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 number811-06445
The Herzfeld Caribbean Basin Fund, Inc. |
(Exact name of registrant as specified in charter) |
119 Washington Avenue, Suite 504, Miami Beach, FL | 33139 |
(Address of principal executive offices) | (Zip code) |
(Name and address of agent for service) |
Registrant's telephone number, including area code:305-777-1660
Date of fiscal year end:6/30
Date of reporting period: year-ended6/30/19
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss. 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507.
SEC 2451 (4-03) | Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
ITEM 1. PROXY VOTING RECORD:
Vote Summary
MARRIOTT VACATIONS WORLDWIDE CORPORATION | ||||||||||||||||||||||||||
Security | 57164Y107 | Meeting Type | Special | |||||||||||||||||||||||
Ticker Symbol | VAC | Meeting Date | 28-Aug-2018 | |||||||||||||||||||||||
ISIN | US57164Y1073 | Agenda | 934861320 - Management | |||||||||||||||||||||||
Record Date | 13-Jul-2018 | Holding Recon Date | 13-Jul-2018 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 27-Aug-2018 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1. | To approve the issuance of shares of MVW common stock to ILG stockholders under the Agreement and Plan of Merger, dated as of April 30, 2018, by and among MVW, ILG and certain of their affiliates. | Management | For | For | For | |||||||||||||||||||||
2. | To adjourn the MVW special meeting, if necessary or appropriate, to solicit additional proxies. | Management | For | For | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 12,745 | 0 | 17-Aug-2018 | 29-Aug-2018 | ||||||||||||||||||||||
SIDERURGICA VENEZOLANA "SIVENSA", S.A. | ||||||||||||||||||||||||||
Security | 825865702 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | SDNWY | Meeting Date | 05-Dec-2018 | |||||||||||||||||||||||
ISIN | US8258657027 | Agenda | 934898353 - Management | |||||||||||||||||||||||
Record Date | 05-Nov-2018 | Holding Recon Date | 05-Nov-2018 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 29-Nov-2018 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1. | To consider and resolve, in view of the Reports of the Internal Comptrollers, about the financial statements submitted by the Board of Directors corresponding to the fiscal year ended on September 30, 2018, as well as to consider and resolve about the Report of the Board of Directors. | Management | For | None | ||||||||||||||||||||||
2. | To consider and resolve about the appointment of the Principal and Alternate Members of the Board of Directors. | Management | For | None | ||||||||||||||||||||||
3. | To consider and resolve about the appointment of the Principal Internal Comptrollers and their respective Alternates, as well as their annual compensation. | Management | For | None | ||||||||||||||||||||||
4. | To consider and resolve about the appointment of the Principal and Alternate Judicial Representatives. | Management | For | None | ||||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 79 | 0 | 27-Nov-2018 | 03-Dec-2018 | ||||||||||||||||||||||
GRUPO CASA SABA, S.A.B. DE C.V. | ||||||||||||||||||||||||||
Security | P0603H106 | Meeting Type | ExtraOrdinary General Meeting | |||||||||||||||||||||||
Ticker Symbol | Meeting Date | 17-Dec-2018 | ||||||||||||||||||||||||
ISIN | MXP690641016 | Agenda | 710262976 - Management | |||||||||||||||||||||||
Record Date | 06-Dec-2018 | Holding Recon Date | 06-Dec-2018 | |||||||||||||||||||||||
City / | Country | MEXICO CITY | / | Mexico | Vote Deadline Date | 07-Dec-2018 | ||||||||||||||||||||
SEDOL(s) | 2398695 - B3BGHH3 - BT6T2X0 | Quick Code | ||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1 | PRESENTATION, DISCUSSION AND IF APPROPRIATE, APPROVAL OF THE TOTAL REFORM OF THE BYLAWS | Management | For | For | For | |||||||||||||||||||||
2 | APPOINTMENT OF A DELEGATE OR DELEGATES IN ORDER TO FORMALIZE THE RESOLUTIONS ADOPTED BY THE ASSEMBLIES | Management | For | For | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
ITH1 | 327,290 | 0 | 10-Dec-2018 | 10-Dec-2018 | ||||||||||||||||||||||
GRUPO CASA SABA, S.A.B. DE C.V. | ||||||||||||||||||||||||||
Security | P0603H106 | Meeting Type | Ordinary General Meeting | |||||||||||||||||||||||
Ticker Symbol | Meeting Date | 17-Dec-2018 | ||||||||||||||||||||||||
ISIN | MXP690641016 | Agenda | 710262988 - Management | |||||||||||||||||||||||
Record Date | 06-Dec-2018 | Holding Recon Date | 06-Dec-2018 | |||||||||||||||||||||||
City / | Country | MEXICO CITY | / | Mexico | Vote Deadline Date | 07-Dec-2018 | ||||||||||||||||||||
SEDOL(s) | 2398695 - B3BGHH3 - BT6T2X0 | Quick Code | ||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
I | WAIVER, APPOINTMENT OR RATIFICATION, IF APPROPRIATE, OF THE PEOPLE THAT INTEGRATE THE BOARD OF DIRECTORS AND THE SECRETARY OF THE COMPANY | Management | For | For | For | |||||||||||||||||||||
II | WAIVER OF THE AUDIT AND CORPORATE PRACTICES COMMITTEE AND DESIGNATION OF THE NEW COMMISSIONER OF THE COMPANY | Management | For | For | For | |||||||||||||||||||||
III | REMUNERATION TO THE MEMBERS OF THE BOARD OF DIRECTORS AND THE SECRETARY AND THE COMMISSIONER | Management | For | For | For | |||||||||||||||||||||
IV | APPOINTMENT OF A DELEGATE OR DELEGATES IN ORDER TO FORMALIZE THE RESOLUTIONS ADOPTED BY THE ASSEMBLIES | Management | For | For | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
ITH1 | 327,290 | 0 | 10-Dec-2018 | 10-Dec-2018 | ||||||||||||||||||||||
TEEKAY LNG PARTNERS L.P. | ||||||||||||||||||||||||||
Security | Y8564M105 | Meeting Type | Special | |||||||||||||||||||||||
Ticker Symbol | TGP | Meeting Date | 18-Dec-2018 | |||||||||||||||||||||||
ISIN | MHY8564M1057 | Agenda | 934904699 - Management | |||||||||||||||||||||||
Record Date | 12-Nov-2018 | Holding Recon Date | 12-Nov-2018 | |||||||||||||||||||||||
City / | Country | / | Bermuda | Vote Deadline Date | 17-Dec-2018 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1. | Approval to allow Teekay LNG Partners L.P. to elect to be treated as a corporation, instead of a partnership, for U.S. federal income tax purposes. | Management | For | For | For | |||||||||||||||||||||
2. | Approval of the Fourth Amended and Restated Agreement of Limited Partnership of Teekay LNG Partners L.P to give effect to the change in U.S. federal income tax classification from a partnership to a corporation. | Management | For | For | For | |||||||||||||||||||||
3. | Approval to adjourn the special meeting, if necessary or appropriate, to solicit additional proxies. | Management | For | For | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 9,589 | 0 | 10-Dec-2018 | 19-Dec-2018 | ||||||||||||||||||||||
WAL-MART DE MEXICO SAB DE CV | ||||||||||||||||||||||||||
Security | P98180188 | Meeting Type | Ordinary General Meeting | |||||||||||||||||||||||
Ticker Symbol | Meeting Date | 21-Mar-2019 | ||||||||||||||||||||||||
ISIN | MX01WA000038 | Agenda | 710552426 - Management | |||||||||||||||||||||||
Record Date | 12-Mar-2019 | Holding Recon Date | 12-Mar-2019 | |||||||||||||||||||||||
City / | Country | MEXICO CITY | / | Mexico | Vote Deadline Date | 13-Mar-2019 | ||||||||||||||||||||
SEDOL(s) | BW1YVH8 - BW2V7P8 - BW38P54 | Quick Code | ||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
I | PRESENTATION, DISCUSSION AND, IF ANY, REPORT APPROVAL: (A) OF THE BOARD OF DIRECTORS. (B) OF THE DIRECTOR-GENERAL. (C) OF AUDIT COMMITTEES AND CORPORATE PRACTICES. (D) ON THE FULFILLMENT OF FISCAL OBLIGATIONS. (E) ON THE PLAN OF SHARES FOR STAFF. (F) ON THE SITUATION OF THE FUND FOR THE PURCHASE OF OWN SHARES | Management | For | For | For | |||||||||||||||||||||
II | DISCUSSION AND, IF ANY, THE APPROVAL OF THE CONSOLIDATED FINANCIAL STATEMENTS AS OF DECEMBER 31, 2018 | Management | For | For | For | |||||||||||||||||||||
III | DISCUSSION AND, IF APPROPRIATE, APPROVAL OF THE PROJECT FOR THE APPLICATION OF RESULTS FOR THE PERIOD ENDED ON DECEMBER 31, 2018, INCLUDING THE PAYMENT OF DIVIDEND OF MXN 1.75 (ONE PESO SIXT FIVE CENTS) PER SHARE TO BE PAID IN DIFFERENT EXHIBITIONS | Management | For | For | For | |||||||||||||||||||||
IV | APPOINTMENT OR RATIFICATION OF THE MEMBERS OF THE BOARD OF DIRECTORS, OF THE CHAIRPERSONS OF THE AUDIT COMMITTEES AND CORPORATE PRACTICES AND OF THE FEES THAT WILL HAVE BEEN RECEIVED DURING THE CURRENT YEAR | Management | For | For | For | |||||||||||||||||||||
V | DISCUSSION, AND IN THE EVENT, APPROVAL OF THE RESOLUTIONS CONTAINED IN THE MINUTES OF THE ASSEMBLY HELD AND DESIGNATION OF SPECIAL DELEGATES TO EXECUTE THE RESOLUTIONS ADOPTED | Management | For | For | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
ITH1 | 210,222 | 0 | 21-Feb-2019 | 14-Mar-2019 | ||||||||||||||||||||||
FOMENTO ECONOMICO MEXICANO SAB DE CV | ||||||||||||||||||||||||||
Security | P4182H115 | Meeting Type | Ordinary General Meeting | |||||||||||||||||||||||
Ticker Symbol | Meeting Date | 22-Mar-2019 | ||||||||||||||||||||||||
ISIN | MXP320321310 | Agenda | 710588510 - Management | |||||||||||||||||||||||
Record Date | 08-Mar-2019 | Holding Recon Date | 08-Mar-2019 | |||||||||||||||||||||||
City / | Country | MONTER REY | / | Mexico | Vote Deadline Date | 14-Mar-2019 | ||||||||||||||||||||
SEDOL(s) | 2242059 - B01DHB7 - B2Q3MB1 | Quick Code | ||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
I | REPORT OF THE GENERAL DIRECTOR OF THE COMPANY, WHICH INCLUDES THE FINANCIAL STATEMENTS OF THE COMPANY CORRESPONDING TO THE FISCAL YEAR OF 2018. THE OPINION OF THE BOARD OF DIRECTORS OF THE COMPANY REGARDING THE CONTENT OF THE REPORT OF THE GENERAL DIRECTOR OF THE COMPANY. REPORTS OF THE BOARD OF DIRECTORS OF THE COMPANY CONTAINING THE MAIN POLICIES AND ACCOUNTING AND INFORMATION CRITERIA FOLLOWED IN THE PREPARATION OF THE COMPANY'S FINANCIAL INFORMATION, AS WELL AS REPORTS ON OPERATIONS AND ACTIVITIES IN WHICH THEY PARTICIPATED DURING THE FISCAL YEAR OF 2018. AND REPORTS OF THE PRESIDENTS OF THE AUDIT COMMITTEES AND CORPORATE PRACTICES OF THE BOARD OF THE COMPANY IN THE TERMS OF ARTICLE 28 FRACTION IV OF THE LEY DEL MERCADO DE VALORES (THE LAW IN SUCCESSIVE) | Management | For | For | For | |||||||||||||||||||||
