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: 811-09815
THE ARBITRAGE FUNDS
(exact name of registrant as specified in charter)
41 Madison Avenue, 42nd Floor, New York, NY 10010
(Address of principal executive offices) (Zip code)
John S. Orrico
Water Island Capital, LLC
41 Madison Avenue
42nd Floor
New York, NY 10010
(Name and address of agent for service)
Registrant’s Telephone Number, including Area Code: 800-295-4485
Date of fiscal year end: May 31
Date of reporting period: July 1, 2016 - June 30, 2017
Item 1 – Proxy Voting Record.
THE ARBITRAGE FUND
Investment Company Report
TIVO INC.
Security | 888706108 | Meeting Type | Annual |
Ticker Symbol | TIVO | Meeting Date | 11-Jul-2016 |
ISIN | US8887061088 | Agenda | 934446863 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| Stock Issuance |
| Management |
| For |
| For |
| For |
|
4. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 2,696,773 |
| 0 |
| 07-Jul-2016 |
| 12-Jul-2016 |
|
TUMI HOLDINGS, INC
Security | 89969Q104 | Meeting Type | Special |
Ticker Symbol | TUMI | Meeting Date | 12-Jul-2016 |
ISIN | US89969Q1040 | Agenda | 934449047 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 874,402 |
| 0 |
| 08-Jul-2016 |
| 13-Jul-2016 |
|
CVENT, INC.
Security | 23247G109 | Meeting Type | Special |
Ticker Symbol | CVT | Meeting Date | 12-Jul-2016 |
ISIN | US23247G1094 | Agenda | 934451066 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 1,647,651 |
| 0 |
| 08-Jul-2016 |
| 13-Jul-2016 |
|
KAMINAK GOLD CORPORATION
Security | 48356P202 | Meeting Type | Special |
Ticker Symbol | KMKGF | Meeting Date | 12-Jul-2016 |
ISIN | CA48356P2026 | Agenda | 934451636 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
01 |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX1SSTA 01 OM |
| ARBITRAGE FUND |
| WIX1SSTA 01 OM |
| STATE STREET TRUST |
| 2,563,000 |
| 0 |
| 07-Jul-2016 |
| 13-Jul-2016 |
|
SABMILLER PLC, WOKING SURREY
Security | G77395104 | Meeting Type | Annual General Meeting |
Ticker Symbol |
| Meeting Date | 21-Jul-2016 |
ISIN | GB0004835483 | Agenda | 707207646 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
6 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
7 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
8 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
9 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
10 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
11 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
12 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
13 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
14 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
15 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
16 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
17 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
18 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
19 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
20 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
21 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
22 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
23 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX1 |
| WIX1 |
|
|
| STATE STREET BANK |
| 842,811 |
| 0 |
| 12-Jul-2016 |
| 15-Jul-2016 |
|
MEDIA GENERAL, INC.
Security | 58441K100 | Meeting Type | Annual |
Ticker Symbol | MEG | Meeting Date | 21-Jul-2016 |
ISIN | US58441K1007 | Agenda | 934448540 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
| |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
| |
1. |
| Election of Directors |
| Management |
|
|
|
|
|
|
| |
|
| 1 | DIANA F. CANTOR |
|
|
| For |
| For |
| For |
|
|
| 2 | ROYAL W. CARSON III |
|
|
| For |
| For |
| For |
|
|
| 3 | H.C. CHARLES DIAO |
|
|
| For |
| For |
| For |
|
|
| 4 | DENNIS J. FITZSIMONS |
|
|
| For |
| For |
| For |
|
|
| 5 | SOOHYUNG KIM |
|
|
| For |
| For |
| For |
|
|
| 6 | DOUGLAS W. MCCORMICK |
|
|
| For |
| For |
| For |
|
|
| 7 | JOHN R. MUSE |
|
|
| For |
| For |
| For |
|
|
| 8 | WYNDHAM ROBERTSON |
|
|
| For |
| For |
| For |
|
|
| 9 | VINCENT L. SADUSKY |
|
|
| For |
| For |
| For |
|
|
| 10 | THOMAS J. SULLIVAN |
|
|
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
| |
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 951,044 |
| 0 |
| 18-Jul-2016 |
| 22-Jul-2016 |
|
EXAMWORKS GROUP, INC.(EXAM)
Security | 30066A105 | Meeting Type | Special |
Ticker Symbol | EXAM | Meeting Date | 26-Jul-2016 |
ISIN | US30066A1051 | Agenda | 934455456 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| Abstain |
| For |
| Against |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| Abstain |
| For |
| Against |
|
3. |
| 14A Executive Compensation |
| Management |
| Abstain |
| For |
| Against |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 369,020 |
| 0 |
| 21-Jul-2016 |
| 27-Jul-2016 |
|
SCIQUEST, INC.
