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: | 811-08747 |
Dividend and Income Fund | |
(Exact name of registrant as specified in charter) | |
11 Hanover Square, 12th Floor, New York, NY | 10005 |
(Address of principal executive offices) | (Zip code) |
John F. Ramirez, Esq.
Dividend and Income Fund
11 Hanover Square, 12th Floor
New York, NY 10005
Registrant's telephone number, including area code: | 1-212-785-0400 |
Date of fiscal year end: | 12/31 |
Date of reporting period: | 07/01/2011 - 06/30/2012 |
Item 1. Proxy Voting Record
The information contained herein discloses the following information for each matter relating to a portfolio security considered at any shareholder meeting held during the period covered by the report and with respect to which the registrant was entitled to vote:
(a) The name of the issuer of the portfolio security;
(b) The exchange ticker symbol of the portfolio security;
(c) The Council on Uniform Securities Identification Procedures ("CUSIP") number for the portfolio security;
(d) The shareholder meeting date;
(e) A brief identification of the matter voted on;
(f) Whether the matter was proposed by the issuer or by a security holder;
(g) Whether the registrant cast its vote on the matter;
(h) How the registrant cast its vote; and
(i) Whether the registrant cast its vote for or against management.
DIVIDEND AND INCOME FUND
3M COMPANY
Ticker: MMM Security ID: 88579Y101
Meeting Date: MAY 08, 2012 Meeting Type: Annual
Record Date: MAR 09, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Linda G. Alvarado | For | For | Management |
2 | Elect Director Vance D. Coffman | For | For | Management |
3 | Elect Director Michael L. Eskew | For | For | Management |
4 | Elect Director W. James Farrell | For | For | Management |
5 | Elect Director Herbert L. Henkel | For | For | Management |
6 | Elect Director Edward M. Liddy | For | For | Management |
7 | Elect Director Robert S. Morrison | For | For | Management |
8 | Elect Director Aulana L. Peters | For | For | Management |
9 | Elect Director Inge G. Thulin | For | For | Management |
10 | Elect Director Robert J. Ulrich | For | For | Management |
11 | Ratify Auditors | For | For | Management |
12 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
13 | Amend Qualified Employee Stock Purchase Plan | For | For | Management |
14 | Amend Omnibus Stock Plan | For | For | Management |
15 | Report on Lobbying Payments and Policy | Against | For | Shareholder |
16 | Prohibit Political Contributions | Against | Against | Shareholder |
17 | Require Independent Board Chairman | Against | Against | Shareholder |
ABBOTT LABORATORIES
Ticker: ABT Security ID: 002824100
Meeting Date: APR 27, 2012 Meeting Type: Annual
Record Date: FEB 29, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1.1 | Elect Director Robert J. Alpern | For | For | Management |
1.2 | Elect Director Roxanne S. Austin | For | For | Management |
1.3 | Elect Director Sally E. Blount | For | For | Management |
1.4 | Elect Director W. James Farrell | For | For | Management |
1.5 | Elect Director Edward M. Liddy | For | For | Management |
1.6 | Elect Director Nancy McKinstry | For | Withhold | Management |
1.7 | Elect Director Phebe N. Novakovic | For | For | Management |
1.8 | Elect Director William A. Osborn | For | For | Management |
1.9 | Elect Director Samuel C. Scott, III | For | For | Management |
1.10 | Elect Director Glenn F. Tilton | For | For | Management |
1.11 | Elect Director Miles D. White | For | For | Management |
2 | Ratify Auditors | For | For | Management |
3 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
4 | Report on Research Animal Care and Promotion of Testing Alternatives | Against | Against | Shareholder |
5 | Report on Lobbying Payments and Policy | Against | For | Shareholder |
6 | Require Independent Board Chairman | Against | Against | Shareholder |
7 | Adopt Anti Gross-up Policy | Against | For | Shareholder |
8 | Stock Retention/Holding Period | Against | For | Shareholder |
9 | Cease Compliance Adjustments to Performance Criteria | Against | For | Shareholder |
10 | Pro-rata Vesting of Equity Plans | Against | For | Shareholder |
ACE LIMITED
Ticker: ACE Security ID: H0023R105
Meeting Date: JAN 09, 2012 Meeting Type: Special
Record Date: NOV 30, 2011
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Approve Dividend Distribution from Legal Reserves | For | For | Management |
ACE LIMITED
Ticker: ACE Security ID: H0023R105
Meeting Date: MAY 16, 2012 Meeting Type: Annual
Record Date: MAR 30, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1.1 | Elect Michael G. Atieh as Director | For | For | Management |
1.2 | Elect Mary A. Cirillo as Director | For | For | Management |
1.3 | Elect Thomas J. Neff as Director | For | For | Management |
2.1 | Approve Annual Report | For | For | Management |
2.2 | Accept Statutory Financial Statements | For | For | Management |
2.3 | Accept Consolidated Financial Statements | For | For | Management |
3 | Approve Allocation of Income and Dividends | For | For | Management |
4 | Approve Discharge of Board and Senior Management | For | For | Management |
5 | Approve Creation of CHF 4.2 Billion Pool of Capital without Preemptive Rights | For | For | Management |
6.1 | Ratify PricewaterhouseCoopers AG as Auditors | For | For | Management |
6.2 | Ratify PricewaterhouseCoopers LLP as Independent Registered Public Accounting Firm as Auditors | For | For | Management |
6.3 | Ratify BDO AG as Special Auditors | For | For | Management |
7 | Approve Dividend Distribution From Legal Reserves Through Reduction in Share Capital | For | For | Management |
8 | Advisory Vote to ratify Named Executive Officers' Compensation | For | For | Management |
9 | Amend Qualified Employee Stock Purchase Plan | For | For | Management |
ALTRIA GROUP, INC.
Ticker: MO Security ID: 02209S103
Meeting Date: MAY 17, 2012 Meeting Type: Annual
Record Date: MAR 26, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Elizabeth E. Bailey | For | For | Management |
2 | Elect Director Gerald L. Baliles | For | For | Management |
3 | Elect Director Martin J. Barrington | For | For | Management |
4 | Elect Director John T. Casteen III | For | For | Management |
5 | Elect Director Dinyar S. Devitre | For | For | Management |
6 | Elect Director Thomas F. Farrell II | For | For | Management |
7 | Elect Director Thomas W. Jones | For | For | Management |
8 | Elect Director W. Leo Kiely III | For | For | Management |
9 | Elect Director Kathryn B. McQuade | For | For | Management |
10 | Elect Director George Munoz | For | For | Management |
11 | Elect Director Nabil Y. Sakkab | For | For | Management |
12 | Ratify Auditors | For | For | Management |
13 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
14 | Report on Lobbying Payments and Policy | Against | For | Shareholder |
ANALOG DEVICES, INC.
Ticker: ADI Security ID: 032654105
Meeting Date: MAR 13, 2012 Meeting Type: Annual
Record Date: JAN 13, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Ray Stata | For | For | Management |
2 | Elect Director Jerald G. Fishman | For | For | Management |
3 | Elect Director James A. Champy | For | For | Management |
4 | Elect Director John C. Hodgson | For | For | Management |
5 | Elect Director Yves-Andre Istel | For | For | Management |
6 | Elect Director Neil Novich | For | For | Management |
7 | Elect Director F. Grant Saviers | For | For | Management |
8 | Elect Director Paul J. Severino | For | For | Management |
9 | Elect Director Kenton J. Sicchitano | For | For | Management |
10 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
11 | Ratify Auditors | For | For | Management |
ANNALY CAPITAL MANAGEMENT INC.
Ticker: NLY Security ID: 035710409
Meeting Date: MAY 24, 2012 Meeting Type: Annual
Record Date: MAR 30, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Wellington J. Denahan-Norris | For | For | Management |
2 | Elect Director Michael Haylon | For | For | Management |
3 | Elect Director Donnell A. Segalas | For | Against | Management |
4 | Elect Director Jonathan D. Green | For | Against | Management |
5 | Ratify Auditors | For | For | Management |
APOLLO INVESTMENT CORPORATION
Ticker: AINV Security ID: 03761U106
Meeting Date: AUG 02, 2011 Meeting Type: Annual
Record Date: JUN 08, 2011
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1.1 | Elect Director Frank C. Puleo | For | For | Management |
1.2 | Elect Director Carl Spielvogel | For | For | Management |
1.3 | Elect Director Jeanette Loeb | For | For | Management |
2 | Ratify Auditors | For | For | Management |
3 | Approve Sale of Common Shares Below Net Asset Value | For | For | Management |
AT&T INC.
Ticker: T Security ID: 00206R102
Meeting Date: APR 27, 2012 Meeting Type: Annual
Record Date: FEB 28, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Randall L. Stephenson | For | For | Management |
2 | Elect Director Gilbert F. Amelio | For | For | Management |
3 | Elect Director Reuben V. Anderson | For | For | Management |
4 | Elect Director James H. Blanchard | For | For | Management |
5 | Elect Director Jaime Chico Pardo | For | For | Management |
6 | Elect Director James P. Kelly | For | For | Management |
7 | Elect Director Jon C. Madonna | For | For | Management |
8 | Elect Director John B. McCoy | For | For | Management |
9 | Elect Director Joyce M. Roche | For | For | Management |
10 | Elect Director Matthew K. Rose | For | For | Management |
11 | Elect Director Laura D'Andrea Tyson | For | For | Management |
12 | Ratification Of Appointment Of Independent Auditors | For | For | Management |
13 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
14 | Provide Right to Act by Written Consent | For | For | Management |
15 | Report on Political Contributions | Against | For | Shareholder |
16 | Commit to Wireless Network Neutrality | Against | Against | Shareholder |
17 | Require Independent Board Chairman | Against | For | Shareholder |
AVON PRODUCTS, INC.
