UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF
REGISTERED MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811-08231
Spirit of America Investment Fund, Inc.
(Exact name of registrant as specified in charter)
477 Jericho Turnpike
P.O. Box 9006
Syosset, NY 11791-9006
(Address of principal executive offices) (Zip code)
Mr. David Lerner
David Lerner Associates
477 Jericho Turnpike
P.O. Box 9006
Syosset, NY 11791-9006
(Name and address of agent for service)
Registrant’s telephone number, including area code: (516) 390-5565
Date of fiscal year end: December 31
Date of reporting period: July 1, 2009 – June 30, 2010
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant’s proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
PROXY VOTING RECORD
FOR PERIOD JULY 1, 2009 TO JUNE 30, 2010
Spirit of America High Yield Tax Free Bond Fund
The Spirit of America High Yield Tax Free Bond Fund did not vote any proxies during the one year period ended June 30, 2010.
Spirit of America Income Fund
The Spirit of America Income Fund did not vote any proxies during the one year period ended June 30, 2010.
Spirit of America Large Cap Value Fund
FUND NAME: Spirit of America Large Cap Value Fund
Issuer of Portfolio Security | Exchange Ticker Symbol | CUSIP # | Shareholder Meeting Date | Summary of Matter Voted On | Who Proposed Matter: Issuer / Shareholder | Whether Fund Cast Vote on Matter | Fund’s Vote For or Against Proposal, or Abstain | Whether Vote Was For or Against Management | ||||||||
General Mills, Inc. | GIS | 370334104 | 9/21/2009 | 1. Board of Directors; Bradbury H. Anderson, R. Kerry Clark, Paul Danos, William T. Esrey, Raymond V. Gilmartin, Judith Richards Hope, Heidi G. Miller, Hilda Ochoa-brillembourg, Steve Odland, Kendall J. Powell ,Lois E. Quam, Michael D. Rose, Robert L. ryan, Dorothy A. Terrell. 2. Adopting the 2009 Stock Compensation Plan. 3. Ratifying the appointment of KPMG LLP as General Mills’ independent registered public accounting firm. 4. Stockholder proposal on Advisory Vote on Executive Compensation. | Issuer | Yes | 1. For 2. For 3. For 4. Against | For | ||||||||
The Procter & Gamble Copany | PG | 742718109 | 10/13/2009 | 1. Board of Directors; DirectorsKenneth I. Chenault, Scott D. Cook, Rajat K. Gupta, A.G. Lafley, Charles R. Lee, Lynn M. Martin, Robert A. McDonald, W. James McNerney Jr., Johnathan A. Rodgers, Ralph Snyderman, MD., Mary Agnes Wilderotter, Particia A. Woertz, Ernesto Zedillo. 2. Ratify appointment of the Independent Registered Public Accounting Firm 3. Amend the Company’s Code of Regulations 4. Approve the Procter & Gamble 2009 Stock and Incentive Comp Plan 5. Shareholders Proposal #1 – Cumulative Voting 6. Shareholder Proposal #2 – Advisory Vote on Exec Comp | Issuer | Yes | 1. For 2. For 3. For 4. For 5. Against | For |
Noble Corporation | NE | 42206849 | 10/29/2009 | 1. Election of Directors Gordon T. Hall and John A Marshall 2. Approval of amedment and restatment of Norble Corp 1991 Stock Option and Restricted Stock Plan as of 10/29/2009. | Issuer | Yes | 1. For 2. For | For | ||||||||
Diageo Plc | DIAG | 39524007 | 10/14/2009 | 1. Board Nominees; LM Danon, Lord Hollick, PS Walsh, PB Bruzelius, BD Holden. Resolutions in attached AGM notice 2. For report and accounts 2009 3. For directors’ remuneration report 2009 4. For re-appointment of audior 5. For remuneration of auditor 6. For authority to allot shares 7. For disapplication of pre-emption rights 8. For authority to purchase own ordinary shares 9. For authority to make political donations and/or incur political expenditure in the EU 10. For adoption of the Diageo plc 2009 Discretionary Incentive Plan 11. For adoption of the Diageo plc 2009 exective long term incentive plan 12. For adoption of the Diageo plc International Sharematch Plan 2009 13. For authority to establish international share plans 14. For adoption of the Diageo plc 2009 Irish Sharesave Plan 15. For amendments to the rules of Diageo plc Executive Share Option Plan 16. For amendments to the rules of Diageo plc 2009 Senior Executive Share Option Plan 17. Amendments to the rules of Diageo plc Senior Executive Share Option Plan 18. For reduced notice of a general meeting other than an annual general meeting 19. For adoption of articles of association | Issuer | Yes | 1. For 2. For 3. For 4. For 5. For 6. For 7. For 8. For 9. For 10. For | For |
Cisco Systems Inc | CSCO | 17275R102 | 11/12/2009 | 1. Board Nominees; Carol A. Bartz, M. Michele Burns, Michael D. Capellas, Larry R. Carter, John T. Chambers, Brian L. Halla, Dr. John L. Hennessy, Richard M. Kovacevich, Roderick C. McGeary, Michael K. Powell, Arun Sarin, Steven M. West, Jerry Yang. 2. For Proposal to approve the amendment and restatment of the 2005 Stock Incentive Plan, as set forth in the accompanying proxy statement. 3. For Proposal to approve the amendment and restatment of the Employee Stock Purchase Plan, as set forth in the accompanying proxy statement. 4. For Proposal to ratify the appointment of PricewaterhouseCoopers LLP as Cisco’s independent registered public accounting firm for the fiscal year ending July 31, 2010. 5. Against Proposal 5- submitted by shareholder to amend Cisco’s bylaws to establish a Board Committee on Human rights. 6. Against Proposal 6- submitted by shareholder requesting the Board to adopt a policy that shareholders requesting the Board to adopt a policy that shareholders be provided the opportunity at each annual meeting of shareholders to vote on advisory resolution to ratify the compensation of the named executive officers described in the proxy statement for the annunal meeting. 7. Against Proposal 7- requesting the board to publish a report to shareholders within six months providing a summarized listing and assessment of concrete steps Cisco could resonably take to reduce the likelihood that its business practices might enable or encourage the violation of human rights, as set forth in the accompanying proxy statement. 8. Against acting upon such other matters as may properly come before the meeting or any adjournment or postponement thereof. | Issuer | Yes | 1. For 2. For 3. For 4. For | For |
Microsoft Corporation | MSFT | 594918104 | 11/19/2009 | 1.Board of Directors; William H. Gates III, Steven A. Ballmer, Dina Dublon, Raymon V. Gilmartin, Reed Hastings, Maria Klawe, David L. Marquardt, Charles H. Noski, Helmut Panke. 2. Ratification of the selection of Deloitte & Touche LLP as the Company’s independent auditor. 3. Approving amendments to amended and restated articles of incorporation. 4. Advisory vote on executive compensation. 5. Shareholder proposal-adoption of healthcare reform principles. 6. Shareholder proposal-disclosure of charitable contributions. | Issuer | Yes | 1. For. 2. For 3. For 4. For | For | ||||||||
3 M Company | MMM | 88579Y101 | 5/11/2010 | 1. Board Nominees; a. Linda G. Alvarado b. George W. Buckley c. Vance D. Coffman d. Michael L. Eskew e. W. James Farrell f. Herbert L. Henkel g. Edward M. Liddy h. Robert S. Morrison i. Aulana L. Peters j. Robert J. Ulrich. 2. Ratify appointment of PricewaterhouseCoopers as accounting Firm 3. Approve amended 2008 Long Term Incentive Plan and to approve the expanded performance criteria available under the 2008 Long Term Incentive Plan 4. Stockholder Proposal on special meetings. | Issuer | Yes | 1. For 2. For 3. For 4. Against | For |
Abbot Laboratories | ABT | 002824100 | 4/23/2010 | 1. Board Nominees; a. RJ Alpern b. RS Austin c. WM Daley d. WJ Farrell e. HL Fuller f. WA Osborn g. DAL Owen h. RS Roberts i. SC Scott III j. WD Smithburg k. GF Tilton l. MD White 2. Ratification of Deloitte & Touche as Auditors 3. Shareholder Proposal - Advisory Vote 4. Shareholder Proposal - Special Shareholder Meetings | Issuer | Yes | 1. For 2. For 3. Against 4. Against | For | ||||||||
Aflac | AFL | 1055102 | 5/3/2010 | 1. Board Nominees; a. Daniel P. Amos b. John Shelby Amos II c. Paul S. Amos II d. Michael H. Armacost e. Kriss Cloninger III f. Joe Frank Harris g. Elizabeth J. Hudson h. Douglas W. Johnson i. Robert S. Johnson j. Charles B. Knapp k. E. Stephen Purdom, M.D. l. Barbara K. Rimer, Dr. PH m. Marvin R. Schuster n. David Gary Thompson o. Robert L. Wright p. Takuro Yoshida 2. Executive pay-for-performance Compensation Policies 3. Ratification of KPMG as independent public accounting firm for the year ending December 31, 2010. | Issuer | Yes | 1. For 2. For 3. For | For | ||||||||
Alcoa | AA | 013817101 | 4/23/2010 | 1. Board Nominees; a. Arthur D. Collins, Jr. b. Carlos Ghosn c. Michael G. Morris d. E. Stanley O’Neal 2. Proposal to Ratify the Independent Auditor 3. Approve Voting Standard 4. Articles of Incorporation – Fair Price Protection 5. Articles of Incorporation – Director Elections 6. Articles of Incorporation – Removal of Directors 7. Adoption of Simple Majority Vote | Issuer | Yes | 1. For 2. For 3. For 4. For 5. For 6. For 7. Against | For |
Alcon | ACL | H01301-102 | 5/20/2010 | 1. Approval of 2009 Annual Report. 2. Appropriation of available earnings and proposed dividends. 3. Discharge of Board of Directors. 4. Election of KPMG as independent auditors. 5. Election of OBT AG as Special Auditors. 6. Amendments to Articles of Association. 7. Board Nominees; a. Werner Bauer b. Francisco Castaner c. Lodewijk J.R. De Vink | Issuer | Yes | 1-7: For | For | ||||||||
