Investment Company Report

Transcription

1 AMERICAN EXPRESS COMPANY Page 1 of 32 Security: Ticker: AXP ISIN: US Agenda Number: Meeting Date: 07-May-18 1a. Election of Director: Charlene Barshefsky 1b. Election of Director: John J. Brennan 1c. Election of Director: Peter Chernin 1d. Election of Director: Ralph de la Vega 1e. Election of Director: Anne L. Lauvergeon 1f. Election of Director: Michael O. Leavitt 1g. Election of Director: Theodore J. Leonsis 1h. Election of Director: Richard C. Levin 1i. Election of Director: Samuel J. Palmisano 1j. Election of Director: Stephen J. Squeri 1k. Election of Director: Daniel L. Vasella

2 Page 2 of 32 1l. Election of Director: Ronald A. Williams 1m. Election of Director: Christopher D. Young 2. Ratification of appointment of PricewaterhouseCoopers LLP as independent registered public accounting firm for Approval, on an advisory basis, of the Company's executive compensation. 4. Shareholder proposal relating to action written consent. Shr 5. Shareholder proposal relating to independent board chairman. Shr

3 BANKUNITED,INC. Page 3 of 32 Security: 06652K103 Ticker: BKU ISIN: US06652K1034 Agenda Number: Meeting Date: 23-May DIRECTOR 1 John A. Kanas 2 Rajinder P. Singh 3 Tere Blanca 4 Eugene F. DeMark 5 Michael J. Dowling 6 Douglas J. Pauls 7 A. Gail Prudenti 8 William S. Rubenstein 9 Sanjiv Sobti, Ph.D. 10 Lynne Wines

4 Page 4 of To ratify the Audit Committee's appointment of KPMG LLP as the Company's independent registered public accounting firm for Advisory vote to approve the compensation of the Company's named executive officers. 4. Advisory vote on the frequency of the stockholder vote to approve the compensation of the Company's named executive officers in the future. 1 Year

5 CAPITAL ONE FINANCIAL CORPORATION Page 5 of 32 Security: 14040H105 Ticker: COF ISIN: US14040H1059 Agenda Number: Meeting Date: 03-May-18 1A. Election of Director: Richard D. Fairbank 1B. Election of Director: Aparna Chennapragada 1C. Election of Director: Ann Fritz Hackett 1D. Election of Director: Lewis Hay, III 1E. Election of Director: Benjamin P. Jenkins,III 1F. Election of Director: Peter Thomas Killalea 1G. Election of Director: Pierre E. Leroy 1H. Election of Director: Peter E. Raskind 1I. Election of Director: Mayo A. Shattuck III 1J. Election of Director: Bradford H. Warner 1K. Election of Director: Catherine G. West

6 Page 6 of Ratification of selection of Ernst & Young LLP as independent auditors of Capital One for Advisory approval of Capital One's 2017 Named Executive Officer compensation. 4. Ratification of 25% ownership threshold for stockholders to request a special meeting of stockholders.

7 COMMERCE BANCSHARES, INC. Page 7 of 32 Security: Ticker: CBSH ISIN: US Agenda Number: Meeting Date: 18-Apr DIRECTOR 1 Terry D. Bassham 2 John W. Kemper 3 Jonathan M. Kemper 4 Kimberly G. Walker 2. Ratify KPMG LLP as the Company's independent registered public accounting firm for Say on Pay - Advisory approval of the Company's executive compensation.

8 COMMUNITY BANK SYSTEM, INC. Page 8 of 32 Security: Ticker: CBU ISIN: US Agenda Number: Meeting Date: 16-May DIRECTOR 1 Neil E. Fesette 2 Raymond C. Pecor, III 3 Sally A. Steele 4 Mark E. Tryniski 2. Advisory vote on executive compensation. 3. Ratify the appointment of PricewaterhouseCoopers LLP as independent auditor for 2018.

