31
Proxy Voting Results First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged) Company : Safeway Inc. Meeting Date : 7/25/2014 Ticker : SWY Meeting Type : Special CUSIP No. : 786514208 ISIN : US7865142084 Item Proposal Description Mgmt Rec. Vote Cast 1 Approve Merger Agreement For For 2 Advisory Vote on Golden Parachutes For For 3 Adjourn Meeting For For 4a Elect Director Robert L. Edwards For For 4b Elect Director Janet E. Grove For For 4c Elect Director Mohan Gyani For For 4d Elect Director Frank C. Herringer For For 4e Elect Director George J. Morrow For For 4f Elect Director Kenneth W. Oder For For 4g Elect Director T. Gary Rogers For For 4h Elect Director Arun Sarin For For 4i Elect Director William Y. Tauscher For For 5 Advisory Vote to Ratify Named Executive Officers' Compensation For For 6 Ratify Auditors For For 7 Label Products with GMO Ingredients Against Against 8 Report on Extended Producer Responsibility Policy Position and Assess Alternatives Against Against Company : Transocean Ltd. Meeting Date : 9/22/2014 Ticker : RIG Meeting Type : Special CUSIP No. : H8817H100 ISIN : CH0048265513 Item Proposal Description Mgmt Rec. Vote Cast 1 Approve Decrease in Size of Board For For 2 Elect Merrill A. "Pete" Miller, Jr. as Director For For Company : Seagate Technology plc Meeting Date : 10/22/2014 Ticker : STX Meeting Type : Annual CUSIP No. : G7945J104 ISIN : IE00B58JVZ52 Item Proposal Description Mgmt Rec. Vote Cast 1a Elect Director Stephen J. Luczo For For 1b Elect Director Frank J. Biondi, Jr. For For 1c Elect Director Michael R. Cannon For For 1d Elect Director Mei-Wei Cheng For For 1e Elect Director William T. Coleman For For 1f Elect Director Jay L. Geldmacher For For Page 1 of 31

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Page 1: Proxy Voting Results - firsttrust.ca

Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

Company : Safeway Inc. Meeting Date : 7/25/2014

Ticker : SWY Meeting Type : Special

CUSIP No. : 786514208 ISIN : US7865142084

Item Proposal Description Mgmt Rec. Vote Cast

1 Approve Merger Agreement For For

2 Advisory Vote on Golden Parachutes For For

3 Adjourn Meeting For For

4a Elect Director Robert L. Edwards For For

4b Elect Director Janet E. Grove For For

4c Elect Director Mohan Gyani For For

4d Elect Director Frank C. Herringer For For

4e Elect Director George J. Morrow For For

4f Elect Director Kenneth W. Oder For For

4g Elect Director T. Gary Rogers For For

4h Elect Director Arun Sarin For For

4i Elect Director William Y. Tauscher For For

5 Advisory Vote to Ratify Named Executive Officers' Compensation For For

6 Ratify Auditors For For

7 Label Products with GMO Ingredients Against Against

8

Report on Extended Producer Responsibility Policy Position and

Assess Alternatives Against Against

Company : Transocean Ltd. Meeting Date : 9/22/2014

Ticker : RIG Meeting Type : Special

CUSIP No. : H8817H100 ISIN : CH0048265513

Item Proposal Description Mgmt Rec. Vote Cast

1 Approve Decrease in Size of Board For For

2 Elect Merrill A. "Pete" Miller, Jr. as Director For For

Company : Seagate Technology plc Meeting Date : 10/22/2014

Ticker : STX Meeting Type : Annual

CUSIP No. : G7945J104 ISIN : IE00B58JVZ52

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Stephen J. Luczo For For

1b Elect Director Frank J. Biondi, Jr. For For

1c Elect Director Michael R. Cannon For For

1d Elect Director Mei-Wei Cheng For For

1e Elect Director William T. Coleman For For

1f Elect Director Jay L. Geldmacher For For

Page 1 of 31

Page 2: Proxy Voting Results - firsttrust.ca

Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

1g Elect Director Kristen M. Onken For For

1h Elect Director Chong Sup Park For For

1i Elect Director Gregorio Reyes For For

1j Elect Director Stephanie Tilenius For For

1k Elect Director Edward J. Zander For For

2 Authorize Issuance of Equity or Equity-Linked Securities with Preemptive RightsFor For

3 Authorize Issuance of Equity or Equity-Linked Securities without Preemptive RightsFor For

4 Determine Price Range for Reissuance of Treasury Shares For For

5 Amend Omnibus Stock Plan For For

6 Advisory Vote to Ratify Named Executive Officers' Compensation For For

7 Authorize the Holding of the 2015 AGM at a Location Outside Ireland For For

8 Approve Ernst & Young as Auditors and Authorize Board to Fix Their RemunerationFor For

Company : WESTERN DIGITAL CORPORATION Meeting Date : 11/5/2014

Ticker : WDC Meeting Type : Annual

CUSIP No. : 958102105 ISIN : US9581021055

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Kathleen A. Cote For For

1b Elect Director Henry T. DeNero For For

1c Elect Director Michael D. Lambert For For

1d Elect Director Len J. Lauer For For

1e Elect Director Matthew E. Massengill For For

1f Elect Director Stephen D. Milligan For For

1g Elect Director Thomas E. Pardun For For

1h Elect Director Paula A. Price For For

1i Elect Director Masahiro Yamamura For For

2 Advisory Vote to Ratify Named Executive Officers' Compensation For For

3 Ratify Auditors For For

Company : Integrys Energy Group, Inc. Meeting Date : 11/21/2014

Ticker : TEG Meeting Type : Special

CUSIP No. : 45822P105 ISIN : US45822P1057

Item Proposal Description Mgmt Rec. Vote Cast

1 Approve Merger Agreement For For

2 Advisory Vote on Golden Parachutes For For

3 Adjourn Meeting For For

Page 2 of 31

Page 3: Proxy Voting Results - firsttrust.ca

Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

Company : Noble Corporation plc Meeting Date : 12/22/2014

Ticker : NE Meeting Type : Special

CUSIP No. : H5833N103 ISIN : GB00BFG3KF26

Item Proposal Description Mgmt Rec. Vote Cast

1 Authorize Share Repurchase Program For For

Company : Lorillard, Inc. Meeting Date : 1/28/2015

Ticker : LO Meeting Type : Special

CUSIP No. : 544147101 ISIN : US5441471019

Item Proposal Description Mgmt Rec. Vote Cast

1 Approve Merger Agreement For For

2 Advisory Vote on Golden Parachutes For For

3 Adjourn Meeting For For

Company : Deere & Company Meeting Date : 2/25/2015

Ticker : DE Meeting Type : Annual

CUSIP No. : 244199105 ISIN : US2441991054

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Samuel R. Allen For For

1b Elect Director Crandall C. Bowles For For

1c Elect Director Vance D. Coffman For For

1d Elect Director Charles O. Holliday, Jr. For For

1e Elect Director Dipak C. Jain For For

1f Elect Director Michael O. Johanns For For

1g Elect Director Clayton M. Jones For For

1h Elect Director Joachim Milberg For For

1i Elect Director Richard B. Myers For For

1j Elect Director Gregory R. Page For For

1k Elect Director Thomas H. Patrick For For

1l Elect Director Sherry M. Smith For For

2 Provide Right to Call Special Meeting For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Amend Omnibus Stock Plan For For

