Form N-PX Investment Managers Seri For: Jun 30

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

FORM N-PX

 

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT

INVESTMENT COMPANY

 

Investment Company Act file number 811-21719

 

INVESTMENT MANAGERS SERIES TRUST

(Exact name of registrant as specified in charter)

 

235 W. Galena Street, Milwaukee, WI	53212
(Address of principal executive offices)	(Zip code)

 

Diane J. Drake

Mutual Fund Administration, LLC

2220 E. Route 66, Suite 226

Glendora, California 91740

(Name and address of agent for service)

 

Registrant's telephone number, including area code: (626) 385-5777

 

Date of fiscal year end: October 31

 

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

 

Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss. 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.

 

A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507.

 

 

ITEM 1. PROXY VOTING RECORD.

 

Vote Summary

 

GENERAL MILLS, INC.

Security

370334104

Meeting Type

Annual

Ticker Symbol

GIS

Meeting Date

22-Sep-2020

ISIN

US3703341046

Agenda

935257976 - Management

Record Date

24-Jul-2020

Holding Recon Date

24-Jul-2020

City /

Country

/

United States

Vote Deadline Date

21-Sep-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

1C.

Election of Directors (Majority Voting)

Management

For

For

1D.

Election of Directors (Majority Voting)

Management

For

For

1E.

Election of Directors (Majority Voting)

Management

For

For

1F.

Election of Directors (Majority Voting)

Management

For

For

1G.

Election of Directors (Majority Voting)

Management

For

For

1H.

Election of Directors (Majority Voting)

Management

For

For

1I.

Election of Directors (Majority Voting)

Management

For

For

1J.

Election of Directors (Majority Voting)

Management

For

For

1K.

Election of Directors (Majority Voting)

Management

For

For

1L.

Election of Directors (Majority Voting)

Management

For

For

2.

14A Executive Compensation

Management

For

For

3.

Ratify Appointment of Independent Auditors

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

6,100

0

11-Aug-2020

11-Aug-2020

CISCO SYSTEMS, INC.

Security

17275R102

Meeting Type

Annual

Ticker Symbol

CSCO

Meeting Date

10-Dec-2020

ISIN

US17275R1023

Agenda

935287498 - Management

Record Date

12-Oct-2020

Holding Recon Date

12-Oct-2020

City /

Country

/

United States

Vote Deadline Date

09-Dec-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1a.

Election of Directors (Majority Voting)

Management

For

For

1b.

Election of Directors (Majority Voting)

Management

For

For

1c.

Election of Directors (Majority Voting)

Management

For

For

1d.

Election of Directors (Majority Voting)

Management

For

For

1e.

Election of Directors (Majority Voting)

Management

For

For

1f.

Election of Directors (Majority Voting)

Management

For

For

1g.

Election of Directors (Majority Voting)

Management

For

For

1h.

Election of Directors (Majority Voting)

Management

For

For

1i.

Election of Directors (Majority Voting)

Management

For

For

1j.

Election of Directors (Majority Voting)

Management

For

For

2.

Approve Reincorporation

Management

For

For

3.

Amend Stock Compensation Plan

Management

For

For

4.

14A Executive Compensation

Management

For

For

5.

Ratify Appointment of Independent Auditors

Management

For

For

6.

S/H Proposal - Establish Independent Chairman

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

17,600

0

23-Oct-2020

23-Oct-2020

TYSON FOODS, INC.

Security

902494103

Meeting Type

Annual

Ticker Symbol

TSN

Meeting Date

11-Feb-2021

ISIN

US9024941034

Agenda

935320476 - Management

Record Date

14-Dec-2020

Holding Recon Date

14-Dec-2020

City /

Country

/

United States

Vote Deadline Date

10-Feb-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1a.

Election of Directors (Majority Voting)

Management

For

For

1b.

Election of Directors (Majority Voting)

Management

For

For

1c.

Election of Directors (Majority Voting)

Management

For

For

1d.

Election of Directors (Majority Voting)

Management

For

For

1e.

Election of Directors (Majority Voting)

Management

For

For

1f.

Election of Directors (Majority Voting)

Management

For

For

1g.

Election of Directors (Majority Voting)

Management

For

For

1h.

Election of Directors (Majority Voting)

Management

For

For

1i.

Election of Directors (Majority Voting)

Management

For

For

1j.

Election of Directors (Majority Voting)

Management

For

For

1k.

Election of Directors (Majority Voting)

Management

For

For

1l.

Election of Directors (Majority Voting)

Management

For

For

1m.

Election of Directors (Majority Voting)

Management

For

For

1n.

Election of Directors (Majority Voting)

Management

For

For

1o.

Election of Directors (Majority Voting)

Management

For

For

2.

Ratify Appointment of Independent Auditors

Management

For

For

3.

Amend Stock Compensation Plan

Management

For

For

4.

S/H Proposal - Human Rights Related

Shareholder

Against

Against

5.

S/H Proposal - Corporate Governance

Shareholder

Against

Against

6.

S/H Proposal - Political/Government

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

10,300

0

25-Dec-2020

25-Dec-2020

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

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

1C.

Election of Directors (Majority Voting)

Management

For

For

1D.

Election of Directors (Majority Voting)

Management

For

For

1E.

Election of Directors (Majority Voting)

Management

For

For

1F.

Election of Directors (Majority Voting)

Management

For

For

1G.

Election of Directors (Majority Voting)

Management

For

For

1H.

Election of Directors (Majority Voting)

Management

For

For

1I.

Election of Directors (Majority Voting)

Management

For

For

2.

Ratify Appointment of Independent Auditors

Management

For

For

3.

Amend Stock Compensation Plan

Management

For

For

4.

14A Executive Compensation

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

1,600

0

20-Feb-2021

20-Feb-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

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

1C.

