Harvest Healthcare Leaders Income ETF

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1 Harvest Healthcare Leaders Income ETF HHL HHL.U (formerly Healthcare Leaders Income ETF) Meeting Date Range: July 01, 2017 to June 30, 2018 Proxy Voting Report ABBVIE INC Y109 ABBV US00287Y1091 Agenda Number: Meeting Date: 5/4/ DIRECTOR ALLERGAN PLC 1 Roxanne S. Austin 2 Richard A. Gonzalez 3 Rebecca B. Roberts 4 Glenn F. Tilton 2. Ratification of Ernst & Young LLP as AbbVie's independent registered public accounting firm for Say on Pay - An advisory vote on the approval of executive compensation 4. Say When on Pay - An advisory vote on the frequency of the advisory vote to approve executive compensation 5. Approval of a management proposal regarding amendment of the certificate of incorporation for the annual election of directors 6. Approval of a management proposal regarding amendment of the certificate of incorporation to eliminate supermajority voting 7. Stockholder Proposal - to Issue an Annual Report on Lobbying 8. Stockholder Proposal - to Separate Chair and CEO 9. Stockholder Proposal - to Issue an Annual Compensation Committee Report on Drug Pricing 1 Year G0177J108 AGN IE00BY9D5467 Agenda Number: Meeting Date: 5/2/2018 1a. Election of Director: Nesli Basgoz, M.D. 1b. Election of Director: Paul M. Bisaro 1c. Election of Director: Joseph H. Boccuzi 1d. Election of Director: Christopher W. Bodine 1e. Election of Director: Adriane M. Brown 1f. Election of Director: Christopher J. Coughlin 1g. Election of Director: Carol Anthony (John) Davidson 1h. Election of Director: Catherine M. Klema 1i. Election of Director: Peter J. McDonnell, M.D. 1j. Election of Director: Patrick J. O'Sullivan 1k. Election of Director: Brenton L. Saunders

2 1l. Election of Director: Fred G. Weiss 2. To approve, in a non-binding vote, Named Executive Officer compensation. 3. To ratify, in a non-binding vote, the appointment of PricewaterhouseCoopers LLP as the Company's independent auditor for the fiscal year ending December 31, 2018 and to authorize, in a binding vote, the Board of Directors, acting through its Audit and Compliance Committee, to determine PricewaterhouseCoopers LLP's remuneration. 4. To renew the authority of the directors of the Company (the "Directors") to issue shares. 5A. To renew the authority of the Directors to issue shares for cash without first offering shares to existing shareholders. 5B. To authorize the Directors to allot new shares up to an additional 5% for cash in connection with an acquisition or other capital investment. 6. To consider a shareholder proposal requiring an independent Board Chairman, if properly presented at the meeting. AMGEN INC Agenda Number: AMGN US Meeting Date: 5/22/2018 1a. Election of Director: Dr. Wanda M. Austin 1b. Election of Director: Mr. Robert A. Bradway 1c. Election of Director: Dr. Brian J. Druker 1d. Election of Director: Mr. Robert A. Eckert 1e. Election of Director: Mr. Greg C. Garland 1f. Election of Director: Mr. Fred Hassan 1g. Election of Director: Dr. Rebecca M. Henderson 1h. Election of Director: Mr. Frank C. Herringer 1i. Election of Director: Mr. Charles M. Holley, Jr. 1j. Election of Director: Dr. Tyler Jacks 1k. Election of Director: Ms. Ellen J. Kullman 1l. Election of Director: Dr. Ronald D. Sugar 1m. Election of Director: Dr. R. Sanders Williams 2. Advisory vote to approve our executive compensation. 3. To ratify the selection of Ernst & Young LLP as our independent registered public accountants for the fiscal year ending December 31, Stockholder proposal for an annual report on the extent to which risks related to public concern over drug pricing strategies are integrated into our executive incentive compensation. ANTHEM, INC Agenda Number: ANTM US Meeting Date: 5/16/2018 1a. Election of Director: Lewis Hay, III

