UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act file number 811-06445
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: July 1, 2019 – June 30, 2020
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (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
SIDERURGICA VENEZOLANA "SIVENSA", S.A. | |||||||||||||
Security | 825865702 | Meeting Type | Annual | ||||||||||
Ticker Symbol | SDNWY | Meeting Date | 05-Dec-2019 | ||||||||||
ISIN | US8258657027 | Agenda | 935103779 - Management | ||||||||||
Record Date | 04-Nov-2019 | Holding Recon Date | 04-Nov-2019 | ||||||||||
City / | Country | / | United States | Vote Deadline Date | 27-Nov-2019 | ||||||||
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, 2019, 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 | |||||||||
FOMENTO ECONOMICO MEXICANO S.A.B. DE CV | |||||||||||||
Security | 344419106 | Meeting Type | Annual | ||||||||||
Ticker Symbol | FMX | Meeting Date | 20-Mar-2020 | ||||||||||
ISIN | US3444191064 | Agenda | 935139104 - Management | ||||||||||
Record Date | 28-Feb-2020 | Holding Recon Date | 28-Feb-2020 | ||||||||||
City / | Country | / | United States | Vote Deadline Date | 17-Mar-2020 | ||||||||
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 2019 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 report of the operations and activities of the ...(due to space limits, see proxy material for full proposal). | Management | Abstain | None | |||||||||
II | Application of the results for the 2019 fiscal year of the Company, which will include a dividend declaration and payment in cash, in Mexican pesos. | Management | Abstain | None | |||||||||
III | Proposal to determine the maximum amount for the Company's stock repurchase fund kept pursuant to article 56 subsection IV of the Law. | Management | Abstain | None | |||||||||
IV | Election of the 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 | Abstain | None | |||||||||
V | Election of members of the following committees: (i) strategy and finance, (ii) audit, and (iii) corporate practices of the Company; appointment of each of their respective chairman, and resolution with respect to their remuneration. | Management | Abstain | None | |||||||||
VI | Appointment of delegates for the formalization of the Meeting's resolutions. | Management | Abstain | None | |||||||||
VII | Reading and, if applicable, approval of the Meeting's minute. | Management | Abstain | None | |||||||||
CEMEX, S.A.B. DE C.V. | |||||||||||||
Security | 151290889 | Meeting Type | Annual | ||||||||||
Ticker Symbol | CX | Meeting Date | 26-Mar-2020 | ||||||||||
ISIN | US1512908898 | Agenda | 935138291 - Management | ||||||||||
Record Date | 25-Feb-2020 | Holding Recon Date | 25-Feb-2020 | ||||||||||
City / | Country | / | Mexico | Vote Deadline Date | 23-Mar-2020 | ||||||||
SEDOL(s) | Quick Code | ||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
1. | PRESENTATION OF THE CHIEF EXECUTIVE OFFICER'S REPORT, INCLUDING CEMEX'S FINANCIAL STATEMENTS, RESULTS OF OPERATIONS, REPORT OF CASH FLOW AND VARIATIONS OF CAPITAL STOCK, AND PRESENTATION OF THE BOARD OF DIRECTORS' REPORT, FOR THE FISCAL YEAR 2019, 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, THE AUDIT AND CORPORATE PRACTICES COMMITTEE, THE ACCOUNTING POLICIES ...(due to space limits, see proxy material for full proposal). | Management | Against | None | |||||||||
2. | PROPOSAL OF ALLOCATION OF PROFITS FOR THE FISCAL YEAR ENDED DECEMBER 31, 2019. | Management | Against | None | |||||||||
3. | PRESENTATION OF THE BOARD OF DIRECTORS' REPORT ON THE PROCEDURES AND APPROVALS PURSUANT TO WHICH THE REPURCHASE OF CEMEX'S SHARES WAS INSTRUCTED FOR THE 2019 BUSINESS YEAR. | Management | Against | None | |||||||||
4. | THE PROPOSAL TO DETERMINE THE AMOUNT OF A RESERVE FOR THE ACQUISITION OF CEMEX'S SHARES OR OTHER INSTRUMENTS REPRESENTING SUCH SHARES. | Management | Against | None | |||||||||
5A. | PROPOSALS TO DECREASE THE CAPITAL STOCK IN ITS VARIABLE PART BY: (A) CANCELING THE CEMEX SHARES REPURCHASED IN 2019 UNDER CEMEX'S SHARE REPURCHASE PROGRAM. | Management | Against | None | |||||||||
5B. | PROPOSALS TO DECREASE THE CAPITAL STOCK IN ITS VARIABLE PART BY: (B)CANCELING THE CEMEX TREASURY SHARES RELATED TO THE ISSUANCE OF CEMEX'S MANDATORILY CONVERTIBLE NOTES ISSUED IN DECEMBER 2009 AND THAT MATURED IN NOVEMBER 2019. | Management | Against | None | |||||||||
5C. | PROPOSALS TO DECREASE THE CAPITAL STOCK IN ITS VARIABLE PART BY: (C) CANCELING ANY CEMEX TREASURY SHARES RELATED TO THE ISSUANCE OF CEMEX'S OPTIONAL CONVERTIBLE NOTES, ISSUED IN MAY 2015 AND THAT WILL MATURE IN MARCH 2020, WHICH REMAIN IN CEMEX'S TREASURY AFTER THE MARCH 2020 DUE DATE. | Management | Against | None | |||||||||
6. | APPOINTMENT OF MEMBERS, PRESIDENT AND SECRETARY OF THE BOARD OF DIRECTORS, AND OF MEMBERS AND PRESIDENTS, RESPECTIVELY, OF THE AUDIT, CORPORATE PRACTICES AND FINANCE, AND SUSTAINABILITY COMMITTEES. | Management | Against | None | |||||||||
7. | COMPENSATION OF THE MEMBERS OF THE BOARD OF DIRECTORS AND OF THE AUDIT, CORPORATE PRACTICES AND FINANCE, AND SUSTAINABILITY COMMITTEES. | Management | Against | None | |||||||||