5 Amend Executive Incentive Bonus Plan For For

6 Ratify Deloitte & Touche LLP as Auditors For For

Page 3 of 31

Page 4: Proxy Voting Results - firsttrust.ca

Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

Company : TE Connectivity Ltd. Meeting Date : 3/3/2015

Ticker : TEL Meeting Type : Annual

CUSIP No. : H8912P106 ISIN : CH0102993182

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Pierre R. Brondeau For For

1b Elect Director Juergen W. Gromer For For

1c Elect Director William A. Jeffrey For For

1d Elect Director Thomas J. Lynch For For

1e Elect Director Yong Nam For For

1f Elect Director Daniel J. Phelan For For

1g Elect Director Lawrence S. Smith For For

1h Elect Director Paula A. Sneed For For

1i Elect Director David P. Steiner For For

1j Elect Director John C. Van Scoter For For

1k Elect Director Laura H. Wright For For

2 Elect Board Chairman Thomas J. Lynch For Against

3a

Elect Daniel J. Phelan as Member of Management Development

& Compensation Committee For For

3b

Elect Paula A. Sneed as Member of Management Development &

Compensation Committee For For

3c

Elect David P. Steiner as Member of Management Development

& Compensation Committee For For

3d

Elect John C. Van Scoter as Member of Management

Development & Compensation Committee For For

4 Designate Jvo Grundler as Independent Proxy For For

5.1 Accept Annual Report for Fiscal Year Ended September 26, 2014 For For

5.2

Accept Statutory Financial Statements for Fiscal Year Ended

September 26, 2014 For For

5.3

Approve Consolidated Financial Statements for Fiscal Year Ended

September 26, 2014 For For

6 Approve Discharge of Board and Senior Management For For

7.1

Ratify Deloitte & Touche LLP as Independent Registered Public

Accounting Firm for Fiscal Year Ending September 25, 2015 For For

7.2 Ratify Deloitte AG as Swiss Registered Auditors For For

7.3 Ratify PricewaterhouseCoopers AG as Special Auditors For For

8

Amend Articles of Association Re: Implementation of

Requirements Under the Swiss Ordinance Regarding Elections

and Certain Other Matters For For

9

Amend Articles of Association Re: Implementation of the New

Legal Requirements For For

10

Amend Articles of Association Re: Vote Standard for Shareholder

Resolutions and Elections For For

Page 4 of 31

Page 5: Proxy Voting Results - firsttrust.ca

Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

11

Amend Articles of Association Re: Applicable Vote Standard for

Contested Election of Directors, Chairperson of the Board of

Directors or Members of the Compensation Committee For For

12 Advisory Vote to Ratify Named Executive Officers' Compensation For For

13

Approve the Increase in Maximum Aggregate Remuneration of

Executive Management For For

14

Approve the Increase in Maximum Aggregate Remuneration of

Board of Directors For For

15 Approve Allocation of Available Earnings for Fiscal Year 2014 For For

16 Approve Declaration of Dividend For For

17 Renew Authorized Capital For Against

18 Approve Reduction of Share Capital For For

19 Adjourn Meeting For Against

Company : Helmerich & Payne, Inc. Meeting Date : 3/4/2015

Ticker : HP Meeting Type : Annual

CUSIP No. : 423452101 ISIN : US4234521015

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director William L. Armstrong For For

1b Elect Director Randy A. Foutch For For

1c Elect Director Hans Helmerich For For

1d Elect Director John W. Lindsay For For

1e Elect Director Paula Marshall For For

1f Elect Director Thomas A. Petrie For For

1g Elect Director Donald F. Robillard, Jr. For For

1h Elect Director Francis Rooney For For

1i Elect Director Edward B. Rust, Jr. For For

1j Elect Director John D. Zeglis For For

2 Ratify Ernst & Young LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

Company : The ADT Corporation Meeting Date : 3/17/2015

Ticker : ADT Meeting Type : Annual

CUSIP No. : 00101J106 ISIN : US00101J1060

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Thomas Colligan For For

1b Elect Director Richard Daly For For

1c Elect Director Timothy Donahue For For

1d Elect Director Robert Dutkowsky For For

1e Elect Director Bruce Gordon For For

Page 5 of 31

Page 6: Proxy Voting Results - firsttrust.ca

Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

1f Elect Director Naren Gursahaney For For

1g Elect Director Bridgette Heller For For

1h Elect Director Kathleen Hyle For For

1i Elect Director Christopher Hylen For For

2 Ratify Deloitte & Touche LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

Company : Texas Instruments Incorporated Meeting Date : 4/16/2015

Ticker : TXN Meeting Type : Annual

CUSIP No. : 882508104 ISIN : US8825081040

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Ralph W. Babb, Jr. For For

1b Elect Director Mark A. Blinn For For

1c Elect Director Daniel A. Carp For For

1d Elect Director Carrie S. Cox For For

1e Elect Director Ronald Kirk For For

1f Elect Director Pamela H. Patsley For For

1g Elect Director Robert E. Sanchez For For

1h Elect Director Wayne R. Sanders For For

1i Elect Director Ruth J. Simmons For For

1j Elect Director Richard K. Templeton For For

1k Elect Director Christine Todd Whitman For For

2 Advisory Vote to Ratify Named Executive Officers' Compensation For For

3 Ratify Ernst & Young LLP as Auditors For For

Company : Edison International Meeting Date : 4/23/2015

Ticker : EIX Meeting Type : Annual

CUSIP No. : 281020107 ISIN : US2810201077

Item Proposal Description Mgmt Rec. Vote Cast

1.1 Elect Director Jagjeet S. Bindra For For

1.2 Elect Director Vanessa C.L. Chang For For

1.3 Elect Director Theodore F. Craver, Jr. For For

1.4 Elect Director Richard T. Schlosberg, III For For

1.5 Elect Director Linda G. Stuntz For For

1.6 Elect Director William P. Sullivan For For

1.7 Elect Director Ellen O. Tauscher For For

1.8 Elect Director Peter J. Taylor For For

1.9 Elect Director Brett White For For

2 Ratify PricewaterhouseCoopers LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Claw-back of Payments under Restatements Against For

Page 6 of 31

Page 7: Proxy Voting Results - firsttrust.ca

Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

Company : Lockheed Martin Corporation Meeting Date : 4/23/2015

Ticker : LMT Meeting Type : Annual

CUSIP No. : 539830109 ISIN : US5398301094

Item Proposal Description Mgmt Rec. Vote Cast

1.1a Elect Director Daniel F. Akerson For For

1.1b Elect Director Nolan D. Archibald For For

1.1c Elect Director Rosalind G. Brewer For For

1.1d Elect Director David B. Burritt For For

1.1e Elect Director James O. Ellis, Jr. For For

1.1f Elect Director Thomas J. Falk For For

1.1g Elect Director Marillyn A. Hewson For For

1.1h Elect Director Gwendolyn S. King For For

1.1i Elect Director James M. Loy For For

1.1j Elect Director Joseph W. Ralston For For

1.1k Elect Director Anne Stevens For For

2 Ratify Ernst & Young LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Provide Right to Act by Written Consent Against For

5 Report on Lobbying Payments and Policy Against Against

Company : AT&T Inc. Meeting Date : 4/24/2015

Ticker : T Meeting Type : Annual

CUSIP No. : 00206R102 ISIN : US00206R1023

Item Proposal Description Mgmt Rec. Vote Cast

1.1 Elect Director Randall L. Stephenson For For

1.2 Elect Director Scott T. Ford For For

1.3 Elect Director Glenn H. Hutchins For For

1.4 Elect Director William E. Kennard For For

1.5 Elect Director Jon C. Madonna For For

1.6 Elect Director Michael B. McCallister For For

1.7 Elect Director John B. McCoy For For

1.8 Elect Director Beth E. Mooney For For

1.9 Elect Director Joyce M. Roché For For

1.10 Elect Director Matthew K. Rose For For

1.11 Elect Director Cynthia B. Taylor For For

1.12 Elect Director Laura D'Andrea Tyson For For

2 Ratify Ernst & Young LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Report on Indirect Political Contribution Against For