Allergan | AGN | 018490102 | 4/29/2010 | 1. Board Nominees; a. Michael R. Gallagher b. Gavin S. Herbert c. Dawn Hudson d. Stephen J. Ryan, M.D. 2. Ratification of Ernst & Young as independent registered accounting firm 3. Amend Certificate of Incorporation to eliminate the supermajority vote requirement to remove directors for cause. 4. Amend Certificate of Incorporation to eliminate the supermajority vote requirement to approve certain business combinations. 5. Amend Certificated of Incorporation to implement a vote requirement to amend the Certificate of Incorporation. 6. To approve the amendments to the Certificate of Incorporation. | Issuer | Yes | 1. For 2. For 3. For 4. For 5. For 6. For | For |
Altria Group | MO | 022009S103 | 5/20/2010 | 1. Board Nominees; a. Elizabeth E. Bailey b. Gerald L. Baliles c. John T. Casteen III d. Dinyar S. Devitre e. Thomas F. Farrell II f. Robert E. R. Huntley g. Thomas W. Jones h. George Munoz i. Nabil Y. Sakkab j. Michael E. Szymanczyk 2. 2010 Performance Incentive Plan. 3. Ratification of independent auditors. 4. Shareholder Proposal - Food Insecurity and Tobacco Use. 5. Shareholder Proposal - Create Human Rights Protocols for the Company and its Suppliers. | Issuer | Yes | 1. For 2. For 3. For 4. Against | For | ||||||||
Amazon.Com Inc | AMZN | 023135106 | 5/25/2010 | 1. Board Nominees; a. Jeffrey P. Bezos b. Tom A. Alberg c. John Seely Brown d. William B. Gordon e. Alain Monie f. Thomas O. Ryder g. Patricia Q. Stonesifer 2. Ratification of Ernst & Young as independent auditors for 2010 3. Shareholder Proposal - calling for Company to make certain disclosures regarding corporate political contributions. | Issuer | Yes | 1. For 2. For 3. Against | For | ||||||||
American Electric Power Company | AEP | 025537101 | 4/27/2010 | 1. Board Nominees; a. E.R. Brooks b. Donald M. Carlton c. James F. Cordes d. Ralph D. Crosby, Jr. e. Linda A. Goodspeed f. Thomas E. Hoaglin g. Lester A. Hudson, Jr. h. Michael G. Morris i. Lionel L. Nowell III j. Richard L. Sandor k. Kathryn D. Sullivan l. Sara Martinez Tucker m. John F. Turner 2. Approve amendments to Long Term Incentive Plan. 3. Ratification of the appointment of Deloitte & Touche as independent registered accounting firm. | Issuer | Yes | 1. For 2. For 3. For | For |
American Express | AXP | 025816-109 | 4/26/2010 | 1. Board Nominees; a. DF Akerson b. C Barshefsky c. UM Burns d. KI Chenault e. P Chernin f. J Leschly g. RC Levin h. RA McGinn i. ED Miller j. SS Reinemund k. RD Walter l. RA Williams 2. Ratification of appointment of PricewaterhouseCoopers as independent accounting firm. 3.Advisory vote approving executive compensation 4. Shareholder Proposal – Cumulative voting for Directors 5. Shareholder Proposal – Calling of special meetings 6. Shareholder Proposal – Share retention requirements for executives. | Issuer | Yes | 1. For 2. For. 3. For 4. Against 5. Against 6. Against | For | ||||||||
Amgen Inc | AMGN | 031162-100 | 5/12/2010 | 1. Board Nominees; a. Dr. David Baltimore b. Frank J. Biondi, Jr. c. Francois de Carbonnel d. Jerry D. Choate e. Dr. Vance D. Coffman f. Frederick W. Gluck g. Dr. Rebecca M. Henderson h. Frank C. Herringer i. Dr. Gilbert S. Omenn j. Judith C. Pelham k. Adm. J. Paul Reason, USN l. Leonard D. Schaeffer m. Kevin W. Sharer 2. Ratification of Ernst & Young as independent registered public accounting firm for the year ending December 31, 2010. 3. Shareholder Proposal – Action by Written Consent 4. Shareholder Proposal – Equity Retention Policy | Issuer | Yes | 1. For 2. For 3. Against | For | ||||||||
Apache Corp | APA | 037411-105 | 5/6/2010 | 1. Board Nominees; a. Eugene C. Fiedorek b. Patricia Albjerg Graham c. F.H. Merelli 2. Ratification of Ernst & Young as independent auditors. | Issuer | Yes | 1. For 2. For | For |
Apple | AAPL | 37833100 | 2/25/2010 | 1. Board Nominees; William V. Campbell, Millard S. Drexler, Albert A. Gore Jr., Steven P. Jobs, andrea Jung, Arthur D. Levinson Ph.D., Jerome B. York. 2. Approval of amendments to the Apple Inc. 2003 Employee Stock Plan 3. Amendment to Director Stock Plan 4. Advisory Vote on Executive Compensation 5. Ratify appointment of Ernst & Young LLP as accountants for fiscal year 2010 6. Consider a shareholder proposal entitled “Sustainability Report,” if properly presented at the meeting. 7. Shareholder proposal entitled “Amend Corporate By-laws Establishing a Board Committee on Sustainability,” if properly presented at the meeting. | Issuer | Yes | 1. For 2. For 3. For 4. For 5. For 6. Against 7. Against | For | ||||||||
Applied Materials | AMAT | 38222105 | 3/9/2010 | 1. Board Nominees; a. Aart J. de Geus b. Stephen R. Forrestm c. Thomas J. Iannotti d. Susan M. James e. Alexander A. Karsner f. Gerhard H. Parker g. Dennis D. Powell h. Willem P. Roelandts i. James E. Rogers j. Michael R. Splinter k. Robert H. Swan 2. Ratify the appointment of KPMG LLP as Applied Materials’ independent registered public accounting firm for fiscal year 2010. | Issuer | Yes | 1. For 2. For | For |
AT &T Inc | T | 00206R102 | 4/30/2010 | 1. Board Nominees; a. Randall L. Stephenson b. Gilbert F. Amelio c. Ruben V. Anderson d. James H. Blanchard e. Jaime Chico Pardo f. James P. Kelly g. Jon C. Madonna h. Lynn M. Martin i. John B. McCoy j. Joyce M. Roche k. Laura D’Andrea Tyson l. Patricia P. Upton. 2. Ratification of appointment of independent auditors 3. Stockholder Proposal – Cumulative voting. 4. Stockholder Proposal – Pension credit policy. 5. Stockholder Proposal – Advisory vote on compensation. 6. Stockholder Proposal – Special stockholder meetings. | Issuer | Yes | 1. For 2. For | For | ||||||||
Avon | AVP | 054303- 102 | 5/6/2010 | 1. Board Nominees; a. W. Don Cornwell b. V. Ann Hailey c. Fred Hassan d. Andrea Jung e. Maria Elena Lagomasino f. Ann S. Moore g. Paul S. Pressler h. Gary M. Rodkin i. Paula Stern j. Lawrence A. Weinbach 2. Ratification of appointment of independent accounting firm 3. Approval of 2010Stock Incentive Plan. | Issuer | Yes | 1. For 2. For 3. For | For |
Bank of America | BAC | 60505104 | 2/23/2010 | 1. Board of Nominees; a. Susan S. Bies b. William P. Boardman c. Frank P. Bramble, Sr. d. Virgis W. Colbert e. Charles K. Gifford f. Charles O. Holiday Jr. g. D. Paul Jones Jr. h. Monica C. Lozano i. Thomas J. May j. Brian T. Moynihan k. Donald E. Powell l. Charles O. Rossotti m. Robert W. Scully 2. Proposal to ratify the registered independent public accounting firm for 2010. 3. Proposal to adopt an amendment to the Bank of America amended and restated certificate of incorporation to increase the number of authorized shares of common stock from 11.3 billion to 12.8 billion. 4. Advisory (non-binding) vote approving executive compensation. 5. Proposal to approve an amendment to the 2003 Key Associate Stock Plan. 6. Shareholder Proposal – Disclosure of Government Employment. 7. Shareholder Proposal – Non-deductible Pay. 8. Shareholder Proposal – Special Stockholder Meetings. 9. Shareholder Proposal – Advisory Vote on Executive Compensation. 10. Shareholder Proposal – Succession Planning. 11. Shareholder Proposal – Derivatives Trading. 12. Shareholder Proposal – Recoup Incentive Compensation. | Issuer | Yes | 1. For 2. For 3. For 4. For 5. For | For |
Boeing | BA | 097023-105 | 4/26/2010 | 1. Board Nominees; a. John H. Biggs b. John E. Bryson c. David L. Calhoun d. Arthur D. Collins, Jr. e. Linda Z. Cook f. William M. Daley g. Kenneth M. Duberstein h. Edmund P. Giambastiani, Jr. i. John F. McDonnell j. W. James McNerney, Jr. k. Susan C. Schwab l. Mike S. Zafirovski 2. Ratification of the appointment of Deloitte & Touche LLP as independent auditor. 3. Shareholder Proposal – Ethical Criteria for Military Contracts. 4. Shareholder Proposal – Advisory vote on named executive officer compensation. 5. Shareholder Proposal – Change ownership threshold to call special meetings. 6. Shareholder Proposal – Independent chairman. 7. Shareholder Proposal – Report on political contributions. | Issuer | Yes | 1. For 2. For | For | ||||||||
Cabelvision Systems Corp | CVC | 12686C109 | 5/21/2010 | 1. Board Nominees; a. Zachary Carter b. Thomas V. Reifenheiser c. John R. Ryan d. Vincent Tese e. Leonard Tow 2. Ratification of KPMG as independent registered public accounting firm of the Company for fiscal year 2010. | Issuer | Yes | 1. For 2. For | For | ||||||||
Centurytel Inc | CTL | 156700106 | 5/20/2010 | 1. Board Nominees; a. W. Bruce Hanks b. CG Melville, Jr. c. William A. Owens d. Glen F. Post III 2. Ratification of appointment of KPMG as independent auditor for 2010. 3. Amend articles of incorporation to change our name to CenturyLink, Inc. 4. Approve 2010 Executive Officer Short–Term Incentive Plan. 5. Shareholder Proposal – Network management practices. 6. Shareholder Proposal – Limitation of executive compensation. 7. Shareholder Proposal – Executive stock retention. 8. Shareholder Proposal – Executive compensation advisory Notes. | Issuer | Yes | 1. For 2. For 3. For 4. For 5. Against | For |
Community Health Systems | CYH | 203668108 | 5/18/2010 | 1. Amend Certificate of Incorporation to declassify the board of directors and provide for the annual election of directors. 2. Director Nominees; a. W. Larry Cash b. H. Mitchell Watson, Jr. 3. Ratification of selection of Deloitte & Touche as Accounting Firm for the fiscal year ending December 31, 2010. | Issuer | Yes | 1. For 2. For 3. For | For | ||||||||
