Annual Report of Proxy Voting Record for Management Investment Companies (n-px)

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM N-PX

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT

INVESTMENT COMPANY

Investment Company Act file number: 811-21712

CLOUGH GLOBAL EQUITY FUND

(Exact name of registrant as specified in charter)

1290 Broadway, Suite 1000, Denver, Colorado 80203

(Address of principal executive offices) (Zip code)

Sareena Khwaja-Dixon, Esq.

Clough Global Equity Fund

1290 Broadway, Suite 1000

Denver, Colorado 80203

(Name and address of agent for service)

Registrant’s Telephone Number, including Area Code: 855-425-6844

Date of fiscal year end: October 31

Date of reporting period: July 1, 2020 – June 30, 2021

Item 1 – Proxy Voting Record.

Vote Summary

CROWDSTRIKE HOLDINGS, INC.

Security

22788C105

Meeting Type

Annual

Ticker Symbol

CRWD

Meeting Date

06-Jul-2020

ISIN

US22788C1053

Agenda

935223735 - Management

Record Date

11-May-2020

Holding Recon Date

11-May-2020

City /

Country

United States

Vote Deadline Date

02-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

DIRECTOR

Management

Denis J. O'Leary

For

Joseph E. Sexton

For

Godfrey R. Sullivan

For

To ratify the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm of the Company for its fiscal year ending January 31, 2021.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

100

21,100

23-May-2020

HDFC BANK LTD

Security

Y3119P190

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

18-Jul-2020

ISIN

INE040A01034

Agenda

712875612 - Management

Record Date

11-Jul-2020

Holding Recon Date

11-Jul-2020

City /

Country

TBD

India

Vote Deadline Date

14-Jul-2020

SEDOL(s)

BK1N461

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

TO RECEIVE, CONSIDER AND ADOPT THE AUDITED FINANCIAL STATEMENTS (STANDALONE) OF THE BANK FOR THE FINANCIAL YEAR ENDED MARCH 31, 2020 AND THE REPORTS OF THE BOARD OF DIRECTORS AND AUDITORS THEREON

Management

For

TO RECEIVE, CONSIDER AND ADOPT THE AUDITED FINANCIAL STATEMENTS (CONSOLIDATED) OF THE BANK FOR THE FINANCIAL YEAR ENDED MARCH 31, 2020 AND THE REPORT OF THE AUDITORS THEREON

Management

For

TO CONFIRM THE SPECIAL INTERIM DIVIDEND OF INR 5/- PER EQUITY SHARE OF ERSTWHILE FACE VALUE OF INR 2/- EACH FULLY PAID-UP, FOR THE FINANCIAL YEAR 2019-20, APPROVED BY THE BOARD OF DIRECTORS AND ALREADY PAID TO ELIGIBLE SHAREHOLDERS

Management

For

TO APPOINT A DIRECTOR IN PLACE OF MR. KAIZAD BHARUCHA (DIN 02490648), WHO RETIRES BY ROTATION AND, BEING ELIGIBLE, OFFERS HIMSELF FOR RE-APPOINTMENT

Management

For

TO APPROVE THE FEES / REMUNERATION OF THE STATUTORY AUDITORS, M/S. MSKA & ASSOCIATES, CHARTERED ACCOUNTANTS AND IN THIS REGARD TO CONSIDER, AND IF THOUGHT FIT, TO PASS, THE FOLLOWING RESOLUTION AS AN ORDINARY RESOLUTION: "RESOLVED THAT PURSUANT TO SECTION 142 AND OTHER APPLICABLE PROVISIONS, IF ANY, OF THE COMPANIES ACT, 2013 AND THE RELEVANT RULES THEREUNDER, INCLUDING ANY AMENDMENTS, MODIFICATIONS, VARIATIONS OR RE-ENACTMENTS THEREOF, APPROVAL OF THE MEMBERS OF THE BANK BE AND IS HEREBY ACCORDED FOR PAYMENT OF REMUNERATION OF INR 26,500,000 (RUPEES TWO CRORES SIXTY FIVE LACS ONLY) TO M/S. MSKA & ASSOCIATES, STATUTORY AUDITORS OF THE BANK, FOR THE PURPOSE OF AUDIT OF THE BANK'S ACCOUNTS AT ITS HEAD OFFICE, BRANCHES AND OTHER OFFICES INCLUDING REPORTING ON INTERNAL FINANCIAL CONTROLS AND ADDITIONAL CERTIFICATION AS REQUIRED BY THE RESERVE BANK OF INDIA ("RBI"), AND

Management

For

ADDITIONAL FEES OF INR 2,500,000 (RUPEES TWENTY FIVE LACS ONLY) FOR THE PURPOSE OF REVIEW / FINALIZATION OF THE 'FIT FOR CONSOLIDATION' INFORMATION FOR THE LIMITED PURPOSE OF SUBMITTING SUCH 'FIT FOR CONSOLIDATION' INFORMATION TO HOUSING DEVELOPMENT FINANCE CORPORATION LIMITED ("HDFC LIMITED") FOR FACILITATING CONSOLIDATION OF FINANCIAL STATEMENTS OF THE BANK WITH THAT OF HDFC LIMITED UNDER IND-AS, PLUS EXPENSES, OUTLAYS AND TAXES AS APPLICABLE, FOR THE FINANCIAL YEAR 2020-21, AND FOR SUCH REMUNERATION AND EXPENSES THEREAFTER AS MAY BE MUTUALLY AGREED BETWEEN THE BANK AND THE SAID STATUTORY AUDITORS AND AS MAY BE FURTHER APPROVED BY THE BOARD FROM TIME TO TIME, WITH POWER TO THE BOARD, INCLUDING RELEVANT COMMITTEE(S) THEREOF, TO ALTER AND VARY THE TERMS AND CONDITIONS OF APPOINTMENT ETC., INCLUDING BY REASON OF NECESSITY ON ACCOUNT OF CONDITIONS AS MAY BE STIPULATED BY THE RBI AND / OR ANY OTHER AUTHORITY, IN SUCH MANNER AND TO SUCH EXTENT AS MAY BE MUTUALLY AGREED WITH THE STATUTORY AUDITORS."

TO RATIFY THE ADDITIONAL FEES / REMUNERATION TO THE STATUTORY AUDITORS, M/S. MSKA & ASSOCIATES, CHARTERED ACCOUNTANTS AND IN THIS REGARD TO CONSIDER, AND IF THOUGHT FIT, TO PASS, THE FOLLOWING RESOLUTION AS AN ORDINARY RESOLUTION: "RESOLVED THAT PURSUANT TO SECTION 142 AND OTHER APPLICABLE PROVISIONS, IF ANY, OF THE COMPANIES ACT, 2013 AND THE RELEVANT RULES THEREUNDER, IN ADDITION TO THE RESOLUTION PASSED BY THE MEMBERS OF THE BANK ON JULY 12, 2019, FOR PAYMENT OF REMUNERATION OF INR 25,000,000 (RUPEES TWO CRORES FIFTY LACS ONLY) FOR THE FINANCIAL YEAR 2019-20 TO M/S. MSKA & ASSOCIATES, STATUTORY AUDITORS OF THE BANK, FURTHER APPROVAL OF THE MEMBERS OF THE BANK BE AND IS HEREBY ACCORDED FOR RATIFYING THE FEES OF INR 6,000,000 (RUPEES SIXTY LACS ONLY) FOR ADDITIONAL CERTIFICATION AS REQUIRED BY THE RBI, FOR THE FINANCIAL YEAR 2019-20."

Management

For

TO RE-APPOINT MR. MALAY PATEL (DIN 06876386) AS AN INDEPENDENT DIRECTOR AND IN THIS REGARD TO CONSIDER, AND IF THOUGHT FIT, TO PASS, THE FOLLOWING RESOLUTION AS A SPECIAL RESOLUTION: "RESOLVED THAT PURSUANT TO SECTIONS 149, 152 AND OTHER APPLICABLE PROVISIONS, IF ANY, OF THE COMPANIES ACT, 2013 AND THE RELEVANT RULES THEREUNDER READ WITH SCHEDULE IV TO THE COMPANIES ACT,

Management

For

2013 AND PURSUANT TO SECTION 10A(2)(A) OF THE BANKING REGULATION ACT, 1949, AND RELEVANT CIRCULARS ISSUED BY THE RBI FROM TIME TO TIME, INCLUDING ANY AMENDMENTS, MODIFICATIONS, VARIATIONS OR RE-ENACTMENTS THEREOF AND RECOMMENDATION OF THE NOMINATION AND REMUNERATION COMMITTEE OF DIRECTORS AND THE BOARD OF DIRECTORS OF THE BANK, MR. MALAY PATEL (DIN 06876386), BE AND IS HEREBY RE-APPOINTED AS AN INDEPENDENT DIRECTOR OF THE BANK HAVING SPECIALIZED KNOWLEDGE AND PRACTICAL EXPERIENCE IN MATTERS RELATING TO SMALL SCALE INDUSTRIES, TO HOLD OFFICE FOR A PERIOD OF THREE (3) YEARS COMMENCING FROM MARCH 31, 2020 AND THAT HE SHALL NOT BE LIABLE TO RETIRE BY ROTATION AND THAT HE SHALL BE PAID SITTING FEES AND REIMBURSED EXPENSES FOR ATTENDING BOARD AND COMMITTEE MEETINGS, AS MAY BE PERMISSIBLE UNDER LAW FROM TIME TO TIME, AS WELL AS PROFIT RELATED COMMISSION AS MAY BE ALLOWED BY RELEVANT RBI GUIDELINES AND OTHER APPLICABLE LAWS, FROM TIME TO TIME."

TO APPROVE THE RE-APPOINTMENT OF MR. KAIZAD BHARUCHA (DIN 02490648) AS AN EXECUTIVE DIRECTOR AND IN THIS REGARD TO CONSIDER, AND IF THOUGHT FIT, TO PASS, THE FOLLOWING RESOLUTION AS AN ORDINARY RESOLUTION; "RESOLVED THAT PURSUANT TO SECTIONS 196, 197, 203 AND OTHER APPLICABLE PROVISIONS, IF ANY, OF THE COMPANIES ACT, 2013 AND THE RELEVANT RULES THEREUNDER, THE BANKING REGULATION ACT, 1949, RELEVANT CIRCULARS ISSUED BY THE RESERVE BANK OF INDIA ("RBI") FROM TIME TO TIME, INCLUDING ANY AMENDMENTS, MODIFICATIONS, VARIATIONS OR RE-ENACTMENTS THEREOF AND RECOMMENDATION OF THE NOMINATION AND REMUNERATION COMMITTEE OF DIRECTORS AND THE BOARD OF DIRECTORS OF THE BANK (HEREINAFTER REFERRED TO AS THE "BOARD", WHICH TERM SHALL BE DEEMED TO INCLUDE ANY COMMITTEE CONSTITUTED / EMPOWERED / TO BE CONSTITUTED BY THE BOARD FROM TIME TO TIME TO EXERCISE ITS POWERS CONFERRED BY THIS RESOLUTION), AND PURSUANT TO THE APPROVAL RECEIVED FROM THE RBI AND SUBJECT TO THE APPROVALS, AS MAY BE NECESSARY FROM CONCERNED AUTHORITIES OR BODIES AND SUBJECT TO THE CONDITIONS AS MAY BE PRESCRIBED BY ANY OF THEM WHILE GRANTING SUCH APPROVALS, MR. KAIZAD BHARUCHA (DIN 02490648), BE AND IS HEREBY RE-APPOINTED AS EXECUTIVE DIRECTOR OF THE BANK, LIABLE TO RETIRE BY ROTATION, FOR A PERIOD OF THREE (3) YEARS COMMENCING FROM JUNE 13, 2020 UP TO

Management

For

JUNE 12, 2023 UPON SUCH TERMS AND CONDITIONS INCLUDING REMUNERATION AS SET OUT IN THE EXPLANATORY STATEMENT TO THE RESOLUTION AS PER ITEM NO. 8 OF THE NOTICE OF THE ANNUAL GENERAL MEETING AND WHICH IS SPECIFICALLY APPROVED AND SANCTIONED WITH AUTHORITY TO THE BOARD TO ALTER AND VARY THE TERMS AND CONDITIONS OF THE SAID APPOINTMENT AND / OR AGREEMENT INCLUDING INCREMENTS AND / OR ANY OTHER COMPONENTS OF THE REMUNERATION, AS MAY BE NECESSARY FROM TIME TO TIME, IN VIEW OF ANY APPROVALS AND CONDITIONS AS MAY BE GIVEN / STIPULATED BY THE RBI OR ANY OTHER STATUTORY AUTHORITY, (INCLUDING AUTHORITY, FROM TIME TO TIME TO DETERMINE THE AMOUNT OF SALARY AS ALSO THE TYPE AND AMOUNT OF PERQUISITES AND OTHER BENEFITS PAYABLE TO MR. BHARUCHA), IN SUCH MANNER AS MAY BE DECIDED BY THE BOARD; RESOLVED FURTHER THAT THE BOARD BE AND IS HEREBY AUTHORIZED TO DO ALL SUCH ACTS, DEEDS, MATTERS AND THINGS AND TO EXECUTE ANY AGREEMENTS, DOCUMENTS, INSTRUMENTS AND WRITINGS AS MAY BE REQUIRED, WITH POWER TO SETTLE ALL QUESTIONS, DIFFICULTIES OR DOUBTS THAT MAY ARISE IN REGARD TO THE SAID APPOINTMENT AS IT MAY IN ITS SOLE DISCRETION DEEM FIT AND NECESSARY AND TO DELEGATE ALL OR ANY OF ITS POWERS CONFERRED HEREIN TO ANY DIRECTOR(S) AND / OR OFFICER(S) OF THE BANK TO GIVE EFFECT TO THIS RESOLUTION."

TO APPOINT MRS. RENU KARNAD (DIN 00008064) AS A NON- EXECUTIVE DIRECTOR AND IN THIS REGARD TO CONSIDER, AND IF THOUGHT FIT, TO PASS, THE FOLLOWING RESOLUTION AS AN ORDINARY RESOLUTION: "RESOLVED THAT PURSUANT TO SECTION 152 AND OTHER APPLICABLE PROVISIONS, IF ANY, OF THE COMPANIES ACT, 2013 AND THE RELEVANT RULES THEREUNDER, THE BANKING REGULATION ACT, 1949, RELEVANT CIRCULARS ISSUED BY THE RBI FROM TIME TO TIME INCLUDING ANY AMENDMENTS, MODIFICATIONS, VARIATIONS OR RE-ENACTMENTS THEREOF AND RECOMMENDATION OF THE NOMINATION AND REMUNERATION COMMITTEE AND THE BOARD OF DIRECTORS OF THE BANK (HEREINAFTER REFERRED TO AS THE "BOARD", WHICH TERM SHALL BE DEEMED TO INCLUDE ANY COMMITTEE CONSTITUTED / EMPOWERED / TO BE CONSTITUTED BY THE BOARD FROM TIME TO TIME TO EXERCISE ITS POWERS CONFERRED BY THIS RESOLUTION), MRS. RENU KARNAD (DIN 00008064), WHO HAS BEEN APPOINTED AS AN ADDITIONAL NON- EXECUTIVE DIRECTOR OF THE BANK BY THE BOARD WITH EFFECT FROM MARCH 3, 2020 UNTIL

Management

For

SHE ATTAINS THE AGE OF 70 YEARS I.E. UPTO SEPTEMBER 3, 2022 IN ACCORDANCE WITH SECTION 161(1) OF THE COMPANIES ACT, 2013 AND THE ARTICLES OF ASSOCIATION OF THE BANK AND WHOSE TERM OF OFFICE EXPIRES AT THE ANNUAL GENERAL MEETING, BE AND IS HEREBY APPOINTED AS A NON- EXECUTIVE DIRECTOR (NOMINEE OF HOUSING DEVELOPMENT FINANCE CORPORATION LIMITED, PROMOTER OF THE BANK), AND THAT SHE SHALL BE LIABLE TO RETIRE BY ROTATION AND SHALL BE PAID SITTING FEES AND REIMBURSED EXPENSES FOR ATTENDING BOARD AND COMMITTEE MEETINGS, AS MAY BE PERMISSIBLE UNDER LAW FROM TIME TO TIME, AS WELL AS PROFIT RELATED COMMISSION AS MAY BE ALLOWED BY RELEVANT RBI GUIDELINES AND OTHER APPLICABLE LAWS, FROM TIME TO TIME."

TO RATIFY AND APPROVE THE RELATED PARTY TRANSACTIONS WITH HOUSING DEVELOPMENT FINANCE CORPORATION LIMITED AND IN THIS REGARD TO CONSIDER AND, IF THOUGHT FIT, TO PASS, THE FOLLOWING RESOLUTION AS AN ORDINARY RESOLUTION: "RESOLVED THAT PURSUANT TO THE SECURITIES AND EXCHANGE BOARD OF INDIA (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 ("LISTING REGULATIONS") AND ANY OTHER APPLICABLE PROVISIONS OF LAW, INCLUDING ANY AMENDMENTS, MODIFICATIONS, VARIATIONS OR RE-ENACTMENTS THEREOF, THE MEMBERS OF THE BANK DO HEREBY RATIFY AS ALSO ACCORD FURTHER APPROVAL TO THE BOARD OF DIRECTORS OF THE BANK (HEREINAFTER REFERRED TO AS THE "BOARD", WHICH TERM SHALL BE DEEMED TO INCLUDE ANY COMMITTEE CONSTITUTED / EMPOWERED / TO BE CONSTITUTED BY THE BOARD FROM TIME TO TIME TO EXERCISE ITS POWERS CONFERRED BY THIS RESOLUTION) FOR CARRYING OUT AND / OR CONTINUING WITH ARRANGEMENTS AND TRANSACTIONS (WHETHER INDIVIDUAL TRANSACTION OR TRANSACTIONS TAKEN TOGETHER OR SERIES OF TRANSACTIONS OR OTHERWISE) WITH HOUSING DEVELOPMENT FINANCE CORPORATION LIMITED ("HDFC LIMITED"), BEING A RELATED PARTY, WHETHER BY WAY OF RENEWAL(S) OR EXTENSION(S) OR MODIFICATION(S) OF EARLIER ARRANGEMENTS / TRANSACTIONS OR OTHERWISE, INCLUDING BANKING TRANSACTIONS, TRANSACTIONS FOR SOURCING OF HOME LOANS FOR HDFC LIMITED AGAINST THE CONSIDERATION OF THE COMMISSION AGREED UPON OR AS MAY BE MUTUALLY AGREED UPON FROM TIME TO TIME, PURCHASE / SECURITIZATION OF SUCH PERCENTAGE OF HOME LOANS SOURCED AND DISBURSED AS MAY BE AGREED FROM TIME TO

Management

For

TIME MUTUALLY BETWEEN THE BANK AND HDFC LIMITED, SERVICING BY HDFC LIMITED OF HOME LOANS ASSIGNED BY IT / SECURITIZED AGAINST THE CONSIDERATION AGREED UPON OR AS MAY BE AGREED UPON FROM TIME TO TIME AND ANY OTHER TRANSACTIONS INCLUDING THOSE AS MAY BE DISCLOSED IN THE NOTES FORMING PART OF THE FINANCIAL STATEMENTS FOR THE RELEVANT PERIOD, NOTWITHSTANDING THE FACT THAT ALL THESE TRANSACTIONS WITHIN THE FINANCIAL YEAR 2020-21 IN AGGREGATE MAY EXCEED 10% OF THE ANNUAL CONSOLIDATED TURNOVER OF THE BANK AS PER THE BANK'S LAST AUDITED FINANCIAL STATEMENTS OR ANY MATERIALITY THRESHOLD AS MAY BE APPLICABLE FROM TIME TO TIME; RESOLVED FURTHER THAT THE MEMBERS OF THE BANK DO HEREBY RATIFY AS ALSO ACCORD FURTHER APPROVAL TO THE BOARD OF DIRECTORS OF THE BANK TO SIGN AND EXECUTE ALL SUCH DOCUMENTS, DEEDS AND WRITINGS AND TO DO ALL SUCH ACTS, DEEDS, MATTERS AND THINGS AS MAY BE DEEMED NECESSARY, EXPEDIENT AND INCIDENTAL THERETO AND TO DELEGATE ALL OR ANY OF ITS POWERS HEREIN CONFERRED TO ANY COMMITTEE OF DIRECTORS AND / OR DIRECTOR(S) AND / OR OFFICER(S) / EMPLOYEE(S) OF THE BANK / ANY OTHER PERSON(S) TO GIVE EFFECT TO THE AFORESAID RESOLUTION."