5 Report on Lobbying Payments and Policy Against For

6 Amend Bylaws to Call Special Meetings Against For

Page 7 of 31

Page 8: Proxy Voting Results - firsttrust.ca

Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

Company : Noble Corporation plc Meeting Date : 4/24/2015

Ticker : NE Meeting Type : Annual

CUSIP No. : H5833N103 ISIN : GB00BFG3KF26

Item Proposal Description Mgmt Rec. Vote Cast

1 Elect Director Julie H. Edwards For For

2 Elect Director Scott D. Josey For For

3 Elect Director Jon A. Marshall For For

4 Elect Director Mary P. Ricciardello For For

5 Elect Director David W. Williams For For

6 Ratify PricewaterhouseCoopers LLP as Auditors For For

7 Ratify PricewaterhouseCoopers LLP as Statutory Auditor For For

8

Authorize Audit Committee to Fix Remuneration of Statutory

Auditors For For

9 Advisory Vote to Ratify Named Executive Officers' Compensation For Against

10 Advisory Vote to Ratify Directors' Compensation Report For Against

11 Approve Omnibus Stock Plan For For

Company : Genuine Parts Company Meeting Date : 4/27/2015

Ticker : GPC Meeting Type : Annual

CUSIP No. : 372460105 ISIN : US3724601055

Item Proposal Description Mgmt Rec. Vote Cast

1.1 Elect Director Mary B. Bullock For For

1.2 Elect Director Paul D. Donahue For For

1.3 Elect Director Jean Douville For For

1.4 Elect Director Gary P. Fayard For For

1.5 Elect Director Thomas C. Gallagher For For

1.6 Elect Director John R. Holder For For

1.7 Elect Director John D. Johns For For

1.8 Elect Director Robert C. 'Robin' Loudermilk, Jr. For For

1.9 Elect Director Wendy B. Needham For For

1.10 Elect Director Jerry W. Nix For For

1.11 Elect Director Gary W. Rollins For Withhold

1.12 Elect Director E. Jenner Wood III For For

2 Advisory Vote to Ratify Named Executive Officers' Compensation For For

3 Approve Omnibus Stock Plan For For

4 Ratify Auditors For For

Page 8 of 31

Page 9: Proxy Voting Results - firsttrust.ca

Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

Company : Ameriprise Financial, Inc. Meeting Date : 4/29/2015

Ticker : AMP Meeting Type : Annual

CUSIP No. : 03076C106 ISIN : US03076C1062

Item Proposal Description Mgmt Rec. Vote Cast

1.1a Elect Director James M. Cracchiolo For For

1.1b Elect Director Dianne Neal Blixt For For

1.1c Elect Director Amy DiGeso For For

1.1d Elect Director Lon R. Greenberg For For

1.1e Elect Director Siri S. Marshall For For

1.1f Elect Director Jeffrey Noddle For For

1.1g Elect Director H. Jay Sarles For For

1.1h Elect Director Robert F. Sharpe, Jr. For For

1.1i Elect Director William H. Turner For For

2 Advisory Vote to Ratify Named Executive Officers' Compensation For For

3 Ratify PricewaterhouseCoopers LLP as Auditors For For

Company : Eversource Energy Meeting Date : 4/29/2015

Ticker : ES Meeting Type : Annual

CUSIP No. : 30040W108 ISIN : US30040W1080

Item Proposal Description Mgmt Rec. Vote Cast

1.1 Elect Director John S. Clarkeson For For

1.2 Elect Director Cotton M. Cleveland For For

1.3 Elect Director Sanford Cloud, Jr. For For

1.4 Elect Director James S. DiStasio For For

1.5 Elect Director Francis A. Doyle For For

1.6 Elect Director Charles K. Gifford For For

1.7 Elect Director Paul A. La Camera For For

1.8 Elect Director Kenneth R. Leibler For For

1.9 Elect Director Thomas J. May For For

1.10 Elect Director William C. Van Faasen For For

1.11 Elect Director Frederica M. Williams For For

1.12 Elect Director Dennis R. Wraase For For

2

Amend Declaration of Trust to Change the Name of the Company

from Northeast Utilities to Eversource Energy For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Ratify Deloitte & Touche LLP as Auditors For For

Page 9 of 31

Page 10: Proxy Voting Results - firsttrust.ca

Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

Company : Corning Incorporated Meeting Date : 4/30/2015

Ticker : GLW Meeting Type : Annual

CUSIP No. : 219350105 ISIN : US2193501051

Item Proposal Description Mgmt Rec. Vote Cast

1.1 Elect Director Donald W. Blair For For

1.2 Elect Director Stephanie A. Burns For Against

1.3 Elect Director John A. Canning, Jr. For For

1.4 Elect Director Richard T. Clark For For

1.5 Elect Director Robert F. Cummings, Jr. For Against

1.6 Elect Director James B. Flaws For For

1.7 Elect Director Deborah A. Henretta For For

1.8 Elect Director Daniel P. Huttenlocher For For

1.9 Elect Director Kurt M. Landgraf For For

1.10 Elect Director Kevin J. Martin For For

1.11 Elect Director Deborah D. Rieman For For

1.12 Elect Director Hansel E. Tookes II For For

1.13 Elect Director Wendell P. Weeks For For

1.14 Elect Director Mark S. Wrighton For For

2 Ratify PricewaterhouseCoopers LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Adopt Holy Land Principles Against Against

Company : SCANA Corporation Meeting Date : 4/30/2015

Ticker : SCG Meeting Type : Annual

CUSIP No. : 80589M102 ISIN : US80589M1027

Item Proposal Description Mgmt Rec. Vote Cast

1.1 Elect Director James A. Bennett For For

1.2 Elect Director Lynne M. Miller For For

1.3 Elect Director James W. Roquemore For For

1.4 Elect Director Maceo K. Sloan For For

2 Approve Omnibus Stock Plan For For

3 Ratify Deloitte & Touche LLP as Auditors For For

4 Declassify the Board of Directors For For

Company : Valero Energy Corporation Meeting Date : 4/30/2015

Ticker : VLO Meeting Type : Annual

CUSIP No. : 91913Y100 ISIN : US91913Y1001

Item Proposal Description Mgmt Rec. Vote Cast

1.1a Elect Director Jerry D. Choate For For

1.1b Elect Director Joseph W. Gorder For For

Page 10 of 31

Page 11: Proxy Voting Results - firsttrust.ca

Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

1.1c Elect Director Deborah P. Majoras For For

1.1d Elect Director Donald L. Nickles For For

1.1e Elect Director Philip J. Pfeiffer For For

1.1f Elect Director Robert A. Profusek For For

1.1g Elect Director Susan Kaufman Purcell For For

1.1h Elect Director Stephen M. Waters For For

1.1i Elect Director Randall J. Weisenburger For For

1.1j Elect Director Rayford Wilkins, Jr. For For

2 Ratify KPMG LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Adopt Quantitative GHG Goals for Products and Operations Against For

