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ClariVest Asset Management LLC

PRI reporting framework 2018

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

(Proxy) voting and shareholder resolutions


LEA 15. Voting policy & approach

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

15.1. Indicate whether your organisation has a formal voting policy.

15.2. Indicate what your voting policy covers:

other description

          ClariVest retains ISS to provide proxy voting services.

15.3. Attach or provide a URL to your voting policy. [Optional]


Attach document

15.4. Provide a brief overview of your organization’s approach to (proxy) voting.


LEA 16. Typical approach to (proxy) voting decisions

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


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).

As a default, proxies are generally voted by ISS in accordance with ISS recommendations. However, ClariVest retains ultimate decision making authority with respect to the voting of Client proxies and reserves the right to override ISS recommendations. 

ClariVest’s investment personnel shall be responsible for making voting decisions with respect to all Client proxies, where a proxy is not voted in accordance with ISS recommendations.  Such decisions shall then be provided to the Operations Manager who will then ensure that such proxy votes are submitted in a timely manner.

16.3. Additional information.[Optional]

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

LEA 18. Confirmation of votes (Not Completed)

LEA 19. Securities lending programme (Not Completed)

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

          a.	ISS will engage with an issuer if questions arise regarding the information contained in a proxy filing, or other filing related to the agenda / meeting.
b.	ISS will engage with an issuer if additional information is needed ahead of a meeting; only publicly available information will be used in the completion of ISS analyses.
c.	ISS will engage with both Management and Dissidents for all proxy contests.
d.	ISS will engage with an issuer if questions arise regarding the information contained in an analysis, etc.

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.

          a.	All issuers are entitled to a complimentary copy of the ISS benchmark analysis for their upcoming meeting(s) upon request.
b.	For certain indices/markets, ISS will provide a draft copy of the analysis prior to publication to allow for review of the facts presented within the document.

20.3. Additional information. [Optional]

Outputs and outcomes

LEA 21. Percentage of (proxy) votes cast

21.1. For listed equities where you and/or your service provider have the mandate to issue (proxy) voting instructions, indicate the percentage of votes cast during the reporting year.

Votes cast (to the nearest 1%)

99 %

Specify the basis on which this percentage is calculated

21.2. Explain your reason(s) for not voting certain holdings

21.3. Additional information. [Optional]

LEA 22. Proportion of ballot items that were for/against/abstentions

22.1. Indicate if you track the voting instructions that you and/or your service provider on your behalf have issued.

22.2. Of the voting instructions that you and/or third parties on your behalf issued, indicate the proportion of ballot items that were:

Voting instructions
Breakdown as percentage of votes cast
For (supporting) management recommendations
91 %
Against (opposing) management recommendations
9 %
0 %

22.3. Describe the actions you take in relation to voting against management recommendations.

          ClariVest typically follows the vote recommendations provided by ISS.

22.4. Additional information. [Optional]

LEA 23. Shareholder resolutions (Not Completed)

LEA 24. Examples of (proxy) voting activities (Not Completed)