| Financial Services Fund | 07/01/2012 to 06/30/2013 |
| ICA File Number: 811-07749 |
| Registrant Name: T. Rowe Price Financial Services Fund, Inc. |
| Reporting Period: 07/01/2012 - 06/30/2013 |
| |
| |
| FORM N-PX |
| |
| ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT |
| INVESTMENT COMPANY |
|
| Investment Company Act file number 811-07749 |
| |
| T. Rowe Price Financial Services Fund, Inc. |
|
| (Exact name of registrant as specified in charter) |
| |
| 100 East Pratt Street Baltimore, Maryland 21202 |
|
| (Address of principal executive offices) |
| |
| Edward C. Bernard |
| 100 East Pratt Street |
| Baltimore, Maryland 21202 |
|
| (Name and address of agent for service) |
| |
| Registrant’s telephone number, including area code: (410) 345-3577 |
| |
| Date of fiscal year end: 12/31 |
| |
| Date of reporting period: 07/01/2012 to 06/30/2013 |
| |
| SIGNATURES |
| |
| Pursuant to the requirements of the Investment Company Act of 1940, the |
| registrant has duly caused this report to be signed on its behalf by the |
| undersigned, thereunto duly authorized. |
| |
| (Registrant) T. Rowe Price Financial Services Fund, Inc. |
| |
| By (Signature and Title) /s/ Edward C. Bernard |
| Edward C. Bernard, Chairman of the Board - T. Rowe Price Funds |
| |
| Date August 30, 2013 |
Financial Services Fund
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AIA GROUP LTD.
Meeting Date: MAY 10, 2013
Record Date: MAY 06, 2013
Meeting Type: ANNUAL | Ticker: 01299
Security ID: Y002A1105
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1 | Accept Financial Statements and Statutory Reports | Management | For | For |
| 2 | Declare Final Dividend | Management | For | For |
| 3 | Elect Barry Chun-Yuen Cheung as Director | Management | For | For |
| 4 | Elect George Yong-Boon Yeo as Director | Management | For | For |
| 5 | Elect Narongchai Akrasanee as Director | Management | For | For |
| 6 | Elect Qin Xiao as Director | Management | For | For |
| 7 | Elect Mark Edward Tucker as Director | Management | For | For |
| 8 | Reappoint PricewaterhouseCoopers as Auditors and Authorize Board to Fix Their Remuneration | Management | For | For |
| 9a | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Management | For | For |
| 9b | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Management | For | For |
| 9c | Approve Allotment and Issuance of Additional Shares Under the Restricted Share Unit Scheme | Management | For | For |
| 10 | Amend Articles of Association of the Company | Management | For | For |
| |
|---|
AMERICAN EXPRESS COMPANY
Meeting Date: APR 29, 2013
Record Date: MAR 01, 2013
Meeting Type: ANNUAL | Ticker: AXP
Security ID: 025816109
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Charlene Barshefsky | Management | For | For |
| 1.2 | Elect Director Ursula M. Burns | Management | For | For |
| 1.3 | Elect Director Kenneth I. Chenault | Management | For | For |
| 1.4 | Elect Director Peter Chernin | Management | For | For |
| 1.5 | Elect Director Anne Lauvergeon | Management | For | For |
| 1.6 | Elect Director Theodore J. Leonsis | Management | For | For |
| 1.7 | Elect Director Richard C. Levin | Management | For | For |
| 1.8 | Elect Director Richard A. McGinn | Management | For | For |
| 1.9 | Elect Director Samuel J. Palmisano | Management | For | For |
| 1.10 | Elect Director Steven S Reinemund | Management | For | For |
| 1.11 | Elect Director Daniel L. Vasella | Management | For | For |
| 1.12 | Elect Director Robert D. Walter | Management | For | For |
| 1.13 | Elect Director Ronald A. Williams | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Require Independent Board Chairman | Shareholder | Against | Against |
| |
|---|
AMERIPRISE FINANCIAL, INC.
Meeting Date: APR 24, 2013
Record Date: FEB 28, 2013
Meeting Type: ANNUAL | Ticker: AMP
Security ID: 03076C106
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director James M. Cracchiolo | Management | For | For |
| 1b | Elect Director Lon R. Greenberg | Management | For | For |
| 1c | Elect Director Warren D. Knowlton | Management | For | For |
| 1d | Elect Director W. Walker Lewis | Management | For | For |
| 1e | Elect Director Siri S. Marshall | Management | For | For |
| 1f | Elect Director Jeffery Noddle | Management | For | For |
| 1g | Elect Director H. Jay Sarles | Management | For | For |
| 1h | Elect Director Robert F. Sharpe, Jr. | Management | For | For |
| 1i | Elect Director William H. Turner | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| 4 | Reduce Supermajority Vote Requirement | Shareholder | Against | For |
| |
|---|
ASSURED GUARANTY LTD.
Meeting Date: MAY 08, 2013
Record Date: MAR 15, 2013
Meeting Type: ANNUAL | Ticker: AGO
Security ID: G0585R106
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Neil Baron as Director | Management | For | For |
| 1.2 | Elect Francisco L. Borges as Director | Management | For | For |
| 1.3 | Elect G. Lawrence Buhl as Director | Management | For | For |
| 1.4 | Elect Stephen A. Cozen as Director | Management | For | For |
| 1.5 | Elect Dominic J. Frederico as Director | Management | For | For |
| 1.6 | Elect Bonnie L. Howard as Director | Management | For | For |
| 1.7 | Elect Patrick W. Kenny as Director | Management | For | For |
| 1.8 | Elect Simon W. Leathes as Director | Management | For | For |
| 1.9 | Elect Robin Monro-Davies as Director | Management | For | For |
| 1.10 | Elect Michael T. O'Kane as Director | Management | For | For |
| 1.11 | Elect Wilbur L. Ross, Jr. as Director | Management | For | For |
| 1.12 | Elect Howard W. Albert as Director of Assured Guaranty Re Ltd | Management | For | For |
| 1.13 | Elect Robert A. Bailenson as Director of Assured Guaranty Re Ltd | Management | For | For |
| 1.14 | Elect Russell B. Brewer, II as Director of Assured Guaranty Re Ltd | Management | For | For |
| 1.15 | Elect Gary Burnet as Director of Assured Guaranty Re Ltd | Management | For | For |
| 1.16 | Elect Stephen Donnarumma as Director of Assured Guaranty Re Ltd | Management | For | For |
| 1.17 | Elect Dominic J. Frederico as Director of Assured Guaranty Re Ltd | Management | For | For |
| 1.18 | Elect James M. Michener as Director of Assured Guaranty Re Ltd | Management | For | For |
| 1.19 | Elect Robert B. Mills as Director of Assured Guaranty Re Ltd | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Amend Employee Stock Purchase Plan | Management | For | For |
| 4 | Ratify PricewaterhouseCoopers LLP as Auditors | Management | For | For |
| 5 | Ratify PwC as AG Re's Auditors | Management | For | For |
| |
|---|
AXIS CAPITAL HOLDINGS LIMITED
Meeting Date: MAY 03, 2013
Record Date: MAR 05, 2013
Meeting Type: ANNUAL | Ticker: AXS
Security ID: G0692U109
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Geoffrey Bell as Director | Management | For | For |
| 1.2 | Elect Albert A. Benchimol as Director | Management | For | For |
| 1.3 | Elect Christopher V. Greetham as Director | Management | For | For |
| 1.4 | Elect Maurice A. Keane as Director | Management | For | For |
| 1.5 | Elect Henry B. Smith as Director | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | Against |
| 3 | Ratify Deloitte & Touche Ltd as Auditors | Management | For | For |
| |
|---|
BANCO SANTANDER BRASIL SA
Meeting Date: APR 29, 2013
Record Date: MAR 26, 2013
Meeting Type: ANNUAL/SPECIAL | Ticker: SANB11
Security ID: 05967A107
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1 | Accept Financial Statements and Statutory Reports for Fiscal Year Ended Dec. 31, 2012 | Management | For | For |
| 2 | Approve Allocation of Income and Dividends | Management | For | For |
| 3 | Elect Directors | Management | For | For |
| 4 | Approve Remuneration of Company's Management | Management | For | Against |
| 1 | Alter Dividend Payment Date | Management | For | For |
| 2 | Approve Long Term Incentive Plans | Management | For | For |
| |
|---|
BANCO SANTANDER BRASIL SA
Meeting Date: JUN 03, 2013
Record Date: MAY 20, 2013
Meeting Type: SPECIAL | Ticker: SANB11
Security ID: 05967A107
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1 | Elect Marcial Angel Portela Alvarez as Chairman of the Board | Management | For | For |
| 2 | Elect Celso Clemente Giacometti as Vice-Chairman of the Board | Management | For | For |
| 3 | Elect Jesus Maria Zabalza Lotina as Director | Management | For | For |
| 4 | Ratify Board Composition | Management | For | For |
| 5 | Approved Deferred Bonus Plan | Management | For | For |
| |
|---|
BANCO SANTANDER CHILE
Meeting Date: APR 29, 2013
Record Date: MAR 25, 2013
Meeting Type: ANNUAL | Ticker: BSANTANDER
Security ID: 05965X109
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1 | Approve Annual Report, Financial Statements and External Auditors' Report for Fiscal Year 2012 | Management | For | For |
| 2 | Approve Allocation of Income and Dividends of CLP 1.24 Per Share | Management | For | For |
| 3 | Elect External Auditors | Management | For | For |
| 4 | Designate Risk Assessment Companies | Management | For | For |
| 5 | Elect Juan Pedro Santa Maria as Alternate Director | Management | For | For |
| 6 | Approve Remuneration of Directors | Management | For | For |
| 7 | Approve Remuneration and Budget of Directors' Committee and Audit Committee; Receive Directors and Audit Committee's Report | Management | For | For |
| 8 | Approve Special Auditors' Report Regarding Related-Party Transactions | Management | None | None |
| 9 | Other Business (Voting) | Management | None | None |
| |
|---|
BANCORPSOUTH, INC.
Meeting Date: APR 24, 2013
Record Date: MAR 11, 2013
Meeting Type: ANNUAL | Ticker: BXS
Security ID: 059692103
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Gus J. Blass, III | Management | For | For |
| 1.2 | Elect Director Grace Clark | Management | For | For |
| 1.3 | Elect Director Larry G. Kirk | Management | For | For |
| 1.4 | Elect Director Guy W. Mitchell, III | Management | For | For |
| 1.5 | Elect Director Aubrey B. Patterson | Management | For | For |
| 1.6 | Elect Director James D. Rollins, III | Management | For | For |
| 2 | Amend Executive Incentive Bonus Plan | Management | For | For |
| |
|---|
BANK OF AMERICA CORPORATION
Meeting Date: MAY 08, 2013
Record Date: MAR 13, 2013
Meeting Type: ANNUAL | Ticker: BAC
Security ID: 060505104
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Sharon L. Allen | Management | For | For |
| 1.2 | Elect Director Susan S. Bies | Management | For | For |
| 1.3 | Elect Director Jack O. Bovender, Jr. | Management | For | For |
| 1.4 | Elect Director Frank P. Bramble, Sr. | Management | For | For |
| 1.5 | Elect Director Arnold W. Donald | Management | For | For |
| 1.6 | Elect Director Charles K. Gifford | Management | For | For |
| 1.7 | Elect Director Charles O. Holliday, Jr. | Management | For | For |
| 1.8 | Elect Director Linda P. Hudson | Management | For | For |
| 1.9 | Elect Director Monica C. Lozano | Management | For | For |
| 1.10 | Elect Director Thomas J. May | Management | For | For |
| 1.11 | Elect Director Brian T. Moynihan | Management | For | For |
| 1.12 | Elect Director Lionel L. Nowell, III | Management | For | For |
| 1.13 | Elect Director R. David Yost | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| 4 | Report on Political Contributions | Shareholder | Against | Against |
| 5 | Adopt Proxy Access Right | Shareholder | Against | Against |
| 6 | Amend Bylaw to Limit Multiple Board Service | Shareholder | Against | Against |
| 7 | Report on Feasibility of Prohibiting Political Contributions | Shareholder | Against | Against |
| 8 | Review Fair Housing and Fair Lending Compliance | Shareholder | Against | Against |
| |
|---|
BBCN BANCORP, INC.