Company : CMS Energy Corporation Meeting Date : 5/1/2015

Ticker : CMS Meeting Type : Annual

CUSIP No. : 125896100 ISIN : US1258961002

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Jon E. Barfield For For

1b Elect Director Deborah H. Butler For For

1c Elect Director Kurt L. Darrow For For

1d Elect Director Stephen E. Ewing For For

1e Elect Director Richard M. Gabrys For For

1f Elect Director William D. Harvey For For

1g Elect Director David W. Joos For For

1h Elect Director Philip R. Lochner, Jr. For For

1i Elect Director John G. Russell For For

1j Elect Director Myrna M. Soto For For

1k Elect Director Laura H. Wright For For

2 Advisory Vote to Ratify Named Executive Officers' Compensation For For

3 Ratify PricewaterhouseCoopers LLP as Auditors For For

Company : Occidental Petroleum Corporation Meeting Date : 5/1/2015

Ticker : OXY Meeting Type : Annual

CUSIP No. : 674599105 ISIN : US6745991058

Item Proposal Description Mgmt Rec. Vote Cast

1.1 Elect Director Spencer Abraham For For

1.2 Elect Director Howard I. Atkins For For

1.3 Elect Director Eugene L. Batchelder For For

1.4 Elect Director Stephen I. Chazen For For

1.5 Elect Director John E. Feick For For

1.6 Elect Director Margaret M. Foran For For

1.7 Elect Director Carlos M. Gutierrez For For

Page 11 of 31

Page 12: Proxy Voting Results - firsttrust.ca

Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

1.8 Elect Director William R. Klesse For For

1.9 Elect Director Avedick B. Poladian For For

1.10 Elect Director Elisse B. Walter For For

2 Advisory Vote to Ratify Named Executive Officers' Compensation For For

3 Approve Omnibus Stock Plan For For

4 Ratify KPMG LLP as Auditors For For

5 Claw-back of Payments under Restatements Against For

6 Adopt Proxy Access Right Against For

7

Report on Methane and Flaring Emissions Management and

Reduction Targets Against For

8 Review and Assess Membership of Lobbying Organizations Against For

Company : PG&E Corporation Meeting Date : 5/4/2015

Ticker : PCG Meeting Type : Annual

CUSIP No. : 69331C108 ISIN : US69331C1080

Item Proposal Description Mgmt Rec. Vote Cast

1.1 Elect Director Lewis Chew For For

1.2 Elect Director Anthony F. Earley, Jr. For For

1.3 Elect Director Fred J. Fowler For For

1.4 Elect Director Maryellen C. Herringer For For

1.5 Elect Director Richard C. Kelly For For

1.6 Elect Director Roger H. Kimmel For For

1.7 Elect Director Richard A. Meserve For For

1.8 Elect Director Forrest E. Miller For For

1.9 Elect Director Rosendo G. Parra For For

1.10 Elect Director Barbara L. Rambo For For

1.11 Elect Director Anne Shen Smith For For

1.12 Elect Director Barry Lawson Williams For For

2 Ratify Deloitte & Touche LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Require Independent Board Chairman Against For

Company : Leggett & Platt, Incorporated Meeting Date : 5/5/2015

Ticker : LEG Meeting Type : Annual

CUSIP No. : 524660107 ISIN : US5246601075

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Robert E. Brunner For For

1b Elect Director Robert G. Culp, III For For

1c Elect Director R. Ted Enloe, III For For

1d Elect Director Manuel A. Fernandez For For

1e Elect Director Richard T. Fisher For For

Page 12 of 31

Page 13: Proxy Voting Results - firsttrust.ca

Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

1f Elect Director Matthew C. Flanigan For For

1g Elect Director Karl G. Glassman For For

1h Elect Director David S. Haffner For For

1i Elect Director Joseph W. McClanathan For For

1j Elect Director Judy C. Odom For For

1k Elect Director Phoebe A. Wood For For

2 Ratify Auditors For For

3 Amend Omnibus Stock Plan For For

4 Amend Qualified Employee Stock Purchase Plan For For

5 Advisory Vote to Ratify Named Executive Officers' Compensation For For

Company : Nordstrom, Inc. Meeting Date : 5/5/2015

Ticker : JWN Meeting Type : Annual

CUSIP No. : 655664100 ISIN : US6556641008

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Shellye L. Archambeau For For

1b Elect Director Phyllis J. Campbell For For

1c Elect Director Michelle M. Ebanks For For

1d Elect Director Enrique Hernandez, Jr. For For

1e Elect Director Robert G. Miller For For

1f Elect Director Blake W. Nordstrom For For

1g Elect Director Erik B. Nordstrom For For

1h Elect Director Peter E. Nordstrom For For

1i Elect Director Philip G. Satre For For

1j Elect Director Brad D. Smith For For

1k Elect Director B. Kevin Turner For For

1l Elect Director Robert D. Walter For For

1m Elect Director Alison A. Winter For For

2 Ratify Deloitte & Touche LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

Company : CSX Corporation Meeting Date : 5/6/2015

Ticker : CSX Meeting Type : Annual

CUSIP No. : 126408103 ISIN : US1264081035

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Donna M. Alvarado For For

1b Elect Director John B. Breaux For For

1c Elect Director Pamela L. Carter For For

1d Elect Director Steven T. Halverson For For

1e Elect Director Edward J. Kelly, III For For

1f Elect Director John D. McPherson For For

1g Elect Director David M. Moffett For For

1h Elect Director Oscar Munoz For For

Page 13 of 31

Page 14: Proxy Voting Results - firsttrust.ca

Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

1i Elect Director Timothy T. O'Toole For For

1j Elect Director David M. Ratcliffe For For

1k Elect Director Donald J. Shepard For For

1l Elect Director Michael J. Ward For For

1m Elect Director J. Steven Whisler For For

2 Ratify Ernst & Young LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Amend Omnibus Stock Plan For For

Company : LyondellBasell Industries NV Meeting Date : 5/6/2015

Ticker : LYB Meeting Type : Annual

CUSIP No. : N53745100 ISIN : NL0009434992

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Robin Buchanan Supervisory Board For For

1b Elect Stephen F. Cooper to Supervisory Board For For

1c Elect Isabella D. Goren to Supervisory Board For For

1d Elect Robert G. Gwin to Supervisory Board For For

2a Elect Kevin W. Brown to Management Board For For

2b Elect Jeffrey A. Kaplan to Management Board For For

3 Adopt Financial Statements and Statutory Reports For For

4 Approve Discharge of Management Board For For

5 Approve Discharge of Supervisory Board For For

6 Ratify PricewaterhouseCoopers LLP as Auditors For For

7 Ratify PricewaterhouseCoopers Accountants N.V. as Auditors For For

8 Approve Dividends of USD 2.80 Per Share For For

9 Advisory Vote to Ratify Named Executive Officers' Compensation For For

10

Authorize Board to Issue Shares up to 20 Percent of Authorized

Capital For For

11

Authorize Board to Exclude Preemptive Rights from Share

Issuances For Against

12 Amend Qualified Employee Stock Purchase Plan For For

13 Authorize Repurchase of Up to 10 Percent of Issued Share Capital For For

Company : Archer-Daniels-Midland Company Meeting Date : 5/7/2015

Ticker : ADM Meeting Type : Annual

CUSIP No. : 039483102 ISIN : US0394831020

Item Proposal Description Mgmt Rec. Vote Cast

1.1 Elect Director Alan L. Boeckmann For For

1.2 Elect Director Mollie Hale Carter For For

1.3 Elect Director Terrell K. Crews For For

Page 14 of 31

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Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