II | APPLICATION OF THE INCOME STATEMENT FOR THE FISCAL YEAR OF 2018, WHICH INCLUDES DECREEING AND PAYING A CASH DIVIDEND, IN NATIONAL CURRENCY | Management | For | For | For | |||||||||||||||||||||
III | PROPOSAL TO ESTABLISH THE MAXIMUM AMOUNT OF RESOURCES THAT MAY BE USED TO PURCHASE SHARES OF THE COMPANY | Management | For | For | For | |||||||||||||||||||||
IV | ELECTION OF THE MEMBERS OF THE BOARD OF DIRECTORS AND SECRETARIES, QUALIFICATION OF THEIR INDEPENDENCE, UNDER THE TERMS OF THE LEY DEL MERCADO DE VALORES, AND DETERMINATION OF THEIR EMOLUMENTS | Management | For | For | For | |||||||||||||||||||||
V | ELECTION OF MEMBERS OF THE COMMITTEES OF (I) STRATEGY AND FINANCE, (II) AUDIT AND (III) CORPORATE PRACTICES, APPOINTMENT OF THE PRESIDENT OF EACH OF THEM AND DETERMINATION OF THEIR EMOLUMENTS | Management | For | For | For | |||||||||||||||||||||
VI | APPOINTMENT OF DELEGATES TO FORMALIZE THE AGREEMENTS OF THE ASSEMBLY | Management | For | For | For | |||||||||||||||||||||
VII | READING AND APPROVAL, IF ANY, OF THE MINUTES OF THE ASSEMBLY | Management | For | For | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
ITH1 | 18,900 | 0 | 06-Mar-2019 | 15-Mar-2019 | ||||||||||||||||||||||
FOMENTO ECONOMICO MEXICANO S.A.B. DE CV | ||||||||||||||||||||||||||
Security | 344419106 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | FMX | Meeting Date | 22-Mar-2019 | |||||||||||||||||||||||
ISIN | US3444191064 | Agenda | 934934135 - Management | |||||||||||||||||||||||
Record Date | 22-Feb-2019 | Holding Recon Date | 22-Feb-2019 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 19-Mar-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
I | Report of the chief executive officer of the Company, which includes the financial statements for the 2018 fiscal year; opinion of the board of directors of the Company regarding the content of the report of the chief executive officer; reports of the board of directors of the Company regarding the main policies and accounting and information criteria applied during the preparation of the Company's financial information, including the operations and activities in which the Company ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
II | Application of the results for the 2018 fiscal year of the Company, to include a dividend declaration and payment in cash, in Mexican pesos. | Management | For | None | ||||||||||||||||||||||
III | Proposal to determine the maximum amount of resources to be used for the share repurchase program of the Company's own shares. | Management | For | None | ||||||||||||||||||||||
IV | Election of members of the board of directors and secretaries of the Company, qualification of their independence, in accordance with the Law, and resolution with respect to their remuneration. | Management | For | None | ||||||||||||||||||||||
V | Election of members of the following committees: (i) strategy and finance, (ii) audit, and (iii) corporate practices of the Company; appointment of their respective chairmen, and resolution with respect to their remuneration. | Management | For | None | ||||||||||||||||||||||
VI | Appointment of delegates for the formalization of the Meeting's resolutions. | Management | For | None | ||||||||||||||||||||||
VII | Reading and, if applicable, approval of the Meeting's minute. | Management | For | None | ||||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 14,610 | 0 | 06-Mar-2019 | 21-Mar-2019 | ||||||||||||||||||||||
CEMEX, S.A.B. DE C.V. | ||||||||||||||||||||||||||
Security | 151290889 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | CX | Meeting Date | 28-Mar-2019 | |||||||||||||||||||||||
ISIN | US1512908898 | Agenda | 934935264 - Management | |||||||||||||||||||||||
Record Date | 15-Feb-2019 | Holding Recon Date | 15-Feb-2019 | |||||||||||||||||||||||
City / | Country | / | Mexico | Vote Deadline Date | 25-Mar-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1. | PRESENTATION OF THE REPORT BY THE CHIEF EXECUTIVE OFFICER, INCLUDING THE COMPANY'S FINANCIAL STATEMENTS, RESULTS OF OPERATIONS, REPORT OF CASH FLOW AND VARIATIONS OF CAPITAL STOCK, AND PRESENTATION OF THE REPORT BY THE BOARD OF DIRECTORS, FOR THE FISCAL YEAR 2018, AS REQUIRED BY THE MEXICAN SECURITIES MARKET LAW (LEY DEL MERCADO DE VALORES); AND, AFTER HEARING THE OPINION OF THE BOARD OF DIRECTORS AS TO THE REPORTS BY THE CHIEF EXECUTIVE OFFICER. (DUE TO SPACE LIMITS, SEE PROXY MATERIAL FOR FULL PROPOSAL). | Management | For | For | For | |||||||||||||||||||||
2. | PROPOSAL OF ALLOCATION OF PROFITS FOR THE YEAR ENDED DECEMBER 31, 2018, WHICH INCLUDES THE DECLARATION OF A CASH DIVIDEND. | Management | For | For | For | |||||||||||||||||||||
3. | PRESENTATION OF THE BOARD OF DIRECTOR'S REPORT ON THE PROCEDURES AND APPROVALS PURSUANT TO WHICH THE REPURCHASE OF CEMEX'S SHARES WAS INSTRUCTED FOR THE 2018 BUSINESS YEAR; AND THE PROPOSAL TO DETERMINE THE AMOUNT OF A RESERVE FOR THE ACQUISITION OF CEMEX'S SHARES OR OTHER INSTRUMENTS REPRESENTING SUCH SHARES. | Management | For | For | For | |||||||||||||||||||||
4. | PROPOSAL TO (A) DECREASE THE CAPITAL STOCK OF CEMEX IN ITS VARIABLE PART BY CANCELLING THE TREASURY SHARES THAT SUPPORTED CEMEX'S CONVERTIBLE NOTES ISSUED IN MARCH 2011 THAT MATURED IN MARCH 2018; (B) DECREASE THE CAPITAL STOCK IN ITS VARIABLE PART BY CANCELLING THE SHARES OF | Management | For | For | For | |||||||||||||||||||||
CEMEX REPURCHASED IN 2018 UNDER CEMEX'S SHARE REPURCHASE PROGRAM; AND (C) INCREASE THE CAPITAL STOCK IN ITS VARIABLE PART THROUGH THE ISSUANCE OF TREASURY SHARES OF CEMEX TO SUPPORT THE CONVERSION RIGHTS OF HOLDERS UNDER CEMEX'S OUTSTANDING CONVERTIBLE NOTES INDENTURES. | ||||||||||||||||||||||||||
5. | APPOINTMENT OF MEMBERS, PRESIDENT AND SECRETARY OF THE BOARD OF DIRECTORS, AND OF MEMBERS AND PRESIDENT, RESPECTIVELY, OF THE AUDIT, AND CORPORATE PRACTICES AND FINANCE COMMITTEES. | Management | For | For | For | |||||||||||||||||||||
6. | COMPENSATION OF THE MEMBERS OF THE BOARD OF DIRECTORS AND OF THE AUDIT, AND CORPORATE PRACTICES AND FINANCE COMMITTEES. | Management | For | For | For | |||||||||||||||||||||
7. | APPOINTMENT OF DELEGATES TO FORMALIZE THE RESOLUTIONS ADOPTED AT THE MEETING. | Management | For | For | For | |||||||||||||||||||||
E1. | PROPOSAL FOR CEMEX TO ENTER INTO A MERGER DEED, AS THE MERGING COMPANY THAT WILL CONTINUE TO SUBSIST, PURSUANT TO WHICH CEMEX WILL MERGE THROUGH INCORPORATION DIVERSE COMPANIES OF MEXICAN NATIONALITY (AS THE MERGED COMPANIES THAT WILL CEASE TO EXIST), ALL OF WHICH ARE SUBSIDIARIES THAT FORM PART OF THE SAME ECONOMIC INTEREST GROUP OF CEMEX AND IN WHICH NO THIRD-PARTY OUTSIDE OF CEMEX'S ECONOMIC INTEREST GROUP WILL PARTICIPATE IN; AS APPLICABLE, THE DESIGNATION OF SPECIAL ATTORNEYS-IN-FACT. (DUE TO SPACE LIMITS, SEE PROXY MATERIAL FOR FULL PROPOSAL). | Management | For | For | For | |||||||||||||||||||||
E2. | PROPOSAL TO ENHANCE THE LEGAL PURPOSE OF CEMEX AND TO PERMIT THE GRANTING OF GUARANTEES TO SECURE ANY LIABILITY THAT THE GENERAL DIRECTOR AND RELEVANT EXECUTIVES COULD INCUR AS PART OF THEIR DUTIES BY MODIFYING ARTICLES 2 AND 28 OF CEMEX'S BY- LAWS; AND, THE AUTHORIZATION TO RESTATE CEMEX'S BY-LAWS TO REFLECT THE PROPOSED AMENDMENTS. | Management | For | For | For | |||||||||||||||||||||
E3. | APPOINTMENT OF DELEGATES TO FORMALIZE THE RESOLUTIONS ADOPTED AT THE MEETING. | Management | For | For | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 310,645 | 0 | 20-Mar-2019 | 27-Mar-2019 | ||||||||||||||||||||||
GRUPO ELEKTRA, S.A.B. DE C.V. | ||||||||||||||||||||||||||
Security | P3642B213 | Meeting Type | Ordinary General Meeting | |||||||||||||||||||||||
Ticker Symbol | Meeting Date | 02-Apr-2019 | ||||||||||||||||||||||||
ISIN | MX01EL000003 | Agenda | 710761760 - Management | |||||||||||||||||||||||
Record Date | 25-Mar-2019 | Holding Recon Date | 25-Mar-2019 | |||||||||||||||||||||||
City / | Country | MEXICO CITY | / | Mexico | Vote Deadline Date | 27-Mar-2019 | ||||||||||||||||||||
SEDOL(s) | 2967084 - B02VB85 - B0420Z6 - B1BQGT4 - BHZLFD4 - BT6T0L4 | Quick Code | ||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1 | PRESENTATION, READING, DISCUSSION, AND, IF APPLICABLE, APPROVAL OF THE REPORTS OF THE BOARD OF DIRECTORS REFERRED TO IN ARTICLE 28 OF THE LEY DEL MERCADO DE VALORES | Management | For | For | For | |||||||||||||||||||||
2 | PRESENTATION, READING, DISCUSSION AND, IF APPLICABLE, APPROVAL OF THE COMPANY'S FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED ON DECEMBER 31, 2018, AS WELL AS DISCUSSION AND RESOLUTIONS ON THE APPLICATION OF PROFIT AND DISTRIBUTION OF EARNINGS | Management | For | For | For | |||||||||||||||||||||
3 | PRESENTATION, READING, DISCUSSION, AND, IF APPLICABLE, APPROVAL OF THE REPORT OF THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS OF THE COMPANY CORRESPONDING TO THE FISCAL YEAR ENDED ON DECEMBER 31, 2018 | Management | For | For | For | |||||||||||||||||||||
4 | PRESENTATION, READING, DISCUSSION, AND, IF APPLICABLE, APPROVAL OF THE REPORT OF THE CORPORATE PRACTICES COMMITTEE OF THE BOARD OF DIRECTORS OF THE COMPANY, CORRESPONDING TO THE FISCAL YEAR ENDED ON DECEMBER 31, 2018 | Management | For | For | For | |||||||||||||||||||||
5 | PRESENTATION, READING, DISCUSSION, AND, IF APPLICABLE, APPROVAL OF THE BOARD OF DIRECTORS' REPORT REGARDING THE ACQUISITION AND PLACEMENT POLICIES OF SHARES OF THE COMPANY'S REPURCHASE FUN | Management | For | For | For | |||||||||||||||||||||
6 | APPOINTMENT AND/OR RATIFICATION OF THE MEMBERS OF THE BOARD OF DIRECTORS OF THE COMPANY AND OF THE SECRETARY AND PRO SECRETARY OF SAID COMPANY, AS WE AS THE INTEGRATION OF THE AUDIT AND CORPORATE PRACTICES AND INTEGRITY COMMITTEES. DETERMINATION THEIR EMOLUMENTS AND QUALIFICATION OF INDEPENDENCE | Management | For | For | For | |||||||||||||||||||||
7 | APPOINTMENT OF SPECIAL DELEGATES OF THE ASSEMBLY TO GO BEFORE THE PUBLIC NOTARY OF THEIR CHOICE TO REGISTER THE ACT AND ENTER IN THE REGISTRO PUBLICO DE COMERCIO, THE AGREEMENTS OF THE ASSEMBLY, AS WE AS TO EXECUTE ANY OTHER PROCEEDINGS RELATED TO IT | Management | For | For | For | |||||||||||||||||||||