Meeting Date: MAY 30, 2013
Record Date: APR 03, 2013
Meeting Type: ANNUAL | Ticker: BBCN
Security ID: 073295107
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Steven D. Broidy | Management | For | For |
| 1.2 | Elect Director Louis M. Cosso | Management | For | For |
| 1.3 | Elect Director Jin Chul Jhung | Management | For | For |
| 1.4 | Elect Director Kevin S. Kim | Management | For | For |
| 1.5 | Elect Director Peter Y.S. Kim | Management | For | For |
| 1.6 | Elect Director Sang Hoon Kim | Management | For | For |
| 1.7 | Elect Director Chung Hyun Lee | Management | For | For |
| 1.8 | Elect Director Jesun Paik | Management | For | For |
| 1.9 | Elect Director Scott Yoon-Suk Whang | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Advisory Vote on Say on Pay Frequency | Management | One Year | One Year |
| 5 | Adjourn Meeting | Management | For | For |
| |
|---|
BROWN & BROWN, INC.
Meeting Date: MAY 08, 2013
Record Date: MAR 01, 2013
Meeting Type: ANNUAL | Ticker: BRO
Security ID: 115236101
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director J. Hyatt Brown | Management | For | For |
| 1.2 | Elect Director Samuel P. Bell, III | Management | For | For |
| 1.3 | Elect Director Hugh M. Brown | Management | For | For |
| 1.4 | Elect Director J. Powell Brown | Management | For | For |
| 1.5 | Elect Director Bradley Currey, Jr. | Management | For | For |
| 1.6 | Elect Director Theodore J. Hoepner | Management | For | For |
| 1.7 | Elect Director James S. Hunt | Management | For | For |
| 1.8 | Elect Director Toni Jennings | Management | For | For |
| 1.9 | Elect Director Timothy R.M. Main | Management | For | For |
| 1.10 | Elect Director H. Palmer Proctor, Jr. | Management | For | For |
| 1.11 | Elect Director Wendell S. Reilly | Management | For | For |
| 1.12 | Elect Director Chilton D. Varner | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| |
|---|
C.H. ROBINSON WORLDWIDE, INC.
Meeting Date: MAY 09, 2013
Record Date: MAR 11, 2013
Meeting Type: ANNUAL | Ticker: CHRW
Security ID: 12541W209
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Scott P. Anderson | Management | For | For |
| 1b | Elect Director Mary J. Steele Guilfoile | Management | For | For |
| 1c | Elect Director Jodee A. Kozlak | Management | For | For |
| 1d | Elect Director ReBecca Koenig Roloff | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Approve Omnibus Stock Plan | Management | For | Against |
| 4 | Ratify Auditors | Management | For | For |
| |
|---|
CAPITAL BANK FINANCIAL CORP.
Meeting Date: MAY 22, 2013
Record Date: APR 01, 2013
Meeting Type: ANNUAL | Ticker: CBF
Security ID: 139794101
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Charles F. Atkins | Management | For | For |
| 1.2 | Elect Director Martha M. Bachman | Management | For | For |
| 1.3 | Elect Director Richard M. DeMartini | Management | For | For |
| 1.4 | Elect Director Peter N. Foss | Management | For | For |
| 1.5 | Elect Director William A. Hodges | Management | For | For |
| 1.6 | Elect Director Oscar A. Keller, III | Management | For | For |
| 1.7 | Elect Director Jeffrey E. Kirt | Management | For | For |
| 1.8 | Elect Director Samuel E. Lynch | Management | For | For |
| 1.9 | Elect Director Marc D. Oken | Management | For | For |
| 1.10 | Elect Director R. Eugene Taylor | Management | For | For |
| 1.11 | Elect Director William G. Ward, Sr. | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Approve Omnibus Stock Plan | Management | For | For |
| 4 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 5 | Advisory Vote on Say on Pay Frequency | Management | One Year | One Year |
| |
|---|
CAPITAL ONE FINANCIAL CORPORATION
Meeting Date: MAY 02, 2013
Record Date: MAR 07, 2013
Meeting Type: ANNUAL | Ticker: COF
Security ID: 14040H105
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Richard D. Fairbank | Management | For | For |
| 1b | Elect Director W. Ronald Dietz | Management | For | For |
| 1c | Elect Director Lewis Hay, III | Management | For | For |
| 1d | Elect Director Benjamin P. Jenkins, III | Management | For | For |
| 1e | Elect Director Peter E. Raskind | Management | For | For |
| 1f | Elect Director Mayo A. Shattuck, III | Management | For | For |
| 1g | Elect Director Bradford H. Warner | Management | For | For |
| 1h | Elect Director Catherine G. West | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4a | Reduce Supermajority Vote Requirement | Management | For | For |
| 4b | Reduce Supermajority Vote Requirement | Management | For | For |
| 4c | Reduce Supermajority Vote Requirement | Management | For | For |
| |
|---|
CAPITOL FEDERAL FINANCIAL, INC.
Meeting Date: JAN 22, 2013
Record Date: DEC 07, 2012
Meeting Type: ANNUAL | Ticker: CFFN
Security ID: 14057J101
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director John B. Dicus | Management | For | For |
| 1.2 | Elect Director James G. Morris | Management | For | For |
| 1.3 | Elect Director Jeffrey R. Thompson | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| |
|---|
CBOE HOLDINGS, INC.
Meeting Date: MAY 23, 2013
Record Date: MAR 26, 2013
Meeting Type: ANNUAL | Ticker: CBOE
Security ID: 12503M108
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director William J. Brodsky | Management | For | For |
| 1.2 | Elect Director James R. Boris | Management | For | For |
| 1.3 | Elect Director Frank E. English, Jr. | Management | For | For |
| 1.4 | Elect Director Edward J. Fitzpatrick | Management | For | For |
| 1.5 | Elect Director Janet P. Froetscher | Management | For | For |
| 1.6 | Elect Director Jill R. Goodman | Management | For | For |
| 1.7 | Elect Director Duane R. Kullberg | Management | For | For |
| 1.8 | Elect Director R. Eden Martin | Management | For | For |
| 1.9 | Elect Director Roderick A. Palmore | Management | For | For |
| 1.10 | Elect Director Susan M. Phillips | Management | For | For |
| 1.11 | Elect Director Douglas H. Shulman | Management | For | For |
| 1.12 | Elect Director Samuel K. Skinner | Management | For | For |
| 1.13 | Elect Director Carole E. Stone | Management | For | For |
| 1.14 | Elect Director Eugene S. Sunshine | Management | For | For |
| 1.15 | Elect Director Edward T. Tilly | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| |
|---|
CME GROUP INC.
Meeting Date: MAY 22, 2013
Record Date: MAR 27, 2013
Meeting Type: ANNUAL | Ticker: CME
Security ID: 12572Q105
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Terrence A. Duffy | Management | For | For |
| 1.2 | Elect Director Charles P. Carey | Management | For | For |
| 1.3 | Elect Director Mark E. Cermak | Management | For | For |
| 1.4 | Elect Director Martin J. Gepsman | Management | For | For |
| 1.5 | Elect Director Leo Melamed | Management | For | For |
| 1.6 | Elect Director Joseph Niciforo | Management | For | For |
| 1.7 | Elect Director C.C. Odom, II | Management | For | For |
| 1.8 | Elect Director John F. Sandner | Management | For | For |
| 1.9 | Elect Director Dennis A. Suskind | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Proxy Access | Shareholder | Against | Against |
| |
|---|
CORELOGIC, INC.