1.4 Elect Director Pierre Dufour For For

1.5 Elect Director Donald E. Felsinger For For

1.6 Elect Director Juan R. Luciano For For

1.7 Elect Director Antonio Maciel Neto For For

1.8 Elect Director Patrick J. Moore For For

1.9 Elect Director Thomas F. O'Neill For For

1.10 Elect Director Francisco Sanchez For For

1.11 Elect Director Daniel Shih For For

1.12 Elect Director Kelvin R. Westbrook For For

1.13 Elect Director Patricia A. Woertz For For

2 Ratify Ernst & Young LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Amend Omnibus Stock Plan For For

5 Require Independent Board Chairman Against For

Company : C.H. Robinson Worldwide, Inc. Meeting Date : 5/7/2015

Ticker : CHRW Meeting Type : Annual

CUSIP No. : 12541W209 ISIN : US12541W2098

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Scott P. Anderson For For

1b Elect Director Robert Ezrilov For For

1c Elect Director Wayne M. Fortun For For

1d Elect Director Mary J. Steele Guilfoile For For

1e Elect Director Jodee A. Kozlak For For

1f Elect Director ReBecca Koenig Roloff For For

1g Elect Director Brian P. Short For For

1h Elect Director James B. Stake For For

1i Elect Director John P. Wiehoff For For

2 Advisory Vote to Ratify Named Executive Officers' Compensation For For

3 Approve Executive Incentive Bonus Plan For For

4 Ratify Deloitte & Touche LLP as Auditors For For

Company : DTE Energy Company Meeting Date : 5/7/2015

Ticker : DTE Meeting Type : Annual

CUSIP No. : 233331107 ISIN : US2333311072

Item Proposal Description Mgmt Rec. Vote Cast

1.1 Elect Director Gerard M. Anderson For For

1.2 Elect Director David A. Brandon For For

1.3 Elect Director W. Frank Fountain, Jr. For For

1.4 Elect Director Charles G. McClure, Jr. For For

1.5 Elect Director Gail J. McGovern For For

Page 15 of 31

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Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

1.6 Elect Director Mark A. Murray For For

1.7 Elect Director James B. Nicholson For For

1.8 Elect Director Charles W. Pryor, Jr. For For

1.9 Elect Director Josue Robles, Jr. For For

1.10 Elect Director Ruth G. Shaw For For

1.11 Elect Director David A. Thomas For For

1.12 Elect Director James H. Vandenberghe For For

2 Ratify PricewaterhouseCoopers LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Approve Executive Incentive Bonus Plan For For

5 Report on Political Contributions Against For

6 Adopt Proxy Access Right Against For

7

Assess Plans to Increase Distributed Low-Carbon Electricity

Generation Against For

8 Require Independent Board Chairman Against For

Company : Health Care REIT, Inc. Meeting Date : 5/7/2015

Ticker : HCN Meeting Type : Annual

CUSIP No. : 42217K106 ISIN : US42217K1060

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Thomas J. DeRosa For For

1b Elect Director Jeffrey H. Donahue For For

1c Elect Director Fred S. Klipsch For For

1d Elect Director Geoffrey G. Meyers For For

1e Elect Director Timothy J. Naughton For For

1f Elect Director Sharon M. Oster For For

1g Elect Director Judith C. Pelham For For

1h Elect Director Sergio D. Rivera For For

1i Elect Director R. Scott Trumbull For For

2 Ratify Ernst & Young LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

Company : AbbVie Inc. Meeting Date : 5/8/2015

Ticker : ABBV Meeting Type : Annual

CUSIP No. : 00287Y109 ISIN : US00287Y1091

Item Proposal Description Mgmt Rec. Vote Cast

1.1 Elect Director Roxanne S. Austin For For

1.2 Elect Director Richard A. Gonzalez For For

1.3 Elect Director Glenn F. Tilton For For

2 Ratify Ernst & Young LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

Page 16 of 31

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Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

Company : Entergy Corporation Meeting Date : 5/8/2015

Ticker : ETR Meeting Type : Annual

CUSIP No. : 29364G103 ISIN : US29364G1031

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Maureen S. Bateman For For

1b Elect Director Patrick J. Condon For For

1c Elect Director Leo P. Denault For For

1d Elect Director Kirkland H. Donald For For

1e Elect Director Gary W. Edwards For For

1f Elect Director Alexis M. Herman For For

1g Elect Director Donald C. Hintz For For

1h Elect Director Stuart L. Levenick For For

1i Elect Director Blanche L. Lincoln For For

1j Elect Director Karen A. Puckett For For

1k Elect Director W. J. 'Billy' Tauzin For For

1l Elect Director Steven V. Wilkinson For For

2 Ratify Deloitte & Touche LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Amend Executive Incentive Bonus Plan For For

5 Approve Omnibus Stock Plan For For

6

Include Carbon Reduction as a Performance Measure for Senior

Executive Compensation Against Against

Company : International Paper Company Meeting Date : 5/11/2015

Ticker : IP Meeting Type : Annual

CUSIP No. : 460146103 ISIN : US4601461035

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director David J. Bronczek For For

1b Elect Director William J. Burns For For

1c Elect Director Ahmet C. Dorduncu For For

1d Elect Director Ilene S. Gordon For For

1e Elect Director Jay L. Johnson For For

1f Elect Director Stacey J. Mobley For For

1g Elect Director Joan E. Spero For For

1h Elect Director Mark S. Sutton For For

1i Elect Director John L. Townsend, III For For

1j Elect Director William G. Walter For For

1k Elect Director J. Steven Whisler For For

1l Elect Director Ray G. Young For For

2 Ratify Deloitte & Touche LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Pro-rata Vesting of Equity Awards Against For

Page 17 of 31

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Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

Company : ConocoPhillips Meeting Date : 5/12/2015

Ticker : COP Meeting Type : Annual

CUSIP No. : 20825C104 ISIN : US20825C1045

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Richard L. Armitage For For

1b Elect Director Richard H. Auchinleck For For

1c Elect Director Charles E. Bunch For For

1d Elect Director James E. Copeland, Jr. For For

1e Elect Director John V. Faraci For For

1f Elect Director Jody L. Freeman For For

1g Elect Director Gay Huey Evans For For

1h Elect Director Ryan M. Lance For For

1i Elect Director Arjun N. Murti For For

1j Elect Director Robert A. Niblock For For

1k Elect Director Harald J. Norvik For For

2 Ratify Ernst & Young LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Report on Lobbying Payments and Policy Against For

5 Pro-rata Vesting of Equity Plan Against For

6

Remove or Adjust Reserve Metrics used for Executive

Compensation Against Against

7 Adopt Proxy Access Right Against For

Company : Newell Rubbermaid Inc. Meeting Date : 5/12/2015

Ticker : NWL Meeting Type : Annual

CUSIP No. : 651229106 ISIN : US6512291062

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Thomas E. Clarke For For

1b Elect Director Kevin C. Conroy For For

1c Elect Director Scott S. Cowen For For

1d Elect Director Michael T. Cowhig For For

1e Elect Director Domenico De Sole For For

1f Elect Director Cynthia A. Montgomery For For

1g Elect Director Christopher D. O'Leary For For

1h Elect Director Jose Ignacio Perez-Lizaur For For

1i Elect Director Michael B. Polk For For

1j Elect Director Steven J. Strobel For For

1k Elect Director Michael A. Todman For For

1l Elect Director Raymond G. Viault For For

2 Ratify Ernst & Young LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Amend Articles Call Special Meetings Against For

Page 18 of 31

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Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

Company : NiSource Inc. Meeting Date : 5/12/2015

Ticker : NI Meeting Type : Annual

CUSIP No. : 65473P105 ISIN : US65473P1057

Item Proposal Description Mgmt Rec. Vote Cast

1 Elect Director Richard A. Abdoo For For

2 Elect Director Aristides S. Candris For For

3 Elect Director Sigmund L. Cornelius For For

4 Elect Director Michael E. Jesanis For For

5 Elect Director Marty R. Kittrell For For

6 Elect Director W. Lee Nutter For For

7 Elect Director Deborah S. Parker For For

8 Elect Director Robert C. Skaggs, Jr. For For

9 Elect Director Teresa A.Taylor For For

10 Elect Director Richard L. Thompson For For

11 Elect Director Carolyn Y. Woo For For

12 Advisory Vote to Ratify Named Executive Officers' Compensation For For

13 Ratify Deloitte & Touche LLP as Auditors For For

14 Provide Right to Call Special Meeting For For

15 Approve Decrease in Size of Board For For

16 Amend Omnibus Stock Plan For For

17 Amend Qualified Employee Stock Purchase Plan For For

18 Report on Political Contributions Against For

Company : Murphy Oil Corporation Meeting Date : 5/13/2015

Ticker : MUR Meeting Type : Annual

CUSIP No. : 626717102 ISIN : US6267171022

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director T. Jay Collins For For