Election of Directors (Majority Voting)

Management

For

For

1D.

Election of Directors (Majority Voting)

Management

For

For

1E.

Election of Directors (Majority Voting)

Management

For

For

1F.

Election of Directors (Majority Voting)

Management

For

For

1G.

Election of Directors (Majority Voting)

Management

For

For

1H.

Election of Directors (Majority Voting)

Management

For

For

1I.

Election of Directors (Majority Voting)

Management

For

For

1J.

Election of Directors (Majority Voting)

Management

For

For

1K.

Election of Directors (Majority Voting)

Management

For

For

1L.

Election of Directors (Majority Voting)

Management

For

For

1M.

Election of Directors (Majority Voting)

Management

For

For

1N.

Election of Directors (Majority Voting)

Management

For

For

1O.

Election of Directors (Majority Voting)

Management

For

For

1P.

Election of Directors (Majority Voting)

Management

For

For

2.

14A Executive Compensation

Management

For

For

3.

Ratify Appointment of Independent Auditors

Management

For

For

4.

Amend Employee Stock Purchase Plan

Management

For

For

5.

S/H Proposal - Corporate Governance

Shareholder

Against

Against

6.

S/H Proposal - Corporate Governance

Shareholder

Against

Against

7.

S/H Proposal - Corporate Governance

Shareholder

Against

Against

8.

S/H Proposal - Create a Non-Discriminatory Sexual Orientation Policy

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

33,400

0

09-Mar-2021

09-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

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

1C.

Election of Directors (Majority Voting)

Management

For

For

1D.

Election of Directors (Majority Voting)

Management

For

For

1E.

Election of Directors (Majority Voting)

Management

For

For

1F.

Election of Directors (Majority Voting)

Management

For

For

1G.

Election of Directors (Majority Voting)

Management

For

For

1H.

Election of Directors (Majority Voting)

Management

For

For

1I.

Election of Directors (Majority Voting)

Management

For

For

1J.

Election of Directors (Majority Voting)

Management

For

For

1K.

Election of Directors (Majority Voting)

Management

For

For

1L.

Election of Directors (Majority Voting)

Management

For

For

1M.

Election of Directors (Majority Voting)

Management

For

For

1N.

Election of Directors (Majority Voting)

Management

For

For

2.

14A Executive Compensation

Management

For

For

3.

Ratify Appointment of Independent Auditors

Management

For

For

4.

S/H Proposal - Political/Government

Shareholder

Against

Against

5.

S/H Proposal - Establish Independent Chairman

Shareholder

Against

Against

6.

S/H Proposal - Political/Government

Shareholder

Against

Against

7.

S/H Proposal - Executive Compensation

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

3,300

0

11-Mar-2021

11-Mar-2021

LOCKHEED MARTIN CORPORATION

Security

539830109

Meeting Type

Annual

Ticker Symbol

LMT

Meeting Date

22-Apr-2021

ISIN

US5398301094

Agenda

935349933 - 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

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

1C.

Election of Directors (Majority Voting)

Management

For

For

1D.

Election of Directors (Majority Voting)

Management

For

For

1E.

Election of Directors (Majority Voting)

Management

For

For

1F.

Election of Directors (Majority Voting)

Management

For

For

1G.

Election of Directors (Majority Voting)

Management

For

For

1H.

Election of Directors (Majority Voting)

Management

For

For

1I.

Election of Directors (Majority Voting)

Management

For

For

1J.

Election of Directors (Majority Voting)

Management

For

For

1K.

Election of Directors (Majority Voting)

Management

For

For

2.

Ratify Appointment of Independent Auditors

Management

For

For

3.

14A Executive Compensation

Management

For

For

4.

S/H Proposal - Corporate Governance

Shareholder

Against

Against

5.

S/H Proposal - Human Rights Related

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

2,115

0

13-Mar-2021

13-Mar-2021

TRUIST FINANCIAL CORPORATION

Security

89832Q109

Meeting Type

Annual

Ticker Symbol

TFC

Meeting Date

27-Apr-2021

ISIN

US89832Q1094

Agenda

935345288 - Management

Record Date

18-Feb-2021

Holding Recon Date

18-Feb-2021

City /

Country

/

United States

Vote Deadline Date

26-Apr-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

1C.

Election of Directors (Majority Voting)

Management

For

For

1D.

Election of Directors (Majority Voting)

Management

For

For

1E.

Election of Directors (Majority Voting)

Management

For

For

1F.

Election of Directors (Majority Voting)

Management

For

For

1G.

Election of Directors (Majority Voting)

Management

For

For

1H.

Election of Directors (Majority Voting)

Management

For

For

1I.

Election of Directors (Majority Voting)

Management

For

For

1J.

Election of Directors (Majority Voting)

Management

For

For

1K.

Election of Directors (Majority Voting)

Management

For

For

1L.

Election of Directors (Majority Voting)

Management

For

For

1M.

Election of Directors (Majority Voting)

Management

For

For

1N.

Election of Directors (Majority Voting)

Management

For

For

1O.

Election of Directors (Majority Voting)

Management

For

For

1P.

Election of Directors (Majority Voting)

Management

For

For

1Q.

Election of Directors (Majority Voting)

Management

For

For

1R.

Election of Directors (Majority Voting)

Management

For

For

1S.

Election of Directors (Majority Voting)

Management

For

For

1T.

Election of Directors (Majority Voting)

Management

For

For

1U.

Election of Directors (Majority Voting)

Management

For

For

1V.

Election of Directors (Majority Voting)

Management

For

For

2.

Ratify Appointment of Independent Auditors

Management

For

For

3.