Meeting Date: JUL 26, 2012
Record Date: JUN 19, 2012
Meeting Type: ANNUAL | Ticker: CLGX
Security ID: 21871D103
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1 | Elect Director J. David Chatham | Management | For | For |
| 2 | Elect Director Douglas C. Curling | Management | For | For |
| 3 | Elect Director John C. Dorman | Management | For | For |
| 4 | Elect Director Paul F. Folino | Management | For | For |
| 5 | Elect Director Anand K. Nallathambi | Management | For | For |
| 6 | Elect Director Thomas C. O'Brien | Management | For | For |
| 7 | Elect Director Jaynie Miller Studenmund | Management | For | For |
| 8 | Elect Director D. Van Skilling | Management | For | For |
| 9 | Elect Director David F. Walker | Management | For | For |
| 10 | Elect Director Mary Lee Widener | Management | For | For |
| 11 | Approve Qualified Employee Stock Purchase Plan | Management | For | For |
| 12 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 13 | Ratify Auditors | Management | For | For |
| |
|---|
CREDIT SUISSE GROUP AG
Meeting Date: APR 26, 2013
Record Date:
Meeting Type: ANNUAL | Ticker: CSGN
Security ID: H3698D419
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Receive Financial Statements and Statutory Reports (Non-Voting) | Management | None | None |
| 1.2 | Approve Remuneration Report | Management | For | For |
| 1.3 | Accept Financial Statements and Statutory Reports | Management | For | For |
| 2 | Approve Discharge of Board and Senior Management | Management | For | For |
| 3.1 | Approve Allocation of Income | Management | For | For |
| 3.2 | Approve Dividends CHF 0.10 per Share from Capital Contribution Reserves to be Paid in Shares and Cash | Management | For | For |
| 4.1 | Approve Creation of CHF 6.0 Million Pool of Capital with Partial Exclusion of Preemptive Rights | Management | For | For |
| 4.2 | Approve CHF 1.1 Million Increase in Pool of Conditional Capital for Delivering Shares as Part of Employee Participation Programs | Management | For | For |
| 5 | Amend Articles Re: Board Related | Management | For | For |
| 6.1.1 | Reelect Noreen Doyle as Director | Management | For | For |
| 6.1.2 | Reelect Jassim Bin Hamad J.J. Al Thani as Director | Management | For | For |
| 6.1.3 | Elect Kai S. Nargolwala as Director | Management | For | For |
| 6.2 | Ratify KPMG AG as Auditors | Management | For | For |
| 6.3 | Ratify BDO AG as Special Auditors | Management | For | For |
| |
|---|
DEUTSCHE BANK AG
Meeting Date: MAY 23, 2013
Record Date:
Meeting Type: ANNUAL | Ticker: DBK
Security ID: D18190898
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1 | Receive Financial Statements and Statutory Reports for Fiscal 2012 (Non-Voting) | Management | None | None |
| 2 | Approve Allocation of Income and Dividends of EUR 0.75 per Share | Management | For | Did Not Vote |
| 3 | Approve Discharge of Management Board for Fiscal 2012 | Management | For | Did Not Vote |
| 4 | Approve Discharge of Supervisory Board for Fiscal 2012 | Management | For | Did Not Vote |
| 5 | Ratify KPMG as Auditors for Fiscal 2013 | Management | For | Did Not Vote |
| 6 | Authorize Repurchase of Up to Five Percent of Issued Share Capital for Trading Purposes | Management | For | Did Not Vote |
| 7 | Authorize Share Repurchase Program and Reissuance or Cancellation of Repurchased Shares | Management | For | Did Not Vote |
| 8 | Authorize Use of Financial Derivatives when Repurchasing Shares | Management | For | Did Not Vote |
| 9 | Approve Remuneration System for Management Board Members | Management | For | Did Not Vote |
| 10 | Approve Remuneration of Supervisory Board | Management | For | Did Not Vote |
| 11.1 | Elect John Cryan to the Supervisory Board | Management | For | Did Not Vote |
| 11.2 | Elect Henning Kagermann to the Supervisory Board | Management | For | Did Not Vote |
| 11.3 | Elect Suzanne Labarge to the Supervisory Board | Management | For | Did Not Vote |
| 11.4 | Elect Johannes Teyssen to the Supervisory Board | Management | For | Did Not Vote |
| 11.5 | Elect Georg Thoma to the Supervisory Board | Management | For | Did Not Vote |
| 11.6 | Elect Tilman Todenhoefer to the Supervisory Board | Management | For | Did Not Vote |
| 11.7 | Elect Dina Dublon to the Supervisory Board | Management | For | Did Not Vote |
| 12 | Approve Creation of EUR 230.4 Million Pool of Capital without Preemptive Rights | Management | For | Did Not Vote |
| 13 | Approve Domination Agreement with RREEF Management GmbH | Management | For | Did Not Vote |
| |
|---|
DIRECT LINE INSURANCE GROUP PLC
Meeting Date: JUN 06, 2013
Record Date: JUN 04, 2013
Meeting Type: ANNUAL | Ticker: DLG
Security ID: G2871V106
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1 | Accept Financial Statements and Statutory Reports | Management | For | For |
| 2 | Approve Remuneration Report | Management | For | For |
| 3 | Approve Final Dividend | Management | For | For |
| 4 | Elect Mike Biggs as Director | Management | For | For |
| 5 | Elect Paul Geddes as Director | Management | For | For |
| 6 | Elect Jane Hanson as Director | Management | For | For |
| 7 | Elect Glyn Jones as Director | Management | For | For |
| 8 | Elect Andrew Palmer as Director | Management | For | For |
| 9 | Elect John Reizenstein as Director | Management | For | For |
| 10 | Elect Clare Thompson as Director | Management | For | For |
| 11 | Elect Priscilla Vacassin as Director | Management | For | For |
| 12 | Elect Bruce Van Saun as Director | Management | For | For |
| 13 | Appoint Deloitte LLP as Auditors | Management | For | For |
| 14 | Authorise the Audit Committee to Fix Remuneration of Auditors | Management | For | For |
| 15 | Authorise Issue of Equity with Pre-emptive Rights | Management | For | For |
| 16 | Authorise Issue of Equity without Pre-emptive Rights | Management | For | For |
| 17 | Authorise Market Purchase of Ordinary Shares | Management | For | For |
| 18 | Authorise the Company to Call EGM with Two Weeks' Notice | Management | For | For |
| 19 | Authorise EU Political Donations and Expenditure | Management | For | For |
| |
|---|
E*TRADE FINANCIAL CORPORATION
Meeting Date: MAY 09, 2013
Record Date: MAR 11, 2013
Meeting Type: ANNUAL | Ticker: ETFC
Security ID: 269246401
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Paul T. Idzik | Management | For | For |
| 1b | Elect Director Frederick W. Kanner | Management | For | For |
| 1c | Elect Director James Lam | Management | For | For |
| 1d | Elect Director Rodger A. Lawson | Management | For | For |
| 1e | Elect Director Rebecca Saeger | Management | For | For |
| 1f | Elect Director Joseph L. Sclafani | Management | For | For |
| 1g | Elect Director Joseph M. Velli | Management | For | For |
| 1h | Elect Director Donna L. Weaver | Management | For | For |
| 1i | Elect Director Stephen H. Willard | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| |
|---|
EAST WEST BANCORP, INC.
Meeting Date: MAY 28, 2013
Record Date: MAR 29, 2013
Meeting Type: ANNUAL | Ticker: EWBC
Security ID: 27579R104
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Iris S. Chan | Management | For | For |
| 1.2 | Elect Director Rudolph I. Estrada | Management | For | For |
| 1.3 | Elect Director Julia S. Gouw | Management | For | For |
| 1.4 | Elect Director Paul H. Irving | Management | For | For |
| 1.5 | Elect Director Andrew S. Kane | Management | For | For |
| 1.6 | Elect Director Tak-Chuen Clarence Kwan | Management | For | For |
| 1.7 | Elect Director John Lee | Management | For | For |
| 1.8 | Elect Director Herman Y. Li | Management | For | For |
| 1.9 | Elect Director Jack C. Liu | Management | For | For |
| 1.10 | Elect Director Dominic Ng | Management | For | For |
| 1.11 | Elect Director Keith W. Renken | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| |
|---|
ENSTAR GROUP LIMITED
Meeting Date: MAY 08, 2013
Record Date: MAR 14, 2013
Meeting Type: ANNUAL | Ticker: ESGR
Security ID: G3075P101
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Robert J. Campbell as Director | Management | For | For |
| 1.2 | Elect Paul J. O'Shea as Director | Management | For | For |
| 1.3 | Elect Sumit Rajpal as Director | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| 4 | Elect Subsidiary Directors | Management | For | For |
| |
|---|
FIRST AMERICAN FINANCIAL CORPORATION
Meeting Date: MAY 14, 2013
Record Date: MAR 22, 2013
Meeting Type: ANNUAL | Ticker: FAF
Security ID: 31847R102
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Anthony K. Anderson | Management | For | For |
| 1.2 | Elect Director Parker S. Kennedy | Management | For | For |
| 1.3 | Elect Director Mark C. Oman | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Amend Qualified Employee Stock Purchase Plan | Management | For | For |
| 4 | Ratify Auditors | Management | For | For |
| |
|---|
FIRST HORIZON NATIONAL CORPORATION
Meeting Date: MAY 02, 2013
Record Date: MAR 01, 2013
Meeting Type: ANNUAL | Ticker: FHN
Security ID: 320517105
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Robert B. Carter | Management | For | For |
| 1.2 | Elect Director John C. Compton | Management | For | For |
| 1.3 | Elect Director Mark A. Emkes | Management | For | For |
| 1.4 | Elect Director Corydon J. Gilchrist | Management | For | For |
| 1.5 | Elect Director Vicky B. Gregg | Management | For | For |
| 1.6 | Elect Director D. Bryan Jordan | Management | For | For |
| 1.7 | Elect Director R. Brad Martin | Management | For | For |
| 1.8 | Elect Director Scott M. Niswonger | Management | For | For |
| 1.9 | Elect Director Vicki R. Palmer | Management | For | For |
| 1.10 | Elect Director Colin V. Reed | Management | For | For |
| 1.11 | Elect Director Luke Yancy, III | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| |
|---|
FORTEGRA FINANCIAL CORPORATION
Meeting Date: MAY 07, 2013
Record Date: MAR 14, 2013
Meeting Type: ANNUAL | Ticker: FRF
Security ID: 34954W104
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Richard S. Kahlbaugh | Management | For | For |
| 1.2 | Elect Director John R. Carroll | Management | For | For |
| 1.3 | Elect Director Francis M. Colalucci | Management | For | For |
| 1.4 | Elect Director Frank P. Filipps | Management | For | For |
| 1.5 | Elect Director J.J. Kardwell | Management | For | For |
| 1.6 | Elect Director Arun Maheshwari | Management | For | For |
| 1.7 | Elect Director Ted W. Rollins | Management | For | For |
| 1.8 | Elect Director Sean S. Sweeney | Management | For | For |
| |
|---|
FRANKLIN RESOURCES, INC.
Meeting Date: MAR 13, 2013
Record Date: JAN 16, 2013
Meeting Type: ANNUAL | Ticker: BEN
Security ID: 354613101
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Samuel H. Armacost | Management | For | For |
| 1b | Elect Director Peter K. Barker | Management | For | For |
| 1c | Elect Director Charles Crocker | Management | For | For |
| 1d | Elect Director Charles B. Johnson | Management | For | For |
| 1e | Elect Director Gregory E. Johnson | Management | For | For |
| 1f | Elect Director Rupert H. Johnson, Jr. | Management | For | For |
| 1g | Elect Director Mark C. Pigott | Management | For | For |
| 1h | Elect Director Chutta Ratnathicam | Management | For | For |
| 1i | Elect Director Laura Stein | Management | For | For |
| 1j | Elect Director Anne M. Tatlock | Management | For | For |
| 1k | Elect Director Geoffrey Y. Yang | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Institute Procedures to Prevent Investments in Companies that Contribute to Genocide or Crimes Against Humanity | Shareholder | Against | For |
| |
|---|
HATTERAS FINANCIAL CORP.
Meeting Date: MAY 21, 2013
Record Date: MAR 13, 2013
Meeting Type: ANNUAL | Ticker: HTS
Security ID: 41902R103
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Michael R. Hough | Management | For | For |
| 1.2 | Elect Director Benjamin M. Hough | Management | For | For |
| 1.3 | Elect Director David W. Berson | Management | For | For |
| 1.4 | Elect Director Ira G. Kawaller | Management | For | For |
| 1.5 | Elect Director Jeffrey D. Miller | Management | For | For |
| 1.6 | Elect Director Thomas D. Wren | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Require a Majority Vote for the Election of Directors | Shareholder | Against | For |
| |
|---|
HCC INSURANCE HOLDINGS, INC.
Meeting Date: MAY 22, 2013
Record Date: APR 01, 2013
Meeting Type: ANNUAL | Ticker: HCC
Security ID: 404132102
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Emmanuel T. Ballases | Management | For | For |
| 1.2 | Elect Director Judy C. Bozeman | Management | For | For |
| 1.3 | Elect Director Frank J. Bramanti | Management | For | For |
| 1.4 | Elect Director Walter M. Duer | Management | For | For |
| 1.5 | Elect Director James C. Flagg | Management | For | For |
| 1.6 | Elect Director Thomas M. Hamilton | Management | For | For |
| 1.7 | Elect Director Leslie S. Heisz | Management | For | For |
| 1.8 | Elect Director John N. Molbeck, Jr. | Management | For | For |
| 1.9 | Elect Director Robert A. Rosholt | Management | For | For |
| 1.10 | Elect Director J. Mikesell Thomas | Management | For | For |
| 1.11 | Elect Director Christopher J.B. Williams | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| 4 | Approve Qualified Employee Stock Purchase Plan | Management | For | For |
| 5 | Amend Omnibus Stock Plan | Management | For | For |
| |
|---|
INFINITY PROPERTY AND CASUALTY CORPORATION
Meeting Date: MAY 21, 2013
Record Date: MAR 25, 2013
Meeting Type: ANNUAL | Ticker: IPCC
Security ID: 45665Q103
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Teresa A. Canida | Management | For | For |
| 1.2 | Elect Director Jorge G. Castro | Management | For | For |
| 1.3 | Elect Director James R. Gober | Management | For | For |
| 1.4 | Elect Director Harold E. Layman | Management | For | For |
| 1.5 | Elect Director E. Robert Meaney | Management | For | For |
| 1.6 | Elect Director Drayton Nabers, Jr. | Management | For | For |
| 1.7 | Elect Director William Stancil Starnes | Management | For | For |
| 1.8 | Elect Director Samuel J. Weinhoff | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Approve Omnibus Stock Plan | Management | For | For |
| |
|---|
INTERCONTINENTALEXCHANGE, INC.