1b Elect Director Steven A. Cosse For For

1c Elect Director Claiborne P. Deming For For

1d Elect Director Lawrence R. Dickerson For For

1e Elect Director Roger W. Jenkins For For

1f Elect Director James V. Kelley For For

1g Elect Director Walentin Mirosh For For

1h Elect Director R. Madison Murphy For For

1i Elect Director Jeffrey W. Nolan For For

1j Elect Director Neal E. Schmale For For

1k Elect Director Laura A. Sugg For For

1l Elect Director Caroline G. Theus For For

2 Advisory Vote to Ratify Named Executive Officers' Compensation For For

3 Ratify KPMG LLP as Auditors For For

4 Proxy Access Against For

Page 19 of 31

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Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

Company : Kohl's Corporation Meeting Date : 5/14/2015

Ticker : KSS Meeting Type : Annual

CUSIP No. : 500255104 ISIN : US5002551043

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Peter Boneparth For For

1b Elect Director Steven A. Burd For For

1c Elect Director Dale E. Jones For For

1d Elect Director Kevin Mansell For For

1e Elect Director John E. Schlifske For For

1f Elect Director Frank V. Sica For For

1g Elect Director Stephanie A. Streeter For For

1h Elect Director Nina G. Vaca For For

1i Elect Director Stephen E. Watson For For

2 Ratify Ernst & Young LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Clawback of Incentive Payments Against For

5 Adopt Proxy Access Right Against For

Company : Republic Services, Inc. Meeting Date : 5/14/2015

Ticker : RSG Meeting Type : Annual

CUSIP No. : 760759100 ISIN : US7607591002

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Ramon A. Rodriguez For For

1b Elect Director Tomago Collins For For

1c Elect Director James W. Crownover For For

1d Elect Director Ann E. Dunwoody For For

1e Elect Director William J. Flynn For For

1f Elect Director Manuel Kadre For For

1g Elect Director Michael Larson For For

1h Elect Director W. Lee Nutter For For

1i Elect Director Donald W. Slager For For

1j Elect Director John M. Trani For For

2 Advisory Vote to Ratify Named Executive Officers' Compensation For For

3 Ratify Ernst & Young LLP as Auditors For For

4 Proxy Access None For

Page 20 of 31

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Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

Company : CF Industries Holdings, Inc. Meeting Date : 5/15/2015

Ticker : CF Meeting Type : Annual

CUSIP No. : 125269100 ISIN : US1252691001

Item Proposal Description Mgmt Rec. Vote Cast

1 Elect Director Robert C. Arzbaecher For For

2 Elect Director William Davisson For For

3 Elect Director Stephen A. Furbacher For For

4 Elect Director Stephen J. Hagge For For

5 Elect Director John D. Johnson For For

6 Elect Director Robert G. Kuhbach For For

7 Elect Director Edward A. Schmitt For For

8 Elect Director Theresa E. Wagler For For

9 Elect Director W. Anthony Will For For

10 Advisory Vote to Ratify Named Executive Officers' Compensation For For

11 Ratify KPMG LLP as Auditors For For

12 Proxy Access Against For

13 Provide Right to Act by Written Consent Against For

Company : Consolidated Edison, Inc. Meeting Date : 5/18/2015

Ticker : ED Meeting Type : Annual

CUSIP No. : 209115104 ISIN : US2091151041

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Vincent A. Calarco For For

1b Elect Director George Campbell, Jr. For For

1c Elect Director Michael J. Del Giudice For For

1d Elect Director Ellen V. Futter For For

1e Elect Director John F. Killian For For

1f Elect Director John McAvoy For For

1g Elect Director Armando J. Olivera For For

1h Elect Director Michael W. Ranger For For

1i Elect Director Linda S. Sanford For For

1j Elect Director L. Frederick Sutherland For For

2 Ratify PricewaterhouseCoopers LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

Company : Diamond Offshore Drilling, Inc. Meeting Date : 5/19/2015

Ticker : DO Meeting Type : Annual

CUSIP No. : 25271C102 ISIN : US25271C1027

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director James S. Tisch For Against

1b Elect Director Marc Edwards For Against

Page 21 of 31

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First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

1c Elect Director John R. Bolton For For

1d Elect Director Charles L. Fabrikant For For

1e Elect Director Paul G. Gaffney, II For For

1f Elect Director Edward Grebow For For

1g Elect Director Herbert C. Hofmann For Against

1h Elect Director Kenneth I. Siegel For Against

1i Elect Director Clifford M. Sobel For For

1j Elect Director Andrew H. Tisch For Against

1k Elect Director Raymond S. Troubh For For

2 Ratify Deloitte & Touche LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For Against

Company : CenturyLink, Inc. Meeting Date : 5/20/2015

Ticker : CTL Meeting Type : Annual

CUSIP No. : 156700106 ISIN : US1567001060

Item Proposal Description Mgmt Rec. Vote Cast

1.1 Elect Director Virginia Boulet For For

1.2 Elect Director Peter C. Brown For For

1.3 Elect Director Richard A. Gephardt For For

1.4 Elect Director W. Bruce Hanks For For

1.5 Elect Director Gregory J. McCray For For

1.6 Elect Director C.G. Melville, Jr. For For

1.7 Elect Director William A. Owens For For

1.8 Elect Director Harvey P. Perry For For

1.9 Elect Director Glen F. Post, III For For

1.10 Elect Director Michael J. Roberts For For

1.11 Elect Director Laurie A. Siegel For For

1.12 Elect Director Joseph R. Zimmel For For

2 Ratify KPMG LLP as Auditors For For

3 Approve Executive Incentive Bonus Plan For For

4 Advisory Vote to Ratify Named Executive Officers' Compensation For For

5 Stock Retention/Holding Period Against For

Company : Northrop Grumman Corporation Meeting Date : 5/20/2015

Ticker : NOC Meeting Type : Annual

CUSIP No. : 666807102 ISIN : US6668071029

Item Proposal Description Mgmt Rec. Vote Cast

1.1 Elect Director Wesley G. Bush For For

1.2 Elect Director Marianne C. Brown For For

1.3 Elect Director Victor H. Fazio For For

1.4 Elect Director Donald E. Felsinger For For

1.5 Elect Director Bruce S. Gordon For For

Page 22 of 31

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Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

1.6 Elect Director William H. Hernandez For For

1.7 Elect Director Madeleine A. Kleiner For For

1.8 Elect Director Karl J. Krapek For For

1.9 Elect Director Richard B. Myers For For

1.10 Elect Director Gary Roughead For For

1.11 Elect Director Thomas M. Schoewe For For

1.12 Elect Director James S. Turley For For

2 Advisory Vote to Ratify Named Executive Officers' Compensation For For

3 Amend Omnibus Stock Plan For For

4 Ratify Deloitte & Touche LLP as Auditors For For

5 Require Independent Board Chairman Against Against

Company : The Travelers Companies, Inc. Meeting Date : 5/20/2015

Ticker : TRV Meeting Type : Annual

CUSIP No. : 89417E109 ISIN : US89417E1091

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Alan L. Beller For For

1b Elect Director John H. Dasburg For For

1c Elect Director Janet M. Dolan For For

1d Elect Director Kenneth M. Duberstein For For

1e Elect Director Jay S. Fishman For For

1f Elect Director Patricia L. Higgins For For

1g Elect Director Thomas R. Hodgson For For

1h Elect Director William J. Kane For For

1i Elect Director Cleve L. Killingsworth Jr. For For

1j Elect Director Philip T. (Pete) Ruegger, III For For

1k Elect Director Donald J. Shepard For For

1l Elect Director Laurie J. Thomsen For For

2 Ratify KPMG LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Report on Political Contributions Against For

Company : Xerox Corporation Meeting Date : 5/20/2015

Ticker : XRX Meeting Type : Annual

CUSIP No. : 984121103 ISIN : US9841211033

Item Proposal Description Mgmt Rec. Vote Cast

1.1 Elect Director Ursula M. Burns For For

1.2 Elect Director Richard J. Harrington For For

1.3 Elect Director William Curt Hunter For For

1.4 Elect Director Robert J. Keegan For For

1.5 Elect Director Charles Prince For For

Page 23 of 31

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Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