TO RATIFY AND APPROVE THE RELATED PARTY TRANSACTIONS WITH HDB FINANCIAL SERVICES LIMITED AND IN THIS REGARD TO CONSIDER, AND IF THOUGHT FIT, TO PASS, THE FOLLOWING RESOLUTION AS AN ORDINARY RESOLUTION: "RESOLVED THAT PURSUANT TO THE SECURITIES AND EXCHANGE BOARD OF INDIA (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 ("LISTING REGULATIONS") AND ANY OTHER APPLICABLE PROVISIONS OF LAW, INCLUDING ANY AMENDMENTS, MODIFICATIONS, VARIATIONS OR RE-ENACTMENTS THEREOF, THE MEMBERS OF THE BANK DO HEREBY RATIFY AND ALSO ACCORD FURTHER APPROVAL TO THE BOARD OF DIRECTORS OF THE BANK (HEREINAFTER REFERRED TO AS THE "BOARD", WHICH TERM SHALL BE DEEMED TO INCLUDE ANY COMMITTEE CONSTITUTED / EMPOWERED / TO BE CONSTITUTED BY THE BOARD FROM TIME TO TIME TO EXERCISE ITS POWERS CONFERRED BY THIS RESOLUTION) FOR CARRYING OUT AND/OR CONTINUING WITH ARRANGEMENTS AND THE TRANSACTIONS (WHETHER INDIVIDUAL TRANSACTIONS OR TRANSACTIONS TAKEN TOGETHER OR SERIES OF TRANSACTIONS OR OTHERWISE) WITH HDB FINANCIAL SERVICES LIMITED ("HDBFSL"), BEING A RELATED PARTY, INCLUDING TRANSACTIONS OF PURCHASE /

Management

For

SECURITIZATION OF LOANS, SERVICING ARRANGEMENTS, IF ANY, BANKING TRANSACTIONS AND ANY OTHER ARRANGEMENTS / TRANSACTIONS AS DISCLOSED IN THE NOTES FORMING PART OF THE FINANCIAL STATEMENTS, WHETHER BY WAY OF CONTINUATION, RENEWAL(S) OR EXTENSION(S) OR MODIFICATION(S) OF EARLIER ARRANGEMENTS / TRANSACTIONS OR OTHERWISE, AGAINST SUCH CONSIDERATION AS AGREED UPON OR AS MAY BE MUTUALLY AGREED UPON FROM TIME TO TIME BETWEEN THE BANK AND HDBFSL, NOTWITHSTANDING THE FACT THAT ALL THESE TRANSACTIONS WITHIN THE FINANCIAL YEAR 2020- 21 IN AGGREGATE MAY EXCEED 10% OF THE ANNUAL CONSOLIDATED TURNOVER OF THE BANK AS PER THE BANK'S LAST AUDITED FINANCIAL STATEMENTS OR ANY MATERIALITY THRESHOLD AS MAY BE APPLICABLE FROM TIME TO TIME; RESOLVED FURTHER THAT THE MEMBERS OF THE BANK DO HEREBY RATIFY AS ALSO ACCORD FURTHER APPROVAL TO THE BOARD OF DIRECTORS OF THE BANK TO SIGN AND EXECUTE ALL SUCH DOCUMENTS, DEEDS AND WRITINGS AND TO DO ALL SUCH ACTS, DEEDS, MATTERS AND THINGS AS MAY BE DEEMED NECESSARY, EXPEDIENT AND INCIDENTAL THERETO AND TO DELEGATE ALL OR ANY OF ITS POWERS HEREIN CONFERRED TO ANY COMMITTEE OF DIRECTORS AND / OR DIRECTOR(S) AND / OR OFFICER(S) / EMPLOYEE(S) OF THE BANK / ANY OTHER PERSON(S) TO GIVE EFFECT TO THE AFORESAID RESOLUTION."

TO ISSUE UNSECURED PERPETUAL DEBT INSTRUMENTS (PART OF ADDITIONAL TIER I CAPITAL), TIER II CAPITAL BONDS AND LONG TERM BONDS (FINANCING OF INFRASTRUCTURE AND AFFORDABLE HOUSING) ON A PRIVATE PLACEMENT BASIS AND IN THIS REGARD TO CONSIDER AND, IF THOUGHT FIT, TO PASS THE FOLLOWING RESOLUTION, AS A SPECIAL RESOLUTION: "RESOLVED THAT PURSUANT TO SECTION 42 AND OTHER APPLICABLE PROVISIONS, IF ANY, OF THE COMPANIES ACT, 2013, RULE 14 AND OTHER APPLICABLE PROVISIONS, IF ANY, OF THE COMPANIES (PROSPECTUS AND ALLOTMENT OF SECURITIES) RULES, 2014, THE COMPANIES (SHARE CAPITAL AND DEBENTURE) RULES, 2014, ANY OTHER APPLICABLE RULES, SECURITIES AND EXCHANGE BOARD OF INDIA (ISSUE AND LISTING OF DEBT SECURITIES) REGULATIONS, 2008, ANY OTHER APPLICABLE PROVISIONS OF LAW, ANY AMENDMENTS, MODIFICATIONS, VARIATIONS OR REENACTMENTS THERETO FROM TIME TO TIME, AND THE PROVISIONS OF THE MEMORANDUM AND ARTICLES OF ASSOCIATION OF THE BANK AND SUBJECT TO SUCH OTHER APPROVAL(S),

Management

For

CONSENT(S), PERMISSION(S) AND SANCTION(S) AS MAY BE NECESSARY FROM THE CONCERNED AUTHORITIES / REGULATORS / STATUTORY AUTHORITY(IES), INCLUDING THE RESERVE BANK OF INDIA ("RBI"), THE APPROVAL OF THE MEMBERS OF THE BANK BE AND IS HEREBY ACCORDED TO THE BOARD OF DIRECTORS OF THE BANK (HEREINAFTER REFERRED TO AS "BOARD" AND WHICH TERM SHALL BE DEEMED TO INCLUDE ANY COMMITTEE OF THE BOARD OR ANY OTHER PERSONS TO WHOM POWERS ARE DELEGATED BY THE BOARD AS PERMITTED UNDER THE COMPANIES ACT, 2013 OR RULES THEREUNDER) FOR BORROWING / RAISING FUNDS IN INDIAN CURRENCY BY ISSUE OF UNSECURED PERPETUAL DEBT INSTRUMENTS (PART OF ADDITIONAL TIER I CAPITAL), TIER II CAPITAL BONDS AND LONG TERM BONDS (FINANCING OF INFRASTRUCTURE AND AFFORDABLE HOUSING) IN DOMESTIC MARKET ON A PRIVATE PLACEMENT BASIS AND / OR FOR MAKING OFFERS AND / OR INVITATIONS THEREFOR AND / OR ISSUE(S) / ISSUANCES THEREFOR, ON PRIVATE PLACEMENT BASIS, FOR A PERIOD OF ONE (1) YEAR FROM THE DATE HEREOF, IN ONE OR MORE TRANCHES AND / OR SERIES AND UNDER ONE OR MORE SHELF DISCLOSURE DOCUMENTS AND / OR ONE OR MORE ISSUES / LETTERS OF OFFER OR SUCH OTHER DOCUMENTS OR AMENDMENTS / REVISIONS THEREOF AND ON SUCH TERMS AND CONDITIONS FOR EACH SERIES / TRANCHES INCLUDING THE PRICE, COUPON, PREMIUM, DISCOUNT, TENOR, ETC. AS DEEMED FIT BY THE BOARD, AS PER THE STRUCTURE AND WITHIN THE LIMITS PERMITTED BY THE RBI, OF AN AMOUNT IN AGGREGATE NOT EXCEEDING INR 50,000 CRORES (RUPEES FIFTY THOUSAND CRORES ONLY); RESOLVED FURTHER THAT THE MEMBERS OF THE BANK DO HEREBY ACCORD APPROVAL TO THE BOARD OF DIRECTORS OF THE BANK TO SIGN AND EXECUTE ALL SUCH DOCUMENTS, DEEDS AND WRITINGS AND TO DO ALL SUCH ACTS, DEEDS, MATTERS AND THINGS AS MAY BE DEEMED NECESSARY, EXPEDIENT AND INCIDENTAL THERETO WITH POWER TO SETTLE ALL QUESTIONS, DIFFICULTIES OR DOUBTS THAT MAY ARISE WITH REGARD TO ANY OF THE SAID MATTERS, AND TO DELEGATE ALL OR ANY OF ITS POWERS HEREIN CONFERRED TO ANY COMMITTEE OF DIRECTORS AND / OR DIRECTOR(S) AND / OR OFFICER(S) / EMPLOYEE(S) OF THE BANK / ANY OTHER PERSON(S) TO GIVE EFFECT TO THE AFORESAID RESOLUTION."

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL28

STATE STREET BANK

175,164

26-Jun-2020

QORVO, INC.

Security

74736K101

Meeting Type

Annual

Ticker Symbol

QRVO

Meeting Date

04-Aug-2020

ISIN

US74736K1016

Agenda

935242191 - Management

Record Date

11-Jun-2020

Holding Recon Date

11-Jun-2020

City /

Country

United States

Vote Deadline Date

03-Aug-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

DIRECTOR

Management

Ralph G. Quinsey

For

Robert A. Bruggeworth

For

Jeffery R. Gardner

For

John R. Harding

For

David H. Y. Ho

For

Roderick D. Nelson

For

Dr. Walden C. Rhines

For

Susan L. Spradley

For

Walter H. Wilkinson, Jr

For

To approve, on an advisory basis, the compensation of our Named Executive Officers (as defined in the proxy statement).

Management

For

To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending April 3, 2021.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

5,840

24-Jun-2020

GDS HOLDINGS LIMITED

Security

36165L108

Meeting Type

Annual

Ticker Symbol

GDS

Meeting Date

06-Aug-2020

ISIN

US36165L1089

Agenda

935250946 - Management

Record Date

10-Jul-2020

Holding Recon Date

10-Jul-2020

City /

Country

United States

Vote Deadline Date

03-Aug-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

Re-election of Mr. Gary J. Wojtaszek as a director of the Company.

Management

For

Re-election of Mr. Satoshi Okada as a director of the Company.

Management

For

Confirmation of the appointment of KPMG Huazhen LLP as independent auditor of the Company for the fiscal year ending December 31, 2020.

Management

For

Approval of the amendment to Section 3(a) of the 2016 Equity Incentive Plan of the Company (the "ESOP Amendment") as follows: "Subject to the provisions of Section 9 and paragraph (b) of this Section 3, the maximum number of Shares which may be issuable pursuant to Awards under the Plan is 56,707,560 Shares, provided, however, that the maximum number of unallocated Shares which may be issuable pursuant to Awards under the Plan shall be automatically increased on the first day of each fiscal year ...(due to space limits, see proxy material for full proposal).

Management

For

Authorization of the Board of Directors of the Company to approve allotment or issuance, in the 12-month period from the date of the Meeting, of ordinary shares or other equity or equity-linked securities of the Company up to an aggregate twenty per cent. (20%) of its existing issued share capital of the Company at the date of the Meeting, whether in a single transaction or a series of transactions (OTHER THAN any allotment or issues of shares on the exercise of any options that have been granted by the Company).

Management

For

Authorization of each of the directors and officers of the Company to take any and every action that might be necessary to effect the foregoing resolutions as such director or officer, in his or her absolute discretion, thinks fit.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

170

24,860

17-Jul-2020

MICROCHIP TECHNOLOGY INCORPORATED

Security

595017104

Meeting Type

Annual

Ticker Symbol

MCHP

Meeting Date

18-Aug-2020

ISIN

US5950171042

Agenda

935248357 - Management

Record Date

24-Jun-2020

Holding Recon Date

24-Jun-2020

City /

Country

United States

Vote Deadline Date

17-Aug-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1a.

Election of Director: Steve Sanghi

Management

For

1b.

Election of Director: Matthew W. Chapman

Management

For

1c.

Election of Director: L.B. Day

Management

For

1d.

Election of Director: Esther L. Johnson

Management

For

1e.

Election of Director: Wade F. Meyercord

Management

For

Proposal to ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm of Microchip for the fiscal year ending March 31, 2021.

Management

For

Proposal to approve, on an advisory (non-binding) basis, the compensation of our named executives.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

18,800

15-Jul-2020

ZAI LAB LTD

Security

98887Q104

Meeting Type

Special

Ticker Symbol

ZLAB

Meeting Date

04-Sep-2020

ISIN

US98887Q1040

Agenda

935262004 - Management

Record Date

07-Aug-2020

Holding Recon Date

07-Aug-2020

City /

Country

China

Vote Deadline Date

28-Aug-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

O1.

AS AN ORDINARY RESOLUTION: That the shareholders of the Company hereby authorize, approve, and confirm with immediate effect that the authorized share capital of the Company be increased to US$30,000 divided into 500,000,000 shares of a nominal or par value of US$0.00006.

Management

For

S2.

AS A SPECIAL RESOLUTION: That, in connection with the increase in share capital, the shareholders of the Company hereby authorize, approve, and confirm with immediate effect that the Fourth Amended and Restated Memorandum of Association of the Company be replaced in its entirety with the consolidated version as tabled at the Meeting and as attached to the notice of the Extraordinary General Meeting.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

4,600

18-Aug-2020

WNS (HOLDINGS) LIMITED

Security

92932M101

Meeting Type

Annual

Ticker Symbol

WNS

Meeting Date

24-Sep-2020

ISIN

US92932M1018

Agenda

935265113 - Management

Record Date

20-Aug-2020

Holding Recon Date

20-Aug-2020

City /

Country

United States

Vote Deadline Date

15-Sep-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

Adoption of the audited annual accounts of the Company for the financial year ended March 31, 2020, together with the auditors' report.

Management

For

Re-appointment of Grant Thornton India LLP as the auditors of the Company.

Management

For

Approval of auditors' remuneration for the financial year ending March 31, 2021.

Management

For

Re-election of the Class II Director, Mr. Michael Menezes.

Management

For

Re-election of the Class II Director, Mr. Keith Haviland.

Management

For

Re-election of the Class II Director, Mr. Keshav R Murugesh.

Management

For

Approval of Directors' remuneration for the period from the Annual General Meeting until the next annual general meeting of the Company to be held in respect of the financial year ending March 31, 2021.

Management

For

Increase in the Ordinary Shares/American Depositary Shares, ("ADSs") available for grant under the Company's 2016 Incentive Award Plan as may be amended and restated pursuant to and in accordance with terms thereof ("the 2016 Incentive Award Plan") by 2.2 Million Ordinary Shares/ADSs (representing 4.4% of the total outstanding share capital as at June 30, 2020) and the adoption of Company's Second Amended and Restated 2016 Incentive Award Plan to reflect such increase, substantially in the form set out in Appendix B to this Proxy Statement.

Management

For

To authorize the purchase of ADSs, effective from April 1, 2021("the Effective Date") and up to (and excluding) the date of the third anniversary of the Effective Date, subject to a minimum and maximum price and an aggregate limit on the ADSs to be purchased (the "Repurchase Plan.").

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

11,000

26-Aug-2020

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

26,200

26-Aug-2020

MEITUAN

Security

G59669104

Meeting Type

ExtraOrdinary General Meeting

Ticker Symbol

Meeting Date

29-Sep-2020

ISIN

KYG596691041

Agenda

713104874 - Management

Record Date

23-Sep-2020

Holding Recon Date

23-Sep-2020

City /

Country

BEIJING

Cayman Islands

Vote Deadline Date

22-Sep-2020

SEDOL(s)

BF55PW1 - BFZP1K1 - BGJW376 - BJXML02

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

CMMT

PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- https://www1.hkexnews.hk/listedco/listconews/sehk/2020/ 0911/2020091100448.pdf-AND- https://www1.hkexnews.hk/listedco/listconews/sehk/2020/ 0911/2020091100420.pdf

Non-Voting

CMMT

PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR- ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING

Non-Voting

1.A

TO APPROVE, SUBJECT TO AND CONDITIONAL UPON THE APPROVAL OF THE REGISTRAR OF COMPANIES OF THE CAYMAN ISLANDS, THE CHANGE OF THE ENGLISH NAME OF THE COMPANY FROM "MEITUAN DIANPING" TO "MEITUAN" AND THE ADOPTION OF THE CHINESE NAME OF ("AS SPECIFIED") AS THE DUAL FOREIGN NAME OF THE COMPANY IN PLACE OF ITS EXISTING CHINESE NAME OF ("AS SPECIFIED") WITH EFFECT FROM THE DATE OF REGISTRATION AS SET OUT IN THE CERTIFICATE OF INCORPORATION ON CHANGE OF NAME ISSUED BY THE REGISTRAR OF COMPANIES OF THE CAYMAN ISLANDS

Management

For

1.B

TO AUTHORIZE ANY ONE DIRECTOR OF THE COMPANY ON BEHALF OF THE COMPANY TO DO ALL SUCH ACTS AND THINGS AND EXECUTE AND DELIVER ALL SUCH DOCUMENTS WHICH HE CONSIDERS NECESSARY, DESIRABLE OR EXPEDIENT FOR THE PURPOSE OF, OR IN CONNECTION WITH, THE IMPLEMENTATION OF AND GIVING EFFECT TO RESOLUTION NO. 1(A) ABOVE AND TO ATTEND TO ANY REGISTRATION AND/OR FILING IN THE CAYMAN ISLANDS AND HONG KONG ON BEHALF OF THE COMPANY

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL28

STATE STREET BANK

62,300

12-Sep-2020

ALIBABA GROUP HOLDING LTD

Security

G01719114

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

30-Sep-2020

ISIN

KYG017191142

Agenda

713057619 - Management

Record Date

17-Aug-2020

Holding Recon Date

17-Aug-2020

City /

Country

HANGZH OU

Cayman Islands

Vote Deadline Date

23-Sep-2020

SEDOL(s)

BK6YZP5 - BKBZDX7 - BKTCWH7

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

CMMT

PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- https://www1.hkexnews.hk/listedco/listconews/sehk/2020/ 0825/2020082501039.pdf-AND- https://www1.hkexnews.hk/listedco/listconews/sehk/2020/ 0825/2020082500999.pdf

Non-Voting

AMEND AND RESTATE THE COMPANY'S MEMORANDUM AND ARTICLES OF ASSOCIATION TO EXPRESSLY PERMIT COMPLETELY VIRTUAL SHAREHOLDERS' MEETINGS AND REFLECT SUCH UPDATES AS DETAILED IN THE PROXY STATEMENT AND SET FORTH IN EXHIBIT A THERETO

Management

For

2.1

ELECT THE FOLLOWING DIRECTOR NOMINEE TO SERVE ON THE BOARD OF DIRECTORS: MAGGIE WEI WU

Management

For

2.2

ELECT THE FOLLOWING DIRECTOR NOMINEE TO SERVE ON THE BOARD OF DIRECTORS: KABIR MISRA

Management

For

2.3

ELECT THE FOLLOWING DIRECTOR NOMINEE TO SERVE ON THE BOARD OF DIRECTORS: WALTER TEH MING KWAUK

Management

For

RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF THE COMPANY FOR THE FISCAL YEAR ENDING MARCH 31, 2021

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL28

STATE STREET BANK

85,050

27-Aug-2020

SLR INVESTMENT CORP.