Meeting Date: MAY 17, 2013
Record Date: MAR 19, 2013
Meeting Type: ANNUAL | Ticker: ICE
Security ID: 45865V100
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Charles R. Crisp | Management | For | For |
| 1b | Elect Director Jean-Marc Forneri | Management | For | For |
| 1c | Elect Director Judd A. Gregg | Management | For | For |
| 1d | Elect Director Fred W. Hatfield | Management | For | For |
| 1e | Elect Director Terrence F. Martell | Management | For | For |
| 1f | Elect Director Callum McCarthy | Management | For | For |
| 1g | Elect Director Robert Reid | Management | For | For |
| 1h | Elect Director Frederic V. Salerno | Management | For | For |
| 1i | Elect Director Jeffrey C. Sprecher | Management | For | For |
| 1j | Elect Director Judith A. Sprieser | Management | For | For |
| 1k | Elect Director Vincent Tese | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Approve Omnibus Stock Plan | Management | For | For |
| 4 | Approve Non-Employee Director Stock Option Plan | Management | For | For |
| 5 | Ratify Auditors | Management | For | For |
| |
|---|
INTERCONTINENTALEXCHANGE, INC.
Meeting Date: JUN 03, 2013
Record Date: APR 26, 2013
Meeting Type: SPECIAL | Ticker: ICE
Security ID: 45865V100
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1 | Approve Merger Agreement | Management | For | For |
| 2A | Increase Authorized Preferred and Common Stock | Management | For | For |
| 2B | Approve Stock Ownership Limitations | Management | For | For |
| 2C | Provisions Related to Disqualification of Officers and Directors and Certain Powers of the Board of Directors | Management | For | For |
| 2D | Provisions Related to Considerations of the Board of Directors | Management | For | For |
| 2E | Amend ICE Group Certificate of Incorporation | Management | For | For |
| 3 | Adjourn Meeting | Management | For | For |
| |
|---|
INVESCO LTD.
Meeting Date: MAY 16, 2013
Record Date: MAR 18, 2013
Meeting Type: ANNUAL | Ticker: IVZ
Security ID: G491BT108
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Joseph R. Canion | Management | For | For |
| 1.2 | Elect Director Edward P. Lawrence | Management | For | For |
| 1.3 | Elect Director Phoebe A. Wood | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Amend Executive Incentive Bonus Plan | Management | For | For |
| 4 | Ratify Auditors | Management | For | For |
| |
|---|
JPMORGAN CHASE & CO.
Meeting Date: MAY 21, 2013
Record Date: MAR 22, 2013
Meeting Type: ANNUAL | Ticker: JPM
Security ID: 46625H100
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director James A. Bell | Management | For | For |
| 1b | Elect Director Crandall C.Bowles | Management | For | For |
| 1c | Elect Director Stephen B. Burke | Management | For | For |
| 1d | Elect Director David M. Cote | Management | For | For |
| 1e | Elect Director James S. Crown | Management | For | For |
| 1f | Elect Director James Dimon | Management | For | For |
| 1g | Elect Director Timothy P. Flynn | Management | For | For |
| 1h | Elect Director Ellen V. Futter | Management | For | For |
| 1i | Elect Director Laban P. Jackson, Jr. | Management | For | For |
| 1j | Elect Director Lee R. Raymond | Management | For | For |
| 1k | Elect Director William C. Weldon | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Provide Right to Act by Written Consent | Management | For | For |
| 5 | Amend Executive Incentive Bonus Plan | Management | For | For |
| 6 | Require Independent Board Chairman | Shareholder | Against | Against |
| 7 | Stock Retention/Holding Period | Shareholder | Against | Against |
| 8 | Institute Procedures to Prevent Investments in Companies that Contribute to Genocide or Crimes Against Humanity | Shareholder | Against | For |
| 9 | Report on Lobbying Payments and Policy | Shareholder | Against | Against |
| |
|---|
KBW, INC.
Meeting Date: FEB 12, 2013
Record Date: DEC 24, 2012
Meeting Type: SPECIAL | Ticker: KBW
Security ID: 482423100
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1 | Approve Merger Agreement | Management | For | For |
| 2 | Advisory Vote on Golden Parachutes | Management | For | Against |
| 3 | Adjourn Meeting | Management | For | For |
| |
|---|
LAZARD LTD
Meeting Date: APR 23, 2013
Record Date: MAR 07, 2013
Meeting Type: ANNUAL | Ticker: LAZ
Security ID: G54050102
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Laurent Mignon as Director | Management | For | For |
| 1.2 | Elect Richard D. Parsons as Director | Management | For | For |
| 1.3 | Elect Hal S. Scott as Director | Management | For | For |
| 2 | Approve Deloitte & Touche LLP as Auditors and Authorize Board to Fix Their Remuneration Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Require Independent Board Chairman | Shareholder | Against | Against |
| |
|---|
LEGG MASON, INC.
Meeting Date: JUL 24, 2012
Record Date: MAY 24, 2012
Meeting Type: ANNUAL | Ticker: LM
Security ID: 524901105
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Robert E. Angelica | Management | For | For |
| 1.2 | Elect Director Barry W. Huff | Management | For | For |
| 1.3 | Elect Director John E. Koerner, III | Management | For | For |
| 1.4 | Elect Director Cheryl Gordon Krongard | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| |
|---|
LENDER PROCESSING SERVICES, INC.
Meeting Date: MAY 23, 2013
Record Date: MAR 25, 2013
Meeting Type: ANNUAL | Ticker: LPS
Security ID: 52602E102
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Dan R. Carmichael | Management | For | For |
| 1.2 | Elect Director Alvin R. (Pete) Carpenter | Management | For | For |
| 1.3 | Elect Director Hugh R. Harris | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| |
|---|
M&T BANK CORPORATION
Meeting Date: APR 16, 2013
Record Date: FEB 20, 2013
Meeting Type: SPECIAL | Ticker: MTB
Security ID: 55261F104
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1 | Issue Shares in Connection with Acquisition | Management | For | For |
| 2 | Approve amendments to the terms of the Series A Preferred Shares that would serve to reduce the dividend rate on the Series A Preferred Shares from 9% per annum to 6.375% per annum | Management | For | For |
| 3 | Approve amendments to the terms of the Series C Preferred Shares that would serve to reduce the dividend rate on the Series C Preferred Shares from 9% per annum to 6.375% per annum | Management | For | For |
| 4 | Adjourn Meeting | Management | For | For |
| |
|---|
M&T BANK CORPORATION
Meeting Date: APR 16, 2013
Record Date: FEB 28, 2013
Meeting Type: ANNUAL | Ticker: MTB
Security ID: 55261F104
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Brent D. Baird | Management | For | For |
| 1.2 | Elect Director C. Angela Bontempo | Management | For | For |
| 1.3 | Elect Director Robert T. Brady | Management | For | For |
| 1.4 | Elect Director T. Jefferson Cunningham, III | Management | For | For |
| 1.5 | Elect Director Mark J. Czarnecki | Management | For | For |
| 1.6 | Elect Director Gary N. Geisel | Management | For | Withhold |
| 1.7 | Elect Director John D. Hawke, Jr | Management | For | For |
| 1.8 | Elect Director Patrick W.E. Hodgson | Management | For | For |
| 1.9 | Elect Director Richard G. King | Management | For | For |
| 1.10 | Elect Director Jorge G. Pereira | Management | For | For |
| 1.11 | Elect Director Michael P. Pinto | Management | For | For |
| 1.12 | Elect Director Melinda R. Rich | Management | For | For |
| 1.13 | Elect Director Robert E. Sadler, Jr. | Management | For | For |
| 1.14 | Elect Director Herbert L. Washington | Management | For | For |
| 1.15 | Elect Director Robert G. Wilmers | Management | For | For |
| 2 | Approve Qualified Employee Stock Purchase Plan | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Advisory Vote on Say on Pay Frequency | Management | One Year | One Year |
| 5 | Ratify Auditors | Management | For | For |
| |
|---|
MARSH & MCLENNAN COMPANIES, INC.
Meeting Date: MAY 16, 2013
Record Date: MAR 18, 2013
Meeting Type: ANNUAL | Ticker: MMC
Security ID: 571748102
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Zachary W. Carter | Management | For | For |
| 1b | Elect Director Oscar Fanjul | Management | For | For |
| 1c | Elect Director Daniel S. Glaser | Management | For | For |
| 1d | Elect Director H. Edward Hanway | Management | For | For |
| 1e | Elect Director Lord Lang | Management | For | For |
| 1f | Elect Director Elaine La Roche | Management | For | For |
| 1g | Elect Director Steven A. Mills | Management | For | For |
| 1h | Elect Director Bruce P. Nolop | Management | For | For |
| 1i | Elect Director Marc D. Oken | Management | For | For |
| 1j | Elect Director Morton O. Schapiro | Management | For | For |
| 1k | Elect Director Adele Simmons | Management | For | For |
| 1l | Elect Director Lloyd M. Yates | Management | For | For |
| 1m | Elect Director R. David Yost | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| |
|---|
MASTERCARD INCORPORATED
Meeting Date: JUN 18, 2013
Record Date: APR 19, 2013
Meeting Type: ANNUAL | Ticker: MA
Security ID: 57636Q104
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Richard Haythornthwaite | Management | For | For |
| 1b | Elect Director Ajay Banga | Management | For | For |
| 1c | Elect Director Silvio Barzi | Management | For | For |
| 1d | Elect Director David R. Carlucci | Management | For | For |
| 1e | Elect Director Steven J. Freiberg | Management | For | For |
| 1f | Elect Director Nancy J. Karch | Management | For | For |
| 1g | Elect Director Marc Olivie | Management | For | For |
| 1h | Elect Director Rima Qureshi | Management | For | For |
| 1i | Elect Director Jose Octavio Reyes Lagunes | Management | For | For |
| 1j | Elect Director Mark Schwartz | Management | For | For |
| 1k | Elect Director Jackson P. Tai | Management | For | For |
| 1l | Elect Director Edward Suning Tian | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| |
|---|
MEADOWBROOK INSURANCE GROUP, INC.
Meeting Date: MAY 17, 2013
Record Date: MAR 21, 2013
Meeting Type: ANNUAL | Ticker: MIG
Security ID: 58319P108
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director David K. Page | Management | For | For |
| 1.2 | Elect Director Herbert Tyner | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| |
|---|
MERITAGE HOMES CORPORATION
Meeting Date: MAY 15, 2013
Record Date: MAR 25, 2013
Meeting Type: ANNUAL | Ticker: MTH
Security ID: 59001A102
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Peter A. Ax | Management | For | For |
| 1.2 | Elect Director Robert G. Sarver | Management | For | For |
| 1.3 | Elect Director Gerald Haddock | Management | For | For |
| 1.4 | Elect Director Michael R. Odell | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| |
|---|
METLIFE, INC.