8 | OTHER MATTERS | Management | Abstain | Abstain | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
ITH1 | 1,270 | 0 | 20-Mar-2019 | 28-Mar-2019 | ||||||||||||||||||||||
AMERICA MOVIL SAB DE CV | ||||||||||||||||||||||||||
Security | P0280A101 | Meeting Type | Special General Meeting | |||||||||||||||||||||||
Ticker Symbol | Meeting Date | 09-Apr-2019 | ||||||||||||||||||||||||
ISIN | MXP001691213 | Agenda | 710784794 - Management | |||||||||||||||||||||||
Record Date | 01-Apr-2019 | Holding Recon Date | 01-Apr-2019 | |||||||||||||||||||||||
City / | Country | MEXICO CITY | / | Mexico | Vote Deadline Date | 03-Apr-2019 | ||||||||||||||||||||
SEDOL(s) | 2667470 - 2723930 - 7055809 - B1BQGN8 | Quick Code | ||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1 | ELECT OR RATIFY DIRECTORS FOR SERIES L SHAREHOLDERS | Management | For | For | For | |||||||||||||||||||||
2 | AUTHORIZE BOARD TO RATIFY AND EXECUTE APPROVED RESOLUTIONS | Management | For | For | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
ITH1 | 209,144 | 0 | 01-Apr-2019 | 04-Apr-2019 | ||||||||||||||||||||||
AMERICA MOVIL, S.A.B. DE C.V. | ||||||||||||||||||||||||||
Security | 02364W105 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | AMX | Meeting Date | 09-Apr-2019 | |||||||||||||||||||||||
ISIN | US02364W1053 | Agenda | 934965407 - Management | |||||||||||||||||||||||
Record Date | 21-Mar-2019 | Holding Recon Date | 21-Mar-2019 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 04-Apr-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
I | Appointment or, as the case may be, reelection of the members of the Board of Directors of the Company that the holders of the Series "L" shares are entitled to appoint. Adoption of resolutions thereon. | Management | For | None | ||||||||||||||||||||||
II | Appointment of delegates to execute, and if, applicable, formalize the resolutions adopted by the meeting. Adoption of resolutions thereon. | Management | For | None | ||||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 44,690 | 0 | 01-Apr-2019 | 08-Apr-2019 | ||||||||||||||||||||||
LENNAR CORPORATION | ||||||||||||||||||||||||||
Security | 526057104 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | LEN | Meeting Date | 10-Apr-2019 | |||||||||||||||||||||||
ISIN | US5260571048 | Agenda | 934931292 - Management | |||||||||||||||||||||||
Record Date | 12-Feb-2019 | Holding Recon Date | 12-Feb-2019 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 09-Apr-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||
1 | Rick Beckwitt | For | For | For | ||||||||||||||||||||||
2 | Irving Bolotin | For | For | For | ||||||||||||||||||||||
3 | Steven L. Gerard | For | For | For | ||||||||||||||||||||||
4 | Tig Gilliam | For | For | For | ||||||||||||||||||||||
5 | Sherrill W. Hudson | For | For | For | ||||||||||||||||||||||
6 | Jonathan M. Jaffe | For | For | For | ||||||||||||||||||||||
7 | Sidney Lapidus | For | For | For | ||||||||||||||||||||||
8 | Teri P. McClure | For | For | For | ||||||||||||||||||||||
9 | Stuart Miller | For | For | For | ||||||||||||||||||||||
10 | Armando Olivera | For | For | For | ||||||||||||||||||||||
11 | Jeffrey Sonnenfeld | For | For | For | ||||||||||||||||||||||
12 | Scott Stowell | For | For | For | ||||||||||||||||||||||
2. | Ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for our fiscal year ending November 30, 2019. | Management | For | For | For | |||||||||||||||||||||
3. | Approve, on an advisory basis, the compensation of our named executive officers. | Management | For | For | For | |||||||||||||||||||||
4. | Vote on a stockholder proposal regarding having directors elected by a majority of the votes cast in uncontested elections. | Shareholder | For | Against | Against | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 49,500 | 0 | 01-Apr-2019 | 11-Apr-2019 | ||||||||||||||||||||||
CARNIVAL CORPORATION | ||||||||||||||||||||||||||
Security | 143658300 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | CCL | Meeting Date | 16-Apr-2019 | |||||||||||||||||||||||
ISIN | PA1436583006 | Agenda | 934932321 - Management | |||||||||||||||||||||||
Record Date | 19-Feb-2019 | Holding Recon Date | 19-Feb-2019 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 15-Apr-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1. | To re-elect Micky Arison as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | For | |||||||||||||||||||||
2. | To re-elect Sir Jonathon Band as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | For | |||||||||||||||||||||
3. | To re-elect Jason Glen Cahilly as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | For | |||||||||||||||||||||
4. | To re-elect Helen Deeble as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | For | |||||||||||||||||||||
5. | To re-elect Arnold W. Donald as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | For | |||||||||||||||||||||
6. | To re-elect Richard J. Glasier as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | For | |||||||||||||||||||||
7. | To re-elect Debra Kelly-Ennis as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | For | |||||||||||||||||||||
8. | To elect Katie Lahey as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | For | |||||||||||||||||||||
9. | To re-elect Sir John Parker as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | For | |||||||||||||||||||||
10. | To re-elect Stuart Subotnick as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | For | |||||||||||||||||||||
11. | To re-elect Laura Weil as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | For | |||||||||||||||||||||
12. | To re-elect Randall J. Weisenburger as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | For | |||||||||||||||||||||
13. | To hold a (non-binding) advisory vote to approve executive compensation (in accordance with legal requirements applicable to U.S. companies). | Management | For | For | For | |||||||||||||||||||||
14. | To approve the Carnival plc Directors' Remuneration Report (in accordance with legal requirements applicable to UK companies). | Management | For | For | For | |||||||||||||||||||||
15. | To re-appoint the UK firm of PricewaterhouseCoopers LLP as independent auditors of Carnival plc and to ratify the selection of the U.S. firm of PricewaterhouseCoopers LLP as the independent registered public accounting firm of Carnival Corporation. | Management | For | For | For | |||||||||||||||||||||
16. | To authorize the Audit Committee of Carnival plc to determine the remuneration of the independent auditors of Carnival plc (in accordance with legal requirements applicable to UK companies). | Management | For | For | For | |||||||||||||||||||||
17. | To receive the UK accounts and reports of the Directors and auditors of Carnival plc for the year ended November 30, 2018 (in accordance with legal requirements applicable to UK companies). | Management | For | For | For | |||||||||||||||||||||
18. | To approve the giving of authority for the allotment of new shares by Carnival plc (in accordance with customary practice for UK companies). | Management | For | For | For | |||||||||||||||||||||
19. | To approve the disapplication of pre- emption rights in relation to the allotment of new shares by Carnival plc (in accordance with customary practice for UK companies). | Management | For | For | For | |||||||||||||||||||||
20. | To approve a general authority for Carnival plc to buy back Carnival plc ordinary shares in the open market (in accordance with legal requirements applicable to UK companies desiring to implement share buy back programs). | Management | For | For | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 19,518 | 0 | 01-Apr-2019 | 17-Apr-2019 | ||||||||||||||||||||||
BANCO LATINOAMERICANO DE COMERCIO EXT. | ||||||||||||||||||||||||||
Security | P16994132 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | BLX | Meeting Date | 17-Apr-2019 | |||||||||||||||||||||||
ISIN | PAP169941328 | Agenda | 934947738 - Management | |||||||||||||||||||||||
Record Date | 11-Mar-2019 | Holding Recon Date | 11-Mar-2019 | |||||||||||||||||||||||
City / | Country | / | Panama | Vote Deadline Date | 16-Apr-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1. | To approve the Bank's audited consolidated financial statements for the fiscal year ended December 31, 2018. | Management | For | For | For | |||||||||||||||||||||
2. | To ratify the appointment of KPMG as the Bank's independent registered public accounting firm for the fiscal year ending December 31, 2019. | Management | For | For | For | |||||||||||||||||||||
3a. | Election of Class E Director: Ricardo Manuel Arango | Management | For | For | For | |||||||||||||||||||||
3b. | Election of Class E Director: Herminio A. Blanco | Management | For | For | For | |||||||||||||||||||||
3c. | Election of Class E Director: Roland Holst | Management | For | For | For | |||||||||||||||||||||
4. | To approve, on an advisory basis, the compensation of the Bank's executive officers. | Management | For | For | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 63,166 | 0 | 01-Apr-2019 | 18-Apr-2019 | ||||||||||||||||||||||
SEABOARD CORPORATION | ||||||||||||||||||||||||||
Security | 811543107 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | SEB | Meeting Date | 22-Apr-2019 | |||||||||||||||||||||||
ISIN | US8115431079 | Agenda | 934941899 - Management | |||||||||||||||||||||||
Record Date | 21-Feb-2019 | Holding Recon Date | 21-Feb-2019 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 18-Apr-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||
1 | Steven J. Bresky | For | For | For | ||||||||||||||||||||||
2 | David A. Adamsen | For | For | For | ||||||||||||||||||||||
3 | Douglas W. Baena | For | For | For | ||||||||||||||||||||||
4 | Edward I. Shifman Jr. | For | For | For | ||||||||||||||||||||||
5 | Paul M. Squires | For | For | For | ||||||||||||||||||||||
2. | Ratify the appointment of KPMG LLP as independent auditors of the Company. | Management | For | For | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 274 | 0 | 01-Apr-2019 | 23-Apr-2019 | ||||||||||||||||||||||