14A Executive Compensation

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

14,000

0

16-Mar-2021

16-Mar-2021

DUPONT DE NEMOURS INC

Security

26614N102

Meeting Type

Annual

Ticker Symbol

DD

Meeting Date

28-Apr-2021

ISIN

US26614N1028

Agenda

935348436 - Management

Record Date

08-Mar-2021

Holding Recon Date

08-Mar-2021

City /

Country

/

United States

Vote Deadline Date

27-Apr-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

1C.

Election of Directors (Majority Voting)

Management

For

For

1D.

Election of Directors (Majority Voting)

Management

For

For

1E.

Election of Directors (Majority Voting)

Management

For

For

1F.

Election of Directors (Majority Voting)

Management

For

For

1G.

Election of Directors (Majority Voting)

Management

For

For

1H.

Election of Directors (Majority Voting)

Management

For

For

1I.

Election of Directors (Majority Voting)

Management

For

For

1J.

Election of Directors (Majority Voting)

Management

For

For

1K.

Election of Directors (Majority Voting)

Management

For

For

1L.

Election of Directors (Majority Voting)

Management

For

For

2.

14A Executive Compensation

Management

For

For

3.

Ratify Appointment of Independent Auditors

Management

For

For

4.

Miscellaneous Corporate Actions

Management

For

For

5.

S/H Proposal - Proxy Process/Statement

Shareholder

Against

Against

6.

S/H Proposal - Report on EEO

Shareholder

Against

Against

7.

S/H Proposal - Environmental

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

4,462

0

13-Mar-2021

13-Mar-2021

CORNING INCORPORATED

Security

219350105

Meeting Type

Annual

Ticker Symbol

GLW

Meeting Date

29-Apr-2021

ISIN

US2193501051

Agenda

935346975 - Management

Record Date

01-Mar-2021

Holding Recon Date

01-Mar-2021

City /

Country

/

United States

Vote Deadline Date

28-Apr-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

1C.

Election of Directors (Majority Voting)

Management

For

For

1D.

Election of Directors (Majority Voting)

Management

For

For

1E.

Election of Directors (Majority Voting)

Management

For

For

1F.

Election of Directors (Majority Voting)

Management

For

For

1G.

Election of Directors (Majority Voting)

Management

For

For

1H.

Election of Directors (Majority Voting)

Management

For

For

1I.

Election of Directors (Majority Voting)

Management

For

For

1J.

Election of Directors (Majority Voting)

Management

For

For

1K.

Election of Directors (Majority Voting)

Management

For

For

1L.

Election of Directors (Majority Voting)

Management

For

For

1M.

Election of Directors (Majority Voting)

Management

For

For

1N.

Election of Directors (Majority Voting)

Management

For

For

2.

14A Executive Compensation

Management

For

For

3.

Ratify Appointment of Independent Auditors

Management

For

For

4.

Approve Stock Compensation Plan

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

19,600

0

19-Mar-2021

19-Mar-2021

GENUINE PARTS COMPANY

Security

372460105

Meeting Type

Annual

Ticker Symbol

GPC

Meeting Date

29-Apr-2021

ISIN

US3724601055

Agenda

935340478 - Management

Record Date

22-Feb-2021

Holding Recon Date

22-Feb-2021

City /

Country

/

United States

Vote Deadline Date

28-Apr-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1.

Election of Directors

Management

1

Elizabeth W. Camp

For

For

2

Richard Cox, Jr.

For

For

3

Paul D. Donahue

For

For

4

Gary P. Fayard

For

For

5

P. Russell Hardin

For

For

6

John R. Holder

For

For

7

Donna W. Hyland

For

For

8

John D. Johns

For

For

9

Jean-Jacques Lafont

For

For

10

Robert C Loudermilk Jr.

For

For

11

Wendy B. Needham

For

For

12

Juliette W. Pryor

For

For

13

E. Jenner Wood III

For

For

2.

14A Executive Compensation

Management

For

For

3.

Ratify Appointment of Independent Auditors

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

6,300

0

04-Mar-2021

04-Mar-2021

AT&T INC.

Security

00206R102

Meeting Type

Annual

Ticker Symbol

T

Meeting Date

30-Apr-2021

ISIN

US00206R1023

Agenda

935347179 - Management

Record Date

02-Mar-2021

Holding Recon Date

02-Mar-2021

City /

Country

/

United States

Vote Deadline Date

29-Apr-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

1C.

Election of Directors (Majority Voting)

Management

For

For

1D.

Election of Directors (Majority Voting)

Management

For

For

1E.

Election of Directors (Majority Voting)

Management

For

For

1F.

Election of Directors (Majority Voting)

Management

For

For

1G.

Election of Directors (Majority Voting)

Management

For

For

1H.

Election of Directors (Majority Voting)

Management

For

For

1I.

Election of Directors (Majority Voting)

Management

For

For

1J.

Election of Directors (Majority Voting)

Management

For

For

1K.

Election of Directors (Majority Voting)

Management

For

For

1L.

Election of Directors (Majority Voting)

Management

For

For

2.

Ratify Appointment of Independent Auditors

Management

For

For

3.

14A Executive Compensation

Management

For

For

4.

S/H Proposal - Proxy Process/Statement

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

30,800

0

12-Mar-2021

12-Mar-2021

BRISTOL-MYERS SQUIBB COMPANY

Security

110122108

Meeting Type

Annual

Ticker Symbol

BMY

Meeting Date

04-May-2021

ISIN

US1101221083

Agenda

935359643 - Management

Record Date

15-Mar-2021

Holding Recon Date

15-Mar-2021

City /

Country

/

United States

Vote Deadline Date

03-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1A)

Election of Directors (Majority Voting)

Management

For

For

1B)

Election of Directors (Majority Voting)

Management

For

For

1C)

Election of Directors (Majority Voting)

Management

For

For

1D)

Election of Directors (Majority Voting)

Management

For

For

1E)

Election of Directors (Majority Voting)

Management

For

For

1F)

Election of Directors (Majority Voting)

Management

For

For

1G)

Election of Directors (Majority Voting)

Management

For

For

1H)

Election of Directors (Majority Voting)

Management

For

For

1I)

Election of Directors (Majority Voting)

Management

For

For

1J)

Election of Directors (Majority Voting)

Management

For

For

2.

