Shareholder Engagement & Communication 2016

How to Effectively Master the Rapidly Changing Engagement Landscape
October 19, 2016
CLEARY GOTTLIEB STEEN & HAMILTON
1 LIBERTY Plaza
New York, NY

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ABOUT THE PROGRAM
PROGRAM AGENDA

Time Description
8:30-8:45 Arrival & Continental Breakfast
8:45 Welcome Remarks
Christopher P. Skroupa, Founder & Chief Executive Officer, Skytop Strategies
8:50-8:55 Opening Remarks
Arthur H. Kohn, Partner, Cleary Gottlieb Steen & Hamilton LLP
8:55-9:25 Opening Keynote
The Next Wave in Engagement: Lessons Learned & Hot Topics for the Upcoming Proxy Season
Presenter:
Ken Bertsch, Executive Director, Council of Institutional Investors
9:25-10:05 Confessions of “Engagers” Part I: What We Wish Companies Knew
Moderator:
Damien Park, Managing Partner, Hedge Fund Solutions
Panelists:
Cambria Allen, Corporate Governance Director, UAW Retiree Medical Benefits Trust
Michael Garland, Assistant Comptroller, Corporate Governance and Responsible Investment, City of New York
Mari Schwartzer, Coordinator of Shareholder Activism, NorthStar Asset Management, Inc.
10:05-10:45 Confessions of “Engagers” Part II: What We Wish Investors Knew
Moderator:
Seth Duppstadt, Senior Vice President, Proxy Insight
Panelists:
Tom Johnson, Chief Executive Officer, Abernathy MacGregor
Chris Kutsor, Director, Investor Relations, Motorola Solutions
Jeffrey Neuman, Vice President, Deputy General Counsel and Corporate Secretary, Honeywell
Suzanne Rolon, Director, Corporate Governance, Pfizer Inc.
10:45-11:05 Networking Break
11:05-11:45 Involving Boards in Engagements: When It Works and When It Does Not
Moderator:
Linda Giuliano, Senior Vice President, Chief Administrative Officer, Equities
Head of Responsible Investment, AB Global
Panelists:
Barbara Eisenberg, Former Director, Maidenform Brands Inc., Retired Executive Vice President, General Counsel and Corporate Secretary, ANN Inc.
Jeffrey Karpf, Partner, Cleary Gottlieb Steen & Hamilton LLP
Paula Loop, Leader, Governance Insights Center, PwC
Julie Tanner, Director of Socially Responsible Investing, Christian Brothers Investment Services, Inc.
11:45-12:25 PM Managing Shareholder Proposals Part I: How to Initiate the Engagement Process
Moderator:
Bob Marese, Managing Director, MacKenzie Partners Inc.
Panelists:
Brian Sandstrom, Executive Counsel, Corporate Securities & Finance, GE
Arthur H. Kohn, Partner, Cleary Gottlieb Steen & Hamilton LLP
Jamey Seely, Executive Vice President, General Counsel & Corporate Secretary, ION Geophysical
Rosanna Landis Weaver, Program Manager, As You Sow
12:25-1:25 Networking Luncheon
1:25-2:05 Managing Shareholder Proposals Part II: Strategies to Manage Shareholder Proposals in Public Situations
Moderator:
Art Crozier, Chairman, Innisfree M&A Incorporated
Panelists:
David Benoit, Activism Reporter, The Wall Street Journal
Stephen Brown, Senior Advisor, KPMG
Ruth Pachman, Managing Director, Kekst
2:05-2:35 The Bigger Picture: Quarterly Earnings Reports in Context to Annual Strategy
Interviewer:
Ted Allen, Director of Regulatory Affairs and Practice Resources, National Investor Relations Institute
Interviewees:
Sandra Flow, Partner, Cleary Gottlieb Steen & Hamilton LLP
Mariela Vargova, Senior Vice President, Sustainability & Impact Investments, Rockefeller & Co.