TELESITES, S.A.B. DE C.V. | ||||||||||||||||||||||||||
Security | P90355135 | Meeting Type | Annual General Meeting | |||||||||||||||||||||||
Ticker Symbol | Meeting Date | 24-Apr-2019 | ||||||||||||||||||||||||
ISIN | MX01SI080038 | Agenda | 710922142 - Management | |||||||||||||||||||||||
Record Date | 12-Apr-2019 | Holding Recon Date | 12-Apr-2019 | |||||||||||||||||||||||
City / | Country | MEXICO CITY | / | Mexico | Vote Deadline Date | 16-Apr-2019 | ||||||||||||||||||||
SEDOL(s) | BD0G5P8 - BD0PJC0 | Quick Code | ||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1.1 | APPROVE CEO'S REPORT INCLUDING EXTERNAL AUDITOR'S REPORT AND BOARD'S OPINION ON CEO'S REPORT | Management | For | For | For | |||||||||||||||||||||
1.2 | APPROVE BOARD REPORT ON PRINCIPAL ACCOUNTING POLICIES AND CRITERIA FOLLOWED IN PREPARATION OF FINANCIAL INFORMATION | Management | For | For | For | |||||||||||||||||||||
1.3 | APPROVE REPORT ON ACTIVITIES AND OPERATIONS UNDERTAKEN BY BOARD | Management | For | For | For | |||||||||||||||||||||
1.4 | APPROVE CONSOLIDATED FINANCIAL STATEMENTS | Management | For | For | For | |||||||||||||||||||||
1.5 | APPROVE AUDIT AND CORPORATE PRACTICES COMMITTEE'S REPORT | Management | For | For | For | |||||||||||||||||||||
2 | APPROVE ALLOCATION OF INCOME | Management | For | For | For | |||||||||||||||||||||
3 | ELECT OR RATIFY DIRECTORS AND COMPANY SECRETARY AND DEPUTY SECRETARY VERIFY INDEPENDENCE OF DIRECTORS | Management | For | For | For | |||||||||||||||||||||
4 | APPROVE REMUNERATION OF DIRECTORS AND COMPANY SECRETARY AND DEPUTY SECRETARY | Management | For | For | For | |||||||||||||||||||||
5 | ELECT OR RATIFY MEMBERS OF AUDIT AND CORPORATE PRACTICES COMMITTEE | Management | For | For | For | |||||||||||||||||||||
6 | APPROVE REMUNERATION OF AUDIT AND CORPORATE PRACTICES COMMITTEE | Management | For | For | For | |||||||||||||||||||||
7 | AUTHORIZE BOARD TO RATIFY AND EXECUTE APPROVED RESOLUTIONS | Management | For | For | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
ITH1 | 14,017 | 0 | 16-Apr-2019 | 18-Apr-2019 | ||||||||||||||||||||||
GRUPO AEROPORTUARIO DEL SURESTE SA DE CV | ||||||||||||||||||||||||||
Security | 40051E202 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | ASR | Meeting Date | 24-Apr-2019 | |||||||||||||||||||||||
ISIN | US40051E2028 | Agenda | 934967730 - Management | |||||||||||||||||||||||
Record Date | 18-Mar-2019 | Holding Recon Date | 18-Mar-2019 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 18-Apr-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1a | Approval of the Report of the Chief Executive Officer, in ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
1b | approval of the Report of the Board of Directors in accordance ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
1c | Approval of the Report of the activities and operations in ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
1d | Approval of the Individual and consolidated financial ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
1e | Approval of the Annual report on the activities carried out by ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
1f | Approval of the Report on compliance with the tax obligations ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
2a | Proposal for increase of the legal reserve by Ps. 261,103,992.46 | Management | For | None | ||||||||||||||||||||||
2b | Proposal by the Board of Directors to pay an ordinary net ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
2c | Proposal and, if applicable, approval of the amount of Ps. ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
3a | Administration by the Board of Directors and the Chief Executive Officer for the fiscal year of 2018. | Management | For | None | ||||||||||||||||||||||
3ba | Appointment or ratification, as applicable, of the persons who ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
3bb | Appointment or ratification, as applicable, of the persons who ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
3bc | Appointment or ratification, as applicable, of the persons who ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
3bd | Appointment or ratification, as applicable, of the persons who ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
3be | Appointment or ratification, as applicable, of the persons who ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
3bf | Appointment or ratification, as applicable, of the persons who ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
3bg | Appointment or ratification, as applicable, of the persons who ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
3bh | Appointment or ratification, as applicable, of the persons who ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
3bi | Appointment or ratification, as applicable, of the persons who ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
3bj | Appointment or ratification, as applicable, of the persons who ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
3bk | Appointment or ratification, as applicable, of the persons who ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
3ca | Appointment or ratification, as applicable, of the Chairperson of the Audit Committee: Ricardo Guajardo Touché | Management | For | None | ||||||||||||||||||||||
3da | Appointment or ratification, as applicable, of the persons who ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
3db | Appointment or ratification, as applicable, of the persons who ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
3dc | Appointment or ratification, as applicable, of the persons who ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
3ea | Determination of corresponding compensations: ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
3eb | Determination of corresponding compensations: ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
3ec | Determination of corresponding compensations: ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
3ed | Determination of correspondingcompensations: ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
3ee | Determination of corresponding compensations: ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
4a | Appointment of delegates in order to enactthe resolutions ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
4b | Appointment of delegates in order to enact the resolutions ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
4c | Appointment of delegates in order to enact the resolutions ...(due to space limits, see proxy material for full proposal). | Management | For | None | ||||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 6,600 | 0 | 01-Apr-2019 | 22-Apr-2019 | ||||||||||||||||||||||
GRUPO TELEVISA, S.A.B. | ||||||||||||||||||||||||||
Security | 40049J206 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | TV | Meeting Date | 29-Apr-2019 | |||||||||||||||||||||||
ISIN | US40049J2069 | Agenda | 934989825 - Management | |||||||||||||||||||||||
Record Date | 18-Mar-2019 | Holding Recon Date | 18-Mar-2019 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 24-Apr-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
L1. | Appointment and/or ratification, as the case may be, of the members of the Board of Directors to be appointed at this meeting pursuant to articles Twenty Sixth, Twenty Seventh and other applicable articles of the corporate By-Laws. | Management | For | None | ||||||||||||||||||||||
L2. | Appointment of special delegates to formalize the resolutions adopted at the meeting. | Management | For | None | ||||||||||||||||||||||
D1. | Appointment and/or ratification, as the case may be, of the members of the Board of Directors to be appointed at this meeting pursuant to articles Twenty Sixth, Twenty Seventh and other applicable articles of the corporate By-Laws. | Management | For | None | ||||||||||||||||||||||
D2. | Appointment of special delegates to formalize the resolutions adopted at the meeting. | Management | For | None | ||||||||||||||||||||||
1. | Presentation and, in its case, approval of the reports referred to in Article 28, paragraph IV of the Securities Market Law, including the financial statements for the year ended on December 31, 2018 and resolutions regarding the actions taken by the Board of Directors, the Committees and the Chief Executive Officer of the Company. | Management | For | None | ||||||||||||||||||||||
2. | Presentation of the report regarding certain fiscal obligations of the Company, pursuant to the applicable legislation. | Management | For | None | ||||||||||||||||||||||
3. | Resolution regarding the allocation of results for the fiscal year ended on December 31, 2018. | Management | For | None | ||||||||||||||||||||||
4. | Resolution regarding (i) the amount that may be allocated to the repurchase of shares of the Company pursuant to article 56, paragraph IV of the Securities Market Law; and (ii) the report on the policies and resolutions adopted by the Board of Directors of the Company, regarding the acquisition and sale of such shares. | Management | For | None | ||||||||||||||||||||||
5. | Appointment and/or ratification, as the case may be, of the members that shall conform the Board of Directors, the Secretary and Officers of the Company. | Management | For | None | ||||||||||||||||||||||
6. | Appointment and/or ratification, as the case may be, of the members that shall conform the Executive Committee. | Management | For | None | ||||||||||||||||||||||
7. | Appointment and/or ratification, as the case may be, of the Chairman of the Audit Committee. | Management | For | None | ||||||||||||||||||||||
8. | Appointment and/or ratification, as the case may be, of the Chairman of the Corporate Practices Committee. | Management | For | None | ||||||||||||||||||||||
9. | Compensation to the members of the Board of Directors, of the Executive Committee, of the Audit Committee and of the Corporate Practices Committee, as well as to their corresponding Secretaries. | Management | For | None | ||||||||||||||||||||||