8. | APPOINTMENT OF DELEGATES TO FORMALIZE THE RESOLUTIONS ADOPTED AT THE MEETING. | Management | Against | None | |||||||||
CARNIVAL CORPORATION | |||||||||||||
Security | 143658300 | Meeting Type | Annual | ||||||||||
Ticker Symbol | CCL | Meeting Date | 06-Apr-2020 | ||||||||||
ISIN | PA1436583006 | Agenda | 935131564 - Management | ||||||||||
Record Date | 06-Feb-2020 | Holding Recon Date | 06-Feb-2020 | ||||||||||
City / | Country | / | United States | Vote Deadline Date | 03-Apr-2020 | ||||||||
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 | Against | For | Against | ||||||||
2. | To re-elect Sir Jonathon Band as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | Against | For | Against | ||||||||
3. | To re-elect Jason Glen Cahilly as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | Against | For | Against | ||||||||
4. | To re-elect Helen Deeble as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | Against | For | Against | ||||||||
5. | To re-elect Arnold W. Donald as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | Against | For | Against | ||||||||
6. | To re-elect Richard J. Glasier as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | Against | For | Against | ||||||||
7. | To re-elect Katie Lahey as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | Against | For | Against | ||||||||
8. | To re-elect Sir John Parker as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | Against | For | Against | ||||||||
9. | To re-elect Stuart Subotnick as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | Against | For | Against | ||||||||
10. | To re-elect Laura Weil as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | Against | For | Against | ||||||||
11. | To re-elect Randall J. Weisenburger as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | Against | For | Against | ||||||||
12. | To hold a (non-binding) advisory vote to approve executive compensation (in accordance with legal requirements applicable to U.S. companies). | Management | Against | For | Against | ||||||||
13. | To hold a (non-binding) advisory vote to approve the Carnival plc Directors' Remuneration Report (other than the Carnival plc Directors' Remuneration Policy set out in Section B of Part II of the Carnival plc Directors' Remuneration Report) (in accordance with legal requirements applicable to UK Companies). | Management | Against | For | Against | ||||||||
14. | To approve the Carnival plc Directors' Remuneration Policy set out in the Section B of Part II of the Carnival plc Directors' Remuneration Report (in accordance with legal requirements applicable to UK companies). | Management | Against | For | Against | ||||||||
15. | To re-appoint the UK firm of PricewaterhouseCoopers LLP as independent auditors for Carnival plc and to ratify the selection of the U.S. firm of PricewaterhouseCoopers LLP as the independent registered public accounting firm for Carnival Corporation. | Management | Against | For | Against | ||||||||
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 | Against | For | Against | ||||||||
17. | To receive the UK accounts and reports of the Directors and auditors of Carnival plc for the year ended November 30, 2019 (in accordance with legal requirements applicable to UK companies). | Management | Against | For | Against | ||||||||
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 | Against | For | Against | ||||||||
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 | Against | For | Against | ||||||||
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 | ||||||||
21. | To approve the Carnival Corporation 2020 Stock Plan. | Management | Against | For | Against | ||||||||
22. | To approve the Carnival plc UK Employee Share Purchase Plan. | Management | Against | For | Against | ||||||||
LENNAR CORPORATION | |||||||||||||
Security | 526057104 | Meeting Type | Annual | ||||||||||
Ticker Symbol | LEN | Meeting Date | 07-Apr-2020 | ||||||||||
ISIN | US5260571048 | Agenda | 935133001 - Management | ||||||||||
Record Date | 10-Feb-2020 | Holding Recon Date | 10-Feb-2020 | ||||||||||
City / | Country | / | United States | Vote Deadline Date | 06-Apr-2020 | ||||||||
SEDOL(s) | Quick Code | ||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
1A. | Election of Director: Rick Beckwitt | Management | Against | For | Against | ||||||||
1B. | Election of Director: Irving Bolotin | Management | Against | For | Against | ||||||||
1C. | Election of Director: Steven L. Gerard | Management | Against | For | Against | ||||||||
1D. | Election of Director: Tig Gilliam | Management | Against | For | Against | ||||||||
1E. | Election of Director: Sherrill W. Hudson | Management | Against | For | Against | ||||||||
1F. | Election of Director: Jonathan M. Jaffe | Management | Against | For | Against | ||||||||
1G. | Election of Director: Sidney Lapidus | Management | Against | For | Against | ||||||||
1H. | Election of Director: Teri P. McClure | Management | Against | For | Against | ||||||||