3 1b. Election of Director: Julie A. Hill 1c. Election of Director: Antonio F. Neri 1d. Election of Director: Ramiro G. Peru 2. To ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm for Advisory vote to approve the compensation of our named executive officers. 4. To approve proposed amendments to our Articles of Incorporation to allow shareholders owning 20% or more of our common stock to call special meetings of shareholders. 5. Shareholder proposal to allow shareholders owning 10% or more of our common stock to call special meetings of shareholders. ASTRAZENECA PLC Agenda Number: AZN US Meeting Date: 5/18/ To receive the Company's Accounts, the Reports of the Directors and Auditor and the Strategic Report for the year ended 31 December To confirm dividends 3. To reappoint PricewaterhouseCoopers LLP as Auditor 4. To authorise the Directors to agree the remuneration of the Auditor 5a. Election of Director: Leif Johansson 5b. Election of Director: Pascal Soriot 5c. Election of Director: Marc Dunoyer 5d. Election of Director: Genevieve Berger 5e. Election of Director: Philip Broadley 5f. Election of Director: Graham Chipchase 5g. Election of Director: Deborah DiSanzo 5h. Election of Director: Rudy Markham 5i. Election of Director: Sheri McCoy 5j. Election of Director: Nazneen Rahman 5k. Election of Director: iti Vadera 5l. Election of Director: Marcus Wallenberg 6. To approve the Annual Report on Remuneration for the year ended 31 December To authorise limited political donations 8. To authorise the Directors to allot shares 9. To authorise the Directors to disapply preemption rights 10. To authorise the Directors to further disapply pre-emption rights for acquisitions and specified capital investments 11. To authorise the Company to purchase its own shares 12. To reduce the notice period for general meetings 13. To adopt new Articles of Association BOSTON SCIENTIFIC CORPORATION Agenda Number: BSX US Meeting Date: 5/10/2018

4 1a. Election of Director: Nelda J. Connors 1b. Election of Director: Charles J. Dockendorff 1c. Election of Director: Yoshiaki Fujimori 1d. Election of Director: Donna A. James 1e. Election of Director: Edward J. Ludwig 1f. Election of Director: Stephen P. MacMillan 1g. Election of Director: Michael F. Mahoney 1h. Election of Director: David J. Roux 1i. Election of Director: John E. Sununu 1j. Election of Director: Ellen M. Zane 2. To approve, on a non-binding, advisory basis, named executive officer compensation. 3. To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the 2018 fiscal year. BRISTOL-MYERS SQUIBB COMPANY BMY US Agenda Number: Meeting Date: 5/1/2018 1A. Election of Director: P. J. Arduini 1B. Election of Director: J. Baselga, M.D., Ph.D. 1C. Election of Director: R. J. Bertolini 1D. Election of Director: G. Caforio, M.D. 1E. Election of Director: M. W. Emmens 1F. Election of Director: M. Grobstein 1G. Election of Director: A. J. Lacy 1H. Election of Director: D. C. Paliwal 1I. Election of Director: T. R. Samuels 1J. Election of Director: G. L. Storch 1K. Election of Director: V. L. Sato, Ph.D. 1L. Election of Director: K. H. Vousden, Ph.D. 2. Advisory vote to approve the compensation of our Named Executive Officers 3. Ratification of the appointment of an independent registered public accounting firm 4. Shareholder Proposal on Annual Report Disclosing How Risks Related to Public Concern Over Drug Pricing Strategies are Incorporated into Incentive Compensation Plans 5. Shareholder Proposal to Lower the Share Ownership Threshold to Call Special Shareholder Meetings CELGENE CORPORATION Agenda Number: CELG US Meeting Date: 6/13/ DIRECTOR 1 Mark J. Alles 2 R W Barker, D.Phil, OBE 3 Hans E. Bishop

