SPECTRUM PHARMACEUTICALS INC. 2023-2024 Proxy Voting Records

Description as filed by funds: ADOPTION OF THE MERGER AGREEMENT. i.e., to adopt the Agreement and Plan of Merger (as it may be amended from time to time, the "Merger Agreement"), a copy of which is attached as Annex A to the accompanying joint proxy statement/prospectus (the "Spectrum merger proposal").

The 17 asset managers below reported 12,060,825 for. The figure above is FOR ÷ (FOR + AGAINST + WITHHELD) of the shares these managers voted; abstained and unvoted shares are in neither half, and these managers are a subset of all shareholders, not the meeting result.

Description as filed by funds: ADJOURNMENT OF SPECTRUM SPECIAL MEETING. i.e., a proposal to approve the adjournment of the Spectrum special meeting to solicit additional proxies if there are not sufficient votes cast at the Spectrum special meeting to approve the Spectrum merger proposal or to ensure that any supplemental or amended disclosure, including any supplement or amendment to the enclosed joint proxy statement/prospectus, is timely provided to Spectrum stockholders.

SPECTRUM PHARMACEUTICALS INC.’s own tally for this item (“Proposal 3: The Company's stockholders voted to approve one or more adjournments of the Special Meeting to solicit additional proxies if there are not sufficient votes cast at the Special Meeting to approve the Merger Pr”): 129,861,277 for, 8,602,794 against — passed, per its Form 8-K filed July 27, 2023 (Item 5.07).

Reported outcome: Approved, in the filing’s own words: “The Company's stockholders voted to approve one or more adjournments of the Special Meeting to solicit additional proxies if there are not sufficient votes cast at the Special Meeting to approve the Merger Proposal or to ensure that any supplemental or amended disclosure, including any supplement o…”
Support: 94% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.

The 17 asset managers below reported 10,461,898 for, 1,598,927 against.

Description as filed by funds: ADVISORY NON BINDING VOTE ON MERGER RELATED COMPENSATION FOR NAMED EXECUTIVE OFFICERS. i.e., a proposal to approve, on an advisory (non-binding) basis, the compensation that will or may be paid to Spectrum's named executive officers in connection with the merger.

SPECTRUM PHARMACEUTICALS INC.’s own tally for this item (“Proposal 2: The Company's stockholders voted to approve, on a non-binding, advisory basis, the compensation that may be paid to the Company's named executive officers that is based on or otherwise relates to the Merger b”): 96,098,334 for, 40,320,484 against — passed, per its Form 8-K filed July 27, 2023 (Item 5.07).

Reported outcome: Approved, in the filing’s own words: “The Company's stockholders voted to approve, on a non-binding, advisory basis, the compensation that may be paid to the Company's named executive officers that is based on or otherwise relates to the Merger by the votes indicated:”
Support: 70% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.

Fund voting reports and institutional-manager reports both cover this item. An institutional manager can report shares that a fund it advises also reports, so the two are shown separately below and never added together, and their sum is not shown (fund and manager reports combined may count the same shares twice).

Fund voting reports, all 17 managers: 114,670 for, 11,946,155 against.

Institutional-manager reports, all 50 managers: 19,180,067 for, 13,774,331 against. Showing the 25 largest; every one is in the interactive database (link above).