9 CULLEN/FROST BANKERS, INC. Page 9 of 32 Security: Ticker: CFR ISIN: US Agenda Number: Meeting Date: 25-Apr-18 1A. Election of Director: Carlos Alvarez 1B. Election of Director: Chris M. Avery 1C. Election of Director: Samuel G. Dawson 1D. Election of Director: Crawford H. Edwards 1E. Election of Director: Patrick B. Frost 1F. Election of Director: Phillip D. Green 1G. Election of Director: David J. Haemisegger 1H. Election of Director: Jarvis V. Hollingsworth 1I. Election of Director: Karen E. Jennings 1J. Election of Director: Richard M. Kleberg III 1K. Election of Director: Charles W. Matthews

10 Page 10 of 32 1L. Election of Director: Ida Clement Steen 1M. Election of Director: Graham Weston 1N. Election of Director: Horace Wilkins, Jr. 2. To ratify the selection of Ernst & Young LLP to act as independent auditors of Cullen/Frost Bankers, Inc. for the fiscal year that began January 1, Proposal to adopt the advisory (non-binding) resolution approving executive compensation.

11 FIRST REPUBLIC BANK Page 11 of 32 Security: 33616C100 Ticker: FRC ISIN: US33616C1009 Agenda Number: Meeting Date: 15-May-18 1a. Election of Director: James H. Herbert, II 1b. Election of Director: Katherine AugustdeWilde 1c. Election of Director: Thomas J. Barrack, Jr. 1d. Election of Director: Frank J. Fahrenkopf, Jr. 1e. Election of Director: L. Martin Gibbs 1f. Election of Director: Boris Groysberg 1g. Election of Director: Sandra R. Hernandez 1h. Election of Director: Pamela J. Joyner 1i. Election of Director: Reynold Levy 1j. Election of Director: Duncan L. Niederauer

12 Page 12 of 32 1k. Election of Director: George G.C. Parker 1l. Election of Director: Cheryl Spielman 2. To ratify the appointment of KPMG LLP as independent auditor of First Republic Bank for the fiscal year ended December 31, To approve, advisory (non-binding) vote, the compensation of our executive officers (a "say on pay" vote). 4. A shareholder proposal requesting that First Republic Bank prepare a diversity report to include specific additional disclosure relating to EEOC-defined metrics and details on related policies and programs. Shr

13 GLACIER BANCORP, INC. Page 13 of 32 Security: 37637Q105 Ticker: GBCI ISIN: US37637Q1058 Agenda Number: Meeting Date: 25-Apr DIRECTOR 1 Randall M. Chesler 2 Sherry L. Cladouhos 3 James M. English 4 Annie M. Goodwin 5 Dallas I. Herron 6 Craig A. Langel 7 Douglas J. McBride 8 John W. Murdoch 9 Mark J. Semmens 10 George R. Sutton

14 Page 14 of To vote on an advisory (non-binding) resolution to approve the compensation of Glacier Bancorp, Inc.'s named executive officers. 3. To ratify the appointment of BKD, LLP as Glacier Bancorp, Inc.'s independent registered public accounting firm for the fiscal year ending December 31, 2018.

15 HC2 HOLDINGS, INC. Page 15 of 32 Security: Ticker: HCHC ISIN: US Agenda Number: Meeting Date: 13-Jun DIRECTOR 1 Philip A. Falcone 2 Wayne Barr, Jr. 3 Warren H. Gfeller 4 Lee S. Hillman 5 Robert V. Leffler, Jr. 2. To approve, on a non-binding, advisory basis, the compensation of our named executive officers. 3. To approve the HC2 Holdings, Inc. Second Amended and Restated 2014 Omnibus Equity Award Plan. 4. To ratify the appointment of BDO USA, LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2018.

16 INVESTORS BANCORP, INC. Page 16 of 32 Security: 46146L101 Ticker: ISBC ISIN: US46146L1017 Agenda Number: Meeting Date: 22-May DIRECTOR 1 Kevin Cummings 2 Michele N. Siekerka 3 Paul Stathoulopoulos 2. The approval of a non-binding, advisory proposal to approve the compensation paid to our Named Executive Officers. 3. The ratification of the appointment of KPMG LLP as the independent registered public accounting firm for Investors Bancorp, Inc. for the year ending December 31, 2018.

