| Financial Services Fund | 07/01/2014 to 06/30/2015 |
| ICA File Number: 811-07749 |
| Registrant Name: T. Rowe Price Financial Services Fund, Inc. |
| Reporting Period: 07/01/2014 - 06/30/2015 |
| |
| |
| 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) |
| |
| Darrell N. Braman |
| 100 East Pratt Street |
| Baltimore, Maryland 21202 |
|
| (Name and address of agent for service) |
| |
| Registrant’s telephone number, including area code: (410) 345-2000 |
| |
| Date of fiscal year end: 12/31 |
| |
| Date of reporting period: 07/01/2014 to 06/30/2015 |
| |
| 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 31, 2015 |
Financial Services Fund
| |
|---|
AIA GROUP LTD.
Meeting Date: MAY 08, 2015
Record Date: MAY 05, 2015
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 | Approve Final Dividend | Management | For | For |
| 3 | Elect Lawrence Juen-Yee Lau as Director | Management | For | For |
| 4 | Elect Chung-Kong Chow as Director | Management | For | For |
| 5 | Elect John Barrie Harrison as Director | Management | For | For |
| 6 | Approve PricewaterhouseCoopers as Auditor and Authorize Board to Fix Their Remuneration | Management | For | For |
| 7A | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Management | For | For |
| 7B | Authorize Repurchase of Issued Share Capital | Management | For | For |
| 7C | Approve Allotment and Issuance of Additional Shares Under the Restricted Share Unit Scheme | Management | For | For |
| |
|---|
ALLY FINANCIAL INC.
Meeting Date: JUL 17, 2014
Record Date: JUN 03, 2014
Meeting Type: ANNUAL | Ticker: ALLY
Security ID: 02005N100
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Franklin W. Hobbs | Management | For | For |
| 1.2 | Elect Director Robert T. Blakely | Management | For | For |
| 1.3 | Elect Director Mayree C. Clark | Management | For | For |
| 1.4 | Elect Director Stephen A. Feinberg | Management | For | Withhold |
| 1.5 | Elect Director Kim S. Fennebresque | Management | For | For |
| 1.6 | Elect Director Gerald Greenwald | Management | For | For |
| 1.7 | Elect Director Marjorie Magner | Management | For | For |
| 1.8 | Elect Director Mathew Pendo | Management | For | For |
| 1.9 | Elect Director John J. Stack | Management | For | For |
| 1.10 | Elect Director Michael A. Carpenter | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Auditors | Management | For | For |
| |
|---|
ALLY FINANCIAL INC.
Meeting Date: MAY 28, 2015
Record Date: APR 02, 2015
Meeting Type: ANNUAL | Ticker: ALLY
Security ID: 02005N100
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Franklin W. Hobbs | Management | For | For |
| 1.2 | Elect Director Robert T. Blakely | Management | For | For |
| 1.3 | Elect Director Mayree C. Clark | Management | For | For |
| 1.4 | Elect Director Stephen A. Feinberg | Management | For | For |
| 1.5 | Elect Director Kim S. Fennebresque | Management | For | For |
| 1.6 | Elect Director Marjorie Magner | Management | For | For |
| 1.7 | Elect Director Mathew Pendo | Management | For | For |
| 1.8 | Elect Director John J. Stack | Management | For | For |
| 1.9 | Elect Director Jeffrey J. Brown | Management | For | For |
| 1.10 | Elect Director Kenneth J. Bacon | 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 Deloitte & Touche LLP as Auditors | Management | For | For |
| 5 | Amend Tax Asset Protection Plan | Management | For | Against |
| |
|---|
AVIVA PLC
Meeting Date: APR 29, 2015
Record Date: APR 27, 2015
Meeting Type: ANNUAL | Ticker: AV.
Security ID: G0683Q109
|
| 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 Remuneration Policy | Management | For | For |
| 4 | Approve Final Dividend | Management | For | For |
| 5 | Re-elect Glyn Barker as Director | Management | For | For |
| 6 | Re-elect Patricia Cross as Director | Management | For | For |
| 7 | Re-elect Michael Hawker as Director | Management | For | For |
| 8 | Re-elect Michael Mire as Director | Management | For | For |
| 9 | Re-elect Sir Adrian Montague as Director | Management | For | For |
| 10 | Re-elect Bob Stein as Director | Management | For | For |
| 11 | Re-elect Thomas Stoddard as Director | Management | For | For |
| 12 | Re-elect Scott Wheway as Director | Management | For | For |
| 13 | Re-elect Mark Wilson as Director | Management | For | For |
| 14 | Reappoint PricewaterhouseCoopers LLP as Auditors | Management | For | For |
| 15 | Authorise the Audit Committee to Fix Remuneration of Auditors | Management | For | For |
| 16 | Authorise EU Political Donations and Expenditure | Management | For | For |
| 17 | Authorise Issue of Equity with Pre-emptive Rights | Management | For | For |
| 18 | Authorise Issue of Equity without Pre-emptive Rights | Management | For | For |
| 19 | Authorise Market Purchase of Ordinary Shares | Management | For | For |
| 20 | Authorise Market Purchase of Preference Shares | Management | For | For |
| 21 | Authorise Market Purchase of Preference Shares | Management | For | For |
| 22 | Authorise the Company to Call EGM with Two Weeks' Notice | Management | For | For |
| 23 | Authorise Issue of Sterling New Preference Shares with Pre-emptive Rights | Management | For | For |
| 24 | Authorise Issue of Sterling New Preference Shares without Pre-emptive Rights | Management | For | For |
| 25 | Authorise Issue of Additional Dollar Preference Shares with Pre-emptive Rights | Management | For | For |
| 26 | Authorise Issue of Additional Dollar Preference Shares without Pre-emptive Rights | Management | For | For |
| 27 | Authorise Allotment of Shares in Relation to Any Issue of Solvency II Compliant Tier 1 Instruments with Pre-emptive Rights | Management | For | For |
| 28 | Authorise Allotment of Shares in Relation to Any Issue of Solvency II Compliant Tier 1 Instruments without Pre-emptive Rights | Management | For | For |
| 29 | Adopt New Articles of Association | Management | For | For |
| |
|---|
BANCORPSOUTH, INC.
Meeting Date: APR 22, 2015
Record Date: MAR 06, 2015
Meeting Type: ANNUAL | Ticker: BXS
Security ID: 059692103
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director James E. Campbell, III | Management | For | For |
| 1.2 | Elect Director Deborah M. Cannon | Management | For | For |
| 1.3 | Elect Director Hassell H. Franklin | Management | For | For |
| 1.4 | Elect Director W. G. Holliman, Jr. | Management | For | For |
| 1.5 | Elect Director Keith J. Jackson | Management | For | For |
| 1.6 | Elect Director Robert C. Nolan | Management | For | For |
| |
|---|
BANK OF AMERICA CORPORATION
Meeting Date: MAY 06, 2015
Record Date: MAR 11, 2015
Meeting Type: ANNUAL | Ticker: BAC
Security ID: 060505104
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Sharon L. Allen | Management | For | For |
| 1b | Elect Director Susan S. Bies | Management | For | For |
| 1c | Elect Director Jack O. Bovender, Jr. | Management | For | For |
| 1d | Elect Director Frank P. Bramble, Sr. | Management | For | For |
| 1e | Elect Director Pierre J. P. de Weck | Management | For | For |
| 1f | Elect Director Arnold W. Donald | Management | For | For |
| 1g | Elect Director Charles K. Gifford | Management | For | For |
| 1h | Elect Director Linda P. Hudson | Management | For | For |
| 1i | Elect Director Monica C. Lozano | Management | For | For |
| 1j | Elect Director Thomas J. May | Management | For | For |
| 1k | Elect Director Brian T. Moynihan | Management | For | For |
| 1l | Elect Director Lionel L. Nowell, III | 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 PricewaterhouseCoopers LLP as Auditors | Management | For | For |
| 4 | Amend Omnibus Stock Plan | Management | For | For |
| 5 | Report on Climate Change Financing Risk | Shareholder | Against | Against |
| 6 | Report on Lobbying Payments and Policy | Shareholder | Against | Against |
| 7 | Provide Right to Act by Written Consent | Shareholder | Against | Against |
| 8 | Establish Other Governance Board Committee | Shareholder | Against | Against |
| |
|---|
BANKUNITED, INC.
Meeting Date: MAY 13, 2015
Record Date: MAR 16, 2015
Meeting Type: ANNUAL | Ticker: BKU
Security ID: 06652K103
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director John A. Kanas | Management | For | For |
| 1.2 | Elect Director Rajinder P. Singh | Management | For | For |
| 1.3 | Elect Director Tere Blanca | Management | For | Withhold |
| 1.4 | Elect Director Eugene F. DeMark | Management | For | For |
| 1.5 | Elect Director Michael J. Dowling | Management | For | For |
| 1.6 | Elect Director Douglas J. Pauls | Management | For | For |
| 1.7 | Elect Director A. Robert Towbin | Management | For | For |
| 1.8 | Elect Director Sanjiv Sobti | Management | For | For |
| 2 | Ratify KPMG LLP as Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| |
|---|
BARCLAYS PLC
Meeting Date: APR 23, 2015
Record Date: APR 21, 2015
Meeting Type: ANNUAL | Ticker: BARC
Security ID: G08036124
|
| 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 | Elect Crawford Gillies as Director | Management | For | For |
| 4 | Elect John McFarlane as Director | Management | For | For |
| 5 | Re-elect Mike Ashley as Director | Management | For | For |
| 6 | Re-elect Tim Breedon as Director | Management | For | For |
| 7 | Re-elect Reuben Jeffery III as Director | Management | For | For |
| 8 | Re-elect Antony Jenkins as Director | Management | For | For |
| 9 | Re-elect Wendy Lucas-Bull as Director | Management | For | For |
| 10 | Re-elect Tushar Morzaria as Director | Management | For | For |
| 11 | Re-elect Dambisa Moyo as Director | Management | For | For |
| 12 | Re-elect Frits van Paasschen as Director | Management | For | For |
| 13 | Re-elect Sir Michael Rake as Director | Management | For | For |
| 14 | Re-elect Steve Thieke as Director | Management | For | For |
| 15 | Re-elect Diane de Saint Victor as Director | Management | For | For |
| 16 | Reappoint PricewaterhouseCoopers LLP as Auditors | Management | For | For |
| 17 | Authorise Board to Fix Remuneration of Auditors | Management | For | For |
| 18 | Authorise EU Political Donations and Expenditure | Management | For | For |
| 19 | Authorise Issue of Equity with Pre-emptive Rights | Management | For | For |
| 20 | Authorise Issue of Equity without Pre-emptive Rights | Management | For | For |
| 21 | Authorise Issue of Equity with Pre-emptive Rights in Relation to the Issuance of Contingent Equity Conversion Notes | Management | For | For |
| 22 | Authorise Issue of Equity without Pre-emptive Rights in Relation to the Issuance of Contingent Equity Conversion Notes | Management | For | For |
| 23 | Authorise Market Purchase of Ordinary Shares | Management | For | For |
| 24 | Authorise the Company to Call EGM with Two Weeks' Notice | Management | For | For |
| |
|---|
BLACKROCK, INC.