5 4 Michael W. Bonney 5 Michael D. Casey 6 Carrie S. Cox 7 Michael A. Friedman, MD 8 Julia A. Haller, M.D. 9 P. A. Hemingway Hall 10 James J. Loughlin 11 Ernest Mario, Ph.D. 12 John H. Weiland 2. Ratification of the appointment of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, Approval, by non-binding vote, of executive compensation of the Company's named executive officers. 4. Advisory vote on stockholder proposal to request the Company's Board of Directors to amend the Company's proxy access by-law provision to eliminate the limit on the number of stockholders that can aggregate their shares to achieve the holding requirement for nomination of directors, described in more detail in the proxy statement. 5. Advisory vote on stockholder proposal to request the Company's Board of Directors to adopt a policy and amend the Company's governing documents to require that the Chairman of the Board be an independent member, described in more detail in the proxy statement. ELI LILLY AND COMPANY LLY US Agenda Number: Meeting Date: 5/7/2018 1a. Election of Director: K. Baicker 1b. Election of Director: J. E. Fyrwald 1c. Election of Director: J. Jackson 1d. Election of Director: E. R. Marram 1e. Election of Director: J. P. Tai 2. Approval, by non-binding vote, of the compensation paid to the company's named executive officers. 3. Ratification of Ernst & Young LLP as the principal independent auditor for Approve amendments to the Articles of Incorporation to eliminate the classified board structure. 5. Approve amendments to the Articles of Incorporation to eliminate supermajority voting provisions. 6. Approve the Amended and Restated 2002 Lilly Stock Plan. 7. Shareholder proposal seeking support for the descheduling of cannabis. 8. Shareholder proposal requesting report regarding direct and indirect political contributions. 9. Shareholder proposal requesting report on policies and practices regarding contract animal laboratories.

6 10. Shareholder proposal requesting report on extent to which risks related to public concern over drug pricing strategies are integrated into incentive compensation arrangements. GILEAD SCIENCES, INC Agenda Number: GILD US Meeting Date: 5/9/2018 1a. Election of Director: John F. Cogan, Ph.D. 1b. Election of Director: Jacqueline K. Barton, 1c. Election Ph.D. of Director: Kelly A. Kramer 1d. Election of Director: Kevin E. Lofton 1e. Election of Director: John C. Martin, Ph.D. 1f. Election of Director: John F. Milligan, Ph.D. 1g. Election of Director: Richard J. Whitley, M.D. 1h. Election of Director: Gayle E. Wilson 1i. Election of Director: Per Wold-Olsen 2. To ratify the selection of Ernst & Young LLP by the Audit Committee of the Board of Directors as the independent registered public accounting firm of Gilead for the fiscal year ending December 31, To approve, on an advisory basis, the compensation of our Named Executive Officers as presented in the Proxy Statement. 4. To vote on a stockholder proposal, if properly presented at the meeting, requesting that the Board adopt a policy that the Chairman of the Board of Directors be an independent director. 5. To vote on a stockholder proposal, if properly presented at the meeting, requesting that the Board take steps to permit stockholder action by written consent. GLAXOSMITHKLINE PLC 37733W105 GSK US37733W1053 Agenda Number: Meeting Date: 5/3/ To receive and adopt the 2017 Annual Report 2. To approve the Annual report on remuneration 3. To elect Dr Hal Barron as a Director 4. To elect Dr Laurie Glimcher as a Director 5. To re-elect Philip Hampton as a Director 6. To re-elect Emma Walmsley as a Director 7. To re-elect Vindi Banga as a Director 8. To re-elect Dr Vivienne Cox as a Director 9. To re-elect Simon Dingemans as a Director 10. To re-elect Lynn Elsenhans as a Director 11. To re-elect Dr Jesse Goodman as a Director 12. To re-elect Judy Lewent as a Director 13. To re-elect Urs Rohner as a Director 14. To appoint auditors 15. To determine remuneration of auditors