Conoco Phillips | COP | 20825C104 | 5/12/2010 | 1. Board Nominees; a. Richard L. Armitage b. Richard H. Auchinleck c. James E. Copeland, Jr. d. Kenneth M. Duberstein e. Ruth R. Harkin f. Harold W. McGraw III g. James J. Mulva h. Robert A. Niblock i. Harald J. Norvik j. William K. Reilly k. Bobby S. Shackouls l. Victoria J. Tschinkel m. Kathryn C. Turner n. William E. Wade, Jr. 2. Ratification of Ernst & Young as independent registered accounting firm for 2010. 3. Shareholder Proposals – Board Risk Management Oversight. 4. Shareholder Proposal – Greenhouse Gas Reduction. 5. Shareholder Proposal – Oil Sands Drilling. 6. Shareholder Proposal – Louisiana Wetlands. 7. Shareholder Proposal – Financial Risks of Climate Change. 8. Shareholder Proposal –Toxic Pollution Report. 9. Shareholder Proposal – Gender Expression Non-Discrimination. 10. Shareholder Proposal – Political Contributions. | Issuer | Yes | 1. For 2. For 3. Against 4. Against 5. Against 6. Against 7. Against 8. Against 9. Against 10. Against | For |
Consolidation Edison | ED | 209115104 | 5/17/2010 | 1. Board Nominees; a. K. Burke b. VA Calarco c. G. Campbell, Jr. d. GJ Davis e. MJ Del Giudice f. EV Futter g. JF Hennessy III h. S. Hernandez i. JF Killian j. ER McGrath k. MW Ranger l. LF Sutherland 2. Ratification of Independent Accounting Firm. 3. Additional Compensation Information. | Issuer | Yes | 1. For 2. For | For | ||||||||
CSX Corporation | CSX | 126408- 103 | 5/5/2010 | 1. Board Nominees; a. D.M. Alvarado b. A. Behring c. Sen. J.B. Breaux d. S.T. Halverson e. E.J. Kelly III f. G.H. Lamphere g. J.D. McPherson h. T.T. O’Toole i. D.M. Ratcliffe j. D.J. Shepard k. M.J. Ward 2. Ratification of Ernst & Young as Independent Accounting Firm. 3. Approval of 2010 CSX Stock Incentive Plan. | Issuer | Yes | 1. For 2. For 3. For | For | ||||||||
CVS Caremark | CVS | 126650- 100 | 5/12/2010 | 1. Board Nominees; a. Edwin M. Banks b. C. David Brown II c. David W. Dorman d. Kristen Gibney Williams e. Marian L. Heard f. William H. Joyce g. Jean-Pierre Millon h. Terrence Murray i. C.A. Lance Piccolo j. Sheli Z. Rosenberg k. Thomas M. Ryan l. Richard J. Swift 2. Ratification of Ernst & Young as the Company’s independent registered public accounting firm. 3. Proposal to adopt Incentive Compensation Plan. 4. Proposal to adopt an amendment to the Company’s charter to allow stockholders to call special meetings. 5. Shareholder Proposal – Report on Political Contributions and Expenditures 6. Shareholder Proposal – Principles to Stop Global Warming 7. Shareholder Proposal – Other Matters. | Issuer | Yes | 1. For 2. For 3. For 4. For 5. Against | For |
Dover Corporation | DOV | 260003-108 | 5/6/2010 | 1. Board Nominees; a. D. H. Benson b. R.W. Cremin c. JP. M. Ergas d. P.T. Francis e. K.C. Graham f. J.L. Koley g. R.A. Livingston h. R.K. Lochridge i. B.G. Rethore j. M.B. Stubbs k. M.A. Winston 2. Ratification of PricewaterhouseCoopers as independent registered public accounting firm. | Issuer | Yes | 1. For 2. For | For | ||||||||
Duke Energy | DUK | 26441C-105 | 5/6/2010 | 1. Board Nominees; a. William Barnet III b. G. Alex Bernhardt, Sr. c. Michael G. Browning d. Daniel R. DiMicco e. John H. Forsgren f. Ann Maynard Gray g. James H. Hance, Jr. h. E. James Reinsch i. James T. Rhodes j. James E. Rogers k. Phillip R. Sharp 2. Approval of 2010 Long Term Incentive Plan. 3. Ratification of Deloitte & Touche as independent public accountant. 4. Shareholder Proposal – Global Warming Lobbying Activities. 5. Shareholder Report – Majority Voting for Election of Directors. 6. Shareholder Proposal – Retention of Equity Compensation for Senior Executives. | Issuer | Yes | 1. For 2. For 3. For 4. Against 5. Against 6. Against | For | ||||||||
E.I. DU PONT DE NEMOURS & CO | DD | 263534-109 | 4/28/2010 | 1. Board Nominees; a. Samuel W. Bodman b. Richard H. Brown c. Robert A. Brown d. Bertrand P. Collumb e. Curtis J. Crawford f. Alexander M. Cutler g. John T. Dillon h. Eleuthere I. du Pont i. Marillyn A. Hewson j. Lois D. Juliber k. Ellen J. Kullman l. William K. Reilly 2. Ratification of Independent Accounting Firm 3. Shareholder Say on Executive Pay. 4. Amendment to Human Rights Policy. | Issuer | Yes | 1. For 2. For 3. Against 4. Against | For |
EMC Corp | EMC | 268648102 | 4/29/2010 | 1. Board Nominees; a. Michael W. Brown b. Randolph L. Cowen c. Michael J. Cronin d. Gail Deegan e. James S. DiStasio f. John R. Egan g. Edmund F. Kelly h. Windle B. Priem i. Paul Sagan j. David N. Strohm k. Joseph M. Tucci 2. Ratification of the selection PricewaterhouseCoopers as independent auditors. 3. Shareholder Proposal – Special Shareholder Meetings. 4. Shareholder Proposal – Advisory Vote on Executive Compensation. | Issuer | Yes | 1. For 2. For 3. Against | For | ||||||||
Equity Residential | EQR | 29476L107 | 6/16/2010 | 1. Board Nominees; a. John W. Alexander b. Charles L. Atwood c. Linda Walker Bynoe d. Boone A. Knox e. John E. Neal f. David J. Neithercut g) Mark S. Shapiro h. Gerald A. Spector i. B. Joseph White j. Samuel Zell 2. Ratification of Ernst & Young as independent auditor for the year ending December 31, 2010. 3. Shareholder Proposal – Voting Standards for Trustee Elections. | Issuer | Yes | 1. For 2. For 3. Against | For | ||||||||
Express Scripts Inc | ESRX | 302182100 | 5/5/2010 | 1. Board Nominees; a. Gary G. Benanav b. Frank J. Borelli c. Maura C. Breen d. Nicholas J. LaHowchic e. Thomas P. Mac Mahon f. Frank Mergenthaler g. Woodrow A Myers, Jr. MD. h. John O. Parker, Jr. i. George Paz j. Samuel K. Skinner k. Seymour Sternberg l. Barrett A. Toan 2. Ratification of PricewaterhouseCoopers as independent registered public auditor. 3. Shareholder Proposal – Report on Political Contributions. 4. Shareholder Proposal – Independent Board Chair. | Issuer | Yes | 1. For 2. For 3. For | For |
Fifth Third Bank Cor | FITB | 316773-100 | 4/20/2010 | 1. Board Nominees; a. Darryl F. Allen b. Ulysses L. Bridgeman c. Emerson L. Brumback d. James P. Hackett e. Gary R. Heminger f. Jewell D. Hoover g. Kevin T. Kabat h) Mitchel D. Livingston i. Hendrick G. Meijer j. John J. Schiff, Jr. k. Dudley S. Taft l. Marsha C. Williams 2. Amend the Articles of Incorporation and code of regulations to provide for majority voting in uncontested elections of directors. 3. Amend the articles of incorporations and code of regulations to eliminate cumulative voting. 4. Code of Regulations Amendments without Shareholder Consent. 5. Approval of an advisory vote on Executive Compensation 6. Appointment of Deloitte & Touche as independent public accounting firm. 7. Chairman of the Board as a Director independent from Fifth Third. | Issuer | Yes | 1. For 2. For 3. For 4. For 5. For 6. For | For | ||||||||
Ford Motor Co | FITB | 345370860 | 5/13/2010 | 1. Board Nominees; a. Stephen G. Butler b. Kimberely A. Casiano c. Anthony F. Earley, Jr. d. Edsel B. Ford II e. William Clay Ford, Jr. f. Richard A. Gephardt g. Irvine O. Hockaday h. Richard A. Manoogian i. Ellen R. Marram j. Alan Mullaly k. Homer A. Neal l. Gerald L. Shaheen m. John L. Thornton 2. Ratification of Accounting Firm 3. Approval of Tax Benefit Preservation Plan 4. Disclosure of Government Affiliation 5. Recapitalization Plan 6. Political Contributions 7. Compensation of Named Executives 8. Energy Savings Projects | Issuer | Yes | 1. For 2. For 3. For 4. Against | For |
Gannett Co | GCI | 364730101 | 5/4/2010 | 1. Board Nominees; a. Craig A. Dubow b. Howard D. Elias c. Arthur H. Harper d. John Jeffry Louis e. Marjorie Magner f. Scott K. McCune g. Duncan M. McFarland h. Donna E. Shalala i. Neal Shapiro j. Karen Hastie Williams 2. Ratification of Ernst & Young as independent public accounting firm. 3. Approve amended and restated 2001 Omnibus Incentive Compensation Plan. 4. Shareholder Proposal – Senior Executive Compensation. | Issuer | Yes | 1. For 2. For 3. For 4. Against | For | ||||||||
General Electric Co. | GE | 369604-103 | 4/28/2010 | 1. Board Nominees; a. W. Geoffrey Beattie b. James I. Cash, Jr. c. William M. Castell d. Ann M. Fudge e. Susan Hockfield f. Jeffrey R. Immelt g. Andrea Jung h. A.G. Lafley i. Robert W. Lane j. Ralph S. Larsen k. Rochelle B. Lazarus l. James J. Mulva m. Sam Nunn n. Roger S. Penske o) Robert J. Swieringa p. Douglas A. Warner III 2. Ratification of KPMG. as Accounting Firm. 3. Shareholder Proposal – Cumulative Voting. 4. Shareholder Proposal – Special Shareholder Meetings. 5. Shareholder Proposal – Independent Board Chairman. 6. Shareholder Proposal – Pay Disparity. 7. Shareholder Proposal – Key Board Committees. 8. Shareholder Proposal – Advisory Vote on Executive Compensation. | Issuer | Yes | 1. For 2. For 3. Against | For |
Gilead Sciences Inc | GILD | 375558103 | 5/11/2010 | 1. Board Nominees; a. Paul Berg b. John F. Cogan c. Etienne F. Davignon d. James M. Denny e. Carla A. Hills f. Kevin E. Lofton g. John W. Madigan h. John C. Martin i. Gordon E. Moore j. Nicholas G. Moore k. Richard J. Whitley l. Gayle E. Wilson m. Per Wold-Olsen 2. Ratification of Ernst & Young as Accounting Firm. 3. Shareholder Proposal – Adoption of Majority Voting Standards in By-laws. 4. Meeting Adjournment. | Issuer | Yes | 1. For 2. For 3. Against | or |