Security | 80908T101 | Meeting Type | Special |
Ticker Symbol | SQI | Meeting Date | 26-Jul-2016 |
ISIN | US80908T1016 | Agenda | 934456030 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Extraordinary Transaction Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 620,043 |
| 0 |
| 25-Jul-2016 |
| 27-Jul-2016 |
|
KRISPY KREME DOUGHNUTS, INC.
Security | 501014104 | Meeting Type | Special |
Ticker Symbol | KKD | Meeting Date | 27-Jul-2016 |
ISIN | US5010141043 | Agenda | 934456674 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 767,289 |
| 0 |
| 25-Jul-2016 |
| 28-Jul-2016 |
|
MARKETO INC.
Security | 57063L107 | Meeting Type | Special |
Ticker Symbol | MKTO | Meeting Date | 28-Jul-2016 |
ISIN | US57063L1070 | Agenda | 934458553 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 949,034 |
| 0 |
| 25-Jul-2016 |
| 29-Jul-2016 |
|
PREMIER FARNELL PLC, LEEDS
Security | G33292106 | Meeting Type | Ordinary General Meeting |
Ticker Symbol |
| Meeting Date | 29-Jul-2016 |
ISIN | GB0003318416 | Agenda | 707252033 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX1 |
| WIX1 |
|
|
| STATE STREET BANK |
| 2,938,998 |
| 0 |
| 25-Jul-2016 |
| 26-Jul-2016 |
|
PREMIER FARNELL PLC, LEEDS
Security | G33292106 | Meeting Type | Court Meeting |
Ticker Symbol |
| Meeting Date | 29-Jul-2016 |
ISIN | GB0003318416 | Agenda | 707252045 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
CMMT |
| PLEASE NOTE THAT ABSTAIN IS NOT A VALID VOTE OPTION FOR THIS MEETING TYPE.-PLEASE CHOOSE BETWEEN “FOR” AND “AGAINST” ONLY. SHOULD YOU CHOOSE TO VOTE-ABSTAIN FOR THIS MEETING THEN YOUR VOTE WILL BE DISREGARDED BY THE ISSUER OR-ISSUERS AGENT |
| Non-Voting |
|
|
|
|
|
|
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX1 |
| WIX1 |
|
|
| STATE STREET BANK |
| 2,938,998 |
| 0 |
| 25-Jul-2016 |
| 26-Jul-2016 |
|
QUESTAR CORPORATION
Security | 748356102 | Meeting Type | Annual |
Ticker Symbol | STR | Meeting Date | 02-Aug-2016 |
ISIN | US7483561020 | Agenda | 934451244 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2 |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3 |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 2,542,018 |
| 0 |
| 29-Jul-2016 |
| 03-Aug-2016 |
|
INTERVAL LEISURE GROUP INC
Security | 46113M108 | Meeting Type | Annual |
Ticker Symbol | IILG | Meeting Date | 03-Aug-2016 |
ISIN | US46113M1080 | Agenda | 934452501 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
| |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
| |
1. |
| Election of Directors |
| Management |
|
|
|
|
|
|
| |
|
| 1 | CRAIG M. NASH |
|
|
| For |
| For |
| For |
|
|
| 2 | DAVID FLOWERS |
|
|
| For |
| For |
| For |
|
|
| 3 | VICTORIA L. FREED |
|
|
| For |
| For |
| For |
|
|
| 4 | LIZANNE GALBREATH |
|
|
| For |
| For |
| For |
|
|
| 5 | CHAD HOLLINGSWORTH |
|
|
| For |
| For |
| For |
|
|
| 6 | LEWIS J. KORMAN |
|
|
| For |
| For |
| For |
|
|
| 7 | THOMAS J. KUHN |
|
|
| For |
| For |
| For |
|
|
| 8 | THOMAS J. MCINERNEY |
|
|
| For |
| For |
| For |
|
|
| 9 | THOMAS P. MURPHY, JR. |
|
|
| For |
| For |
| For |
|
|
| 10 | STEPHEN R. QUAZZO |