2:35-3:35 Breakout Discussion Sessions Begin
Breakout Session #1
Drafting Reports: Lawyer Meet Communications Person–How to Create a Shared Language
Facilitator:
Pamela L. Marcogliese, Partner, Cleary Gottlieb Steen & Hamilton LLP
Breakout Session #2
Creating an Honest Dialogue Between Issuers & Shareholders: Pay Inequality, Gender Diversity & Other Corner Office Concerns
Facilitator:
Richard Fields, Principal, Tapestry Networks
Breakout Session #3
Proxy Access: The “New Normal” as Engagement Expectations & Outcomes Shift
Facilitators:
Paul Schulman, Managing Director, MacKenzie Partners Inc.
Mary Alcock, Counsel, Cleary Gottlieb Steen & Hamilton LLP
3:35-3:55 Networking Break
3:55-4:15 How the One Reaches Many: Ways to Make Investor Communications More Efficient
Interviewer:
Jamey Seely, Executive Vice President, General Counsel & Corporate Secretary, ION Geophysical
Interviewees:
Tom Johnson, Chief Executive Officer, Abernathy MacGregor
Carol Schwartz, Corporate Secretary, American Express
4:15-4:30 Topic Introduction
The Expanding Influence of “E&S” in ESG: An Emerging Topic on the Engagement Agenda
Presenter:
Conrad B. MacKerron, Senior Vice President, As You Sow
4:30-5:25 ESG-Related Engagements: Finding a Common Language between Institutional Shareholders & Company Management
Moderator:
Tim Smith, Director of Environmental Social and Governance Shareholder Engagement, Walden Asset Management
Panelists:
Christina Alfandary, Managing Director, ESG & Sustainable Investments, GAMCO Asset Management
Shelley Alpern, Director of Social Research and Shareholder Advocacy, Clean Yield Asset Management
Mari Schwartzer, Coordinator of Shareholder Activism, NorthStar Asset Management, Inc.
Josh Zinner, Chief Executive Officer, Interfaith Center On Corporate Responsibility, Inc.
5:25-5:30 Closing Remarks
5:30 Networking Reception

SESSION LEADERS
  1. Mary Alcock
    Counsel
    Cleary Gottlieb Steen & Hamilton LLP
    New York, NY
  2. Christina Alfandary
    Managing Director, ESG & Sustainable Investments
    GAMCO Asset Management
    New York, NY
  3. Cambria Allen
    Corporate Governance Director
    UAW Retiree Medical Benefits Trust
    Detroit, MI
  4. Ted Allen
    Director of Regulatory Affairs and Practice Resources
    National Investor Relations Institute
    Washington, D.C.
  5. Shelley Alpern
    Director of Social Research and Shareholder Advocacy
    Clean Yield Asset Management
    Boston, MA
  6. David Benoit
    Activism Reporter
    The Wall Street Journal
    New York, NY
  7. Ken Bertsch
    Executive Director
    Council of Institutional Investors
    Washington, DC
  8. Stephen Brown
    Senior Advisor
    KPMG
    New York, NY
  9. Art Crozier
    Chairman
    Innisfree M&A Incorporated
    New York, NY
  10. Seth Duppstadt
    Senior Vice President
    Proxy Insight
    New York, NY
  11. Barbara Eisenberg
    Former Director
    Maidenform Brands Inc
    Former Executive Vice President, General Counsel and Corporate Secretary
    ANN Inc.
    New York, NY
  12. Richard Fields
    Principal
    Tapestry Networks
    Boston, MA
  13. Sandra Flow
    Partner
    Cleary Gottlieb Steen & Hamilton LLP
    New York, NY
  14. Michael Garland
    Assistant Comptroller, Corporate Governance and Responsible Investment
    City of New York
    New York, NY
  15. Linda Giuliano
    Senior Vice President, Chief Administrative Officer, Equities
    Head of Responsible Investment
    AB Global
    New York, NY
  16. Tom Johnson
    Chief Executive Officer
    Abernathy MacGregor
    New York, NY
  17. Jeffrey Karpf
    Partner
    Cleary Gottlieb Steen & Hamilton LLP
    New York, NY
  18. Arthur H. Kohn
    Partner
    Cleary Gottlieb Steen & Hamilton LLP
    New York, NY
  1. Chris Kutsor
    Director, Investor Relations
    Motorola Solutions
    Schaumburg, IL
  2. Paula Loop
    Leader, Governance Insights Center
    PwC
    New York, NY
  3. Conrad B. MacKerron
    Senior Vice President
    As You Sow
    Oakland, CA
  4. Pamela L. Marcogliese
    Partner
    Cleary Gottlieb Steen & Hamilton LLP
    New York, NY
  5. Bob Marese
    Managing Director
    MacKenzie Partners, Inc.