10. | Appointment of special delegates to formalize the resolutions adopted at the meeting. | Management | For | None | ||||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 28,400 | 0 | 16-Apr-2019 | 26-Apr-2019 | ||||||||||||||||||||||
GRUPO MEXICO SAB DE CV | ||||||||||||||||||||||||||
Security | P49538112 | Meeting Type | Ordinary General Meeting | |||||||||||||||||||||||
Ticker Symbol | Meeting Date | 30-Apr-2019 | ||||||||||||||||||||||||
ISIN | MXP370841019 | Agenda | 710900639 - Management | |||||||||||||||||||||||
Record Date | 22-Apr-2019 | Holding Recon Date | 22-Apr-2019 | |||||||||||||||||||||||
City / | Country | MEXICO CITY | / | Mexico | Vote Deadline Date | 22-Apr-2019 | ||||||||||||||||||||
SEDOL(s) | 2643674 - B032VC1 - B2Q3MF5 | Quick Code | ||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
I | REPORT OF THE GENERAL DIRECTOR OF THE COMPANY CORRESPONDING TO FISCAL YEAR FROM JANUARY 1 TO DECEMBER 31, 2018. DISCUSSION AND APPROVAL, IF ANY, OF THE CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY AND ITS SUBSIDIARIES AS OF DECEMBER 31, 2018. PRESENTATION OF THE FAVORABLE OPINIONS AND REPORTS REFERRED TO IN ARTICLE 28 SECTION IV, SUBSECTION A), B), C), D) AND E) OF THE LEY DEL MERCADO DE VALORES, REGARDING THE FISCAL YEAR FROM JANUARY 1 TO DECEMBER 31, 2018 | Management | For | For | For | |||||||||||||||||||||
II | LECTURE OF THE REPORT ON COMPLIANCE WITH TAX OBLIGATIONS OF THE COMPANY DURING FISCAL YEAR 2017 | Management | For | For | For | |||||||||||||||||||||
III | RESOLUTION ON APPLICATION OF RESULTS OF FISCAL YEAR ENDED ON DECEMBER 31, 2018 | Management | For | For | For | |||||||||||||||||||||
IV | REPORT REFERRED TO IN SECTION III OF ARTICLE 60 OF THE 'DISPOSICIONES DE CARACTER GENERAL APLICABLES A LAS EMISIONES DE VALORES Y A OTROS PARTICIPANTES DEL MERCADO DEVALORES', INCLUDING A REPORT ON THE APPLICATION OF RESOURCES DESTINED TO THE ACQUISITION OF OWN SHARES DURING FISCAL YEAR CONCLUDED ON DECEMBER 31, 2018. DETERMINATION OF THE MAXIMUM AMOUNT OF RESOURCES TO BE DESTINED FOR THE ACQUISITION OFOWN SHARES DURING FISCAL YEAR 2019 | Management | For | For | For | |||||||||||||||||||||
V | RESOLUTION ON THE RATIFICATION OF ACTS MADE BY THE BOARD OF DIRECTORS, THE EXECUTIVE PRESIDENT AND ITS COMMITTEES, DURING THE FISCAL YEAR FROM JANUARY 1 TO DECEMBER 31, 2018 | Management | For | For | For | |||||||||||||||||||||
VI | RESOLUTION REGARDING THE RATIFICATION OF THE EXTERNAL AUDITOR OF THE COMPANY | Management | For | For | For | |||||||||||||||||||||
VII | WAIVER, REELECTION, IF ANY, APPOINTMENT OF THE MEMBERS OF THE BOARD OF DIRECTORS OF THE COMPANY AND QUALIFICATION OF THEIR INDEPENDENCY ACCORDING TO ARTICLE 26 OF THE LEY DEL MERCADO DE VALORES. AS WELL AS OF THEIR MEMBERS OF THE COMMITTEES OF THE OWN BOARD AND THEIR PRESIDENTS | Management | For | For | For | |||||||||||||||||||||
VIII | GRANTING AND/OR REMOVAL OF POWERS TO DIFFERENT MEMBERS OF THE COMPANY | Management | For | For | For | |||||||||||||||||||||
IX | PROPOSAL ON THE REMUNERATION TO MEMBERS OF THE BOARD OF DIRECTORS AND MEMBERS OF THE COMMITTEES OF THE BOARD | Management | For | For | For | |||||||||||||||||||||
X | DESIGNATION OF DELEGATES TO COMPLY AND FORMALIZE WITH THE RESOLUTIONS TAKEN BY THIS ASSEMBLY | Management | For | For | For | |||||||||||||||||||||
CMMT | 09 APR 2019: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN NUMBERING-OF RESOLUTION VII. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE-AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting | ||||||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
ITH1 | 3,872 | 0 | 16-Apr-2019 | 23-Apr-2019 | ||||||||||||||||||||||
GRUPO RADIO CENTRO SAB DE CV | ||||||||||||||||||||||||||
Security | P4983X160 | Meeting Type | Ordinary General Meeting | |||||||||||||||||||||||
Ticker Symbol | Meeting Date | 30-Apr-2019 | ||||||||||||||||||||||||
ISIN | MXP680051218 | Agenda | 710945289 - Management | |||||||||||||||||||||||
Record Date | 22-Apr-2019 | Holding Recon Date | 22-Apr-2019 | |||||||||||||||||||||||
City / | Country | MEXICO CITY | / | Mexico | Vote Deadline Date | 22-Apr-2019 | ||||||||||||||||||||
SEDOL(s) | 2393377 - B02VBM9 - BSS6KR2 | Quick Code | ||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
I | PRESENTATION AND, IF ANY, APPROVAL OF (1) THE ANNUAL REPORTS ON THEACTIVITIES-OF THE AUDIT COMMITTEE AND CORPORATE PRACTICES COMMITTEE FOR THE FISCAL YEAR-ENDED DECEMBER 31, 2018, (2) THE REPORT OF THE GENERAL DIRECTOR PREPARED IN- ACCORDANCE WITH ARTICLE 172 OF THE LEY GENERAL DE SOCIEDADES MERCANTILES,-ACCOMPANIED BY THE OPINION OF THE EXTERNAL AUDITOR FOR THE SAME YEAR, AND,-(3) THE OPINION OF THEBOARD OF DIRECTORS ON THE CONTENTS OF THE GENERAL-DIRECTOR'S REPORT AND HIS REPORT ON OPERATIONS AND ACTIVITIES IN WHICH IT HAS- INTERVENED IN ACCORDANCE WITH THE PROVISIONS OF THE LEY DEL MERCADO DE-VALORES, INCLUDING THE REPORT REFERRED TO IN ARTICLE 172, PARAGRAPH B) OF THE- LEY GENERAL DE SOCIEDADES MERCANTILES, WHICH CONTAINS THE MAIN ACCOUNTING-POLICIES AND CRITERIA AND OF INFORMATION FOLLOWED IN THE PREPARATION OF THE-FINANCIAL INFORMATION, WHICH IN TURN INCLUDES THE AUDITED, INDIVIDUAL AND-CONSOLIDATED FINANCIAL STATEMENTS OF GRUPO RADIO CENTRO, S.A.B. DE C.V., AS-OF DECEMBER 31, 2018. RESOLUTIONS | Non-Voting | ||||||||||||||||||||||||
II | RESOLUTION ON THE APPLICATION OF RESULTS, THEIR DISCUSSION AND APPROVAL, IF-APPROPRIATE | Non-Voting | ||||||||||||||||||||||||
III | RESIGNATION, APPOINTMENT AND/OR RATIFICATION OF THE MEMBERS AND ALTERNATE-MEMBERS OF THE BOARD OF DIRECTORS, ITS PRESIDENT, SECRETARY AND ALTERNATE- SECRETARY, AFTER QUALIFICATION | Non-Voting | ||||||||||||||||||||||||
ON THE INDEPENDENCE OF THE MEMBERS-CORRESPONDING THERETO. WAIVER, APPOINTMENT AND/OR RATIFICATION OF THE MEMBERS-OF THE EXECUTIVE COMMITTEE, AUDIT COMMITTEE AND CORPORATE PRACTICES-COMMITTEE, INCLUDING THE PRESIDENTS OF THE LAST TWO. FIXING OF EMOLUMENTS | ||||||||||||||||||||||||||
IV | PROPOSAL FOR THE DETERMINATION OF THE AMOUNT OF THE CAPITAL THAT MAY AFFECT-THE PURCHASE OF OWN SHARES, IN TERMS OF THE APPLICABLE LEGAL ORDER | Non-Voting | ||||||||||||||||||||||||
V | DESIGNATION OF DELEGATES TO COMPLY AND FORMALIZE THE RESOLUTIONS ADOPTED AT-THE ASSEMBLY | Non-Voting | ||||||||||||||||||||||||
CMMT | PLEASE NOTE THAT ONLY MEXICAN NATIONALS HAVE VOTING RIGHTS AT THIS MEETING.-IF YOU ARE A MEXICAN NATIONAL AND WOULD LIKE TO SUBMIT YOUR VOTE ON THIS-MEETING PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE. THANK YOU | Non-Voting | ||||||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
ITH1 | 208,234 | 0 | ||||||||||||||||||||||||
BECLE, S.A.B. DE C.V. | ||||||||||||||||||||||||||
Security | P0929Y106 | Meeting Type | Ordinary General Meeting | |||||||||||||||||||||||
Ticker Symbol | Meeting Date | 30-Apr-2019 | ||||||||||||||||||||||||
ISIN | MX01CU010003 | Agenda | 710945291 - Management | |||||||||||||||||||||||
Record Date | 22-Apr-2019 | Holding Recon Date | 22-Apr-2019 | |||||||||||||||||||||||
City / | Country | MEXICO CITY | / | Mexico | Vote Deadline Date | 24-Apr-2019 | ||||||||||||||||||||
SEDOL(s) | BDSHT51 - BYM4063 - BYWPH76 | Quick Code | ||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
I | PRESENTATION AND, IF ANY, THE APPROVAL OF THE REPORTS REFERRED TO IN ARTICLE 28, FRACTION IV OF THE LEY DEL MERCADO DE VALORES, INCLUDING THE PRESENTATION OF THE COMPANY'S FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED ON DECEMBER 31, 2018, AND RESOLUTIONS ON THE MANAGEMENT OF THE BOARD OF DIRECTORS, COMMITTEES AND DIRECTOR GENERAL OF THE COMPANY | Management | For | For | For | |||||||||||||||||||||
II | PRESENTATION OF THE REPORT ON THE COMPLIANCE WITH THE COMPANY'S FISCAL OBLIGATIONS, IN COMPLIANCE WITH THE APPLICABLE LEGAL PROVISIONS | Management | For | For | For | |||||||||||||||||||||
III | RESOLUTIONS ON THE APPLICATION OF RESULTS FOR THE YEAR ENDED ON DECEMBER 31, 2018, INCLUDING THE DECREE AND PAYMENT OF DIVIDENDS | Management | For | For | For | |||||||||||||||||||||
IV | DISCUSSION AND, WHERE APPROPRIATE, APPROVAL OF (I) THE AMOUNT THAT MAY BE INTENDED FOR THE PURCHASE OF OWN SHARES IN TERMS OF THE PROVISIONS OF ARTICLE 56, FRACTION IV OF THE SECURITIES MARKET LAW. AND (II) THE REPORT ON THE POLICIES AND AGREEMENTS ADOPTED BY THE BOARD OF DIRECTORS OF THE COMPANY, IN RELATION TO THE PURCHASE AND SALE OF SUCH SHARES | Management | For | For | For | |||||||||||||||||||||
V | APPOINTMENT AND/OR RATIFICATION, IN THE EVENT OF THE PEOPLE WHO WILL INTEGRATE THE BOARD OF DIRECTORS, THE SECRETARY AND THE OFFICIALS | Management | For | For | For | |||||||||||||||||||||
VI | APPOINTMENT AND/OR RATIFICATION, IF ANY, OF THE CHAIRMAN OF THE AUDIT COMMITTEE AND CORPORATE PRACTICES | Management | For | For | For | |||||||||||||||||||||
VII | REMUNERATION TO THE MEMBERS OF THE BOARD OF DIRECTORS AND THE AUDIT COMMITTEE AND CORPORATE PRACTICES, AS WELL AS THE SECRETARY | Management | For | For | For | |||||||||||||||||||||
VIII | DISCUSSION AND, IF APPROPRIATE, APPROVAL OF THE PARTIAL CANCELLATION OF SHARES ACQUIRED WITH RESOURCES FROM THE REPURCHASE FUND OF OWN SHARES, AND THE CONSEQUENT REDUCTION OF THE VARIABLE PART OF THE COMPANY'S EQUITY | Management | For | For | For | |||||||||||||||||||||
IX | DESIGNATION OF DELEGATES TO COMPLY WITH AND FORMALIZE THE RESOLUTIONS TAKEN BY THIS ASSEMBLY | Management | For | For | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
ITH1 | 740,000 | 0 | 16-Apr-2019 | 25-Apr-2019 | ||||||||||||||||||||||
BECLE, S.A.B. DE C.V. | ||||||||||||||||||||||||||
Security | P0929Y106 | Meeting Type | ExtraOrdinary General Meeting | |||||||||||||||||||||||
Ticker Symbol | Meeting Date | 30-Apr-2019 | ||||||||||||||||||||||||
ISIN | MX01CU010003 | Agenda | 710945304 - Management | |||||||||||||||||||||||
Record Date | 22-Apr-2019 | Holding Recon Date | 22-Apr-2019 | |||||||||||||||||||||||
City / | Country | MEXICO CITY | / | Mexico | Vote Deadline Date | 24-Apr-2019 | ||||||||||||||||||||
SEDOL(s) | BDSHT51 - BYM4063 - BYWPH76 | Quick Code | ||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
I | THE REFORM OF THE ARTICLES: A) TWELFTH PARAGRAPH TWENTY, B) TWENTY-SECOND AND C) TWENTY- NINTH, THESE TWO LAST, IN ADDITION TO ADD A PARAGRAPH, OF THE COMPANY'S BY-LAWS | Management | For | For | For | |||||||||||||||||||||
