Form N-PX Investment Managers Seri For: Jun 30

August 4, 2021 1:18 PM EDT

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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