Ticker: AVP Security ID: 054303102
Meeting Date: MAY 03, 2012 Meeting Type: Annual
Record Date: MAR 16, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1.1 | Elect Director Douglas R. Conant | For | For | Management |
1.2 | Elect Director W. Don Cornwell | For | For | Management |
1.3 | Elect Director V. Ann Hailey | For | For | Management |
1.4 | Elect Director Fred Hassan | For | For | Management |
1.5 | Elect Director Andrea Jung | For | For | Management |
1.6 | Elect Director Maria Elena Lagomasino | For | For | Management |
1.7 | Elect Director Ann S. Moore | For | For | Management |
1.8 | Elect Director Gary M. Rodkin | For | For | Management |
1.9 | Elect Director Paula Stern | For | For | Management |
1.10 | Elect Director Lawrence A. Weinbach | For | For | Management |
2 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
3 | Ratify Auditors | For | For | Management |
BARRICK GOLD CORPORATION
Ticker: ABX Security ID: 067901108
Meeting Date: MAY 02, 2012 Meeting Type: Annual
Record Date: MAR 07, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1.1 | Elect Director Howard L. Beck | For | For | Management |
1.2 | Elect Director C. William D. Birchall | For | For | Management |
1.3 | Elect Director Donald J. Carty | For | For | Management |
1.4 | Elect Director Gustavo Cisneros | For | For | Management |
1.5 | Elect Director Robert M. Franklin | For | For | Management |
1.6 | Elect Director J. Brett Harvey | For | For | Management |
1.7 | Elect Director Dambisa Moyo | For | For | Management |
1.8 | Elect Director Brian Mulroney | For | For | Management |
1.9 | Elect Director Anthony Munk | For | For | Management |
1.10 | Elect Director Peter Munk | For | For | Management |
1.11 | Elect Director Aaron W. Regent | For | For | Management |
1.12 | Elect Director Nathaniel P. Rothschild | For | For | Management |
1.13 | Elect Director Steven J. Shapiro | For | For | Management |
1.14 | Elect Director John L. Thornton | For | For | Management |
2 | Approve PricewaterhouseCoopers LLP as Auditors and Authorize Board to Fix Their Remuneration | For | For | Management |
3 | Advisory Vote on Executive Compensation Approach | For | For | Management |
BRISTOL-MYERS SQUIBB COMPANY
Ticker: BMY Security ID: 110122108
Meeting Date: MAY 01, 2012 Meeting Type: Annual
Record Date: MAR 09, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Lamberto Andreotti | For | For | Management |
2 | Elect Director Lewis B. Campbell | For | For | Management |
3 | Elect Director James M. Cornelius | For | For | Management |
4 | Elect Director Louis J. Freeh | For | For | Management |
5 | Elect Director Laurie H. Glimcher | For | For | Management |
6 | Elect Director Michael Grobstein | For | For | Management |
7 | Elect Director Alan J. Lacy | For | For | Management |
8 | Elect Director Vicki L. Sato | For | For | Management |
9 | Elect Director Elliott Sigal | For | For | Management |
10 | Elect Director Gerald L. Storch | For | For | Management |
11 | Elect Director Togo D. West, Jr. | For | For | Management |
12 | Elect Director R. Sanders Williams | For | For | Management |
13 | Ratify Auditors | For | For | Management |
14 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
15 | Approve Omnibus Stock Plan | For | For | Management |
16 | Provide for Cumulative Voting | Against | For | Shareholder |
17 | Report on Research Animal Care and Promotion of Testing Alternatives | Against | Against | Shareholder |
18 | Provide Right to Act by Written Consent | Against | For | Shareholder |
CARNIVAL CORPORATION
Ticker: CCL Security ID: 143658300
Meeting Date: APR 11, 2012 Meeting Type: Annual
Record Date: FEB 13, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor | |
1 | Reelect Micky Arison As A Director Of Carnival Corporation and As A Director Of Carnival Plc. | For | For | Management | |
2 | Reelect Jonathon Band As A Director Of Carnival Corporation and As A Director Of Carnival Plc. | For | For | Management | |
3 | Reelect Robert H. Dickinson As A Director Of Carnival Corporation and As A Director Of Carnival Plc. | For | For | Management | |
4 | Reelect Arnold W. Donald As A Director Of Carnival Corporation and As A Director Of Carnival Plc. | For | For | Management | |
5 | Reelect Pier Luigi Foschi As A Director Of Carnival Corporation and As A Director Of Carnival Plc. | For | For | Management | |
6 | Reelect Howard S. Frank As A Director Of Carnival Corporation and As A Director Of Carnival Plc. | For | For | Management | |
7 | Reelect Richard J. Glasier As A Director Of Carnival Corporation and As A Director Of Carnival Plc. | For | For | Management | |
8 | Reelect Debra Kelly-Ennis As A Director Of Carnival Corporation and As A Director Of Carnival Plc. | For | For | Management | |
9 | Reelect Modesto A. Maidique As A Director Of Carnival Corporation and As A Director Of Carnival Plc. | For | For | Management | |
10 | Reelect Sir John Parker As A Director Of Carnival Corporation and As A Director Of Carnival Plc. | For | For | Management | |
11 | Reelect Peter G. Ratcliffe As A Director Of Carnival Corporation and As A Director Of Carnival Plc. | For | For | Management | |
12 | Reelect Stuart Subotnick As A Director Of Carnival Corporation and As A Director Of Carnival Plc. | For | For | Management | |
13 | Reelect Laura Weil As A Director Of Carnival Corporation and As A Director Of Carnival Plc. | For | For | Management | |
14 | Reelect Randall J. Weisenburger As A Director Of Carnival Corporation and As A Director Of Carnival Plc. | For | For | Management | |
15 | Reappoint The UK Firm Of PricewaterhouseCoopers LLP As Independent Auditors For Carnival Plc And Ratify The U.S. Firm Of PricewaterhouseCoopers LLP As The Independent Auditor For Carnival Corporation | For | For | Management | |
16 | Authorize The Audit Committee Of Carnival Plc To Fix Remuneration Of The Independent Auditors Of Carnival Plc | For | For | Management | |
17 | Receive The UK Accounts And Reports Of The Directors And Auditors Of Carnival Plc For The Year Ended November 30, 2011 | For | For | Management | |
18 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management | |
19 | Approve Remuneration of Executive Directors | For | For | Management | |
20 | Authorize Issue of Equity with Pre-emptive Rights | For | For | Management | |
21 | Authorize Issue of Equity without Pre-emptive Rights | For | For | Management | |
22 | Authorize Shares for Market Purchase | For | For | Management | |
23 | Report on Political Contributions | Against | For | Shareholder |
CHEVRON CORPORATION
Ticker: CVX Security ID: 166764100
Meeting Date: MAY 30, 2012 Meeting Type: Annual
Record Date: APR 04, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Linnet F. Deily | For | For | Management |
2 | Elect Director Robert E. Denham | For | For | Management |
3 | Elect Director Chuck Hagel | For | For | Management |
4 | Elect Director Enrique Hernandez, Jr. | For | For | Management |
5 | Elect Director George L. Kirkland | For | For | Management |
6 | Elect Director Charles W. Moorman, IV | For | For | Management |
7 | Elect Director Kevin W. Sharer | For | For | Management |
8 | Elect Director John G. Stumpf | For | For | Management |
9 | Elect Director Ronald D. Sugar | For | For | Management |
10 | Elect Director Carl Ware | For | For | Management |
11 | Elect Director John S. Watson | For | For | Management |
12 | Ratify Auditors | For | For | Management |
13 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
14 | Remove Exclusive Venue Provision | Against | For | Shareholder |
15 | Require Independent Board Chairman | Against | For | Shareholder |
16 | Report on Lobbying Payments and Policy | Against | For | Shareholder |
17 | Adopt Guidelines for Country Selection | Against | For | Shareholder |
18 | Report on Hydraulic Fracturing Risks to Company | Against | For | Shareholder |
19 | Report on Accident Risk Reduction Efforts | Against | Against | Shareholder |
20 | Amend Articles/Bylaws/Charter -- Call Special Meetings | Against | For | Shareholder |
21 | Request Director Nominee with Environmental Qualifications | Against | For | Shareholder |
CONOCOPHILLIPS
Ticker: COP Security ID: 20825C104
Meeting Date: MAY 09, 2012 Meeting Type: Annual
Record Date: MAR 12, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Richard L. Armitage | For | For | Management |
2 | Elect Director Richard H. Auchinleck | For | For | Management |
3 | Elect Director James E. Copeland, Jr. | For | For | Management |
4 | Elect Director Kenneth M. Duberstein | For | For | Management |
5 | Elect Director Ruth R. Harkin | For | For | Management |
6 | Elect Director Ryan M. Lance | For | For | Management |
7 | Elect Director Mohd H. Marican | For | For | Management |
8 | Elect Director Harold W. McGraw, III | For | For | Management |
9 | Elect Director James J. Mulva | For | For | Management |
10 | Elect Director Robert A. Niblock | For | For | Management |
11 | Elect Director Harald J. Norvik | For | For | Management |
12 | Elect Director William K. Reilly | For | For | Management |
13 | Elect Director Victoria J. Tschinkel | For | For | Management |
14 | Elect Director Kathryn C. Turner | For | For | Management |
15 | Elect Director William E. Wade, Jr. | For | For | Management |
16 | Ratify Auditors | For | For | Management |
17 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
18 | Adopt Policy to Address Coastal Louisiana Environmental Impacts | Against | Against | Shareholder |
19 | Report on Accident Risk Reduction Efforts | Against | Against | Shareholder |
20 | Report on Lobbying Payments and Policy | Against | For | Shareholder |
21 | Adopt Quantitative GHG Goals for Products and Operations | Against | For | Shareholder |
22 | Amend EEO Policy to Prohibit Discrimination based on Gender Identity | Against | For | Shareholder |
CSX CORPORATION
Ticker: CSX Security ID: 126408103
Meeting Date: MAY 09, 2012 Meeting Type: Annual
Record Date: MAR 09, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Donna M. Alvarado | For | For | Management |
2 | Elect Director John B. Breaux | For | For | Management |
3 | Elect Director Pamela L. Carter | For | For | Management |
4 | Elect Director Steven T. Halverson | For | For | Management |
5 | Elect Director Edward J. Kelly, III | For | For | Management |
6 | Elect Director Gilbert H. Lamphere | For | For | Management |
7 | Elect Director John D. McPherson | For | For | Management |
8 | Elect Director Timothy T. O'Toole | For | For | Management |
9 | Elect Director David M. Ratcliffe | For | For | Management |
10 | Elect Director Donald J. Shepard | For | For | Management |
11 | Elect Director Michael J. Ward | For | For | Management |
12 | Elect Director J.C. Watts, Jr. | For | For | Management |
13 | Elect Director J. Steven Whisler | For | For | Management |
14 | Ratify Auditors | For | For | Management |
15 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
DOVER CORPORATION
Ticker: DOV Security ID: 260003108
Meeting Date: MAY 03, 2012 Meeting Type: Annual
Record Date: MAR 09, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director David H. Benson | For | For | Management |
2 | Elect Director Robert W. Cremin | For | For | Management |
3 | Elect Director Jean-Pierre M. Ergas | For | For | Management |
4 | Elect Director Peter T. Francis | For | For | Management |
5 | Elect Director Kristiane C. Graham | For | For | Management |
6 | Elect Director Robert A. Livingston | For | For | Management |
7 | Elect Director Richard K. Lochridge | For | For | Management |
8 | Elect Director Bernard G. Rethore | For | For | Management |
9 | Elect Director Michael B. Stubbs | For | For | Management |
10 | Elect Director Stephen M. Todd | For | For | Management |
11 | Elect Director Stephen K. Wagner | For | For | Management |
12 | Elect Director Mary A. Winston | For | For | Management |
13 | Approve Omnibus Stock Plan | For | For | Management |
14 | Ratify Auditors | For | For | Management |
15 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
E. I. DU PONT DE NEMOURS AND COMPANY
Ticker: DD Security ID: 263534109
Meeting Date: APR 25, 2012 Meeting Type: Annual
Record Date: FEB 29, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Lamberto Andreotti | For | For | Management |
2 | Elect Director Richard H. Brown | For | For | Management |
3 | Elect Director Robert A. Brown | For | For | Management |
4 | Elect Director Bertrand P. Collomb | For | For | Management |
5 | Elect Director Curtis J. Crawford | For | For | Management |
6 | Elect Director Alexander M. Cutler | For | For | Management |
7 | Elect Director Eleuthere I. Du Pont | For | For | Management |
8 | Elect Director Marillyn A. Hewson | For | For | Management |
9 | Elect Director Lois D. Juliber | For | For | Management |
10 | Elect Director Ellen J. Kullman | For | For | Management |
11 | Elect Director Lee M. Thomas | For | For | Management |
12 | Ratify Auditors | For | For | Management |
13 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
14 | Require Independent Board Chairman | Against | For | Shareholder |
15 | Report on Pay Disparity | Against | Against | Shareholder |
EMERSON ELECTRIC CO.