Meeting Date: MAY 28, 2015
Record Date: APR 01, 2015
Meeting Type: ANNUAL | Ticker: BLK
Security ID: 09247X101
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Abdlatif Yousef Al-Hamad | Management | For | For |
| 1b | Elect Director Mathis Cabiallavetta | Management | For | For |
| 1c | Elect Director Pamela Daley | Management | For | For |
| 1d | Elect Director William S. Demchak | Management | For | For |
| 1e | Elect Director Jessica P. Einhorn | Management | For | For |
| 1f | Elect Director Laurence D. Fink | Management | For | For |
| 1g | Elect Director Fabrizio Freda | Management | For | For |
| 1h | Elect Director Murry S. Gerber | Management | For | For |
| 1i | Elect Director James Grosfeld | Management | For | For |
| 1j | Elect Director Robert S. Kapito | Management | For | For |
| 1k | Elect Director David H. Komansky | Management | For | For |
| 1l | Elect Director Sir Deryck Maughan | Management | For | For |
| 1m | Elect Director Cheryl D. Mills | Management | For | For |
| 1n | Elect Director Thomas H. O'Brien | Management | For | For |
| 1o | Elect Director Ivan G. Seidenberg | Management | For | For |
| 1p | Elect Director Marco Antonio Slim Domit | Management | For | For |
| 1q | Elect Director John S. Varley | Management | For | For |
| 1r | Elect Director Susan L. Wagner | Management | For | For |
| 2 | Amend Omnibus Stock Plan | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Ratify Deloitte & Touche LLP as Auditors | Management | For | For |
| 5 | Institute Procedures to Prevent Investments in Companies that Contribute to Genocide or Crimes Against Humanity | Shareholder | Against | For |
| 6 | Report on Lobbying Payments and Policy | Shareholder | Against | Against |
| |
|---|
CAPITAL BANK FINANCIAL CORP.
Meeting Date: JUN 15, 2015
Record Date: APR 23, 2015
Meeting Type: ANNUAL | Ticker: CBF
Security ID: 139794101
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Martha M. Bachman | Management | For | For |
| 1.2 | Elect Director Richard M. DeMartini | Management | For | For |
| 1.3 | Elect Director Peter N. Foss | Management | For | For |
| 1.4 | Elect Director William A. Hodges | Management | For | For |
| 1.5 | Elect Director Oscar A. Keller, III | Management | For | For |
| 1.6 | Elect Director Marc D. Oken | Management | For | Withhold |
| 1.7 | Elect Director R. Eugene Taylor | Management | For | For |
| 1.8 | Elect Director William G. Ward, Sr. | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| |
|---|
CBOE HOLDINGS, INC.
Meeting Date: MAY 21, 2015
Record Date: MAR 24, 2015
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 R. Eden Martin | Management | For | For |
| 1.8 | Elect Director Roderick A. Palmore | Management | For | For |
| 1.9 | Elect Director Susan M. Phillips | Management | For | For |
| 1.10 | Elect Director Samuel K. Skinner | Management | For | For |
| 1.11 | Elect Director Carole E. Stone | Management | For | For |
| 1.12 | Elect Director Eugene S. Sunshine | Management | For | For |
| 1.13 | Elect Director Edward T. Tilly | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Deloitte & Touche LLP as Auditors | Management | For | For |
| 4 | Remove the Size Range for the Board | Management | For | Against |
| 5 | Amend Certificate of Incorporation to Make Non-Substantive Changes | Management | For | For |
| |
|---|
CIT GROUP INC.
Meeting Date: MAY 12, 2015
Record Date: MAR 16, 2015
Meeting Type: ANNUAL | Ticker: CIT
Security ID: 125581801
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director John A. Thain | Management | For | For |
| 1b | Elect Director Ellen R. Alemany | Management | For | For |
| 1c | Elect Director Michael J. Embler | Management | For | For |
| 1d | Elect Director William M. Freeman | Management | For | For |
| 1e | Elect Director David M. Moffett | Management | For | For |
| 1f | Elect Director R. Brad Oates | Management | For | For |
| 1g | Elect Director Marianne Miller Parrs | Management | For | For |
| 1h | Elect Director Gerald Rosenfeld | Management | For | For |
| 1i | Elect Director John R. Ryan | Management | For | For |
| 1j | Elect Director Sheila A. Stamps | Management | For | For |
| 1k | Elect Director Seymour Sternberg | Management | For | For |
| 1l | Elect Director Peter J. Tobin | Management | For | For |
| 1m | Elect Director Laura S. Unger | Management | For | For |
| 2 | Ratify PricewaterhouseCoopers LLP as Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Approve Executive Incentive Bonus Plan | Management | For | For |
| |
|---|
CITIGROUP INC.
Meeting Date: APR 28, 2015
Record Date: FEB 27, 2015
Meeting Type: ANNUAL | Ticker: C
Security ID: 172967424
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Michael L. Corbat | Management | For | For |
| 1b | Elect Director Duncan P. Hennes | Management | For | For |
| 1c | Elect Director Peter B. Henry | Management | For | For |
| 1d | Elect Director Franz B. Humer | Management | For | For |
| 1e | Elect Director Michael E. O'Neill | Management | For | For |
| 1f | Elect Director Gary M. Reiner | Management | For | For |
| 1g | Elect Director Judith Rodin | Management | For | For |
| 1h | Elect Director Anthony M. Santomero | Management | For | For |
| 1i | Elect Director Joan E. Spero | Management | For | For |
| 1j | Elect Director Diana L. Taylor | Management | For | For |
| 1k | Elect Director William S. Thompson, Jr. | Management | For | For |
| 1l | Elect Director James S. Turley | Management | For | For |
| 1m | Elect Director Ernesto Zedillo Ponce de Leon | Management | For | For |
| 2 | Ratify KPMG LLP as 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 | Adopt Proxy Access Right | Shareholder | For | For |
| 6 | Report on Lobbying Payments and Policy | Shareholder | Against | Against |
| 7 | Claw-back of Payments under Restatements | Shareholder | Against | Against |
| 8 | Limits for Directors Involved with Bankruptcy | Shareholder | Against | Against |
| 9 | Report on Certain Vesting Program | Shareholder | Against | Against |
| |
|---|
CME GROUP INC.
Meeting Date: MAY 20, 2015
Record Date: MAR 24, 2015
Meeting Type: ANNUAL | Ticker: CME
Security ID: 12572Q105
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Terrence A. Duffy | Management | For | For |
| 1b | Elect Director Phupinder S. Gill | Management | For | For |
| 1c | Elect Director Timothy S. Bitsberger | Management | For | For |
| 1d | Elect Director Charles P. Carey | Management | For | For |
| 1e | Elect Director Dennis H. Chookaszian | Management | For | For |
| 1f | Elect Director Ana Dutra | Management | For | For |
| 1g | Elect Director Martin J. Gepsman | Management | For | For |
| 1h | Elect Director Larry G. Gerdes | Management | For | For |
| 1i | Elect Director Daniel R. Glickman | Management | For | For |
| 1j | Elect Director J. Dennis Hastert | Management | For | For |
| 1k | Elect Director Leo Melamed | Management | For | For |
| 1l | Elect Director William P. Miller, II | Management | For | For |
| 1m | Elect Director James E. Oliff | Management | For | For |
| 1n | Elect Director Edemir Pinto | Management | For | For |
| 1o | Elect Director Alex J. Pollock | Management | For | For |
| 1p | Elect Director John F. Sandner | Management | For | For |
| 1q | Elect Director Terry L. Savage | Management | For | For |
| 1r | Elect Director William R. Shepard | Management | For | For |
| 1s | Elect Director Dennis A. Suskind | Management | For | For |
| 2 | Ratify Ernst & Young as Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Adopt the Jurisdiction of Incorporation as the Exclusive Forum for Certain Disputes | Management | For | For |
| |
|---|
CNA FINANCIAL CORPORATION
Meeting Date: APR 29, 2015
Record Date: MAR 03, 2015
Meeting Type: ANNUAL | Ticker: CNA
Security ID: 126117100
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Paul J. Liska | Management | For | For |
| 1.2 | Elect Director Jose O. Montemayor | Management | For | For |
| 1.3 | Elect Director Thomas F. Motamed | Management | For | For |
| 1.4 | Elect Director Don M. Randel | Management | For | For |
| 1.5 | Elect Director Joseph Rosenberg | Management | For | For |
| 1.6 | Elect Director Andrew H. Tisch | Management | For | For |
| 1.7 | Elect Director James S. Tisch | Management | For | For |
| 1.8 | Elect Director Marvin Zonis | 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 Deloitte & Touche LLP as Auditors | Management | For | For |
| |
|---|
COMERICA INCORPORATED
Meeting Date: APR 28, 2015
Record Date: FEB 27, 2015
Meeting Type: ANNUAL | Ticker: CMA
Security ID: 200340107
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Ralph W. Babb, Jr. | Management | For | For |
| 1.2 | Elect Director Roger A. Cregg | Management | For | For |
| 1.3 | Elect Director T. Kevin DeNicola | Management | For | For |
| 1.4 | Elect Director Jacqueline P. Kane | Management | For | For |
| 1.5 | Elect Director Richard G. Lindner | Management | For | For |
| 1.6 | Elect Director Alfred A. Piergallini | Management | For | For |
| 1.7 | Elect Director Robert S. Taubman | Management | For | For |
| 1.8 | Elect Director Reginald M. Turner, Jr. | Management | For | For |
| 1.9 | Elect Director Nina G. Vaca | Management | For | For |
| 2 | Ratify Ernst & Young LLP as Auditors | Management | For | For |
| 3 | Approve Non-Employee Director Omnibus Stock Plan | Management | For | For |
| 4 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| |
|---|
CORELOGIC, INC.
