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Dana Investment Advisors

PRI reporting framework 2018

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You are in Direct - Listed Equity Active Ownership » (Proxy) voting and shareholder resolutions » Process

Process

LEA 16. Typical approach to (proxy) voting decisions

16.1. Indicate how you typically make your (proxy) voting decisions.

Approach

Based on

16.2. Provide an overview of how you ensure your voting policy is adhered to, giving details of your approach when exceptions to the policy are made (if applicable).

We make our own proxy voting decisions, consistent with our proxy voting guidelines. We use proxy voting service ISS as a source of research on many of the raw data items that go into those decisions.

Dana staff maintains a calendar of AGMs and proxy-voting deadlines that are monitored to insure applicable proxies are voted by Dana staff. Voting follows our proxy guidelines. Where ambiguity or discretion applies, votes are determined after internal discussions among the Portfolio Management team, including ESG staff.

16.3. Additional information.[Optional]

We conduct our own internal research for stocks held in one or more ESG Strategies, and apply these proxy voting decisions across all Strategies. For these stocks, we vote according to our proxy guidelines and this applies to the majority of Dana’s equity AUM. For other holdings, we use a service provider to vote the shares according to profiles we select. Less than 1% are voted by clients themselves. 


LEA 17. Percentage of voting recommendations reviewed (Not Applicable)


LEA 18. Confirmation of votes

New selection options have been added to this indicator. Please review your prefilled responses carefully.

18.1. Describe your involvement in any projects to improve the voting trail and/or to obtain vote confirmation .

          Through our proxy-voting service (ISS), we record all proxy votes and monitor our voting record versus management and ISS recommendations.
        

18.2. Additional information. [OPTIONAL]

          
        

LEA 19. Securities lending programme

New selection options have been added to this indicator. Please review your prefilled responses carefully.

19.1. Indicate if your organisation has a securities lending programme.

19.2. Describe why your organisation does not lend securities?

Securities lending is a custodial function, and outside of Dana's discretionary authority. In addition, some of our clients have investment policy statements that restrict securities lending. 

19.4. Additional information.

          
        

LEA 20. Informing companies of the rationale of abstaining/voting against management

New selection options have been added to this indicator. Please review your prefilled responses carefully.

20.1. Indicate whether you or the service providers acting on your behalf raise any concerns with companies ahead of voting

20.2. Indicate whether you and/or the service provider(s) acting on your behalf, communicate the rationale to companies, when , you abstain or vote against management recommendations.

20.3. Additional information. [Optional]


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