Goldman Sachs Group Inc | GS | 38141G-104 | 5/7/2010 | 1. Board Nominees; a. Lloyd C. Blankfein b. John H. Bryan c. Gary D. Cohn d. Claes Dahlback e. Stephen Friedman f. William W. George g. James A. Johnson h. Lois D. Juliber i. Lakshmi N. Mittal j. James J. Shiro k. H. Lee Scott, Jr. 2. Ratification of PricewaterhouseCoopers as Accounting Firm. 3. Advisory vote on Executive Compensation. 4. Approval of amendment of Restated Certificate of Incorporation to eliminate supermajority voting. 5. Approval of amendment to Restated Certificate of Incorporation to permit 25% of outstanding shares of common stock to call Special Meetings. 6. Share Holder Proposal – Cumulative Voting 7. Shareholder Proposal – OTC Derivatives Trading. 8. Shareholder Proposal – Separate Chair and CEO. 9. Shareholder Proposal – Report on Political Contributions. 10. Shareholder Proposal – Global Warming Science 11. Shareholder Proposal – Pay Disparity 12. Shareholder Proposal – Executive Compensation and Long Term Performance. | Issuer | Yes | 1. For 2. For 3. For 4. For 5. For 6. Against 7. Against 8. Against 9. Against 10. Against 11. Against 12. Against | or |
Halliburiton Company | HAL | 406216101 | 5/19/2010 | 1. Board Nominees: a) AM Bennett b) JR Boyd c) M Carroll d) NK Dicciani e) SM Gillis f) JT Hackett g) DJ Lesar h) RA Malone i) JL Martin j) DL Reed 2. Selection of Auditors 3. Shareholder Proposal - Human Rights Policy. 4. Shareholder Proposal - Political Contributions. 5. Shareholder Proposal - Executive Compensation Policies. 6. Shareholder Proposal - Special Shareholder Meetings. 7. Meeting Adjournment. | Issuer | Yes | 1. For 2. For 3. Against 4. Against 5. Against 6. Against 7. For | For | ||||||||
Hewlett-Packard | HPQ | 428236103 | 3/17/2010 | 1. Board Nominees; M.L. Andreessen, L.T. Babbio, Jr., S.M. Baldauf, R.L. Gupta, J.H. Hammergren, M.V. Hurd, J.Z. Hyatt, J.R. Joyce, R.L Ryan, L.S. Salhany, G.K. Thompson 2. Proposal to ratify the appointment of the independent registered public accounting firm for the fiscal year ending October 31, 2010. 3. proposal to approve the Amended and Restated Hewlett-Packard Company 2004 Stock Incentive Plan. 4. Proposal to conduct an annual advisory vote on executive compensation. | Issuer | Yes | 1. For 2. For 3. For 4. For | For | ||||||||
Host Hotel and Resorts | HST | 44107P-104 | 5/6/2010 | 1. Board Nominees: a) Robert M. Baylis b) Willard W. Brittain, Jr. c) Terence C. Golden d) Ann M. Korologos e) Richard E. Marriott f) John B. Morse, Jr. g) Gordon H. Smith h) W. Edward Walter 2. Ratify KPMG as Accounting Firm | Issuer | Yes | 1. For 2. For | For | ||||||||
Intel Corp | INTC | 458140100 | 5/19/2010 | 1. Board Nominees; (10 Candidates identified in Intel’s 2010 Proxy Statement) 2. Ratification of Ernst & Young as Accounting Firm 3. Advisory vote on Executive Compensation | Issuer | Yes | 1. For 2. For 3. For | For |
International Business Machines | IBM | 459200101 | 4/27/2010 | 1. Board Nominees; A.J. P. Belda, C. Black, W.R. Brody, K.I. Chenault, M.L. Eskew, S.A. Jackson, A.N. Liveris, W.J. McNerney Jr., T. Nishimuro, J.W. Owens, S.J. Palmisano, J.E. Spero, S. Taurel, L.H. Zambrano 2. Ratification of appointment of independent registered accounting firm. 3. Stockholder proposal on executive compensation annual incentive payout. 4. Stockholder proposal on Cumulative Voting. 5. Stockholder proposal on new threshold for calling special meetings. 6. Stockholder proposal on advisory vote on executive compensation. | Issuer | Yes | 1. For 2. For 3. Against 4. Against 5. Against 6. Against | |||||||||
Invesco | IVZ | G491BT108 | 5/18/2010 | 1. Board Nominees: a) Joseph R. Canion b) Edward P. Lawrence c) James I. Robertson d) Phoebe A. Wood 2. Ernst & Young as Accounting Firm | Issuer | Yes | 1. For 2. For | For | ||||||||
Johnson & Johnson | JNJ | 478160104 | 4/22/2010 | 1. Board Nominees: a) Mary Sue Coleman b) James G. Cullen c) Michael M. E. Johns d) Susan L. Lindquist e) Anne M. Mulcahy f) Leo F. Mullin g) William D. Perez h) Charles Prince i) David Satcher j) William C. Weldon 2. Pricewaterhouse Coopers as Accounting Firm 3. Incentive Compensation Plan 4. Special Shareholder Meetings | Issuer | Yes | 1.For 2. For 3. For 4. For | For |
JP Morgan Chase | JPM | 46625H100 | 5/18/2010 | 1. Board Nominees: a) Crandall C. Bowles b) Stephen B. Burke c) David M. Cote d) James S. Crown e) James Dimon f) Ellen V. Futter g) William H. Gray III h) Laban P. Jackson, Jr. i) David C. Novak j) Lee R. Raymond k) William C. Weldon 2. Appointment of Independent Accounting Firm 3. Executive Compensation 4. Political non-partisanship 5. Special Shareholder Meetings 6. Collateral in OTC derivatives trading 7. Shareholder Action by Written Consent 8. Independent Chairman 9. Pay Diparity 10. Share Retention | Issuer | Yes | 1. For 2. For 3. For 4. Against 5. Against 6. Against 7. Against 8. Against 9. Against 10. Against | For | ||||||||
Kimberly-Clark Corp | KMB | 494368-103 | 4/29/2010 | 1. Board Nominees: a) John R. Alm b) Dennis R. Beresford c) John F. Bergstrom d) Abelardo E. Bru e) Robert W. Decherd f) Thomas J. Falk g) Mae C. Jemison, M.D. h) James M. Jenness i) Ian C. Read j) Linda Johnson Rice k) Marc J. Shapiro l) G. Craig Sullivan 2. Ratification of Auditors 3. Special Shareholder Meetings | Issuer | Yes | 1. For 2. For 3. Against | For | ||||||||
Loews Corp. | L | 540424-108 | 5/11/2010 | 1. Board Nominees: a) Ann E. Berman b) Joseph L. Bower c) Charles M. Diker d) Jacob A. Frenkel e) Paul J. Fribourg f) Walter L. Harris g) Philip A. Laskawy h) Ken Miller i) Gloria R. Scott j) Andrew H. Tisch k) James S. Tisch l) Jonathan M. Tisch 2. Deloitte & Touche as Independent Auditors 3. Cumulative Voting | Issuer | Yes | 1. For 2. For 3. Against | For |
Marriott International | MAR | 571903-202 | 5/7/2010 | 1. Board Nominees: a) JW Marriott, Jr. b) JW Marriott III c) Mary K. Bush d) Lawrence W. Kellner e) Debra L. Lee f) George Munoz g) Harry J. Pearce h) Steven S. Reinemund i) W. Mitt Romney j) William J. Shaw k) Lawrence M. Small 2. Ernst & Young as Independent Accounting Firm | Issuer | Yes | 1. For 2. For | For | ||||||||
McDonalds’s Corp | MCD | 580135101 | 5/20/2010 | 1. Board Nominees (4 Nominees) 2. Independent Auditor 3. Executive Compensation 4. Simple Majority Vote 5. Controlled Atmosphere Stunning 6. Cage-Free Eggs | Issuer | Yes | 1. For 2. For 3. Against 4. Against 5. Against 6. Against | For | ||||||||
Medco Health Solutions | MHS | 58405U-102 | 5/12/2010 | 1. Board Nominees: a) Howard W. Barker, Jr. b) John L. Cassis c) Michael Goldstein d) Charles M. Lillis e) Myrtle S. Potter f) William L. Roper g) David B. Snow, Jr. h) David D. Stevens i) Blenda J. Wilson 2. Pricewaterhouse Coopers as Independent Accounting Firm 3. Certificate of Incorporation to Permit Special Meetings | Issuer | Yes | 1. For 2. For 3. For | For | ||||||||
Merck & Co | MRK | 58933Y105 | 5/25/2010 | 1. Board Nominees: a) Leslie A. Brun b) Thomas R. Cech c) Richard T. Clark d) Thomas H. Glocer e) Steven F. Goldstone f) William B. Harrison, Jr. g) Harry R. Jacobsen h) William N. Kelley i) C. Robert Kidder j) Rochelle B. Lazarus k) Carlos E. Represas l) Patricia F. Russo m) Thomas E. Shenk n) Anne M. Tatlock o) Craig B. Thompson p) Wendell P. Weeks q) Peter C. Wendell 2. Ratification of Independent Accounting Firm 3. Incentive Stock Plan 4.Non Employees Directors Stock Plan | Issuer | Yes | 1.For 2. For 3. For 4. For | For |
Metlife | MET | 59156R-108 | 4/27/2010 | 1. Board Nominees: a) R. Glenn Hubbard b) Alfred F. Kelly, Jr. c) James M. Kilts d) David Satcher 2. Deloitte & Touche as Independent Auditor 3. Cumulative Voting | Issuer | Yes | 1. For 2. For 3. Against | For | ||||||||
Nalco Holding Co | NLC | 62985Q101 | 4/30/2010 | 1. Board Nominees: a) Carl M. Casale b) Rodney F. Chase c) Mary M. Vandeweghe 2. PricewaterhouseCoopers as Accounting Firm | Issuer | Yes | 1. For 2. For | For | ||||||||
Newmont Mining Corp | NEM | 651639106 | 4/23/2010 | 1. Board Nominees: 01) GA Barton 02) VA Calarco 03) JA Carrabba 04) N Doyle 05) VM Hagen 06) MS Hamson 07) RT O’Brien 08) JB Prescott 09) DC Roth 10) JV Taranik 11) SR Thompson 2. PricewaterhouseCoopers as Accounting Firm 3. Special Meetings 4. Election of directors in non-contested election | Issuer | Yes | 1. For 2. For 3. Against 4. Against | For | ||||||||
Noble Corp | NOBL | 34613596 | 4/30/2010 | 1. Board Nominees: a) Michael A. Cawley b) Gordon T. Hall c) Jack E. Little 2. Issue Authorized Share Capital until 4/2012 3. Approval of a .52 swiss francs per share dividend. 4. Approval of a .56 swiss francs per share dividend. 5. Approval of Pricewaterhouse Coopers as Accounting Firm 6. Approval of 2009 Annual Report 7. Approval of the discharge of the Board of Directors | Issuer | Yes | 1. For 2. For 3. For 4. For 5. For 6. For 7. For | For |
Nucor Corp | NUE | 670346-105 | 5/13/2010 | 1. Board Nominees: a) Daniel R. DiMicco b) James D. Hlavacek c) John H. Walker 2. Pricewaterhouse Coopers as Accounting Firm 3. Certificate of Incorporation Eliminating Classified Structure of BOD 4. Stock Options and Awards Plan 5. Majority Vote 6. Political Spending | Issuer | Yes | 1. For 2. For 3. For 4. For 5. Against 6. Against | For | ||||||||
Packaging Corp of America | PKG | 695156109 | 5/11/2010 | 1. Board Nominees: a) Cheryl K. Beebe b) Henry F. Frigon c) Hasan Jameel d) Samuel M. Mencoff e) Roger B. Porter f) Paul T. Stecko g) James D. Woodrum 2. Ernst & Young as Auditors 3. Incentive Compensations Plan | Issuer | Yes | 1. For 2. For 3. For | For | ||||||||
Pepsico | PEP | 713448-108 | 5/5/2010 | 1. Board Nominees: a) SL Brown b) IM Cook c) D Dublon d) VJ Dzau e) RL Hunt f) A Ibarguen g) AC Martinez h) IK Nooyi i) SP Rockefeller j) JJ Schiro k) LG Trotter l) D Vasella 2. Independent Registered Accounting Firm 3. LT Incentive Plan 4. Charitable Contributions Report 5. Right to Call Special Shareholders 6. Public Policy Report | Issuer | Yes | 1. For 2. For 3. For 4. Against 5. Against 6. Against | For |