Meeting Date: JUL 29, 2014
Record Date: JUN 02, 2014
Meeting Type: ANNUAL | Ticker: CLGX
Security ID: 21871D103
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director J. David Chatham | Management | For | For |
| 1.2 | Elect Director Douglas C. Curling | Management | For | For |
| 1.3 | Elect Director John C. Dorman | Management | For | For |
| 1.4 | Elect Director Paul F. Folino | Management | For | For |
| 1.5 | Elect Director Anand K. Nallathambi | Management | For | For |
| 1.6 | Elect Director Thomas C. O'Brien | Management | For | For |
| 1.7 | Elect Director Jaynie Miller Studenmund | Management | For | For |
| 1.8 | Elect Director David F. Walker | Management | For | For |
| 1.9 | Elect Director Mary Lee Widener | Management | For | For |
| 2 | Amend Omnibus Stock Plan | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Ratify Auditors | Management | For | For |
| |
|---|
CORELOGIC, INC.
Meeting Date: APR 28, 2015
Record Date: MAR 02, 2015
Meeting Type: ANNUAL | Ticker: CLGX
Security ID: 21871D103
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director J. David Chatham | Management | For | For |
| 1.2 | Elect Director Douglas C. Curling | Management | For | For |
| 1.3 | Elect Director John C. Dorman | Management | For | For |
| 1.4 | Elect Director Paul F. Folino | Management | For | For |
| 1.5 | Elect Director Anand Nallathambi | Management | For | For |
| 1.6 | Elect Director Thomas C. O'Brien | Management | For | For |
| 1.7 | Elect Director Jaynie Miller Studenmund | Management | For | For |
| 1.8 | Elect Director David F. Walker | Management | For | For |
| 1.9 | Elect Director Mary Lee Widener | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify PricewaterhouseCoopers LLP as Auditors | Management | For | For |
| |
|---|
CREDIT SUISSE GROUP AG
Meeting Date: APR 24, 2015
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 (Non-Binding) | 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 of CHF 0.70 per Share from Capital Contribution Reserves in the Form of Either a Scrip Dividend or a Cash Contribution | Management | For | For |
| 4.1 | Approve Maximum Remuneration of Board of Directors in the Amount of CHF 12 Million | Management | For | For |
| 4.2.1 | Approve Maximum Fixed Remuneration of Executive Committee in the Amount of CHF 32 Million | Management | For | For |
| 4.2.2 | Approve Variable Remuneration of Executive Committee in the Amount of CHF 39.1 Million | Management | For | For |
| 5 | Approve Creation of CHF 6.4 Million Pool of Capital without Preemptive Rights | Management | For | For |
| 6.1a | Reelect Urs Rohner as Director and Board Chairman | Management | For | For |
| 6.1b | Reelect Jassim Al Thani as Director | Management | For | For |
| 6.1c | Reelect Iris Bohnet as Director | Management | For | For |
| 6.1d | Reelect Noreen Doyle as Director | Management | For | For |
| 6.1e | Reelect Andreas Koopmann as Director | Management | For | For |
| 6.1f | Reelect Jean Lanier as Director | Management | For | For |
| 6.1g | Reelect Kai Nargolwala as Director | Management | For | For |
| 6.1h | Reelect Severin Schwan as Director | Management | For | For |
| 6.1i | Reelect Richard Thornburgh as Director | Management | For | For |
| 6.1j | Reelect Sebastian Thrun as Director | Management | For | For |
| 6.1k | Reelect John Tiner as Director | Management | For | For |
| 6.1l | Elect Seraina Maag as Director | Management | For | For |
| 6.2.1 | Appoint Iris Bohnet as Member of the Compensation Committee | Management | For | For |
| 6.2.2 | Appoint Andreas Koopmann as Member of the Compensation Committee | Management | For | For |
| 6.2.3 | Appoint Jean Lanier as Member of the Compensation Committee | Management | For | For |
| 6.2.4 | Appoint Kai Nargolwala as Member of the Compensation Committee | Management | For | For |
| 6.3 | Ratify KPMG AG as Auditors | Management | For | For |
| 6.4 | Ratify BDO AG as Special Auditor | Management | For | For |
| 6.5 | Designate Andreas Keller as Independent Proxy | Management | For | For |
| 7 | Transact Other Business (Voting) | Management | For | Against |
| |
|---|
DIRECT LINE INSURANCE GROUP PLC
Meeting Date: MAY 13, 2015
Record Date: MAY 11, 2015
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 | Re-elect Mike Biggs as Director | Management | For | For |
| 4 | Re-elect Paul Geddes as Director | Management | For | For |
| 5 | Re-elect Jane Hanson as Director | Management | For | For |
| 6 | Elect Sebastian James as Director | Management | For | For |
| 7 | Re-elect Andrew Palmer as Director | Management | For | For |
| 8 | Re-elect John Reizenstein as Director | Management | For | For |
| 9 | Re-elect Clare Thompson as Director | Management | For | For |
| 10 | Re-elect Priscilla Vacassin as Director | Management | For | For |
| 11 | Reappoint Deloitte LLP as Auditors | Management | For | For |
| 12 | Authorise the Audit Committee to Fix Remuneration of Auditors | Management | For | For |
| 13 | Authorise Issue of Equity with Pre-emptive Rights | Management | For | For |
| 14 | Authorise Issue of Equity without Pre-emptive Rights | Management | For | For |
| 15 | Authorise Market Purchase of Ordinary Shares | Management | For | For |
| 16 | Authorise the Company to Call EGM with Two Weeks' Notice | Management | For | For |
| 17 | Authorise EU Political Donations and Expenditure | Management | For | For |
| |
|---|
DIRECT LINE INSURANCE GROUP PLC
Meeting Date: JUN 29, 2015
Record Date: JUN 25, 2015
Meeting Type: SPECIAL | Ticker: DLG
Security ID: G2871V106
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1 | Approve Share Consolidation | Management | For | For |
| 2 | Authorise Issue of Equity with Pre-emptive Rights | Management | For | For |
| 3 | Authorise Issue of Equity without Pre-emptive Rights | Management | For | For |
| 4 | Authorise Market Purchase of Ordinary Shares | Management | For | For |
| |
|---|
E*TRADE FINANCIAL CORPORATION
Meeting Date: MAY 07, 2015
Record Date: MAR 09, 2015
Meeting Type: ANNUAL | Ticker: ETFC
Security ID: 269246401
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1a | Elect Director Richard J. Carbone | Management | For | For |
| 1.1b | Elect Director James P. Healy | Management | For | For |
| 1.1c | Elect Director Paul T. Idzik | Management | For | For |
| 1.1d | Elect Director Frederick W. Kanner | Management | For | For |
| 1.1e | Elect Director James Lam | Management | For | For |
| 1.1f | Elect Director Rodger A. Lawson | Management | For | For |
| 1.1g | Elect Director Shelley B. Leibowitz | Management | For | For |
| 1.1h | Elect Director Rebecca Saeger | Management | For | For |
| 1.1i | Elect Director Joseph L. Sclafani | Management | For | For |
| 1.1j | Elect Director Gary H. Stern | Management | For | For |
| 1.1k | Elect Director Donna L. Weaver | Management | For | For |
| 2 | Approve Omnibus Stock Plan | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Ratify Deloitte & Touche LLP as Auditors | Management | For | For |
| |
|---|
ENSTAR GROUP LIMITED
Meeting Date: MAY 06, 2015
Record Date: MAR 13, 2015
Meeting Type: ANNUAL | Ticker: ESGR
Security ID: G3075P101
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Dominic F. Silvester | Management | For | For |
| 1.2 | Elect Director Kenneth W. Moore | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | Against |
| 3 | Ratify KPMG Audit Limited as Auditors | Management | For | For |
| 4 | Elect Subsidiary Directors | Management | For | For |
| |
|---|
FIDELITY NATIONAL FINANCIAL, INC.
Meeting Date: JUN 17, 2015
Record Date: APR 27, 2015
Meeting Type: ANNUAL | Ticker: FNF
Security ID: 31620R303
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Frank P. Willey | Management | For | For |
| 1.2 | Elect Director Willie D. Davis | Management | For | For |
| 1.3 | Elect Director John D. Rood | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | Against |
| 3 | Ratify KPMG LLP as Auditors | Management | For | For |
| 4 | Adopt Proxy Access Right | Shareholder | Against | For |
| |
|---|
FIRST AMERICAN FINANCIAL CORPORATION
Meeting Date: MAY 12, 2015
Record Date: MAR 18, 2015
Meeting Type: ANNUAL | Ticker: FAF
Security ID: 31847R102
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Dennis J. Gilmore | Management | For | For |
| 1.2 | Elect Director Virginia M. Ueberroth | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify PricewaterhouseCoopers LLP as Auditors | Management | For | For |
| |
|---|
FIRST HORIZON NATIONAL CORPORATION
Meeting Date: APR 28, 2015
Record Date: FEB 27, 2015
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 Cecelia D. Stewart | Management | For | For |
| 1.12 | Elect Director Luke Yancy, III | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify KPMG LLP as Auditors | Management | For | For |
| |
|---|
FIRST NIAGARA FINANCIAL GROUP, INC.
Meeting Date: APR 29, 2015
Record Date: MAR 06, 2015
Meeting Type: ANNUAL | Ticker: FNFG
Security ID: 33582V108
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Austin A. Adams | Management | For | For |
| 1.2 | Elect Director G. Thomas Bowers | Management | For | For |
| 1.3 | Elect Director Roxanne J. Coady | Management | For | For |
| 1.4 | Elect Director Gary M. Crosby | Management | For | For |
| 1.5 | Elect Director Carl A. Florio | Management | For | For |
| 1.6 | Elect Director Carlton L. Highsmith | Management | For | For |
| 1.7 | Elect Director Susan S. Harnett | Management | For | For |
| 1.8 | Elect Director George M. Philip | Management | For | For |
| 1.9 | Elect Director Peter B. Robinson | Management | For | For |
| 1.10 | Elect Director Nathaniel D. Woodson | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify KPMG LLP as Auditors | Management | For | For |
| 4 | Require a Majority Vote for the Election of Directors | Shareholder | Against | For |
| |
|---|
GREEN BANCORP, INC.