14A Executive Compensation

Management

For

For

3.

Approve Stock Compensation Plan

Management

For

For

4.

Ratify Appointment of Independent Auditors

Management

For

For

5.

Miscellaneous Corporate Actions

Management

For

For

6.

S/H Proposal - Board Independence

Shareholder

Against

Against

7.

S/H Proposal - Proxy Process/Statement

Shareholder

Against

Against

8.

S/H Proposal - Create Threshold as to Number of Shares Held to be Director

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

14,500

0

26-Mar-2021

26-Mar-2021

EVERGY, INC.

Security

30034W106

Meeting Type

Annual

Ticker Symbol

EVRG

Meeting Date

04-May-2021

ISIN

US30034W1062

Agenda

935361674 - Management

Record Date

18-Mar-2021

Holding Recon Date

18-Mar-2021

City /

Country

/

United States

Vote Deadline Date

03-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1a.

Election of Directors (Majority Voting)

Management

For

For

1b.

Election of Directors (Majority Voting)

Management

For

For

1c.

Election of Directors (Majority Voting)

Management

For

For

1d.

Election of Directors (Majority Voting)

Management

For

For

1e.

Election of Directors (Majority Voting)

Management

For

For

1f.

Election of Directors (Majority Voting)

Management

For

For

1g.

Election of Directors (Majority Voting)

Management

For

For

1h.

Election of Directors (Majority Voting)

Management

For

For

1i.

Election of Directors (Majority Voting)

Management

For

For

1j.

Election of Directors (Majority Voting)

Management

For

For

1k.

Election of Directors (Majority Voting)

Management

For

For

1l.

Election of Directors (Majority Voting)

Management

For

For

1m.

Election of Directors (Majority Voting)

Management

For

For

2.

14A Executive Compensation

Management

For

For

3.

Ratify Appointment of Independent Auditors

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

12,200

0

25-Mar-2021

25-Mar-2021

OMNICOM GROUP INC.

Security

681919106

Meeting Type

Annual

Ticker Symbol

OMC

Meeting Date

04-May-2021

ISIN

US6819191064

Agenda

935363666 - Management

Record Date

15-Mar-2021

Holding Recon Date

15-Mar-2021

City /

Country

/

United States

Vote Deadline Date

03-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1.1

Election of Directors (Majority Voting)

Management

For

For

1.2

Election of Directors (Majority Voting)

Management

For

For

1.3

Election of Directors (Majority Voting)

Management

For

For

1.4

Election of Directors (Majority Voting)

Management

For

For

1.5

Election of Directors (Majority Voting)

Management

For

For

1.6

Election of Directors (Majority Voting)

Management

For

For

1.7

Election of Directors (Majority Voting)

Management

For

For

1.8

Election of Directors (Majority Voting)

Management

For

For

1.9

Election of Directors (Majority Voting)

Management

For

For

2.

14A Executive Compensation

Management

For

For

3.

Ratify Appointment of Independent Auditors

Management

For

For

4.

Approve Stock Compensation Plan

Management

For

For

5.

S/H Proposal - Political/Government

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

14,700

0

26-Mar-2021

26-Mar-2021

ENBRIDGE INC.

Security

29250N105

Meeting Type

Annual

Ticker Symbol

ENB

Meeting Date

05-May-2021

ISIN

CA29250N1050

Agenda

935360571 - Management

Record Date

09-Mar-2021

Holding Recon Date

09-Mar-2021

City /

Country

/

Canada

Vote Deadline Date

30-Apr-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1

Election of Directors (Majority Voting)

Management

1

Pamela L. Carter

For

For

2

Marcel R. Coutu

For

For

3

Susan M. Cunningham

For

For

4

Gregory L. Ebel

For

For

5

J. Herb England

For

For

6

Gregory J. Goff

For

For

7

V. Maureen K. Darkes

For

For

8

Teresa S. Madden

For

For

9

Al Monaco

For

For

10

Stephen S. Poloz

For

For

11

Dan C. Tutcher

For

For

2

Ratify Appointment of Independent Auditors

Management

For

For

3

14A Executive Compensation

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

13,000

0

25-Mar-2021

25-Mar-2021

INTERNATIONAL FLAVORS & FRAGRANCES INC.

Security

459506101

Meeting Type

Annual

Ticker Symbol

IFF

Meeting Date

05-May-2021

ISIN

US4595061015

Agenda

935364721 - Management

Record Date

08-Mar-2021

Holding Recon Date

08-Mar-2021

City /

Country

/

United States

Vote Deadline Date

04-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1a.

Election of Directors (Majority Voting)

Management

For

For

1b.

Election of Directors (Majority Voting)

Management

For

For

1c.

Election of Directors (Majority Voting)

Management

For

For

1d.

Election of Directors (Majority Voting)

Management

For

For

1e.

Election of Directors (Majority Voting)

Management

For

For

1f.

Election of Directors (Majority Voting)

Management

For

For

1g.

Election of Directors (Majority Voting)

Management

For

For

1h.

Election of Directors (Majority Voting)

Management

For

For

1i.

Election of Directors (Majority Voting)

Management

For

For

1j.

Election of Directors (Majority Voting)

Management

For

For

1k.

Election of Directors (Majority Voting)

Management

For

For

1l.

Election of Directors (Majority Voting)

Management

For

For

1m.

Election of Directors (Majority Voting)

Management

For

For

2.

Ratify Appointment of Independent Auditors

Management

For

For

3.

14A Executive Compensation

Management

For

For

4.