Meeting Date: APR 23, 2013
Record Date: MAR 01, 2013
Meeting Type: ANNUAL | Ticker: MET
Security ID: 59156R108
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director R. Glenn Hubbard | Management | For | For |
| 1.2 | Elect Director Steven A. Kandarian | Management | For | For |
| 1.3 | Elect Director John M. Keane | Management | For | For |
| 1.4 | Elect Director Alfred F. Kelly, Jr. | Management | For | For |
| 1.5 | Elect Director James M. Kilts | Management | For | For |
| 1.6 | Elect Director Catherine R. Kinney | Management | For | For |
| 1.7 | Elect Director Hugh B. Price | Management | For | For |
| 1.8 | Elect Director Kenton J. Sicchitano | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| |
|---|
MORGAN STANLEY
Meeting Date: MAY 14, 2013
Record Date: MAR 18, 2013
Meeting Type: ANNUAL | Ticker: MS
Security ID: 617446448
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Erskine B. Bowles | Management | For | For |
| 1.2 | Elect Director Howard J. Davies | Management | For | For |
| 1.3 | Elect Director Thomas H. Glocer | Management | For | For |
| 1.4 | Elect Director James P. Gorman | Management | For | For |
| 1.5 | Elect Director Robert H. Herz | Management | For | For |
| 1.6 | Elect Director C. Robert Kidder | Management | For | For |
| 1.7 | Elect Director Klaus Kleinfeld | Management | For | For |
| 1.8 | Elect Director Donald T. Nicolaisen | Management | For | For |
| 1.9 | Elect Director Hutham S. Olayan | Management | For | For |
| 1.10 | Elect Director James W. Owens | Management | For | For |
| 1.11 | Elect Director O. Griffith Sexton | Management | For | For |
| 1.12 | Elect Director Ryosuke Tamakoshi | Management | For | For |
| 1.13 | Elect Director Masaaki Tanaka | Management | For | For |
| 1.14 | Elect Director Laura D. Tyson | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Amend Omnibus Stock Plan | Management | For | For |
| 5 | Amend Omnibus Stock Plan | Management | For | For |
| 6 | Amend Executive Incentive Bonus Plan | Management | For | For |
| |
|---|
NATIONAL BANK HOLDINGS CORPORATION
Meeting Date: MAY 01, 2013
Record Date: MAR 15, 2013
Meeting Type: ANNUAL | Ticker: NBHC
Security ID: 633707104
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Frank V. Cahouet | Management | For | For |
| 1.2 | Elect Director Ralph W. Clermont | Management | For | For |
| 1.3 | Elect Director Robert E. Dean | Management | For | For |
| 1.4 | Elect Director Lawrence K. Fish | Management | For | For |
| 1.5 | Elect Director G. Timothy Laney | Management | For | For |
| 1.6 | Elect Director Micho F. Spring | Management | For | For |
| 1.7 | Elect Director Burney S. Warren, III | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| |
|---|
NATIONAL FINANCIAL PARTNERS CORP.
Meeting Date: JUN 19, 2013
Record Date: MAY 16, 2013
Meeting Type: SPECIAL | Ticker: NFP
Security ID: 63607P208
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1 | Approve Merger Agreement | Management | For | For |
| 2 | Advisory Vote on Golden Parachutes | Management | For | Against |
| 3 | Adjourn Meeting | Management | For | For |
| |
|---|
NORTHERN TRUST CORPORATION
Meeting Date: APR 16, 2013
Record Date: FEB 18, 2013
Meeting Type: ANNUAL | Ticker: NTRS
Security ID: 665859104
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Linda Walker Bynoe | Management | For | For |
| 1.2 | Elect Director Nicholas D. Chabraja | Management | For | For |
| 1.3 | Elect Director Susan Crown | Management | For | For |
| 1.4 | Elect Director Dipak C. Jain | Management | For | For |
| 1.5 | Elect Director Robert W. Lane | Management | For | For |
| 1.6 | Elect Director Edward J. Mooney | Management | For | For |
| 1.7 | Elect Director Jose Luis Prado | Management | For | For |
| 1.8 | Elect Director John W. Rowe | Management | For | For |
| 1.9 | Elect Director Martin P. Slark | Management | For | For |
| 1.10 | Elect Director David H. B. Smith, Jr. | Management | For | For |
| 1.11 | Elect Director Charles A. Tribbett, III | Management | For | For |
| 1.12 | Elect Director Frederick H. Waddell | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| 4 | Report on Political Contributions and Lobbying Expenditures | Shareholder | Against | Against |
| |
|---|
NYSE EURONEXT
Meeting Date: APR 25, 2013
Record Date: FEB 28, 2013
Meeting Type: ANNUAL | Ticker: NYX
Security ID: 629491101
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Andre Bergen | Management | For | For |
| 1b | Elect Director Ellyn L. Brown | Management | For | For |
| 1c | Elect Director Marshall N. Carter | Management | For | For |
| 1d | Elect Director Dominique Cerutti | Management | For | For |
| 1e | Elect Director George Cox | Management | For | For |
| 1f | Elect Director Sylvain Hefes | Management | For | For |
| 1g | Elect Director Jan-Michiel Hessels | Management | For | For |
| 1h | Elect Director Lawrence E. Leibowitz | Management | For | For |
| 1i | Elect Director Duncan M. McFarland | Management | For | For |
| 1j | Elect Director James J. McNulty | Management | For | For |
| 1k | Elect Director Duncan L. Niederauer | Management | For | For |
| 1l | Elect Director Luis Maria Viana Palha da Silva | Management | For | For |
| 1m | Elect Director Robert G. Scott | Management | For | For |
| 1n | Elect Director Jackson P. Tai | Management | For | For |
| 1o | Elect Director Rijnhard van Tets | Management | For | For |
| 1p | Elect Director Brian Williamson | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | Against |
| 4 | Amend Omnibus Stock Plan | Management | For | For |
| 5 | Amend Omnibus Stock Plan | Management | For | For |
| 6 | Provide Right to Call Special Meeting | Management | For | For |
| 7 | Provide Right to Act by Written Consent | Management | For | For |
| |
|---|
NYSE EURONEXT
Meeting Date: JUN 03, 2013
Record Date: APR 26, 2013
Meeting Type: SPECIAL | Ticker: NYX
Security ID: 629491101
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1 | Approve Merger Agreement | Management | For | For |
| 2 | Advisory Vote on Golden Parachutes | Management | For | Against |
| 3 | Adjourn Meeting | Management | For | For |
| |
|---|
OCH-ZIFF CAPITAL MANAGEMENT GROUP LLC
Meeting Date: MAY 07, 2013
Record Date: MAR 12, 2013
Meeting Type: ANNUAL | Ticker: OZM
Security ID: 67551U105
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Daniel S. Och | Management | For | For |
| 1.2 | Elect Director Jerome P. Kenney | Management | For | For |
| 2 | Approve Omnibus Stock Plan | Management | For | Against |
| 3 | Ratify Auditors | Management | For | For |
| |
|---|
PRUDENTIAL FINANCIAL, INC.
Meeting Date: MAY 14, 2013
Record Date: MAR 15, 2013
Meeting Type: ANNUAL | Ticker: PRU
Security ID: 744320102
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Thomas J. Baltimore, Jr. | Management | For | For |
| 1.2 | Elect Director Gordon M. Bethune | Management | For | For |
| 1.3 | Elect Director Gaston Caperton | Management | For | For |
| 1.4 | Elect Director Gilbert F. Casellas | Management | For | For |
| 1.5 | Elect Director James G. Cullen | Management | For | For |
| 1.6 | Elect Director William H. Gray, III | Management | For | For |
| 1.7 | Elect Director Mark B. Grier | Management | For | For |
| 1.8 | Elect Director Constance J. Horner | Management | For | For |
| 1.9 | Elect Director Martina Hund-Mejean | Management | For | For |
| 1.10 | Elect Director Karl J. Krapek | Management | For | For |
| 1.11 | Elect Director Christine A. Poon | Management | For | For |
| 1.12 | Elect Director John R. Strangfeld | Management | For | For |
| 1.13 | Elect Director James A. Unruh | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Provide Right to Act by Written Consent | Shareholder | Against | Against |
| |
|---|
REGIONS FINANCIAL CORPORATION
Meeting Date: MAY 16, 2013
Record Date: MAR 18, 2013
Meeting Type: ANNUAL | Ticker: RF
Security ID: 7591EP100
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director George W. Bryan | Management | For | For |
| 1b | Elect Director Carolyn H. Byrd | Management | For | For |
| 1c | Elect Director David J. Cooper, Sr. | Management | For | For |
| 1d | Elect Director Don DeFosset | Management | For | For |
| 1e | Elect Director Eric C. Fast | Management | For | For |
| 1f | Elect Director O.B. Grayson Hall, Jr. | Management | For | For |
| 1g | Elect Director John D. Johns | Management | For | For |
| 1h | Elect Director Charles D. McCrary | Management | For | For |
| 1i | Elect Director James R. Malone | Management | For | For |
| 1j | Elect Director Ruth Ann Marshall | Management | For | For |
| 1k | Elect Director Susan W. Matlock | Management | For | For |
| 1l | Elect Director John E. Maupin, Jr. | Management | For | For |
| 1m | Elect Director John R. Roberts | Management | For | For |
| 1n | Elect Director Lee J. Styslinger, III | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Approve Executive Incentive Bonus Plan | Management | For | For |
| 4 | Ratify Auditors | Management | For | For |
| 5 | Report on Political Contributions | Shareholder | Against | Against |
| |
|---|
SBERBANK OF RUSSIA
Meeting Date: MAY 31, 2013
Record Date: APR 11, 2013
Meeting Type: ANNUAL | Ticker: SBER
Security ID: 80585Y407
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1 | Approve Annual Report | Management | For | For |
| 2 | Approve Financial Statements | Management | For | For |
| 3 | Approve Allocation of Income and Dividends of RUB 2.57 per Common Share and RUB 3.20 per Preferred Share | Management | For | For |
| 4 | Ratify Auditor | Management | For | For |
| 5.1 | Elect German Gref as Director | Management | None | Against |
| 5.2 | Elect Sergey Guriyev as Director | Management | None | For |
| 5.3 | Elect Mikhail Dmitriev as Director | Management | None | Against |
| 5.4 | Elect Bella Zlatkis as Director | Management | None | Against |
| 5.5 | Elect Nadezhda Ivanova as Director | Management | None | Against |
| 5.6 | Elect Sergey Ignatyev as Director | Management | None | Against |
| 5.7 | Elect Alexei Kudrin as Director | Management | None | Against |
| 5.8 | Elect Ilya Lomakin-Rumyantsev as Director | Management | None | Against |
| 5.9 | Elect Georgy Luntovsky as Director | Management | None | Against |
| 5.10 | Elect Mikhail Matovnikov as Director | Management | None | Against |
| 5.11 | Elect Vladimir Mau as Director | Management | None | For |
| 5.12 | Elect Alexey Moiseev as Director | Management | None | Against |
| 5.13 | Elect Alessandro Profumo as Director | Management | None | Against |
| 5.14 | Elect Sergey Sinelnikov-Murylev as Director | Management | None | Against |
| 5.15 | Elect Dmitriy Tulin as Director | Management | None | Against |
| 5.16 | Elect Alexei Ulyukayev as Director | Management | None | Against |
| 5.17 | Elect Ronald Freeman as Director | Management | None | Against |
| 5.18 | Elect Sergey Shvetsov as Director | Management | None | Against |
| 5.19 | Elect Ahmet Egilmez Mahfi as Director | Management | None | For |
| 6.1 | Elect Natalya Borodina as Member of Audit Commission | Management | For | For |
| 6.2 | Elect Vladimir Volkov as Member of Audit Commission | Management | For | For |
| 6.3 | Elect Maxim Dolzhnikov as Member of Audit Commission | Management | For | For |
| 6.4 | Elect Yuliya Isakhanova as Member of Audit Commission | Management | For | For |
| 6.5 | Elect Aleksey Minenko as Member of Audit Commission | Management | For | For |
| 6.6 | Elect Olga Polyakova as Member of Audit Commission | Management | For | For |
| 6.7 | Elect Natalia Revina as Member of Audit Commission | Management | For | For |
| 7 | Approve Remuneration of Directors and Members of Audit Comission | Management | For | For |
| 8 | Approve Regulations on Remuneration of Directors | Management | For | For |
| 9 | Approve New Edition of Charter | Management | For | For |
| |
|---|
SLM CORPORATION
Meeting Date: MAY 30, 2013
Record Date: APR 02, 2013
Meeting Type: ANNUAL | Ticker: SLM
Security ID: 78442P106
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Ann Torre Bates | Management | For | For |
| 1b | Elect Director W.M. Diefenderfer III | Management | For | For |
| 1c | Elect Director Diane Suitt Gilleland | Management | For | For |