Meeting Date: JUN 10, 2015
Record Date: APR 20, 2015
Meeting Type: ANNUAL | Ticker: GNBC
Security ID: 39260X100
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Scott Schaen | Management | For | For |
| 1.2 | Elect Director Stefanie L. Shelley | Management | For | For |
| 2 | Ratify Deloitte & Touche LLP as Auditors | Management | For | For |
| |
|---|
INFINITY PROPERTY AND CASUALTY CORPORATION
Meeting Date: MAY 19, 2015
Record Date: MAR 26, 2015
Meeting Type: ANNUAL | Ticker: IPCC
Security ID: 45665Q103
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Angela Brock-Kyle | Management | For | For |
| 1.2 | Elect Director Teresa A. Canida | 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 | DElect irector Samuel J. Weinhoff | Management | For | For |
| 2 | Ratify Ernst & Young LLP as Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Approve Executive Incentive Bonus Plan | Management | For | For |
| |
|---|
INTERCONTINENTAL EXCHANGE, INC.
Meeting Date: MAY 15, 2015
Record Date: MAR 17, 2015
Meeting Type: ANNUAL | Ticker: ICE
Security ID: 45866F104
|
| 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 Fred W. Hatfield | Management | For | For |
| 1d | Elect Director Terrence F. Martell | Management | For | For |
| 1e | Elect Director Callum McCarthy | Management | For | For |
| 1f | Elect Director Robert Reid | Management | For | For |
| 1g | Elect Director Frederic V. Salerno | Management | For | For |
| 1h | Elect Director Jeffrey C. Sprecher | Management | For | For |
| 1i | Elect Director Judith A. Sprieser | Management | For | For |
| 1j | Elect Director Vincent Tese | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Ernst & Young LLP as Auditors | Management | For | For |
| 4 | Amend Article to Delete Provisions not Applicable following the Sale of Euronext | Management | For | For |
| |
|---|
INVESCO LTD.
Meeting Date: MAY 14, 2015
Record Date: MAR 16, 2015
Meeting Type: ANNUAL | Ticker: IVZ
Security ID: G491BT108
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Martin L. Flanagan | Management | For | For |
| 1.2 | Elect Director C. Robert Henrikson | Management | For | For |
| 1.3 | Elect Director Ben F. Johnson, III | Management | For | For |
| 1.4 | Elect Director Sir Nigel Sheinwald | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify PricewaterhouseCoopers LLP as Auditors | Management | For | For |
| |
|---|
JANUS CAPITAL GROUP INC.
Meeting Date: APR 24, 2015
Record Date: MAR 02, 2015
Meeting Type: ANNUAL | Ticker: JNS
Security ID: 47102X105
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1a | Elect Director Timothy K. Armour | Management | For | For |
| 1.1b | Elect Director G. Andrew Cox | Management | For | For |
| 1.1c | Elect Director Jeffrey J. Diermeier | Management | For | For |
| 1.1d | Elect Director Eugene Flood, Jr. | Management | For | For |
| 1.1e | Elect Director J. Richard Fredericks | Management | For | For |
| 1.1f | Elect Director Deborah R. Gatzek | Management | For | For |
| 1.1g | Elect Director Seiji Inagaki | Management | For | For |
| 1.1h | Elect Director Lawrence E. Kochard | Management | For | For |
| 1.1i | Elect Director Glenn S. Schafer | Management | For | For |
| 1.1j | Elect Director Richard M. Weil | Management | For | For |
| 1.1k | Elect Director Billie I. Williamson | Management | For | For |
| 2 | Ratify Deloitte & Touche LLP as Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | Against |
| 4 | Amend Omnibus Stock Plan | Management | For | For |
| |
|---|
JPMORGAN CHASE & CO.
Meeting Date: MAY 19, 2015
Record Date: MAR 20, 2015
Meeting Type: ANNUAL | Ticker: JPM
Security ID: 46625H100
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Linda B. Bammann | Management | For | For |
| 1b | Elect Director James A. Bell | Management | For | For |
| 1c | Elect Director Crandall C. Bowles | Management | For | For |
| 1d | Elect Director Stephen B. Burke | 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 Laban P. Jackson, Jr. | Management | For | For |
| 1i | Elect Director Michael A. Neal | Management | For | For |
| 1j | Elect Director Lee R. Raymond | Management | For | For |
| 1k | Elect Director William C. Weldon | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify PricewaterhouseCoopers LLP as Auditors | Management | For | For |
| 4 | Amend Omnibus Stock Plan | Management | For | For |
| 5 | Require Independent Board Chairman | Shareholder | Against | Against |
| 6 | Report on Lobbying Payments and Policy | Shareholder | Against | Against |
| 7 | Amend Bylaws -- Call Special Meetings | Shareholder | Against | Against |
| 8 | Provide Vote Counting to Exclude Abstentions | Shareholder | Against | Against |
| 9 | Report on Certain Vesting Program | Shareholder | Against | Against |
| 10 | Disclosure of Recoupment Activity from Senior Officers | Shareholder | Against | Against |
| |
|---|
LAZARD LTD
Meeting Date: APR 21, 2015
Record Date: MAR 06, 2015
Meeting Type: ANNUAL | Ticker: LAZ
Security ID: G54050102
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Andrew M. Alper as Director | Management | For | For |
| 1.2 | Elect Ashish Bhutani as Director | Management | For | For |
| 1.3 | Elect Steven J. Heyer as Director | Management | For | For |
| 1.4 | Elect Sylvia Jay as Director | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Approve Deloitte & Touche LLP as Auditors and Authorize Board to Fix Their Remuneration Auditors | Management | For | For |
| |
|---|
LPL FINANCIAL HOLDINGS INC.
Meeting Date: MAY 11, 2015
Record Date: MAR 19, 2015
Meeting Type: ANNUAL | Ticker: LPLA
Security ID: 50212V100
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Richard W. Boyce | Management | For | For |
| 1.2 | Elect Director John J. Brennan | Management | For | For |
| 1.3 | Elect Director Mark S. Casady | Management | For | For |
| 1.4 | Elect Director H. Paulett Eberhart | Management | For | For |
| 1.5 | Elect Director Anne M. Mulcahy | Management | For | For |
| 1.6 | Elect Director James S. Putnam | Management | For | For |
| 1.7 | Elect Director James S. Riepe | Management | For | For |
| 1.8 | Elect Director Richard P. Schifter | Management | For | For |
| 2 | Amend Omnibus Stock Plan | Management | For | For |
| 3 | Amend Executive Incentive Bonus Plan | Management | For | For |
| 4 | Ratify Deloitte & Touche LLP as Auditors | Management | For | For |
| 5 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| |
|---|
M&T BANK CORPORATION
Meeting Date: APR 21, 2015
Record Date: FEB 27, 2015
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 | For |
| 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 Melinda R. Rich | Management | For | For |
| 1.11 | Elect Director Robert E. Sadler, Jr. | Management | For | For |
| 1.12 | Elect Director Herbert L. Washington | Management | For | For |
| 1.13 | Elect Director Robert G. Wilmers | Management | For | For |
| 2 | Amend Omnibus Stock Plan | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Ratify PricewaterhouseCoopers LLP as Auditors | Management | For | For |
| |
|---|
MARSH & MCLENNAN COMPANIES, INC.
Meeting Date: MAY 21, 2015
Record Date: MAR 23, 2015
Meeting Type: ANNUAL | Ticker: MMC
Security ID: 571748102
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Oscar Fanjul | Management | For | For |
| 1b | Elect Director Daniel S. Glaser | Management | For | For |
| 1c | Elect Director H. Edward Hanway | Management | For | For |
| 1d | Elect Director Lord Lang of Monkton | Management | For | For |
| 1e | Elect Director Elaine La Roche | Management | For | For |
| 1f | Elect Director Maria Silvia Bastos Marques | 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 Lloyd M. Yates | Management | For | For |
| 1l | Elect Director R. David Yost | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify Deloitte & Touche LLP as Auditors | Management | For | For |
| |
|---|
MASTERCARD INCORPORATED
Meeting Date: JUN 09, 2015
Record Date: APR 15, 2015
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 Julius Genachowski | Management | For | For |
| 1g | Elect Director Merit E. Janow | Management | For | For |
| 1h | Elect Director Nancy J. Karch | Management | For | For |
| 1i | Elect Director Marc Olivie | Management | For | For |
| 1j | Elect Director Rima Qureshi | Management | For | For |
| 1k | Elect Director Jose Octavio Reyes Lagunes | Management | For | For |
| 1l | Elect Director Jackson P. Tai | Management | For | For |
| 1m | Elect Director Edward Suning Tian | 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 PricewaterhouseCoopers LLP as Auditors | Management | For | For |
| |
|---|
MEADOWBROOK INSURANCE GROUP, INC.
Meeting Date: APR 27, 2015
Record Date: MAR 12, 2015
Meeting Type: ANNUAL | Ticker: MIG
Security ID: 58319P108
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1 | Approve Merger Agreement | Management | For | For |
| 2 | Advisory Vote on Golden Parachutes | Management | For | For |
| 3.1 | Elect Director Robert S. Cubbin | Management | For | For |
| 3.2 | Elect Director Robert F. Fix | Management | For | For |
| 3.3 | Elect Director Douglas A. Gaudet | Management | For | For |
| 3.4 | Elect Director Florine Mark | Management | For | For |
| 4 | Ratify Ernst & Young LLP as Auditors | Management | For | For |
| 5 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 6 | Adjourn Meeting | Management | For | For |
| |
|---|
MERITAGE HOMES CORPORATION
Meeting Date: MAY 13, 2015
Record Date: MAR 19, 2015
Meeting Type: ANNUAL | Ticker: MTH
Security ID: 59001A102
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Peter L. 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 Deloitte & Touche LLP as Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| |
|---|
METLIFE, INC.