II | DESIGNATION OF DELEGATES TO COMPLY WITH AND FORMALIZE THE RESOLUTIONS TAKEN BY THIS ASSEMBLY | Management | For | For | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
ITH1 | 740,000 | 0 | 16-Apr-2019 | 25-Apr-2019 | ||||||||||||||||||||||
FRESH DEL MONTE PRODUCE INC. | ||||||||||||||||||||||||||
Security | G36738105 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | FDP | Meeting Date | 01-May-2019 | |||||||||||||||||||||||
ISIN | KYG367381053 | Agenda | 934976436 - Management | |||||||||||||||||||||||
Record Date | 12-Mar-2019 | Holding Recon Date | 12-Mar-2019 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 30-Apr-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1.1 | Election of Director: Amir Abu-Ghazaleh | Management | Against | For | Against | |||||||||||||||||||||
1.2 | Election of Director: Mary Ann Cloyd | Management | Against | For | Against | |||||||||||||||||||||
2. | Proposal to approve and adopt the Company's financial statements for the fiscal year ended December 28, 2018 | Management | For | For | For | |||||||||||||||||||||
3. | Proposal to ratify the appointment of Ernst & Young LLP as independent registered certified public accounting firm to the Company for the fiscal year ending December 27, 2019 | Management | For | For | For | |||||||||||||||||||||
4. | Proposal to approve, by non-binding vote, executive compensation for the 2018 fiscal year | Management | Against | For | Against | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 42,500 | 0 | 16-Apr-2019 | 02-May-2019 | ||||||||||||||||||||||
POPULAR, INC. | ||||||||||||||||||||||||||
Security | 733174700 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | BPOP | Meeting Date | 07-May-2019 | |||||||||||||||||||||||
ISIN | PR7331747001 | Agenda | 934951294 - Management | |||||||||||||||||||||||
Record Date | 08-Mar-2019 | Holding Recon Date | 08-Mar-2019 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 06-May-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1a) | Election of Class 2 Director: Joaquín E. Bacardí, III | Management | For | For | For | |||||||||||||||||||||
1b) | Election of Class 2 Director: Robert Carrady | Management | For | For | For | |||||||||||||||||||||
1c) | Election of Class 2 Director: John W. Diercksen | Management | For | For | For | |||||||||||||||||||||
1d) | Election of Class 2 Director: Myrna M. Soto | Management | For | For | For | |||||||||||||||||||||
2) | To approve, on an advisory basis, the Corporation's executive compensation. | Management | For | For | For | |||||||||||||||||||||
3) | To ratify the appointment of PricewaterhouseCoopers LLP as the Corporation's independent registered public accounting firm for 2019. | Management | For | For | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 55,230 | 0 | 30-Apr-2019 | 08-May-2019 | ||||||||||||||||||||||
CARIBBEAN UTILITIES COMPANY, LTD. | ||||||||||||||||||||||||||
Security | G1899E146 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | CUPUF | Meeting Date | 09-May-2019 | |||||||||||||||||||||||
ISIN | KYG1899E1465 | Agenda | 934962348 - Management | |||||||||||||||||||||||
Record Date | 11-Mar-2019 | Holding Recon Date | 11-Mar-2019 | |||||||||||||||||||||||
City / | Country | / | Cayman Islands | Vote Deadline Date | 06-May-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1 | DIRECTOR | Management | ||||||||||||||||||||||||
1 | J. Bryan Bothwell | Withheld | For | Against | ||||||||||||||||||||||
2 | Alphonsus Delaney | Withheld | For | Against | ||||||||||||||||||||||
3 | Jennifer P. Dilbert | Withheld | For | Against | ||||||||||||||||||||||
4 | Sheree L. Ebanks | Withheld | For | Against | ||||||||||||||||||||||
5 | Woodrow S. Foster | Withheld | For | Against | ||||||||||||||||||||||
6 | Sophia Harris | Withheld | For | Against | ||||||||||||||||||||||
7 | J.F. Richard Hew | Withheld | For | Against | ||||||||||||||||||||||
8 | Mark MacFee | Withheld | For | Against | ||||||||||||||||||||||
9 | Eddinton M. Powell | Withheld | For | Against | ||||||||||||||||||||||
10 | David E. Ritch | Withheld | For | Against | ||||||||||||||||||||||
11 | Gary J. Smith | Withheld | For | Against | ||||||||||||||||||||||
12 | Peter A. Thomson | Withheld | For | Against | ||||||||||||||||||||||
13 | Lynn R. Young | Withheld | For | Against | ||||||||||||||||||||||
2 | Appointment of Deloitte LLP as Auditors. | Management | For | For | For | |||||||||||||||||||||
3 | Approval of Revised Directors Compensation. | Management | Against | For | Against | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 12,000 | 0 | 30-Apr-2019 | 10-May-2019 | ||||||||||||||||||||||
MARTIN MARIETTA MATERIALS, INC. | ||||||||||||||||||||||||||
Security | 573284106 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | MLM | Meeting Date | 09-May-2019 | |||||||||||||||||||||||
ISIN | US5732841060 | Agenda | 934993115 - Management | |||||||||||||||||||||||
Record Date | 08-Mar-2019 | Holding Recon Date | 08-Mar-2019 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 08-May-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1.1 | Election of Director: Dorothy M. Ables | Management | For | For | For | |||||||||||||||||||||
1.2 | Election of Director: Sue W. Cole | Management | For | For | For | |||||||||||||||||||||
1.3 | Election of Director: Smith W. Davis | Management | For | For | For | |||||||||||||||||||||
1.4 | Election of Director: John J. Koraleski | Management | For | For | For | |||||||||||||||||||||
1.5 | Election of Director: C. Howard Nye | Management | For | For | For | |||||||||||||||||||||
1.6 | Election of Director: Laree E. Perez | Management | For | For | For | |||||||||||||||||||||
1.7 | Election of Director: Michael J. Quillen | Management | For | For | For | |||||||||||||||||||||
1.8 | Election of Director: Donald W. Slager | Management | For | For | For | |||||||||||||||||||||
1.9 | Election of Director: Stephen P. Zelnak, Jr. | Management | For | For | For | |||||||||||||||||||||
2. | Ratification of selection of PricewaterhouseCoopers as independent auditors. | Management | For | For | For | |||||||||||||||||||||
3. | Approval, by a non-binding advisory vote, of the compensation of Martin Marietta Materials, Inc.'s named executive officers. | Management | For | For | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 3,000 | 0 | 06-May-2019 | 10-May-2019 | ||||||||||||||||||||||
VULCAN MATERIALS COMPANY | ||||||||||||||||||||||||||
Security | 929160109 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | VMC | Meeting Date | 10-May-2019 | |||||||||||||||||||||||
ISIN | US9291601097 | Agenda | 934951357 - Management | |||||||||||||||||||||||
Record Date | 13-Mar-2019 | Holding Recon Date | 13-Mar-2019 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 09-May-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1a. | Election of Director: Kathleen L. Quirk | Management | For | For | For | |||||||||||||||||||||
1b. | Election of Director: David P. Steiner | Management | For | For | For | |||||||||||||||||||||
1c. | Election of Director: Lee J. Styslinger, III | Management | For | For | For | |||||||||||||||||||||
2. | Approval, on an advisory basis, of the compensation of our named executive officers. | Management | For | For | For | |||||||||||||||||||||
3. | Ratification of the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for 2019. | Management | For | For | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 5,000 | 0 | 06-May-2019 | 13-May-2019 | ||||||||||||||||||||||
MARRIOTT VACATIONS WORLDWIDE CORPORATION | ||||||||||||||||||||||||||
Security | 57164Y107 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | VAC | Meeting Date | 10-May-2019 | |||||||||||||||||||||||
ISIN | US57164Y1073 | Agenda | 934959961 - Management | |||||||||||||||||||||||
Record Date | 18-Mar-2019 | Holding Recon Date | 18-Mar-2019 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 09-May-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||
1 | Raymond L. Gellein, Jr. | For | For | For | ||||||||||||||||||||||
2 | Thomas J. Hutchison,III | For | For | For | ||||||||||||||||||||||
3 | Dianna F. Morgan | For | For | For | ||||||||||||||||||||||
2. | Ratification of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for its 2019 fiscal year. | Management | For | For | For | |||||||||||||||||||||
3. | An advisory resolution to approve executive compensation as described in the Proxy Statement for the Annual Meeting. | Management | For | For | For | |||||||||||||||||||||
4. | To recommend by advisory vote, the frequency of future advisory votes on executive compensation. | Management | 1 Year | 1 Year | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 16,745 | 0 | 06-May-2019 | 13-May-2019 | ||||||||||||||||||||||
FIRST BANCORP | ||||||||||||||||||||||||||
Security | 318672706 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | FBP | Meeting Date | 16-May-2019 | |||||||||||||||||||||||
ISIN | PR3186727065 | Agenda | 934974355 - Management | |||||||||||||||||||||||
Record Date | 27-Mar-2019 | Holding Recon Date | 27-Mar-2019 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 15-May-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1A. | Election of Director: Juan Acosta Reboyras | Management | For | For | For | |||||||||||||||||||||
1B. | Election of Director: Aurelio Alemàn | Management | For | For | For | |||||||||||||||||||||
1C. | Election of Director: Luz A. Crespo | Management | For | For | For | |||||||||||||||||||||
1D. | Election of Director: Tracey Dedrick | Management | For | For | For | |||||||||||||||||||||
1E. | Election of Director: Daniel E. Frye | Management | For | For | For | |||||||||||||||||||||
1F. | Election of Director: Robert T. Gormley | Management | For | For | For | |||||||||||||||||||||
1G. | Election of Director: John A. Heffern | Management | For | For | For | |||||||||||||||||||||
1H. | Election of Director: Roberto R. Herencia | Management | For | For | For | |||||||||||||||||||||