Approve Stock Compensation Plan

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

4,545

0

27-Mar-2021

27-Mar-2021

PHILIP MORRIS INTERNATIONAL INC.

Security

718172109

Meeting Type

Annual

Ticker Symbol

PM

Meeting Date

05-May-2021

ISIN

US7181721090

Agenda

935359112 - Management

Record Date

12-Mar-2021

Holding Recon Date

12-Mar-2021

City /

Country

/

United States

Vote Deadline Date

04-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

1C.

Election of Directors (Majority Voting)

Management

For

For

1D.

Election of Directors (Majority Voting)

Management

For

For

1E.

Election of Directors (Majority Voting)

Management

For

For

1F.

Election of Directors (Majority Voting)

Management

For

For

1G.

Election of Directors (Majority Voting)

Management

For

For

1H.

Election of Directors (Majority Voting)

Management

For

For

1I.

Election of Directors (Majority Voting)

Management

For

For

1J.

Election of Directors (Majority Voting)

Management

For

For

1K.

Election of Directors (Majority Voting)

Management

For

For

1L.

Election of Directors (Majority Voting)

Management

For

For

1M.

Election of Directors (Majority Voting)

Management

For

For

2.

14A Executive Compensation

Management

For

For

3.

Ratify Appointment of Independent Auditors

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

6,800

0

26-Mar-2021

26-Mar-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

Management Recommendation

1.

Election of Directors

Management

1

Roxanne S. Austin

For

For

2

Richard A. Gonzalez

For

For

3

Rebecca B. Roberts

For

For

4

Glenn F. Tilton

For

For

2.

Ratify Appointment of Independent Auditors

Management

For

For

3.

14A Executive Compensation

Management

For

For

4.

Amend Stock Compensation Plan

Management

For

For

5.

Amend Employee Stock Purchase Plan

Management

For

For

6.

Eliminate Supermajority Requirements

Management

For

For

7.

S/H Proposal - Political/Government

Shareholder

Against

Against

8.

S/H Proposal - Establish Independent Chairman

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

8,730

0

23-Mar-2021

23-Mar-2021

3M COMPANY

Security

88579Y101

Meeting Type

Annual

Ticker Symbol

MMM

Meeting Date

11-May-2021

ISIN

US88579Y1010

Agenda

935359085 - Management

Record Date

16-Mar-2021

Holding Recon Date

16-Mar-2021

City /

Country

/

United States

Vote Deadline Date

10-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

1C.

Election of Directors (Majority Voting)

Management

For

For

1D.

Election of Directors (Majority Voting)

Management

For

For

1E.

Election of Directors (Majority Voting)

Management

For

For

1F.

Election of Directors (Majority Voting)

Management

For

For

1G.

Election of Directors (Majority Voting)

Management

For

For

1H.

Election of Directors (Majority Voting)

Management

For

For

1I.

Election of Directors (Majority Voting)

Management

For

For

1J.

Election of Directors (Majority Voting)

Management

For

For

1K.

Election of Directors (Majority Voting)

Management

For

For

1L.

Election of Directors (Majority Voting)

Management

For

For

2.

Ratify Appointment of Independent Auditors

Management

For

For

3.

14A Executive Compensation

Management

For

For

4.

Amend Stock Compensation Plan

Management

For

For

5.

S/H Proposal - Separate Chairman/Coe

Shareholder

Against

Against

6.

S/H Proposal - Corporate Governance

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

3,100

0

25-Mar-2021

25-Mar-2021

GILEAD SCIENCES, INC.

Security

375558103

Meeting Type

Annual

Ticker Symbol

GILD

Meeting Date

12-May-2021

ISIN

US3755581036

Agenda

935366561 - Management

Record Date

19-Mar-2021

Holding Recon Date

19-Mar-2021

City /

Country

/

United States

Vote Deadline Date

11-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

1C.

Election of Directors (Majority Voting)

Management

For

For

1D.

Election of Directors (Majority Voting)

Management

For

For

1E.

Election of Directors (Majority Voting)

Management

For

For

1F.

Election of Directors (Majority Voting)

Management

For

For

1G.

Election of Directors (Majority Voting)

Management

For

For

1H.

Election of Directors (Majority Voting)

Management

For

For

1I.

Election of Directors (Majority Voting)

Management

For

For

2.

Ratify Appointment of Independent Auditors

Management

For

For

3.

14A Executive Compensation

Management

For

For

4.

S/H Proposal - Establish Independent Chairman

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

4,800

0

31-Mar-2021

31-Mar-2021

PHILLIPS 66

Security

718546104

Meeting Type

Annual

Ticker Symbol

PSX

Meeting Date

12-May-2021

ISIN

US7185461040

Agenda

935362133 - Management

Record Date

17-Mar-2021

Holding Recon Date

17-Mar-2021

City /

Country

/

United States

Vote Deadline Date

11-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

2.

Miscellaneous Corporate Actions

Management

For

For

3.

Ratify Appointment of Independent Auditors

Management

For

For

4.

14A Executive Compensation

Management

For

For

5.

S/H Proposal - Report/Reduce Greenhouse Gas Emissions

Shareholder

Against

Against

6.

S/H Proposal - Political/Government

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

7,400

0

02-Apr-2021

02-Apr-2021

CVS HEALTH CORPORATION

Security

126650100

Meeting Type

Annual

Ticker Symbol

CVS

Meeting Date

13-May-2021

ISIN

US1266501006

Agenda

935366927 - Management

Record Date

17-Mar-2021

Holding Recon Date

17-Mar-2021

City /

Country

/

United States

Vote Deadline Date

12-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

1C.

Election of Directors (Majority Voting)

Management

For

For

1D.

Election of Directors (Majority Voting)

Management

For

For

1E.

Election of Directors (Majority Voting)

Management

For

For

1F.