1I. | Election of Director: Stuart Miller | Management | Against | For | Against | ||||||||
1J. | Election of Director: Armando Olivera | Management | Against | For | Against | ||||||||
1K. | Election of Director: Jeffrey Sonnenfeld | Management | Against | For | Against | ||||||||
1L. | Election of Director: Scott Stowell | Management | Against | For | Against | ||||||||
2. | Approve, on an advisory basis, the compensation of our named executive officers. | Management | Against | For | Against | ||||||||
3. | Ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for our fiscal year ending November 30, 2020. | Management | For | For | For | ||||||||
GRUPO AEROPORTUARIO DEL SURESTE SA DE CV | |||||||||||||
Security | 40051E202 | Meeting Type | Annual | ||||||||||
Ticker Symbol | ASR | Meeting Date | 23-Apr-2020 | ||||||||||
ISIN | US40051E2028 | Agenda | 935179805 - Management | ||||||||||
Record Date | 23-Mar-2020 | Holding Recon Date | 23-Mar-2020 | ||||||||||
City / | Country | / | United States | Vote Deadline Date | 17-Apr-2020 | ||||||||
SEDOL(s) | Quick Code | ||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
1A | Report of the Chief Executive Officer, in accordance with Article 172 of the General Corporations Law and of Article 44, subsection XI, of the Securities Market Law ("Ley del Mercado de Valores"), accompanied by the independent auditor's report, in connection with the operations and results for the fiscal year ended December 31, 2019, as well as of the Board of Directors' opinion of the content of such report. | Management | For | None | |||||||||
1B | Report of the Board of Directors in accordance with Article 172, subsection b, of the General Corporations Law, which contains the main policies, as well as the accounting and reporting criteria followed in the preparation of the financial information of the Company. | Management | For | None | |||||||||
1C | Report of the activities and operations in which the Board of Directors intervened, in accordance with Article 28 IV (e) of the Securities Market Law. | Management | For | None | |||||||||
1D | Individual and consolidated financial statements of the Company for the fiscal year ended December 31, 2019. | Management | For | None | |||||||||
1E | Annual report on the activities carried out by the Audit Committee of the Company in accordance with Article 43 of the Securities Market Law and report on the Company's subsidiaries. | Management | For | None | |||||||||
1F | Report on compliance with the tax obligations of the Company for the fiscal year ended December 31, 2018, in accordance with Article 76, section XIX of the Income Tax Law ("Ley del Impuesto sobre la Renta"). | Management | For | None | |||||||||
2A | Proposal for increase of the legal reserve by Ps. 274,126,438.75 | Management | For | None | |||||||||
2B | Proposal by the Board of Directors to pay an ordinary net dividend in cash from accumulated retained earnings in the amount of $8.21 (eight pesos and twenty- one cents, Mexican legal tender) for each of the ordinary "B" and "BB" Series shares. | Management | For | None | |||||||||
2C | Proposal and, if applicable, approval of the amount of Ps. 2,745,402,336.25 as the maximum amount that may be used by the Company to repurchase its shares in 2020 pursuant to Article 56 of the Securities Market Law; proposal and, if applicable, approval of the provisions and policies regarding the repurchase of Company shares. | Management | For | None | |||||||||
3A | Administration by the Board of Directors and the Chief Executive Officer for the fiscal year of 2019. | Management | For | None | |||||||||
3BA | Appointment to the Board of Director: Fernando Chico Pardo (President) | Management | For | None | |||||||||
3BB | Appointment to the Board of Director: José Antonio Pérez Antón | Management | For | None | |||||||||
3BC | Appointment to the Board of Director: Luis Chico Pardo | Management | For | None | |||||||||
3BD | Appointment to the Board of Director: Aurelio Pérez Alonso | Management | For | None | |||||||||
3BE | Appointment to the Board of Director: Rasmus Christiansen | Management | For | None | |||||||||
3BF | Appointment to the Board of Director: Francisco Garza Zambrano | Management | For | None | |||||||||
3BG | Appointment to the Board of Director: Ricardo Guajardo Touché | Management | For | None | |||||||||
3BH | Appointment to the Board of Director: Guillermo Ortiz Martínez | Management | For | None | |||||||||
3BI | Appointment to the Board of Director: Bárbara Garza Lagüera Gonda | Management | For | None | |||||||||
3BJ | Appointment to the Board of Director: Rafael Robles Miaja (Secretary) | Management | For | None | |||||||||
3BK | Appointment to the Board of Director: Ana María Poblanno Chanona (Deputy Secretary) | Management | For | None | |||||||||
3C1 | Appointment or ratification, as applicable, of the Chairperson of the Audit Committee: Ricardo Guajardo Touché | Management | For | None | |||||||||
3D1 | Appointment of the Nomination and Compensation Committee: Fernando Chico Pardo (President) | Management | For | None | |||||||||