Meeting Date: APR 28, 2015
Record Date: FEB 27, 2015
Meeting Type: ANNUAL | Ticker: MET
Security ID: 59156R108
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Cheryl W. Grise | Management | For | For |
| 1.2 | Elect Director Carlos M. Gutierrez | Management | For | For |
| 1.3 | Elect Director R. Glenn Hubbard | Management | For | For |
| 1.4 | Elect Director Steven A. Kandarian | Management | For | For |
| 1.5 | Elect Director Alfred F. Kelly, Jr. | Management | For | For |
| 1.6 | Elect Director Edward J. Kelly, III | Management | For | For |
| 1.7 | Elect Director William E. Kennard | Management | For | For |
| 1.8 | Elect Director James M. Kilts | Management | For | For |
| 1.9 | Elect Director Catherine R. Kinney | Management | For | For |
| 1.10 | Elect Director Denise M. Morrison | Management | For | For |
| 1.11 | Elect Director Kenton J. Sicchitano | Management | For | For |
| 1.12 | Elect Director Lulu C. Wang | Management | For | For |
| 2a | Reduce Supermajority Vote Requirement to Amend Certificate of Incorporation | Management | For | For |
| 2b | Reduce Supermajority Vote Requirement to Amend Bylaws | Management | For | For |
| 3 | Ratify Deloitte & Touche LLP as Auditors | Management | For | For |
| 4 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| |
|---|
MORGAN STANLEY
Meeting Date: MAY 19, 2015
Record Date: MAR 23, 2015
Meeting Type: ANNUAL | Ticker: MS
Security ID: 617446448
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Erskine B. Bowles | Management | For | For |
| 1b | Elect Director Thomas H. Glocer | Management | For | For |
| 1c | Elect Director James P. Gorman | Management | For | For |
| 1d | Elect Director Robert H. Herz | Management | For | For |
| 1e | Elect Director Klaus Kleinfeld | Management | For | For |
| 1f | Elect Director Jami Miscik | Management | For | For |
| 1g | Elect Director Donald T. Nicolaisen | Management | For | For |
| 1h | Elect Director Hutham S. Olayan | Management | For | For |
| 1i | Elect Director James W. Owens | Management | For | For |
| 1j | Elect Director Ryosuke Tamakoshi | Management | For | For |
| 1k | Elect Director Masaaki Tanaka | Management | For | For |
| 1l | Elect Director Perry M. Traquina | Management | For | For |
| 1m | Elect Director Laura D. Tyson | Management | For | For |
| 1n | Elect Director Rayford Wilkins, Jr. | Management | For | For |
| 2 | Ratify Deloitte & Touche LLP as 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 | Report on Lobbying Payments and Policy | Shareholder | Against | Against |
| 6 | Provide Vote Counting to Exclude Abstentions | Shareholder | Against | Against |
| 7 | Report on Certain Vesting Program | Shareholder | Against | Against |
| |
|---|
NATIONAL BANK HOLDINGS CORPORATION
Meeting Date: MAY 06, 2015
Record Date: MAR 16, 2015
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 Fred J. Joseph | 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 KPMG LLP as 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 | Three Years | One Year |
| 5 | Approve Qualified Employee Stock Purchase Plan | Management | For | For |
| |
|---|
NATIONAL BANK OF CANADA
Meeting Date: APR 15, 2015
Record Date: FEB 20, 2015
Meeting Type: ANNUAL | Ticker: NA
Security ID: 633067103
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Raymond Bachand | Management | For | For |
| 1.2 | Elect Director Maryse Bertrand | Management | For | For |
| 1.3 | Elect Director Lawrence S. Bloomberg | Management | For | For |
| 1.4 | Elect Director Pierre Boivin | Management | For | For |
| 1.5 | Elect Director Andre Caille | Management | For | For |
| 1.6 | Elect Director Gillian H. Denham | Management | For | For |
| 1.7 | Elect Director Richard Fortin | Management | For | For |
| 1.8 | Elect Director Jean Houde | Management | For | For |
| 1.9 | Elect Director Karen Kinsley | Management | For | For |
| 1.10 | Elect Director Louise Laflamme | Management | For | For |
| 1.11 | Elect Director Julie Payette | Management | For | For |
| 1.12 | Elect Director Roseann Runte | Management | For | For |
| 1.13 | Elect Director Lino A. Saputo, Jr. | Management | For | For |
| 1.14 | Elect Director Andree Savoie | Management | For | For |
| 1.15 | Elect Director Pierre Thabet | Management | For | For |
| 1.16 | Elect Director Louis Vachon | Management | For | For |
| 2 | Advisory Vote on Executive Compensation Approach | Management | For | For |
| 3 | Ratify Deloitte LLP as Auditors | Management | For | For |
| 4 | SP 1: Phase Out Stock Options as a Form of Compensation | Shareholder | Against | Against |
| |
|---|
NORTHERN TRUST CORPORATION
Meeting Date: APR 21, 2015
Record Date: FEB 23, 2015
Meeting Type: ANNUAL | Ticker: NTRS
Security ID: 665859104
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1a | Elect Director Linda Walker Bynoe | Management | For | For |
| 1.1b | Elect Director Susan Crown | Management | For | For |
| 1.1c | Elect Director Dean M. Harrison | Management | For | For |
| 1.1d | Elect Director Dipak C. Jain | Management | For | For |
| 1.1e | Elect Director Jose Luis Prado | Management | For | For |
| 1.1f | Elect Director John W. Rowe | Management | For | For |
| 1.1g | Elect Director Martin P. Slark | Management | For | For |
| 1.1h | Elect Director David H. B. Smith, Jr. | Management | For | For |
| 1.1i | Elect Director Donald Thompson | Management | For | For |
| 1.1j | Elect Director Charles A. Tribbett, III | Management | For | For |
| 1.1k | Elect Director Frederick H. Waddell | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify KPMG LLP as Auditors | Management | For | For |
| 4 | Report on Lobbying Payments and Political Contributions | Shareholder | Against | Against |
| |
|---|
OCH-ZIFF CAPITAL MANAGEMENT GROUP LLC
Meeting Date: MAY 07, 2015
Record Date: MAR 12, 2015
Meeting Type: ANNUAL | Ticker: OZM
Security ID: 67551U105
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director David Windreich | Management | For | For |
| 1.2 | Elect Director J. Barry Griswell | Management | For | For |
| 1.3 | Elect Director Georganne C. Proctor | Management | For | For |
| 2 | Ratify Ernst & Young LLP as Auditors | Management | For | For |
| |
|---|
PACWEST BANCORP
Meeting Date: MAY 18, 2015
Record Date: MAR 23, 2015
Meeting Type: ANNUAL | Ticker: PACW
Security ID: 695263103
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Craig A. Carlson | Management | For | For |
| 1.2 | Elect Director John M. Eggemeyer | Management | For | For |
| 1.3 | Elect Director Barry C. Fitzpatrick | Management | For | Withhold |
| 1.4 | Elect Director Andrew B. Fremder | Management | For | For |
| 1.5 | Elect Director C. William Hosler | Management | For | Withhold |
| 1.6 | Elect Director Susan E. Lester | Management | For | For |
| 1.7 | Elect Director Douglas H. (Tad) Lowrey | Management | For | For |
| 1.8 | Elect Director Timothy B. Matz | Management | For | Withhold |
| 1.9 | Elect Director Roger H. Molvar | Management | For | Withhold |
| 1.10 | Elect Director James J. Pieczynski | Management | For | For |
| 1.11 | Elect Director Daniel B. Platt | Management | For | For |
| 1.12 | Elect Director Robert A. Stine | Management | For | Withhold |
| 1.13 | Elect Director Matthew P. Wagner | Management | For | For |
| 2 | Amend Executive Incentive Bonus Plan | Management | For | For |
| 3 | Amend Tax Asset Protection Plan | Management | For | Against |
| 4 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | Against |
| 5 | Ratify KPMG LLP as Auditors | Management | For | For |
| 6 | Adjourn Meeting | Management | For | Against |
| 7 | Other Business | Management | For | Against |
| |
|---|
PARK STERLING CORPORATION
Meeting Date: MAY 20, 2015
Record Date: MAR 25, 2015
Meeting Type: ANNUAL | Ticker: PSTB
Security ID: 70086Y105
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director James C. Cherry | Management | For | For |
| 1.2 | Elect Director Patricia C. Hartung | Management | For | For |
| 1.3 | Elect Director Thomas B. Henson | Management | For | For |
| 2 | Ratify Dixon Hughes Goodman LLP as Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| |
|---|
PENNYMAC FINANCIAL SERVICES, INC.
Meeting Date: JUN 03, 2015
Record Date: APR 06, 2015
Meeting Type: ANNUAL | Ticker: PFSI
Security ID: 70932B101
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Stanford L. Kurland | Management | For | For |
| 1.2 | Elect Director David A. Spector | Management | For | For |
| 1.3 | Elect Director Matthew Botein | Management | For | For |
| 1.4 | Elect Director James K. Hunt | Management | For | For |
| 1.5 | Elect Director Patrick Kinsella | Management | For | For |
| 1.6 | Elect Director Joseph Mazzella | Management | For | For |
| 1.7 | Elect Director Farhad Nanji | Management | For | For |
| 1.8 | Elect Director Mark Wiedman | Management | For | For |
| 1.9 | Elect Director Emily Youssouf | Management | For | For |
| 2 | Ratify Deloitte & Touche LLP as Auditors | Management | For | For |
| |
|---|
PREFERRED BANK
Meeting Date: MAY 19, 2015
Record Date: APR 13, 2015
Meeting Type: ANNUAL | Ticker: PFBC
Security ID: 740367404
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Ching-Hsing Kao | Management | For | For |
| 1.2 | Elect Director William C.Y. Cheng | Management | For | For |
| 1.3 | Elect Director Chih-Wei Wu | Management | For | For |
| 1.4 | Elect Director Wayne Wu | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify KPMG, LLPAuditors | Management | For | For |
| |
|---|
PROSPERITY BANCSHARES, INC.
Meeting Date: APR 21, 2015
Record Date: FEB 27, 2015
Meeting Type: ANNUAL | Ticker: PB
Security ID: 743606105
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director James A. Bouligny | Management | For | For |
| 1.2 | Elect Director W.R. Collier | Management | For | For |
| 1.3 | Elect Director Robert Steelhammer | Management | For | For |
| 1.4 | Elect Director H. E. Timanus, Jr. | Management | For | For |
| 2 | Ratify Deloitte & Touche LLP as Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| |
|---|
REDWOOD TRUST, INC.