7 16. To authorise the company and its subsidiaries to make donations to political organisations and incur political expenditure 17. To authorise allotment of shares 18. To disapply pre-emption rights - general power (special resolution) 19. To disapply pre-emption rights - in connection with an acquisition or specified capital investment (special resolution) 20. To authorise the company to purchase its own shares (special resolution) 21. To authorise exemption from statement of name of senior statutory auditor 22. To authorise reduced notice of a general meeting other than an AGM (special resolution) 23. To approve adoption of new Articles of Association (special resolution) GLAXOSMITHKLINE PLC 37733W105 GSK US37733W1053 Agenda Number: Meeting Type: Special Meeting Date: 5/3/ To approve the buyout of Novartis' interest in GlaxoSmithKline Consumer Healthcare Holdings Limited for the purposes of Chapter 11 of the Listing Rules of the Financial Conduct Authority JOHNSON & JOHNSON Agenda Number: JNJ US Meeting Date: 4/26/2018 1a. Election of Director: Mary C. Beckerle 1b. Election of Director: D. Scott Davis 1c. Election of Director: Ian E. L. Davis 1d. Election of Director: Jennifer A. Doudna 1e. Election of Director: Alex Gorsky 1f. Election of Director: Mark B. McClellan 1g. Election of Director: Anne M. Mulcahy 1h. Election of Director: William D. Perez 1i. Election of Director: Charles Prince 1j. Election of Director: A. Eugene Washington 1k. Election of Director: Ronald A. Williams 2. Advisory Vote to Approve Named Executive Officer Compensation 3. Ratification of Appointment of PricewaterhouseCoopers LLP as the Independent Registered Public Accounting Firm for Shareholder Proposal - Accounting for Litigation and Compliance in Executive Compensation Performance Measures 5. Shareholder Proposal - Amendment to Shareholder Ability to Call Special Shareholder Meeting MEDTRONIC PLC

8 G5960L103 MDT IE00BTN1Y115 Agenda Number: Meeting Date: 12/8/2017 1A. ELECTION OF DIRECTOR: RICHARD H. ANDERSON 1B. ELECTION OF DIRECTOR: CRAIG ARNOLD 1C. ELECTION OF DIRECTOR: SCOTT C. DONNELLY 1D. ELECTION OF DIRECTOR: RANDALL HOGAN III 1E. ELECTION OF DIRECTOR: OMAR ISHRAK 1F. ELECTION OF DIRECTOR: SHIRLEY A. JACKSON, PH.D. 1G. ELECTION OF DIRECTOR: MICHAEL O. LEAVITT 1H. ELECTION OF DIRECTOR: JAMES T. LENEHAN 1I. ELECTION OF DIRECTOR: ELIZABETH NABEL, M.D. 1J. ELECTION OF DIRECTOR: DENISE M. O'LEARY 1K. ELECTION OF DIRECTOR: KENDALL J. POWELL 1L. ELECTION OF DIRECTOR: ROBERT C. POZEN 2. TO RATIFY, IN A NON-BINDING VOTE, THE RE-APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS MEDTRONIC'S INDEPENDENT AUDITOR FOR FISCAL YEAR 2018 AND AUTHORIZE THE BOARD OF DIRECTORS, ACTING THROUGH THE AUDIT COMMITTEE, TO SET THE AUDITOR'S REMUNERATION. 3. TO APPROVE IN A NON-BINDING ADVISORY VOTE, NAMED EXECUTIVE OFFICER COMPENSATION (A "SAY-ON- PAY" VOTE). 4. TO APPROVE THE AMENDMENT AND RESTATEMENT OF THE MEDTRONIC PLC AMENDED AND RESTATED 2013 STOCK AWARD AND INCENTIVE PLAN. MERCK & CO., INC Y105 MRK US58933Y1055 Agenda Number: Meeting Date: 5/22/2018 1a. Election of Director: Leslie A. Brun 1b. Election of Director: Thomas R. Cech 1c. Election of Director: Pamela J. Craig 1d. Election of Director: Kenneth C. Frazier 1e. Election of Director: Thomas H. Glocer 1f. Election of Director: Rochelle B. Lazarus 1g. Election of Director: John H. Noseworthy 1h. Election of Director: Paul B. Rothman 1i. Election of Director: Patricia F. Russo 1j. Election of Director: Craig B. Thompson 1k. Election of Director: Inge G. Thulin 1l. Election of Director: Wendell P. Weeks 1m. Election of Director: Peter C. Wendell