| 1d | Elect Director Earl A. Goode | Management | For | For |
| 1e | Elect Director Ronald F. Hunt | Management | For | For |
| 1f | Elect Director Albert L. Lord | Management | For | For |
| 1g | Elect Director Barry A. Munitz | Management | For | For |
| 1h | Elect Director Howard H. Newman | Management | For | For |
| 1i | Elect Director Frank C. Puleo | Management | For | For |
| 1j | Elect Director Wolfgang Schoellkopf | Management | For | For |
| 1k | Elect Director Steven L. Shapiro | Management | For | For |
| 1l | Elect Director Anthony P. Terracciano | Management | For | For |
| 1m | Elect Director Barry L. Williams | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| 4 | Report on Lobbying Payments and Policy | Shareholder | Against | Against |
| |
|---|
STANDARD CHARTERED PLC
Meeting Date: MAY 08, 2013
Record Date: MAY 03, 2013
Meeting Type: ANNUAL | Ticker: STAN
Security ID: G84228157
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1 | Accept Financial Statements and Statutory Reports | Management | For | For |
| 2 | Approve Final Dividend | Management | For | For |
| 3 | Approve Remuneration Report | Management | For | For |
| 4 | Elect Om Bhatt as Director | Management | For | For |
| 5 | Elect Dr Louis Chi-Yan Cheung as Director | Management | For | For |
| 6 | Elect Margaret Ewing as Director | Management | For | For |
| 7 | Elect Dr Lars Thunell as Director | Management | For | For |
| 8 | Re-elect Stefano Bertamini as Director | Management | For | For |
| 9 | Re-elect Jaspal Bindra as Director | Management | For | For |
| 10 | Re-elect James Dundas as Director | Management | For | For |
| 11 | Re-elect Dr Han Seung-soo as Director | Management | For | For |
| 12 | Re-elect Simon Lowth as Director | Management | For | For |
| 13 | Re-elect Rudolph Markham as Director | Management | For | For |
| 14 | Re-elect Ruth Markland as Director | Management | For | For |
| 15 | Re-elect Richard Meddings as Director | Management | For | For |
| 16 | Re-elect John Paynter as Director | Management | For | For |
| 17 | Re-elect Sir John Peace as Director | Management | For | For |
| 18 | Re-elect Alun Rees as Director | Management | For | For |
| 19 | Re-elect Peter Sands as Director | Management | For | For |
| 20 | Re-elect Viswanathan Shankar as Director | Management | For | For |
| 21 | Re-elect Paul Skinner as Director | Management | For | For |
| 22 | Re-elect Oliver Stocken as Director | Management | For | For |
| 23 | Reappoint KPMG Audit plc as Auditors | Management | For | For |
| 24 | Authorise Board to Fix Remuneration of Auditors | Management | For | For |
| 25 | Approve EU Political Donations and Expenditure | Management | For | For |
| 26 | Authorise Issue of Equity with Pre-emptive Rights | Management | For | For |
| 27 | Authorise Issue of Equity with Pre-emptive Rights | Management | For | For |
| 28 | Authorise Issue of Equity without Pre-emptive Rights | Management | For | For |
| 29 | Authorise Market Purchase of Ordinary Shares | Management | For | For |
| 30 | Authorise Market Purchase of Preference Shares | Management | For | For |
| 31 | Authorise the Company to Call EGM with Two Weeks' Notice | Management | For | For |
| 32 | Approve Sharesave Plan | Management | For | For |
| |
|---|
STATE AUTO FINANCIAL CORPORATION
Meeting Date: MAY 03, 2013
Record Date: MAR 08, 2013
Meeting Type: ANNUAL | Ticker: STFC
Security ID: 855707105
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Robert E. Baker | Management | For | For |
| 1.2 | Elect Director Thomas E. Markert | Management | For | For |
| 1.3 | Elect Director Alexander B. Trevor | Management | For | For |
| 2 | Amend Omnibus Stock Plan | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| 4 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| |
|---|
STATE STREET CORPORATION
Meeting Date: MAY 15, 2013
Record Date: MAR 15, 2013
Meeting Type: ANNUAL | Ticker: STT
Security ID: 857477103
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Kennett F. Burnes | Management | For | For |
| 1b | Elect Director Peter Coym | Management | For | For |
| 1c | Elect Director Patrick de Saint-Aignan | Management | For | For |
| 1d | Elect Director Amelia C. Fawcett | Management | For | For |
| 1e | Elect Director Linda A. Hill | Management | For | For |
| 1f | Elect Director Joseph L. Hooley | Management | For | For |
| 1g | Elect Director Robert S. Kaplan | Management | For | For |
| 1h | Elect Director Richard P. Sergel | Management | For | For |
| 1i | Elect Director Ronald L. Skates | Management | For | For |
| 1j | Elect Director Gregory L. Summe | Management | For | For |
| 1k | Elect Director Thomas J. Wilson | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| |
|---|
STIFEL FINANCIAL CORP.
Meeting Date: JUN 12, 2013
Record Date: APR 15, 2013
Meeting Type: ANNUAL | Ticker: SF
Security ID: 860630102
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Michael W. Brown | Management | For | For |
| 1.2 | Elect Director John P. Dubinsky | Management | For | For |
| 1.3 | Elect Director Robert E. Grady | Management | For | For |
| 1.4 | Elect Director Thomas B. Michaud | Management | For | For |
| 1.5 | Elect Director James M. Oates | Management | For | For |
| 1.6 | Elect Director Ben A. Plotkin | Management | For | For |
| 1.7 | Elect Director Michael J. Zimmerman | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| |
|---|
SUNTRUST BANKS, INC.
Meeting Date: APR 23, 2013
Record Date: FEB 13, 2013
Meeting Type: ANNUAL | Ticker: STI
Security ID: 867914103
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Robert M. Beall, II | Management | For | For |
| 1.2 | Elect Director Alston D. Correll | Management | For | For |
| 1.3 | Elect Director Jeffrey C. Crowe | Management | For | For |
| 1.4 | Elect Director David H. Hughes | Management | For | For |
| 1.5 | Elect Director M. Douglas Ivester | Management | For | For |
| 1.6 | Elect Director Kyle Prechtl Legg | Management | For | For |
| 1.7 | Elect Director William A. Linnenbringer | Management | For | For |
| 1.8 | Elect Director Donna S. Morea | Management | For | For |
| 1.9 | Elect Director David M. Ratcliffe | Management | For | For |
| 1.10 | Elect Director William H. Rogers, Jr. | Management | For | For |
| 1.11 | Elect Director Frank W. Scruggs | Management | For | For |
| 1.12 | Elect Director Thomas R. Watjen | Management | For | For |
| 1.13 | Elect Director Phail Wynn, Jr. | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| |
|---|
TCF FINANCIAL CORPORATION
Meeting Date: APR 24, 2013
Record Date: FEB 25, 2013
Meeting Type: ANNUAL | Ticker: TCB
Security ID: 872275102
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Raymond L. Barton | Management | For | For |
| 1.2 | Elect Director Peter Bell | Management | For | For |
| 1.3 | Elect Director William F. Bieber | Management | For | For |
| 1.4 | Elect Director Theodore J. Bigos | Management | For | For |
| 1.5 | Elect Director William A. Cooper | Management | For | For |
| 1.6 | Elect Director Thomas A. Cusick | Management | For | For |
| 1.7 | Elect Director Craig R. Dahl | Management | For | For |
| 1.8 | Elect Director Karen L. Grandstrand | Management | For | For |
| 1.9 | Elect Director Thomas F. Jasper | Management | For | For |
| 1.10 | Elect Director George G. Johnson | Management | For | For |
| 1.11 | Elect Director Vance K. Opperman | Management | For | For |
| 1.12 | Elect Director James M. Ramstad | Management | For | For |
| 1.13 | Elect Director Gerald A. Schwalbach | Management | For | For |
| 1.14 | Elect Director Barry N. Winslow | Management | For | For |
| 1.15 | Elect Director Richard A. Zona | Management | For | For |
| 2 | Amend Omnibus Stock Plan | Management | For | For |
| 3 | Amend Executive Incentive Bonus Plan | Management | For | For |
| 4 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 5 | Ratify Auditors | Management | For | For |
| |
|---|
TD AMERITRADE HOLDING CORPORATION
Meeting Date: FEB 13, 2013
Record Date: DEC 17, 2012
Meeting Type: ANNUAL | Ticker: AMTD
Security ID: 87236Y108
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Marshall A. Cohen | Management | For | Withhold |
| 1.2 | Elect Director Kerry A. Peacock | Management | For | For |
| 1.3 | Elect Director J. Peter Ricketts | Management | For | For |
| 1.4 | Elect Director Allan R. Tessler | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| |
|---|
TEXAS CAPITAL BANCSHARES, INC.
Meeting Date: MAY 14, 2013
Record Date: MAR 25, 2013
Meeting Type: ANNUAL | Ticker: TCBI
Security ID: 88224Q107
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director George F. Jones, Jr. | Management | For | For |
| 1.2 | Elect Director Peter B. Bartholow | Management | For | For |
| 1.3 | Elect Director James H. Browning | Management | For | For |
| 1.4 | Elect Director Preston M. Geren, III | Management | For | For |
| 1.5 | Elect Director Frederick B. Hegi, Jr. | Management | For | For |
| 1.6 | Elect Director Larry L. Helm | Management | For | For |
| 1.7 | Elect Director James R. Holland, Jr. | Management | For | For |
| 1.8 | Elect Director W. W. McAllister, III | Management | For | For |
| 1.9 | Elect Director Elysia Holt Ragusa | Management | For | For |
| 1.10 | Elect Director Steven P. Rosenberg | Management | For | For |
| 1.11 | Elect Director Grant E. Sims | Management | For | For |
| 1.12 | Elect Director Robert W. Stallings | Management | For | For |
| 1.13 | Elect Director Dale W. Tremblay | Management | For | Withhold |
| 1.14 | Elect Director Ian J. Turpin | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| |
|---|
THE ALLSTATE CORPORATION
Meeting Date: MAY 21, 2013
Record Date: MAR 22, 2013
Meeting Type: ANNUAL | Ticker: ALL
Security ID: 020002101
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director F. Duane Ackerman | Management | For | For |
| 1b | Elect Director Robert D. Beyer | Management | For | For |
| 1c | Elect Director Kermit R. Crawford | Management | For | For |
| 1d | Elect Director Jack M. Greenberg | Management | For | For |
| 1e | Elect Director Herbert L. Henkel | Management | For | For |
| 1f | Elect Director Ronald T. LeMay | Management | For | For |
| 1g | Elect Director Andrea Redmond | Management | For | For |
| 1h | Elect Director H. John Riley, Jr. | Management | For | For |
| 1i | Elect Director John W. Rowe | Management | For | For |
| 1j | Elect Director Judith A. Sprieser | Management | For | For |
| 1k | Elect Director Mary Alice Taylor | Management | For | For |
| 1l | Elect Director Thomas J. Wilson | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Amend Omnibus Stock Plan | Management | For | For |
| 4 | Ratify Auditors | Management | For | For |
| 5 | Stock Retention/Holding Period | Shareholder | Against | Against |
| 6 | Report on Lobbying Payments and Policy | Shareholder | Against | Against |
| |
|---|
THE CHUBB CORPORATION
Meeting Date: APR 30, 2013
Record Date: MAR 04, 2013
Meeting Type: ANNUAL | Ticker: CB
Security ID: 171232101
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Election Of Director Zoe Baird Budinger | Management | For | For |
| 1b | Election Of Director Sheila P. Burke | Management | For | For |
| 1c | Election Of Director James I. Cash, Jr. | Management | For | For |
| 1d | Election Of Director John D. Finnegan | Management | For | For |
| 1e | Election Of Director Lawrence W. Kellner | Management | For | For |
| 1f | Election Of Director Martin G. Mcguinn | Management | For | For |
| 1g | Election Of Director Lawrence M. Small | Management | For | For |
| 1h | Election Of Director Jess Soderberg | Management | For | For |
| 1i | Election Of Director Daniel E. Somers | Management | For | For |
| 1j | Election Of Director William C. Weldon | Management | For | For |
| 1k | Election Of Director James M. Zimmerman | Management | For | For |
| 1l | Election Of Director Alfred W. Zollar | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Require Consistency with Corporate Values and Report on Political Contributions | Shareholder | Against | Against |
| 5 | Report on Sustainability | Shareholder | Against | Against |
| |
|---|
THE GOLDMAN SACHS GROUP, INC.