17 JPMORGAN CHASE & CO. Page 17 of 32 Security: 46625H100 Ticker: JPM ISIN: US46625H1005 Agenda Number: Meeting Date: 15-May-18 1a. Election of Director: Linda B. Bammann 1b. Election of Director: James A. Bell 1c. Election of Director: Stephen B. Burke 1d. Election of Director: Todd A. Combs 1e. Election of Director: James S. Crown 1f. Election of Director: James Dimon 1g. Election of Director: Timothy P. Flynn 1h. Election of Director: Mellody Hobson 1i. Election of Director: Laban P. Jackson Jr. 1j. Election of Director: Michael A. Neal 1k. Election of Director: Lee R. Raymond

18 Page 18 of 32 1l. Election of Director: William C. Weldon 2. Ratification of special meeting provisions in the Firm's By-Laws 3. Advisory resolution to approve executive compensation 4. Approval of Amended and Restated Long- Term Incentive Plan effective May 15, Ratification of independent registered public accounting firm 6. Independent Board chairman Shr 7. Vesting for government service Shr 8. Proposal to report on investments tied to genocide Shr 9. Cumulative Voting Shr

19 MB FINANCIAL, INC. Page 19 of 32 Security: 55264U108 Ticker: MBFI ISIN: US55264U1088 Agenda Number: Meeting Date: 16-May-18 1a. Election of Director: David P. Bolger 1b. Election of Director: C. Bryan Daniels 1c. Election of Director: Mitchell Feiger 1d. Election of Director: Sunil Garg 1e. Election of Director: Charles J. Gries 1f. Election of Director: James N. Hallene 1g. Election of Director: Thomas H. Harvey 1h. Election of Director: Richard J. Holmstrom 1i. Election of Director: Mark A. Hoppe 1j. Election of Director: Karen J. May 1k. Election of Director: Renee Togher

20 Page 20 of Advisory (non-binding) vote on executive compensation 3. Advisory (non-binding) vote on whether an advisory vote on executive compensation should be held every one year, every two years, or every three years. 1 Year 4. Ratification of the appointment of RSM US LLP as independent registered public accounting firm for the year ending 12/31/18.

21 ORITANI FINANCIAL CORP Page 21 of 32 Security: 68633D103 Ticker: ORIT ISIN: US68633D1037 Agenda Number: Meeting Date: 21-Nov DIRECTOR 1 JAMES J. DOYLE, JR. Withheld 2 JOHN J. SKELLY, JR. Withheld 2. THE RATIFICATION OF THE APPOINTMENT OF CROWE HORWATH LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING JUNE 30, AN ADVISORY, NON-BINDING PROPOSAL WITH RESPECT TO THE EXECUTIVE COMPENSATION DESCRIBED IN THE PROXY STATEMENT. 4. AN ADVISORY, NON-BINDING PROPOSAL WITH RESPECT TO THE FREQUENCY THAT STOCKHOLDERS WILL VOTE ON OUR EXECUTIVE COMPENSATION. 1 Year

22 PARK NATIONAL CORPORATION Page 22 of 32 Security: Ticker: PRK ISIN: US Agenda Number: Meeting Date: 23-Apr-18 1A. Election of Director: F. William Englefield IV 1B. Election of Director: Julia A. Sloat 1C. Election of Director: David L. Trautman 1D. Election of Director: Leon Zazworsky 2. Advisory vote on the frequency of future advisory votes on the compensation of the Company's named executive officers. 1 Year 3. Approval of advisory resolution on the compensation of the Company's named executive officers. 4. Ratification of the appointment of Crowe Horwath LLP as the independent registered public accounting firm of the Company for the fiscal year ending December 31, 2018.

23 SVB FINANCIAL GROUP Page 23 of 32 Security: 78486Q101 Ticker: SIVB ISIN: US78486Q1013 Agenda Number: Meeting Date: 26-Apr DIRECTOR 1 Greg W. Becker 2 Eric A. Benhamou 3 John S. Clendening 4 Roger F. Dunbar 5 Joel P. Friedman 6 Kimberly A. Jabal 7 Jeffrey N. Maggioncalda 8 Mary J. Miller 9 Kate D. Mitchell 10 John F. Robinson 11 Garen K. Staglin

24 Page 24 of To ratify the appointment of KPMG LLP as the Company's independent registered public accounting firm for its fiscal year ending December 31, To approve, on an advisory basis, our executive compensation ("Say on Pay").