9 2. Non-binding advisory vote to approve the compensation of our named executive officers. 3. Ratification of the appointment of the Company's independent registered public accounting firm for Shareholder proposal concerning shareholders' right to act by written consent. NOVARTIS AG 66987V109 NVS US66987V1098 Agenda Number: Meeting Date: 3/2/ Approval of the Operating and Financial Review of Novartis AG, the Financial Statements of Novartis AG and the Group Consolidated Financial Statements for the 2017 Financial Year 2. Discharge from Liability of the Members of the Board of Directors and the Executive Committee 3. Appropriation of Available Earnings of Novartis AG as per Balance Sheet and Declaration of Dividend 4. Reduction of Share Capital 5A. Binding Vote on the maximum aggregate amount of Compensation for Members of the Board of Directors from the 2018 Annual General Meeting to the 2019 Annual General Meeting 5B. Binding Vote on the maximum aggregate amount of Compensation for Members of the Executive Committee for the next Financial Year, i.e C. Advisory Vote on the 2017 Compensation Report 6A. Re-election as Chairman of the Board of Director: Joerg Reinhardt, Ph.D. 6B. Re-election of Director: Nancy C. Andrews, M.D., Ph.D. 6C. Re-election of Director: Dimitri Azar, M.D. 6D. Re-election of Director: Ton Buechner 6E. Re-election of Director: Srikant Datar, Ph.D. 6F. Re-election of Director: Elizabeth Doherty 6G. Re-election of Director: Ann Fudge 6H. Re-election of Director: Frans van Houten 6I. Re-election of Director: Andreas von Planta, Ph.D. 6J. Re-election of Director: Charles L. Sawyers, M.D. 6K. Re-election of Director: Enrico Vanni, Ph.D. 6L. Re-election of Director: William T. Winters 7A. Re-election to the Compensation Committee: Srikant Datar, Ph.D. 7B. Re-election to the Compensation Committee: Ann Fudge 7C. Re-election to the Compensation Committee: Enrico Vanni, Ph.D. 7D. Re-election to the Compensation Committee: William T. Winters 8. Re-election of the Statutory Auditor 9. Re-election of the Independent Proxy

10 10. General instructions in case of alternative motions under the agenda items published in the Notice of Annual General Meeting, and/or of motions relating to additional agenda items according to Article 700 paragraph 3 of the Swiss Code of Obligations Mark FOR on this Voting Instruction Card to vote according to the motions of the Board of Directors. Mark AGAINST to vote against any alternative /new motions. Mark ABSTAIN to abstain from voting. PFIZER INC PFE US Agenda Number: Meeting Date: 4/26/2018 1a. Election of Director: Dennis A. Ausiello 1b. Election of Director: Ronald E. Blaylock 1c. Election of Director: Albert Bourla 1d. Election of Director: W. Don Cornwell 1e. Election of Director: Joseph J. Echevarria 1f. Election of Director: Helen H. Hobbs 1g. Election of Director: James M. Kilts 1h. Election of Director: Dan R. Littman 1i. Election of Director: Shantanu Narayen 1j. Election of Director: Suzanne Nora Johnson 1k. Election of Director: Ian C. Read 1l. Election of Director: James C. Smith 2. Ratify the selection of KPMG LLP as independent registered public accounting firm for Advisory approval of executive compensation 4. Approval of the Pfizer Inc. French Sub-Plan under the 2014 Stock Plan 5. Shareholder proposal regarding right to act by written consent 6. Shareholder proposal regarding independent chair policy 7. Shareholder proposal regarding report on lobbying activities QUEST DIAGNOSTICS INCORPORATED 74834L100 DGX US74834L1008 Agenda Number: Meeting Date: 5/15/2018 1A. Election of Director: Jenne K. Britell 1B. Election of Director: Vicky B. Gregg 1C. Election of Director: Jeffrey M. Leiden 1D. Election of Director: Timothy L. Main 1E. Election of Director: Gary M. Pfeiffer 1F. Election of Director: Timothy M. Ring 1G. Election of Director: Stephen H. Rusckowski 1H. Election of Director: Daniel C. Stanzione 1I. Election of Director: Helen I. Torley 1J. Election of Director: Gail R. Wilensky