|
|
| For |
| For |
| For |
|
|
| 11 | SERGIO D. RIVERA |
|
|
| For |
| For |
| For |
|
|
| 12 | THOMAS O. RYDER |
|
|
| For |
| For |
| For |
|
|
| 13 | AVY H. STEIN |
|
|
| For |
| For |
| For |
|
2. |
| Amend Stock Compensation Plan |
| Management |
| For |
| For |
| For |
| |
3. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 104 |
| 0 |
| 03-Aug-2016 |
|
|
|
ELECTRO RENT CORPORATION
Security | 285218103 | Meeting Type | Special |
Ticker Symbol | ELRC | Meeting Date | 05-Aug-2016 |
ISIN | US2852181039 | Agenda | 934459012 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 223,236 |
| 0 |
| 03-Aug-2016 |
| 08-Aug-2016 |
|
XURA, INC.
Security | 98420V107 | Meeting Type | Annual |
Ticker Symbol | MESG | Meeting Date | 16-Aug-2016 |
ISIN | US98420V1070 | Agenda | 934460851 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
2A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
2B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
2C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
2D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
2E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
2F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
2G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
2H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
3. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
4. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 886,783 |
| 0 |
| 11-Aug-2016 |
| 17-Aug-2016 |
|
TYCO INTERNATIONAL PLC
Security | G91442106 | Meeting Type | Special |
Ticker Symbol | TYC | Meeting Date | 17-Aug-2016 |
ISIN | IE00BQRQXQ92 | Agenda | 934459327 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
1. |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
2. |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
3. |
| Approve Reorganization Plan |
| Management |
| For |
| For |
| For |
4. |
| Increase Share Capital |
| Management |
| For |
| For |
| For |
5. |
| Allot Securities |
| Management |
| For |
| For |
| For |
6. |
| Approve Company Name Change |
| Management |
| For |
| For |
| For |
7. |
| Increase Share Capital |
| Management |
| For |
| For |
| For |
8. |
| Allot Securities |
| Management |
| For |
| For |
| For |
9. |
| Eliminate Pre-Emptive Rights |
| Management |
| For |
| For |
| For |
10. |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
11. |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 640,605 |
| 0 |
| 09-Aug-2016 |
| 16-Aug-2016 |
|
QLIK TECHNOLOGIES INC.
Security | 74733T105 | Meeting Type | Special |
Ticker Symbol | QLIK | Meeting Date | 17-Aug-2016 |
ISIN | US74733T1051 | Agenda | 934459668 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 1,911,742 |
| 0 |
| 12-Aug-2016 |
| 18-Aug-2016 |
|
LINKEDIN CORPORATION
Security | 53578A108 | Meeting Type | Special |
Ticker Symbol | LNKD | Meeting Date | 19-Aug-2016 |
ISIN | US53578A1088 | Agenda | 934464405 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
| |||||||||||||||
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 234,930 |
| 0 |
| 15-Aug-2016 |
| 22-Aug-2016 |
|
PARKWAY PROPERTIES, INC.