Ticker: EMR Security ID: 291011104
Meeting Date: FEB 07, 2012 Meeting Type: Annual
Record Date: NOV 29, 2011
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1.1 | Elect Director C. Fernandez G. | For | For | Management |
1.2 | Elect Director A.F. Golden | For | For | Management |
1.3 | Elect Director W.R. Johnson | For | For | Management |
1.4 | Elect Director J.B. Menzer | For | For | Management |
1.5 | Elect Director A.A. Busch, III | For | For | Management |
1.6 | Elect Director R.I. Ridgway | For | For | Management |
2 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
3 | Ratify Auditors | For | For | Management |
4 | Report on Sustainability | Against | For | Shareholder |
5 | Declassify the Board of Directors | Against | For | Shareholder |
ENTERGY CORPORATION
Ticker: ETR Security ID: 29364G103
Meeting Date: MAY 04, 2012 Meeting Type: Annual
Record Date: MAR 06, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Maureen Scannell Bateman | For | For | Management |
2 | Elect Director Gary W. Edwards | For | For | Management |
3 | Elect Director Alexis M. Herman | For | For | Management |
4 | Elect Director Donald C. Hintz | For | For | Management |
5 | Elect Director J. Wayne Leonard | For | For | Management |
6 | Elect Director Stuart L. Levenick | For | For | Management |
7 | Elect Director Blanche L. Lincoln | For | For | Management |
8 | Elect Director Stewart C. Myers | For | For | Management |
9 | Elect Director William A. Percy, II | For | For | Management |
10 | Elect Director W.J. Tauzin | For | For | Management |
11 | Elect Director Steven V. Wilkinson | For | For | Management |
12 | Ratify Auditors | For | For | Management |
13 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
EXELON CORPORATION
Ticker: EXC Security ID: 30161N101
Meeting Date: NOV 17, 2011 Meeting Type: Special
Record Date: OCT 07, 2011
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Issue Shares in Connection with Acquisition | For | For | Management |
2 | Adjourn Meeting | For | For | Management |
EXELON CORPORATION
Ticker: EXC Security ID: 30161N101
Meeting Date: APR 02, 2012 Meeting Type: Annual
Record Date: FEB 07, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director John A. Canning, Jr. | For | For | Management |
2 | Elect Director Christopher M. Crane | For | For | Management |
3 | Elect Director M. Walter D'Alessio | For | For | Management |
4 | Elect Director Nicholas DeBenedictis | For | For | Management |
5 | Elect Director Nelson A. Diaz | For | For | Management |
6 | Elect Director Sue L. Gin | For | For | Management |
7 | Elect Director Rosemarie B. Greco | For | For | Management |
8 | Elect Director Paul L. Joskow, Ph. D. | For | For | Management |
9 | Elect Director Richard W. Mies | For | For | Management |
10 | Elect Director John M. Palms, Ph. D. | For | For | Management |
11 | Elect Director William C. Richardson, Ph. D. | For | For | Management |
12 | Elect Director Thomas J. Ridge | For | For | Management |
13 | Elect Director John W. Rogers, Jr. | For | For | Management |
14 | Elect Director John W. Rowe | For | For | Management |
15 | Elect Director Stephen D. Steinour | For | For | Management |
16 | Elect Director Don Thompson | For | For | Management |
17 | Elect Director Ann C. Berzin | For | For | Management |
18 | Elect Director Yves C. de Balmann | For | For | Management |
19 | Elect Director Robert J. Lawless | For | For | Management |
20 | Elect Director Mayo A. Shattuck III | For | For | Management |
21 | Ratify Auditors | For | For | Management |
22 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | Against | Management |
EXXON MOBIL CORPORATION
Ticker: XOM Security ID: 30231G102
Meeting Date: MAY 30, 2012 Meeting Type: Annual
Record Date: APR 04, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1.1 | Elect Director M.J. Boskin | For | For | Management |
1.2 | Elect Director P. Brabeck-Letmathe | For | For | Management |
1.3 | Elect Director L.R. Faulkner | For | For | Management |
1.4 | Elect Director J.S. Fishman | For | For | Management |
1.5 | Elect Director H.H. Fore | For | For | Management |
1.6 | Elect Director K.C. Frazier | For | For | Management |
1.7 | Elect Director W.W. George | For | For | Management |
1.8 | Elect Director S.J. Palmisano | For | For | Management |
1.9 | Elect Director S.S. Reinemund | For | For | Management |
1.10 | Elect Director R.W. Tillerson | For | For | Management |
1.11 | Elect Director E.E. Whitacre, Jr. | For | For | Management |
2 | Ratify Auditors | For | For | Management |
3 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | Against | Management |
4 | Require Independent Board Chairman | Against | For | Shareholder |
5 | Require a Majority Vote for the Election of Directors | Against | For | Shareholder |
6 | Report on Political Contributions | Against | For | Shareholder |
7 | Amend EEO Policy to Prohibit Discrimination based on Sexual Orientation and Gender Identity | Against | Against | Shareholder |
8 | Report on Hydraulic Fracturing Risks to Company | Against | For | Shareholder |
9 | Adopt Quantitative GHG Goals for Products and Operations | Against | For | Shareholder |
FIRSTENERGY CORP.
Ticker: FE Security ID: 337932107
Meeting Date: MAY 15, 2012 Meeting Type: Annual
Record Date: MAR 21, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1.1 | Elect Director Paul T. Addison | For | For | Management |
1.2 | Elect Director Anthony J. Alexander | For | For | Management |
1.3 | Elect Director Michael J. Anderson | For | For | Management |
1.4 | Elect Director Carol A. Cartwright | For | For | Management |
1.5 | Elect Director William T. Cottle | For | For | Management |
1.6 | Elect Director Robert B. Heisler, Jr. | For | For | Management |
1.7 | Elect DirectorJulia L. Johnson | For | For | Management |
1.8 | Elect DirectorTed J. Kleisner | For | For | Management |
1.9 | Elect Director Donald T. Misheff | For | For | Management |
1.10 | Elect Director Ernest J. Novak, Jr. | For | For | Management |
1.11 | Elect Director Christopher D. Pappas | For | For | Management |
1.12 | Elect Director Catherine A. Rein | For | For | Management |
1.13 | Elect Director George M. Smart | For | For | Management |
1.14 | Elect Director Wes M. Taylor | For | For | Management |
2 | Ratify Auditors | For | For | Management |
3 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | Against | Management |
4 | Amend Omnibus Stock Plan | For | For | Management |
5 | Report on Coal Combustion Waste Hazard and Risk Mitigation Efforts | Against | For | Shareholder |
6 | Report on Plans to Reduce Coal-Related Costs and Risks | Against | Against | Shareholder |
7 | Reduce Supermajority Vote Requirement | Against | For | Shareholder |
GENERAL ELECTRIC COMPANY
Ticker: GE Security ID: 369604103
Meeting Date: APR 25, 2012 Meeting Type: Annual
Record Date: FEB 27, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director W. Geoffrey Beattie | For | For | Management |
2 | Elect Director James I. Cash, Jr. | For | For | Management |
3 | Elect Director Ann M. Fudge | For | For | Management |
4 | Elect Director Susan Hockfield | For | For | Management |
5 | Elect Director Jeffrey R. Immelt | For | For | Management |
6 | Elect Director Andrea Jung | For | For | Management |
7 | Elect Director Alan G. Lafley | For | For | Management |
8 | Elect Director Robert W. Lane | For | For | Management |
9 | Elect Director Ralph S. Larsen | For | For | Management |
10 | Elect Director Rochelle B. Lazarus | For | For | Management |
11 | Elect Director James J. Mulva | For | For | Management |
12 | Elect Director Sam Nunn | For | For | Management |
13 | Elect Director Roger S. Penske | For | For | Management |
14 | Elect Director Robert J. Swieringa | For | For | Management |
15 | Elect Director James S. Tisch | For | For | Management |
16 | Elect Director Douglas A. Warner, III | For | For | Management |
17 | Ratify Auditors | For | For | Management |
18 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
19 | Amend Omnibus Stock Plan | For | For | Management |
20 | Approve Material Terms of Senior Officer Performance Goals | For | For | Management |
21 | Provide for Cumulative Voting | Against | For | Shareholder |
22 | Phase Out Nuclear Activities | Against | Against | Shareholder |
23 | Require Independent Board Chairman | Against | Against | Shareholder |
24 | Provide Right to Act by Written Consent | Against | For | Shareholder |
GOLDCORP INC.