3D2 | Appointment of the Nomination and Compensation Committee: José Antonio Pérez Antón | Management | For | None | |||||||||
3D3 | Appointment of the Nomination and Compensation Committee: Bárbara Garza Lagüera Gonda | Management | For | None | |||||||||
3E1 | Determination of corresponding compensations: Board of Directors: Ps. 72,600.00 (in each case net of taxes in Mexican legal tender) | Management | For | None | |||||||||
3E2 | Determination of corresponding compensations: Operations Committee: Ps. 72,600.00 (in each case net of taxes in Mexican legal tender) | Management | For | None | |||||||||
3E3 | Determination of corresponding compensations: Nominations & Compensations Committee: Ps. 72,600.00 (in each case net of taxes in Mexican legal tender) | Management | For | None | |||||||||
3E4 | Determination of corresponding compensations: Audit Committee: Ps. 102,850.00 (in each case net of taxes in Mexican legal tender) | Management | For | None | |||||||||
3E5 | Determination of corresponding compensations: Acquisitions & Contracts Committee: Ps. 24,200.00 (in each case net of taxes in Mexican legal tender) | Management | For | None | |||||||||
4A | Appointment of delegates in order to enact the resolutions adopted at the Meeting and, if applicable, to formalize such resolutions: Claudio R. Góngora Morales | Management | For | None | |||||||||
4B | Appointment of delegates in order to enact the resolutions adopted at the Meeting and, if applicable, to formalize such resolutions: Rafael Robles Miaja | Management | For | None | |||||||||
4C | Appointment of delegates in order to enact the resolutions adopted at the Meeting and, if applicable, to formalize such resolutions: Ana María Poblanno Chanona | Management | For | None | |||||||||
AMERICA MOVIL, S.A.B. DE C.V. | |||||||||||||
Security | 02364W105 | Meeting Type | Annual | ||||||||||
Ticker Symbol | AMX | Meeting Date | 24-Apr-2020 | ||||||||||
ISIN | US02364W1053 | Agenda | 935186812 - Management | ||||||||||
Record Date | 06-Apr-2020 | Holding Recon Date | 06-Apr-2020 | ||||||||||
City / | Country | / | United States | Vote Deadline Date | 21-Apr-2020 | ||||||||
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 | |||||||||
SEABOARD CORPORATION | |||||||||||||
Security | 811543107 | Meeting Type | Annual | ||||||||||
Ticker Symbol | SEB | Meeting Date | 27-Apr-2020 | ||||||||||
ISIN | US8115431079 | Agenda | 935144004 - Management | ||||||||||
Record Date | 26-Feb-2020 | Holding Recon Date | 26-Feb-2020 | ||||||||||
City / | Country | / | United States | Vote Deadline Date | 24-Apr-2020 | ||||||||
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 | ||||||||
3. | Advisory vote to approve the compensation of Seaboard's named executive officers, as disclosed in Seaboard's proxy statement for the 2020 Annual Meeting of Stockholders. | Management | For | For | For | ||||||||
4. | A stockholder proposal, if introduced at the meeting, requiring removal of a plurality of vote standard for uncontested director elections as described in the accompanying proxy statement. | Shareholder | For | Against | Against | ||||||||
FRESH DEL MONTE PRODUCE INC. | |||||||||||||
Security | G36738105 | Meeting Type | Annual | ||||||||||
Ticker Symbol | FDP | Meeting Date | 28-Apr-2020 | ||||||||||
ISIN | KYG367381053 | Agenda | 935145981 - Management | ||||||||||
Record Date | 02-Mar-2020 | Holding Recon Date | 02-Mar-2020 | ||||||||||
City / | Country | / | United States | Vote Deadline Date | 27-Apr-2020 | ||||||||
SEDOL(s) | Quick Code | ||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
1. | Election of director for a three-year term expiring at the 2023 Annual General Meeting of Shareholders: Michael J. Berthelot | Management | For | For | For | ||||||||
2. | Ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending January 1, 2021. | Management | For | For | For | ||||||||
3. | Approve, by non-binding advisory vote the compensation of our named executive officers in 2019. | Management | Against | For | Against | ||||||||
GRUPO TELEVISA, S.A.B. | |||||||||||||
Security | 40049J206 | Meeting Type | Annual | ||||||||||
Ticker Symbol | TV | Meeting Date | 28-Apr-2020 | ||||||||||
ISIN | US40049J2069 | Agenda | 935187131 - Management | ||||||||||
Record Date | 23-Mar-2020 | Holding Recon Date | 23-Mar-2020 | ||||||||||
City / | Country | / | United States | Vote Deadline Date | 22-Apr-2020 | ||||||||
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. To vote on the next (1) General Ordinary Series A and B Shareholders Meeting; (2) Special Series D Shareholders Meeting, Shareholders must be Mexican nationals or Mexican corporations, whose by-laws exclude foreign ownership of their shares. | 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, 2019 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, 2019. | 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 | Against | None | |||||||||
10 | Appointment of special delegates to formalize the resolutions adopted at the meeting. | Management | For | None | |||||||||