Security | 70159Q104 | Meeting Type | Special |
Ticker Symbol | PKY | Meeting Date | 23-Aug-2016 |
ISIN | US70159Q1040 | Agenda | 934464710 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 565,478 |
| 0 |
| 17-Aug-2016 |
| 24-Aug-2016 |
|
AVG TECHNOLOGIES NV
Security | N07831105 | Meeting Type | Special |
Ticker Symbol | AVG | Meeting Date | 23-Aug-2016 |
ISIN | NL0010060661 | Agenda | 934467590 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
3. |
| Approve Director Liability Insurance |
| Management |
| For |
| For |
| For |
4.1 |
| Elect Supervisory Board Member |
| Management |
| For |
| For |
| For |
4.2 |
| Elect Supervisory Board Member |
| Management |
| For |
| For |
| For |
4.3 |
| Elect Supervisory Board Member |
| Management |
| For |
| For |
| For |
5. |
| Approve Director Liability Insurance |
| Management |
| For |
| For |
| For |
6.1 |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
6.2 |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
6.3 |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
7.1 |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
7.2 |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
8.1 |
| Authorize Sale of Assets |
| Management |
| For |
| For |
| For |
8.2 |
| Approve Liquidation Plan |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 1,182,320 |
| 0 |
| 12-Aug-2016 |
| 24-Aug-2016 |
|
FEI COMPANY
Security | 30241L109 | Meeting Type | Special |
Ticker Symbol | FEIC | Meeting Date | 30-Aug-2016 |
ISIN | US30241L1098 | Agenda | 934465798 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
1 |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
2 |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
3 |
| 14A Extraordinary Transaction Executive Compensation |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 428,547 |
| 0 |
| 24-Aug-2016 |
| 31-Aug-2016 |
|
AXIALL CORPORATION
Security | 05463D100 | Meeting Type | Special |
Ticker Symbol | AXLL | Meeting Date | 30-Aug-2016 |
ISIN | US05463D1000 | Agenda | 934466372 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 664,483 |
| 0 |
| 24-Aug-2016 |
| 31-Aug-2016 |
|
POLYCOM, INC.
Security | 73172K104 | Meeting Type | Special |
Ticker Symbol | PLCM | Meeting Date | 02-Sep-2016 |
ISIN | US73172K1043 | Agenda | 934468009 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 3,443,830 |
| 0 |
| 29-Aug-2016 |
| 29-Aug-2016 |
|
POUNDLAND GROUP PLC, WILLENHALL
Security | G7198K105 | Meeting Type | Annual General Meeting |
Ticker Symbol |
| Meeting Date | 07-Sep-2016 |
ISIN | GB00BJ34VB96 | Agenda | 707306040 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
4 |
| Management Proposal |
| Management |
| For |
| For |
| For |
5 |
| Management Proposal |
| Management |
| For |
| For |
| For |
6 |
| Management Proposal |
| Management |
| For |
| For |
| For |
7 |
| Management Proposal |
| Management |
| For |
| For |
| For |
8 |
| Management Proposal |
| Management |
| For |
| For |
| For |
9 |
| Management Proposal |
| Management |
| For |
| For |
| For |
10 |
| Management Proposal |
| Management |
| For |
| For |
| For |
11 |
| Management Proposal |
| Management |
| For |
| For |
| For |
12 |
| Management Proposal |
| Management |
| For |
| For |
| For |
13 |
| Management Proposal |
| Management |
| For |
| For |
| For |
14 |
| Management Proposal |
| Management |
| For |
| For |
| For |
15 |
| Management Proposal |
| Management |
| For |
| For |
| For |
16 |
| Management Proposal |
| Management |
| For |
| For |
| For |
17 |
| Management Proposal |
| Management |
| For |
| For |
| For |
18 |