Ticker: G Security ID: 380956409
Meeting Date: APR 26, 2012 Meeting Type: Annual/Special
Record Date: MAR 12, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1.1 | Elect Director Ian W. Telfer | For | For | Management |
1.2 | Elect Director Douglas M. Holtby | For | For | Management |
1.3 | Elect Director Charles A. Jeannes | For | For | Management |
1.4 | Elect Director John P. Bell | For | For | Management |
1.5 | Elect Director Lawrence I. Bell | For | For | Management |
1.6 | Elect Director Beverley A. Briscoe | For | For | Management |
1.7 | Elect Director Peter J. Dey | For | For | Management |
1.8 | Elect Director P. Randy Reifel | For | For | Management |
1.9 | Elect Director A. Dan Rovig | For | For | Management |
1.10 | Elect Director Blanca Trevino de Vega | For | For | Management |
1.11 | Elect Director Kenneth F. Williamson | For | For | Management |
2 | Approve Deloitte & Touche LLP as Auditors and Authorize Board to Fix Their Remuneration | For | For | Management |
3 | Re-approve Restricted Share Plan | For | For | Management |
4 | Advisory Vote on Executive Compensation Approach | For | For | Management |
5 | Community-Environment Impact | Against | Against | Shareholder |
HEWLETT-PACKARD COMPANY
Ticker: HPQ Security ID: 428236103
Meeting Date: MAR 21, 2012 Meeting Type: Annual
Record Date: JAN 23, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Marc L. Andreessen | For | For | Management |
2 | Elect Director Shumeet Banerji | For | For | Management |
3 | Elect Director Rajiv L. Gupta | For | For | Management |
4 | Elect Director John H. Hammergren | For | For | Management |
5 | Elect Director Raymond. J. Lane | For | For | Management |
6 | Elect Director Ann M. Livermore | For | For | Management |
7 | Elect Director G. M. Reiner | For | For | Management |
8 | Elect Director Patricia. F. Russo | For | For | Management |
9 | Elect Director G. Kennedy Thompson | For | For | Management |
10 | Elect Director Margaret C. Whitman | For | For | Management |
11 | Elect Director Ralph. V. Whitworth | For | For | Management |
12 | Ratify Auditors | For | For | Management |
13 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
14 | Adopt Retention Ratio for Executives | Against | For | Shareholder |
HONEYWELL INTERNATIONAL INC.
Ticker: HON Security ID: 438516106
Meeting Date: APR 23, 2012 Meeting Type: Annual
Record Date: FEB 24, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Gordon M. Bethune | For | For | Management |
2 | Elect Director Kevin Burke | For | For | Management |
3 | Elect Director Jaime Chico Pardo | For | For | Management |
4 | Elect Director David M. Cote | For | For | Management |
5 | Elect Director D. Scott Davis | For | For | Management |
6 | Elect Director Linnet F. Deily | For | For | Management |
7 | Elect Director Judd Gregg | For | For | Management |
8 | Elect Director Clive R. Hollick | For | For | Management |
9 | Elect Director George Paz | For | For | Management |
10 | Elect Director Bradley T. Sheares | For | For | Management |
11 | Ratify Auditors | For | For | Management |
12 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
13 | Require Independent Board Chairman | Against | For | Shareholder |
14 | Report on Political Contributions | Against | For | Shareholder |
HORIZON TECHNOLOGY FINANCE CORPORATION
Ticker: HRZN Security ID: 44045A102
Meeting Date: JUL 12, 2011 Meeting Type: Special
Record Date: MAY 23, 2011
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Approve Sale of Common Shares Below Net Asset Value | For | For | Management |
INTEL CORPORATION
Ticker: INTC Security ID: 458140100
Meeting Date: MAY 17, 2012 Meeting Type: Annual
Record Date: MAR 19, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Charlene Barshefsky | For | For | Management |
2 | Elect Director Andy D. Bryant | For | For | Management |
3 | Elect Director Susan L. Decker | For | For | Management |
4 | Elect Director John J. Donahoe | For | For | Management |
5 | Elect Director Reed E. Hundt | For | For | Management |
6 | Elect Director Paul S. Otellini | For | For | Management |
7 | Elect Director James D. Plummer | For | For | Management |
8 | Elect Director David S. Pottruck | For | For | Management |
9 | Elect Director Frank D. Yeary | For | For | Management |
10 | Elect Director David B. Yoffie | For | For | Management |
11 | Ratify Auditors | For | For | Management |
12 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
13 | Adopt Proxy Statement Reporting on Political Contributions and Advisory Vote | Against | Against | Shareholder |
INTERNATIONAL BUSINESS MACHINES CORPORATION
Ticker: IBM Security ID: 459200101
Meeting Date: APR 24, 2012 Meeting Type: Annual
Record Date: FEB 24, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Alain J.P. Belda | For | For | Management |
2 | Elect Director William R. Brody | For | For | Management |
3 | Elect Director Kenneth I. Chenault | For | For | Management |
4 | Elect Director Michael L. Eskew | For | For | Management |
5 | Elect Director David N. Farr | For | For | Management |
6 | Elect Director Shirley Ann Jackson | For | For | Management |
7 | Elect Director Andrew N. Liveris | For | For | Management |
8 | Elect Director W. James McNerney, Jr. | For | For | Management |
9 | Elect Director James W. Owens | For | For | Management |
10 | Elect Director Samuel J. Palmisano | For | For | Management |
11 | Elect Director Virginia M. Rometty | For | For | Management |
12 | Elect Director Joan E. Spero | For | For | Management |
13 | Elect Director Sidney Taurel | For | For | Management |
14 | Elect Director Lorenzo H. Zambrano | For | For | Management |
15 | Ratify Auditors | For | For | Management |
16 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
17 | Provide for Cumulative Voting | Against | For | Shareholder |
18 | Report on Political Contributions | Against | Against | Shareholder |
19 | Report on Lobbying Expenses | Against | Against | Shareholder |
INVESCO MORTGAGE CAPITAL INC.
Ticker: IVR Security ID: 46131B100
Meeting Date: MAY 03, 2012 Meeting Type: Annual
Record Date: MAR 05, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director G. Mark Armour | For | For | Management |
2 | Elect Director James S. Balloun | For | For | Management |
3 | Elect Director John S. Day | For | For | Management |
4 | Elect Director Karen Dunn Kelley | For | For | Management |
5 | Elect Director James R. Lientz, Jr. | For | For | Management |
6 | Elect Director Neil Williams | For | For | Management |
7 | Ratify Auditors | For | For | Management |
ITT CORPORATION
Ticker: ITT Security ID: 450911201
Meeting Date: MAY 08, 2012 Meeting Type: Annual
Record Date: MAR 16, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Denise L. Ramos | For | For | Management |
2 | Elect Director Frank T. MacInnis | For | For | Management |
3 | Elect Director Orlando D. Ashford | For | For | Management |
4 | Elect Director Peter D'Aloia | For | For | Management |
5 | Elect Director Donald DeFosset, Jr. | For | For | Management |
6 | Elect Director Christina A. Gold | For | For | Management |
7 | Elect Director General Paul J. Kern | For | For | Management |
8 | Elect Director Linda S. Sanford | For | For | Management |
9 | Elect Director Donald J. Stebbins | For | For | Management |
10 | Elect Director Markos I. Tambakeras | For | For | Management |
11 | Ratify Auditors | For | For | Management |
12 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
13 | Reincorporate in Another State [from Indiana To Delaware] | Against | Against | Shareholder |
14 | Require Independent Board Chairman Amend Human Rights Policies | Against | For | Shareholder |
JOHNSON & JOHNSON
Ticker: JNJ Security ID: 478160104
Meeting Date: APR 26, 2012 Meeting Type: Annual
Record Date: FEB 28, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Mary Sue Coleman | For | For | Management |
2 | Elect Director James G. Cullen | For | For | Management |
3 | Elect Director Ian E.l. Davis | For | For | Management |
4 | Elect Director Alex Gorsky | For | For | Management |
5 | Elect Director Michael M.e. Johns | For | For | Management |
6 | Elect Director Susan L. Lindquist | For | For | Management |
7 | Elect Director Anne M. Mulcahy | For | For | Management |
8 | Elect Director Leo F. Mullin | For | For | Management |
9 | Elect Director William D. Perez | For | For | Management |
10 | Elect Director Charles Prince | For | For | Management |
11 | Elect Director David Satcher | For | For | Management |
12 | Elect Director William C. Weldon | For | For | Management |
13 | Elect Director Ronald A. Williams | For | For | Management |
14 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | Against | Management |
15 | Approve Omnibus Stock Plan | For | For | Management |
16 | Ratify Auditors | For | For | Management |
17 | Require Independent Board Chairman | Against | For | Shareholder |
18 | Require Shareholder Vote to Approve Political Contributions | Against | Against | Shareholder |
19 | Adopt Animal-Free Training Methods | Against | Against | Shareholder |
JPMORGAN CHASE & CO.