Meeting Date: MAY 19, 2015
Record Date: MAR 25, 2015
Meeting Type: ANNUAL | Ticker: RWT
Security ID: 758075402
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Richard D. Baum | Management | For | For |
| 1.2 | Elect Director Douglas B. Hansen | Management | For | For |
| 1.3 | Elect Director Mariann Byerwalter | Management | For | For |
| 1.4 | Elect Director Marty Hughes | Management | For | For |
| 1.5 | Elect Director Greg H. Kubicek | Management | For | For |
| 1.6 | Elect Director Karen R. Pallotta | Management | For | For |
| 1.7 | Elect Director Jeffrey T. Pero | Management | For | For |
| 1.8 | Elect Director Georganne C. Proctor | Management | For | For |
| 1.9 | Elect Director Charles J. Toeniskoetter | Management | For | For |
| 2 | Ratify Grant Thornton LLP as Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| |
|---|
ROYAL BANK OF SCOTLAND GROUP PLC
Meeting Date: JUN 23, 2015
Record Date: JUN 19, 2015
Meeting Type: ANNUAL | Ticker: RBS
Security ID: G7S86Z172
|
| 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 | Re-elect Philip Hampton as Director | Management | For | For |
| 4 | Re-elect Ross McEwan as Director | Management | For | For |
| 5 | Re-elect Ewen Stevenson as Director | Management | For | For |
| 6 | Re-elect Sandy Crombie as Director | Management | For | For |
| 7 | Re-elect Alison Davis as Director | Management | For | For |
| 8 | Elect Howard Davies as Director | Management | For | For |
| 9 | Re-elect Morten Friis as Director | Management | For | For |
| 10 | Re-elect Robert Gillespie as Director | Management | For | For |
| 11 | Re-elect Penny Hughes as Director | Management | For | For |
| 12 | Re-elect Brendan Nelson as Director | Management | For | For |
| 13 | Re-elect Baroness Noakes as Director | Management | For | For |
| 14 | Reappoint Deloitte LLP as Auditors | Management | For | For |
| 15 | Authorise the Group Audit Committee to Fix Remuneration of Auditors | Management | For | For |
| 16 | Authorise Issue of Equity with Pre-emptive Rights | Management | For | For |
| 17 | Authorise Issue of Equity without Pre-emptive Rights | Management | For | For |
| 18 | Authorise Issue of Equity with Pre-emptive Rights in Relation to the Issue of Equity Convertible Notes | Management | For | For |
| 19 | Authorise Issue of Equity without Pre-emptive Rights in Relation to the Issue of Equity Convertible Notes | Management | For | For |
| 20 | Authorise Issue of Sterling, Dollar, and Euro Preference Shares with Pre-emptive Rights | Management | For | For |
| 21 | Authorise the Company to Call EGM with Two Weeks' Notice | Management | For | For |
| 22 | Authorise EU Political Donations and Expenditure | Management | For | For |
| 23 | Authorise Market Purchase of Ordinary Shares | Management | For | For |
| 24 | Approve Performance by the Company of the Resale Rights Agreement and the Registration Rights Agreement | Management | For | For |
| |
|---|
RSA INSURANCE GROUP PLC
Meeting Date: MAY 08, 2015
Record Date: MAY 06, 2015
Meeting Type: ANNUAL | Ticker: RSA
Security ID: G7705H157
|
| 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 | Re-elect Martin Scicluna as Director | Management | For | For |
| 5 | Re-elect Stephen Hester as Director | Management | For | For |
| 6 | Re-elect Alastair Barbour as Director | Management | For | For |
| 7 | Re-elect Kath Cates as Director | Management | For | For |
| 8 | Elect Enrico Cucchiani as Director | Management | For | For |
| 9 | Re-elect Hugh Mitchell as Director | Management | For | For |
| 10 | Re-elect Joseph Streppel as Director | Management | For | For |
| 11 | Re-elect Johanna Waterous as Director | Management | For | For |
| 12 | Reappoint KPMG LLP as Auditors | Management | For | For |
| 13 | Authorise Board to Fix Remuneration of Auditors | Management | For | For |
| 14 | Authorise EU Political Donations and Expenditure | 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 |
| |
|---|
SAFETY INSURANCE GROUP, INC.
Meeting Date: MAY 20, 2015
Record Date: APR 01, 2015
Meeting Type: ANNUAL | Ticker: SAFT
Security ID: 78648T100
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Peter J. Manning | Management | For | For |
| 1.2 | Elect Director David K. McKown | Management | For | For |
| 2 | Ratify PricewaterhouseCoopers LLP as Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| |
|---|
STATE AUTO FINANCIAL CORPORATION
Meeting Date: MAY 08, 2015
Record Date: MAR 13, 2015
Meeting Type: ANNUAL | Ticker: STFC
Security ID: 855707105
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Michael J. Fiorile | Management | For | For |
| 1.2 | Elect Director Michael E. LaRocco | Management | For | For |
| 1.3 | Elect Director Eileen A. Mallesch | Management | For | For |
| 1.4 | Elect Director Robert P. Restrepo, Jr. | Management | For | For |
| 2 | Amend Qualified Employee Stock Purchase Plan | Management | For | For |
| 3 | Ratify Ernst & Young LLP as Auditors | Management | For | For |
| 4 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| |
|---|
STATE STREET CORPORATION
Meeting Date: MAY 20, 2015
Record Date: MAR 13, 2015
Meeting Type: ANNUAL | Ticker: STT
Security ID: 857477103
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Jose E. Almeida | Management | For | For |
| 1b | Elect Director Kennett F. Burnes | 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 William C. Freda | Management | For | For |
| 1f | Elect Director Linda A. Hill | Management | For | For |
| 1g | Elect Director Joseph L. Hooley | Management | For | For |
| 1h | Elect Director Robert S. Kaplan | Management | For | For |
| 1i | Elect Director Richard P. Sergel | Management | For | For |
| 1j | Elect Director Ronald L. Skates | Management | For | For |
| 1k | Elect Director Gregory L. Summe | 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 | Ratify Ernst & Young LLP as Auditors | Management | For | For |
| |
|---|
TALMER BANCORP, INC.
Meeting Date: JUN 08, 2015
Record Date: APR 15, 2015
Meeting Type: ANNUAL | Ticker: TLMR
Security ID: 87482X101
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Max Berlin | Management | For | Withhold |
| 1.2 | Elect Director Gary Collins | Management | For | For |
| 1.3 | Elect Director Jennifer Granholm | Management | For | For |
| 1.4 | Elect Director Paul Hodges, III | Management | For | For |
| 1.5 | Elect Director Denny Kim | Management | For | For |
| 1.6 | Elect Director Ronald Klein | Management | For | For |
| 1.7 | Elect Director David Leitch | Management | For | For |
| 1.8 | Elect Director Barbara Mahone | Management | For | For |
| 1.9 | Elect Director Robert Naftaly | Management | For | For |
| 1.10 | Elect Director Albert Papa | Management | For | For |
| 1.11 | Elect Director David Provost | Management | For | For |
| 1.12 | Elect Director Thomas Schellenberg | Management | For | For |
| 1.13 | Elect Director Gary Torgow | Management | For | For |
| 1.14 | Elect Director Arthur Weiss | Management | For | Withhold |
| 2 | Ratify Crowe Horwath LLP as Auditors | Management | For | For |
| |
|---|
TD AMERITRADE HOLDING CORPORATION
Meeting Date: FEB 12, 2015
Record Date: DEC 15, 2014
Meeting Type: ANNUAL | Ticker: AMTD
Security ID: 87236Y108
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director W. Edmund Clark | Management | For | Withhold |
| 1.2 | Elect Director Karen E. Maidment | Management | For | For |
| 1.3 | Elect Director Mark L. Mitchell | Management | For | For |
| 1.4 | Elect Director Fredric J. Tomczyk | 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 19, 2015
Record Date: MAR 30, 2015
Meeting Type: ANNUAL | Ticker: TCBI
Security ID: 88224Q107
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director C. Keith Cargill | 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 Charles S. Hyle | Management | For | For |
| 1.8 | Elect Director William 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 Robert W. Stallings | Management | For | For |
| 1.12 | Elect Director Dale W. Tremblay | Management | For | Withhold |
| 1.13 | Elect Director Ian J. Turpin | Management | For | For |
| 2 | Approve Omnibus Stock Plan | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Ratify Ernst & Young LLP as Auditors | Management | For | For |
| |
|---|
THE BANK OF NEW YORK MELLON CORPORATION
Meeting Date: APR 14, 2015
Record Date: FEB 13, 2015
Meeting Type: ANNUAL | Ticker: BK
Security ID: 064058100
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Nicholas M. Donofrio | Management | For | For |
| 1.2 | Elect Director Joseph J. Echevarria | Management | For | For |
| 1.3 | Elect Director Edward P. Garden | Management | For | For |
| 1.4 | Elect Director Jeffrey A. Goldstein | Management | For | For |
| 1.5 | Elect Director Gerald L. Hassell | Management | For | For |
| 1.6 | Elect Director John M. Hinshaw | Management | For | For |
| 1.7 | Elect Director Edmund F. 'Ted' Kelly | Management | For | For |
| 1.8 | Elect Director Richard J. Kogan | Management | For | For |
| 1.9 | Elect Director John A. Luke, Jr. | Management | For | For |
| 1.10 | Elect Director Mark A. Nordenberg | Management | For | For |
| 1.11 | Elect Director Catherine A. Rein | Management | For | For |
| 1.12 | Elect Director William C. Richardson | Management | For | For |
| 1.13 | Elect Director Samuel C. Scott, III | Management | For | For |
| 1.14 | Elect Director Wesley W. von Schack | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify KPMG LLP as Auditors | Management | For | For |
| |
|---|
THE GOLDMAN SACHS GROUP, INC.