    New York, NY
  6. Jeffrey Neuman
    Vice President, Deputy General Counsel and Corporate Secretary
    Honeywell
    Morris Plains, NJ
  7. Ruth Pachman
    Managing Director
    Kekst
    New York, NY
  8. Damien Park
    Managing Partner
    Hedge Fund Solutions
    Philadelphia, PA
  9. Suzanne Rolon
    Director, Corporate Governance
    Pfizer Inc.
    New York, NY
  10. Brian Sandstrom
    Executive Counsel, Corporate Securities & Finance
    GE
    New York, NY
  11. Carol Schwartz
    Corporate Secretary
    American Express
    New York, NY
  12. Mari Schwartzer
    Coordinator of Shareholder Activism
    NorthStar Asset Management, Inc.
    Boston, MA
  13. Paul Schulman
    Managing Director
    MacKenzie Partners, Inc.
    New York, NY
  14. Jamey Seely
    Executive Vice President, General Counsel & Corporate Secretary
    ION Geophysical
    Houston, TX
  15. Tim Smith
    Director of Environmental Social and Governance Shareholder Engagement
    Walden Asset Management
    Boston, MA
  16. Julie Tanner
    Director of Socially Responsible Investing
    Christian Brothers Investment Services, Inc.
    New York, NY
  17. Rosanna Landis Weaver
    Program Manager
    As You Sow
    Washington, DC
  18. Mariela Vargova
    Senior Vice President, Sustainability & Impact Investments
    Rockefeller & Co.
    New York, NY
  19. Josh Zinner
    Chief Executive Officer
    Interfaith Center On Corporate Responsibility, Inc.
    New York, NY

DELEGATES
  1. Melissa Aguilar
    Associate Director
    KPMG
    Montvale, NJ
  2. Mary Alcock
    Counsel
    Cleary Gottlieb Steen & Hamilton LLP
    New York, NY
  3. Christina Alfandary
    Managing Director, ESG & Sustainable Investments
    GAMCO Asset Management
    New York, NY
  4. Cambria Allen
    Corporate Governance Director
    UAW Retiree Medical Benefits Trust
    Detroit, MI
  5. Ted Allen
    Director of Regulatory Affairs and Practice Resources
    National Investor Relations Institute
    Washington, D.C.
  6. Shelley Alpern
    Director of Social Research and Shareholder Advocacy
    Clean Yield Asset Management
    Boston, MA
  7. Damien Atkins
    General Counsel
    Panasonic USA
    New York, NY
  8. Tom Ball
    Senior Managing Director
    Morrow Sodali
    Stamford, CT
  9. Craig Beazer
    Deputy General Counsel, Corporate Secretary
    BNY Mellon
    New York, NY
  10. David Benoit
    Activism Reporter
    The Wall Street Journal
    New York, NY
  11. Aaron Bertinetti
    Vice President, Research and Engagement
    Glass Lewis & Co.
    San Francisco, CA
  12. Ken Bertsch
    Executive Director
    Council of Institutional Investors
    Washington, DC
  13. Hank Boerner
    Chairman
    Governance & Accountability Institute, Inc.