Security

83413U100

Meeting Type

Annual

Ticker Symbol

SLRC

Meeting Date

06-Oct-2020

ISIN

US83413U1007

Agenda

935263626 - Management

Record Date

11-Aug-2020

Holding Recon Date

11-Aug-2020

City /

Country

United States

Vote Deadline Date

05-Oct-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

DIRECTOR

Management

Bruce Spohler

For

Steven Hochberg

For

To approve a proposal to authorize Solar Capital Ltd. to sell shares of its common stock at a price or prices below Solar Capital Ltd.'s then current net asset value per share in one or more offerings, in each case subject to the approval of its board of directors and compliance with the conditions set forth in the proxy statement (including, without limitation, that the number of shares issued does not exceed 25% of Solar Capital Ltd.'s then outstanding common stock immediately prior to each such offering).

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

39,400

21-Aug-2020

TELADOC HEALTH, INC.

Security

87918A105

Meeting Type

Special

Ticker Symbol

TDOC

Meeting Date

29-Oct-2020

ISIN

US87918A1051

Agenda

935274794 - Management

Record Date

08-Sep-2020

Holding Recon Date

08-Sep-2020

City /

Country

United States

Vote Deadline Date

28-Oct-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

Approval of Share Issuance. To approve the issuance of shares of Teladoc Health, Inc. ("Teladoc") common stock to the shareholders of Livongo Health, Inc. ("Livongo") pursuant to the Agreement and Plan of Merger, dated as of August 5, 2020, by and among Teladoc, Livongo, and Tempranillo Merger Sub, Inc., a wholly-owned subsidiary of Teladoc (the "Teladoc share issuance proposal").

Management

For

Adoption of Charter Amendment. To adopt an amendment to the certificate of incorporation of Teladoc (the "Teladoc charter amendment proposal")

Management

For

Adjournment of Teladoc Shareholder Meeting. To approve the adjournment of the Teladoc shareholder meeting to solicit additional proxies if there are not sufficient votes at the time of the Teladoc shareholder meeting to approve the Teladoc share issuance proposal and the Teladoc charter amendment proposal or to ensure that any supplement or amendment to the accompanying joint proxy statement/prospectus is timely provided to Teladoc shareholders.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

4,640

19-Sep-2020

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

104

12,100

19-Sep-2020

LAM RESEARCH CORPORATION

Security

512807108

Meeting Type

Annual

Ticker Symbol

LRCX

Meeting Date

03-Nov-2020

ISIN

US5128071082

Agenda

935272675 - Management

Record Date

04-Sep-2020

Holding Recon Date

04-Sep-2020

City /

Country

United States

Vote Deadline Date

02-Nov-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

DIRECTOR

Management

Sohail U. Ahmed

For

Timothy M. Archer

For

Eric K. Brandt

For

Michael R. Cannon

For

Catherine P. Lego

For

Bethany J. Mayer

For

Abhijit Y. Talwalkar

For

Lih Shyng (Rick L) Tsai

For

Leslie F. Varon

For

Advisory vote to approve the compensation of the named executive officers of Lam Research, or "Say on Pay."

Management

For

Ratification of the appointment of the independent registered public accounting firm for fiscal year 2021.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

180

5,975

24-Sep-2020

COVETRUS, INC.

Security

22304C100

Meeting Type

Special

Ticker Symbol

CVET

Meeting Date

17-Nov-2020

ISIN

US22304C1009

Agenda

935292994 - Management

Record Date

23-Oct-2020

Holding Recon Date

23-Oct-2020

City /

Country

United States

Vote Deadline Date

16-Nov-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

To approve the conversion of the Series A Convertible Preferred Stock into shares of Common Stock pursuant to NASDAQ Listing Rule 5635(b) to provide for the elimination of the preferred dividends.

Management

For

To approve an adjournment of the Special Meeting, if necessary or appropriate, to permit solicitation of additional proxies in favor of the above proposal.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

18,200

31-Oct-2020

997AL61

GLQ MS PLEDGE

997AL61

STATE STREET BANK & TRUST CO

95,900

31-Oct-2020

MICROSOFT CORPORATION

Security

594918104

Meeting Type

Annual

Ticker Symbol

MSFT

Meeting Date

02-Dec-2020

ISIN

US5949181045

Agenda

935284478 - Management

Record Date

08-Oct-2020

Holding Recon Date

08-Oct-2020

City /

Country

United States

Vote Deadline Date

01-Dec-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Reid G. Hoffman

Management

For

1B.

Election of Director: Hugh F. Johnston

Management

For

1C.

Election of Director: Teri L. List-Stoll

Management

For

1D.

Election of Director: Satya Nadella

Management

For

1E.

Election of Director: Sandra E. Peterson

Management

For

1F.

Election of Director: Penny S. Pritzker

Management

For

1G.

Election of Director: Charles W. Scharf

Management

For

1H.

Election of Director: Arne M. Sorenson

Management

For

1I.

Election of Director: John W. Stanton

Management

For

1J.

Election of Director: John W. Thompson

Management

For

1K.

Election of Director: Emma N. Walmsley

Management

For

1L.

Election of Director: Padmasree Warrior

Management

For

Advisory vote to approve named executive officer compensation.

Management

For

Ratification of Deloitte & Touche LLP as our independent auditor for fiscal year 2021.

Management

For

Shareholder Proposal - Report on Employee Representation on Board of Directors.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

7,070

21-Oct-2020

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

10,359

9,100

21-Oct-2020

BARINGS BDC, INC.

Security

06759L103

Meeting Type

Special

Ticker Symbol

BBDC

Meeting Date

23-Dec-2020

ISIN

US06759L1035

Agenda

935311314 - Management

Record Date

29-Oct-2020

Holding Recon Date

29-Oct-2020

City /

Country

United States

Vote Deadline Date

22-Dec-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

To approve the issuance of shares of Barings BDC, Inc. ("Barings BDC") common stock, $0.001 par value per share ("Barings BDC Common Stock"), pursuant to the Agreement and Plan of Merger, dated as of August 10, 2020, by and among Barings BDC, Mustang Acquisition Sub, Inc., MVC Capital, Inc. and Barings LLC ("Merger Agreement").

Management

For

To approve the issuance of shares of Barings BDC Common Stock pursuant to the Merger Agreement at a price below its then- current net asset value per share, if applicable.

Management

For

To approve an amended and restated investment advisory agreement between Barings BDC and Barings LLC.

Management

For

To approve the adjournment of the Barings BDC special meeting, if necessary or appropriate, to solicit additional proxies, in the event that there are insufficient votes at the time of the Barings BDC special meeting to approve Proposal 1, Proposal 2 or Proposal 3.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

120,846

01-Dec-2020

MICRON TECHNOLOGY, INC.

Security

595112103

Meeting Type

Annual

Ticker Symbol

Meeting Date

14-Jan-2021

ISIN

US5951121038

Agenda

935308975 - Management

Record Date

18-Nov-2020

Holding Recon Date

18-Nov-2020

City /

Country

United States

Vote Deadline Date

13-Jan-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1a.

Election of Director: Richard M. Beyer

Management

For

1b.

Election of Director: Lynn A. Dugle

Management

For

1c.

Election of Director: Steven J. Gomo

Management

For

1d.

Election of Director: Mary Pat McCarthy

Management

For

1e.

Election of Director: Sanjay Mehrotra

Management

For

1f.

Election of Director: Robert E. Switz

Management

For

1g.

Election of Director: MaryAnn Wright

Management

For

PROPOSAL BY THE COMPANY TO APPROVE A NON- BINDING RESOLUTION TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS AS DESCRIBED IN THE PROXY STATEMENT.

Management

For

PROPOSAL BY THE COMPANY TO APPROVE OUR AMENDED AND RESTATED 2007 EQUITY INCENTIVE PLAN AND INCREASE THE SHARES RESERVED FOR ISSUANCE THEREUNDER BY 35 MILLION AS DESCRIBED IN THE PROXY STATEMENT.

Management

For

PROPOSAL BY THE COMPANY TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF THE COMPANY FOR THE FISCAL YEAR ENDING SEPTEMBER 2, 2021.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

51,000

02-Dec-2020

D.R. HORTON, INC.

Security

23331A109

Meeting Type

Annual

Ticker Symbol

DHI

Meeting Date

20-Jan-2021

ISIN

US23331A1097

Agenda

935320870 - Management

Record Date

30-Nov-2020

Holding Recon Date

30-Nov-2020

City /

Country

United States

Vote Deadline Date

19-Jan-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of director: Donald R. Horton

Management

For

1B.

Election of director: Barbara K. Allen

Management

For

1C.

Election of director: Brad S. Anderson

Management

For

1D.

Election of director: Michael R. Buchanan

Management

For

1E.

Election of director: Michael W. Hewatt

Management

For

1F.

Election of director: Maribess L. Miller

Management

For

Approval of the advisory resolution on executive compensation.

Management

For

Ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

10,000

29-Dec-2020

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

18,700

37,200

29-Dec-2020

997AL61

GLQ MS PLEDGE

997AL61

STATE STREET BANK & TRUST CO

5,000

29-Dec-2020

INTUIT INC.

Security

461202103

Meeting Type

Annual

Ticker Symbol

INTU

Meeting Date

21-Jan-2021

ISIN

US4612021034

Agenda

935313217 - Management

Record Date

23-Nov-2020

Holding Recon Date

23-Nov-2020

City /

Country

United States

Vote Deadline Date

20-Jan-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1a.

Election of Director: Eve Burton

Management

For

1b.

Election of Director: Scott D. Cook

Management

For

1c.

Election of Director: Richard L. Dalzell

Management

For

1d.

Election of Director: Sasan K. Goodarzi

Management

For

1e.

Election of Director: Deborah Liu

Management

For

1f.

Election of Director: Tekedra Mawakana

Management

For

1g.

Election of Director: Suzanne Nora Johnson

Management

For

1h.

Election of Director: Dennis D. Powell

Management

For

1i.

Election of Director: Brad D. Smith

Management

For

1j.

Election of Director: Thomas Szkutak

Management

For

1k.

Election of Director: Raul Vazquez

Management

For

1l.

Election of Director: Jeff Weiner

Management

For

Advisory vote to approve Intuit's executive compensation (say-on-pay).

Management

For

Ratification of the selection of Ernst & Young LLP as Intuit's independent registered public accounting firm for the fiscal year ending July 31, 2021.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

4,650

05-Dec-2020

GOLUB CAPITAL BDC, INC.

Security

38173M102

Meeting Type

Annual

Ticker Symbol

GBDC

Meeting Date

05-Feb-2021

ISIN

US38173M1027

Agenda

935319144 - Management

Record Date

14-Dec-2020

Holding Recon Date

14-Dec-2020

City /

Country

United States

Vote Deadline Date

04-Feb-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Class II Director of the Company who will each serve for a term expiring in 2024 or until his successor is duly elected and qualified: John T. Baily

Management

For

1B.

Election of Class II Director of the Company who will each serve for a term expiring in 2024 or until his successor is duly elected and qualified: Kenneth F. Bernstein

Management

For

To ratify the selection of Ernst & Young LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2021.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

152,461

22-Dec-2020

SMART GLOBAL HOLDINGS, INC.

Security

G8232Y101

Meeting Type

Annual

Ticker Symbol

SGH

Meeting Date

12-Feb-2021

ISIN

KYG8232Y1017

Agenda

935319384 - Management

Record Date

09-Dec-2020

Holding Recon Date

09-Dec-2020

City /

Country

United States

Vote Deadline Date

11-Feb-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Sandeep Nayyar

Management

For

1B.

Election of Director: Mukesh Patel

Management

For

1C.

Election of Director: Maximiliane Straub

Management

For

Ratification of the selection by the Board of Directors of the Company (the Board or the Board of Directors) of Deloitte & Touche LLP (Deloitte) as the Company's independent registered public accounting firm for the Company's fiscal year ending August 27, 2021.

Management

For

Approval, by a non-binding advisory vote, of the compensation of the Named Executive Officers of SMART Global Holdings, Inc. as disclosed in the proxy statement for our 2021 Annual Meeting of Shareholders.

Management

For

Approval of an amendment to the SMART Global Holdings, Inc. Amended and Restated 2017 Share Incentive Plan to increase the number of ordinary shares available for issuance by 1,000,000.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

1,500

23-Dec-2020

APPLE INC.

Security

037833100

Meeting Type

Annual

Ticker Symbol

AAPL

Meeting Date

23-Feb-2021

ISIN

US0378331005

Agenda

935323167 - Management

Record Date

28-Dec-2020

Holding Recon Date

28-Dec-2020

City /

Country

United States

Vote Deadline Date

22-Feb-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: James Bell

Management

For

1B.

Election of Director: Tim Cook

Management

For

1C.

Election of Director: Al Gore

Management

For

1D.

Election of Director: Andrea Jung

Management

For

1E.

Election of Director: Art Levinson

Management

For

1F.

Election of Director: Monica Lozano

Management

For

1G.

Election of Director: Ron Sugar

Management

For

1H.

Election of Director: Sue Wagner

Management

For

Ratification of the appointment of Ernst & Young LLP as Apple's independent registered public accounting firm for fiscal 2021.

Management

For

Advisory vote to approve executive compensation.

Management

For

A shareholder proposal entitled "Shareholder Proxy Access Amendments".

Shareholder

Against

For

A shareholder proposal entitled "Shareholder Proposal to Improve Executive Compensation Program".

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

12,920

07-Jan-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

41,440

07-Jan-2021

INFINEON TECHNOLOGIES AG

Security

D35415104

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

25-Feb-2021

ISIN

DE0006231004

Agenda

713541060 - Management

Record Date

18-Feb-2021

Holding Recon Date

18-Feb-2021

City /

Country

NEUBIBE RG

Germany

Vote Deadline Date

11-Feb-2021

SEDOL(s)

5889505 - B0CRGY4 - B108X56 - B7N2TT3 - BF0Z753

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

CMMT

PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF-NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF BEING REJECTED. THANK YOU

Non-Voting

CMMT

PLEASE NOTE THAT FOLLOWING THE AMENDMENT TO PARAGRAPH 21 OF THE SECURITIES-TRADE ACT ON 9TH JULY 2015 AND THE OVER-RULING OF THE DISTRICT COURT IN-COLOGNE JUDGMENT FROM 6TH JUNE 2012 THE VOTING PROCESS HAS NOW CHANGED WITH-REGARD TO THE GERMAN REGISTERED SHARES. AS A RESULT, IT IS NOW THE-RESPONSIBILITY OF THE END-INVESTOR (I.E. FINAL BENEFICIARY) AND NOT THE-INTERMEDIARY TO DISCLOSE RESPECTIVE FINAL BENEFICIARY VOTING RIGHTS THEREFORE-THE CUSTODIAN BANK / AGENT IN THE MARKET WILL BE SENDING THE VOTING DIRECTLY-TO MARKET AND IT IS THE END INVESTORS RESPONSIBILITY TO ENSURE THE- REGISTRATION ELEMENT IS COMPLETE WITH THE ISSUER DIRECTLY, SHOULD THEY HOLD-MORE THAN 3 % OF THE TOTAL SHARE CAPITAL

Non-Voting

CMMT

THE VOTE/REGISTRATION DEADLINE AS DISPLAYED ON PROXYEDGE IS SUBJECT TO CHANGE-AND WILL BE UPDATED AS SOON AS BROADRIDGE RECEIVES CONFIRMATION FROM THE SUB-CUSTODIANS REGARDING THEIR INSTRUCTION DEADLINE. FOR ANY QUERIES PLEASE-CONTACT YOUR CLIENT SERVICES REPRESENTATIVE.

Non-Voting

CMMT

ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN- CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE- NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS-AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS-NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING

Non-Voting

ACT (WPHG). FOR-QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE-FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS- USUAL.

CMMT

FURTHER INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE-ISSUER'S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE-APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A-MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY'S MEETING.- COUNTER PROPOSALS CANNOT BE REFLECTED IN THE BALLOT ON PROXYEDGE.

Non-Voting

CMMT

FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN-ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE-AVAILABLE AS A LINK UNDER THE 'MATERIAL URL' DROPDOWN AT THE TOP OF THE-BALLOT. THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN-PLACE. FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE.