Pfizer | PFE | 717081-103 | 4/22/2010 | 1. Board Nominees: a) Dennis A. Ausiello b) Michael S. Brown c) M. Anthony Burns d) Robert N. Burt e) W. Don Cornwell f) Frances D. Fergusson g) William H. Gray III h) Constance J. Horner i) James M. Kilts j) Jeffrey B. Kindler k) George A. Lorch l) John P. Mascotte m) Suzanne Nora Johnson n) Stephen W. Sanger o) William C. Steere, Jr. 2. KPMG as Independent Accounting Firm 3. Executive Compensation 4. Reduce % of Shares Required for Shareholders to Call Special Meetings 5. Shareholder Proposal Regarding Stock Options | Issuer | Yes | 1. For 2. For 3. For 4. For 5. Against | For | ||||||||
Philip Morris | PM | 718172109 | 5/12/2010 | 1. Board Nominees: a) Harold Brown b) Mathis Cabiallavetta c) Louis C. Camilleri d) J. Dudley Fishburn e) Jennifer Li f) Graham MacKay g) Sergio Marchionne h) Lucio Noto i) Carlos Slim Helu j) Stephen M. Wolf 2. Ratification of Selected Auditors 3. Food Insecurity and Tobacco Use 4. Create Human Rights Protocols for Company and Suppliers | Issuer | Yes | 1. For 2. For 3. Against | For | ||||||||
Pride International | PDE | 74153Q102 | 5/20/2010 | 1. Board Nominees: a)David A.B. Brown b) Kenneth M. Burke c) Archie W. Dunham d) David A. Hager e) Francis S. Kalman f) Ralph D. McBride g) Robert G. Phillips h) Louis A. Raspino 2. Employees Stock Purchase Plan 3. Long Term Incentive Plan 4. KPMG as Accounting Firm | Issuer | Yes | 1. For 2. For 3. For 4. For | For | ||||||||
Principal Financial Group | PFG | 74251V102 | 5/18/2010 | 1. Board Nominees: a) Michael T. Dan b) C. Daniel Gelatt c) Sandra L. Helton d) Larry D. Zimpleman 2. Stock Incentive Plan 3. Ratification of Independent Auditors | Issuer | Yes | 1. For 2. For 3. For | For |
Qualcomm | QCOM | 747525103 | 3/2/2010 | 1. Board Nominees; Barbara T. Alexander, Stephen M. Bennett, Donald G. Cruickshank, Raymond V. Dittamore, Thomas H. Horton, Irwin Mark Jacobs, Paul E. Jacobs, Robert E. Kahn, Sherry Langsing, Duane A. Nelles, Brent Scowcroft, Marc I. Stern. 2. Amendment to Long Term Incentive to increase shares by 13M Shares 3. Ratify selection of PriceWaterhouseCooper as accountants. | Issuer | Yes | 1. For. 2. For 3. For | For | ||||||||
Radioshack | RSH | 750438103 | 5/24/2010 | 1. Board Nominees: a) Frank J. Belatti b) Julian C. Day c) Daniel R. Feehan d) H. Eugene Lockhart e) Jack L. Messman f) Thomas G. Plaskett g) Edwina D. Woodbury 2. Pricewaterhouse Coopers as Accounting Firm | Issuer | Yes | 1. For 2. For | For | ||||||||
Royal Caribbean Cruises | RCL | V7780T103 | 5/20/2010 | 1. Board Nominees: a) William L. Kimsey b) Gert W. Munthe c) Thomas J. Prtizker d) Bernt Reitan 2. Equity Incentive Program 3. Pricewaterhouse Coopers as Auditors 4. Shareholder Statement | Issuer | Yes | 1. For 2. For 3. For 4. Against | For | ||||||||
Schlumberger Limited | SLB | 806857108 | 4/7/2010 | 1. Board Nominees; P. Campus, J.S. Gorelick, A. Gould, T. Isaac, N. Kudryavtsev, A. Lojous, M.E. Marks, L.R. Reif, T.I. Sandvold, H. Seydoux, P. Currie, K.V. Kamath 2. Proposal to adopt and approve financials and dividends. 3. Proposal to approve the adoption of the Schlumberger 2010 stock incentive plan. 4. Proposal to approve the adoption of an amendment to the Schlumberger discounted stock purchase plan. 5. Proposal to approve independent registered public accounting firm. | Issuer | Yes | 1. For 2. For 3. For 4. For 5. For | For |
Simon Property Group | SPG | 828806-109 | 5/6/2010 | 1. Board Nominees: a) Melvyn E. Bergstein b) Linda Walker Bynoe c) Larry C. Glasscock d) Karen N. Horn, Ph. D. e) Allan Hubbard f) Reuben S. Leibowitz g) Daniel C. Smith, Ph. D. h) J. Albert Smith, Jr. 2. Ernst & Young as Accounting Firm | Issuer | Yes | 1. For 2. For | For | ||||||||
Suncor Energy | SU | 867224-107 | 5/4/2010 | 1. Board Nominees: a) Mel E. Benson b) Brian A. Canfield c) Dominic D’Alessandro d) John T. Ferguson e) W. Douglas Ford f) Richard L. George g) Paul Haseldonckx h) John R. Huff i) Jacques LaMarre j) Brian F. MacNeill k) Maureen McCaw l) Michael W. O’Brien m) James W. Simpson n) Eira Thomas 2. PricewaterhouseCoopers as Auditor | Issuer | Yes | 1. For 2. For | For | ||||||||
Texas Instruments Incorporated | TXN | 882508104 | 4/15/2010 | 1. Board Nominees; R.W. Babb Jr., D.L. Boren, D.A. Carp, C.S. Cox, D.R. Goode, S.P. MacMillan, P.H. Patsley, W.R. Sanders, R.J. Simmons, R.K. Templeton, C.T. Whitman. 2. Board proposal to ratify the appointment of Ernst & Yuong LLP as the company’s independent registered public accounting firm for 2010. | Issuer | Yes | 1. For. 2. For | For | ||||||||
The AES Company | AES | 00130H105 | 4/22/2010 | 1. Board Nominees: a) Samuel W. Bodman III b) Paul Hanrahan c) Tarun Khanna d) John A. Koskinen e) Philip Lader f) Sandra O. Moose g) John B. Moose h) Phillip A. Odeen i) Charles O. Rossotti j) Sven Sandstrom 2. LT Incentive Plan 3. Performance Incentive Plan 4. Ratification of Ernst & Young as Accounting Firm | Issuer | Yes | 1. For 2. For 3. For 4. For | For |
The Dow Chemical Company | DOW | 260543-103 | 5/13/2010 | 1. Board Nominees: a) Arnold A. Allemang b) Jacqueline K. Barton c) James A. Bell d) Jeff M. Fettig e) Barbara H. Franklin f) John B. Hess g) Andrew N. Liveris h) Paul Polman i) Dennis H. Reilley j) James M. Ringler k) Ruth G. Shaw l) Paul G. Stern 2. Ratification of Registered Independent Accounting Firm 3. Certificate of Incorporation Regarding Special Stockholder Meetings 4. Environmental Remediation 5. Executive Stock Retention 6. Executive Compensation | Issuer | Yes | 1. For 2. For 3. For 4. Against 5. Against 6. Against | For | ||||||||
The Hartford Financial Svcs Grp | HIG | 416515104 | 5/19/2010 | 1. Board Nominees: a) Robert B. Allardice III b) Trevor Fetter c) Paul G. Kirk, Jr. d) Liam E. McGee e) Gail J. McGovern f) Michael G. Morris g) Thomas G. Renyi h) Charles B. Strauss i) H. Patrick Swygert 2. Deloitte & Touche as Auditor 3. Incentive Stock Plan 4. Executive Officer Performance Goals 5. Shareholder Proposal | Issuer | Yes | 1. For 2. For 3. For 4. For 5. Against | For | ||||||||
The Hershey Company | HSY | 427866108 | 5/4/2010 | 1. Board Nominees: a) PM Arway b) RF Cavanaugh c) CA Davis d) JE Nevels e) TJ Ridge f) DL Shedlarz g) DJ West h) LS Zimmerman 2. KPMG as Auditors | Issuer | Yes | 1. For 2. For | For |
The Home Depot | HD | 437076102 | 5/20/2010 | 1. Board Nominees: a) F. Duane Ackerman b) David H. Batchelder c) Francis S. Blake d) Ari Bousbib e) Gregory D. Brenneman f) Albert P. Carey g) Armando Codina h) Bonnie G. Hill i) Karen L. Katen 2. KPMG as Accounting Firm 3. Stock Incentive Plan 4. Cumulative Voting 5. Executive Officer Compensation 6. Special Shareholder Meetings 7. Shareholder Action by Written Consent 8. Independent Chairman of the Board 9. Employment Diversity Report 10. Reincorporation in North Dakota | For | Yes | 1. For 2. For 3. For 4. Against 5. Against 6. Against 7. Against 8. Against 9. Against 10. Against | For | ||||||||
The PNC Financial Services | PNC | 693475-105 | 4/27/2010 | 1. Board Nominees: a) Richard O. Berndt b) Charles E. Bunch c) Paul W. Chellgren d) Robert N. Clay e) Kay Coles James f) Richard B. Kelson g) Bruce C. Lindsay h) Anthony A. Massaro i) Jane G. Pepper j) James E. Rohr k) Donald J. Shepard l) Lorene K. Steffes m) Dennis F. Strigl n) Stephen G. Thieke o) Thomas J. Usher p) George H. Walls, Jr. q) Helge H. Wehmeier 2. Pricewaterhouse Coopers as Accounting Firm 3. Advisory Vote on Executive Compensation 4. Approval of Severance Agreements 5. Reports on Executive Compensation | Issuer | Yes | 1. For 2. For 3. For 4. Against 5. Against | For |
The Walt Disney Company | DIS | 254687106 | 3/10/2010 | 1. Board Nominees; Susan E. Arnold, John E. Bryson, John S. Chen, Judith L. Estrin, Robert A. Iger, Steven P. Jobs, Fred H. Langhammer, Aylwin B. Lewis, Monica C. Lozano, Robert W. Matschullat, John E. Pepper Jr., Sheryl Sandberg, Orin C. Smith. 2. Ratify the appointment of PricewaterhouseCoopers LLP as the company’s registered public accountants for 2010. 3. Approve Amended and Restated 2005 Stock Incentive Plan. 4. Approve the amendment to the Company’s restated certificate of incorporation relating to interested person transactions. 5. approve the amendment to the company’s restated certificate of incorporation relating to Bylaw amendments. 6. Approve the amendment to the company’s restated certificate of incorporation relating to tracking stock provisions. 7. Approve the amendment to the company’s restated certificate of incorporation relating to classified board transition provisions. 8. Approve the shareholder proposal relating to shareholder advisory vote on executive compensation. 9. Approve the shareholder proposal relating to ex-gay non discrimination policy. | Issuer | Yes | 1. For 2. For 3. For 4. For 5. For 6. For 7. For 8. Against 9. Against | For | ||||||||
The Western Union Company | WU | 959802109 | 5/14/2010 | 1. Board Nominees: a) Dinyar Devitre b) Christina Gold c) Betsy Holden d) Wulf von Shimmelmann 2. Ratification of Selection of Auditors | Issuer | Yes | 1. For 2. For | For |
Tiffany & Co | TIF | 8865547108 | 5/20/2010 | 1. Board Nominees: a) Michael J. Kowalski b) Rose Marie Bravo c) Gary E. Costley d) Lawrence K. Fish e) Abby F. Kohnstamm f) Charles K. Marquis g) Peter W. May h) J. Thomas Presby i) William A. Shutzer 2. PricewaterhouseCoopers as Accounting Firm | Issuer | Yes | 1. For 2. For | For | ||||||||