1I. | Election of Director: José Menéndez- Cortada | Management | For | For | For | |||||||||||||||||||||
2. | To approve on a non-binding basis the 2018 compensation of First Bancorp's named executive officers ("NEOs'). | Management | For | For | For | |||||||||||||||||||||
3. | To ratify the appointment of Crowe LLP as our independent registered public accounting firm for our 2019 fiscal year. | Management | For | For | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 264,477 | 0 | 08-May-2019 | 17-May-2019 | ||||||||||||||||||||||
CONSOLIDATED WATER CO. LTD. | ||||||||||||||||||||||||||
Security | G23773107 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | CWCO | Meeting Date | 21-May-2019 | |||||||||||||||||||||||
ISIN | KYG237731073 | Agenda | 934976765 - Management | |||||||||||||||||||||||
Record Date | 19-Mar-2019 | Holding Recon Date | 19-Mar-2019 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 20-May-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||
1 | Linda B. D'Aguilar | Withheld | For | Against | ||||||||||||||||||||||
2 | Brian E. Butler | Withheld | For | Against | ||||||||||||||||||||||
2. | An advisory vote on executive compensation. | Management | For | For | For | |||||||||||||||||||||
3. | The ratification of the selection of Marcum LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2019, at the remuneration to be determined by the Audit Committee of the Board of Directors. | Management | For | For | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 121,638 | 0 | 13-May-2019 | 22-May-2019 | ||||||||||||||||||||||
PGT INNOVATIONS, INC. | ||||||||||||||||||||||||||
Security | 69336V101 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | PGTI | Meeting Date | 22-May-2019 | |||||||||||||||||||||||
ISIN | US69336V1017 | Agenda | 935016142 - Management | |||||||||||||||||||||||
Record Date | 16-Apr-2019 | Holding Recon Date | 16-Apr-2019 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 21-May-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1.1 | Election of Class I Director: Alexander R. Castaldi | Management | For | For | For | |||||||||||||||||||||
1.2 | Election of Class I Director: William J. Morgan | Management | For | For | For | |||||||||||||||||||||
2. | To ratify the selection of KPMG LLP as the Company's independent registered public accounting firm for the 2019 fiscal year. | Management | For | For | For | |||||||||||||||||||||
3. | To approve the PGT Innovations, Inc. 2019 Employee Stock Purchase Plan. | Management | Against | For | Against | |||||||||||||||||||||
4. | To approve the PGT Innovations, Inc. 2019 Equity and Incentive Compensation Plan. | Management | Against | For | Against | |||||||||||||||||||||
5. | To approve the compensation of our Named Executive Officers (NEOs), on an advisory basis. | Management | Against | For | Against | |||||||||||||||||||||
6. | To vote on the frequency of the vote on the compensation of our NEOs, on an advisory basis. | Management | 1 Year | 1 Year | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 60,170 | 0 | 10-May-2019 | 23-May-2019 | ||||||||||||||||||||||
MASTEC, INC. | ||||||||||||||||||||||||||
Security | 576323109 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | MTZ | Meeting Date | 23-May-2019 | |||||||||||||||||||||||
ISIN | US5763231090 | Agenda | 934955937 - Management | |||||||||||||||||||||||
Record Date | 18-Mar-2019 | Holding Recon Date | 18-Mar-2019 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 22-May-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||
1 | Robert J. Dwyer | For | For | For | ||||||||||||||||||||||
2 | Jose S. Sorzano | For | For | For | ||||||||||||||||||||||
3 | C. Robert Campbell | For | For | For | ||||||||||||||||||||||
2. | Ratification of the appointment of BDO USA, LLP as our independent registered public accounting firm for 2019. | Management | For | For | For | |||||||||||||||||||||
3. | Approval of a non-binding advisory resolution regarding the compensation of our named executive officers. | Management | Against | For | Against | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 117,297 | 0 | 13-May-2019 | 24-May-2019 | ||||||||||||||||||||||
EVERTEC, INC. | ||||||||||||||||||||||||||
Security | 30040P103 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | EVTC | Meeting Date | 23-May-2019 | |||||||||||||||||||||||
ISIN | PR30040P1032 | Agenda | 934979406 - Management | |||||||||||||||||||||||
Record Date | 28-Mar-2019 | Holding Recon Date | 28-Mar-2019 | |||||||||||||||||||||||
City / | Country | / | Puerto Rico | Vote Deadline Date | 22-May-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1a. | Election of Director: Frank G. D'Angelo | Management | For | For | For | |||||||||||||||||||||
1b. | Election of Director: Morgan M. Schuessler, Jr. | Management | For | For | For | |||||||||||||||||||||
1c. | Election of Director: Olga Botero | Management | For | For | For | |||||||||||||||||||||
1d. | Election of Director: Jorge A. Junquera | Management | For | For | For | |||||||||||||||||||||
1e. | Election of Director: Iván Pagán | Management | For | For | For | |||||||||||||||||||||
1f. | Election of Director: Aldo J. Polak | Management | For | For | For | |||||||||||||||||||||
1g. | Election of Director: Alan H. Schumacher | Management | For | For | For | |||||||||||||||||||||
1h. | Election of Director: Brian J. Smith | Management | For | For | For | |||||||||||||||||||||
1i. | Election of Director: Thomas W. Swidarski | Management | For | For | For | |||||||||||||||||||||
2. | Advisory Vote on Executive Compensation. | Management | For | For | For | |||||||||||||||||||||
3. | Ratification of the Appointment of Deloitte & Touche LLP as the Company's Independent Registered Public Accounting Firm. | Management | For | For | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 21,356 | 0 | 13-May-2019 | 24-May-2019 | ||||||||||||||||||||||
NEXTERA ENERGY, INC. | ||||||||||||||||||||||||||
Security | 65339F101 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | NEE | Meeting Date | 23-May-2019 | |||||||||||||||||||||||
ISIN | US65339F1012 | Agenda | 934983710 - Management | |||||||||||||||||||||||
Record Date | 26-Mar-2019 | Holding Recon Date | 26-Mar-2019 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 22-May-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1a. | Election of Director: Sherry S. Barrat | Management | Against | For | Against | |||||||||||||||||||||
1b. | Election of Director: James L. Camaren | Management | Against | For | Against | |||||||||||||||||||||
1c. | Election of Director: Kenneth B. Dunn | Management | Against | For | Against | |||||||||||||||||||||
1d. | Election of Director: Naren K. Gursahaney | Management | Against | For | Against | |||||||||||||||||||||
1e. | Election of Director: Kirk S. Hachigian | Management | Against | For | Against | |||||||||||||||||||||
1f. | Election of Director: Toni Jennings | Management | Against | For | Against | |||||||||||||||||||||
1g. | Election of Director: Amy B. Lane | Management | Against | For | Against | |||||||||||||||||||||
1h. | Election of Director: James L. Robo | Management | Against | For | Against | |||||||||||||||||||||
1i. | Election of Director: Rudy E. Schupp | Management | Against | For | Against | |||||||||||||||||||||
1j. | Election of Director: John L. Skolds | Management | Against | For | Against | |||||||||||||||||||||
1k. | Election of Director: William H. Swanson | Management | Against | For | Against | |||||||||||||||||||||
1l. | Election of Director: Hansel E. Tookes, II | Management | Against | For | Against | |||||||||||||||||||||
1m. | Election of Director: Darryl L. Wilson | Management | Against | For | Against | |||||||||||||||||||||
2. | Ratification of appointment of Deloitte & Touche LLP as NextEra Energy's independent registered public accounting firm for 2019 | Management | For | For | For | |||||||||||||||||||||
3. | Approval, by non-binding advisory vote, of NextEra Energy's compensation of its named executive officers as disclosed in the proxy statement | Management | Against | For | Against | |||||||||||||||||||||
4. | A proposal by the Comptroller of the State of New York, Thomas P. DiNapoli, entitled "Political Contributions Disclosure" to request semiannual reports disclosing political contribution policies and expenditures | Shareholder | For | Against | Against | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 6,000 | 0 | 13-May-2019 | 24-May-2019 | ||||||||||||||||||||||
ROYAL CARIBBEAN CRUISES LTD. | ||||||||||||||||||||||||||
Security | V7780T103 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | RCL | Meeting Date | 30-May-2019 | |||||||||||||||||||||||
ISIN | LR0008862868 | Agenda | 934999852 - Management | |||||||||||||||||||||||
Record Date | 10-Apr-2019 | Holding Recon Date | 10-Apr-2019 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 29-May-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1a. | Election of Director: John F. Brock | Management | Against | For | Against | |||||||||||||||||||||
1b. | Election of Director: Richard D. Fain | Management | Against | For | Against | |||||||||||||||||||||
1c. | Election of Director: Stephen R. Howe, Jr. | Management | Against | For | Against | |||||||||||||||||||||
1d. | Election of Director: William L. Kimsey | Management | Against | For | Against | |||||||||||||||||||||
1e. | Election of Director: Maritza G. Montiel | Management | Against | For | Against | |||||||||||||||||||||
1f. | Election of Director: Ann S. Moore | Management | Against | For | Against | |||||||||||||||||||||
1g. | Election of Director: Eyal M. Ofer | Management | Against | For | Against | |||||||||||||||||||||
1h. | Election of Director: Thomas J. Pritzker | Management | Against | For | Against | |||||||||||||||||||||
1i. | Election of Director: William K. Reilly | Management | Against | For | Against | |||||||||||||||||||||
1j. | Election of Director: Vagn O. Sørensen | Management | Against | For | Against | |||||||||||||||||||||
1k. | Election of Director: Donald Thompson | Management | Against | For | Against | |||||||||||||||||||||