Non-Voting

RECEIVE FINANCIAL STATEMENTS AND STATUTORY REPORTS FOR FISCAL 2020

Non-Voting

APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF EUR 0.22 PER SHARE

Management

For

3.1

APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER REINHARD PLOSS FOR FISCAL 2020

Management

For

3.2

APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER HELMUT GASSEL FOR FISCAL 2020

Management

For

3.3

APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER JOCHEN HANEBECK FOR FISCAL 2020

Management

For

3.4

APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER SVEN SCHNEIDER FOR FISCAL 2020

Management

For

4.1

APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER WOLFGANG EDER FOR FISCAL 2020

Management

For

4.2

APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER PETER BAUER (UNTIL FEB. 20, 2020) FOR FISCAL 2020

Management

For

4.3

APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER XIAOQUN CLEVER (FROM FEB. 20, 2020) FOR FISCAL 2020

Management

For

4.4

APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER JOHANN DECHANT FOR FISCAL 2020

Management

For

4.5

APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER HERBERT DIESS (UNTIL FEB. 20, 2020) FOR FISCAL 2020

Management

For

4.6

APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER FRIEDRICH EICHINER (FROM FEB. 20, 2020) FOR FISCAL 2020

Management

For

4.7

APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER ANNETTE ENGELFRIED FOR FISCAL 2020

Management

For

4.8

APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER PETER GRUBER FOR FISCAL 2020

Management

For

4.9

APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER GERHARD HOBBACH (UNTIL FEB. 20, 2020) FOR FISCAL 2020

Management

For

4.10

APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER HANS ULRICH HOLDENRIED FOR FISCAL 2020

Management

For

4.11

APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER RENATE KOECHER (UNTIL FEB. 20, 2020) FOR FISCAL 2020

Management

For

4.12

APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER SUSANNE LACHENMANN FOR FISCAL 2020

Management

For

4.13

APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER GERALDINE PICAUD FOR FISCAL 2020

Management

For

4.14

APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER MANFRED PUFFER FOR FISCAL 2020

Management

For

4.15

APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER MELANIE RIEDL (FROM FEB. 20, 2020) FOR FISCAL 2020

Management

For

4.16

APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER KERSTIN SCHULZENDORF FOR FISCAL 2020

Management

For

4.17

APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER JUERGEN SCHOLZ FOR FISCAL 2020

Management

For

4.18

APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER ULRICH SPIESSHOFER (FROM FEB. 20, 2020) FOR FISCAL 2020

Management

For

4.19

APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER MARGRET SUCKALE (FROM FEB. 20, 2020) FOR FISCAL 2020

Management

For

4.20

APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER ECKART SUENNER (UNTIL FEB. 20, 2020) FOR FISCAL 2020

Management

For

4.21

APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER DIANA VITALE FOR FISCAL 2020

Management

For

RATIFY KPMG AG AS AUDITORS FOR FISCAL 2021

Management

For

APPROVE REMUNERATION POLICY

Management

For

APPROVE REMUNERATION OF SUPERVISORY BOARD

Management

For

APPROVE CREATION OF EUR 30 MILLION POOL OF CAPITAL FOR EMPLOYEE STOCK PURCHASE PLAN

Management

For

AMEND ARTICLES RE: INFORMATION FOR REGISTRATION IN THE SHARE REGISTER

Management

For

AMEND ARTICLES RE: SUPERVISORY BOARD'S RULES OF PROCEDURE

Management

For

CMMT

18 JAN 2021: INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE-CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE-II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE-VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF- DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED-CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE. THANK YOU

Non-Voting

CMMT

20 JAN 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF COMMENT.-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

CMMT

20 JAN 2021: PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS)-AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED-MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT-CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE-CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST-SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN-THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS-PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE-SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE- BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS- MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION-AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE- TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST- SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY- PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU

Non-Voting

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL28

STATE STREET BANK

111,717

16-Jan-2021

HOLOGIC, INC.

Security

436440101

Meeting Type

Annual

Ticker Symbol

HOLX

Meeting Date

11-Mar-2021

ISIN

US4364401012

Agenda

935326579 - Management

Record Date

12-Jan-2021

Holding Recon Date

12-Jan-2021

City /

Country

United States

Vote Deadline Date

10-Mar-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Stephen P. MacMillan

Management

For

1B.

Election of Director: Sally W. Crawford

Management

For

1C.

Election of Director: Charles J. Dockendorff

Management

For

1D.

Election of Director: Scott T. Garrett

Management

For

1E.

Election of Director: Ludwig N. Hantson

Management

For

1F.

Election of Director: Namal Nawana

Management

For

1G.

Election of Director: Christiana Stamoulis

Management

For

1H.

Election of Director: Amy M. Wendell

Management

For

A non-binding advisory resolution to approve executive compensation.

Management

For

Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for fiscal 2021.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

740

22-Jan-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

38,100

22-Jan-2021

SAMSUNG ELECTRONICS CO LTD

Security

Y74718100

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

17-Mar-2021

ISIN

KR7005930003

Agenda

713609038 - Management

Record Date

31-Dec-2020

Holding Recon Date

31-Dec-2020

City /

Country

GYEONG GI

Korea, Republic Of

Vote Deadline Date

05-Mar-2021

SEDOL(s)

6771720 - B19VC15

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

APPROVAL OF FINANCIAL STATEMENTS

Management

For

2.1.1

ELECTION OF OUTSIDE DIRECTOR: BAK BYEONG GUK

Management

For

2.1.2

ELECTION OF OUTSIDE DIRECTOR: GIM JONG HUN

Management

For

2.2.1

ELECTION OF INSIDE DIRECTOR: GIM GI NAM

Management

For

2.2.2

ELECTION OF INSIDE DIRECTOR: GIM HYEON SEOK

Management

For

2.2.3

ELECTION OF INSIDE DIRECTOR: GO DONG JIN

Management

For

ELECTION OF OUTSIDE DIRECTOR WHO IS AN AUDIT COMMITTEE MEMBER: KIM SUNWOOK

Management

For

APPROVAL OF REMUNERATION FOR DIRECTOR

Management

For

CMMT

17 FEB 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN TEXT OF- RESOLUTION 3. 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

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL28

STATE STREET BANK

50,637

17-Feb-2021

TRANSDIGM GROUP INCORPORATED

Security

893641100

Meeting Type

Annual

Ticker Symbol

TDG

Meeting Date

18-Mar-2021

ISIN

US8936411003

Agenda

935331873 - Management

Record Date

27-Jan-2021

Holding Recon Date

27-Jan-2021

City /

Country

United States

Vote Deadline Date

17-Mar-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

DIRECTOR

Management

David Barr

For

Mervin Dunn

For

Michael Graff

For

Sean Hennessy

For

W. Nicholas Howley

For

Raymond Laubenthal

For

Gary E. McCullough

For

Michele Santana

For

Robert Small

For

John Staer

For

Kevin Stein

For

To approve (in an advisory vote) compensation paid to the Company's named executive officers.

Management

For

To ratify the selection of Ernst & Young LLP as the Company's independent accountants for the fiscal year ending September 30, 2021.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

6,000

06-Feb-2021

997AL61

GLQ MS PLEDGE

997AL61

STATE STREET BANK & TRUST CO

454

06-Feb-2021

RENESAS ELECTRONICS CORPORATION

Security

J4881V107

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

31-Mar-2021

ISIN

JP3164720009

Agenda

713633762 - Management

Record Date

31-Dec-2020

Holding Recon Date

31-Dec-2020

City /

Country

TOKYO

Japan

Vote Deadline Date

24-Mar-2021

SEDOL(s)

6635677 - B02JFC1 - B1CDCH4 - BFNBJZ2

Quick Code

67230

Item

Proposal

Proposed by

Vote

For/Against Management

Please reference meeting materials.

Non-Voting

1.1

Appoint a Director Shibata, Hidetoshi

Management

For

1.2

Appoint a Director Toyoda, Tetsuro

Management

For

1.3

Appoint a Director Iwasaki, Jiro

Management

For

1.4

Appoint a Director Selena Loh Lacroix

Management

For

1.5

Appoint a Director Arunjai Mittal

Management

For

1.6

Appoint a Director Yamamoto, Noboru

Management

For

2.1

Appoint a Corporate Auditor Sekine, Takeshi

Management

For

2.2

Appoint a Corporate Auditor Mizuno, Tomoko

Management

For

Approve Details of the Stock Compensation to be received by Directors

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL28

STATE STREET BANK

178,800

02-Mar-2021

BROADCOM INC

Security

11135F101

Meeting Type

Annual

Ticker Symbol

AVGO

Meeting Date

05-Apr-2021

ISIN

US11135F1012

Agenda

935335768 - Management

Record Date

08-Feb-2021

Holding Recon Date

08-Feb-2021

City /

Country

United States

Vote Deadline Date

01-Apr-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Ms. Diane M. Bryant

Management

For

1B.

Election of Director: Ms. Gayla J. Delly

Management

For

1C.

Election of Director: Mr. Raul J. Fernandez

Management

For

1D.

Election of Director: Mr. Eddy W. Hartenstein

Management

For

1E.

Election of Director: Mr. Check Kian Low

Management

For

1F.

Election of Director: Ms. Justine F. Page

Management

For

1G.

Election of Director: Dr. Henry Samueli

Management

For

1H.

Election of Director: Mr. Hock E. Tan

Management

For

1I.

Election of Director: Mr. Harry L. You

Management

For

Ratification of the appointment of Pricewaterhouse- Coopers LLP as Broadcom's independent registered public accounting firm for the fiscal year ending October 31, 2021.

Management

For

Approval of an amendment and restatement of Broadcom's 2012 Stock Incentive Plan.

Management

For

Advisory vote to approve compensation of Broadcom's named executive officers.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

530

20-Feb-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

100

10,900

20-Feb-2021

LENNAR CORPORATION

Security

526057104

Meeting Type

Annual

Ticker Symbol

LEN

Meeting Date

07-Apr-2021

ISIN

US5260571048

Agenda

935339300 - Management

Record Date

16-Feb-2021

Holding Recon Date

16-Feb-2021

City /

Country

United States

Vote Deadline Date

06-Apr-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director to serve until the 2022 Annual Meeting: Amy Banse

Management

For

1B.

Election of Director to serve until the 2022 Annual Meeting: Rick Beckwitt

Management

For

1C.

Election of Director to serve until the 2022 Annual Meeting: Steven L. Gerard

Management

For

1D.

Election of Director to serve until the 2022 Annual Meeting: Tig Gilliam

Management

For

1E.

Election of Director to serve until the 2022 Annual Meeting: Sherrill W. Hudson

Management

For

1F.

Election of Director to serve until the 2022 Annual Meeting: Jonathan M. Jaffe

Management

For

1G.

Election of Director to serve until the 2022 Annual Meeting: Sidney Lapidus

Management

For

1H.

Election of Director to serve until the 2022 Annual Meeting: Teri P. McClure

Management

For

1I.

Election of Director to serve until the 2022 Annual Meeting: Stuart Miller

Management

For

1J.

Election of Director to serve until the 2022 Annual Meeting: Armando Olivera

Management

For

1K.

Election of Director to serve until the 2022 Annual Meeting: Jeffrey Sonnenfeld

Management

For

Approval, on an advisory basis, of the compensation of our named executive officers.

Management

For

Ratification of the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for our fiscal year ending November 30, 2021.

Management

For

Approval of a stockholder proposal regarding our common stock voting structure.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

100

63,300

26-Feb-2021

997AL61

GLQ MS PLEDGE

997AL61

STATE STREET BANK & TRUST CO

300

26-Feb-2021

CARNIVAL CORPORATION

Security

143658300

Meeting Type

Annual

Ticker Symbol

CCL

Meeting Date

20-Apr-2021

ISIN

PA1436583006

Agenda

935339158 - Management

Record Date

19-Feb-2021

Holding Recon Date

19-Feb-2021

City /

Country

United States

Vote Deadline Date

19-Apr-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

To re-elect Micky Arison as a Director of Carnival Corporation and as a Director of Carnival plc.

Management

For

To re-elect Sir Jonathon Band as a Director of Carnival Corporation and as a Director of Carnival plc.

Management

For

To re-elect Jason Glen Cahilly as a Director of Carnival Corporation and as a Director of Carnival plc.

Management

For

To re-elect Helen Deeble as a Director of Carnival Corporation and as a Director of Carnival plc.

Management

For

To re-elect Arnold W. Donald as a Director of Carnival Corporation and as a Director of Carnival plc.

Management

For

To elect Jeffery J. Gearhart as a Director of Carnival Corporation and as a Director of Carnival plc.

Management

For

To re-elect Richard J. Glasier as a Director of Carnival Corporation and as a Director of Carnival plc.

Management

For

To re-elect Katie Lahey as a Director of Carnival Corporation and as a Director of Carnival plc.

Management

For

To re-elect Sir John Parker as a Director of Carnival Corporation and as a Director of Carnival plc.

Management

For

10.

To re-elect Stuart Subotnick as a Director of Carnival Corporation and as a Director of Carnival plc.

Management

For

11.

To re-elect Laura Weil as a Director of Carnival Corporation and as a Director of Carnival plc.

Management

For

12.

To re-elect Randall J. Weisenburger as a Director of Carnival Corporation and as a Director of Carnival plc.

Management

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

14.

To hold a (non-binding) advisory vote to approve the Carnival plc Director's Remuneration Report (in accordance with legal requirements applicable to UK companies).

Management

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

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

17.

To receive the UK accounts and reports of the Directors and auditors of Carnival plc for the year ended November 30, 2020 (in accordance with legal requirements applicable to UK companies).

Management

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

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

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

21.

To approve the Amendment of the Carnival Corporation 2020 Stock Plan.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

100

237,100

12-Mar-2021

BANK OF AMERICA CORPORATION

Security

060505104

Meeting Type

Annual

Ticker Symbol

BAC

Meeting Date

20-Apr-2021

ISIN

US0605051046

Agenda

935345670 - Management

Record Date

01-Mar-2021

Holding Recon Date

01-Mar-2021

City /

Country

United States

Vote Deadline Date

19-Apr-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Sharon L. Allen

Management

For

1B.

Election of Director: Susan S. Bies

Management

For

1C.

Election of Director: Frank P. Bramble, Sr.

Management

For

1D.

Election of Director: Pierre J.P. de Weck

Management

For

1E.

Election of Director: Arnold W. Donald

Management

For

1F.

Election of Director: Linda P. Hudson

Management

For

1G.

Election of Director: Monica C. Lozano

Management

For

1H.

Election of Director: Thomas J. May

Management

For

1I.

Election of Director: Brian T. Moynihan

Management

For

1J.

Election of Director: Lionel L. Nowell III

Management

For

1K.

Election of Director: Denise L. Ramos

Management

For

1L.

Election of Director: Clayton S. Rose

Management

For

1M.

Election of Director: Michael D. White

Management

For

1N.

Election of Director: Thomas D. Woods

Management

For

1O.

Election of Director: R. David Yost

Management

For

1P.

Election of Director: Maria T. Zuber

Management

For

Approving our executive compensation (an advisory, nonbinding "Say on Pay" resolution).

Management

For

Ratifying the appointment of our independent registered public accounting firm for 2021.

Management

For

Amending and restating the Bank of America Corporation Key Employee Equity Plan.

Management

For

Shareholder proposal requesting amendments to our proxy access by law.

Shareholder

Against

For

Shareholder proposal requesting amendments to allow shareholders to act by written consent.

Shareholder

Against

For

Shareholder proposal requesting a change in organizational form.

Shareholder

Against

For

Shareholder proposal requesting a racial equity audit.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

25,400

09-Mar-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

155

169,400

09-Mar-2021

997AL61

GLQ MS PLEDGE

997AL61

STATE STREET BANK & TRUST CO

840

09-Mar-2021

HUMANA INC.

Security

444859102

Meeting Type

Annual

Ticker Symbol

HUM

Meeting Date

22-Apr-2021

ISIN

US4448591028

Agenda

935341331 - Management

Record Date

22-Feb-2021

Holding Recon Date

22-Feb-2021

City /

Country

United States

Vote Deadline Date

21-Apr-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A)

Election of Director: Kurt J. Hilzinger

Management

For

1B)

Election of Director: Raquel C. Bono, M.D.

Management

For

1C)

Election of Director: Bruce D. Broussard

Management

For

1D)

Election of Director: Frank A. D'Amelio

Management

For

1E)

Election of Director: Wayne A. I. Frederick, M.D.

Management

For

1F)

Election of Director: John W. Garratt

Management

For

1G)

Election of Director: David A. Jones, Jr.

Management

For

1H)

Election of Director: Karen W. Katz

Management

For

1I)

Election of Director: Marcy S. Klevorn

Management

For

1J)

Election of Director: William J. McDonald

Management

For

1K)

Election of Director: Jorge S. Mesquita

Management

For

1L)

Election of Director: James J. O'Brien

Management

For

1M)

Election of Director: Marissa T. Peterson

Management

For

The ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm.

Management

For

Non-binding advisory vote for the approval of the compensation of the named executive officers as disclosed in the 2021 proxy statement.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

4,170

11-Mar-2021

PFIZER INC.

Security

717081103

Meeting Type

Annual

Ticker Symbol

PFE

Meeting Date

22-Apr-2021

ISIN

US7170811035

Agenda

935344503 - Management

Record Date

24-Feb-2021

Holding Recon Date

24-Feb-2021

City /

Country

United States

Vote Deadline Date

21-Apr-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Ronald E. Blaylock

Management

For

1B.

Election of Director: Albert Bourla

Management

For

1C.

Election of Director: Susan Desmond-Hellmann

Management

For

1D.

Election of Director: Joseph J. Echevarria

Management

For

1E.

Election of Director: Scott Gottlieb

Management

For

1F.

Election of Director: Helen H. Hobbs

Management

For

1G.

Election of Director: Susan Hockfield

Management

For

1H.

Election of Director: Dan R. Littman

Management

For

1I.

Election of Director: Shantanu Narayen

Management

For

1J.

Election of Director: Suzanne Nora Johnson

Management

For

1K.

Election of Director: James Quincey

Management

For

1L.

Election of Director: James C. Smith

Management

For

Ratify the selection of KPMG LLP as independent registered public accounting firm for 2021.

Management

For

2021 advisory approval of executive compensation.

Management

For

Shareholder proposal regarding independent chair policy.

Shareholder

Against

For

Shareholder proposal regarding political spending report.

Shareholder

Against

For

Shareholder proposal regarding access to COVID-19 products.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

45,100

13-Mar-2021

AGNC INVESTMENT CORP.

Security

00123Q104

Meeting Type

Annual

Ticker Symbol

AGNC

Meeting Date

22-Apr-2021

ISIN

US00123Q1040

Agenda

935345199 - Management

Record Date

26-Feb-2021

Holding Recon Date

26-Feb-2021

City /

Country

United States

Vote Deadline Date

21-Apr-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Donna J. Blank

Management

For

1B.

Election of Director: Morris A. Davis

Management

For

1C.

Election of Director: John D. Fisk

Management

For

1D.

Election of Director: Prue B. Larocca

Management

For

1E.

Election of Director: Paul E. Mullings

Management

For

1F.

Election of Director: Frances R. Spark

Management

For

1G.

Election of Director: Gary D. Kain

Management

For

Approval of the Amended and Restated AGNC Investment Corp. 2016 Equity and Incentive Compensation Plan.

Management

For

Advisory vote to approve the compensation of our named executive officers.