Ticker: JPM Security ID: 46625H100
Meeting Date: MAY 15, 2012 Meeting Type: Annual
Record Date: MAR 16, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director James A. Bell | For | For | Management |
2 | Elect Director Crandall C. Bowles | For | For | Management |
3 | Elect Director Stephen B. Burke | For | For | Management |
4 | Elect Director David M. Cote | For | For | Management |
5 | Elect Director James S. Crown | For | For | Management |
6 | Elect Director James Dimon | For | For | Management |
7 | Elect Director Timothy P. Flynn | For | For | Management |
8 | Elect Director Ellen V. Futter | For | For | Management |
9 | Elect Director Laban P. Jackson, Jr. | For | For | Management |
10 | Elect Director Lee R. Raymond | For | For | Management |
11 | Elect Director William C. Weldon | For | For | Management |
12 | Ratify Auditors | For | For | Management |
13 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
14 | Affirm Political Non-Partisanship | Against | Against | Shareholder |
15 | Require Independent Board Chairman | Against | For | Shareholder |
16 | Report on Loan Modifications | Against | Against | Shareholder |
17 | Report on Political Contributions | Against | Against | Shareholder |
18 | Institute Procedures to Prevent Investments in Companies that Contribute to Genocide or Crimes Against Humanity | Against | Against | Shareholder |
19 | Provide Right to Act by Written Consent | Against | For | Shareholder |
20 | Stock Retention | Against | For | Shareholder |
KELLOGG COMPANY
Ticker: K Security ID: 487836108
Meeting Date: APR 20, 2012 Meeting Type: Annual
Record Date: FEB 27, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1.1 | Elect Director Benjamin Carson | For | For | Management |
1.2 | Elect Director John Dillon | For | For | Management |
1.3 | Elect Director Jim Jenness | For | For | Management |
1.4 | Elect Director Don Knauss | For | For | Management |
2 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
3 | Ratify Auditors | For | For | Management |
4 | Declassify the Board of Directors | Against | For | Shareholder |
5 | Reduce Supermajority Vote Requirement | Against | For | Shareholder |
KIMBERLY-CLARK CORPORATION
Ticker: KMB Security ID: 494368103
Meeting Date: MAY 03, 2012 Meeting Type: Annual
Record Date: MAR 05, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director John R. Alm | For | For | Management |
2 | Elect Director John F. Bergstrom | For | For | Management |
3 | Elect Director Abelardo E. Bru | For | For | Management |
4 | Elect Director Robert W. Decherd | For | For | Management |
5 | Elect Director Thomas J. Falk | For | For | Management |
6 | Elect Director Fabian T. Garcia | For | For | Management |
7 | Elect Director Mae C. Jemison, M.D. | For | For | Management |
8 | Elect Director James M. Jenness | For | For | Management |
9 | Elect Director Nancy J. Karch | For | For | Management |
10 | Elect Director Ian C. Read | For | For | Management |
11 | Elect Director Linda Johnson Rice | For | For | Management |
12 | Elect Director Marc J. Shapiro | For | For | Management |
13 | Ratify Auditors | For | For | Management |
14 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
KONINKLIJKE PHILIPS ELECTRONICS
Ticker: PHG Security ID: 500472303
Meeting Date: APR 26, 2012 Meeting Type: Annual
Record Date: MAR 15, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | President's Speech | None | None | Management |
2a | Adopt Financial Statements | For | For | Management |
2b | Receive Explanation on Company's Reserves and Dividend Policy | None | None | Management |
2c | Approve Dividends of EUR 0.75 Per Share | For | For | Management |
2d | Approve Discharge of Management Board | For | For | Management |
2e | Approve Discharge of Supervisory Board | For | For | Management |
3a | Reelect E. Kist to Supervisory Board | For | For | Management |
3b | Elect N. Dhawan to Supervisory Board | For | For | Management |
4a | Grant Board Authority to Issue Shares Up To 10 Percent of Issued Capital Plus Additional 10 Percent in Case of Takeover/Merger and Restricting/Excluding Preemptive Rights | For | For | Management |
4b | Authorize Board to Exclude Preemptive Rights from Issuance under Item 4a | For | For | Management |
5 | Approve Reduction in Share Capital by Cancellation of Shares | For | For | Management |
6 | Authorize Repurchase of Shares | For | For | Management |
7 | Other Business (Non-Voting) | None | None | Management |
KRAFT FOODS INC.
Ticker: KFT Security ID: 50075N104
Meeting Date: MAY 23, 2012 Meeting Type: Annual
Record Date: MAR 15, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Myra M. Hart | For | For | Management |
2 | Elect Director Peter B. Henry | For | For | Management |
3 | Elect Director Lois D. Juliber | For | For | Management |
4 | Elect Director Mark D. Ketchum | For | For | Management |
5 | Elect Director Terry J. Lundgren | For | For | Management |
6 | Elect Director Mackey J. McDonald | For | For | Management |
7 | Elect Director Jorge S. Mesquita | For | For | Management |
8 | Elect Director John C. Pope | For | For | Management |
9 | Elect Director Fredric G. Reynolds | For | For | Management |
10 | Elect Director Irene B. Rosenfeld | For | For | Management |
11 | Elect Director Jean-Francois M.L. van Boxmeer | For | For | Management |
12 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
13 | Change Company Name | For | For | Management |
14 | Ratify Auditors | For | For | Management |
15 | Report on Supply Chain and Deforestation | Against | Against | Shareholder |
16 | Report on Adopting Extended Producer Responsibility Policy | Against | For | Shareholder |
17 | Report on Lobbying Payments and Policy | Against | Against | Shareholder |
LENDER PROCESSING SERVICES, INC.
Ticker: LPS Security ID: 52602E102
Meeting Date: MAY 24, 2012 Meeting Type: Annual
Record Date: MAR 26, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1.1 | Elect Director David K. Hunt | For | For | Management |
1.2 | Elect Director James K. Hunt | For | For | Management |
2 | Ratify Auditors | For | For | Management |
3 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | Against | Management |
LIMITED BRANDS, INC.
Ticker: LTD Security ID: 532716107
Meeting Date: MAY 24, 2012 Meeting Type: Annual
Record Date: APR 04, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director James L. Heskett | For | For | Management |
2 | Elect Director Allan R. Tessler | For | For | Management |
3 | Elect Director Abigail S. Wexner | For | For | Management |
4 | Ratify Auditors | For | For | Management |
5 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
6 | Reduce Supermajority Vote Requirement | For | For | Management |
7 | Require Independent Board Chairman | Against | Against | Shareholder |
8 | Declassify the Board of Directors | Against | For | Shareholder |
9 | Amend Articles/Bylaws/Charter -- Call Special Meetings | Against | For | Shareholder |
10 | Stock Retention/Holding Period | Against | For | Shareholder |
MATTEL, INC.
Ticker: MAT Security ID: 577081102
Meeting Date: MAY 10, 2012 Meeting Type: Annual
Record Date: MAR 16, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Michael J. Dolan | For | For | Management |
2 | Elect Director Robert A. Eckert | For | For | Management |
3 | Elect Director Trevor A. Edwards | For | For | Management |
4 | Elect Director Frances D. Fergusson | For | For | Management |
5 | Elect Director Dominic Ng | For | For | Management |
6 | Elect Director Vasant M. Prabhu | For | For | Management |
7 | Elect Director Andrea L. Rich | For | For | Management |
8 | Elect Director Dean A. Scarborough | For | For | Management |
9 | Elect Director Christopher A. Sinclair | For | For | Management |
10 | Elect Director Bryan G. Stockton | For | For | Management |
11 | Elect Director Dirk Van de Put | For | For | Management |
12 | Elect Director Kathy White Loyd | For | For | Management |
13 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
14 | Approve Executive Incentive Bonus Plan | For | For | Management |
15 | Ratify Auditors | For | For | Management |
MCDONALD'S CORPORATION
Ticker: MCD Security ID: 580135101
Meeting Date: MAY 24, 2012 Meeting Type: Annual
Record Date: MAR 27, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Robert A. Eckert | For | For | Management |
2 | Elect Director Enrique Hernandez, Jr. | For | For | Management |
3 | Elect Director Jeanne P. Jackson | For | For | Management |
4 | Elect Director Andrew J. Mckenna | For | For | Management |
5 | Elect Director Donald Thompson | For | For | Management |
6 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
7 | Approve Omnibus Stock Plan | For | For | Management |
8 | Declassify the Board of Directors | For | For | Management |
9 | Provide Right to Call Special Meeting | For | For | Management |
10 | Ratify Auditors | For | For | Management |
11 | Report on Policy Responses to Children's Health Concerns and Fast Food | Against | Against | Shareholder |
MERCK & CO., INC.
Ticker: MRK Security ID: 58933Y105
Meeting Date: MAY 22, 2012 Meeting Type: Annual
Record Date: MAR 23, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Leslie A. Brun | For | For | Management |
2 | Elect Director Thomas R. Cech | For | For | Management |
3 | Elect Director Kenneth C. Frazier | For | For | Management |
4 | Elect Director Thomas H. Glocer | For | For | Management |
5 | Elect Director William B. Harrison Jr. | For | For | Management |
6 | Elect Director C. Robert Kidder | For | For | Management |
7 | Elect Director Rochelle B. Lazarus | For | For | Management |
8 | Elect Director Carlos E. Represas | For | For | Management |
9 | Elect Director Patricia F. Russo | For | For | Management |
10 | Elect Director Craig B. Thompson | For | For | Management |
11 | Elect Director Wendell P. Weeks | For | For | Management |
12 | Elect Director Peter C. Wendell | For | For | Management |
13 | Ratify Auditors | For | For | Management |
14 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
15 | Provide Right to Act by Written Consent | Against | For | Shareholder |
16 | Amend Bylaws -- Call Special Meetings | Against | For | Shareholder |
17 | Report on Charitable and Political Contributions | Against | Against | Shareholder |
METLIFE, INC.
Ticker: MET Security ID: 59156R108
Meeting Date: APR 24, 2012 Meeting Type: Annual
Record Date: MAR 01, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1.1 | Elect Director John M. Keane | For | For | Management |
1.2 | Elect Director Catherine R. Kinney | For | For | Management |
1.3 | Elect Director Hugh B. Price | For | For | Management |
1.4 | Elect Director Kenton J. Sicchitano | For | For | Management |
2 | Ratify Auditors | For | For | Management |
3 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
MFA FINANCIAL, INC.