BANCO LATINOAMERICANO DE COMERCIO EXT. | |||||||||||||
Security | P16994132 | Meeting Type | Annual | ||||||||||
Ticker Symbol | BLX | Meeting Date | 29-Apr-2020 | ||||||||||
ISIN | PAP169941328 | Agenda | 935164070 - Management | ||||||||||
Record Date | 23-Mar-2020 | Holding Recon Date | 23-Mar-2020 | ||||||||||
City / | Country | / | Panama | Vote Deadline Date | 28-Apr-2020 | ||||||||
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, 2019. | 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, 2020. | Management | For | For | For | ||||||||
3A. | Election of Class E Director: Mario Covo | Management | For | For | For | ||||||||
4. | To approve, on an advisory basis, the compensation of the Bank's executive officers. | Management | Against | For | Against | ||||||||
5. | To amend Article 12 of the Bank's Articles of Incorporation to delete a provision that requires that the Board always nominate the Chief Executive Officer as one of the two Directors to be elected by the holders of all of the common shares. | Management | For | For | For | ||||||||
VULCAN MATERIALS COMPANY | |||||||||||||
Security | 929160109 | Meeting Type | Annual | ||||||||||
Ticker Symbol | VMC | Meeting Date | 08-May-2020 | ||||||||||
ISIN | US9291601097 | Agenda | 935151554 - Management | ||||||||||
Record Date | 11-Mar-2020 | Holding Recon Date | 11-Mar-2020 | ||||||||||
City / | Country | / | United States | Vote Deadline Date | 07-May-2020 | ||||||||
SEDOL(s) | Quick Code | ||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
1A. | Election of Director: Melissa H. Anderson | Management | For | For | For | ||||||||
1B. | Election of Director: O. B. Grayson Hall, Jr. | Management | For | For | For | ||||||||
1C. | Election of Director: James T. Prokopanko | Management | For | For | For | ||||||||
1D. | Election of Director: George Willis | Management | For | For | For | ||||||||
2. | Approval, on an advisory basis, of the compensation of our named executive officers. | Management | Against | For | Against | ||||||||
3. | Ratification of the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for 2020. | Management | For | For | For | ||||||||
POPULAR, INC. | |||||||||||||
Security | 733174700 | Meeting Type | Annual | ||||||||||
Ticker Symbol | BPOP | Meeting Date | 12-May-2020 | ||||||||||
ISIN | PR7331747001 | Agenda | 935159904 - Management | ||||||||||
Record Date | 13-Mar-2020 | Holding Recon Date | 13-Mar-2020 | ||||||||||
City / | Country | / | United States | Vote Deadline Date | 11-May-2020 | ||||||||
SEDOL(s) | Quick Code | ||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
1A) | Election of Class 3 Director for a three-year term: Ignacio Alvarez | Management | For | For | For | ||||||||
1B) | Election of Class 3 Director for a three-year term: María Luisa Ferré | Management | For | For | For | ||||||||
1C) | Election of Class 3 Director for a three-year term: C. Kim Goodwin | Management | For | For | For | ||||||||
2) | To approve an amendment to Article SEVENTH of Popular, Inc.'s Restated Certificate of Incorporation to declassify the Board of Directors by the 2023 Annual Meeting of Shareholders. | Management | For | For | For | ||||||||
3) | To approve an Amendment to the first sentence of Article SEVENTH of Popular, Inc.'s Restated Certificate of Incorporation to reduce the minimum and maximum amount of members comprising the Board of Directors. | Management | For | For | For | ||||||||
4) | To approve an amendment to Article NINTH of Popular, Inc.'s Restated Certificate of Incorporation to eliminate supermajority vote requirements. | Management | For | For | For | ||||||||
5) | Adoption of the Popular, Inc. 2020 Omnibus Incentive Plan. | Management | Against | For | Against | ||||||||
6) | Approve, on an advisory basis, the Corporation's executive compensation. | Management | Against | For | Against | ||||||||
7) | To ratify the appointment of PricewaterhouseCoopers LLP as Popular, Inc.'s independent registered public accounting firm for 2020. | Management | For | For | For | ||||||||
8) | To approve the adjournment or postponement of the meeting, if necessary or appropriate, to solicit additional proxies, in the event that there are not sufficient votes to approve Proposals 2, 3, 4 and 5. | Management | For | For | For | ||||||||
MARRIOTT VACATIONS WORLDWIDE CORPORATION | |||||||||||||
Security | 57164Y107 | Meeting Type | Annual | ||||||||||
Ticker Symbol | VAC | Meeting Date | 12-May-2020 | ||||||||||
ISIN | US57164Y1073 | Agenda | 935161240 - Management | ||||||||||
Record Date | 16-Mar-2020 | Holding Recon Date | 16-Mar-2020 | ||||||||||
City / | Country | / | United States | Vote Deadline Date | 11-May-2020 | ||||||||
SEDOL(s) | Quick Code | ||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
1. | DIRECTOR | Management | |||||||||||
1 | C.E. Andrews | For | For | For | |||||||||
2 | William W. McCarten | For | �� | For | For | ||||||||
3 | William J. Shaw | For | For | For | |||||||||
2. | Ratification of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for its 2020 fiscal year. | Management | For | For | For | ||||||||