Management

For

Ratification of appointment of Ernst & Young LLP as our independent public accountant for the year ending December 31, 2021.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

100

378,600

13-Mar-2021

JOHNSON & JOHNSON

Security

478160104

Meeting Type

Annual

Ticker Symbol

JNJ

Meeting Date

22-Apr-2021

ISIN

US4781601046

Agenda

935345214 - Management

Record Date

23-Feb-2021

Holding Recon Date

23-Feb-2021

City /

Country

United States

Vote Deadline Date

21-Apr-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Mary C. Beckerle

Management

For

1B.

Election of Director: D. Scott Davis

Management

For

1C.

Election of Director: Ian E. L. Davis

Management

For

1D.

Election of Director: Jennifer A. Doudna

Management

For

1E.

Election of Director: Alex Gorsky

Management

For

1F.

Election of Director: Marillyn A. Hewson

Management

For

1G.

Election of Director: Hubert Joly

Management

For

1H.

Election of Director: Mark B. McClellan

Management

For

1I.

Election of Director: Anne M. Mulcahy

Management

For

1J.

Election of Director: Charles Prince

Management

For

1K.

Election of Director: A. Eugene Washington

Management

For

1L.

Election of Director: Mark A. Weinberger

Management

For

1M.

Election of Director: Nadja Y. West

Management

For

1N.

Election of Director: Ronald A. Williams

Management

For

Advisory Vote to Approve Named Executive Officer Compensation.

Management

For

Ratification of Appointment of PricewaterhouseCoopers LLP as the Independent Registered Public Accounting Firm for 2021.

Management

For

Report on Government Financial Support and Access to COVID-19 Vaccines and Therapeutics.

Shareholder

Against

For

Independent Board Chair.

Shareholder

Against

For

Civil Rights Audit.

Shareholder

Against

For

Executive Compensation Bonus Deferral.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

27,150

11-Mar-2021

997AL61

GLQ MS PLEDGE

997AL61

STATE STREET BANK & TRUST CO

4,000

11-Mar-2021

CITIGROUP INC.

Security

172967424

Meeting Type

Annual

Ticker Symbol

Meeting Date

27-Apr-2021

ISIN

US1729674242

Agenda

935349515 - Management

Record Date

01-Mar-2021

Holding Recon Date

01-Mar-2021

City /

Country

United States

Vote Deadline Date

26-Apr-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Ellen M. Costello

Management

For

1B.

Election of Director: Grace E. Dailey

Management

For

1C.

Election of Director: Barbara J. Desoer

Management

For

1D.

Election of Director: John C. Dugan

Management

For

1E.

Election of Director: Jane N. Fraser

Management

For

1F.

Election of Director: Duncan P. Hennes

Management

For

1G.

Election of Director: Peter B. Henry

Management

For

1H.

Election of Director: S. Leslie Ireland

Management

For

1I.

Election of Director: Lew W. (Jay) Jacobs, IV

Management

For

1J.

Election of Director: Renée J. James

Management

For

1K.

Election of Director: Gary M. Reiner

Management

For

1L.

Election of Director: Diana L. Taylor

Management

For

1M.

Election of Director: James S. Turley

Management

For

1N.

Election of Director: Deborah C. Wright

Management

For

1O.

Election of Director: Alexander R. Wynaendts

Management

For

1P.

Election of Director: Ernesto Zedillo Ponce de Leon

Management

For

Proposal to ratify the selection of KPMG LLP as Citi's independent registered public accounting firm for 2021.

Management

For

Advisory vote to approve Citi's 2020 Executive Compensation.

Management

For

Approval of additional authorized shares under the Citigroup 2019 Stock Incentive Plan.

Management

For

Stockholder proposal requesting an amendment to Citi's proxy access by-law provisions pertaining to the aggregation limit.

Shareholder

Against

For

Stockholder proposal requesting an Independent Board Chairman.

Shareholder

Against

For

Stockholder proposal requesting non-management employees on director nominee candidate lists.

Shareholder

Against

For

Stockholder proposal requesting a report disclosing information regarding Citi's lobbying payments, policies and activities.

Shareholder

Against

For

Stockholder proposal requesting a racial equity audit analyzing Citi's adverse impacts on nonwhite stakeholders and communities of color.

Shareholder

Against

For

10.

Stockholder proposal requesting that the Board approve an amendment to Citi's Certificate of Incorporation to become a Public Benefit Corporation and to submit the proposed amendment to stockholders for approval.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

16,300

19-Mar-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

162

63,100

19-Mar-2021

HONG KONG EXCHANGES AND CLEARING LTD

Security

Y3506N139

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

28-Apr-2021

ISIN

HK0388045442

Agenda

713690180 - Management

Record Date

22-Apr-2021

Holding Recon Date

22-Apr-2021

City /

Country

HONGK ONG

Hong Kong

Vote Deadline Date

21-Apr-2021

SEDOL(s)

4062493 - 6267359 - BD8NDX5 - BMF1SX0 - BP3RQ60

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

CMMT

PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- https://www1.hkexnews.hk/listedco/listconews/sehk/2021/ 0316/2021031600529.pdf-AND- https://www1.hkexnews.hk/listedco/listconews/sehk/2021/ 0316/2021031600523.pdf

Non-Voting

CMMT

PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF 'ABSTAIN' WILL BE TREATED-THE SAME AS A 'TAKE NO ACTION' VOTE

Non-Voting

TO RECEIVE THE AUDITED FINANCIAL STATEMENTS FOR THE YEAR ENDED 31 DECEMBER 2020 TOGETHER WITH THE REPORTS OF THE DIRECTORS AND AUDITOR THEREON

Management

For

2.A

TO ELECT NICHOLAS CHARLES ALLEN AS DIRECTOR

Management

For

2.B

TO ELECT CHEUNG MING MING, ANNA AS DIRECTOR

Management

For

2.C

TO ELECT ZHANG YICHEN AS DIRECTOR

Management

For

TO RE-APPOINT PRICEWATERHOUSECOOPERS AS THE AUDITOR AND TO AUTHORISE THE DIRECTORS TO FIX ITS REMUNERATION

Management

For

TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO BUY BACK SHARES OF HKEX, NOT EXCEEDING 10% OF THE NUMBER OF ISSUED SHARES OF HKEX AS AT THE DATE OF THIS RESOLUTION

Management

For

TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO ALLOT, ISSUE AND DEAL WITH ADDITIONAL SHARES OF HKEX, NOT EXCEEDING 10% OF THE NUMBER OF ISSUED SHARES OF HKEX AS AT THE DATE OF THIS RESOLUTION, AND THE DISCOUNT FOR ANY SHARES TO BE ISSUED SHALL NOT EXCEED 10%

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL28

STATE STREET BANK

77,500

17-Mar-2021

MODERNA, INC.

Security

60770K107

Meeting Type

Annual

Ticker Symbol

MRNA

Meeting Date

28-Apr-2021

ISIN

US60770K1079

Agenda

935347206 - Management

Record Date

01-Mar-2021

Holding Recon Date

01-Mar-2021

City /

Country

United States

Vote Deadline Date

27-Apr-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

DIRECTOR

Management

Robert Langer, Sc.D.

For

Elizabeth Nabel, M.D.

For

Elizabeth Tallett

For

To cast a non-binding, advisory vote to approve the compensation of our named executive officers.

Management

For

To ratify the appointment of Ernst & Young LLP as our registered independent public accounting firm for the year ending December 31, 2021.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

3,470

12-Mar-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

152

11,400

12-Mar-2021

BE SEMICONDUCTOR INDUSTRIES NV BESI

Security

N13107144

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

30-Apr-2021

ISIN

NL0012866412

Agenda

713713293 - Management

Record Date

02-Apr-2021

Holding Recon Date

02-Apr-2021

City /

Country

TBD

Netherlands

Vote Deadline Date

19-Apr-2021

SEDOL(s)

BF17DR2 - BFX80F0 - BFXYCW9 - BG0SCK9

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

CMMT

PLEASE NOTE THAT BENEFICIAL OWNER DETAILS IS REQUIRED FOR THIS MEETING. IF NO- BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK-YOU.

Non-Voting

CMMT

PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF-NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF BEING REJECTED. THANK YOU

Non-Voting

OPENING

Non-Voting

CONSIDERATION OF THE ANNUAL REPORT 2020

Non-Voting

ADVISORY VOTE ON THE REMUNERATION REPORT 2020

Management

For

CONSIDERATION AND ADOPTION OF THE ANNUAL ACCOUNTS 2020

Management

For

DIVIDEND

Non-Voting

5.a.

RESERVATION AND DIVIDEND POLICY

Non-Voting

5.b.

DECLARATION OF DIVIDEND: EUR 1.70 PER SHARE

Management

For

DISCHARGE

Non-Voting

6.a.

DISCHARGE OF THE MEMBER OF THE BOARD OF MANAGEMENT FOR HIS RESPONSIBILITIES

Management

For

6.b.

DISCHARGE OF THE SUPERVISORY BOARD MEMBERS FOR THEIR RESPONSIBILITIES

Management

For

AMENDMENTS TO THE REMUNERATION POLICY 2020-2023

Management

For

APPOINTMENT OF SUPERVISORY BOARD MEMBERS

Non-Voting

8.a.

APPOINTMENT OF MS LAURA OLIPHANT AS SUPERVISORY BOARD MEMBER

Management

For

8.b.

APPOINTMENT OF MS ELKE ECKSTEIN AS SUPERVISORY BOARD MEMBER

Management

For

AUTHORIZATION OF THE BOARD OF MANAGEMENT TO (I) ISSUE ORDINARY SHARES AND GRANT RIGHTS TO SUBSCRIBE FOR ORDINARY SHARES AND TO (II) EXCLUDE OR RESTRICT PRE-EMPTIVE RIGHTS IN RELATION TO ORDINARY SHARES AND RIGHTS TO SUBSCRIBE FOR ORDINARY SHARES

Management

For

10.

AUTHORIZATION OF THE BOARD OF MANAGEMENT TO ACQUIRE ORDINARY SHARES

Management

For

11.

REDUCTION OF THE COMPANY'S ISSUED SHARE CAPITAL BY CANCELLATION OF ORDINARY SHARES

Management

For

12.

AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION

Management

For

13.

ANY OTHER BUSINESS

Non-Voting

CMMT

INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN- INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE-PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION-LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE-OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE-REPRESENTATIVE FOR ASSISTANCE

Non-Voting

CLOSING

Non-Voting

CMMT

24 MAR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF NON--VOTABLE RESOLUTION 14 AND MODIFICATION OF TEXT IN RESOLUTION 5.B. 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

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL28

STATE STREET BANK

25,738

20-Mar-2021

CARVANA CO.

Security

146869102

Meeting Type

Annual

Ticker Symbol

CVNA

Meeting Date

03-May-2021

ISIN

US1468691027

Agenda

935356104 - Management

Record Date

04-Mar-2021

Holding Recon Date

04-Mar-2021

City /

Country

United States

Vote Deadline Date

30-Apr-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

DIRECTOR

Management

Ernest Garcia III

For

Ira Platt

For

Approval of the Carvana Co. Employee Stock Purchase Plan.

Management

For

Ratification of the appointment of Grant Thornton LLP as our independent registered public accounting firm for the year ending December 31, 2021.

Management

For

Approval, by an advisory vote, of Carvana's executive compensation.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

15,510

25-Mar-2021

BAXTER INTERNATIONAL INC.

Security

071813109

Meeting Type

Annual

Ticker Symbol

BAX

Meeting Date

04-May-2021

ISIN

US0718131099

Agenda

935352459 - Management

Record Date

11-Mar-2021

Holding Recon Date

11-Mar-2021

City /

Country

United States

Vote Deadline Date

03-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: José (Joe) Almeida

Management

For

1B.

Election of Director: Thomas F. Chen

Management

For

1C.

Election of Director: John D. Forsyth

Management

For

1D.

Election of Director: Peter S. Hellman

Management

For

1E.

Election of Director: Michael F. Mahoney

Management

For

1F.

Election of Director: Patricia B. Morrison

Management

For

1G.

Election of Director: Stephen N. Oesterle

Management

For

1H.

Election of Director: Cathy R. Smith

Management

For

1I.

Election of Director: Thomas T. Stallkamp

Management

For

1J.

Election of Director: Albert P.L. Stroucken

Management

For

1K.

Election of Director: Amy A. Wendell

Management

For

1L.

Election of Director: David S. Wilkes

Management

For

Advisory Vote to Approve Named Executive Officer Compensation.

Management

For

Ratification of Appointment of Independent Registered Public Accounting Firm.

Management

For

Vote to Approve the Omnibus Plan.

Management

For

Vote to Approve the ESPP Amendment.

Management

For

Stockholder Proposal - Right to Act by Written Consent.

Shareholder

Against

For

Stockholder Proposal - Independent Board Chairman.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

12,600

24-Mar-2021

PHYSICIANS REALTY TRUST

Security

71943U104

Meeting Type

Annual

Ticker Symbol

DOC

Meeting Date

05-May-2021

ISIN

US71943U1043

Agenda

935348525 - Management

Record Date

25-Feb-2021

Holding Recon Date

25-Feb-2021

City /

Country

United States

Vote Deadline Date

04-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

DIRECTOR

Management

John T. Thomas

For

Tommy G. Thompson

For

Stanton D. Anderson

For

Mark A. Baumgartner

For

Albert C. Black, Jr.

For

William A. Ebinger, M.D

For

Pamela J. Kessler

For

Richard A. Weiss

For

To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021.

Management

For

To approve, on an advisory basis, the compensation of the Company's named executive officers, as disclosed in the accompanying proxy statement.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

64,700

26-Mar-2021

SIX FLAGS ENTERTAINMENT CORPORATION

Security

83001A102

Meeting Type

Annual

Ticker Symbol

SIX

Meeting Date

05-May-2021

ISIN

US83001A1025

Agenda

935357372 - Management

Record Date

10-Mar-2021

Holding Recon Date

10-Mar-2021

City /

Country

United States

Vote Deadline Date

04-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

DIRECTOR

Management

Ben Baldanza

For

Selim Bassoul

For

Esi Eggleston Bracey

For

Denise M. Clark

For

Enrique Ramirez

For

Arik Ruchim

For

Michael Spanos

For

Advisory vote to approve executive compensation.

Management

For

Approve amendments to Restated Certificate of Incorporation to eliminate supermajority voting provision.

Management

For

Approve amendments to Restated Certificate of Incorporation to allow stockholder action by written consent.

Management

For

Advisory vote to ratify the appointment of KPMG LLP as independent registered public accounting firm for the fiscal year ending January 2, 2022.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

20,700

24-Mar-2021

COMMUNITY HEALTHCARE TRUST INCORPORATED

Security

20369C106

Meeting Type

Annual

Ticker Symbol

CHCT

Meeting Date

06-May-2021

ISIN

US20369C1062

Agenda

935347383 - Management

Record Date

05-Mar-2021

Holding Recon Date

05-Mar-2021

City /

Country

United States

Vote Deadline Date

05-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

DIRECTOR

Management

Alan Gardner

For

Claire Gulmi

For

Robert Hensley

For

Lawrence Van Horn

For

Timothy Wallace

For

To approve, on a non-binding advisory basis, the following resolutions: RESOLVED, that the stockholders of Community Healthcare Trust Incorporated approve, on a non-binding advisory basis, the compensation of the named executive officers as disclosed pursuant to Item 402 of Regulation S-K in the Company's proxy statement for the 2021 annual meeting of stockholders.

Management

For

To ratify the appointment of BDO USA, LLP as the Company's independent registered public accountants for 2021.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

45,650

25-Mar-2021

997AL61

GLQ MS PLEDGE

997AL61

STATE STREET BANK & TRUST CO

7,000

25-Mar-2021

ACADIA HEALTHCARE COMPANY, INC.

Security

00404A109

Meeting Type

Annual

Ticker Symbol

ACHC

Meeting Date

06-May-2021

ISIN

US00404A1097

Agenda

935357699 - Management

Record Date

11-Mar-2021

Holding Recon Date

11-Mar-2021

City /

Country

United States

Vote Deadline Date

05-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: E. Perot Bissell

Management

For

1B.

Election of Director: Vicky B. Gregg

Management

For

1C.

Election of Director: Debra K. Osteen

Management

For

Approve an amendment to the Acadia Healthcare Company, Inc. Incentive Compensation Plan.

Management

For

Advisory vote on the compensation of the Company's named executive officers as presented in the Proxy Statement.

Management

For

Ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

15,400

25-Mar-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

49,000

25-Mar-2021

ANTA SPORTS PRODUCTS LTD

Security

G04011105

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

07-May-2021

ISIN

KYG040111059

Agenda

713757271 - Management

Record Date

04-May-2021

Holding Recon Date

04-May-2021

City /

Country

HONG KONG

Cayman Islands

Vote Deadline Date

30-Apr-2021

SEDOL(s)

B1YVKN8 - B235FM2 - BD8NKZ6 - BP3RRC3

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

CMMT

PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL- LINKS:https://www1.hkexnews.hk/listedco/listconews/seh k/2021/0401/202104010222-5.pdf AND- https://www1.hkexnews.hk/listedco/listconews/sehk/2021/ 0401/2021040102315.pdf

Non-Voting

CMMT

PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR- ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING

Non-Voting

TO RECEIVE AND CONSIDER THE AUDITED CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY AND ITS SUBSIDIARIES AND THE REPORTS OF THE DIRECTORS AND THE AUDITOR OF THE COMPANY FOR THE YEAR ENDED 31 DECEMBER 2020

Management

For

TO DECLARE A FINAL DIVIDEND OF HK47 CENTS PER ORDINARY SHARE OF THE COMPANY IN RESPECT OF THE YEAR ENDED 31 DECEMBER 2020

Management

For

TO RE-ELECT MR. DING SHIJIA AS AN EXECUTIVE DIRECTOR OF THE COMPANY

Management

For

TO RE-ELECT MR. ZHENG JIE AS AN EXECUTIVE DIRECTOR OF THE COMPANY

Management

For

TO RE-ELECT MR. YIU KIN WAH STEPHEN AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY

Management

For

TO RE-ELECT MR. LAI HIN WING HENRY STEPHEN AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY

Management

For

TO AUTHORISE THE BOARD OF DIRECTORS OF THE COMPANY TO FIX THE REMUNERATION OF THE COMPANY'S DIRECTORS

Management

For

TO RE-APPOINT KPMG AS THE COMPANY'S AUDITOR AND TO AUTHORISE THE BOARD OF DIRECTORS OF THE COMPANY TO FIX THEIR REMUNERATION

Management

For

TO GRANT A GENERAL MANDATE TO THE DIRECTORS OF THE COMPANY TO ALLOT, ISSUE AND DEAL WITH THE COMPANY'S SHARES

Management

For

TO GRANT A GENERAL MANDATE TO THE DIRECTORS OF THE COMPANY TO REPURCHASE THE COMPANY'S SHARES

Management

For

TO EXTEND THE GENERAL MANDATE GRANTED TO THE DIRECTORS OF THE COMPANY UNDER RESOLUTION NO. 9 BY THE NUMBER OF SHARES REPURCHASED UNDER RESOLUTION NO. 10

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL28

STATE STREET BANK

112,000

02-Apr-2021

ABBVIE INC.

