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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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
Proxy Voting Results
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
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
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
Proxy Voting Results
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
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
Proxy Voting Results
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
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
Page 28 of 31
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
Page 29 of 31
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
Page 30 of 31
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
Page 31 of 31