3. | Advisory vote to approve named executive officer compensation. | Management | Against | For | Against | ||||||||
4. | Approval of the Marriott Vacations Worldwide Corporation 2020 Equity Incentive Plan. | Management | Against | For | Against | ||||||||
CARIBBEAN UTILITIES COMPANY, LTD. | |||||||||||||
Security | G1899E146 | Meeting Type | Annual | ||||||||||
Ticker Symbol | CUPUF | Meeting Date | 14-May-2020 | ||||||||||
ISIN | KYG1899E1465 | Agenda | 935178714 - Management | ||||||||||
Record Date | 16-Mar-2020 | Holding Recon Date | 16-Mar-2020 | ||||||||||
City / | Country | / | Cayman Islands | Vote Deadline Date | 11-May-2020 | ||||||||
SEDOL(s) | Quick Code | ||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
1 | DIRECTOR | Management | |||||||||||
1 | Jennifer P. Dilbert | For | For | For | |||||||||
2 | Sheree L. Ebanks | For | For | For | |||||||||
3 | Woodrow S. Foster | For | For | For | |||||||||
4 | Sophia Harris | For | For | For | |||||||||
5 | R. Scott Hawkes | For | For | For | |||||||||
6 | J. F. Richard Hew | For | For | For | |||||||||
7 | Mark Macfee | For | For | For | |||||||||
8 | Eddinton M. Powell | For | For | For | |||||||||
9 | David E. Ritch | For | For | For | |||||||||
10 | Gary J. Smith | For | For | For | |||||||||
11 | Peter A. Thomson | For | For | For | |||||||||
12 | Lynn R. Young | For | For | For | |||||||||
2 | Appointment of Deloitte LLP as Auditors. | Management | For | For | For | ||||||||
3 | Increase in the Reserve of Class A Shares for issuance pursuant to the Share Purchase Plan. | Management | Withheld | For | Against | ||||||||
MARTIN MARIETTA MATERIALS, INC. | |||||||||||||
Security | 573284106 | Meeting Type | Annual | ||||||||||
Ticker Symbol | MLM | Meeting Date | 14-May-2020 | ||||||||||
ISIN | US5732841060 | Agenda | 935196736 - Management | ||||||||||
Record Date | 06-Mar-2020 | Holding Recon Date | 06-Mar-2020 | ||||||||||
City / | Country | / | United States | Vote Deadline Date | 13-May-2020 | ||||||||
SEDOL(s) | Quick Code | ||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
1A. | Election of Director: Dorothy M. Ables | Management | For | For | For | ||||||||
1B. | Election of Director: Sue W. Cole | Management | For | For | For | ||||||||
1C. | Election of Director: Smith W. Davis | Management | For | For | For | ||||||||
1D. | Election of Director: John J. Koraleski | Management | For | For | For | ||||||||
1E. | Election of Director: C. Howard Nye | Management | For | For | For | ||||||||
1F. | Election of Director: Laree E. Perez | Management | For | For | For | ||||||||
1G. | Election of Director: Thomas H. Pike | Management | For | For | For | ||||||||
1H. | Election of Director: Michael J. Quillen | Management | For | For | For | ||||||||
1I. | Election of Director: Donald W. Slager | Management | For | For | For | ||||||||
1J. | Election of Director: David C. Wajsgras | Management | For | For | For | ||||||||
2. | Ratification of appointment 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 | Against | For | Against | ||||||||
MASTEC, INC. | |||||||||||||
Security | 576323109 | Meeting Type | Annual | ||||||||||
Ticker Symbol | MTZ | Meeting Date | 15-May-2020 | ||||||||||
ISIN | US5763231090 | Agenda | 935168965 - Management | ||||||||||
Record Date | 12-Mar-2020 | Holding Recon Date | 12-Mar-2020 | ||||||||||
City / | Country | / | United States | Vote Deadline Date | 14-May-2020 | ||||||||
SEDOL(s) | Quick Code | ||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
1. | DIRECTOR | Management | |||||||||||
1 | Ernst N. Csiszar | For | For | For | |||||||||
2 | Julia L. Johnson | For | For | For | |||||||||
3 | Jorge Mas | For | For | For | |||||||||
2. | Ratification of the appointment of BDO USA, LLP as our independent registered public accounting firm for 2020. | Management | For | For | For | ||||||||
3. | Approval of a non-binding advisory resolution regarding the compensation of our named executive officers. | Management | Against | For | Against | ||||||||
NEXTERA ENERGY, INC. | |||||||||||||
Security | 65339F101 | Meeting Type | Annual | ||||||||||
Ticker Symbol | NEE | Meeting Date | 21-May-2020 | ||||||||||
ISIN | US65339F1012 | Agenda | 935172661 - Management | ||||||||||
Record Date | 23-Mar-2020 | Holding Recon Date | 23-Mar-2020 | ||||||||||
City / | Country | / | United States | Vote Deadline Date | 20-May-2020 | ||||||||
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: David L. Porges | Management | Against | For | Against | ||||||||
1I. | Election of Director: James L. Robo | Management | Against | For | Against | ||||||||
1J. | Election of Director: Rudy E. Schupp | Management | Against | For | Against | ||||||||
1K. | Election of Director: John L. Skolds | Management | Against | For | Against | ||||||||
1L. | Election of Director: William H. Swanson | 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 2020 | 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 entitled "Political Contributions Disclosure" to request semiannual reports disclosing political contribution policies and expenditures | Shareholder | For | Against | Against | ||||||||
