of Class II Director: Stephen NewberryIssuerNoNo VoteNo Vote
    2To ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending January 31, 2021.IssuerNoNo VoteNo Vote
    3To approve, on an advisory basis, the compensation of our named executive officers, as described in the proxy statement.IssuerNoNo VoteNo Vote
Salesforce.com Inc.CRM6/11/202079466L3021AElection of Director: Marc BenioffIssuerNoNo VoteNo Vote
    1BElection of Director: Craig ConwayIssuerNoNo VoteNo Vote
    1CElection of Director: Parker HarrisIssuerNoNo VoteNo Vote
    1DElection of Director: Alan HassenfeldIssuerNoNo VoteNo Vote
    1EElection of Director: Neelie KroesIssuerNoNo VoteNo Vote
    1FElection of Director: Colin PowellIssuerNoNo VoteNo Vote
    1GElection of Director: Sanford RobertsonIssuerNoNo VoteNo Vote
    1HElection of Director: John V. RoosIssuerNoNo VoteNo Vote
    1IElection of Director: Robin WashingtonIssuerNoNo VoteNo Vote
    1JElection of Director: Maynard WebbIssuerNoNo VoteNo Vote
    1KElection of Director: Susan WojcickiIssuerNoNo VoteNo Vote
    2Amendment and restatement of our 2013 Equity Incentive PlanIssuerNoNo VoteNo Vote
    3Amendment and restatement of our 2004 Employee Stock Purchase Plan.IssuerNoNo VoteNo Vote
    4Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending January 31, 2021.IssuerNoNo VoteNo Vote
    5An advisory vote to approve the fiscal 2020 compensation of our named executive officers.IssuerNoNo VoteNo Vote
    6A stockholder proposal requesting the ability of stockholders to act by written consent, if properly presented at the meeting.ShareholderNoNo VoteNo Vote
ServiceNow Inc. NOW6/17/202081762P1021AElection of Director: William R. McDermottIssuerNoNo VoteNo Vote
    1BElection of Director: Anita M. SandsIssuerNoNo VoteNo Vote
    1CElection of Director: Dennis M. WoodsideIssuerNoNo VoteNo Vote
    2To approve, on an advisory basis, the compensation of our Named Executive Officers ("Say-on-Pay").IssuerNoNo VoteNo Vote
    3Ratification of PricewaterhouseCoopers LLP as the independent registered public accounting firm for 2020IssuerNoNo VoteNo Vote
    4To approve an amendment to our Restated Certificate of Incorporation to declassify our Board of Directors.IssuerNoNo VoteNo Vote
    5To hold an advisory vote on the frequency of future advisory votes on executive compensation.IssuerNoNo VoteNo Vote
Zoom Video Communications Inc. ZM6/18/202098980L1011.01Directors: Peter GassnerIssuerNoNo VoteNo Vote
    1.02Directors: Eric S. YuanIssuerNoNo VoteNo Vote
    1.03Directors: Lt. Gen. H.R. McMasterIssuerNoNo VoteNo Vote
    2Ratify the appointment of KPMG LLP as our independent registered public accounting firm for our fiscal year ending January 31, 2021.IssuerNoNo VoteNo Vote
Slack Technologies, Inc. WORK6/19/202083088V1021.01Directors: Stewart ButterfieldIssuerNoNo VoteNo Vote
    1.02Directors: John O'Farrell    
    2A proposal to ratify the appointment of KPMG LLP as our independent registered public accounting firm for the fiscal year ending January 31, 2021.IssuerNoNo VoteNo Vote
MONGODB, Inc. MDB7/10/202060937P1061.01Directors: Archana AgrawalIssuerNoNo VoteNo Vote
    1.02Directors: Hope CochranIssuerNoNo VoteNo Vote
    1.03Directors: Dwight MerrimanIssuerNoNo VoteNo Vote
    2Approval, on a non-binding advisory basis, of the compensation of our named executive officers.IssuerNoNo VoteNo Vote
    3Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending January 31, 2021.IssuerNoNo VoteNo Vote
Marvell Technology Group LTD. MRVL7/23/2020G5876H1051AElection of Director: Tudor BrownIssuerNoNo VoteNo Vote
    1BElection of Director: Brad BussIssuerNoNo VoteNo Vote
    1CElection of Director: Edward FrankIssuerNoNo VoteNo Vote
    1DElection of Director: Richard S. HillIssuerNoNo VoteNo Vote
    1EElection of Director: Bethany MayerIssuerNoNo VoteNo Vote
    1FElection of Director: Matthew J. MurphyIssuerNoNo VoteNo Vote
    1GElection of Director: Michael StrachanIssuerNoNo VoteNo Vote
    1HElection of Director: Robert E. SwitzIssuerNoNo VoteNo Vote
    2An advisory (non-binding) vote to approve compensation of our named executive officers.IssuerNoNo VoteNo Vote
    3The appointment of Deloitte & Touche LLP as our auditors and independent registered public accounting firm, and authorization of the audit committee, acting on behalf of our board of directors, to fix the remuneration of the firm for the fiscal year ending January 30, 2021.IssuerNoNo VoteNo Vote
Qorvo Inc. QRVO8/4/202074736K1011.01Directors: Ralph G. QuinseyIssuerNoNo VoteNo Vote
    1.02Directors: Robert A. BruggeworthIssuerNoNo VoteNo Vote
    1.03Directors: Jeffery R. GardnerIssuerNoNo VoteNo Vote
    1.04Directors: John R. HardingIssuerNoNo VoteNo Vote
    1.05Directors: David H. Y. HoIssuerNoNo VoteNo Vote
    1.06Directors: Roderick D. NelsonIssuerNoNo VoteNo Vote
    1.07Directors: Dr. Walden C. RhinesIssuerNoNo VoteNo Vote
    1.08Directors: Susan L. SpradleyIssuerNoNo VoteNo Vote
    1.09Directors: Walter H. Wilkinson Jr.IssuerNoNo VoteNo Vote
    2To approve, on an advisory basis, the compensation of our Named Executive Officers (as defined in the proxy statement).IssuerNoNo VoteNo Vote
    3To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending April 3, 2021.IssuerNoNo VoteNo Vote
XILINX, Inc. XLNX8/5/20209839191011.1Election of Director: Dennis SegersIssuerNoNo VoteNo Vote
    1.2Election of Director: Raman K. ChitkaraIssuerNoNo VoteNo Vote
    1.3Election of Director: Saar GillaiIssuerNoNo VoteNo Vote
    1.4Election of Director: Ronald S. JankovIssuerNoNo VoteNo Vote
    1.5Election of Director: Mary Louise KrakauerIssuerNoNo VoteNo Vote
    1.6Election of Director: Thomas H. LeeIssuerNoNo VoteNo Vote
    1.7Election of Director: Jon A. OlsonIssuerNoNo VoteNo Vote
    1.8Election of Director: Victor PengIssuerNoNo VoteNo Vote
    1.9Election of Director: Elizabeth W. VandersliceIssuerNoNo VoteNo Vote
    2Proposal to approve, on an advisory basis, the compensation of the Company's named executive officers.IssuerNoNo VoteNo Vote
    3Proposal to ratify the appointment of Ernst & Young LLP as the Company's independent registered accounting firm for fiscal 2021.IssuerNoNo VoteNo Vote
Facebook Inc. FB12/22/202030303M1021Non-voting AgendaIssuerNoNo VoteNo 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/ Karan Trehan 
 Karan Trehan 
 Principal Executive Officer 
   
Date:August 31, 2020