    New York, NY
  14. Craig Brod
    Partner
    Cleary Gottlieb Steen & Hamilton LLP
    New York, NY
  15. David Brown ‎
    Senior Director, KPMG Board Leadership Center
    KPMG
    New York, NY
  16. Stephen Brown
    Senior Advisor
    KPMG
    New York, NY
  17. Maureen Bujno
    Managing Director
    Deloitte LLP
    New York, NY
  18. Melissa Burek
    Founding Partner
    CAP LLC.
    New York, NY
  19. Francis H. Byrd
    Founder & Chief Executive Officer
    Byrd Governance Advisory
    New York, NY
  20. Christine Carey
    Marketing, Governance Insights Center
    PwC
    New York, NY
  21. David Carnevali
    Reporter
    Dealreporter
    New York, NY
  22. Akash Chattopadhyay
    Doctoral Candidate
    Harvard Business School
    Boston, MA
  23. Benjamin Colton
    Analyst, Ownership Strategies
    Norges Bank Investment Management
    New York, NY
  24. Jacqueline Condron
    Operations and Research Analyst, Proxy Voting & Governance Research Team
    BNY Mellon
    Boston, MA
  25. Kensey Cone
    Senior Vice President
    Abernathy MacGregor
    New York, NY
  26. Christopher Couvelier
    Vice President, Corporate Preparedness
    Lazard Frères & Co.
    New York, NY
  27. Art Crozier
    Chairman
    Innisfree M&A Incorporated
    New York, NY
  28. Thomas Davies
    Senior Vice President
    Kekst
    New York, NY
  29. Maron Deering
    Principal
    AVI Partners, LLC
    Radnor, PA
  30. Sophie Dejonckheere
    Manager, Energy and Environment
    Columbia University
    New York, NY
  31. John J. DePinto Jr.
    Senior Vice President
    Alliance Advisors
    New York, NY
  32. Jennifer DiBerardino
    Vice President, Investor Relations
    Cotiviti
    Wilton, CT
  33. Seth Duppstadt
    Senior Vice President
    Proxy Insight
    New York, NY
  34. Barbara Eisenberg
    Former Director
    Maidenform Brands Inc
    Retired Executive Vice President, General Counsel and Corporate Secretary
    ANN Inc.
    New York, NY
  35. Steve Ellis
    Regional Director
    AST
    New York, NY
  36. Emily Tabak Epstein
    Corporate Secretary
    Nielsen Holdings PLC
    New York, NY
  37. Jonathan Eyl
    Vice President
    MacKenzie Partners
    New York, NY
  38. Beata Gocyk-Farber
    Senior Advisor, Legal
    Norges Bank Investment Management
    New York, NY
  39. John Ferguson
    Co-founder
    Saratoga Proxy Consulting
    New York, NY
  40. Richard Fields
    Principal
    Tapestry Networks
    Boston, MA
  41. Sandra L. Flow
    Partner
    Cleary Gottlieb Steen & Hamilton LLP
    New York, NY
  42. Todd Fogarty
    Senior Vice President
    Kekst
    New York, NY
  43. Adam Fromowitz
    Regional Sales Executive
    American Stock Transfer & Trust Company, LLC
    New York, NY
  44. Michael Garland
    Assistant Comptroller, Corporate Governance and Responsible Investment
    City of New York
    New York, NY
  45. Mitchell Gendel
    General Counsel
    MDC Partners Inc.
    New York, NY
  46. Bahar Gidwani
    CEO
    CSRHub
    New York, NY
  47. Linda Giuliano
    Senior Vice President, Chief Administrative Officer, Equities
    Head of Responsible Investment
    AB Global
    New York, NY
  48. Jeff Gramm
    Portfolio Manager
    Bandera Partners
    New York, NY
  49. Helena Grannis
    Counsel
    Cleary Gottlieb Steen & Hamilton LLP
    New York, NY
  50. Edward Greene
    Vice President, Research & Research Development
    Kingsdale Shareholder Services US
    New York, NY
  51. Catherine Hall
    Director
    PwC
    New York, NY
  52. Evan Harvey
    Director, Corporate Responsibility
    Nasdaq
    Washington, D.C.