Ticker: MFA Security ID: 55272X102
Meeting Date: MAY 22, 2012 Meeting Type: Annual
Record Date: MAR 26, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1.1 | Elect Director Michael L. Dahir | For | For | Management |
1.2 | Elect Director Robin Josephs | For | For | Management |
1.3 | Elect Director George H. Krauss | For | For | Management |
2 | Ratify Auditors | For | For | Management |
3 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
MICROCHIP TECHNOLOGY INCORPORATED
Ticker: MCHP Security ID: 595017104
Meeting Date: AUG 19, 2011 Meeting Type: Annual
Record Date: JUN 24, 2011
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1.1 | Elect Director Steve Sanghi | For | For | Management |
1.2 | Elect Director Albert J. Hugo-Martinez | For | For | Management |
1.3 | Elect Director L.b. Day | For | For | Management |
1.4 | Elect Director Matthew W. Chapman | For | For | Management |
1.5 | Elect Director Wade F. Meyercord | For | For | Management |
2 | Amend Executive Incentive Bonus Plan | For | For | Management |
3 | Ratify Auditors | For | For | Management |
4 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
5 | Advisory Vote on Say on Pay Frequency | Three Years | One Year | Management |
MICROSOFT CORPORATION
Ticker: MSFT Security ID: 594918104
Meeting Date: NOV 15, 2011 Meeting Type: Annual
Record Date: SEP 02, 2011
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Steven A. Ballmer | For | For | Management |
2 | Elect Director Dina Dublon | For | For | Management |
3 | Elect Director William H. Gates, III | For | For | Management |
4 | Elect Director Raymond V. Gilmartin | For | For | Management |
5 | Elect Director Reed Hastings | For | For | Management |
6 | Elect Director Maria M. Klawe | For | For | Management |
7 | Elect Director David F. Marquardt | For | For | Management |
8 | Elect Director Charles H. Noski | For | For | Management |
9 | Elect Director Helmut Panke | For | For | Management |
10 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
11 | Advisory Vote on Say on Pay Frequency | One Year | One Year | Management |
12 | Ratify Auditors | For | For | Management |
13 | Amend Bylaws to Establish a Board Committee on Environmental Sustainability | Against | Against | Shareholder |
MOLSON COORS BREWING COMPANY
Ticker: TAP Security ID: 60871R209
Meeting Date: MAY 30, 2012 Meeting Type: Annual
Record Date: APR 02, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1.1 | Elect Director Charles M. Herington | For | Withhold | Management |
1.2 | Elect Director H. Sanford Riley | For | Withhold | Management |
NEWMONT MINING CORPORATION
Ticker: NEM Security ID: 651639106
Meeting Date: APR 24, 2012 Meeting Type: Annual
Record Date: FEB 24, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1.1 | Elect Director Bruce R. Brook | For | For | Management |
1.2 | Elect Director Vincent A. Calarco | For | For | Management |
1.3 | Elect Director Joseph A. Carrabba | For | For | Management |
1.4 | Elect Director Noreen Doyle | For | For | Management |
1.5 | Elect Director Veronica M. Hagen | For | For | Management |
1.6 | Elect Director Michael S. Hamson | For | For | Management |
1.7 | Elect Director Jane Nelson | For | For | Management |
1.8 | Elect Director Richard T. O'Brien | For | For | Management |
1.9 | Elect Director John B. Prescott | For | For | Management |
1.10 | Elect Director Donald C. Roth | For | For | Management |
1.11 | Elect Director Simon R. Thompson | For | For | Management |
2 | Ratify Auditors | For | For | Management |
3 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
4 | Other Business | For | Against | Management |
NOKIA CORP.
Ticker: NOK1V Security ID: 654902204
Meeting Date: MAY 03, 2012 Meeting Type: Annual
Record Date: FEB 27, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Open Meeting | None | None | Management |
2 | Call the Meeting to Order | None | None | Management |
3 | Designate Inspector or Shareholder Representative(s) of Minutes of Meeting | None | None | Management |
4 | Acknowledge Proper Convening of Meeting | None | None | Management |
5 | Acknowledge Proper Convening of Meeting | None | None | Management |
6 | Receive Financial Statements and Statutory Reports; Receive CEO's Review | None | None | Management |
7 | Accept Financial Statements and Statutory Reports | For | For | Management |
8 | Approve Allocation of Income and Dividends of EUR 0.20 Per Share | For | For | Management |
9 | Approve Discharge of Board and President | For | For | Management |
10 | Approve Remuneration of Directors in the Amount of EUR 440,000 for the Chairman, EUR 150,000 for Deputy Chairman, and EUR 130,000 for Other Directors | For | For | Management |
11 | Fix Number of Directors at 11 | For | For | Management |
12.1 | Elect Bruce Brown as Director | For | For | Management |
12.2 | Elect Stephen Elop as Director | For | For | Management |
12.3 | Elect Henning Kagermann as Director | For | For | Management |
12.4 | Elect Jouko Karvinen as Director | For | For | Management |
12.5 | Elect Helge Lund as Director | For | For | Management |
12.6 | Elect Isabel Marey-Semper as Director | For | For | Management |
12.7 | Elect Marten Mickos as Director | For | For | Management |
12.8 | Elect Elizabeth Nelson as Director | For | For | Management |
12.9 | Elect Dame Marjorie Scardino as Director | For | For | Management |
12.10 | Elect Risto Siilasmaa as Director | For | For | Management |
12.11 | Elect Kari Stadigh as Director | For | For | Management |
13 | Approve Remuneration of Auditors | For | For | Management |
14 | Ratify PricewaterhouseCoopers as Auditors | For | For | Management |
15 | Authorize Share Repurchase Program | For | For | Management |
16 | Close Meeting | None | None | Management |
NORDIC AMERICAN TANKERS LTD.
Ticker: NAT Security ID: G65773106
Meeting Date: MAY 21, 2012 Meeting Type: Annual
Record Date: APR 10, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1.1 | Elect Herbjorn Hansson as Director | For | Withhold | Management |
1.2 | Elect David Gibbons as Director | For | For | Management |
1.3 | Elect Andreas Ove Ugland as Director | For | For | Management |
1.4 | Elect Jim Kelly as Director | For | For | Management |
1.5 | Elect Jan Erik Langangen as Director | For | Withhold | Management |
1.6 | Elect Paul J. Hopkins as Director | For | For | Management |
1.7 | Elect Richard H. K. Vietor as Director | For | For | Management |
2 | Ratify Deloitte AS as Auditors | For | For | Management |
3 | Approve Reduction of Share Premium Account by $75.5 Million | For | For | Management |
4 | Receive Financial Statements and Statutory Reports (Non-Voting) | None | None | Management |
5 | Transact Other Business (Non-Voting) | None | None | Management |
NYSE EURONEXT
Ticker: NYX Security ID: 629491101
Meeting Date: JUL 07, 2011 Meeting Type: Special
Record Date: MAY 09, 2011
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Approve Merger Agreement | For | For | Management |
2 | Reduce Supermajority Vote Requirement to Amend Articles and Approve Certain Transactions | For | For | Management |
3 | Reduce Supermajority Vote Requirement to Elect Directors in Certain Circumstances and Remove Directors | For | For | Management |
4 | Approve Appointment of Directors for Initial Term Expiring at the AGM in 2015 | For | For | Management |
5 | Adjourn Meeting | For | For | Management |
NYSE EURONEXT
Ticker: NYX Security ID: 629491101
Meeting Date: APR 26, 2012 Meeting Type: Annual
Record Date: FEB 28, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Andre Bergen | For | For | Management |
2 | Elect Director Ellyn L. Brown | For | For | Management |
3 | Elect Director Marshall N. Carter | For | For | Management |
4 | Elect Director Dominique Cerutti | For | For | Management |
5 | Elect Director Patricia M. Cloherty | For | For | Management |
6 | Elect Director George Cox | For | For | Management |
7 | Elect Director Sylvain Hefes | For | For | Management |
8 | Elect Director Jan-Michiel Hessels | For | For | Management |
9 | Elect Director Duncan M. McFarland | For | For | Management |
10 | Elect Director James J. McNulty | For | For | Management |
11 | Elect Director Duncan L. Niederauer | For | For | Management |
12 | Elect Director Ricardo Salgado | For | Against | Management |
13 | Elect Director Robert G. Scott | For | For | Management |
14 | Elect Director Jackson P. Tai | For | For | Management |
15 | Elect Director Rijnhard van Tets | For | For | Management |
16 | Elect Director Brian Williamson | For | For | Management |
17 | Ratify Auditors | For | For | Management |
18 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | Against | Management |
19 | Call Special Meetings | Against | For | Shareholder |
OCCIDENTAL PETROLEUM CORPORATION
Ticker: OXY Security ID: 674599105
Meeting Date: MAY 04, 2012 Meeting Type: Annual
Record Date: MAR 13, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Spencer Abraham | For | For | Management |
2 | Elect Director Howard I. Atkins | For | For | Management |
3 | Elect Director Stephen I. Chazen | For | For | Management |
4 | Elect Director Edward P. Djerejian | For | For | Management |
5 | Elect Director John E. Feick | For | For | Management |
6 | Elect Director Margaret M. Foran | For | For | Management |
7 | Elect Director Carlos M. Gutierrez | For | For | Management |
8 | Elect Director Ray R. Irani | For | For | Management |
9 | Elect Director Avedick B. Poladian | For | For | Management |
10 | Elect Director Aziz D. Syriani | For | For | Management |
11 | Elect Director Rosemary Tomich | For | For | Management |
12 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
13 | Ratify Auditors | For | For | Management |
14 | Request Director Nominee with Environmental Qualifications | Against | Against | Shareholder |
PACCAR INC
Ticker: PCAR Security ID: 693718108
Meeting Date: APR 24, 2012 Meeting Type: Annual
Record Date: FEB 27, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1.1 | Elect Director Mark C. Pigott | For | For | Management |
1.2 | Elect Director Warren R. Staley | For | For | Management |
1.3 | Elect Director Charles R. Williamson | For | For | Management |
2 | Require a Majority Vote for the Election of Directors | For | For | Shareholder |
3 | Reduce Supermajority Vote Requirement | Against | For | Shareholder |
4 | Declassify the Board of Directors | Against | For | Shareholder |
PAYCHEX, INC.
Ticker: PAYX Security ID: 704326107
Meeting Date: OCT 11, 2011 Meeting Type: Annual
Record Date: AUG 12, 2011
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director B. Thomas Golisano | For | For | Management |
2 | Elect Director Joseph G. Doody | For | For | Management |
3 | Elect Director David J. S. Flaschen | For | For | Management |
4 | Elect Director Phillip Horsley | For | For | Management |
5 | Elect Director Grant M. Inman | For | For | Management |
6 | Elect Director Pamela A. Joseph | For | For | Management |
7 | Elect Director Martin Mucci | For | For | Management |
8 | Elect Director Joseph M. Tucci | For | For | Management |
9 | Elect Director Joseph M. Velli | For | For | Management |
10 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
11 | Advisory Vote on Say on Pay Frequency | One Year | One Year | Management |
12 | Ratify Auditors | For | For | Management |
PEOPLE'S UNITED FINANCIAL, INC.
Ticker: PBCT Security ID: 712704105
Meeting Date: APR 19, 2012 Meeting Type: Annual
Record Date: FEB 23, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1.1 | Elect Director George P. Carter | For | For | Management |
1.2 | Elect Director Jerry Franklin | For | For | Management |
1.3 | Elect Director Kirk W. Walters | For | For | Management |
2 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
3 | Approve Executive Incentive Bonus Plan | For | For | Management |
4 | Ratify Auditors | For | For | Management |
5 | Declassify the Board of Directors | None | For | Shareholder |
PEPSICO, INC.