Transocean Ltd | RIG | H8817H-100 | 5/14/2010 | 1. Approval of Annual Report 2. Discharge of BOD from 2009 3. Appropriation of Available Earnings to be Carried Forward 4. Reincorporation in Switzerland 5. Renewal of Company’s Authorized Share Capital 6. Distribution to Shareholders in Form of a Par Value Reduction 7. Amendment to Articles of Association 8. Board of Directors: a) Steven L. Newman b) Thomas W. Cason c) Robert M. Sprague d) J. Michael Talbert e) John L. Whitmire 9. Ernst & Young as Independent Accounting Firm | Issuer | Yes | 1. For 2. For 3. For 4. For 5. For 6. For 7. For 8. For 9. For | For |
Tyco International | TYC | H89128104 | 3/10/2010 | 1. Board Nominees; Edward D. Breen, Michael E. Daniels, Timothy M. Donahue, Brian Duperreualt, Bruce S. Gordon, Rajiv L. Gupta, John A. Krol, Brendan R. O’Neill, William S. Stavropoulos, Sandra S. Wijnberg, R. David Yost. 2. Approve annual report, the parent company financial statements of Tyco International Ltd and the consolidated financial statements for the fiscal year ended September 25, 2009. 3. Discharge the Board of Directors from liability for the financial year ended September 25, 2009. 4. Elect Deliotte AG (Zurich) as statutory auditors until our next annual general meeting. 5. Ratify appointment of Deloitte & touche LLP as independent registered public accounting firm for purposes of United States securities law reporting for the year ending September 24, 2010. 6. Elect PriceWaterhouse Coopers AG (Zurich) as special auditors until our annual general meeting. Approve Amendement to Articles of Association 7. Allocation of fiscal year 2009 results. 8. Payment of a dividend in the form of a capital reduction, such payment to be made in four quarterly installments at such times during the period through the next annual general meeting as shall be determined by the Board of Directors. 9. Amendment to our Articles of association to provide the plurality voting in the event that the number of candidates that are in nominated for election exceeds the number of positions available. 10. Consider and act on such other business as may properly come before the meeting or any other adjournment thereof. | Issuer | Yes | 1.For 2. For 3. For 4. For 5. For 6. For 7. For 8. For 9. For 10. For | For | ||||||||
UnitedHealth Group | UNH | 91324P102 | 5/24/2010 | 1. Board Nominees: a) William C. Ballard, Jr. b) Richard T. Burke c) Robert J. Darretta d) Stephen J. Hemsley e) Michele J. Hooper f) Douglas W. Leatherdale g) Glenn M. Renwick h) Kenneth I. Shine, M.D. g) Gail R. Wilensky PH.D. 2. Deloitte & Touche as Accounting Firm 3. Advisory Note on Executive Compensation | Issuer | Yes | 1. For 2. For | For |
United Parcel Service | UPS | 911312-106 | 5/6/2010 | 1. Board Nominees: a) F. Duane Ackerman b) Michael J. Burns c) D. Scott Davis d) Stuart E. Eizenstat e) Michael L. Eskew f) William R. Johnson g) Ann M. Livermore h) Rudy Markham i) John W. Thompson j) Carol B. Tome 2. Deloitte & Touche as Independent Accounting Firm 3. Certificate of Incorporation for Majority Voting | Issuer | Yes | 1. For 2. For 3. For | For | ||||||||
United Technologies Corporation | UTX | 913017109 | 4/14/2010 | 1. Board Nominees; Louis Chenevert, John V. Faraci, Jean-Pierre Garnier, Jamie S. Gorelick, Carlos M. Gutierrez, Edward A. Kangas, Charles R. Lee, Richard D. McCormick, Harold McGraw III, Richard B. Myers, H. Patrick Swygert, Andre Villenueve, Christine Todd Whitman. 2. Appointment of the firm of PriceWaterhouse Coopers LLP as independent auditor. 3. Shareowner proposal; advisory vote on executive compensation. | Issuer | Yes | 1. For. 2. For | For |
Verizon Communications | VZ | 92343V104 | 5/6/2010 | 1. Board Nominees: a) Richard L. Carrion b) M. Frances Keeth c) Robert W. Lane d) Sandra O. Moose e) Joseph Neubauer f) Donald T. Nicolaisen g) Thomas H. O’Brien h) Clarence Otis, Jr. i) Hugh B. Price j) Ivan G. Seidenberg k) Rodney E. Slater l) John W. Snow m) John R. Stafford 2. Ernst & Young as Independent Accounting Firm 3. Advisory Vote on Executive Compensation 4. Prohibit Granting Stock Options 5. Gender Identity Non-Discrimination Policy 6. Performance Stock Unit Performance Thresholds 7. Right to Call a Special Meeting 8. Succession Planning Policy 9. Benefits Paid After Death 10. Executive Stock Retention Requirements | Issuer | Yes | 1. For 2. For 3. For 4. Against 5. Against 6. Against 7. Against 8. Against 9. Against 10. Against | For | ||||||||
Watson Pharmaceutical | WPI | 942683-103 | 5/7/2010 | 1. Board Nominees: a) Paul M. Bisaro b) Christopher W. Bodine c) Michael J. Feldman d) Fred G. Weiss 2. PricewaterhouseCoopers as Accounting Firm | Issuer | Yes | 1. For 2. For | For | ||||||||
Wellpoint Inc | WLP | 94973V107 | 5/18/2010 | 1. Board Nominees: a) Sheila P. Burke b) George A. Schaefer, Jr. c) Jackie M. Ward 2. Ernst & Young as Auditors 3.Feasibility Study for non-profit status 4. Disclosure of Lobbying Expenses 5. Advisory Resolution on Executive Compensation | Issuer | Yes | 1. For 2. For 3. Against 4. Against 5. Against | For |
Wells Fargo | WFC | 949764-101 | 4/27/2010 | 1. Board Nominees: a) John D. Baker II b) John S. Chen c) Lloyd H. Dean d) Susan E. Engel e) Enrique Hernandez, Jr. f) Donald M. James g) Richard D. McCormick h) Mackey J. McDonald i) Cynthia H. Milligan j) Nicholas G. Moore k) Philip J. Quigley l) Judith M. Runstad m) Stephen W. Sanger n) Robert K. Steel o) John G. Stumpf p) Susan G. Swenson 2. Compensation of Executives 3. Amendment to Articles of Incorporation: Increase shares of common stock 4. Ratify KPMG as Independent Auditor 5. Advisory Vote on Executive and Director Compensation 6. Policy to require an Independent Chairman 7. Report on Charitable Contributions 8. Report on Political Contributions | Issuer | Yes | 1. For 2. For 3. For 4. For 5. Against 6. Against 7. Against 8. Against | For | ||||||||
Windstream Corp | WIN | 97381W104 | 5/5/2010 | 1. Board Nominees: a) Carol B. Armitage b) Samuel E. Beall, III c) Dennis E. Foster d) Francis X. Frantz e) Jeffrey R. Gardner f) Jeffery T. Hinson g) Judy K. Jones h) William A. Montgomery 2. Equity Incentive Program 3. Executive Compensation 4. Pricewaterhouse Coopers as Auditor 5.Holding Equity Until Retirement | Issuer | Yes | 1. For 2. For 3. For 4. For 5. Against | For | ||||||||
Wyndham Worldwide Corp | WYN | 98310W-108 | 5/13/2010 | 1. Board Nominees: a) B. Mulroney b) Michael H. Wargotz 2. Deloitte & Touche as Accounting Firm 3. Equity and Incentive Plan | Issuer | Yes | 1. For 2. For 3. For | For |
Caterpillar Inc | CAT | 149123101 | 6/9/2010 | 1. Board Nominees: a) John T. Dillon b) Juan Gallardo c) William A. Osborn d) Edward B. Rust, Jr. e) Susan C. Schwab 2. Ratify Auditors 3. Long Term Incentive Plan 4. Amend Articles to Declassify Board 5. Amend Articles to Elminate Supermajority Vote Requirements 6. Stockholder Proposal – Independent Chairman of the Board 7. Stockholder Proposal – Review Global Corporate Standards 8. Stockholder Proposal – Special Stockholder Meetings | Issuer | Yes | 1. For 2. For 3. For 4. For 5. For 6. Against 7. Against 8. Against | For | ||||||||
Cognizant Technology Solutions | CTSH | 192446102 | 6/1/2010 | 1. Board Nominees: a) John E. Klein b) Lakshmi Narayanan c) Maureen Breakiron-Evans 2. Stock Purchase Plan 3. Pricewaterhouse Coopers as Accounting Firm | Issuer | Yes | 1. For 2. For 3. For | For | ||||||||
Dell Inc | DELL | 24702R101 | 7/16/2010 | 1. Board Nominees; a. James W. Breyer b. Donald J. Carty c. Michael S. Dell d. William H. Gray e. Judy C. Lewent f. Thomas W. Luce g. Klauss S. Luft h. Alex J. Mandl i. Shantanu Narayen j. Sam Nunn k. Ross Perot Jr 2. Ratification of Auditors 3. Amendment of Certificate of Incorporation to eliminate Supermajority vote provisions. 4. Shareholder Proposal - Reimbursement of proxy expenses 5. Shareholder Proposal - Advisory vote on executive compensation. | Issuer | Yes | 1. For 2. For 3. For 4. Against 5. Against | For | ||||||||
Expedia | EXPE | 30212P105 | 6/8/2010 | 1. Board Nominees: a) A. George Battle b) Barry Diller c) Jonathan L. Dolgen d) William R. Fitzgerald e) Craig A. Jacobsen f) Victor A. Kaufman g) Peter M. Kern h) Dara Khosrowshahi i) John C. Malone j) Jose A. Tazon 2. Ernst & Young as Accounting Firm | Issuer | Yes | 1.For 2. For | For |
Exxon Mobil | XOM | 30231G102 | 5/26/2010 | 1. Board Nominees: a) MJ Boskin b) P Brabeck-Letmathe c) LR Faulkner d) JS Fishman e) KC Frazier f) WW George g) MC Nelson h) SJ Palmisano i) SS Reinemund j) RW Tillerson k) EE Whitacre, Jr. 2. Ratification of Independent Auditors 3. Special Shareholder Meetings 4. Incorporate in North Dakota 5. Executive Compensation 6. Amendment of EEO Policy 7. Policy on Water 8. Wetlands Restoration Policy 9. Report on Canadian Oil Sands 10. Report on Natural Gas Production 11. Report on Energy Technology 12. Greenhouse Gas Emission Goals 13. Planning Assumptions | Issuer | Yes | 1. For 2. For 3. Against 4. Against 5. Against 6. Against 7. Against 8. Against 9. Against 10. Against 11. Against 12. Against 13: Against | For | ||||||||
Freeprot-Mcmoran Copper & Gold | FCX | 35682D857 | 6/9/2010 | 1. Board Nominees: a) Richard C. Adkerson b) Robert J. Allison, Jr. c) Robert A. Day d) Gerald J. Ford e) H. Devon Graham, Jr. f) Charles C. Krulak g) Bobby Lee Lackey h) Jon C. Madonna i) Dustan E. McCoy j) James R. Moffett k) BM Rankin, Jr. l) Steven H. Siegele 2. Ernst & Young as Accounting Firm 3. Stock Incentive Plan 4. Candidate with Environmental Expertise added to BOD 5. Senior Execs to retain shares acquired during equity compensation programs for two years | Issuer | Yes | 1. For 2. For 3. For 4. Against 5. Against | For |