5. | A proposal entitled "Right to Act by Written Consent" to request action by written consent of shareholders | Shareholder | Against | Against | For | ||||||||
FIRST BANCORP | |||||||||||||
Security | 318672706 | Meeting Type | Annual | ||||||||||
Ticker Symbol | FBP | Meeting Date | 22-May-2020 | ||||||||||
ISIN | PR3186727065 | Agenda | 935174374 - Management | ||||||||||
Record Date | 01-Apr-2020 | Holding Recon Date | 01-Apr-2020 | ||||||||||
City / | Country | / | United States | Vote Deadline Date | 21-May-2020 | ||||||||
SEDOL(s) | Quick Code | ||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
1A. | Election of Director: Juan Acosta Reboyras | Management | Against | For | Against | ||||||||
1B. | Election of Director: Aurelio Alemàn | Management | Against | For | Against | ||||||||
1C. | Election of Director: Luz A. Crespo | Management | Against | For | Against | ||||||||
1D. | Election of Director: Tracey Dedrick | Management | Against | For | Against | ||||||||
1E. | Election of Director: Daniel E. Frye | Management | Against | For | Against | ||||||||
1F. | Election of Director: Robert T. Gormley | Management | Against | For | Against | ||||||||
1G. | Election of Director: John A. Heffern | Management | Against | For | Against | ||||||||
1H. | Election of Director: Roberto R. Herencia | Management | Against | For | Against | ||||||||
1I. | Election of Director: José Menéndez- Cortada | Management | Against | For | Against | ||||||||
2. | To approve on a non-binding basis the 2019 compensation of First BanCorp's named executive officers. | Management | Against | For | Against | ||||||||
3. | To ratify the appointment of Crowe LLP as our independent registered public accounting firm for our 2020 fiscal year. | Management | For | For | For | ||||||||
EVERTEC, INC. | |||||||||||||
Security | 30040P103 | Meeting Type | Annual | ||||||||||
Ticker Symbol | EVTC | Meeting Date | 28-May-2020 | ||||||||||
ISIN | PR30040P1032 | Agenda | 935171710 - Management | ||||||||||
Record Date | 31-Mar-2020 | Holding Recon Date | 31-Mar-2020 | ||||||||||
City / | Country | / | Puerto Rico | Vote Deadline Date | 27-May-2020 | ||||||||
SEDOL(s) | Quick Code | ||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
1A. | Election of Director: Frank G. D'Angelo | Management | Abstain | For | Against | ||||||||
1B. | Election of Director: Morgan M. Schuessler, Jr. | Management | Abstain | For | Against | ||||||||
1C. | Election of Director: Olga Botero | Management | Abstain | For | Against | ||||||||
1D. | Election of Director: Jorge A. Junquera | Management | Abstain | For | Against | ||||||||
1E. | Election of Director: Iván Pagán | Management | Abstain | For | Against | ||||||||
1F. | Election of Director: Aldo J. Polak | Management | Abstain | For | Against | ||||||||
1G. | Election of Director: Alan H. Schumacher | Management | Abstain | For | Against | ||||||||
1H. | Election of Director: Brian J. Smith | Management | Abstain | For | Against | ||||||||
1I. | Election of Director: Thomas W. Swidarski | Management | Abstain | For | Against | ||||||||
2. | Advisory Vote on Executive Compensation. | Management | Against | For | Against | ||||||||
3. | Ratification of the Appointment of Deloitte & Touche LLP as the Company's Independent Registered Public Accounting Firm. | Management | For | For | For | ||||||||
ROYAL CARIBBEAN CRUISES LTD. | |||||||||||||
Security | V7780T103 | Meeting Type | Annual | ||||||||||
Ticker Symbol | RCL | Meeting Date | 28-May-2020 | ||||||||||
ISIN | LR0008862868 | Agenda | 935192853 - Management | ||||||||||
Record Date | 06-Apr-2020 | Holding Recon Date | 06-Apr-2020 | ||||||||||
City / | Country | / | United States | Vote Deadline Date | 27-May-2020 | ||||||||
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: William K. Reilly | Management | Against | For | Against | ||||||||
1I. | Election of Director: Vagn O. Sørensen | Management | Against | For | Against | ||||||||
1J. | Election of Director: Donald Thompson | Management | Against | For | Against | ||||||||
1K. | 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 2020. | Management | For | For | For | ||||||||
4. | The shareholder proposal regarding political contributions disclosure. | Shareholder | For | Against | Against | ||||||||
5. | The shareholder proposal regarding independent chair of the Board of Directors. | Shareholder | For | Against | Against | ||||||||
ERA GROUP INC. | |||||||||||||
Security | 26885G109 | Meeting Type | Annual | ||||||||||
Ticker Symbol | ERA | Meeting Date | 11-Jun-2020 | ||||||||||
ISIN | US26885G1094 | Agenda | 935216576 - Management | ||||||||||
Record Date | 04-May-2020 | Holding Recon Date | 04-May-2020 | ||||||||||
City / | Country | / | United States | Vote Deadline Date | 10-Jun-2020 | ||||||||
SEDOL(s) | Quick Code | ||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