Ticker: PEP Security ID: 713448108
Meeting Date: MAY 02, 2012 Meeting Type: Annual
Record Date: MAR 02, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Shona L. Brown | For | For | Management |
2 | Elect Director Ian M. Cook | For | For | Management |
3 | Elect Director Dina Dublon | For | For | Management |
4 | Elect Director Victor J. Dzau | For | For | Management |
5 | Elect Director Ray L. Hunt | For | For | Management |
6 | Elect Director Alberto Ibarguen | For | For | Management |
7 | Elect Director Indra K. Nooyi | For | For | Management |
8 | Elect Director Sharon Percy Rockefeller | For | For | Management |
9 | Elect Director James J. Schiro | For | For | Management |
10 | Elect Director Lloyd G. Trotter | For | For | Management |
11 | Elect Director Daniel Vasella | For | For | Management |
12 | Elect Director Alberto Weisser | For | For | Management |
13 | Ratify Auditors | For | For | Management |
14 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
15 | Amend Omnibus Stock Plan | For | For | Management |
16 | Report on Lobbying Payments and Policy | Against | Against | Shareholder |
17 | Establish Risk Oversight Committee | Against | Against | Shareholder |
18 | Require Independent Board Chairman | Against | For | Shareholder |
PFIZER INC.
Ticker: PFE Security ID: 717081103
Meeting Date: APR 26, 2012 Meeting Type: Annual
Record Date: FEB 28, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Dennis A. Ausiello | For | For | Management |
2 | Elect Director M. Anthony Burns | For | For | Management |
3 | Elect Director W. Don Cornwell | For | For | Management |
4 | Elect Director Frances D. Fergusson | For | For | Management |
5 | Elect Director William H. Gray, III | For | For | Management |
6 | Elect Director Helen H. Hobbs | For | For | Management |
7 | Elect Director Constance J. Horner | For | For | Management |
8 | Elect Director James M. Kilts | For | For | Management |
9 | Elect Director George A. Lorch | For | For | Management |
10 | Elect Director John P. Mascotte | For | For | Management |
11 | Elect Director Suzanne Nora Johnson | For | For | Management |
12 | Elect Director Ian C. Read | For | For | Management |
13 | Elect Director Stephen W. Sanger | For | For | Management |
14 | Elect Director Marc Tessier-Lavigne | For | For | Management |
15 | Ratify Auditors | For | For | Management |
16 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
17 | Publish Political Contributions | Against | Against | Shareholder |
18 | Provide Right to Act by Written Consent | Against | For | Shareholder |
19 | Amend Articles/Bylaws/Charter -- Call Special Meetings | Against | For | Shareholder |
20 | Non-Employee Director Compensation | Against | Against | Shareholder |
PPG INDUSTRIES, INC.
Ticker: PPG Security ID: 693506107
Meeting Date: APR 19, 2012 Meeting Type: Annual
Record Date: FEB 17, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1.1 | Elect Director Charles E. Bunch | For | For | Management |
1.2 | Elect Director Robert Ripp | For | For | Management |
1.3 | Elect Director Thomas J. Usher | For | For | Management |
1.4 | Elect Director David R. Whitwam | For | For | Management |
2 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
3 | Declassify the Board of Directors | For | For | Management |
4 | Ratify Auditors | For | For | Management |
QUALCOMM INCORPORATED
Ticker: QCOM Security ID: 747525103
Meeting Date: MAR 06, 2012 Meeting Type: Annual
Record Date: JAN 09, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1.1 | Elect Director Barbara T. Alexander | For | For | Management |
1.2 | Elect Director Stephen M. Bennett | For | For | Management |
1.3 | Elect Director Donald G. Cruickshank | For | For | Management |
1.4 | Elect Director Raymond V. Dittamore | For | For | Management |
1.5 | Elect Director Thomas W. Horton | For | For | Management |
1.6 | Elect Director Paul E. Jacobs | For | For | Management |
1.7 | Elect Director Robert E. Kahn | For | For | Management |
1.8 | Elect Director Sherry Lansing | For | For | Management |
1.9 | Elect Director Duane A. Nelles | For | For | Management |
1.10 | Elect Director Francisco Ros | For | For | Management |
1.11 | Elect Director Brent Scowcroft | For | For | Management |
1.12 | Elect Director Marc I. Stern | For | For | Management |
2 | Ratify Auditors | For | For | Management |
3 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | Against | Management |
4 | Eliminate Provision Relating to Plurality Voting for the Election of Directors | For | For | Management |
SANOFI
Ticker: SAN Security ID: 80105N105
Meeting Date: MAY 04, 2012 Meeting Type: Annual/Special
Record Date: MAR 26, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Approve Financial Statements and Statutory Reports | For | For | Management |
2 | Approve Consolidated Financial Statements and Statutory Reports | For | For | Management |
3 | Approve Allocation of Income and Dividends of EUR 2.65 per Share | For | For | Management |
4 | Elect Laurent Attal as Director | For | For | Management |
5 | Reelect Uwe Bicker as Director | For | For | Management |
6 | Reelect Jean Rene Fourtou as Director | For | For | Management |
7 | Reelect Claudie Haignere as Director | For | For | Management |
8 | Reelect Carole Piwnica as Director | For | For | Management |
9 | Reelect Klaus Pohle as Director | For | For | Management |
10 | Appoint Ernst & Young et Autres as Auditor | For | For | Management |
11 | Appoint Auditex as Alternate Auditor | For | For | Management |
12 | Ratify Change of Registered Office to 54, rue La Boetie, 75008 Paris and Amend Article 4 of Bylaws Accordingly | For | For | Management |
13 | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | For | For | Management |
14 | Authorize up to 1.2 Percent of Issued Capital for Use in Restricted Stock Plan | For | For | Management |
15 | Authorize Filing of Required Documents/Other Formalities | For | For | Management |
SOLAR CAPITAL LTD.
Ticker: SLRC Security ID: 83413U100
Meeting Date: MAY 03, 2012 Meeting Type: Annual
Record Date: MAR 08, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1.1 | Elect Director Michael S. Gross | For | For | Management |
1.2 | Elect Director Leonard A. Potter | For | For | Management |
2 | Approve Issuance of Shares Below Net Asset Value | For | For | Management |
STAPLES, INC.
Ticker: SPLS Security ID: 855030102
Meeting Date: JUN 04, 2012 Meeting Type: Annual
Record Date: APR 09, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Basil L. Anderson | For | For | Management |
2 | Elect Director Arthur M. Blank | For | For | Management |
3 | Elect Director Drew G. Faust | For | For | Management |
4 | Elect Director Justin King | For | For | Management |
5 | Elect Director Carol Meyrowitz | For | For | Management |
6 | Elect Director Rowland T. Moriarty | For | For | Management |
7 | Elect Director Robert C. Nakasone | For | For | Management |
8 | Elect Director Ronald L. Sargent | For | For | Management |
9 | Elect Director Elizabeth A. Smith | For | For | Management |
10 | Elect Director Robert E. Sulentic | For | For | Management |
11 | Elect Director Vijay Vishwanath | For | For | Management |
12 | Elect Director Paul F. Walsh | For | For | Management |
13 | Provide Right to Act by Written Consent | For | For | Management |
14 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | Against | Management |
15 | Amend Executive Incentive Bonus Plan | For | For | Management |
16 | Amend Executive Incentive Bonus Plan | For | For | Management |
17 | Approve Qualified Employee Stock Purchase Plan | For | For | Management |
18 | Ratify Auditors | For | For | Management |
19 | Stock Retention/Holding Period | Against | For | Shareholder |
STAR ASIA FIN LTD
Ticker: Security ID: 855082301
Meeting Date: SEP 14, 2011 Meeting Type: Annual
Record Date: AUG 03, 2011
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Accept Financial Statements and Statutory Reports | For | For | Management |
2.1 | Reelect Talmai Morgan as Director | For | Withhold | Management |
2.2 | Reelect Roger Phillips as Director | For | Withhold | Management |
2.3 | Reelect Daniel Cohen as Director | For | Withhold | Management |
3 | Reappoint Grant Thornton LLP as Auditors and Authorize Board to Fix Their Remuneration | For | For | Management |
STMICROELECTRONICS NV
Ticker: STM Security ID: 861012102
Meeting Date: MAY 30, 2012 Meeting Type: Annual
Record Date: MAY 02, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Open Meeting | None | None | Management |
2 | Receive Report of Management Board | None | None | Management |
3 | Receive Report of Supervisory Board | None | None | Management |
4a | Adopt Financial Statements | For | For | Management |
4b | Approve Allocation of Income and Dividends of USD 0.40 per Share | For | For | Management |
4c | Approve Discharge of Management Board | For | For | Management |
4d | Approve Discharge of Supervisory Board | For | For | Management |
5a | Approve Executive Incentive Bonus Plan | For | Against | Management |
5b | Approve Restricted Stock Grants | For | Against | Management |
6 | Elect M. Verluyten to Supervisory Board | For | For | Management |
7 | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | For | For | Management |
8 | Allow Questions | None | None | Management |
9 | Close Meeting | None | None | Management |
TARGET CORPORATION
Ticker: TGT Security ID: 87612E106
Meeting Date: JUN 13, 2012 Meeting Type: Annual
Record Date: APR 16, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1.1 | Elect Director Roxanne S. Austin | For | For | Management |
1.2 | Elect Director Calvin Darden | For | For | Management |
1.3 | Elect Director Mary N. Dillon | For | For | Management |
1.4 | Elect Director James A. Johnson | For | For | Management |
1.5 | Elect Director Mary E. Minnick | For | For | Management |
1.6 | Elect Director Anne M. Mulcahy | For | For | Management |
1.7 | Elect Director Derica W. Rice | For | For | Management |
1.8 | Elect Director Stephen W. Sanger | For | For | Management |
1.9 | Elect Director Gregg W. Steinhafel | For | For | Management |
1.10 | Elect Director John G. Stumpf | For | For | Management |
1.11 | Elect Director Solomon D. Trujillo | For | For | Management |
2 | Ratify Auditors | For | For | Management |
3 | Approve Executive Incentive Bonus Plan | For | For | Management |
4 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
5 | Report on Electronics Recycling and Preventing E-Waste Export | Against | Against | Shareholder |
6 | Prohibit Political Contributions | Against | Against | Shareholder |
THE COCA-COLA COMPANY
Ticker: KO Security ID: 191216100
Meeting Date: APR 25, 2012 Meeting Type: Annual
Record Date: FEB 27, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Herbert A. Allen | For | For | Management |
2 | Elect Director Ronald W. Allen | For | Against | Management |
3 | Elect Director Howard G. Buffett | For | For | Management |
4 | Elect Director Richard M. Daley | For | For | Management |
5 | Elect Director Barry Diller | For | For | Management |
6 | Elect Director Evan G. Greenberg | For | For | Management |
7 | Elect Director Alexis M. Herman | For | For | Management |
8 | Elect Director Muhtar Kent | For | For | Management |
9 | Elect Director Donald R. Keough | For | For | Management |
10 | Elect Director Robert A. Kotick | For | For | Management |
11 | Elect Director Maria Elena Lagomasino | For | For | Management |
12 | Elect Director Donald F. McHenry | For | For | Management |
13 | Elect Director Sam Nunn | For | For | Management |
14 | Elect Director James D. Robinson, III | For | For | Management |
15 | Elect Director Peter V. Ueberroth | For | For | Management |
16 | Elect Director Jacob Wallenberg | For | For | Management |
17 | Elect Director James B. Williams | For | For | Management |
18 | Ratify Auditors | For | For | Management |
19 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
THE DOW CHEMICAL COMPANY
Ticker: DOW Security ID: 260543103
Meeting Date: MAY 10, 2012 Meeting Type: Annual
Record Date: MAR 19, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Arnold A. Allemang | For | For | Management |
2 | Elect Director Jacqueline K. Barton | For | For | Management |
3 | Elect Director James A. Bell | For | For | Management |
4 | Elect Director Jeff M. Fettig | For | For | Management |
5 | Elect Director John B. Hess | For | For | Management |
6 | Elect Director Andrew N. Liveris | For | For | Management |
7 | Elect Director Paul Polman | For | For | Management |
8 | Elect Director Dennis H. Reilley | For | For | Management |
9 | Elect Director James M. Ringler | For | For | Management |
10 | Elect Director Ruth G. Shaw | For | For | Management |
11 | Ratify Auditors | For | For | Management |
12 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
13 | Approve Omnibus Stock Plan | For | For | Management |
14 | Approve Nonqualified Employee Stock Purchase Plan | For | For | Management |
15 | Provide Right to Act by Written Consent | Against | For | Shareholder |
16 | Require Independent Board Chairman | Against | Against | Shareholder |
THE KROGER CO.