1l. | Election of Director: Arne Alexander Wilhelmsen | Management | Against | For | Against | |||||||||||||||||||||
2. | Advisory approval of the Company's compensation of its named executive officers. | Management | Against | For | Against | |||||||||||||||||||||
3. | Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for 2019. | Management | For | For | For | |||||||||||||||||||||
4. | The shareholder proposal regarding political contributions disclosure. | Shareholder | For | Against | Against | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 31,229 | 0 | 13-May-2019 | 31-May-2019 | ||||||||||||||||||||||
WATSCO, INC. | ||||||||||||||||||||||||||
Security | 942622200 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | WSO | Meeting Date | 03-Jun-2019 | |||||||||||||||||||||||
ISIN | US9426222009 | Agenda | 935010556 - Management | |||||||||||||||||||||||
Record Date | 05-Apr-2019 | Holding Recon Date | 05-Apr-2019 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 31-May-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||
1 | Brian E. Keeley | For | For | For | ||||||||||||||||||||||
2 | Steven (Slava) Rubin | For | For | For | ||||||||||||||||||||||
2. | To approve a non-binding advisory resolution regarding the compensation of our named executive officers. | Management | Against | For | Against | |||||||||||||||||||||
3. | To ratify the appointment of KPMG LLP as our independent registered public accounting firm for the 2019 fiscal year. | Management | For | For | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 8,000 | 0 | 28-May-2019 | 04-Jun-2019 | ||||||||||||||||||||||
SPANISH BROADCASTING SYSTEM, INC. | ||||||||||||||||||||||||||
Security | 846425833 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | SBSAA | Meeting Date | 06-Jun-2019 | |||||||||||||||||||||||
ISIN | US8464258339 | Agenda | 935004628 - Management | |||||||||||||||||||||||
Record Date | 09-Apr-2019 | Holding Recon Date | 09-Apr-2019 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 05-Jun-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||
1 | Raúl Alarcón | Withheld | For | Against | ||||||||||||||||||||||
2 | Joseph A. García | Withheld | For | Against | ||||||||||||||||||||||
3 | Manuel E. Machado | Withheld | For | Against | ||||||||||||||||||||||
4 | Jason L. Shrinsky | Withheld | For | Against | ||||||||||||||||||||||
5 | José A. Villamil | Withheld | For | Against | ||||||||||||||||||||||
6 | Mitchell A. Yelen | Withheld | For | Against | ||||||||||||||||||||||
2. | To approve, on an advisory basis, the compensation of our named executive officers. | Management | Against | For | Against | |||||||||||||||||||||
3. | To recommend, by non-binding vote, the frequency of executive compensation votes. | Management | 1 Year | 3 Years | Against | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 32,272 | 0 | 28-May-2019 | 07-Jun-2019 | ||||||||||||||||||||||
ERA GROUP INC. | ||||||||||||||||||||||||||
Security | 26885G109 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | ERA | Meeting Date | 06-Jun-2019 | |||||||||||||||||||||||
ISIN | US26885G1094 | Agenda | 935022296 - Management | |||||||||||||||||||||||
Record Date | 18-Apr-2019 | Holding Recon Date | 18-Apr-2019 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 05-Jun-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||
1 | Charles Fabrikant | Withheld | For | Against | ||||||||||||||||||||||
2 | Christopher Bradshaw | Withheld | For | Against | ||||||||||||||||||||||
3 | Ann Fairbanks | Withheld | For | Against | ||||||||||||||||||||||
4 | Christopher Papouras | Withheld | For | Against | ||||||||||||||||||||||
5 | Yueping Sun | Withheld | For | Against | ||||||||||||||||||||||
6 | Steven Webster | Withheld | For | Against | ||||||||||||||||||||||
2. | Advisory Vote to Approve Named Executive Ofiicer Compensation. | Management | Against | For | Against | |||||||||||||||||||||
3. | Advisory Vote on the Frequency of Holding the Advisory Vote to Approve Named Executive Officer Compensation. | Management | 1 Year | 1 Year | For | |||||||||||||||||||||
4. | Ratification of the Appointment of Grant Thornton LLP as the Company's Independent Registered Public Accounting Firm for the Fiscal Year Ending December 31, 2019. | Management | For | For | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 13,474 | 0 | 28-May-2019 | 07-Jun-2019 | ||||||||||||||||||||||
NORWEGIAN CRUISE LINE HOLDINGS LTD. | ||||||||||||||||||||||||||
Security | G66721104 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | NCLH | Meeting Date | 13-Jun-2019 | |||||||||||||||||||||||
ISIN | BMG667211046 | Agenda | 935012295 - Management | |||||||||||||||||||||||
Record Date | 01-Apr-2019 | Holding Recon Date | 01-Apr-2019 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 12-Jun-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1a. | Election of Class III Director: Frank J. Del Rio | Management | Against | For | Against | |||||||||||||||||||||
1b. | Election of Class III Director: Chad A. Leat | Management | Against | For | Against | |||||||||||||||||||||
1c. | Election of Class III Director: Steve Martinez | Management | Against | For | Against | |||||||||||||||||||||
1d. | Election of Class III Director: Pamela Thomas-Graham | Management | For | For | For | |||||||||||||||||||||
2. | Approval, on a non-binding, advisory basis, of the compensation of our named executive officers | Management | Against | For | Against | |||||||||||||||||||||
3. | Approval of the amendment and restatement of our bye-laws to delete obsolete provisions | Management | For | For | For | |||||||||||||||||||||
4. | Ratification of the appointment of PricewaterhouseCoopers LLP ("PwC") as our independent registered public accounting firm for the year ending December 31, 2019 and the determination of PwC's remuneration by our Audit Committee | Management | For | For | For | |||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 56,944 | 0 | 03-Jun-2019 | 14-Jun-2019 | ||||||||||||||||||||||
CUBAN ELECTRIC COMPANY | ||||||||||||||||||||||||||
Security | 229615109 | Meeting Type | Annual | |||||||||||||||||||||||
Ticker Symbol | Meeting Date | 17-Jun-2019 | ||||||||||||||||||||||||
ISIN | US2296151093 | Agenda | 935036334 - Management | |||||||||||||||||||||||
Record Date | 14-May-2019 | Holding Recon Date | 14-May-2019 | |||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 14-Jun-2019 | |||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||
1 | N. David Bleisch | For | For | For | ||||||||||||||||||||||
2 | Joseph T. Lower | For | For | For | ||||||||||||||||||||||
3 | Irving Littman | For | For | For | ||||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997ITH1 | 700 | 0 | 03-Jun-2019 | 18-Jun-2019 | ||||||||||||||||||||||
GRUPO RADIO CENTRO SAB DE CV | ||||||||||||||||||||||||||
Security | P4983X160 | Meeting Type | Ordinary General Meeting | |||||||||||||||||||||||
Ticker Symbol | Meeting Date | 18-Jun-2019 | ||||||||||||||||||||||||
ISIN | MXP680051218 | Agenda | 711274364 - Management | |||||||||||||||||||||||
Record Date | 10-Jun-2019 | Holding Recon Date | 10-Jun-2019 | |||||||||||||||||||||||
City / | Country | MEXICO CITY | / | Mexico | Vote Deadline Date | 10-Jun-2019 | ||||||||||||||||||||
SEDOL(s) | 2393377 - B02VBM9 | Quick Code | ||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||||||||||||
I | PRESENTATION AND, IF ANY, APPROVAL OF (1) THE ANNUAL REPORTS ON THE-ACTIVITIES OF THE T AUDIT COMMITTEE AND CORPORATE PRACTICES COMMITTEE FOR THE- FISCAL YEAR ENDED DECEMBER 31, 2018, (2) THE REPORT OF THE GENERAL DIRECTOR-PREPARED IN ACCORDANCE WITH ARTICLE 172 OF THE LEY GENERAL DE SOCIEDADES- MERCANTILES, ACCOMPANIED BY THE OPINION OF THE EXTERNAL AUDITOR FOR THE SAME-YEAR, AND, (3) THE OPINION OF THE BOARD OF DIRECTORS ON THE CONTENTS OF THE-GENERAL DIRECTOR'S REPORT AND HIS REPORT ON OPERATIONS AND ACTIVITIES IN-WHICH IT HAS INTERVENED IN ACCORDANCE WITH THE PROVISIONS OF THE LEY DEL- MERCADO DE VALORES, INCLUDING THE REPORT REFERRED TO IN ARTICLE 172,-PARAGRAPH B) OF THE LEY GENERAL DE SOCIEDADES MERCANTILES, WHICH CONTAINS THE- MAIN ACCOUNTING POLICIES AND CRITERIA AND OF INFORMATION FOLLOWED IN THE-PREPARATION OF THE FINANCIAL INFORMATION, WHICH IN TURN INCLUDES THE AUDITED,- INDIVIDUAL AND CONSOLIDATED FINANCIAL STATEMENTS OF GRUPO RADIO CENTRO,-S.A.B. DE C.V., AS OF DECEMBER 31, 2018. RESOLUTIONS | Non-Voting | ||||||||||||||||||||||||
II | RESOLUTION ON THE APPLICATION OF RESULTS, THEIR DISCUSSION AND APPROVAL, IF-APPROPRIATE | Non-Voting | ||||||||||||||||||||||||
III | RESIGNATION, APPOINTMENT AND/OR RATIFICATION OF THE MEMBERS AND ALTERNATE-MEMBERS OF THE BOARD OF DIRECTORS, ITS PRESIDENT, SECRETARY AND ALTERNATE- SECRETARY, AFTER QUALIFICATION | Non-Voting | ||||||||||||||||||||||||
ON THE INDEPENDENCE OF THE MEMBERS-CORRESPONDING THERETO. WAIVER, APPOINTMENT AND/OR RATIFICATION OF THE MEMBERS-OF THE EXECUTIVE COMMITTEE, AUDIT COMMITTEE AND CORPORATE PRACTICES-COMMITTEE, INCLUDING THE PRESIDENTS OF THE LAST TWO. FIXING OF EMOLUMENTS | ||||||||||||||||||||||||||
IV | PROPOSAL FOR THE DETERMINATION OF THE AMOUNT OF THE CAPITAL THAT MAY AFFECT-THE PURCHASE OF OWN SHARES, IN TERMS OF THE APPLICABLE LEGAL ORDER | Non-Voting | ||||||||||||||||||||||||
V | DESIGNATION OF DELEGATES TO COMPLY AND FORMALIZE THE RESOLUTIONS ADOPTED AT-THE ASSEMBLY | Non-Voting | ||||||||||||||||||||||||
CMMT | PLEASE NOTE THAT ONLY MEXICAN NATIONALS HAVE VOTING RIGHTS AT THIS MEETING.-IF YOU ARE A MEXICAN NATIONAL AND WOULD LIKE TO SUBMIT YOUR VOTE ON THIS-MEETING PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE. THANK YOU | Non-Voting | ||||||||||||||||||||||||
CMMT | 04 JUN 2019: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE-TEXT OF RESOLUTION 1. THANK YOU | Non-Voting | ||||||||||||||||||||||||
Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
ITH1 | 208,234 | 0 |
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
(Registrant) | The Herzfeld Caribbean Basin Fund, Inc. | |
By (Signature and Title)* | /s/ Erik M. Herzfeld - President | |
Date | August 28, 2019 |
* | Print the name and title of each signing officer. |