Security

00287Y109

Meeting Type

Annual

Ticker Symbol

ABBV

Meeting Date

07-May-2021

ISIN

US00287Y1091

Agenda

935357891 - Management

Record Date

08-Mar-2021

Holding Recon Date

08-Mar-2021

City /

Country

United States

Vote Deadline Date

06-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

DIRECTOR

Management

Roxanne S. Austin

For

Richard A. Gonzalez

For

Rebecca B. Roberts

For

Glenn F. Tilton

For

Ratification of Ernst & Young LLP as AbbVie's independent registered public accounting firm for 2021.

Management

For

Say on Pay-An advisory vote on the approval of executive compensation.

Management

For

Approval of the Amended and Restated 2013 Incentive Stock Program.

Management

For

Approval of the Amended and Restated 2013 Employee Stock Purchase Plan for non-U.S. employees.

Management

For

Approval of a management proposal regarding amendment of the certificate of incorporation to eliminate supermajority voting.

Management

For

Stockholder Proposal - to Issue an Annual Report on Lobbying.

Shareholder

Against

For

Stockholder Proposal - to Adopt a Policy to Require Independent Chairman.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

16,080

23-Mar-2021

UBER TECHNOLOGIES, INC.

Security

90353T100

Meeting Type

Annual

Ticker Symbol

UBER

Meeting Date

10-May-2021

ISIN

US90353T1007

Agenda

935369341 - Management

Record Date

15-Mar-2021

Holding Recon Date

15-Mar-2021

City /

Country

United States

Vote Deadline Date

07-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Ronald Sugar

Management

For

1B.

Election of Director: Revathi Advaithi

Management

For

1C.

Election of Director: Ursula Burns

Management

For

1D.

Election of Director: Robert Eckert

Management

For

1E.

Election of Director: Amanda Ginsberg

Management

For

1F.

Election of Director: Dara Khosrowshahi

Management

For

1G.

Election of Director: Wan Ling Martello

Management

For

1H.

Election of Director: Yasir Al-Rumayyan

Management

For

1I.

Election of Director: John Thain

Management

For

1J.

Election of Director: David Trujillo

Management

For

1K.

Election of Director: Alexander Wynaendts

Management

For

Advisory vote to approve 2020 named executive officer compensation.

Management

For

Ratification of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2021.

Management

For

Approval of amendments to Certificate of Incorporation and Bylaws to remove supermajority voting requirements.

Management

For

Stockholder proposal to prepare an annual report on lobbying activities.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

8,900

30-Mar-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

90,000

30-Mar-2021

FIRST AMERICAN FINANCIAL CORPORATION

Security

31847R102

Meeting Type

Annual

Ticker Symbol

FAF

Meeting Date

11-May-2021

ISIN

US31847R1023

Agenda

935380559 - Management

Record Date

17-Mar-2021

Holding Recon Date

17-Mar-2021

City /

Country

United States

Vote Deadline Date

10-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

DIRECTOR

Management

Dennis J. Gilmore

For

Margaret M. McCarthy

For

Martha B. Wyrsch

For

Advisory vote to approve executive compensation.

Management

For

To ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

30,100

116,000

03-Apr-2021

IDORSIA LTD

Security

H3879B109

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

12-May-2021

ISIN

CH0363463438

Agenda

713900466 - Management

Record Date

03-May-2021

Holding Recon Date

03-May-2021

City /

Country

TBD

Switzerland

Vote Deadline Date

29-Apr-2021

SEDOL(s)

BF0YK62 - BF0ZHH5 - BF3N1H4

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

CMMT

PLEASE NOTE THAT BENEFICIAL OWNER DETAILS ARE REQUIRED FOR THIS MEETING. IF-NO BENEFICIAL OWNER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY BE REJECTED.-THANK YOU.

Non-Voting

CMMT

PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 550039 DUE TO SPLITTING-OF RESOLUTION 5.4. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE-DISREGARDED IF VOTE DEADLINE EXTENSIONS ARE GRANTED. THEREFORE PLEASE-REINSTRUCT ON THIS MEETING NOTICE ON THE NEW JOB. IF HOWEVER VOTE DEADLINE-EXTENSIONS ARE NOT GRANTED IN THE MARKET, THIS MEETING WILL BE CLOSED AND-YOUR VOTE INTENTIONS ON THE ORIGINAL MEETING WILL BE APPLICABLE. PLEASE-ENSURE VOTING IS SUBMITTED PRIOR TO CUTOFF ON THE ORIGINAL MEETING, AND AS-SOON AS POSSIBLE ON THIS NEW AMENDED MEETING. THANK YOU

Non-Voting

CMMT

PART 2 OF THIS MEETING IS FOR VOTING ON AGENDA AND MEETING ATTENDANCE-REQUESTS ONLY. PLEASE ENSURE THAT YOU HAVE FIRST VOTED IN FAVOUR OF THE-REGISTRATION OF SHARES IN PART 1 OF THE MEETING. IT IS A MARKET REQUIREMENT-FOR MEETINGS OF THIS TYPE THAT THE SHARES ARE REGISTERED AND MOVED TO A-REGISTERED LOCATION AT THE CSD, AND SPECIFIC POLICIES AT THE INDIVIDUAL-SUB- CUSTODIANS MAY VARY. UPON RECEIPT OF THE VOTE INSTRUCTION, IT IS POSSIBLE-THAT A MARKER MAY BE PLACED ON YOUR SHARES TO ALLOW FOR RECONCILIATION AND-RE- REGISTRATION FOLLOWING A TRADE. THEREFORE WHILST THIS DOES NOT PREVENT THE-TRADING OF SHARES, ANY THAT ARE REGISTERED MUST BE FIRST DEREGISTERED IF-REQUIRED FOR SETTLEMENT. DEREGISTRATION CAN AFFECT THE VOTING RIGHTS OF THOSE-SHARES. IF YOU HAVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR-CLIENT REPRESENTATIVE

Non-Voting

1.1

ANNUAL REPORT 2020, CONSOLIDATED FINANCIAL STATEMENTS 2020, STATUTORY FINANCIAL STATEMENTS 2020 AND COMPENSATION REPORT 2020: APPROVAL OF ANNUAL REPORT 2020, CONSOLIDATED FINANCIAL STATEMENTS 2020, AND STATUTORY FINANCIAL STATEMENTS 2020

Management

For

1.2

ANNUAL REPORT 2020, CONSOLIDATED FINANCIAL STATEMENTS 2020, STATUTORY FINANCIAL STATEMENTS 2020 AND COMPENSATION REPORT 2020: CONSULTATIVE VOTE ON THE COMPENSATION REPORT 2020

Management

For

APPROPRIATION OF AVAILABLE EARNINGS

Management

For

DISCHARGE OF THE BOARD OF DIRECTORS AND OF THE EXECUTIVE COMMITTEE

Management

For

INCREASE AND EXTENSION OF THE EXISTING AUTHORISED SHARE CAPITAL

Management

For

5.1.1

RE-ELECTION OF MEMBER OF THE BOARD OF DIRECTORS: MATHIEU SIMON

Management

For

5.1.2

RE-ELECTION OF MEMBER OF THE BOARD OF DIRECTORS: JOERN ALDAG

Management

For

5.1.3

RE-ELECTION OF MEMBER OF THE BOARD OF DIRECTORS: JEAN-PAUL CLOZEL

Management

For

5.1.4

RE-ELECTION OF MEMBER OF THE BOARD OF DIRECTORS: FELIX R. EHRAT

Management

For

5.1.5

RE-ELECTION OF MEMBER OF THE BOARD OF DIRECTORS: SANDY MAHATME

Management

For

5.2.1

ELECTION OF NEW DIRECTOR: PETER KELLOGG

Management

For

5.2.2

ELECTION OF NEW DIRECTOR: SRISHTI GUPTA

Management

For

5.3

RE-ELECTION OF THE CHAIR OF THE BOARD OF DIRECTORS: MATHIEU SIMON

Management

For

5.4.1

ELECTION OF THE NOMINATING, GOVERNANCE AND COMPENSATION COMMITTEE: MATHIEU SIMON

Management

For

5.4.2

ELECTION OF THE NOMINATING, GOVERNANCE AND COMPENSATION COMMITTEE: JOERN ALDAG

Management

For

5.4.3

ELECTION OF THE NOMINATING, GOVERNANCE AND COMPENSATION COMMITTEE: FELIX R. EHRAT

Management

For

5.4.4

ELECTION OF THE NOMINATING, GOVERNANCE AND COMPENSATION COMMITTEE: SRISHTI GUPTA

Management

For

6.1

APPROVAL OF BOARD COMPENSATION AND EXECUTIVE COMMITTEE COMPENSATION: APPROVAL OF BOARD COMPENSATION (NON- EXECUTIVE DIRECTORS) FOR THE 2021-2022 TERM OF OFFICE

Management

For

6.2

APPROVAL OF BOARD COMPENSATION AND EXECUTIVE COMMITTEE COMPENSATION: APPROVAL OF EXECUTIVE COMMITTEE COMPENSATION 2022

Management

For

ELECTION OF THE INDEPENDENT PROXY: BACHMANNPARTNER SACHWALTER UND TREUHAND AG

Management

For

ELECTION OF THE STATUTORY AUDITORS: ERNST AND YOUNG AG, BASEL

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL28

STATE STREET BANK

21,806

14-Apr-2021

COVETRUS, INC.

Security

22304C100

Meeting Type

Annual

Ticker Symbol

CVET

Meeting Date

12-May-2021

ISIN

US22304C1009

Agenda

935373605 - Management

Record Date

15-Mar-2021

Holding Recon Date

15-Mar-2021

City /

Country

United States

Vote Deadline Date

11-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

DIRECTOR

Management

Mark J. Manoff

For

Edward M. McNamara

For

Steven Paladino

For

Sandra Peterson

For

Ratification of the appointment of BDO USA, LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021.

Management

For

To approve an amendment to our amended and restated certificate of incorporation to eliminate supermajority voting requirements.

Management

For

To approve, by a non-binding, advisory vote, the 2020 compensation paid to our named executive officers.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

79,500

02-Apr-2021

997AL61

GLQ MS PLEDGE

997AL61

STATE STREET BANK & TRUST CO

2,900

02-Apr-2021

INTEL CORPORATION

Security

458140100

Meeting Type

Annual

Ticker Symbol

INTC

Meeting Date

13-May-2021

ISIN

US4581401001

Agenda

935369012 - Management

Record Date

19-Mar-2021

Holding Recon Date

19-Mar-2021

City /

Country

United States

Vote Deadline Date

12-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Patrick P. Gelsinger

Management

For

1B.

Election of Director: James J. Goetz

Management

For

1C.

Election of Director: Alyssa Henry

Management

For

1D.

Election of Director: Omar Ishrak

Management

For

1E.

Election of Director: Risa Lavizzo-Mourey

Management

For

1F.

Election of Director: Tsu-Jae King Liu

Management

For

1G.

Election of Director: Gregory D. Smith

Management

For

1H.

Election of Director: Dion J. Weisler

Management

For

1I.

Election of Director: Frank D. Yeary

Management

For

Ratification of selection of Ernst & Young LLP as our independent registered public accounting firm for 2021.

Management

For

Advisory vote to approve executive compensation of our listed officers.

Management

For

Stockholder proposal on whether to allow stockholders to act by written consent, if properly presented at the meeting.

Shareholder

Against

For

Stockholder proposal requesting a report on median pay gaps across race and gender, if properly presented at the meeting.

Shareholder

Against

For

Stockholder proposal requesting a report on whether written policies or unwritten norms at the company reinforce racism in company culture, if properly presented at the meeting.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

29,600

31-Mar-2021

REPARE THERAPEUTICS INC.

Security

760273102

Meeting Type

Annual

Ticker Symbol

RPTX

Meeting Date

13-May-2021

ISIN

US7602731025

Agenda

935379164 - Management

Record Date

29-Mar-2021

Holding Recon Date

29-Mar-2021

City /

Country

Canada

Vote Deadline Date

12-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

DIRECTOR

Management

Jerel Davis, Ph.D.

For

Todd Foley

For

Ann D. Rhoads

For

To appoint Ernst & Young LLP as the independent registered public accounting firm of the Company for its fiscal year ending December 31, 2021.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

14,700

03-Apr-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

49,900

03-Apr-2021

TELADOC HEALTH, INC.

Security

87918A105

Meeting Type

Annual

Ticker Symbol

TDOC

Meeting Date

17-May-2021

ISIN

US87918A1051

Agenda

935377437 - Management

Record Date

23-Mar-2021

Holding Recon Date

23-Mar-2021

City /

Country

United States

Vote Deadline Date

14-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director for a term of one year: Christopher Bischoff

Management

For

1B.

Election of Director for a term of one year: Karen L. Daniel

Management

For

1C.

Election of Director for a term of one year: Sandra L. Fenwick

Management

For

1D.

Election of Director for a term of one year: William H. Frist, MD

Management

For

1E.

Election of Director for a term of one year: Jason Gorevic

Management

For

1F.

Election of Director for a term of one year: Catherine A. Jacobson

Management

For

1G.

Election of Director for a term of one year: Thomas G. McKinley

Management

For

1H.

Election of Director for a term of one year: Kenneth H. Paulus

Management

For

1I.

Election of Director for a term of one year: David Shedlarz

Management

For

1J.

Election of Director for a term of one year: Mark Douglas Smith, MD

Management

For

1K.

Election of Director for a term of one year: David B. Snow, Jr.

Management

For

Approve, on an advisory basis, the compensation of Teladoc Health's named executive officers.

Management

For

Ratify the appointment of Ernst & Young LLP as Teladoc Health's independent registered public accounting firm for the fiscal year ending December 31, 2021.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

249

4,400

08-Apr-2021

JPMORGAN CHASE & CO.

Security

46625H100

Meeting Type

Annual

Ticker Symbol

JPM

Meeting Date

18-May-2021

ISIN

US46625H1005

Agenda

935372285 - Management

Record Date

19-Mar-2021

Holding Recon Date

19-Mar-2021

City /

Country

United States

Vote Deadline Date

17-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Linda B. Bammann

Management

For

1B.

Election of Director: Stephen B. Burke

Management

For

1C.

Election of Director: Todd A. Combs

Management

For

1D.

Election of Director: James S. Crown

Management

For

1E.

Election of Director: James Dimon

Management

For

1F.

Election of Director: Timothy P. Flynn

Management

For

1G.

Election of Director: Mellody Hobson

Management

For

1H.

Election of Director: Michael A. Neal

Management

For

1I.

Election of Director: Phebe N. Novakovic

Management

For

1J.

Election of Director: Virginia M. Rometty

Management

For

Advisory resolution to approve executive compensation.

Management

For

Approval of Amended and Restated Long-Term Incentive Plan effective May 18, 2021.

Management

For

Ratification of independent registered public accounting firm.

Management

For

Improve shareholder written consent.

Shareholder

Against

For

Racial equity audit and report.

Shareholder

Against

For

Independent board chairman.

Shareholder

Against

For

Political and electioneering expenditure congruency report.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

360

08-Apr-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

39,050

08-Apr-2021

THERMO FISHER SCIENTIFIC INC.

Security

883556102

Meeting Type

Annual

Ticker Symbol

TMO

Meeting Date

19-May-2021

ISIN

US8835561023

Agenda

935375736 - Management

Record Date

26-Mar-2021

Holding Recon Date

26-Mar-2021

City /

Country

United States

Vote Deadline Date

18-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Marc N. Casper

Management

For

1B.

Election of Director: Nelson J. Chai

Management

For

1C.

Election of Director: C. Martin Harris

Management

For

1D.

Election of Director: Tyler Jacks

Management

For

1E.

Election of Director: R. Alexandra Keith

Management

For

1F.

Election of Director: Thomas J. Lynch

Management

For

1G.

Election of Director: Jim P. Manzi

Management

For

1H.

Election of Director: James C. Mullen

Management

For

1I.

Election of Director: Lars R. Sørensen

Management

For

1J.

Election of Director: Debora L. Spar

Management

For

1K.

Election of Director: Scott M. Sperling

Management

For

1L.

Election of Director: Dion J. Weisler

Management

For

An advisory vote to approve named executive officer compensation.

Management

For

Ratification of the Audit Committee's selection of PricewaterhouseCoopers LLP as the Company's independent auditors for 2021.

Management

For

A shareholder Proposal regarding special Shareholder Meetings.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

154

9,071

09-Apr-2021

ANNALY CAPITAL MANAGEMENT, INC.

Security

035710409

Meeting Type

Annual

Ticker Symbol

NLY

Meeting Date

19-May-2021

ISIN

US0357104092

Agenda

935377449 - Management

Record Date

22-Mar-2021

Holding Recon Date

22-Mar-2021

City /

Country

United States

Vote Deadline Date

18-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Francine J. Bovich

Management

For

1B.

Election of Director: Wellington J. Denahan

Management

For

1C.

Election of Director: Katie Beirne Fallon

Management

For

1D.

Election of Director: David L. Finkelstein

Management

For

1E.

Election of Director: Thomas Hamilton

Management

For

1F.

Election of Director: Kathy Hopinkah Hannan

Management

For

1G.

Election of Director: Michael Haylon

Management

For

1H.

Election of Director: Eric A. Reeves

Management

For

1I.

Election of Director: John H. Schaefer

Management

For

1J.

Election of Director: Glenn A. Votek

Management

For

1K.

Election of Director: Vicki Williams

Management

For

Advisory approval of the Company's executive compensation.

Management

For

Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

185,700

08-Apr-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

100

754,400

08-Apr-2021

UNIVERSAL HEALTH SERVICES, INC.

Security

913903100

Meeting Type

Annual

Ticker Symbol

UHS

Meeting Date

19-May-2021

ISIN

US9139031002

Agenda

935378059 - Management

Record Date

25-Mar-2021

Holding Recon Date

25-Mar-2021

City /

Country

United States

Vote Deadline Date

18-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

Proposal to ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

12,490

09-Apr-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

20,000

09-Apr-2021

997AL61

GLQ MS PLEDGE

997AL61

STATE STREET BANK & TRUST CO

4,000

09-Apr-2021

VERTEX PHARMACEUTICALS INCORPORATED

Security

92532F100

Meeting Type

Annual

Ticker Symbol

VRTX

Meeting Date

19-May-2021

ISIN

US92532F1003

Agenda

935383959 - Management

Record Date

25-Mar-2021

Holding Recon Date

25-Mar-2021

City /

Country

United States

Vote Deadline Date

18-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Sangeeta Bhatia

Management

For

1B.

Election of Director: Lloyd Carney

Management

For

1C.

Election of Director: Alan Garber

Management

For

1D.

Election of Director: Terrence Kearney

Management

For

1E.

Election of Director: Reshma Kewalramani

Management

For

1F.