11 2. An advisory resolution to approve the executive officer compensation disclosed in the Company's 2018 proxy statement 3. Ratification of the appointment of our independent registered public accounting firm for Amending our Certificate of Incorporation to permit holders of 20% or more of our common stock to call special meetings 5. Stockholder proposal to permit holders of 10% or more of our common stock to call special meetings SANOFI 80105N105 SNY US80105N1054 Agenda Number: Meeting Date: 5/2/ Approval of the individual company financial statements for the year ended December 31, Approval of the consolidated financial statements for the year ended December 31, Appropriation of profits for the year ended December 31, 2017 and declaration of dividend 4. Reappointment of Olivier Brandicourt as a Director 5. Reappointment of Patrick Kron as a Director 6. Reappointment of Christian Mulliez as a Director 7. Appointment of Emmanuel Babeau as a Director 8. Compensation policy for the Chairman of the Board of Directors 9. Compensation policy for the Chief Executive Officer 10. Approval of the payment in respect of the year ended December 31, 2017 and of the award of fixed, variable and exceptional components of the total compensation and benefits of whatever kind to Serge Weinberg, Chairman of the Board of Directors 11. Approval of the payment in respect of the year ended December 31, 2017 and of the award of fixed, variable and exceptional components of the total compensation and benefits of whatever kind to Olivier Brandicourt, Chief Executive Officer 12. Reappointment of Ernst & Young et Autres as a Statutory Auditor 13. Authorization to the Board of Directors to carry out transactions in the Company's shares (except during public tender offers) 14. Amendments of Articles 11 and 12 of the Articles of Association 15. Powers for formalities STRYKER CORPORATION Agenda Number: SYK US Meeting Date: 5/2/2018

12 1a. Election of Director: Mary K. Brainerd 1b. Election of Director: Srikant M. Datar, Ph.D. 1c. Election of Director: Roch Doliveux, DVM 1d. Election of Director: Louise L. Francesconi 1e. Election of Director: Allan C. Golston (Lead Independent Director) 1f. Election of Director: Kevin A. Lobo (Chairman of the Board) 1g. Election of Director: Sherilyn S. McCoy 1h. Election of Director: Andrew K. Silvernail 1i. Election of Director: Ronda E. Stryker 1j. Election of Director: Rajeev Suri 2. Ratify appointment of Ernst & Young LLP as our independent registered public accounting firm for Advisory vote to approve named executive officer compensation. UNITEDHEALTH GROUP INCORPORATED 91324P102 UNH US91324P1021 Agenda Number: Meeting Date: 6/4/2018 1a. Election of Director: William C. Ballard, Jr. 1b. Election of Director: Richard T. Burke 1c. Election of Director: Timothy P. Flynn 1d. Election of Director: Stephen J. Hemsley 1e. Election of Director: Michele J. Hooper 1f. Election of Director: F. William McNabb III 1g. Election of Director: Valerie C. Montgomery Rice, M.D. 1h. Election of Director: Glenn M. Renwick 1i. Election of Director: Kenneth I. Shine, M.D. 1j. Election of Director: David S. Wichmann 1k. Election of Director: Gail R. Wilensky, Ph.D. 2. Advisory approval of the Company's executive compensation. 3. Ratification of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm for the Company for the year ending December 31, 2018.