1.6 Elect Director Ann N. Reese For For

1.7 Elect Director Stephen H. Rusckowski For For

1.8 Elect Director Sara Martinez Tucker For For

1.9 Elect Director Mary Agnes Wilderotter For For

2 Ratify PricewaterhouseCoopers LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

Company : Cablevision Systems Corporation Meeting Date : 5/21/2015

Ticker : CVC Meeting Type : Annual

CUSIP No. : 12686C109 ISIN : US12686C1099

Item Proposal Description Mgmt Rec. Vote Cast

1.1 Elect Director Joseph J. Lhota For Withhold

1.2 Elect Director Thomas V. Reifenheiser For Withhold

1.3 Elect Director John R. Ryan For For

1.4 Elect Director Steven J. Simmons For For

1.5 Elect Director Vincent Tese For Withhold

1.6 Elect Director Leonard Tow For For

2 Ratify KPMG LLP as Auditors For For

3 Approve Omnibus Stock Plan For Against

Company : Dr Pepper Snapple Group, Inc. Meeting Date : 5/21/2015

Ticker : DPS Meeting Type : Annual

CUSIP No. : 26138E109 ISIN : US26138E1091

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director David E. Alexander For For

1b Elect Director Antonio Carrillo For For

1c Elect Director Pamela H. Patsley For For

1d Elect Director Joyce M. Roche For For

1e Elect Director Ronald G. Rogers For For

1f Elect Director Wayne R. Sanders For For

1g Elect Director Dunia A. Shive For For

1h Elect Director M. Anne Szostak For For

1i Elect Director Larry D. Young For For

2 Ratify Deloitte & Touche LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Adopt Comprehensive Recycling Strategy for Beverage Containers Against For

5 Report on Human Rights Risks is Sugar Supply Chain Against Against

Page 24 of 31

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First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

Company : Intel Corporation Meeting Date : 5/21/2015

Ticker : INTC Meeting Type : Annual

CUSIP No. : 458140100 ISIN : US4581401001

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Charlene Barshefsky For For

1b Elect Director Aneel Bhusri For For

1c Elect Director Andy D. Bryant For For

1d Elect Director Susan L. Decker For For

1e Elect Director John J. Donahoe For Against

1f Elect Director Reed E. Hundt For For

1g Elect Director Brian M. Krzanich For For

1h Elect Director James D. Plummer For For

1i Elect Director David S. Pottruck For For

1j Elect Director Frank D. Yeary For For

1k Elect Director David B. Yoffie For For

2 Ratify Ernst & Young LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Amend Omnibus Stock Plan For For

5 Amend Qualified Employee Stock Purchase Plan For For

6 Adopt Holy Land Principles Against Against

7 Require Independent Board Chairman Against For

8 Provide Vote Counting to Exclude Abstentions Against Against

Company : The Home Depot, Inc. Meeting Date : 5/21/2015

Ticker : HD Meeting Type : Annual

CUSIP No. : 437076102 ISIN : US4370761029

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Ari Bousbib For For

1b Elect Director Gregory D. Brenneman For For

1c Elect Director J. Frank Brown For For

1d Elect Director Albert P. Carey For For

1e Elect Director Armando Codina For For

1f Elect Director Helena B. Foulkes For For

1g Elect Director Wayne M. Hewett For For

1h Elect Director Karen L. Katen For For

1i Elect Director Craig A. Menear For For

1j Elect Director Mark Vadon For For

2 Ratify KPMG LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Require Independent Board Chairman Against Against

5 Amend Bylaws -- Call Special Meetings Against For

Page 25 of 31

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Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

Company : Unum Group Meeting Date : 5/21/2015

Ticker : UNM Meeting Type : Annual

CUSIP No. : 91529Y106 ISIN : US91529Y1064

Item Proposal Description Mgmt Rec. Vote Cast

1.1 Elect Director Cynthia L. Egan For For

1.2 Elect Director Pamela H. Godwin For For

1.3 Elect Director Timothy F. Keaney For For

1.4 Elect Director Thomas Kinser For For

1.5 Elect Director Gloria C. Larson For For

1.6 Elect Director A.S. (Pat) MacMillan, Jr. For For

1.7 Elect Director Richard P. McKenney For For

1.8 Elect Director Edward J. Muhl For For

1.9 Elect Director William J. Ryan For For

1.10 Elect Director Thomas R. Watjen For For

2 Advisory Vote to Ratify Named Executive Officers' Compensation For Against

3 Ratify Ernst & Young LLP as Auditors For For

Company : Chevron Corporation Meeting Date : 5/27/2015

Ticker : CVX Meeting Type : Annual

CUSIP No. : 166764100 ISIN : US1667641005

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Alexander B. Cummings, Jr. For For

1b Elect Director Linnet F. Deily For For

1c Elect Director Robert E. Denham For For

1d Elect Director Alice P. Gast For For

1e Elect Director Enrique Hernandez, Jr. For For

1f Elect Director Jon M. Huntsman, Jr. For For

1g Elect Director Charles W. Moorman, IV For For

1h Elect Director John G. Stumpf For For

1i Elect Director Ronald D. Sugar For For

1j Elect Director Inge G. Thulin For For

1k Elect Director Carl Ware For For

1l Elect Director John S. Watson For For

2 Ratify PricewaterhouseCoopers LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Report on Charitable Contributions Against Against

5 Report on Lobbying Payments and Policy Against For

6 Prohibit Political Spending Against Against

7

Increase Return of Capital to Shareholders in Light of Climate

Change Risks Against Against

8 Adopt Quantitative GHG Goals for Products and Operations Against Against

Page 26 of 31

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First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

9

Report on the Result of Efforts to Minimize Hydraulic Fracturing

Impacts Against For

10 Proxy Access Against For

11 Require Independent Board Chairman Against Against

12 Require Director Nominee with Environmental Experience Against For

13 Amend Bylaws -- Call Special Meetings Against For

Company : Exxon Mobil Corporation Meeting Date : 5/27/2015

Ticker : XOM Meeting Type : Annual

CUSIP No. : 30231G102 ISIN : US30231G1022

Item Proposal Description Mgmt Rec. Vote Cast

1.1 Elect Director Michael J. Boskin For For

1.2 Elect Director Peter Brabeck-Letmathe For For

1.3 Elect Director Ursula M. Burns For For

1.4 Elect Director Larry R. Faulkner For For

1.5 Elect Director Jay S. Fishman For For

1.6 Elect Director Henrietta H. Fore For For

1.7 Elect Director Kenneth C. Frazier For For

1.8 Elect Director Douglas R. Oberhelman For For

1.9 Elect Director Samuel J. Palmisano For For

1.10 Elect Director Steven S. Reinemund For For

1.11 Elect Director Rex W. Tillerson For For

1.12 Elect Director William C. Weldon For For

2 Ratify PricewaterhouseCoopers LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Require Independent Board Chairman Against For