Election of Director: Yuchun Lee

Management

For

1G.

Election of Director: Jeffrey Leiden

Management

For

1H.

Election of Director: Margaret McGlynn

Management

For

1I.

Election of Director: Diana McKenzie

Management

For

1J.

Election of Director: Bruce Sachs

Management

For

Ratification of Ernst & Young LLP as independent Registered Public Accounting firm for the year ending December 31, 2021.

Management

For

Advisory vote to approve named executive officer compensation.

Management

For

Shareholder proposal, if properly presented at the meeting, regarding a report on lobbying activities.

Shareholder

Against

For

Shareholder proposal, if properly presented at the meeting, regarding a report on political spending.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

1,570

09-Apr-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

785

14,900

09-Apr-2021

BARINGS BDC, INC.

Security

06759L103

Meeting Type

Annual

Ticker Symbol

BBDC

Meeting Date

20-May-2021

ISIN

US06759L1035

Agenda

935375104 - Management

Record Date

12-Mar-2021

Holding Recon Date

12-Mar-2021

City /

Country

United States

Vote Deadline Date

19-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Class III Director to serve until the 2024 Annual Meeting: David Mihalick

Management

For

1B.

Election of Class III Director to serve until the 2024 Annual Meeting: Thomas W. Okel

Management

For

1C.

Election of Class III Director to serve until the 2024 Annual Meeting: Jill Olmstead

Management

For

To authorize the Company, with subsequent approval of its Board of Directors, to issue and sell shares of its common stock at a price below its then current net asset value per share in one or more offerings, subject to certain limitations (including, without limitation, that the number of shares does not exceed 30% of its then outstanding common stock immediately prior to each such offering).

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

120,846

01-Apr-2021

ZOETIS INC.

Security

98978V103

Meeting Type

Annual

Ticker Symbol

ZTS

Meeting Date

20-May-2021

ISIN

US98978V1035

Agenda

935383252 - Management

Record Date

26-Mar-2021

Holding Recon Date

26-Mar-2021

City /

Country

United States

Vote Deadline Date

19-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Sanjay Khosla

Management

For

1B.

Election of Director: Antoinette R. Leatherberry

Management

For

1C.

Election of Director: Willie M. Reed

Management

For

1D.

Election of Director: Linda Rhodes

Management

For

Advisory vote to approve our executive compensation (Say on Pay).

Management

For

Ratification of appointment of KPMG LLP as our independent registered public accounting firm for 2021.

Management

For

Shareholder proposal regarding simple majority vote.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

110

21,800

07-Apr-2021

EQUITABLE HOLDINGS, INC.

Security

29452E101

Meeting Type

Annual

Ticker Symbol

EQH

Meeting Date

20-May-2021

ISIN

US29452E1010

Agenda

935385129 - Management

Record Date

23-Mar-2021

Holding Recon Date

23-Mar-2021

City /

Country

United States

Vote Deadline Date

19-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director for a one-year term ending at the 2022 Annual Meeting: Francis A. Hondal

Management

For

1B.

Election of Director for a one-year term ending at the 2022 Annual Meeting: Daniel G. Kaye

Management

For

1C.

Election of Director for a one-year term ending at the 2022 Annual Meeting: Joan Lamm-Tennant

Management

For

1D.

Election of Director for a one-year term ending at the 2022 Annual Meeting: Kristi A. Matus

Management

For

1E.

Election of Director for a one-year term ending at the 2022 Annual Meeting: Ramon de Oliveira

Management

For

1F.

Election of Director for a one-year term ending at the 2022 Annual Meeting: Mark Pearson

Management

For

1G.

Election of Director for a one-year term ending at the 2022 Annual Meeting: Bertram L. Scott

Management

For

1H.

Election of Director for a one-year term ending at the 2022 Annual Meeting: George Stansfield

Management

For

1I.

Election of Director for a one-year term ending at the 2022 Annual Meeting: Charles G.T. Stonehill

Management

For

Ratification of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2021.

Management

For

Advisory vote to approve the compensation paid to our named executive officers.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

82,500

09-Apr-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

116,400

09-Apr-2021

MERCK & CO., INC.

Security

58933Y105

Meeting Type

Annual

Ticker Symbol

MRK

Meeting Date

25-May-2021

ISIN

US58933Y1055

Agenda

935381044 - Management

Record Date

26-Mar-2021

Holding Recon Date

26-Mar-2021

City /

Country

United States

Vote Deadline Date

24-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Leslie A. Brun

Management

For

1B.

Election of Director: Mary Ellen Coe

Management

For

1C.

Election of Director: Pamela J. Craig

Management

For

1D.

Election of Director: Kenneth C. Frazier

Management

For

1E.

Election of Director: Thomas H. Glocer

Management

For

1F.

Election of Director: Risa J. Lavizzo-Mourey

Management

For

1G.

Election of Director: Stephen L. Mayo

Management

For

1H.

Election of Director: Paul B. Rothman

Management

For

1I.

Election of Director: Patricia F. Russo

Management

For

1J.

Election of Director: Christine E. Seidman

Management

For

1K.

Election of Director: Inge G. Thulin

Management

For

1L.

Election of Director: Kathy J. Warden

Management

For

1M.

Election of Director: Peter C. Wendell

Management

For

Non-binding advisory vote to approve the compensation of our named executive officers.

Management

For

Ratification of the appointment of the Company's independent registered public accounting firm for 2021.

Management

For

Shareholder proposal concerning a shareholder right to act by written consent.

Shareholder

Against

For

Shareholder proposal regarding access to COVID-19 products.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL61

GLQ MS PLEDGE

997AL61

STATE STREET BANK & TRUST CO

10,000

06-Apr-2021

ANTHEM, INC.

Security

036752103

Meeting Type

Annual

Ticker Symbol

ANTM

Meeting Date

26-May-2021

ISIN

US0367521038

Agenda

935387488 - Management

Record Date

22-Mar-2021

Holding Recon Date

22-Mar-2021

City /

Country

United States

Vote Deadline Date

25-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.1

Election of Director: Lewis Hay, III

Management

For

1.2

Election of Director: Antonio F. Neri

Management

For

1.3

Election of Director: Ramiro G. Peru

Management

For

Advisory vote to approve the compensation of our named executive officers.

Management

For

To ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm for 2021.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

5,910

10-Apr-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

125

7,600

10-Apr-2021

997AL61

GLQ MS PLEDGE

997AL61

STATE STREET BANK & TRUST CO

1,000

10-Apr-2021

SIXTH STREET SPECIALTY LENDING

Security

83012A109

Meeting Type

Annual

Ticker Symbol

TSLX

Meeting Date

26-May-2021

ISIN

US83012A1097

Agenda

935389797 - Management

Record Date

31-Mar-2021

Holding Recon Date

31-Mar-2021

City /

Country

United States

Vote Deadline Date

25-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

DIRECTOR

Management

Richard Higginbotham

For

David Stiepleman

For

Ronald Tanemura

For

To ratify the selection of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

27,000

14-Apr-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

100

113,900

14-Apr-2021

SIXTH STREET SPECIALTY LENDING

Security

83012A109

Meeting Type

Special

Ticker Symbol

TSLX

Meeting Date

26-May-2021

ISIN

US83012A1097

Agenda

935396829 - Management

Record Date

31-Mar-2021

Holding Recon Date

31-Mar-2021

City /

Country

United States

Vote Deadline Date

25-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

To approve a proposal to authorize the Company to sell or otherwise issue shares of its common stock at a price below its then-current net asset value per share in one or more offerings, in each case subject to the approval of its Board of Directors and subject to the conditions set forth in the accompanying proxy statement.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

27,000

14-Apr-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

100

113,900

14-Apr-2021

TOWNGAS CHINA CO LTD

Security

G8972T106

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

27-May-2021

ISIN

KYG8972T1067

Agenda

713910607 - Management

Record Date

21-May-2021

Holding Recon Date

21-May-2021

City /

Country

HONG KONG

Cayman Islands

Vote Deadline Date

20-May-2021

SEDOL(s)

6345460 - B0WXDV8 - BD8NHV1 - BL63HZ3 - BP3RY11

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

CMMT

PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- https://www1.hkexnews.hk/listedco/listconews/sehk/2021/ 0415/2021041500443.pdf-AND- https://www1.hkexnews.hk/listedco/listconews/sehk/2021/ 0415/2021041500457.pdf

Non-Voting

CMMT

PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR- ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING

Non-Voting

TO RECEIVE AND ADOPT THE AUDITED CONSOLIDATED FINANCIAL STATEMENTS AND THE REPORTS OF THE DIRECTORS AND AUDITOR OF THE COMPANY FOR THE YEAR ENDED 31 DECEMBER 2020

Management

For

2.A

TO RE-ELECT MR. PETER WONG WAI-YEE AS A DIRECTOR OF THE COMPANY

Management

For

2.B

TO RE-ELECT MR. BRIAN DAVID LI MAN-BUN AS A DIRECTOR OF THE COMPANY

Management

For

2.C

TO RE-ELECT MR. JAMES KWAN YUK-CHOI AS A DIRECTOR OF THE COMPANY

Management

For

TO AUTHORISE THE BOARD OF DIRECTORS OF THE COMPANY TO FIX THE REMUNERATION OF THE DIRECTORS OF THE COMPANY

Management

For

TO RE-APPOINT DELOITTE TOUCHE TOHMATSU AS THE AUDITOR OF THE COMPANY AND TO AUTHORISE THE BOARD OF DIRECTORS OF THE COMPANY TO FIX THE REMUNERATION OF THE AUDITOR OF THE COMPANY

Management

For

TO GRANT A GENERAL MANDATE TO THE DIRECTORS OF THE COMPANY TO BUY BACK SHARES OF THE COMPANY NOT EXCEEDING 10% OF THE TOTAL NUMBER OF ISSUED SHARES OF THE COMPANY

Management

For

TO GRANT A GENERAL MANDATE TO THE DIRECTORS OF THE COMPANY TO ALLOT, ISSUE AND DEAL WITH ADDITIONAL SHARES OF THE COMPANY NOT EXCEEDING 20% OF THE TOTAL NUMBER OF ISSUED SHARES OF THE COMPANY

Management

For

TO EXTEND THE GENERAL MANDATE TO THE DIRECTORS OF THE COMPANY TO ALLOT, ISSUE AND DEAL WITH ADDITIONAL SHARES OF THE COMPANY BY ADDITION THERETO OF THE NUMBER OF SHARES REPRESENTING THE AGGREGATE NUMBER OF SHARES BOUGHT BACK BY THE COMPANY

Management

For

TO APPROVE PAYMENT OF A FINAL DIVIDEND OF HK FIFTEEN CENTS PER SHARE FROM THE SHARE PREMIUM ACCOUNT OF THE COMPANY IN RESPECT OF THE YEAR ENDED 31 DECEMBER 2020 WITH AN OPTION FOR SCRIP DIVIDEND

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL28

STATE STREET BANK

970,000

19-May-2021

HSBC HOLDINGS PLC

Security

G4634U169

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

28-May-2021

ISIN

GB0005405286

Agenda

713725743 - Management

Record Date

Holding Recon Date

26-May-2021

City /

Country

LONDON

United Kingdom

Vote Deadline Date

21-May-2021

SEDOL(s)

0540528 - 2367543 - 4097279 - 5722592 - B2NSSQ6

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

TO RECEIVE THE ANNUAL REPORT & ACCOUNTS 2020

Management

For

TO APPROVE THE DIRECTORS' REMUNERATION REPORT

Management

For

3.A

TO ELECT JAMES FORESE AS A DIRECTOR

Management

For

3.B

TO ELECT STEVEN GUGGENHEIMER AS A DIRECTOR

Management

For

3.C

TO ELECT EILEEN MURRAY AS A DIRECTOR

Management

For

3.D

TO RE-ELECT IRENE LEE AS A DIRECTOR

Management

For

3.E

TO RE-ELECT DR JOSE ANTONIO MEADE KURIBRENA AS A DIRECTOR

Management

For

3.F

TO RE-ELECT DAVID NISH AS A DIRECTOR

Management

For

3.G

TO RE-ELECT NOEL QUINN AS A DIRECTOR

Management

For

3.H

TO RE-ELECT EWEN STEVENSON AS A DIRECTOR

Management

For

3.I

TO RE-ELECT JACKSON TAI AS A DIRECTOR

Management

For

3.J

TO RE-ELECT MARK E TUCKER AS A DIRECTOR

Management

For

3.K

TO RE-ELECT PAULINE VAN DER MEER MOHR AS A DIRECTOR

Management

For

TO RE-APPOINT PRICEWATERHOUSECOOPERS LLP AS AUDITOR OF THE COMPANY

Management

For

TO AUTHORISE THE GROUP AUDIT COMMITTEE TO DETERMINE THE REMUNERATION OF THE AUDITOR

Management

For

TO AUTHORISE THE COMPANY TO MAKE POLITICAL DONATIONS

Management

For

TO AUTHORISE THE DIRECTORS TO ALLOT SHARES

Management

For

TO DISAPPLY PRE-EMPTION RIGHTS

Management

For

TO FURTHER DISAPPLY PRE-EMPTION RIGHTS FOR ACQUISITIONS

Management

For

TO AUTHORISE THE DIRECTORS TO ALLOT ANY REPURCHASED SHARES

Management

For

TO AUTHORISE THE COMPANY TO PURCHASE ITS OWN ORDINARY SHARES

Management

For

TO AUTHORISE THE DIRECTORS TO ALLOT EQUITY SECURITIES IN RELATION TO CONTINGENT CONVERTIBLE SECURITIES

Management

For

TO DISAPPLY PRE-EMPTION RIGHTS IN RELATION TO THE ISSUE OF CONTINGENT CONVERTIBLE SECURITIES

Management

For

TO CALL GENERAL MEETINGS (OTHER THAN AN AGM) ON 14 CLEAR DAYS' NOTICE

Management

For

CLIMATE CHANGE RESOLUTION

Management

For

PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: SHAREHOLDER REQUISITIONED RESOLUTION REGARDING THE MIDLAND BANK DEFINED BENEFIT PENSION SCHEME

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL28

STATE STREET BANK

282,800

14-May-2021

APELLIS PHARMACEUTICALS INC.

Security

03753U106

Meeting Type

Annual

Ticker Symbol

APLS

Meeting Date

01-Jun-2021

ISIN

US03753U1060

Agenda

935405084 - Management

Record Date

05-Apr-2021

Holding Recon Date

05-Apr-2021

City /

Country

United States

Vote Deadline Date

28-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

DIRECTOR

Management

Paul Fonteyne

For

Stephanie M. O'Brien

For

To ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021.

Management

For

To approve an advisory vote on executive compensation.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

58,100

23-Apr-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

397

43,900

23-Apr-2021

ROYAL CARIBBEAN CRUISES LTD.

Security

V7780T103

Meeting Type

Annual

Ticker Symbol

RCL

Meeting Date

02-Jun-2021

ISIN

LR0008862868

Agenda

935411215 - Management

Record Date

08-Apr-2021

Holding Recon Date

08-Apr-2021

City /

Country

United States

Vote Deadline Date

01-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: John F. Brock

Management

For

1B.

Election of Director: Richard D. Fain

Management

For

1C.

Election of Director: Stephen R. Howe, Jr.

Management

For

1D.

Election of Director: William L. Kimsey

Management

For

1E.

Election of Director: Amy McPherson

Management

For

1F.

Election of Director: Maritza G. Montiel

Management

For

1G.

Election of Director: Ann S. Moore

Management

For

1H.

Election of Director: Eyal M. Ofer

Management

For

1I.

Election of Director: William K. Reilly

Management

For

1J.

Election of Director: Vagn O. Sørensen

Management

For

1K.

Election of Director: Donald Thompson

Management

For

1L.

Election of Director: Arne Alexander Wilhelmsen

Management

For

Advisory approval of the Company's compensation of its named executive officers.

Management

For

Approval of the amendment to the Company's 1994 Employee Stock Purchase Plan.

Management

For

Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for 2021.

Management

For

The shareholder proposal regarding political contributions disclosure.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

26,500

22-Apr-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

18,720

49,500

22-Apr-2021

PENNYMAC FINANCIAL SERVICES INC.

Security

70932M107

Meeting Type

Annual

Ticker Symbol

PFSI

Meeting Date

03-Jun-2021

ISIN

US70932M1071

Agenda

935400591 - Management

Record Date

06-Apr-2021

Holding Recon Date

06-Apr-2021

City /

Country

United States

Vote Deadline Date

02-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Nominee for a term expiring at the 2022 Annual Meeting: David A. Spector

Management

For

1B.

Election of Nominee for a term expiring at the 2022 Annual Meeting: James K. Hunt

Management

For

1C.

Election of Nominee for a term expiring at the 2022 Annual Meeting: Jonathon S. Jacobson

Management

For

1D.

Election of Nominee for a term expiring at the 2022 Annual Meeting: Patrick Kinsella

Management

For

1E.

Election of Nominee for a term expiring at the 2022 Annual Meeting: Anne D. McCallion

Management

For

1F.

Election of Nominee for a term expiring at the 2022 Annual Meeting: Joseph Mazzella

Management

For

1G.

Election of Nominee for a term expiring at the 2022 Annual Meeting: Farhad Nanji

Management

For

1H.

Election of Nominee for a term expiring at the 2022 Annual Meeting: Jeffrey A. Perlowitz

Management

For

1I.

Election of Nominee for a term expiring at the 2022 Annual Meeting: Lisa M. Shalett

Management

For

1J.

Election of Nominee for a term expiring at the 2022 Annual Meeting: Theodore W. Tozer

Management

For

1K.

Election of Nominee for a term expiring at the 2022 Annual Meeting: Emily Youssouf

Management

For

To ratify the appointment of our independent registered public accounting firm for the fiscal year ending December 31, 2021.

Management

For

To approve by non-binding vote, our executive compensation.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

110,780

26-May-2021

997AL61

GLQ MS PLEDGE

997AL61

STATE STREET BANK & TRUST CO

25,000

26-May-2021

1LIFE HEALTHCARE, INC.

Security

68269G107

Meeting Type

Annual

Ticker Symbol

ONEM

Meeting Date

03-Jun-2021

ISIN

US68269G1076

Agenda

935401276 - Management

Record Date

05-Apr-2021

Holding Recon Date

05-Apr-2021

City /

Country

United States

Vote Deadline Date

02-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

DIRECTOR

Management

Bruce W. Dunlevie

For

David P. Kennedy

For

To ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending December 31, 2021.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

2,000

22-Apr-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

35,000

64,700

22-Apr-2021

BOOKING HOLDINGS INC.

Security

09857L108

Meeting Type

Annual

Ticker Symbol

BKNG

Meeting Date

03-Jun-2021

ISIN

US09857L1089

Agenda

935408434 - Management

Record Date

08-Apr-2021

Holding Recon Date

08-Apr-2021

City /

Country

United States

Vote Deadline Date

02-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

DIRECTOR

Management

Timothy M. Armstrong

For

Glenn D. Fogel

For

Mirian M. Graddick-Weir

For

Wei Hopeman

For

Robert J. Mylod, Jr.