  53. Kathleen Heaney
    Investor Relations
    The Vitamin Shoppe
    Secaucus, NJ
  54. Christina Cobourn Herman
    Program Director, Climate and Environment
    Interfaith Center on Corporate Responsibility
    Washington, DC
  55. Duncan Herrington
    Vice President, Contested Situations
    Credit Suisse
    New York, NY
  56. Kellie Huennekens
    Associate Director
    EY
    Washington, DC
  57. David Hunker
    Executive Director, Mergers & Acquisitions
    JP Morgan
    New York, NY
  58. Adele Jamieson
    Senior Director, Corporate Governance
    & Assistant Secretary
    McDonald’s Corporation
    Oak Brook, IL
  59. Tom Johnson
    Chief Executive Officer
    Abernathy MacGregor
    New York, NY
  60. Eric Kamback
    Senior Associate
    Morrow Sodali
    Stamford, CT
  61. Karen Kaplowitz
    President
    The New Ellis Group
    New Hope, PA
  62. Jeffrey Karpf
    Partner
    Cleary Gottlieb Steen & Hamilton LLP
    New York, NY
  63. David M. Kastin
    Senior Vice President, General Counsel
    The Vitamin Shoppe
    Secaucus, NJ
  1. Marjorie Kaufman
    Partner
    Barington Capital Group, L.P.
    New York, NY
  2. Stephanie M. Kelly
    Assistant General Counsel
    C. R. Bard, Inc.
    Murray Hill, NJ
  3. Hannah Kim
    Assistant General Counsel
    Bank of America
    Charlotte, NC
  4. Mark Kinarney
    Vice President
    Credit Suisse
    Newark, NJ
  5. Arthur H. Kohn
    Partner
    Cleary Gottlieb Steen & Hamilton LLP
    New York, NY
  6. Chris Kutsor
    Director, Investor Relations
    Motorola Solutions
    Schaumburg, IL
  7. Bob Lamm
    Independent Senior Advisor
    Deloitte Center for Corporate Governance
    Boca Raton, FL
  8. Andrew Letts
    Partner
    CamberView Partners, LLC.
    San Francisco, CA
  9. Paula Loop
    Leader, Governance Insights Center
    PwC
    New York, NY
  10. Conrad B. MacKerron
    Senior Vice President
    As You Sow
    Oakland, CA
  11. Leah L. Malone
    Director
    PwC
    New York, NY
  12. Lorraine Mandel
    SVP, Retired
    XL Group, Ltd.
    New York, New York
  13. Pamela L. Marcogliese
    Partner
    Cleary Gottlieb Steen & Hamilton LLP
    New York, NY
  14. Bob Marese
    Managing Director
    MacKenzie Partners, Inc.
    New York, NY
  15. Joe Mills
    Co-founder
    Saratoga Proxy Consulting
    New York, NY
  16. Ronald Mueller
    Partner
    Gibson, Dunn & Crutcher LLP
    Washington, D.C.
  17. Ed Mullane
    Reporter
    Dealreporter
    New York, NY
  18. Lydia Mulyk
    Senior Vice President
    Okapi Partners LLC
    New York, NY
  19. Jeffrey Neuman
    Vice President, Deputy General Counsel and Corporate Secretary
    Honeywell
    Morris Plains, NJ
  20. Steven C. Planchard
    Associate General Counsel
    The Interpublic Group of Companies, Inc.
    New York, NY
  21. John O’Grady
    Senior Vice President
    Laurel Hill Advisory
    Jericho, NY
  22. Ronald Orol
    Senior Editor
    The Deal
    Washington, D.C.
  23. Hannah Orowitz
    Assistant General Counsel
    XL Catlin
    New York, NY
  24. Ruth Pachman
    Managing Director
    Kekst
    New York, NY
  25. Damien Park
    Managing Partner
    Hedge Fund Solutions
    Philadelphia, PA
  26. Anna Pomykala
    LLM in Taxation ’17
    NYU School of Law
    New York, NY
  27. Kristen Prohl
    Chief Regulatory Counsel
    Starwood Hotels and Resorts Worldwide
    Stamford, CT
  28. Peter Reali
    Senior Manager, Corporate Governance
    Lord Abbett
    Jersey City, NJ
  29. Adam Riches
    Vice President
    Activist Insight
    New York, NY
  30. Tangela S. Richter
    Deputy Corporate Secretary
    American Express
    New York, NY
  31. Suzanne Rolon
    Director, Corporate Governance
    Pfizer Inc.