Staples, Inc | SPLS | 855030102 | 6/7/2010 | 1.Board Nominees: a) Basil L. Anderson b) Arthur M. Blank c) Mary Elizabeth Burton d) Justin King e) Carol Meyrowitz f) Rowland T. Moriarty g) Robert C. Nakasone h) Ronald L. Sargent i) Elizabeth A. Smith j) Robert E. Sulentic k) Vijay Vishwanath l) Paul F. Walsh 2. Long Term Cash Incentive Plan 3. Stock Incentive Plan 4. Ernst & Young as Accounting Firm 5. Shareholders Majority Written Consent 6. Shareholders with 10% or more can call special meetings | Issuer | Yes | 1. For 2. For 3. For 4. For 5. Against 6. Against | For | ||||||||
Wal-Mart | WMT | 931142103 | 6/4/2010 | 1. Board Nominees; a. Aida M. Alvarez b. James W. Breyer c. M. Michele Burns d. James I. Cash, Jr. e. Roger C. Corbett f. Douglas N. Daft g. Michael T. Duke h. Gregory B. Penner i. Steven S. Reinemund j. H. Lee Scott, Jr. k. Arne M. Sorenson l. Jim C. Walton m. S. Robson Walton n. Christopher J. Williams o. Linda S. Wolf 2. Ernst & Young as Accounting Firm 3. Stock Incentive Plan 4. ASDA Limited Sharesave Plan 2000 5. Gender Identity Non-Discrimination Policy 6. Advisory Vote on Executive Compensation 7. Political Contributions Report 8. Special Shareholder Meetings 9. Poultry Slaughter 10. Lobbying Priorities Report | Issuer | Yes | 1. For 2. For 3. For 4. For 5. Against 6. Against 7. Against 8. Against 9. Against 10. Against | For |
FUND NAME: Spirit of America Real Estate and Growth Fund
Issuer of Portfolio Security | Exchange Ticker Symbol | CUSIP # | Shareholder Meeting Date | Date Received | Summary of Matter Voted On | Who Proposed Matter: Issuer / Shareholder | Whether Fund Cast Vote on Matter | Fund’s Vote For or Against Proposal, or Abstain | Date Fund Voted | Whether Vote Was For or Against Management | ||||||||||
Vornado Reality Trust | VNO | 929042109 | 9/21/2009 | 8/25/2009 | Stock/Cash Option | Issuer | Yes | For | 8/25/2009 | For | ||||||||||
CBL & Associates Properties, Inc. | CBL | 124830100 | 9/21/2009 | 9/16/2009 | Increase number of authorized shares of company's common stock, par value $0.01 per share, from 180,000 to 350,000 shares | Issuer | Yes | For | 9/16/2009 | For |
Issuer of Portfolio Security | Exchange | CUSIP # | Shareholder | Summary of Matter Voted On | Who | Whether | Fund’s Vote | Whether Vote | ||||||||
CBL & Associates Properties, Inc | CBL | 124830100 | 9/21/2009 | To increase number of authorized shares of common stock, par value $0.01 per share, from 180M to 1B shares. | Issuer | Yes | For | For | ||||||||
Lexington Realty Trust | LXP | 529043101 | 5/18/2010 | 1. Board Nominees; E. Robert Roskind, T. Wilson Eglin, Clifford Broser, Harold First, Richard Frary, James Grosfled, Kevin Lynch. 2. Ratifying the appointment of KPMG LLP as the company’s independent registered public accounting firm for the year ending December 31, 2010. 3. Transact such other business as may properly come before the 2010 annual meeting, including any adjournment or postponement thereof. | Issuer | Yes | 1. For 2. For 3. For | For | ||||||||
Taubman Centers, Inc | TCO | 876664103 | 5/21/2010 | 1. Board Nominees; Jerome A. Chazen, Craig M. Hatkoff, Ronald W. Tysoe. 2. Ratification of the appointment of KPMG LLP as the independent registered public accounting firm for 2010. 3. Approval of the amendment to the 2008 Omnibus Long-Term Incentive Plan. | Issuer | Yes | 1. For 2. For 3. For | For |
Developers Diversified Realty Corp | DDR | 251591103 | 5/11/2010 | 1. Board Nominees; Terrance R. Ahern, James C. Boland, Thomas Finne, Robert H. Gidel, Daniel B. Hurwitz, Volker Kraft, Victor B. Macfarlane, Craig Macnab, Scott D. Roulston, Barry A. Sholem, William B. Summers Jr., Scott A. Wolstein 2. Ratify the selection of Pricewaterhousecoopers LLP as our independent accountants for our fiscal year ending December 31, 2010. | Issuer | Yes | 1. For 2. For | For | ||||||||
Washington Real Estate investment Trust | WRE | 939653101 | 5/18/2010 | 1. Board Nominees; A..William G. Byrnes, B. John P. McDaniel, C. George F. McKenzie. 2. Ernst & Young LLP Accountants | Issuer | Yes | 1.A.For B. Withhold C. Withhold 2. For | For | ||||||||
UDR, Inc | UDR | 902653104 | 5/14/2010 | 1. Board Nominees; . A. Katherine A. Cattanach, B. Eric J. Foss C. Robert P. Freeman D. Jon a. Grove E. James D. Klingbel F. Lynne B. Sagalyn G. Mark J. Sandler H. Thomas W. Toomey I. Thomas C. Wajnert 2. Ratification of the appointment of Ernst & Young LLP as the Trust’s independent registered public accounting firm for 2010. | Issuer | Yes | 1A. For B. For C. for D For E. For F. Withhold H. For I. For 2. For | For | ||||||||
Sovran Self Storage, Inc | SSS | 84610H108 | 5/26/2010 | 1. Board Nominees; Robert J. Attea, Kenneth F. Myszka, John E. Burns, Anthony P. Gammie, Charles E. Lannon, James R. Boldt.; 2. Ratification of the appointment of Ernst & Young LLP as the company’s independent registered public accounting firm for fiscal year 2010. | Issuer | Yes | 1. For 2. For | For | ||||||||
Biomed Realty Trust, Inc | BMR | 09063H107 | 5/26/2010 | 1. Board Nominees; Alan D. Gold, Barbara R. Cambon, Edward A. Dennis PH.D., Richard I Gilchrist, Gary A. Kreitzer, Theodore D. Roth, M. Faye Wilson. 2. Ratification of the selection of KPMG LLP as the company’s independent registered public accounting firm for the year ending December 31, 2010. | Issuer | Yes | 1. For 2. For | For |
Tanger Factory Outlets. Inc | SKT | 875465106 | 5/14/2010 | 1. Board Nominees; Jack Africk, Steven B. Tanger, William g. Benton, Bridget Ryan Berman, Thomas E. Robinson, Allan L. Schuman, Stanley K. Tanger. 2. Ratification of the appointment of Pricewaterhousecoopers LLP as the company’s independent registered public accounting firm for the fiscal year ending December 31, 2010. 3. Amending the amended and restated incentive award plan to increase the aggregate number of shares authorized for issuance under the plan from 6,000,000 shares to 7,700,000 shares and to increase the annual individual award limit from 120,000 shares to 360,000 shares for equity awards and from $1,000,000 to $2,000,000 for cash performance awards. | Issuer | Yes | 1. For 2. For 3. For | For | ||||||||
Healthcare Realty Trust, Inc | HR | 421946104 | 5/18/2010 | 1. Board Nominees;Edwin B. Morris III, John Knox Singleton, Roger O. West. 2. Proposal to ratify BDO Seidman LLP as accountants. | Issuer | Yes | 1. For 2. For | For | ||||||||
Prologis | PLD | 743410102 | 5/14/2010 | 1. Board Nominees; a. Stephen L. Feinberg b. George L. Fotiades c. Christine N. Garvey d, Lawrence V. Jackson e. Donald P. Jacobs f. Irving F. Lyons III g. Walter C. Rakowich h. D. Michael Steuert i.J Andre Teixeira j. Andrea M. Zulberti 2. Amendment to the Prologis 2006 Long-Term incentive plan- increase authorized shares and certain individual grant limits. 3. amendments to certain Prologis equity incentive plans- allow for a one-time share option exchange program for employees, other than named executive officers and trustees. 4. Ratification of appointment of independent registered public accounting firm. | Issuer | Yes | 1. a.For b. Against c. For d. For e. Against f. For g. For h. For i. For j. For. 2. Against 3. Against 4. For | 1. For 2. Against 3. Against 4. For |
Vornado Realty Trust | VNO | 929042109 | 5/13/2010 | 1. Board Nominees; a. Candance K. Beinecke b. Robert P. Kogod c. David Mandelbaum d. Richard R. West 2. Ratification of appointment of independent registered public accounting firm. 3. Approval of the 2010 Omnibus Share Plan. 4. Shareholder proposal regarding majority voting for Trustees. 5. Shareholder proposal regsarding the appointment of an independent chairman. 6. Shareholder proposal regarding establishing one class of Trustees. | Issuer | Yes | 1. a.For. b. For c. Withhold d. Withhold 2. For 3. For 4. Against | 1. a. For b. For c. Against d. Against 2. For 3. For 4. Against 5. Against 6. For | ||||||||
Highwoods Properties, Inc | HIW | 431284108 | 5/13/2010 | 1. Board Nominees; Gene H. Anderson, Edward J. Fritsch, Davbid J Hartzell, Lawrence S. Kaplan, Sherry A. Kellett, L. Glenn Orr, JR. 2. Ratification of the appointment of Deloitte & Touche LLP as independent registered public accounting firm for the fiscal year ending December 31, 2010. 3. Approval of an amendment to the employee stock purchase plan. | Issuer | Yes | 1. For 2. For 3. For | For | ||||||||
Realty Income Corporation | O | 756109104 | 5/12/2010 | 1. Board Nominees; a. Kathleen R. Allen PH.D. b. Donald R. Cameron c. Priya Cherian Huskins d. Thomas A. Lewis e. Michael D. Mckee f. Gregory T. McLaughlin g. Ronald L. Merriman 2. Ratification of appointment of KPMG LLP as the independent registered public accounting firm for fiscal year ending December 31, 2010. | Issuer | Yes | 1. a. Against b. Against c. Against d. For e. For f. Against g. Against 2. For | 1. a. Against b. Against c. Against d. For e. For f. Against g. Against 2. For |
Boston Properties, Inc | BXP | 101121101 | 5/18/2010 | 1. Board Nominees; Mortimer B. Zuckerman, Carol B. Einiger, Dr. Jacob A. Frenkel 2. Approval of amendment to our amended and restated certificate of incorporation relating to the election of directors. 3. Ratification of audit committee’s appointment of Pricewaterhousecoopers LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2010. 4. Considering and acting upon a stockholder’s proposal concerning the preparation of a sustainability report, if properly presented at the meeting. 5. stockholder proposal concerning an independent board chairman, if properly presented at the annual meeting. | Issuer | Yes | 1. For 2. For 3. For 4. Against 5. Against | For | ||||||||