Meeting Date: MAY 21, 2015
Record Date: MAR 23, 2015
Meeting Type: ANNUAL | Ticker: GS
Security ID: 38141G104
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Lloyd C. Blankfein | Management | For | For |
| 1b | Elect Director M. Michele Burns | Management | For | For |
| 1c | Elect Director Gary D. Cohn | Management | For | For |
| 1d | Elect Director Mark Flaherty | Management | For | For |
| 1e | Elect Director William W. George | Management | For | For |
| 1f | Elect Director James A. Johnson | Management | For | For |
| 1g | Elect Director Lakshmi N. Mittal | Management | For | For |
| 1h | Elect Director Adebayo O. Ogunlesi | Management | For | For |
| 1i | Elect Director Peter Oppenheimer | Management | For | For |
| 1j | Elect Director Debora L. Spar | Management | For | For |
| 1k | Elect Director Mark E. Tucker | Management | For | For |
| 1l | Elect Director David A. Viniar | Management | For | For |
| 1m | Elect Director Mark O. Winkelman | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Approve Omnibus Stock Plan | Management | For | For |
| 4 | Ratify PricewaterhouseCoopers LLP as Auditors | Management | For | For |
| 5 | Provide Vote Counting to Exclude Abstentions | Shareholder | Against | Against |
| 6 | Report on Certain Vesting Program | Shareholder | Against | Against |
| 7 | Provide Right to Act by Written Consent | Shareholder | Against | Against |
| |
|---|
THE NEW HOME COMPANY INC.
Meeting Date: JUN 18, 2015
Record Date: APR 21, 2015
Meeting Type: ANNUAL | Ticker: NWHM
Security ID: 645370107
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director David Berman | Management | For | For |
| 1.2 | Elect Director Douglas C. Neff | Management | For | For |
| 1.3 | Elect Director Nadine Watt | Management | For | For |
| 2 | Ratify Ernst & Young LLP as Auditors | Management | For | For |
| |
|---|
THE PROGRESSIVE CORPORATION
Meeting Date: MAY 15, 2015
Record Date: MAR 17, 2015
Meeting Type: ANNUAL | Ticker: PGR
Security ID: 743315103
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Stuart B. Burgdoerfer | Management | For | For |
| 1.2 | Elect Director Charles A. Davis | Management | For | For |
| 1.3 | Elect Director Roger N. Farah | Management | For | For |
| 1.4 | Elect Director Lawton W. Fitt | Management | For | For |
| 1.5 | Elect Director Stephen R. Hardis | Management | For | For |
| 1.6 | Elect Director Jeffrey D. Kelly | Management | For | For |
| 1.7 | Elect Director Patrick H. Nettles | Management | For | For |
| 1.8 | Elect Director Glenn M. Renwick | Management | For | For |
| 1.9 | Elect Director Bradley T. Sheares | Management | For | For |
| 1.10 | Elect Director Barbara R. Snyder | Management | For | For |
| 2 | Approve Omnibus Stock Plan | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Ratify PricewaterhouseCoopers LLP (PwC) as Auditors | Management | For | For |
| |
|---|
TRI POINTE HOMES, INC.
Meeting Date: MAY 08, 2015
Record Date: MAR 13, 2015
Meeting Type: ANNUAL | Ticker: TPH
Security ID: 87265H109
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Douglas F. Bauer | Management | For | For |
| 1.2 | Elect Director Lawrence B. Burrows | Management | For | For |
| 1.3 | Elect Director Daniel S. Fulton | Management | For | For |
| 1.4 | Elect Director Kristin F. Gannon | Management | For | For |
| 1.5 | Elect Director Steven J. Gilbert | Management | For | For |
| 1.6 | Elect Director Christopher D. Graham | Management | For | For |
| 1.7 | Elect Director Constance B. Moore | Management | For | For |
| 1.8 | Elect Director Thomas B. Rogers | Management | For | For |
| 1.9 | Elect Director Barry S. Sternlicht | Management | For | Withhold |
| 2 | Ratify Ernst & Young LLP as Auditors | Management | For | For |
| |
|---|
TRIPLEPOINT VENTURE GROWTH BDC CORP.
Meeting Date: MAY 19, 2015
Record Date: APR 20, 2015
Meeting Type: ANNUAL | Ticker: TPVG
Security ID: 89677Y100
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Sajal K. Srivastava | Management | For | For |
| 1.2 | Elect Director Stephen A. Cassani | Management | For | For |
| 2 | Ratify Deloitte & Touche LLP as Auditors | Management | For | For |
| |
|---|
UBS GROUP AG
Meeting Date: MAY 07, 2015
Record Date:
Meeting Type: ANNUAL | Ticker: UBSG
Security ID: H892U1882
|
| 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 and Dividends of CHF 0.50 per Share from Capital Contribution Reserves | Management | For | For |
| 2.2 | Approve Supplementary Dividends of CHF 0.25 per Share from Capital Contribution Reserves | Management | For | For |
| 3 | Approve Discharge of Board and Senior Management | Management | For | For |
| 4 | Approve Variable Remuneration of Executive Committee in the Amount of CHF 58.4 Million | Management | For | For |
| 5 | Approve Maximum Fixed Remuneration of Executive Committee in the Amount of CHF 25 Million | Management | For | For |
| 6.1a | Reelect Axel Weber as Director and Board Chairman | Management | For | For |
| 6.1b | Reelect Michel Demare as Director | Management | For | For |
| 6.1c | Reelect David Sidwell as Director | Management | For | For |
| 6.1d | Reelect Reto Francioni as Director | Management | For | For |
| 6.1e | Reelect Ann Godbehere as Director | Management | For | For |
| 6.1f | Reelect Axel Lehmann as Director | Management | For | For |
| 6.1g | Reelect William Parrett as Director | Management | For | For |
| 6.1h | Reelect Isabelle Romy as Director | Management | For | For |
| 6.1i | Reelect Beatrice Weder di Mauro as Director | Management | For | For |
| 6.1j | Reelect Joseph Yam as Director | Management | For | For |
| 6.2 | Elect Jes Staley as Director | Management | For | For |
| 6.3.1 | Appoint Ann Godbehere as Member of the Human Resources and Compensation Committee | Management | For | For |
| 6.3.2 | Appoint Michel Demare as Member of the Human Resources and Compensation Committee | Management | For | For |
| 6.3.3 | Appoint Reto Francioni as Member of the Human Resources and Compensation Committee | Management | For | For |
| 6.3.4 | Appoint Jes Staley as Member of the Human Resources and Compensation Committee | Management | For | For |
| 7 | Approve Maximum Remuneration of Directors in the Amount of CHF 14 Million | Management | For | For |
| 8.1 | Designate ADB Altorfer Duss & Beilstein AG as Independent Proxy | Management | For | For |
| 8.2 | Ratify Ernst & Young as Auditors | Management | For | For |
| 8.3 | Ratify BDO AG as Special Auditors | Management | For | For |
| 9 | Transact Other Business (Voting) | Management | For | Against |
| |
|---|
UNITED FINANCIAL BANCORP, INC.
Meeting Date: JUN 17, 2015
Record Date: MAR 09, 2015
Meeting Type: ANNUAL | Ticker: UBNK
Security ID: 910304104
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Paula A. Aiello | Management | For | For |
| 1.2 | Elect Director Carol A. Leary | Management | For | For |
| 1.3 | Elect Director Kevin E. Ross | 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 | Reduce Supermajority Vote Requirement | Management | For | For |
| 5 | Increase Authorized Common Stock | Management | For | For |
| 6 | Change State of Incorporation from Connecticut to Delaware | Management | For | For |
| 7 | Ratify Wolf & Company, P.C. as Auditors | Management | For | For |
| |
|---|
VISA INC.
Meeting Date: JAN 28, 2015
Record Date: DEC 01, 2014
Meeting Type: ANNUAL | Ticker: V
Security ID: 92826C839
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1a | Elect Director Mary B. Cranston | Management | For | For |
| 1b | Elect Director Francisco Javier Fernandez-Carbajal | Management | For | For |
| 1c | Elect Director Alfred F. Kelly, Jr. | 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 Charles W. Scharf | Management | For | For |
| 1i | Elect Director William S. Shanahan | Management | For | For |
| 1j | Elect Director John A. C. Swainson | Management | For | For |
| 1k | Elect Director Maynard G. Webb, Jr. | Management | For | For |
| 2 | Approve Amendments to the Certificate of Incorporation to Facilitate Stock Splits | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Approve Qualified Employee Stock Purchase Plan | Management | For | For |
| 5a | Remove Supermajority Vote Requirement for Exiting Core Payment Business | Management | For | For |
| 5b | Remove Supermajority Vote Requirement for Future Amendments to Certain Sections of Company's Certificate of Incorporation | Management | For | For |
| 5c | Remove Supermajority Vote Requirement for Approval of Exceptions to Transfer Certifications | Management | For | For |
| 5d | Remove Supermajority Vote Requirement for Removal of Directors | Management | For | For |
| 5e | Remove Supermajority Vote Requirement for Future Amendments to the Advance Notice Provision in the Bylaws | Management | For | For |
| 6 | Ratify Auditors | Management | For | For |
| |
|---|
WADDELL & REED FINANCIAL, INC.
Meeting Date: APR 15, 2015
Record Date: FEB 18, 2015
Meeting Type: ANNUAL | Ticker: WDR
Security ID: 930059100
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Thomas C. Godlasky | Management | For | For |
| 1.2 | Elect Director Dennis E. Logue | Management | For | For |
| 1.3 | Elect Director Michael F. Morrissey | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify KPMG LLP as Auditors | Management | For | For |
| |
|---|
WELLS FARGO & COMPANY
Meeting Date: APR 28, 2015
Record Date: MAR 03, 2015
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 Elizabeth A. Duke | Management | For | For |
| 1f | Elect Director Susan E. Engel | Management | For | For |
| 1g | Elect Director Enrique Hernandez, Jr. | Management | For | For |
| 1h | Elect Director Donald M. James | Management | For | For |
| 1i | Elect Director Cynthia H. Milligan | Management | For | For |
| 1j | Elect Director Federico F. Pena | Management | For | For |
| 1k | Elect Director James H. Quigley | Management | For | For |
| 1l | Elect Director Judith M. Runstad | Management | For | For |
| 1m | Elect Director Stephen W. Sanger | Management | For | For |
| 1n | Elect Director John G. Stumpf | Management | For | For |
| 1o | Elect Director Susan G. Swenson | Management | For | For |
| 1p | Elect Director Suzanne M. Vautrinot | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify KPMG LLP as Auditors | Management | For | For |
| 4 | Require Independent Board Chairman | Shareholder | Against | For |
| 5 | Report on Lobbying Payments and Policy | Shareholder | Against | Against |
| |
|---|
WESTERN ALLIANCE BANCORPORATION
Meeting Date: MAY 19, 2015
Record Date: APR 01, 2015
Meeting Type: ANNUAL | Ticker: WAL
Security ID: 957638109
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Bruce Beach | Management | For | For |
| 1.2 | Elect Director William S. Boyd | Management | For | For |
| 1.3 | Elect Director Steven J. Hilton | Management | For | For |
| 1.4 | Elect Director Marianne Boyd Johnson | Management | For | For |
| 1.5 | Elect Director Kenneth A. Vecchione | Management | For | For |
| 2 | Amend Articles to Declassify the Board, to Provide for the Annual Election of all Directors, and Removal of Directors Without Cause | Management | For | For |
| 3 | Provide Right to Call Special Meeting | Management | For | For |
| 4 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 5 | Ratify McGladrey LLP as Auditors | Management | For | For |
| |
|---|
WHITE MOUNTAINS INSURANCE GROUP, LTD.