For

Charles H. Noski

For

Nicholas J. Read

For

Thomas E. Rothman

For

Bob van Dijk

For

Lynn M. Vojvodich

For

Vanessa A. Wittman

For

Advisory vote to approve 2020 executive compensation.

Management

For

Management proposal to amend the Company's 1999 Omnibus Plan.

Management

For

Ratification of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021.

Management

For

Management proposal to amend the Company's Certificate of Incorporation to allow stockholders the right to act by written consent.

Management

For

Stockholder proposal requesting the right of stockholders to act by written consent.

Shareholder

Against

For

Stockholder proposal requesting the Company issue a climate transition report.

Shareholder

Against

For

Stockholder proposal requesting the Company hold an annual advisory stockholder vote on the Company's climate policies and strategies.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

236

22-Apr-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

1,200

22-Apr-2021

997AL61

GLQ MS PLEDGE

997AL61

STATE STREET BANK & TRUST CO

940

22-Apr-2021

VERACYTE, INC.

Security

92337F107

Meeting Type

Annual

Ticker Symbol

VCYT

Meeting Date

07-Jun-2021

ISIN

US92337F1075

Agenda

935410085 - Management

Record Date

15-Apr-2021

Holding Recon Date

15-Apr-2021

City /

Country

United States

Vote Deadline Date

04-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

DIRECTOR

Management

Muna Bhanji

For

John L. Bishop

For

The ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for 2021.

Management

For

The approval, on a non-binding advisory basis, of the compensation of our named executive officers, as disclosed in our proxy statement.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

110

54,600

24-Apr-2021

UNITEDHEALTH GROUP INCORPORATED

Security

91324P102

Meeting Type

Annual

Ticker Symbol

UNH

Meeting Date

07-Jun-2021

ISIN

US91324P1021

Agenda

935414879 - Management

Record Date

09-Apr-2021

Holding Recon Date

09-Apr-2021

City /

Country

United States

Vote Deadline Date

04-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Richard T. Burke

Management

For

1B.

Election of Director: Timothy P. Flynn

Management

For

1C.

Election of Director: Stephen J. Hemsley

Management

For

1D.

Election of Director: Michele J. Hooper

Management

For

1E.

Election of Director: F. William McNabb III

Management

For

1F.

Election of Director: Valerie C. Montgomery Rice, M.D.

Management

For

1G.

Election of Director: John H. Noseworthy, M.D.

Management

For

1H.

Election of Director: Gail R. Wilensky, Ph.D.

Management

For

1I.

Election of Director: Andrew Witty

Management

For

Advisory approval of the Company's executive compensation.

Management

For

Ratification of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm for the Company for the year ending December 31, 2021.

Management

For

Approval of an amendment to the UnitedHealth Group 1993 Employee Stock Purchase Plan.

Management

For

If properly presented at the 2021 Annual Meeting of Shareholders, the shareholder proposal set forth in the proxy statement requesting a reduction of the share ownership threshold for calling a special meeting of shareholders.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

300

27-Apr-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

6,500

27-Apr-2021

997AL61

GLQ MS PLEDGE

997AL61

STATE STREET BANK & TRUST CO

6,000

27-Apr-2021

TAIWAN SEMICONDUCTOR MANUFACTURING CO LTD

Security

Y84629107

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

08-Jun-2021

ISIN

TW0002330008

Agenda

714114244 - Management

Record Date

09-Apr-2021

Holding Recon Date

09-Apr-2021

City /

Country

HSINCH U

Taiwan, Province of China

Vote Deadline Date

31-May-2021

SEDOL(s)

6889106

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

TO ACCEPT 2020 BUSINESS REPORT AND FINANCIAL STATEMENTS.

Management

For

BASED ON RECENT AMENDMENTS TO THE 'TEMPLATE OF PROCEDURES FOR ELECTION OF DIRECTOR' BY THE TAIWAN STOCK EXCHANGE, TO APPROVE AMENDMENTS TO THE BALLOT FORMAT REQUIREMENT FOR ELECTION OF DIRECTORS SET FORTH IN TSMC'S 'RULES FOR ELECTION OF DIRECTORS'.

Management

For

TO APPROVE THE ISSUANCE OF EMPLOYEE RESTRICTED STOCK AWARDS FOR YEAR 2021.

Management

For

4.1

THE ELECTION OF THE DIRECTOR.:MARK LIU,SHAREHOLDER NO.10758

Management

For

4.2

THE ELECTION OF THE DIRECTOR.:C.C. WEI,SHAREHOLDER NO.370885

Management

For

4.3

THE ELECTION OF THE DIRECTOR.:F.C. TSENG,SHAREHOLDER NO.104

Management

For

4.4

THE ELECTION OF THE DIRECTOR.:NATIONAL DEVELOPMENT FUND, EXECUTIVE YUAN,SHAREHOLDER NO.1,MING HSIN KUNG AS REPRESENTATIVE

Management

For

4.5

THE ELECTION OF THE INDEPENDENT DIRECTOR.:SIR PETER L. BONFIELD,SHAREHOLDER NO.504512XXX

Management

For

4.6

THE ELECTION OF THE INDEPENDENT DIRECTOR.:KOK CHOO CHEN,SHAREHOLDER NO.A210358XXX

Management

For

4.7

THE ELECTION OF THE INDEPENDENT DIRECTOR.:MICHAEL R. SPLINTER,SHAREHOLDER NO.488601XXX

Management

For

4.8

THE ELECTION OF THE INDEPENDENT DIRECTOR.:MOSHE N. GAVRIELOV,SHAREHOLDER NO.505930XXX

Management

For

4.9

THE ELECTION OF THE INDEPENDENT DIRECTOR.:YANCEY HAI,SHAREHOLDER NO.D100708XXX

Management

For

4.10

THE ELECTION OF THE INDEPENDENT DIRECTOR.:L. RAFAEL REIF,SHAREHOLDER NO.545784XXX

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL28

STATE STREET BANK

251,000

11-May-2021

MEDIATEK INCORPORATION

Security

Y5945U103

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

10-Jun-2021

ISIN

TW0002454006

Agenda

714135438 - Management

Record Date

09-Apr-2021

Holding Recon Date

09-Apr-2021

City /

Country

HSINCH U

Taiwan, Province of China

Vote Deadline Date

02-Jun-2021

SEDOL(s)

6372480 - B06P6Z5

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

ADOPTION OF THE 2020 BUSINESS REPORT AND FINANCIAL STATEMENTS.

Management

For

ADOPTION OF THE PROPOSAL FOR DISTRIBUTION OF 2020 PROFITS.PROPOSED CASH DIVIDEND: TWD21 PER SHARE.

Management

For

DISCUSSION OF CASH DISTRIBUTION FROM CAPITAL RESERVE.PROPOSED TWD16 PER SHARE.

Management

For

DISCUSSION ON ISSUANCE OF RESTRICTED STOCK AWARDS.

Management

For

5.1

THE ELECTION OF THE DIRECTORS:MING-KAI TSAI,SHAREHOLDER NO.1

Management

For

5.2

THE ELECTION OF THE DIRECTORS:RICK TSA,SHAREHOLDER NO.374487

Management

For

5.3

THE ELECTION OF THE DIRECTORS:CHENG-YAW SUN,SHAREHOLDER NO.109274

Management

For

5.4

THE ELECTION OF THE DIRECTORS:KENNETH KIN,SHAREHOLDER NO.F102831XXX

Management

For

5.5

THE ELECTION OF THE DIRECTORS:JOE CHEN,SHAREHOLDER NO.157

Management

For

5.6

THE ELECTION OF THE INDEPENDENT DIRECTORS:CHUNG-YU WU,SHAREHOLDER NO.1512

Management

For

5.7

THE ELECTION OF THE INDEPENDENT DIRECTORS:PENG-HENG CHANG,SHAREHOLDER NO.A102501XXX

Management

For

5.8

THE ELECTION OF THE INDEPENDENT DIRECTORS:MING-JE TANG,SHAREHOLDER NO.A100065XXX

Management

For

SUSPENSION OF THE NON-COMPETITION RESTRICTIONS ON THE 9TH SESSION DIRECTORS OF THE COMPANY

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL28

STATE STREET BANK

109,500

13-May-2021

CRISPR THERAPEUTICS AG

Security

H17182108

Meeting Type

Annual

Ticker Symbol

CRSP

Meeting Date

10-Jun-2021

ISIN

CH0334081137

Agenda

935416936 - Management

Record Date

16-Apr-2021

Holding Recon Date

16-Apr-2021

City /

Country

Switzerland

Vote Deadline Date

09-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

The approval of the annual report, the consolidated financial statements and the statutory financial statements of the Company for the year ended December 31, 2020.

Management

For

The approval of the appropriation of financial results.

Management

For

The discharge of the members of the Board of Directors and Executive Committee.

Management

For

4a.

Re-election of Rodger Novak, M.D., as member and Chairman.

Management

For

4b.

Re-election of Samarth Kulkarni, Ph.D. as the member to the Board of Director.

Management

For

4c.

Re-election of Ali Behbahani, M.D. as the member to the Board of Director.

Management

For

4d.

Re-election of Bradley Bolzon, Ph.D. as the member to the Board of Director.

Management

For

4e.

Re-election of Simeon J. George, M.D. as the member to the Board of Director.

Management

For

4f.

Re-election of John T. Greene as the member to the Board of Director.

Management

For

4g.

Re-election of Katherine A. High, M.D. as the member to the Board of Director.

Management

For

4h.

Re-election of Douglas A. Treco, Ph.D. as the member to the Board of Director.

Management

For

4i.

Election of H Edward Fleming Jr., M.D. as the member to the Board of Director.

Management

For

5a.

Re-election of the member of the Compensation Committee: Ali Behbahani, M.D.

Management

For

5b.

Re-election of the member of the Compensation Committee: Simeon J. George, M.D.

Management

For

5c.

Re-election of the member of the Compensation Committee: John T. Greene

Management

For

6a.

Binding vote on total non-performance-related compensation for members of the Board of Directors from the 2021 Annual General Meeting to the 2022 annual general meeting of shareholders.

Management

For

6b.

Binding vote on equity for members of the Board of Directors from the 2021 Annual General Meeting to the 2022 annual general meeting of shareholders.

Management

For

6c.

Binding vote on total non-performance-related compensation for members of the Executive Committee from July 1, 2021 to June 30, 2022.

Management

For

6d.

Binding vote on total variable compensation for members of the Executive Committee for the current year ending December 31, 2021.

Management

For

6e.

Binding vote on equity for members of the Executive Committee from the 2021 Annual General Meeting to the 2022 annual general meeting of shareholders.

Management

For

The approval of an increase in the Conditional Share Capital for Employee Equity Plans.

Management

For

The approval of increasing the maximum size of the Board of Directors.

Management

For

The approval of increasing the maximum number of authorized share capital and extending the date by which the Board of Directors may increase the share capital.

Management

For

10.

The re-election of the independent voting rights representative.

Management

For

11.

The re-election of the auditors.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

780

01-May-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

40,000

01-May-2021

ABCELLERA BIOLOGICS, INC.

Security

00288U106

Meeting Type

Annual

Ticker Symbol

ABCL

Meeting Date

15-Jun-2021

ISIN

CA00288U1066

Agenda

935419879 - Management

Record Date

19-Apr-2021

Holding Recon Date

19-Apr-2021

City /

Country

Canada

Vote Deadline Date

14-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of class I Director to serve until the 2024 annual meeting: Véronique Lecault, Ph.D.

Management

For

1B.

Election of class I Director to serve until the 2024 annual meeting: John Edward Hamer, Ph.D.

Management

For

To ratify the appointment of KPMG LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

50,600

29-Apr-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

100

50,800

29-Apr-2021

TWILIO INC.

Security

90138F102

Meeting Type

Annual

Ticker Symbol

TWLO

Meeting Date

16-Jun-2021

ISIN

US90138F1021

Agenda

935414716 - Management

Record Date

19-Apr-2021

Holding Recon Date

19-Apr-2021

City /

Country

United States

Vote Deadline Date

15-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

DIRECTOR

Management

Jeff Lawson

For

Byron Deeter

For

Jeffrey Epstein

For

Ratification of the appointment of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021.

Management

For

Approval of, on a non-binding advisory basis, the compensation of the Company's named executive officers.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

140

30-Apr-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

4,285

30-Apr-2021

CHECKMATE PHARMACEUTICALS, INC.

Security

162818108

Meeting Type

Annual

Ticker Symbol

CMPI

Meeting Date

16-Jun-2021

ISIN

US1628181083

Agenda

935424363 - Management

Record Date

23-Apr-2021

Holding Recon Date

23-Apr-2021

City /

Country

United States

Vote Deadline Date

15-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Class I Director: Michael Powell, Ph.D.

Management

For

1B.

Election of Class I Director: Nilesh Kumar, Ph.D.

Management

For

To ratify the appointment of KPMG LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

9,341

01-May-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

100

152,500

01-May-2021

LYFT, INC.

Security

55087P104

Meeting Type

Annual

Ticker Symbol

LYFT

Meeting Date

17-Jun-2021

ISIN

US55087P1049

Agenda

935416518 - Management

Record Date

21-Apr-2021

Holding Recon Date

21-Apr-2021

City /

Country

United States

Vote Deadline Date

16-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

DIRECTOR

Management

John Zimmer

For

Valerie Jarrett

For

David Lawee

For

To ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending December 31, 2021.

Management

For

To approve, on an advisory basis, the compensation of our named executive officers.

Management

For

A stockholder proposal regarding a report disclosing certain lobbying expenditures and activities, if properly presented at the meeting.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

23,500

29-Apr-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

100

47,900

29-Apr-2021

997AL61

GLQ MS PLEDGE

997AL61

STATE STREET BANK & TRUST CO

8,000

29-Apr-2021

MASTERCARD INCORPORATED

Security

57636Q104

Meeting Type

Annual

Ticker Symbol

Meeting Date

22-Jun-2021

ISIN

US57636Q1040

Agenda

935420644 - Management

Record Date

23-Apr-2021

Holding Recon Date

23-Apr-2021

City /

Country

United States

Vote Deadline Date

21-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Ajay Banga

Management

For

1B.

Election of Director: Merit E. Janow

Management

For

1C.

Election of Director: Richard K. Davis

Management

For

1D.

Election of Director: Steven J. Freiberg

Management

For

1E.

Election of Director: Julius Genachowski

Management

For

1F.

Election of Director: Choon Phong Goh

Management

For

1G.

Election of Director: Oki Matsumoto

Management

For

1H.

Election of Director: Michael Miebach

Management

For

1I.

Election of Director: Youngme Moon

Management

For

1J.

Election of Director: Rima Qureshi

Management

For

1K.

Election of Director: José Octavio Reyes Lagunes

Management

For

1L.

Election of Director: Gabrielle Sulzberger

Management

For

1M.

Election of Director: Jackson Tai

Management

For

1N.

Election of Director: Lance Uggla

Management

For

Advisory approval of Mastercard's executive compensation.

Management

For

Ratification of the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for Mastercard for 2021.

Management

For

Approval of the amendment and restatement of the Mastercard Incorporated 2006 Long Term Incentive Plan.

Management

For

Approval of the amendment and restatement of the Mastercard Incorporated 2006 Non-Employee Director Equity Compensation Plan.

Management

For

Approval of amendments to Mastercard's Certificate of Incorporation to remove supermajority voting requirements.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

459

30-Apr-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

13,165

30-Apr-2021

HON HAI PRECISION INDUSTRY CO LTD

Security

Y36861105

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

23-Jun-2021

ISIN

TW0002317005

Agenda

714213434 - Management

Record Date

23-Apr-2021

Holding Recon Date

23-Apr-2021

City /

Country

TAIPEI

Taiwan, Province of China

Vote Deadline Date

15-Jun-2021

SEDOL(s)

6438564 - B03W240

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

TO APPROVE 2020 BUSINESS REPORT AND FINANCIAL STATEMENTS.

Management

For

TO APPROVE THE PROPOSAL FOR DISTRIBUTION OF 2020 EARNINGS. PROPOSED CASH DIVIDEND :TWD 4 PER SHARE.

Management

For

TO APPROVE THE LIFTING OF DIRECTOR OF NON- COMPETITION RESTRICTIONS.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL28

STATE STREET BANK

940,000

26-May-2021

ZAI LAB LTD

Security

98887Q104

Meeting Type

Annual

Ticker Symbol

ZLAB

Meeting Date

24-Jun-2021

ISIN

US98887Q1040

Agenda

935433831 - Management

Record Date

27-Apr-2021

Holding Recon Date

27-Apr-2021

City /

Country

China

Vote Deadline Date

10-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

A special resolution to consider and approve amending and restating the Fourth Amended and Restated Articles of Association of Zai Lab Limited, or the Current Articles, to provide for the annual election of each of the Company's directors.

Management

For

A special resolution to consider and approve amending and restating the Current Articles to reflect changes required or recommended by The Stock Exchange of Hong Kong Limited.

Management

For

A special resolution to consider and approve that, conditional upon the approval of special resolutions 1 and 2, the Current Articles be amended, restated and replaced in their entirety by the Fifth Amended and Restated Articles of Association in the form attached to the proxy statement as Exhibit A.

Management

For

An ordinary resolution to ratify the selection of Deloitte Touche Tohmatsu Certified Public Accountants LLP and Deloitte Touche Tohmatsu as the Company's independent auditors for the fiscal year ending December 31, 2021.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

150

18,890

11-May-2021

CROWDSTRIKE HOLDINGS, INC.

Security

22788C105

Meeting Type

Annual

Ticker Symbol

CRWD

Meeting Date

30-Jun-2021

ISIN

US22788C1053

Agenda

935436003 - Management

Record Date

05-May-2021

Holding Recon Date

05-May-2021

City /

Country

United States

Vote Deadline Date

29-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

DIRECTOR

Management

Roxanne S. Austin

For

Sameer K. Gandhi

For

Gerhard Watzinger

For

To ratify the selection of PricewaterhouseCoopers LLP as CrowdStrike's independent registered public accounting firm for its fiscal year ending January 31, 2022.

Management

For

To approve, on an advisory basis, the compensation of CrowdStrike's named executive officers.

Management

For

To approve, on an advisory basis, the frequency of future stockholder advisory votes on the compensation of CrowdStrike's named executive officers.

Management

3 Years

For

To approve an amendment to CrowdStrike's 2019 Employee Stock Purchase Plan.

Management

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL28

GLQ

997AL28

STATE STREET BANK & TRUST CO

940

15-May-2021

997AL47

GLQ BNP PLEDGE

997AL47

STATE STREET BANK & TRUST CO

7,070

15-May-2021

-2-

SIGNATURE

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.

	Clough Global Equity Fund

	By:	/s/ Dawn Cotten
		Dawn Cotten
		President

	Date:	August 11, 2021

-3-

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