Election of Directors (Majority Voting)

Management

For

For

1G.

Election of Directors (Majority Voting)

Management

For

For

1H.

Election of Directors (Majority Voting)

Management

For

For

1I.

Election of Directors (Majority Voting)

Management

For

For

1J.

Election of Directors (Majority Voting)

Management

For

For

1K.

Election of Directors (Majority Voting)

Management

For

For

1L.

Election of Directors (Majority Voting)

Management

For

For

1M.

Election of Directors (Majority Voting)

Management

For

For

2.

Ratify Appointment of Independent Auditors

Management

For

For

3.

14A Executive Compensation

Management

For

For

4.

S/H Proposal - Corporate Governance

Shareholder

Against

Against

5.

S/H Proposal - Establish Independent Chairman

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

11,600

0

03-Apr-2021

03-Apr-2021

UNITED PARCEL SERVICE, INC.

Security

911312106

Meeting Type

Annual

Ticker Symbol

UPS

Meeting Date

13-May-2021

ISIN

US9113121068

Agenda

935365002 - Management

Record Date

22-Mar-2021

Holding Recon Date

22-Mar-2021

City /

Country

/

United States

Vote Deadline Date

12-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

1C.

Election of Directors (Majority Voting)

Management

For

For

1D.

Election of Directors (Majority Voting)

Management

For

For

1E.

Election of Directors (Majority Voting)

Management

For

For

1F.

Election of Directors (Majority Voting)

Management

For

For

1G.

Election of Directors (Majority Voting)

Management

For

For

1H.

Election of Directors (Majority Voting)

Management

For

For

1I.

Election of Directors (Majority Voting)

Management

For

For

1J.

Election of Directors (Majority Voting)

Management

For

For

1K.

Election of Directors (Majority Voting)

Management

For

For

1L.

Election of Directors (Majority Voting)

Management

For

For

1M.

Election of Directors (Majority Voting)

Management

For

For

2.

14A Executive Compensation

Management

For

For

3.

Approve Stock Compensation Plan

Management

For

For

4.

Ratify Appointment of Independent Auditors

Management

For

For

5.

S/H Proposal - Political/Government

Shareholder

Against

Against

6.

S/H Proposal - Corporate Governance

Shareholder

Against

Against

7.

S/H Proposal - Environmental

Shareholder

Against

Against

8.

S/H Proposal - Corporate Governance

Shareholder

Against

Against

9.

S/H Proposal - Add Women & Minorities to Board

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

3,200

0

30-Mar-2021

30-Mar-2021

VERIZON COMMUNICATIONS INC.

Security

92343V104

Meeting Type

Annual

Ticker Symbol

VZ

Meeting Date

13-May-2021

ISIN

US92343V1044

Agenda

935364846 - Management

Record Date

15-Mar-2021

Holding Recon Date

15-Mar-2021

City /

Country

/

United States

Vote Deadline Date

12-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1a.

Election of Directors (Majority Voting)

Management

For

For

1b.

Election of Directors (Majority Voting)

Management

For

For

1c.

Election of Directors (Majority Voting)

Management

For

For

1d.

Election of Directors (Majority Voting)

Management

For

For

1e.

Election of Directors (Majority Voting)

Management

For

For

1f.

Election of Directors (Majority Voting)

Management

For

For

1g.

Election of Directors (Majority Voting)

Management

For

For

1h.

Election of Directors (Majority Voting)

Management

For

For

1i.

Election of Directors (Majority Voting)

Management

For

For

2

14A Executive Compensation

Management

For

For

3

Ratify Appointment of Independent Auditors

Management

For

For

4

S/H Proposal - Corporate Governance

Shareholder

Against

Against

5

S/H Proposal - Corporate Governance

Shareholder

Against

Against

6

S/H Proposal - Corporate Governance

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

11,200

0

30-Mar-2021

30-Mar-2021

SEMPRA ENERGY

Security

816851109

Meeting Type

Annual

Ticker Symbol

SRE

Meeting Date

14-May-2021

ISIN

US8168511090

Agenda

935366460 - Management

Record Date

19-Mar-2021

Holding Recon Date

19-Mar-2021

City /

Country

/

United States

Vote Deadline Date

13-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

1C.

Election of Directors (Majority Voting)

Management

For

For

1D.

Election of Directors (Majority Voting)

Management

For

For

1E.

Election of Directors (Majority Voting)

Management

For

For

1F.

Election of Directors (Majority Voting)

Management

For

For

1G.

Election of Directors (Majority Voting)

Management

For

For

1H.

Election of Directors (Majority Voting)

Management

For

For

1I.

Election of Directors (Majority Voting)

Management

For

For

1J.

Election of Directors (Majority Voting)

Management

For

For

1K.

Election of Directors (Majority Voting)

Management

For

For

1L.

Election of Directors (Majority Voting)

Management

For

For

2.

Ratify Appointment of Independent Auditors

Management

For

For

3.

14A Executive Compensation

Management

For

For

4.

S/H Proposal - Corporate Governance

Shareholder

Against

Against

5.

S/H Proposal - Political/Government

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

5,795

0

27-Mar-2021

27-Mar-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

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

1C.

Election of Directors (Majority Voting)

Management

For

For

1D.

Election of Directors (Majority Voting)

Management

For

For

1E.

Election of Directors (Majority Voting)

Management

For

For

1F.

Election of Directors (Majority Voting)

Management

For

For

1G.

Election of Directors (Majority Voting)

Management

For

For

1H.

Election of Directors (Majority Voting)

Management

For

For

1I.

Election of Directors (Majority Voting)

Management

For

For

1J.

Election of Directors (Majority Voting)

Management

For

For

2.

14A Executive Compensation

Management

For

For

3.

Amend Stock Compensation Plan

Management

For

For

4.