Meeting Date: MAY 28, 2015
Record Date: APR 01, 2015
Meeting Type: ANNUAL | Ticker: WTM
Security ID: G9618E107
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect A. Michael Frinquelli as Director | Management | For | For |
| 1.2 | Elect Edith E. Holiday as Director | Management | For | For |
| 2.1 | Elect Monica Cramer-Manhem as Director for Sirius International Insurance Corporation | Management | For | For |
| 2.2 | Elect Jeffrey Davis as Director for Sirius International Insurance Corporation | Management | For | For |
| 2.3 | Elect Lars Ek as Director for Sirius International Insurance Corporation | Management | For | For |
| 2.4 | Elect Brian E. Kensil as Director for Sirius International Insurance Corporation | Management | For | For |
| 2.5 | Elect Jan Onselius 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 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 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 Repasy as Director for White Mountains Life Reinsurance (Bermuda) Ltd. | Management | For | For |
| 4.3 | Elect Warren 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 Repasy as Director for White Shoals Re Ltd. | Management | For | For |
| 5.2 | Elect Warren 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 Sheila Nicoll as Director for Olympus Reinsurance Company Ltd. | Management | For | For |
| 6.2 | Elect Christine Repasy as Director for Olympus Reinsurance Company Ltd. | Management | For | For |
| 6.3 | Elect Warren Trace as Director for Olympus Reinsurance Company Ltd. | Management | For | For |
| 7.1 | Elect Monica Cramer-Manhem as Director for Star Re Ltd. | Management | For | For |
| 7.2 | Elect Christine Repasy as Director for Star Re Ltd. | Management | For | For |
| 7.3 | Elect Warren Trace as Director for Star Re Ltd. | Management | For | For |
| 7.4 | Elect Allan L. Waters as Director for Star Re Ltd. | Management | For | For |
| 8.1 | Elect Stuart Liddell as Director for Alstead Reinsurance (SAC) Ltd. | Management | For | For |
| 8.2 | Elect Sheila Nicoll as Director for Alstead Reinsurance (SAC) Ltd. | Management | For | For |
| 8.3 | Elect Christine Repasy as Director for Alstead Reinsurance (SAC) Ltd. | Management | For | For |
| 8.4 | Elect Warren Trace as Director for Alstead Reinsurance (SAC) Ltd. | Management | For | For |
| 9.1 | Elect Monica Cramer-Manhem as Director for Sirius Bermuda Insurance Company Ltd. | Management | For | For |
| 9.2 | Elect Jan Onselius as Director for Sirius Bermuda Insurance Company Ltd. | Management | For | For |
| 9.3 | Elect Warren Trace as Director for Sirius Bermuda Insurance Company Ltd. | Management | For | For |
| 9.4 | Elect Allan L. Waters as Director for Sirius Bermuda Insurance Company Ltd. | Management | For | For |
| 10.1 | Elect Michael Dashfield as Director for White Mountains Re Sirius Capital Ltd. | Management | For | For |
| 10.2 | Elect Lars Ek as Director for White Mountains Re Sirius Capital Ltd. | Management | For | For |
| 10.3 | Elect Goran Thorstensson as Director for White Mountains Re Sirius Capital Ltd. | Management | For | For |
| 10.4 | Elect Allan L. Waters as Director for White Mountains Re Sirius Capital Ltd. | Management | For | For |
| 11.1 | Elect Christopher Garrod as Director for Split Rock Insurance, Ltd. | Management | For | For |
| 11.2 | Elect Sarah Kolar as Director for Split Rock Insurance, Ltd. | Management | For | For |
| 11.3 | Elect Sheila Nicoll as Director for Split Rock Insurance, Ltd. | Management | For | For |
| 11.4 | Elect John Treacy as Director for Split Rock Insurance, Ltd. | Management | For | For |
| 12.1 | Elect Raymond Barrette as Director for Any New non-United States Operating Subsidiary | Management | For | For |
| 12.2 | Elect David T. Foy as Director for Any New Non-United States Operating Subsidiary | Management | For | For |
| 12.3 | Elect Jennifer L. Pitts as Director for Any New Non-United States Operating Subsidiary | Management | For | For |
| 12.4 | Elect Warren Trace as Director for Any New Non-United States Operating Subsidiary | Management | For | For |
| 13 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 14 | Ratify PricewaterhouseCoopers LLP as Auditors | Management | For | For |
| |
|---|
WILLIAM LYON HOMES
Meeting Date: JUN 05, 2015
Record Date: APR 13, 2015
Meeting Type: ANNUAL | Ticker: WLH
Security ID: 552074700
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Douglas K. Ammerman | Management | For | For |
| 1.2 | Elect Director Michael Barr | Management | For | For |
| 1.3 | Elect Director Gary H. Hunt | Management | For | For |
| 1.4 | Elect Director William Lyon | Management | For | For |
| 1.5 | Elect Director William H. Lyon | Management | For | For |
| 1.6 | Elect Director Matthew R. Niemann | Management | For | For |
| 1.7 | Elect Director Nathaniel Redleaf | Management | For | For |
| 1.8 | Elect Director Lynn Carlson Schell | Management | For | For |
| 2 | Ratify KPMG LLP as Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| |
|---|
XL GROUP PLC
Meeting Date: MAY 08, 2015
Record Date: MAR 05, 2015
Meeting Type: ANNUAL | Ticker: XL
Security ID: G98290102
|
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
|---|
| 1.1 | Elect Director Ramani Ayer | Management | For | For |
| 1.2 | Elect Director Dale R. Comey | Management | For | For |
| 1.3 | Elect Director Michael S. McGavick | Management | For | For |
| 1.4 | Elect Director Robert R. Glauber | Management | For | For |
| 1.5 | Elect Director Edward J. Kelly, III | Management | For | For |
| 1.6 | Elect Director Suzanne B. Labarge | Management | For | For |
| 1.7 | Elect Director Anne Stevens | Management | For | For |
| 1.8 | Elect Director John M. Vereker | Management | For | For |
| 2 | Approve PricewaterhouseCoopers LLP as Auditors and Authorize Board to Fix Their Remuneration | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Renew Director's Authority to Issue Shares | Management | For | For |
| 5 | Renew Director's Authority to Issue Shares for Cash | Management | For | For |
| 6 | Amend Non-Employee Director Omnibus Stock Plan | Management | For | For |
| |
|---|
ZIONS BANCORPORATION
Meeting Date: MAY 22, 2015
Record Date: MAR 19, 2015
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 John C. Erickson | Management | For | For |
| 1c | Elect Director Patricia Frobes | Management | For | For |
| 1d | Elect Director Suren K. Gupta | Management | For | For |
| 1e | Elect Director J. David Heaney | Management | For | For |
| 1f | Elect Director Vivian S. Lee | Management | For | For |
| 1g | Elect Director Edward F. Murphy | Management | For | For |
| 1h | Elect Director Roger B. Porter | Management | For | For |
| 1i | Elect Director Stephen D. Quinn | Management | For | For |
| 1j | Elect Director Harris H. Simmons | Management | For | For |
| 1k | Elect Director L. E. Simmons | Management | For | For |
| 1l | Elect Director Shelley Thomas Williams | Management | For | For |
| 1m | Elect Director Steven C. Wheelwright | Management | For | For |
| 2 | Ratify Ernst & Young LLP as Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Approve Omnibus Stock Plan | Management | For | For |
| 5 | Require Independent Board Chairman | Shareholder | Against | Against |
| |
|---|
ZURICH INSURANCE GROUP AG
Meeting Date: APR 01, 2015
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 |
| 4.1a | Reelect Tom de Swaan as Director and Board Chairman | Management | For | For |
| 4.1b | Reelect Susan Bies as Director | Management | For | For |
| 4.1c | Reelect Alison Carnwath as Director | Management | For | For |
| 4.1d | Reelect Rafael del Pino as Director | Management | For | For |
| 4.1e | Reelect Thomas Escher as Director | Management | For | For |
| 4.1f | Reelect Christoph Franz as Director | Management | For | For |
| 4.1g | Reelect Fred Kindle as Director | Management | For | For |
| 4.1h | Reelect Monica Maechler as Director | Management | For | For |
| 4.1i | Reelect Don Nicolaisen as Director | Management | For | For |
| 4.1j | Elect Joan Amble as Director | Management | For | For |
| 4.1.k | Elect Kishore Mahbubani as Director | Management | For | For |
| 4.2.1 | Appoint Alison Carnwath as Member of the Compensation Committee | Management | For | For |
| 4.2.2 | Appoint Tom de Swaan as Member of the Compensation Committee | Management | For | For |
| 4.2.3 | Appoint Rafael del Pino as Member of the Compensation Committee | Management | For | For |
| 4.2.4 | Appoint Thomas Escher as Member of the Compensation Committee | Management | For | For |
| 4.2.5 | Appoint Christoph Franz as Member of the Compensation Committee | Management | For | For |
| 4.3 | Designate Andreas Keller as Independent Proxy | Management | For | For |
| 4.4 | Ratify PricewaterhouseCoopers as Auditors | Management | For | For |
| 5.1 | Approve Maximum Remuneration of Board of Directors Until 2016 AGM in the Amount of CHF 4.9 Million | Management | For | For |
| 5.2 | Approve Maximum Remuneration of Executive Committee for Fiscal 2016 in the Amount of CHF 75.9 Million | Management | For | For |
| 6 | Amend Articles Re: Commercial Accounting and Financial Reporting | Management | For | For |
| 7 | Transact Other Business (Voting) | Management | For | Against |
END NPX REPORT