1. | To approve the issuance of shares of Era Group Inc. ("Era") Common Stock as contemplated by the Agreement and Plan of Merger among Era, Ruby Redux Merger Sub, Inc. (Merger Sub), and Bristow Group Inc. ("Bristow"), pursuant to which Merger Sub will merge with and into Bristow, with Bristow continuing as the surviving corporation and a direct wholly owned subsidiary of Era (the "Merger"). | Management | For | For | For | ||||||||
2A. | Election of Director: Christopher S. Bradshaw | Management | Against | For | Against | ||||||||
2B. | Election of Director: Charles Fabrikant | Management | Against | For | Against | ||||||||
2C. | Election of Director: Anna Fairbanks | Management | Against | For | Against | ||||||||
2D. | Election of Director: Christopher P. Papouras | Management | Against | For | Against | ||||||||
2E. | Election of Director: Yueping Sun | Management | Against | For | Against | ||||||||
2F. | Election of Director: Steven Webster | Management | Against | For | Against | ||||||||
3. | To approve the proposed amendment to the Certificate of Incorporation of Era effecting an increase in the number of authorized shares of Era Common Stock. | Management | For | For | For | ||||||||
4. | To approve the proposed amendment to the Certificate of Incorporation of Era, that would effect, when and if determined by the Era Board prior to the Effective Time a reverse stock split of Era Common Stock prior to the Effective Time at a ratio of one share for every three shares outstanding. | Management | For | For | For | ||||||||
5. | To ratify the selection of Grant Thornton LLP, as the independent registered public accounting firm for the period of time before the consummation of the Merger. | Management | For | For | For | ||||||||
6. | To approve, on an advisory basis, the compensation of our named executive officers. | Management | Against | For | Against | ||||||||
7. | To adjourn or postpone the Era annual meeting if there are insufficient votes to approve proposal 1, 3 or 4 at the time of the Era annual meeting to allow Era to solicit additional proxies in favor of any of such proposals. | Management | For | For | For | ||||||||
PGT INNOVATIONS, INC. | |||||||||||||
Security | 69336V101 | Meeting Type | Annual | ||||||||||
Ticker Symbol | PGTI | Meeting Date | 15-Jun-2020 | ||||||||||
ISIN | US69336V1017 | Agenda | 935218974 - Management | ||||||||||
Record Date | 27-Apr-2020 | Holding Recon Date | 27-Apr-2020 | ||||||||||
City / | Country | / | United States | Vote Deadline Date | 12-Jun-2020 | ||||||||
SEDOL(s) | Quick Code | ||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
1A. | Election of Class II director, nominated by the Board of Directors, to serve until the 2023 Annual Meeting: Brett N. Milgrim | Management | Against | For | Against | ||||||||
1B. | Election of Class II director, nominated by the Board of Directors, to serve until the 2023 Annual Meeting: Richard D. Feintuch | Management | Against | For | Against | ||||||||
1C. | Election of Class II director, nominated by the Board of Directors, to serve until the 2023 Annual Meeting: Jeffrey T. Jackson | Management | Against | For | Against | ||||||||
1D. | Election of Class II director, nominated by the Board of Directors, to serve until the 2023 Annual Meeting: Frances Powell Hawes | Management | Against | For | Against | ||||||||
2. | To ratify the appointment of KPMG LLP as the Company's independent registered public accounting firm for the 2020 fiscal year | Management | For | For | For | ||||||||
3. | To approve the compensation of our Named Executive Officers ("NEOs"), on an advisory basis | Management | Against | For | Against | ||||||||
NORWEGIAN CRUISE LINE HOLDINGS LTD. | |||||||||||||
Security | G66721104 | Meeting Type | Annual | ||||||||||
Ticker Symbol | NCLH | Meeting Date | 18-Jun-2020 | ||||||||||
ISIN | BMG667211046 | Agenda | 935196673 - Management | ||||||||||
Record Date | 01-Apr-2020 | Holding Recon Date | 01-Apr-2020 | ||||||||||
City / | Country | / | United States | Vote Deadline Date | 17-Jun-2020 | ||||||||
SEDOL(s) | Quick Code | ||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
1A. | Election of Class I Director: David M. Abrams | Management | Against | For | Against | ||||||||
1B. | Election of Class I Director: John W. Chidsey | Management | Against | For | Against | ||||||||
1C. | Election of Class I Director: Russell W. Galbut | Management | Against | For | Against | ||||||||
2. | Approval, on a non-binding, advisory basis, of the compensation of our named executive officers | Management | Against | For | Against | ||||||||
3. | Approval, on a non-binding, advisory basis, of the frequency of future shareholder votes on the compensation of our named executive officers | Management | 1 Year | 1 Year | For | ||||||||
4. | Ratification of the appointment of PricewaterhouseCoopers LLP ("PwC") as our independent registered public accounting firm for the year ending December 31, 2020 and the determination of PwC's remuneration by our Audit Committee | Management | For | For | For |
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 14, 2020 |
* | Print the name and title of each signing officer. |