National Retail Properties, Inc | NNN | 637417106 | 5/20/2010 | 1. Board Nominees; Don Defosset, Dennis E. Gershenon, Kevin B. Habicht, Richard B. Jennings, Ted. B. Lanier, Robert C. Legler, Craig Macnab, Robert Martinez 2. Ratification of the selection of the independent registered public accounting firm for 2010. 3. Such other business as may properly come before the meeting or any adjournment position thereof. | Issuer | Yes | 1. For 2. For 3. For | For | ||||||||
Felcor Lodging Trust, Inc | FCH | 31430F101 | 5/17/2010 | 1. Board Nominees; Melinda J Bush, Charles A. Ledsinger Jr, Robert H. Lutz, JR. 2. Ratification of the appointment of Pricewaterhousecoopers LLP, or PWC, as Felcor’s independent registered public accounting firm for 2010. | Issuer | Yes | 1. For 2. For | For |
Ashford Hospitality Trust, Inc | AHT | 044103109 | 5/18/2010 | 1. Board Nominees; Archie Bennett Jr., Monty J. Bennett, Benjamin J. Ansell MD, Thomas E. Callahan, Martin L. Edelman, W. Michael Murphy, Phillip S. Payne 2. Ratification of appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2010. | Issuer | Yes | 1. For 2. For | For | ||||||||
Dupont Fabros Technology, Inc | DFT | 26613Q106 | 5/19/2010 | 1. Board Nominees; Mark Amin, Michael A. Coke, Lammot J. Du Pont, Thomas D. Eckert, Hossein Fateh, Frederic V. Malek, John H. Toole 2. Ratification of the appointment of Ernst & Young LLP as the company’s independent registered public accounting firm for 2010. | Issuer | Yes | 1. For 2. For | For | ||||||||
Hersha Hospitality Trust | HT | 427825104 | 5/19/2010 | 1. Board Nominees; Jay H. Shah, Thomas A. Capello, Thomas J Hutchinson III, Donald J Landry 2. Ratification of KPMG LLP as the company’s independent registered public accounting firm. 3. Approval of amendments to the 2008 Equity incentive plan. | Issuer | Yes | 1. For. 2. For 3. For | For | ||||||||
Ventas, Inc | VTR | 92276F100 | 4/30/2010 | 1. Board Nominees; a. Debra A. Cafaro b. Douglas Crocker II c. Ronald G. Geary d. Jay M. Gellert e. Robert D. Reed f. Sheli Z. Rosenberg g. James D. Shelton h. Thomas C. Theobald 2. Ratification of the selection of Ernst & Young LLP as the independent registered public accounting firm for fiscal year 2010. 3. Adoption of a majority vote standards for the election of directors. | Issuer | Yes | 1. a. For b. For c. Withhold d. For e. For f. For g. For h. For 2. For 3. For | 1. a. For b. For c. Against d. For e. For f. For g. For h. For 2. For 3. Against |
Sunstone Hotel Investors; Inc | SHO | 867892101 | 5/5/2010 | 1. Board Nominees; Robert A. Alter, Arthur L Buser Jr., Lewis N. Wolff, Z. Jamie Behar, Thomas A. Lewis, Keith M. Locker, Keith P. Russel 2.the Ratification of the audit committee’s appointment of Ernst & Young LLP to act as the independent registered public accounting firm for the fiscal year ending December 31, 2010. 3. Approval of amendments to the 2004 long-term incentive plan to provide for an increase in the number of authorized shares to be issued under the 2004 Long-term incentive plan by 2,200,000 shares and to prohibit repricing of stock options and stock appreciation rights without the approval of a majority of the company’s stockholders. | Issuer | Yes | 1. For 2. For 3. For | For | ||||||||
AMB Property Corporation | AMB | 00163T109 | 5/6/2010 | 1. Board Nominees; a. T. Robert Burke b. David A. Cole c. Lydia H. Kennard d. J Michael Losh e. Hamid R. Moghadam f. Frederick W. Reid g. Jeffrey L Skelton h. Thomas W. Tusher i. Carl B. Webb 2. Ratification of the selection of Pricewaterhousecoopers LLP as the independent registered public accounting firm of AMB Property corporation for the fiscal year ending December 31, 2010. | Issuer | Yes | 1. a. For b. For c. For d. Against e. For f. Against g. For h. Against i. For 2. For | 1. a. For b. For c. For d. For e. For f. Against g. For 2. For |
Associated Estates Realty Corporation | AEC | 045604105 | 5/5/2010 | 1. Board Nominees; Albert T Adams, James M. Delaney, Jeffrey I. Friedman, Michael E. Gibbons, Mark L. Milstein, James A. Schoff, Richard T. Schwarz 2. Approval of the amendment to Associated Estates Realty Corporation’s second amended and restated articles of incorporation to increase the number of authorized common shares of the company for 41,000,000 to 91,000,000 which results in an increase in the total number of authorized shares of the company from 50,000,000 to 100,000,000. 3. Ratifying the appointment of Pricewaterhousecoopers LLP as the company’s independent accountant for the company’s fiscal year ending December 31, 2010. | Issuer | Yes | 1. For 2. For 3. For | For | ||||||||
Senior Housing Properties Trust | SNH | 81721M109 | 5/12/2010 | 1. Board Nominees; a. John L. Harrington b. Adam D. Portnoy 2. Ratification of the appointment of Ernst & Young LLP as independent registered public accounting firm for the fiscal year ending December 31, 2010. | Issuer | Yes | 1. a. For b. Against 2. For | 1. a. For b. Against 2. For |
Federal Realty Investment Trust | FRT | 313747206 | 5/4/2010 | 1. Board Nominees; Jon E. Bortz, David W. Faeder, Kristin Gamble 2. Ratifying the appointment of Grant Thorton LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2010. 3. Approving our 2010 performance incentive plan to provide for the issuance of up to 3, 250,000 shares to be issued to our trustees, executive officers, employees and others for a period of 10 years. 4. Considering and acting upon a shareholder proposal requesting that board of trustees prepare a social and environmental sustainability report by December 2010 in accordance with guidelines established by the global reporting initiative, if properly coming before the annual meeting or any adjournment. | Issuer | Yes | 1. For 2. For 3. For 4. Against | For | ||||||||
National Health Investors, Inc | NHI | 63633D104 | 5/7/2010 | 1. Board Nominees; Ted H. Welch, J. Justin Hutchens 2. Proposal to ratify the audit committee’s selection of BDO Seidman LLP as independent registered public accounting firm for year ending December 31, 2010. | Issuer | Yes | 1. For. 2. For | For | ||||||||
Essex Property Trust, Inc | ESS | 297178105 | 5/18/2010 | 1. Board Nominees; Keith R. Guericke, Issie N. Rabinovitch, Thomas E. Randlett 2. Ratification of the appointment of KPMG LLP as the independent registered public accounting firm for the company for the year ending December 31, 2010. 3. Transact such other business as may properly come before the meeting or adjournment thereof. | Issuer | Yes | 1. For 2. For 3. For | For |
Public Storage | PSA | 74460D109 | 5/6/2010 | 1. Board Nominees; a. B. Wayne Hughes b. Ronald L. Havner Jr c. Dann V. Angeloff d. William C. Baker e. John T. Evans f. Tamara Hughes Gustavson g. Uri P. Harkham h. B. Wayne Hughes Jr i. Harvey Lenkin j. Avedick B. Poladian k. Gary E. Pruitt l. Ronald P. Spogli m. Daniel C. Staton 2. Ratification of appointment of Ernst & Young LLP as the company’s independent registered public accounting firm for the fiscal year ending December 31, 2010. | Issuer | Yes | 1. a. For b. For c. For d. For e. For f. Withhold g. For h. Withhold i. For j. For k. For l. For m. For 2. For | 1. a. For b. For c. For d. For e. For f. Against g. For h. Against i. For j. For k. For l. For m. For 2. For | ||||||||
Equity Residential | EQR | 29476L107 | 6/16/2010 | 1. Board Nominees; a. John W. Alexander b. Charles L. Atwood c. Linda Walker Bynoe d. Boone A. Knox e. John E. Neal f. David J. Neithercut g. Mark S. Shapiro h. Gerald A. Spector i. B. Joseph White J. Samuel Zell 2. Ratification of the selection of Ernst & Young LLP as the company’s independent auditor for the year ending December 31, 2010. 3. Shareholder proposal relating to a change in the voting standard for trustee elections. | Issuer | Yes | 1. a. For b. For c. For d. For e. For f. For g. Withhold h. For i. Withhold j. For 2. For 3. For | 1. a. For b. For c. For d. For e. For f. For g. Against h. For i. Against j. For 2. For 3. Against | ||||||||
Glimcher Realty Trust | GRT | 379302102 | 6/4/2010 | 1. Board Nominees; Timothy J. O’Brien, Niles C. Overly, William S. Williams 2. Ratification of the appointment of BDO Seidman LLP as Glimcher Realty Trust’s independent registered public accounting firm for the fiscal year ending December 31, 2010. | Issuer | Yes | 1. For 2. For | For |
Brandywine Reality Trust | BDN | 105368203 | 6/2/2010 | 1. Board Nominees; Walter D’Alessio, Anthony A. Nichols, SR., Gerard H. Sweeney, D. Pike Aloian, Wyche Fowler, Michael J. Joyce, Charles P. Pizzi 2. Ratification of the audit committee’s appointment of Pricewaterhousecoopers LLP as our independent registered public accounting firm for 2010. 3. Amendment and restatement of our amended and restated 1997 long-term incentive plan to, among other things, increase the number of common shares of beneficial interest, par value $.01 per share, that may be issued or the subject of awards under the plan by 6,000,000 shares. | Issuer | Yes | 1. For 2. For 3. For | For |
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 | Spirit of America Investment Fund, Inc. |
By (Signature and Title)* | /S/ DAVID LERNER | |
David Lerner, Prinicpal Executive Officer | ||
(Principal Executive Officer) |
Date August 30, 2010
* | Print the name and title of each signing officer under his or her signature. |