25 SYNOVUS FINANCIAL CORP. Page 25 of 32 Security: 87161C501 Ticker: SNV ISIN: US87161C5013 Agenda Number: Meeting Date: 26-Apr-18 1A. Election of Director: Catherine A. Allen 1B. Election of Director: Tim E. Bentsen 1C. Election of Director: F. Dixon Brooke, Jr. 1D. Election of Director: Stephen T. Butler 1E. Election of Director: Elizabeth W. Camp 1F. Election of Director: Diana M. Murphy 1G. Election of Director: Jerry W. Nix 1H. Election of Director: Harris Pastides 1I. Election of Director: Joseph J. Prochaska, Jr. 1J. Election of Director: John L. Stallworth 1K. Election of Director: Kessel D. Stelling

26 Page 26 of 32 1L. Election of Director: Melvin T. Stith 1M. Election of Director: Barry L. Storey 1N. Election of Director: Philip W. Tomlinson 2. To approve, on an advisory basis, the compensation of Synovus' named executive officers as determined the Compensation Committee. 3. To ratify the appointment of KPMG LLP as Synovus' independent auditor for the year 2018.

27 THE PNC FINANCIAL SERVICES GROUP, INC. Page 27 of 32 Security: Ticker: PNC ISIN: US Agenda Number: Meeting Date: 24-Apr-18 1A. Election of Director: Charles E. Bunch 1B. Election of Director: Debra A. Cafaro 1C. Election of Director: Marjorie Rodgers Cheshire 1D. Election of Director: William S. Demchak 1E. Election of Director: Andrew T. Feldstein 1F. Election of Director: Daniel R. Hesse 1G. Election of Director: Richard B. Kelson 1H. Election of Director: Linda R. Medler 1I. Election of Director: Martin Pfinsgraff 1J. Election of Director: Donald J. Shepard

28 Page 28 of 32 1K. Election of Director: Michael J. Ward 1L. Election of Director: Gregory D. Wasson 2. RATIFICATION OF THE AUDIT COMMITTEE'S SELECTION OF PRICEWATERHOUSECOOPERS LLP AS PNC'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION.

29 U.S. BANCORP Page 29 of 32 Security: Ticker: USB ISIN: US Agenda Number: Meeting Date: 17-Apr-18 1A. ELECTION OF DIRECTOR: WARNER L. BAXTER 1B. ELECTION OF DIRECTOR: MARC N. CASPER 1C. ELECTION OF DIRECTOR: ANDREW CECERE 1D. Election of director: Arthur D. Collins, Jr. 1E. Election of director: Kimberly J. Harris 1F. Election of director: Roland A. Hernandez 1G. Election of director: Doreen Woo Ho 1H. Election of director: Olivia F. Kirtley 1I. Election of director: Karen S. Lynch 1J. Election of director: Richard P. McKenney

30 Page 30 of 32 1K. Election of director: David B. O'Maley 1L. Election of director: O'dell M. Owens, M.D., M.P.H. 1M. Election of director: Craig D. Schnuck 1N. Election of director: Scott W. Wine 2. The ratification of the selection of Ernst & Young LLP as our independent auditor for the 2018 fiscal year. 3. An advisory vote to approve the compensation of our executives disclosed in the proxy statement.

31 WESTERN ALLIANCE BANCORPORATION Page 31 of 32 Security: Ticker: WAL ISIN: US Agenda Number: Meeting Date: 12-Jun-18 1a. Election of Director: Bruce Beach 1b. Election of Director: William S. Boyd 1c. Election of Director: Howard N. Gould 1d. Election of Director: Steven J. Hilton 1e. Election of Director: Marianne Boyd Johnson 1f. Election of Director: Robert P. Latta 1g. Election of Director: Cary Mack 1h. Election of Director: Todd Marshall 1i. Election of Director: James E. Nave, D.V.M. 1j. Election of Director: Michael Patriarca 1k. Election of Director: Robert Gary Sarver

32 Page 32 of 32 1l. Election of Director: Donald D. Snyder 1m. Election of Director: Sung Won Sohn, Ph.D. 1n. Election of Director: Kenneth A. Vecchione 2. Approve, on a non-binding advisory basis, executive compensation. 3. Vote, on a non-binding advisory basis, on the frequency of executive compensation votes. 1 Year 4. Ratify the appointment of RSM US LLP as the Company's independent auditor.