| Management Proposal |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX1 |
| WIX1 |
|
|
| STATE STREET BANK |
| 1,693,083 |
| 0 |
| 29-Aug-2016 |
| 06-Sep-2016 |
|
POUNDLAND GROUP PLC, WILLENHALL
Security | G7198K105 | Meeting Type | Court Meeting |
Ticker Symbol |
| Meeting Date | 07-Sep-2016 |
ISIN | GB00BJ34VB96 | Agenda | 707320393 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
CMMT |
| PLEASE NOTE THAT ABSTAIN IS NOT A VALID VOTE OPTION FOR THIS MEETING TYPE.-PLEASE CHOOSE BETWEEN “FOR” AND “AGAINST” ONLY. SHOULD YOU CHOOSE TO VOTE- ABSTAIN FOR THIS MEETING THEN YOUR VOTE WILL BE DISREGARDED BY THE ISSUER OR-ISSUERS AGENT |
| Non-Voting |
|
|
|
|
|
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX1 |
| WIX1 |
|
|
| STATE STREET BANK |
| 1,693,083 |
| 0 |
| 29-Aug-2016 |
| 06-Sep-2016 |
|
POUNDLAND GROUP PLC, WILLENHALL
Security | G7198K105 | Meeting Type | Ordinary General Meeting |
Ticker Symbol |
| Meeting Date | 07-Sep-2016 |
ISIN | GB00BJ34VB96 | Agenda | 707320406 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX1 |
| WIX1 |
|
|
| STATE STREET BANK |
| 1,693,083 |
| 0 |
| 29-Aug-2016 |
| 06-Sep-2016 |
|
TIVO INC.
Security | 888706108 | Meeting Type | Special |
Ticker Symbol | TIVO | Meeting Date | 07-Sep-2016 |
ISIN | US8887061088 | Agenda | 934467514 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
3. |
| 14A Extraordinary Transaction Executive Compensation |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 4,136,206 |
| 0 |
| 01-Sep-2016 |
| 08-Sep-2016 |
|
ELIZABETH ARDEN, INC.
Security | 28660G106 | Meeting Type | Special |
Ticker Symbol | RDEN | Meeting Date | 07-Sep-2016 |
ISIN | US28660G1067 | Agenda | 934469316 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 667,282 |
| 0 |
| 02-Sep-2016 |
| 08-Sep-2016 |
|
PREMIER FARNELL PLC, LEEDS
Security | G33292106 | Meeting Type | Court Meeting |
Ticker Symbol |
| Meeting Date | 12-Sep-2016 |
ISIN | GB0003318416 | Agenda | 707327753 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
CMMT |
| PLEASE NOTE THAT ABSTAIN IS NOT A VALID VOTE OPTION FOR THIS MEETING TYPE.-PLEASE CHOOSE BETWEEN “FOR” AND “AGAINST” ONLY. SHOULD YOU CHOOSE TO VOTE- ABSTAIN FOR THIS MEETING THEN YOUR VOTE WILL BE DISREGARDED BY THE ISSUER OR-ISSUERS AGENT. |
| Non-Voting |
|
|
|
|
|
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX1 |
| WIX1 |
|
|
| STATE STREET BANK |
| 2,753,478 |
| 0 |
| 01-Sep-2016 |
| 06-Sep-2016 |
|
PREMIER FARNELL PLC, LEEDS
Security | G33292106 | Meeting Type | Ordinary General Meeting |
Ticker Symbol |
| Meeting Date | 12-Sep-2016 |
ISIN | GB0003318416 | Agenda | 707327765 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX1 |
| WIX1 |
|
|
| STATE |
| 2,753,478 |
| 0 |
| 01-Sep-2016 |
| 06-Sep-2016 |
|
|
|
|
|
|
| STREET BANK |
|
|
|
|
|
|
|
|
|
IMPRIVATA, INC.
Security | 45323J103 | Meeting Type | Special |
Ticker Symbol | IMPR | Meeting Date | 14-Sep-2016 |
ISIN | US45323J1034 | Agenda | 934470434 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
1. |
| Approve Reorganization Plan |
| Management |
| For |
| For |
| For |
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 1,113,898 |
| 0 |
| 08-Sep-2016 |
| 15-Sep-2016 |
|
INTEROIL CORPORATION
Security | 460951106 | Meeting Type | Special |
Ticker Symbol | IOC | Meeting Date | 21-Sep-2016 |
ISIN | CA4609511064 | Agenda | 934473656 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
01 |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account | �� | Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 233,630 |
| 0 |
| 13-Sep-2016 |
| 22-Sep-2016 |
|
WESTAR ENERGY, INC.