Ratify Appointment of Independent Auditors

Management

For

For

5.

S/H Proposal - Corporate Governance

Shareholder

Against

Against

6.

S/H Proposal - Gender Pay Equality

Shareholder

Against

Against

7.

S/H Proposal - Establish Independent Chairman

Shareholder

Against

Against

8.

S/H Proposal - Political/Government

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

8,000

0

08-Apr-2021

08-Apr-2021

ALTRIA GROUP, INC.

Security

02209S103

Meeting Type

Annual

Ticker Symbol

MO

Meeting Date

20-May-2021

ISIN

US02209S1033

Agenda

935381640 - Management

Record Date

29-Mar-2021

Holding Recon Date

29-Mar-2021

City /

Country

/

United States

Vote Deadline Date

19-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

1C.

Election of Directors (Majority Voting)

Management

For

For

1D.

Election of Directors (Majority Voting)

Management

For

For

1E.

Election of Directors (Majority Voting)

Management

For

For

1F.

Election of Directors (Majority Voting)

Management

For

For

1G.

Election of Directors (Majority Voting)

Management

For

For

1H.

Election of Directors (Majority Voting)

Management

For

For

1I.

Election of Directors (Majority Voting)

Management

For

For

1J.

Election of Directors (Majority Voting)

Management

For

For

1K.

Election of Directors (Majority Voting)

Management

For

For

2.

Ratify Appointment of Independent Auditors

Management

For

For

3.

14A Executive Compensation

Management

For

For

4.

S/H Proposal - Tobacco

Shareholder

Against

Against

5.

S/H Proposal - Political/Government

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

14,300

0

09-Apr-2021

09-Apr-2021

MORGAN STANLEY

Security

617446448

Meeting Type

Annual

Ticker Symbol

MS

Meeting Date

20-May-2021

ISIN

US6174464486

Agenda

935372312 - Management

Record Date

22-Mar-2021

Holding Recon Date

22-Mar-2021

City /

Country

/

United States

Vote Deadline Date

19-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

1C.

Election of Directors (Majority Voting)

Management

For

For

1D.

Election of Directors (Majority Voting)

Management

For

For

1E.

Election of Directors (Majority Voting)

Management

For

For

1F.

Election of Directors (Majority Voting)

Management

For

For

1G.

Election of Directors (Majority Voting)

Management

For

For

1H.

Election of Directors (Majority Voting)

Management

For

For

1I.

Election of Directors (Majority Voting)

Management

For

For

1J.

Election of Directors (Majority Voting)

Management

For

For

1K.

Election of Directors (Majority Voting)

Management

For

For

1L.

Election of Directors (Majority Voting)

Management

For

For

1M.

Election of Directors (Majority Voting)

Management

For

For

1N.

Election of Directors (Majority Voting)

Management

For

For

2.

Ratify Appointment of Independent Auditors

Management

For

For

3.

14A Executive Compensation

Management

For

For

4.

Amend Stock Compensation Plan

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

12,200

0

02-Apr-2021

02-Apr-2021

THE HOME DEPOT, INC.

Security

437076102

Meeting Type

Annual

Ticker Symbol

HD

Meeting Date

20-May-2021

ISIN

US4370761029

Agenda

935365874 - Management

Record Date

22-Mar-2021

Holding Recon Date

22-Mar-2021

City /

Country

/

United States

Vote Deadline Date

19-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

1C.

Election of Directors (Majority Voting)

Management

For

For

1D.

Election of Directors (Majority Voting)

Management

For

For

1E.

Election of Directors (Majority Voting)

Management

For

For

1F.

Election of Directors (Majority Voting)

Management

For

For

1G.

Election of Directors (Majority Voting)

Management

For

For

1H.

Election of Directors (Majority Voting)

Management

For

For

1I.

Election of Directors (Majority Voting)

Management

For

For

1J.

Election of Directors (Majority Voting)

Management

For

For

1K.

Election of Directors (Majority Voting)

Management

For

For

1L.

Election of Directors (Majority Voting)

Management

For

For

2.

Ratify Appointment of Independent Auditors

Management

For

For

3.

14A Executive Compensation

Management

For

For

4.

S/H Proposal - Corporate Governance

Shareholder

Against

Against

5.

S/H Proposal - Political/Government

Shareholder

Against

Against

6.

S/H Proposal - Corporate Governance

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

1,950

0

06-Apr-2021

06-Apr-2021

THE TRAVELERS COMPANIES, INC.

Security

89417E109

Meeting Type

Annual

Ticker Symbol

TRV

Meeting Date

20-May-2021

ISIN

US89417E1091

Agenda

935372766 - 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

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

1C.

Election of Directors (Majority Voting)

Management

For

For

1D.

Election of Directors (Majority Voting)

Management

For

For

1E.

Election of Directors (Majority Voting)

Management

For

For

1F.

Election of Directors (Majority Voting)

Management

For

For

1G.

Election of Directors (Majority Voting)

Management

For

For

1H.

Election of Directors (Majority Voting)

Management

For

For

1I.

Election of Directors (Majority Voting)

Management

For

For

1J.

Election of Directors (Majority Voting)

Management

For

For

1K.

Election of Directors (Majority Voting)

Management

For

For

2.

Ratify Appointment of Independent Auditors

Management

For

For

3.

14A Executive Compensation

Management

For

For

4.

Amend Stock Compensation Plan

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

6,000

0

03-Apr-2021

03-Apr-2021

BLACKROCK, INC.

Security

09247X101

Meeting Type

Annual

Ticker Symbol

BLK

Meeting Date

26-May-2021

ISIN

US09247X1019

Agenda

935394849 - Management

Record Date

29-Mar-2021

Holding Recon Date

29-Mar-2021

City /

Country

/

United States

Vote Deadline Date

25-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

1C.