Meeting Date: MAY 23, 2013
Record Date: MAR 25, 2013
Meeting Type: ANNUAL | Ticker: GS
Security ID: 38141G104
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1 | Elect Director Lloyd C. Blankfein | Management | For | For |
| 2 | Elect Director M. Michele Burns | Management | For | For |
| 3 | Elect Director Gary D. Cohn | Management | For | For |
| 4 | Elect Director Claes Dahlback | Management | For | For |
| 5 | Elect Director William W. George | Management | For | For |
| 6 | Elect Director James A. Johnson | Management | For | For |
| 7 | Elect Director Lakshmi N. Mittal | Management | For | For |
| 8 | Elect Director Adebayo O. Ogunlesi | Management | For | For |
| 9 | Elect Director James J. Schiro | Management | For | For |
| 10 | Elect Director Debora L. Spar | Management | For | For |
| 11 | Elect Director Mark E. Tucker | Management | For | For |
| 12 | Elect Director David A. Viniar | Management | For | For |
| 13 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 14 | Approve Omnibus Stock Plan | Management | For | For |
| 15 | Ratify Auditors | Management | For | For |
| 16 | Establish Board Committee on Human Rights | Shareholder | Against | Against |
| 17 | Report on Lobbying Payments and Policy | Shareholder | Against | Against |
| 18 | Adopt Proxy Access Right | Shareholder | Against | Against |
| 19 | Employ Investment Bank to Explore Alternatives to Maximize Shareholder Value | Shareholder | Against | Against |
| |
|---|
THE PNC FINANCIAL SERVICES GROUP, INC.
Meeting Date: APR 23, 2013
Record Date: JAN 31, 2013
Meeting Type: ANNUAL | Ticker: PNC
Security ID: 693475105
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Richard O. Berndt | Management | For | For |
| 1.2 | Elect Director Charles E. Bunch | Management | For | For |
| 1.3 | Elect Director Paul W. Chellgren | Management | For | For |
| 1.4 | Elect Director William S. Demchak | Management | For | For |
| 1.5 | Elect Director Kay Coles James | Management | For | For |
| 1.6 | Elect Director Richard B. Kelson | Management | For | For |
| 1.7 | Elect Director Bruce C. Lindsay | Management | For | For |
| 1.8 | Elect Director Anthony A. Massaro | Management | For | For |
| 1.9 | Elect Director Jane G. Pepper | Management | For | For |
| 1.10 | Elect Director James E. Rohr | Management | For | For |
| 1.11 | Elect Director Donald J. Shepard | Management | For | For |
| 1.12 | Elect Director Lorene K. Steffes | Management | For | For |
| 1.13 | Elect Director Dennis F. Strigl | Management | For | For |
| 1.14 | Elect Director Thomas J. Usher | Management | For | For |
| 1.15 | Elect Director George H. Walls, Jr. | Management | For | For |
| 1.16 | Elect Director Helge H. Wehmeier | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Report on Climate Change Financing Risk | Shareholder | Against | Against |
| |
|---|
THE PROGRESSIVE CORPORATION
Meeting Date: MAY 16, 2013
Record Date: MAR 18, 2013
Meeting Type: ANNUAL | Ticker: PGR
Security ID: 743315103
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Lawton W. Fitt | Management | For | For |
| 1.2 | Elect Director Jeffrey D. Kelly | Management | For | For |
| 1.3 | Elect Director Peter B. Lewis | Management | For | For |
| 1.4 | Elect Director Patrick H. Nettles | Management | For | For |
| 1.5 | Elect Director Glenn M. Renwick | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| |
|---|
THE RYLAND GROUP, INC.
Meeting Date: APR 24, 2013
Record Date: FEB 12, 2013
Meeting Type: ANNUAL | Ticker: RYL
Security ID: 783764103
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director William L. Jews | Management | For | For |
| 1.2 | Elect Director Ned Mansour | Management | For | For |
| 1.3 | Elect Director Robert E. Mellor | Management | For | For |
| 1.4 | Elect Director Norman J. Metcalfe | Management | For | For |
| 1.5 | Elect Director Larry T. Nicholson | Management | For | For |
| 1.6 | Elect Director Charlotte St. Martin | Management | For | For |
| 1.7 | Elect Director Robert G. van Schoonenberg | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Approve Executive Incentive Bonus Plan | Management | For | For |
| 4 | Ratify Auditors | Management | For | For |
| |
|---|
THE ST. JOE COMPANY
Meeting Date: MAY 16, 2013
Record Date: MAR 15, 2013
Meeting Type: ANNUAL | Ticker: JOE
Security ID: 790148100
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Cesar L. Alvarez | Management | For | For |
| 1b | Elect Director Bruce R. Berkowitz | Management | For | For |
| 1c | Elect Director Park Brady | Management | For | For |
| 1d | Elect Director Howard S. Frank | Management | For | For |
| 1e | Elect Director Jeffrey C. Keil | Management | For | For |
| 1f | Elect Director Stanley Martin | Management | For | For |
| 1g | Elect Director Thomas P. Murphy, Jr. | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| |
|---|
THE TRAVELERS COMPANIES, INC.
Meeting Date: MAY 22, 2013
Record Date: MAR 25, 2013
Meeting Type: ANNUAL | Ticker: TRV
Security ID: 89417E109
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Alan L. Beller | Management | For | For |
| 1b | Elect Director John H. Dasburg | Management | For | For |
| 1c | Elect Director Janet M. Dolan | Management | For | For |
| 1d | Elect Director Kenneth M. Duberstein | Management | For | For |
| 1e | Elect Director Jay S. Fishman | Management | For | For |
| 1f | Elect Director Patricia L. Higgins | Management | For | For |
| 1g | Elect Director Thomas R. Hodgson | Management | For | For |
| 1h | Elect Director William J. Kane | Management | For | For |
| 1i | Elect Director Cleve L. Killingsworth, Jr. | Management | For | For |
| 1j | Elect Director Donald J. Shepard | Management | For | For |
| 1k | Elect Director Laurie J. Thomsen | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Authorize New Class of Preferred Stock | Management | For | For |
| 5 | Report on Political Contributions | Shareholder | Against | Against |
| |
|---|
U.S. BANCORP
Meeting Date: APR 16, 2013
Record Date: FEB 20, 2013
Meeting Type: ANNUAL | Ticker: USB
Security ID: 902973304
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Douglas M. Baker, Jr. | Management | For | For |
| 1b | Elect Director Y. Marc Belton | Management | For | For |
| 1c | Elect Director Victoria Buyniski Gluckman | Management | For | For |
| 1d | Elect Director Arthur D. Collins, Jr. | Management | For | For |
| 1e | Elect Director Richard K. Davis | Management | For | For |
| 1f | Elect Director Roland A. Hernandez | Management | For | Against |
| 1g | Elect Director Doreen Woo Ho | Management | For | For |
| 1h | Elect Director Joel W. Johnson | Management | For | For |
| 1i | Elect Director Olivia F. Kirtley | Management | For | For |
| 1j | Elect Director Jerry W. Levin | Management | For | For |
| 1k | Elect Director David B. O'Maley | Management | For | For |
| 1l | Elect Director O'dell M. Owens | Management | For | For |
| 1m | Elect Director Craig D. Schnuck | Management | For | For |
| 1n | Elect Director Patrick T. Stokes | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Require Independent Board Chairman | Shareholder | Against | Against |
| |
|---|
UNICREDIT SPA
Meeting Date: MAY 11, 2013
Record Date: MAY 02, 2013
Meeting Type: ANNUAL/SPECIAL | Ticker: UCG
Security ID: T960AS101
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1 | Accept Financial Statements and Statutory Reports | Management | For | For |
| 2 | Approve Allocation of Income | Management | For | For |
| 3.1 | Slate Submitted by Fondazione Cassa di Risparmio di Verona Vicenza Belluno e Ancona | Shareholder | None | Did Not Vote |
| 3.2 | Slate Submitted by Institutional Investors | Shareholder | None | For |
| 4 | Approve Internal Auditors' Remuneration | Management | For | For |
| 5 | Elect Three Directors (Bundled); Authorize Board Members to Assume Positions in Competing Companies | Management | For | For |
| 6 | Approve Remuneration of Directors | Management | For | For |
| 7 | Approve Remuneration Report | Management | For | For |
| 8 | Approve 2013 Group Incentive System | Management | For | For |
| 9 | Approve Group Employees Share Ownership Plan 2013 | Management | For | For |
| 1 | Amend Company Bylaws | Management | For | For |
| 2 | Approve Capital Increase to Service Incentive Plans | Management | For | For |
| |
|---|
VANTIV, INC.
Meeting Date: APR 30, 2013
Record Date: MAR 01, 2013
Meeting Type: ANNUAL | Ticker: VNTV
Security ID: 92210H105
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Lee Adrean | Management | For | For |
| 1.2 | Elect Director Lori A. Beer | Management | For | For |
| 1.3 | Elect Director Gary Lauer | Management | For | For |
| 1.4 | Elect Director Thomas Ryan | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Advisory Vote on Say on Pay Frequency | Management | One Year | One Year |
| 4 | Ratify Auditors | Management | For | For |
| |
|---|
VISA INC.
Meeting Date: JAN 30, 2013
Record Date: DEC 04, 2012
Meeting Type: ANNUAL | Ticker: V
Security ID: 92826C839
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Gary P. Coughlan | Management | For | For |
| 1b | Elect Director Mary B. Cranston | Management | For | For |
| 1c | Elect Director Francisco Javier Fernandez-Carbajal | Management | For | For |
| 1d | Elect Director Robert W. Matschullat | Management | For | For |
| 1e | Elect Director Cathy E. Minehan | Management | For | For |
| 1f | Elect Director Suzanne Nora Johnson | Management | For | For |
| 1g | Elect Director David J. Pang | Management | For | For |
| 1h | Elect Director Joseph W. Saunders | Management | For | For |
| 1i | Elect Director Charles W. Scharf | Management | For | For |
| 1j | Elect Director William S. Shanahan | Management | For | For |
| 1k | Elect Director John A. Swainson | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| 4 | Report on Lobbying Payments and Policy | Shareholder | Against | Against |
| |
|---|
WADDELL & REED FINANCIAL, INC.