5 Adopt Proxy Access Right Against For

6 Require Director Nominee with Environmental Experience Against For

7 Increase the Number of Females on the Board Against Against

8

Disclose Percentage of Females at Each Percentile of

Compensation Against Against

9 Report on Lobbying Payments and Policy Against For

10 Adopt Quantitative GHG Goals for Products and Operations Against Against

11 Report on the Result of Efforts to Minimize Hydraulic Fracturing Against For

Page 27 of 31

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Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

Company : Staples, Inc. Meeting Date : 6/1/2015

Ticker : SPLS Meeting Type : Annual

CUSIP No. : 855030102 ISIN : US8550301027

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Basil L. Anderson For For

1b Elect Director Drew G. Faust For For

1c Elect Director Paul-Henri Ferrand For For

1d Elect Director Kunal S. Kamlani For For

1e Elect Director Carol Meyrowitz For For

1f Elect Director Rowland T. Moriarty For For

1g Elect Director Ronald L. Sargent For For

1h Elect Director Robert E. Sulentic For For

1i Elect Director Raul Vazquez For For

1j Elect Director Vijay Vishwanath For For

1k Elect Director Paul F. Walsh For For

2 Amend Qualified Employee Stock Purchase Plan For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For Against

4 Ratify Ernst & Young LLP as Auditors For For

5 Eliminate or Restrict Severance Agreements (Change-in-Control) Against For

6 Require Independent Board Chairman Against Against

Company : Wal-Mart Stores, Inc. Meeting Date : 6/5/2015

Ticker : WMT Meeting Type : Annual

CUSIP No. : 931142103 ISIN : US9311421039

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Aida M. Alvarez For For

1b Elect Director James I. Cash, Jr. For For

1c Elect Director Roger C. Corbett For For

1d Elect Director Pamela J. Craig For For

1e Elect Director Michael T. Duke For For

1f Elect Director Timothy P. Flynn For For

1g Elect Director Thomas W. Horton For For

1h Elect Director Marissa A. Mayer For For

1i Elect Director C. Douglas McMillon For For

1j Elect Director Gregory B. Penner For For

1k Elect Director Steven S. Reinemund For For

1l Elect Director Kevin Y. Systrom For For

1m Elect Director Jim C. Walton For For

1n Elect Director S. Robson Walton For For

1o Elect Director Linda S. Wolf For For

2 Ratify Ernst & Young LLP as Auditors For For

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Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Amend Omnibus Stock Plan For For

5 Disclosure of Recoupment Activity from Senior Officers Against For

6 Provide Proxy Access Right Against For

7 Adopt Quantitative GHG Goals for Maritime Shipping Against Against

8 Report on Incentive Compensation Plans Against For

9 Require Independent Board Chairman Against For

Company : General Motors Company Meeting Date : 6/9/2015

Ticker : GM Meeting Type : Annual

CUSIP No. : 37045V100 ISIN : US37045V1008

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Joseph J. Ashton For For

1b Elect Director Mary T. Barra For For

1c Elect Director Stephen J. Girsky For For

1d Elect Director Linda R. Gooden For For

1e Elect Director Joseph Jimenez, Jr. For For

1f Elect Director Kathryn V. Marinello For For

1g Elect Director Michael G. Mullen For For

1h Elect Director James J. Mulva For For

1i Elect Director Patricia F. Russo For For

1j Elect Director Thomas M. Schoewe For For

1k Elect Director Theodore M. Solso For For

1l Elect Director Carol M. Stephenson For For

2 Ratify Deloitte & Touche LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Require Independent Board Chairman Against For

5 Provide for Cumulative Voting Against For

Company : Freeport-McMoRan Inc. Meeting Date : 6/10/2015

Ticker : FCX Meeting Type : Annual

CUSIP No. : 35671D857 ISIN : US35671D8570

Item Proposal Description Mgmt Rec. Vote Cast

1.1 Elect Director Richard C. Adkerson For For

1.2 Elect Director Robert J. Allison, Jr. For For

1.3 Elect Director Alan R. Buckwalter, III For For

1.4 Elect Director Robert A. Day For For

1.5 Elect Director James C. Flores For For

1.6 Elect Director Gerald J. Ford For For

1.7 Elect Director Thomas A. Fry, III For For

1.8 Elect Director H. Devon Graham, Jr. For For

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Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

1.9 Elect Director Lydia H. Kennard For For

1.10 Elect Director Charles C. Krulak For For

1.11 Elect Director Bobby Lee Lackey For For

1.12 Elect Director Jon C. Madonna For For

1.13 Elect Director Dustan E. McCoy For For

1.14 Elect Director James R. Moffett For For

1.15 Elect Director Stephen H. Siegele For For

1.16 Elect Director Frances Fragos Townsend For For

2 Advisory Vote to Ratify Named Executive Officers' Compensation For For

3 Ratify Ernst & Young LLP as Auditors For For

4 Amend Omnibus Stock Plan For For

5 Adopt Proxy Access Right Against For

Company : Target Corporation Meeting Date : 6/10/2015

Ticker : TGT Meeting Type : Annual

CUSIP No. : 87612E106 ISIN : US87612E1064

Item Proposal Description Mgmt Rec. Vote Cast

1a Elect Director Roxanne S. Austin For For

1b Elect Director Douglas M. Baker, Jr. For For

1c Elect Director Brian C. Cornell For For

1d Elect Director Calvin Darden For For

1e Elect Director Henrique De Castro For For

1f Elect Director Mary E. Minnick For For

1g Elect Director Anne M. Mulcahy For For

1h Elect Director Derica W. Rice For For

1i Elect Director Kenneth L. Salazar For For

1j Elect Director John G. Stumpf For For

2 Ratify Ernst & Young LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Amend Omnibus Stock Plan For For

5 Require Independent Board Chairman Against For

6 Cease Discrimination in Hiring, Vendor Contracts, or Customer Against Against

Company : GameStop Corp. Meeting Date : 6/23/2015

Ticker : GME Meeting Type : Annual

CUSIP No. : 36467W109 ISIN : US36467W1099

Item Proposal Description Mgmt Rec. Vote Cast

1.1 Elect Director Daniel A. DeMatteo For For

1.2 Elect Director Thomas N. Kelly, Jr. For For

1.3 Elect Director Shane S. Kim For For

1.4 Elect Director J. Paul Raines For For

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Proxy Voting Results

First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

1.5 Elect Director Gerald R. Szczepanski For For

1.6 Elect Director Kathy P. Vrabeck For For

1.7 Elect Director Lawrence S. Zilavy For For

2 Advisory Vote to Ratify Named Executive Officers' Compensation For For

3 Ratify Deloitte & Touche LLP as Auditors For For

Company : Equity Residential Meeting Date : 6/24/2015

Ticker : EQR Meeting Type : Annual

CUSIP No. : 29476L107 ISIN : US29476L1070

Item Proposal Description Mgmt Rec. Vote Cast

1.1 Elect Director John W. Alexander For For

1.2 Elect Director Charles L. Atwood For For

1.3 Elect Director Linda Walker Bynoe For For

1.4 Elect Director Mary Kay Haben For For

1.5 Elect Director Bradley A. Keywell For For

1.6 Elect Director John E. Neal For For

1.7 Elect Director David J. Neithercut For For

1.8 Elect Director Mark S. Shapiro For For

1.9 Elect Director Gerald A. Spector For For

1.10 Elect Director Stephen E. Sterrett For For

1.11 Elect Director B. Joseph White For For

1.12 Elect Director Samuel Zell For For

2 Ratify Ernst & Young LLP as Auditors For For

3 Advisory Vote to Ratify Named Executive Officers' Compensation For For

4 Proxy Access Against For

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