Election of Directors (Majority Voting)

Management

For

For

1D.

Election of Directors (Majority Voting)

Management

For

For

1E.

Election of Directors (Majority Voting)

Management

For

For

1F.

Election of Directors (Majority Voting)

Management

For

For

1G.

Election of Directors (Majority Voting)

Management

For

For

1H.

Election of Directors (Majority Voting)

Management

For

For

1I.

Election of Directors (Majority Voting)

Management

For

For

1J.

Election of Directors (Majority Voting)

Management

For

For

1K.

Election of Directors (Majority Voting)

Management

For

For

1L.

Election of Directors (Majority Voting)

Management

For

For

1M.

Election of Directors (Majority Voting)

Management

For

For

1N.

Election of Directors (Majority Voting)

Management

For

For

1O.

Election of Directors (Majority Voting)

Management

For

For

1P.

Election of Directors (Majority Voting)

Management

For

For

2.

14A Executive Compensation

Management

For

For

3.

Ratify Appointment of Independent Auditors

Management

For

For

4A.

Restore Right to Call a Special Meeting

Management

For

For

4B.

Eliminate Supermajority Requirements

Management

For

For

4C.

Approve Charter Amendment

Management

For

For

5.

S/H Proposal - Corporate Governance

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

1,035

0

17-Apr-2021

17-Apr-2021

CHEVRON CORPORATION

Security

166764100

Meeting Type

Annual

Ticker Symbol

CVX

Meeting Date

26-May-2021

ISIN

US1667641005

Agenda

935390132 - Management

Record Date

29-Mar-2021

Holding Recon Date

29-Mar-2021

City /

Country

/

United States

Vote Deadline Date

25-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

1C.

Election of Directors (Majority Voting)

Management

For

For

1D.

Election of Directors (Majority Voting)

Management

For

For

1E.

Election of Directors (Majority Voting)

Management

For

For

1F.

Election of Directors (Majority Voting)

Management

For

For

1G.

Election of Directors (Majority Voting)

Management

For

For

1H.

Election of Directors (Majority Voting)

Management

For

For

1I.

Election of Directors (Majority Voting)

Management

For

For

1J.

Election of Directors (Majority Voting)

Management

For

For

1K.

Election of Directors (Majority Voting)

Management

For

For

1L.

Election of Directors (Majority Voting)

Management

For

For

2.

Ratify Appointment of Independent Auditors

Management

For

For

3.

14A Executive Compensation

Management

For

For

4.

S/H Proposal - Report/Reduce Greenhouse Gas Emissions

Shareholder

Against

Against

5.

S/H Proposal - Corporate Governance

Shareholder

Against

Against

6.

S/H Proposal - Corporate Governance

Shareholder

Against

Against

7.

S/H Proposal - Political/Government

Shareholder

Against

Against

8.

S/H Proposal - Establish Independent Chairman

Shareholder

Against

Against

9.

S/H Proposal - Corporate Governance

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

8,000

0

09-Apr-2021

09-Apr-2021

COMCAST CORPORATION

Security

20030N101

Meeting Type

Annual

Ticker Symbol

CMCSA

Meeting Date

02-Jun-2021

ISIN

US20030N1019

Agenda

935407139 - Management

Record Date

05-Apr-2021

Holding Recon Date

05-Apr-2021

City /

Country

/

United States

Vote Deadline Date

01-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1.

Election of Directors

Management

1

Kenneth J. Bacon

For

For

2

Madeline S. Bell

For

For

3

Naomi M. Bergman

For

For

4

Edward D. Breen

For

For

5

Gerald L. Hassell

For

For

6

Jeffrey A. Honickman

For

For

7

Maritza G. Montiel

For

For

8

Asuka Nakahara

For

For

9

David C. Novak

For

For

10

Brian L. Roberts

For

For

2.

14A Executive Compensation

Management

For

For

3.

Ratify Appointment of Independent Auditors

Management

For

For

4.

S/H Proposal - Create a Non-Discriminatory Sexual Orientation Policy

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

11,700

0

24-Apr-2021

24-Apr-2021

LINCOLN NATIONAL CORPORATION

Security

534187109

Meeting Type

Annual

Ticker Symbol

LNC

Meeting Date

03-Jun-2021

ISIN

US5341871094

Agenda

935381107 - Management

Record Date

29-Mar-2021

Holding Recon Date

29-Mar-2021

City /

Country

/

United States

Vote Deadline Date

02-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

Management Recommendation

1A.

Election of Directors (Majority Voting)

Management

For

For

1B.

Election of Directors (Majority Voting)

Management

For

For

1C.

Election of Directors (Majority Voting)

Management

For

For

1D.

Election of Directors (Majority Voting)

Management

For

For

1E.

Election of Directors (Majority Voting)

Management

For

For

1F.

Election of Directors (Majority Voting)

Management

For

For

1G.

Election of Directors (Majority Voting)

Management

For

For

1H.

Election of Directors (Majority Voting)

Management

For

For

1I.

Election of Directors (Majority Voting)

Management

For

For

1J.

Election of Directors (Majority Voting)

Management

For

For

1K.

Election of Directors (Majority Voting)

Management

For

For

2.

Ratify Appointment of Independent Auditors

Management

For

For

3.

14A Executive Compensation

Management

For

For

4.

S/H Proposal - Corporate Governance

Shareholder

Against

Against

5.

S/H Proposal - Corporate Governance

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

133936.1

133936.1

133936.1

UMB BANK, N.A.

8,500

0

17-Apr-2021

17-Apr-2021

 

 

 

 

SIGNATURES

 

Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

(Registrant) Investment Managers Series Trust

 

By (Signature and Title)*		/s/ Maureen Quill
		Maureen Quill, President and Principal Executive Officer
Date	August 4, 2021

 

*

Print the name and title of each signing officer under his or her signature.