    New York, NY
  32. Matthew P. Salerno
    Partner
    Cleary Gottlieb Steen & Hamilton LLP
    New York, NY
  33. Brian Sandstrom
    Executive Counsel, Corporate Securities & Finance
    GE
    New York, NY
  34. Gloria Santona
    Executive Vice President, General Counsel and Corporate Secretary
    McDonald’s Corporation
    Oak Brook, IL
  35. Carol Schwartz
    Corporate Secretary
    American Express
    New York, NY
  36. Mari Schwartzer
    Coordinator of Shareholder Activism
    NorthStar Asset Management, Inc.
    Boston, MA
  37. Paul Schulman
    Managing Director
    MacKenzie Partners, Inc.
    New York, NY
  38. Jamey Seely
    Executive Vice President, General Counsel & Corporate Secretary
    ION Geophysical
    Houston, TX
  39. Vidish Shah
    Associate
    Lazard Frères & Co.
    New York, NY
  40. Catherine Smith
    Chief Executive Officer
    True Blue Inclusion
    Washington, DC
  41. Tim Smith
    Director of Environmental Social and Governance Shareholder Engagement
    Walden Asset Management
    Boston, MA
  42. Leslie T. Soler
    Assistant Vice President & Senior Counsel
    The Hartford
    Hartford, CT
  43. Joseph Sorrentino
    Managing Director
    Steven Hall & Partners
    New York, NY
  44. Philip Talamo
    Executive Director, North America Investor Relations
    UBS
    New York, NY
  45. Julie Tanner
    Director of Socially Responsible Investing
    Christian Brothers Investment Services, Inc.
    New York, NY
  46. Chris Taylor
    Executive Vice President, Global Research, Thought Leadership & Partnerships
    Ipreo
    New York, NY
  47. Patrick Tucker
    Executive Vice President
    Abernathy MacGregor
    New York, NY
  48. Mariela Vargova
    Senior Vice President, Sustainability & Impact Investments
    Rockefeller & Co.
    New York, NY
  49. Eric Vermeiren
    Consultant
    Corporate Citizenship
    New York, NY
  50. Michael Verrechia
    Senior Managing Director
    Morrow Sodali
    Stamford, CT
  51. John Vogt
    Vice President, Business Development and Operations
    Q4 Inc.
    New York, NY
  52. Darren C. Wallis
    Managing Partner
    AVI Partners, LLC
    Radnor, PA
  53. Stephanie Walsh
    Senior Account Executive
    Joele Frank
    New York, NY
  54. Del Warmington
    Managing Partner
    Delwar Capital
    New York, NY
  55. Melissa Warren
    Associate General Counsel
    Legg Mason
    Baltimore, MD
  56. Susan A. Waxenberg
    Group Vice President & Chief Counsel, Securities
    Charter Communications, Inc.
    New York, NY
  57. Rosanna Landis Weaver
    Program Manager
    As You Sow
    Washington, DC
  58. Mary Louise Weber
    Associate General Counsel
    Verizon
    Basking Ridge, NJ
  59. David Whissel
    Vice President
    MacKenzie Partners
    New York, NY
  60. Kevin White
    Senior Vice President
    MacKenzie Partners
    New York, NY
  61. Katy Yang
    Associate
    Cleary Gottlieb Steen & Hamilton LLP
    New York, NY
  62. Josh Zinner
    Chief Executive Officer
    Interfaith Center On Corporate Responsibility, Inc.
    New York, NY
  63. Lori Zyskowski
    Partner
    Gibson, Dunn & Crutcher LLP
    New York, NY

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