Meeting Date: APR 17, 2013
Record Date: FEB 20, 2013
Meeting Type: ANNUAL | Ticker: WDR
Security ID: 930059100
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Henry J. Herrmann | Management | For | For |
| 1.2 | Elect Director James M. Raines | Management | For | Withhold |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| |
|---|
WALKER & DUNLOP, INC.
Meeting Date: AUG 30, 2012
Record Date: JUL 06, 2012
Meeting Type: SPECIAL | Ticker: WD
Security ID: 93148P102
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1 | Issue Shares in Connection with Acquisition | Management | For | For |
| 2 | Amend Omnibus Stock Plan | Management | For | Against |
| 3 | Adjourn Meeting | Management | For | For |
| |
|---|
WALKER & DUNLOP, INC.
Meeting Date: JUN 05, 2013
Record Date: APR 05, 2013
Meeting Type: ANNUAL | Ticker: WD
Security ID: 93148P102
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Alan J. Bowers | Management | For | For |
| 1.2 | Elect Director Andrew C. Florance | Management | For | For |
| 1.3 | Elect Director Mitchell M. Gaynor | Management | For | For |
| 1.4 | Elect Director Cynthia A. Hallenbeck | Management | For | For |
| 1.5 | Elect Director Michael D. Malone | Management | For | For |
| 1.6 | Elect Director John Rice | Management | For | For |
| 1.7 | Elect Director Dana L. Schmaltz | Management | For | For |
| 1.8 | Elect Director Howard W. Smith, III | Management | For | For |
| 1.9 | Elect Director Edmund F. Taylor | Management | For | For |
| 1.10 | Elect Director William M. Walker | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| |
|---|
WELLS FARGO & COMPANY
Meeting Date: APR 23, 2013
Record Date: FEB 26, 2013
Meeting Type: ANNUAL | Ticker: WFC
Security ID: 949746101
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director John D. Baker, II | Management | For | For |
| 1b | Elect Director Elaine L. Chao | Management | For | For |
| 1c | Elect Director John S. Chen | Management | For | For |
| 1d | Elect Director Lloyd H. Dean | Management | For | For |
| 1e | Elect Director Susan E. Engel | Management | For | For |
| 1f | Elect Director Enrique Hernandez, Jr. | Management | For | For |
| 1g | Elect Director Donald M. James | Management | For | For |
| 1h | Elect Director Cynthia H. Milligan | Management | For | For |
| 1i | Elect Director Federico F. Pena | Management | For | For |
| 1j | Elect Director Howard V. Richardson | Management | For | For |
| 1k | Elect Director Judith M. Runstad | Management | For | For |
| 1l | Elect Director Stephen W. Sanger | Management | For | For |
| 1m | Elect Director John G. Stumpf | Management | For | For |
| 1n | Elect Director Susan G. Swenson | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Amend Omnibus Stock Plan | Management | For | For |
| 4 | Ratify Auditors | Management | For | For |
| 5 | Require Independent Board Chairman | Shareholder | Against | Against |
| 6 | Report on Lobbying Payments and Policy | Shareholder | Against | Against |
| 7 | Review Fair Housing and Fair Lending Compliance | Shareholder | Against | For |
| |
|---|
WESTERN ALLIANCE BANCORPORATION
Meeting Date: MAY 21, 2013
Record Date: APR 01, 2013
Meeting Type: ANNUAL | Ticker: WAL
Security ID: 957638109
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Cary Mack | Management | For | For |
| 1.2 | Elect Director Todd Marshall | Management | For | For |
| 1.3 | Elect Director M. Nafees Nagy | Management | For | For |
| 1.4 | Elect Director James E. Nave | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| |
|---|
WHITE MOUNTAINS INSURANCE GROUP, LTD.
Meeting Date: MAY 23, 2013
Record Date: APR 01, 2013
Meeting Type: ANNUAL | Ticker: WTM
Security ID: G9618E107
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Morgan W. Davis as Director | Management | For | For |
| 1.2 | Elect Edith E. Holiday as Director | Management | For | For |
| 1.3 | Elect Lowndes A. Smith as Director | Management | For | For |
| 2.1 | Elect Jeffrey Davis as Director for Sirius International Insurance Corporation | Management | For | For |
| 2.2 | Elect Lars Ek as Director for Sirius International Insurance Corporation | Management | For | For |
| 2.3 | Elect Brian E. Kensil as Director for Sirius International Insurance Corporation | Management | For | For |
| 2.4 | Elect Jan Onselius as Director for Sirius International Insurance Corporation | Management | For | For |
| 2.5 | Elect Goran A. Thorstensson as Director for Sirius International Insurance Corporation | Management | For | For |
| 2.6 | Elect Allan L. Waters as Director for Sirius International Insurance Corporation | Management | For | For |
| 3.1 | Elect Sheila E. Nicoll as Director for HG Re Ltd. | Management | For | For |
| 3.2 | Elect Kevin Pearson as Director for HG Re Ltd. | Management | For | For |
| 3.3 | Elect Warren J. Trace as Director for HG Re Ltd. | Management | For | For |
| 3.4 | Elect Allan L. Waters as Director for HG Re Ltd. | Management | For | For |
| 4.1 | Elect Jennifer L. Pitts as Director for White Mountains Life Reinsurance (Bermuda) Ltd. | Management | For | For |
| 4.2 | Elect Christine H. Repasy as Director for White Mountains Life Reinsurance (Bermuda) Ltd. | Management | For | For |
| 4.3 | Elect Warren J. Trace as Director for White Mountains Life Reinsurance (Bermuda) Ltd. | Management | For | For |
| 4.4 | Elect Allan L. Waters as Director for White Mountains Life Reinsurance (Bermuda) Ltd. | Management | For | For |
| 5.1 | Elect Christine H. Repasy as Director for White Shoals Re Ltd. | Management | For | For |
| 5.2 | Elect Warren J. Trace as Director for White Shoals Re Ltd. | Management | For | For |
| 5.3 | Elect Allan L. Waters as Director for White Shoals Re Ltd. | Management | For | For |
| 6.1 | Elect Christine H. Repasy as Director for Star Re Ltd. | Management | For | For |
| 6.2 | Elect Goran A. Thorstensson as Director for Star Re Ltd. | Management | For | For |
| 6.3 | Elect Warren J. Trace as Director for Star Re Ltd. | Management | For | For |
| 6.4 | Elect Allan L. Waters as Director for Star Re Ltd. | Management | For | For |
| 7.1 | Elect Michael Dashfield as Director of Sirius Capital Ltd. | Management | For | For |
| 7.2 | Elect Lars Ek as Director of Sirius Capital Ltd. | Management | For | For |
| 7.3 | Elect Goran A. Thorstensson as Director of Sirius Capital Ltd. | Management | For | For |
| 7.4 | Elect Allan L. Waters as Director of Sirius Capital Ltd. | Management | For | For |
| 8.1 | Elect Paul J. Brehm as Director of Split Rock Insurance, Ltd. | Management | For | For |
| 8.2 | Elect Sarah A. Kolar as Director of Split Rock Insurance, Ltd. | Management | For | For |
| 8.3 | Elect Sheila E. Nicoll as Director of Split Rock Insurance, Ltd. | Management | For | For |
| 8.4 | Elect John C. Treacy as Director of Split Rock Insurance, Ltd. | Management | For | For |
| 9.1 | Elect Raymond Barrette as Director for Any New Designated Subsidiary | Management | For | For |
| 9.2 | Elect David T. Foy as Director for Any New Designated Subsidiary | Management | For | For |
| 9.3 | Elect Jennifer L. Pitts as Director for Any New Designated Subsidiary | Management | For | For |
| 9.4 | Elect Warren J. Trace as Director for Any New Designated Subsidiary | Management | For | For |
| 10 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 11 | Amend Omnibus Stock Plan | Management | For | For |
| 12 | Ratify PricewaterhouseCoopers LLP as Auditors | Management | For | For |
| |
|---|
WINTRUST FINANCIAL CORPORATION
Meeting Date: MAY 23, 2013
Record Date: APR 04, 2013
Meeting Type: ANNUAL | Ticker: WTFC
Security ID: 97650W108
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Peter D. Crist | Management | For | For |
| 1.2 | Elect Director Bruce K. Crowther | Management | For | For |
| 1.3 | Elect Director Joseph F. Damico | Management | For | For |
| 1.4 | Elect Director Bert A. Getz, Jr. | Management | For | For |
| 1.5 | Elect Director H. Patrick Hackett, Jr. | Management | For | For |
| 1.6 | Elect Director Scott K. Heitmann | Management | For | For |
| 1.7 | Elect Director Charles H. James, III | Management | For | For |
| 1.8 | Elect Director Albin F. Moschner | Management | For | For |
| 1.9 | Elect Director Thomas J. Neis | Management | For | For |
| 1.10 | Elect Director Christopher J. Perry | Management | For | For |
| 1.11 | Elect Director Ingrid S. Stafford | Management | For | For |
| 1.12 | Elect Director Sheila G. Talton | Management | For | For |
| 1.13 | Elect Director Edward J. Wehmer | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| |
|---|
XL GROUP PLC
Meeting Date: APR 26, 2013
Record Date: MAR 06, 2013
Meeting Type: ANNUAL | Ticker: XL
Security ID: G98290102
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1 | Elect Joseph Mauriello as Director | Management | For | For |
| 2 | Elect Eugene M. McQuade as Director | Management | For | For |
| 3 | Elect Clayton S. Rose as Director | Management | For | For |
| 4 | Approve PricewaterhouseCoopers LLP as Auditors and Authorize Board to Fix Their Remuneration | Management | For | For |
| 5 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| |
|---|
ZIONS BANCORPORATION
Meeting Date: MAY 24, 2013
Record Date: MAR 20, 2013
Meeting Type: ANNUAL | Ticker: ZION
Security ID: 989701107
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Jerry C. Atkin | Management | For | For |
| 1b | Elect Director R.D. Cash | Management | For | For |
| 1c | Elect Director Patricia Frobes | Management | For | For |
| 1d | Elect Director J. David Heaney | Management | For | For |
| 1e | Elect Director Roger B. Porter | Management | For | For |
| 1f | Elect Director Stephen D. Quinn | Management | For | For |
| 1g | Elect Director Harris H. Simmons | Management | For | For |
| 1h | Elect Director L.E. Simmons | Management | For | For |
| 1i | Elect Director Shelley Thomas Williams | Management | For | For |
| 1j | Elect Director Steven C. Wheelwright | Management | For | For |
| 2 | Ratify Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Advisory Vote on Say on Pay Frequency | Management | One Year | One Year |
| 5 | Require Independent Board Chairman | Shareholder | Against | Against |
| |
|---|
ZURICH INSURANCE GROUP AG
Meeting Date: APR 04, 2013
Record Date:
Meeting Type: ANNUAL | Ticker: ZURN
Security ID: H9870Y105
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Accept Financial Statements and Statutory Reports | Management | For | For |
| 1.2 | Approve Remuneration Report | Management | For | For |
| 2.1 | Approve Allocation of Income | Management | For | For |
| 2.2 | Approve Dividends of CHF 17.00 per Share from Capital Contribution Reserves | Management | For | For |
| 3 | Approve Discharge of Board and Senior Management | Management | For | For |
| 4.1.1 | Elect Monica Maechler as Director | Management | For | For |
| 4.1.2 | Reelect Susan Bies as Director | Management | For | For |
| 4.1.3 | Reelect Victor Chu as Director | Management | For | For |
| 4.1.4 | Reelect Rolf Watter as Director | Management | For | For |
| 4.2 | Ratify PricewaterhouseCoopers AG as Auditors | Management | For | For |
END NPX REPORT