Security | 95709T100 | Meeting Type | Special |
Ticker Symbol | WR | Meeting Date | 26-Sep-2016 |
ISIN | US95709T1007 | Agenda | 934475117 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
01 |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
02 |
| 14A Extraordinary Transaction Executive Compensation |
| Management |
| For |
| For |
| For |
03 |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 600,560 |
| 0 |
| 20-Sep-2016 |
| 27-Sep-2016 |
|
SABMILLER PLC, WOKING SURREY
Security | G77395104 | Meeting Type | Ordinary General Meeting |
Ticker Symbol |
| Meeting Date | 28-Sep-2016 |
ISIN | GB0004835483 | Agenda | 707342654 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX1 |
| WIX1 |
|
|
| STATE |
| 962,640 |
| 0 |
| 19-Sep-2016 |
| 22-Sep-2016 |
|
|
|
|
|
|
| STREET BANK |
|
|
|
|
|
|
|
|
|
SABMILLER PLC, WOKING SURREY
Security | G77395104 | Meeting Type | Court Meeting |
Ticker Symbol |
| Meeting Date | 28-Sep-2016 |
ISIN | GB0004835483 | Agenda | 707343808 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
CMMT |
| PLEASE NOTE THAT ABSTAIN IS NOT A VALID VOTE OPTION FOR THIS MEETING TYPE.-PLEASE CHOOSE BETWEEN “FOR” AND “AGAINST” ONLY. SHOULD YOU CHOOSE TO VOTE- ABSTAIN FOR THIS MEETING THEN YOUR VOTE WILL BE DISREGARDED BY THE ISSUER OR-ISSUERS AGENT |
| Non-Voting |
|
|
|
|
|
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX1 |
| WIX1 |
|
|
| STATE |
| 962,640 |
| 0 |
| 19-Sep-2016 |
| 22-Sep-2016 |
|
|
|
|
|
|
| STREET BANK |
|
|
|
|
|
|
|
|
|
THE WHITEWAVE FOODS COMPANY
Security | 966244105 | Meeting Type | Special |
Ticker Symbol | WWAV | Meeting Date | 04-Oct-2016 |
ISIN | US9662441057 | Agenda | 934476640 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 743,058 |
| 0 |
| 28-Sep-2016 |
| 05-Oct-2016 |
|
QHR CORPORATION
Security | 74735T103 | Meeting Type | Special |
Ticker Symbol | QHRTF | Meeting Date | 05-Oct-2016 |
ISIN | CA74735T1030 | Agenda | 934480194 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
01 |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX1SSTA 01 OM |
| ARBITRAGE FUND |
| WIX1SSTA 01 OM |
| STATE STREET TRUST |
| 1,007,100 |
| 0 |
| 27-Sep-2016 |
| 06-Oct-2016 |
|
TALEN ENERGY CORPORATION
Security | 87422J105 | Meeting Type | Special |
Ticker Symbol | TLN | Meeting Date | 06-Oct-2016 |
ISIN | US87422J1051 | Agenda | 934478606 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 543,380 |
| 0 |
| 30-Sep-2016 |
| 07-Oct-2016 |
|
SILICON GRAPHICS INTERNATIONAL CORP
Security | 82706L108 | Meeting Type | Special |
Ticker Symbol | SGI | Meeting Date | 11-Oct-2016 |
ISIN | US82706L1089 | Agenda | 934481083 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 899,461 |
| 0 |
| 06-Oct-2016 |
| 12-Oct-2016 |
|
FLEETMATICS GROUP PLC
Security | G35569205 | Meeting Type | Special |
Ticker Symbol |
| Meeting Date | 12-Oct-2016 |
ISIN |
| Agenda | 934481235 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
1. |
| Amalgamation Plan |
| Management |
| For |
| For |
| For |
2. |
| Amalgamation Plan |
| Management |
| For |
| For |
| For |
3. |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
4. |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
5. |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
6. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
7. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 473,225 |
| 0 |
| 06-Oct-2016 |
| 13-Oct-2016 |
|
FLEETMATICS GROUP PLC
Security | G35569105 | Meeting Type | Special |
Ticker Symbol | FLTX | Meeting Date | 12-Oct-2016 |
ISIN | IE00B4XKTT64 | Agenda | 934481247 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
1. |
| Amalgamation Plan |
| Management |
| For |
| For |
| For |
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 473,225 |
| 0 |
| 06-Oct-2016 |
| 13-Oct-2016 |
|
CYNAPSUS THERAPEUTICS INC.