Ticker: KR Security ID: 501044101
Meeting Date: JUN 21, 2012 Meeting Type: Annual
Record Date: APR 23, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Reuben V. Anderson | For | For | Management |
2 | Elect Director Robert D. Beyer | For | For | Management |
3 | Elect Director David B. Dillon | For | For | Management |
4 | Elect Director Susan J. Kropf | For | For | Management |
5 | Elect Director John T. LaMacchia | For | For | Management |
6 | Elect Director David B. Lewis | For | For | Management |
7 | Elect Director W. Rodney McMullen | For | For | Management |
8 | Elect Director Jorge P. Montoya | For | For | Management |
9 | Elect Director Clyde R. Moore | For | For | Management |
10 | Elect Director Susan M. Phillips | For | For | Management |
11 | Elect Director Steven R. Rogel | For | For | Management |
12 | Elect Director James A. Runde | For | For | Management |
13 | Elect Director Ronald L. Sargent | For | For | Management |
14 | Elect Director Bobby S. Shackouls | For | For | Management |
15 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
16 | Ratify Auditors | For | For | Management |
17 | Adopt ILO Based Code of Conduct | Against | Against | Shareholder |
18 | Report on Adopting Extended Producer Responsibility Policy | Against | Against | Shareholder |
THE SOUTHERN COMPANY
Ticker: SO Security ID: 842587107
Meeting Date: MAY 23, 2012 Meeting Type: Annual
Record Date: MAR 26, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Juanita Powell Baranco | For | For | Management |
2 | Elect Director Jon A. Boscia | For | For | Management |
3 | Elect Director Henry A. Clark, III | For | For | Management |
4 | Elect Director Thomas A. Fanning | For | For | Management |
5 | Elect Director H. William Habermeyer, Jr. | For | For | Management |
6 | Elect Director Veronica M. Hagen | For | For | Management |
7 | Elect Director Warren A. Hood, Jr. | For | For | Management |
8 | Elect Director Donald M. James | For | For | Management |
9 | Elect Director Dale E. Klein | For | For | Management |
10 | Elect Director William G. Smith, Jr. | For | For | Management |
11 | Elect Director Steven R. Specker | For | For | Management |
12 | Elect Director Larry D. Thompson | For | For | Management |
13 | Elect Director E. Jenner Wood, III | For | For | Management |
14 | Ratify Auditors | For | For | Management |
15 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
16 | Report on Coal Combustion Waste Hazard and Risk Mitigation Efforts | Against | For | Shareholder |
17 | Report on Lobbying Payments and Policy | Against | Against | Shareholder |
TIME WARNER INC.
Ticker: TWX Security ID: 887317303
Meeting Date: MAY 15, 2012 Meeting Type: Annual
Record Date: MAR 22, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director James L. Barksdale | For | For | Management |
2 | Elect Director William P. Barr | For | For | Management |
3 | Elect Director Jeffrey L. Bewkes | For | For | Management |
4 | Elect Director Stephen F. Bollenbach | For | For | Management |
5 | Elect Director Robert C. Clark | For | For | Management |
6 | Elect Director Mathias Dopfner | For | For | Management |
7 | Elect Director Jessica P. Einhorn | For | For | Management |
8 | Elect Director Fred Hassan | For | For | Management |
9 | Elect Director Kenneth J. Novack | For | For | Management |
10 | Elect Director Paul D. Wachter | For | For | Management |
11 | Elect Director Deborah C. Wright | For | For | Management |
12 | Ratify Auditors | For | For | Management |
13 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
14 | Provide Right to Act by Written Consent | Against | For | Shareholder |
UNITED TECHNOLOGIES CORPORATION
Ticker: UTX Security ID: 913017109
Meeting Date: APR 11, 2012 Meeting Type: Annual
Record Date: FEB 15, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Louis R. Chenevert | For | For | Management |
2 | Elect Director John V. Faraci | For | For | Management |
3 | Elect Director Jean-Pierre Garnier, Ph. D. | For | For | Management |
4 | Elect Director Jamie S. Gorelick | For | For | Management |
5 | Elect Director Edward A. Kangas | For | For | Management |
6 | Elect Director Ellen J. Kullman | For | For | Management |
7 | Elect Director Richard D. McCormick | For | For | Management |
8 | Elect Director Harold McGraw, III | For | For | Management |
9 | Elect Director Richard B. Myers | For | For | Management |
10 | Elect Director H. Patrick Swygert | For | For | Management |
11 | Elect Director Andre Villeneuve | For | For | Management |
12 | Elect Director Christine Todd Whitman | For | For | Management |
13 | Ratify Auditors | For | For | Management |
14 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | Against | Management |
VERIZON COMMUNICATIONS INC.
Ticker: VZ Security ID: 92343V104
Meeting Date: MAY 03, 2012 Meeting Type: Annual
Record Date: MAR 05, 2012
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Elect Director Richard L. Carrion | For | For | Management |
2 | Elect Director Melanie L. Healey | For | For | Management |
3 | Elect Director M. Frances Keeth | For | For | Management |
4 | Elect Director Robert W. Lane | For | For | Management |
5 | Elect Director Lowell C. McAdam | For | For | Management |
6 | Elect Director Sandra O. Moose | For | For | Management |
7 | Elect Director Joseph Neubauer | For | For | Management |
8 | Elect Director Donald T. Nicolaisen | For | For | Management |
9 | Elect Director Clarence Otis, Jr. | For | For | Management |
10 | Elect Director Hugh B. Price | For | For | Management |
11 | Elect Director Rodney E. Slater | For | For | Management |
12 | Ratify Auditors | For | For | Management |
13 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | For | Management |
14 | Disclose Prior Government Service | Against | Against | Shareholder |
15 | Report on Lobbying Payments and Policy | Against | For | Shareholder |
16 | Performance-Based and/or Time-Based Equity Awards | Against | For | Shareholder |
17 | Amend Articles/Bylaws/Charter -- Call Special Meetings | Against | For | Shareholder |
18 | Provide Right to Act by Written Consent | Against | For | Shareholder |
19 | Commit to Wireless Network Neutrality | Against | Against | Shareholder |
VODAFONE GROUP PLC
Ticker: VOD Security ID: 92857W209
Meeting Date: JUL 26, 2011 Meeting Type: Annual
Record Date: JUN 03, 2011
# | Proposal | Mgt Rec | Vote Cast | Sponsor |
1 | Accept Financial Statements and Statutory Reports | For | For | Management |
2 | Elect Gerard Kleisterlee as Director | For | For | Management |
3 | Re-elect John Buchanan as Director | For | For | Management |
4 | Re-elect Vittorio Colao as Director | For | For | Management |
5 | Re-elect Michel Combes as Director | For | For | Management |
6 | Re-elect Andy Halford as Director | For | For | Management |
7 | Re-elect Stephen Pusey as Director | For | For | Management |
8 | Elect Renee James as Director | For | For | Management |
9 | Re-elect Alan Jebson as Director | For | For | Management |
10 | Re-elect Samuel Jonah as Director | For | For | Management |
11 | Re-elect Nick Land as Director | For | For | Management |
12 | Re-elect Anne Lauvergeon as Director | For | For | Management |
13 | Re-elect Luc Vandevelde as Director | For | For | Management |
14 | Re-elect Anthony Watson as Director | For | For | Management |
15 | Re-elect Philip Yea as Director | For | For | Management |
16 | Approve Final Dividend | For | For | Management |
17 | Approve Remuneration Report | For | For | Management |
18 | Reappoint Deloitte LLP as Auditors | For | For | Management |
19 | Authorise Audit Committee to Fix Remuneration of Auditors | For | For | Management |
20 | Authorise Issue of Equity with Pre-emptive Rights | For | For | Management |
21 | Authorise Issue of Equity without Pre-emptive Rights | For | For | Management |
22 | Authorise Market Purchase | For | For | Management |
23 | Authorise the Company to Call EGM with Two Weeks' Notice | For | For | Management |
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.
Dividend and Income Fund
By: | /s/ John F. Ramirez |
John F. Ramírez, Chief Compliance Officer | |
Date: August 27, 2012 | |