Security | 23257Y859 | Meeting Type | Special |
Ticker Symbol | CYNA | Meeting Date | 13-Oct-2016 |
ISIN | CA23257Y8595 | Agenda | 934482934 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
01 |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 111,395 |
| 0 |
| 30-Sep-2016 |
| 14-Oct-2016 |
|
JOY GLOBAL INC.
Security | 481165108 | Meeting Type | Special |
Ticker Symbol | JOY | Meeting Date | 19-Oct-2016 |
ISIN | US4811651086 | Agenda | 934478581 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
2. |
| 14A ExtraordinaryTransaction Executive Compensation |
| Management |
| For |
| For |
| For |
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date |
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 255,200 |
| 0 |
| 13-Oct-2016 |
| 20-Oct-2016 |
PRESS GANEY HOLDINGS, INC.
Security | 74113L102 | Meeting Type | Special |
Ticker Symbol | PGND | Meeting Date | 19-Oct-2016 |
ISIN | US74113L1026 | Agenda | 934484192 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date |
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 390,459 |
| 0 |
| 13-Oct-2016 |
| 20-Oct-2016 |
BRADKEN LTD
Security | Q17369101 | Meeting Type | Annual General Meeting |
Ticker Symbol |
| Meeting Date | 26-Oct-2016 |
ISIN | AU000000BKN3 | Agenda | 707413299 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
CMMT |
| VOTING EXCLUSIONS APPLY TO THIS MEETING FOR PROPOSALS 2, 5 AND VOTES CAST BY-ANY INDIVIDUAL OR RELATED PARTY WHO BENEFIT FROM THE PASSING OF THE-PROPOSAL/S WILL BE DISREGARDED BY THE COMPANY. HENCE, IF YOU HAVE OBTAINED-BENEFIT OR EXPECT TO OBTAIN FUTURE BENEFIT (AS REFERRED IN THE COMPANYANNOUNCEMENT) VOTE ABSTAIN ON THE RELEVANT PROPOSAL ITEMS. BY DOING SO, YOU-ACKNOWLEDGE THAT YOU HAVE OBTAINED BENEFIT OR EXPECT TO OBTAIN BENEFIT BY THE- PASSING OF THE RELEVANT PROPOSAL/S. BY VOTING (FOR OR AGAINST) ON THE ABOVE-MENTIONED PROPOSAL/S, YOU ACKNOWLEDGE THAT YOU HAVE NOT OBTAINED BENEFIT-NEITHER EXPECT TO OBTAIN BENEFIT BY THE PASSING OF THE RELEVANT PROPOSAL/S-AND YOU COMPLY WITH THE VOTING EXCLUSION |
| Non-Voting |
|
|
|
|
|
|
2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
4 |
| Management Proposal |
| Management |
| For |
| For |
| For |
CMMT |
| IF YOU INTEND TO VOTE FOR THE REMUNERATION REPORT, THEN YOU SHOULD VOTE-AGAINST THE SPILL RESOLUTION |
| Non-Voting |
|
|
|
|
|
|
5 |
| Shareholder Proposal |
| Shareholder |
| Against |
| Against |
| For |
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date |
WIX1 |
| WIX1 |
|
|
| STATE STREET BANK |
| 325,000 |
| 0 |
| 17-Oct-2016 |
| 20-Oct-2016 |
ST. JUDE MEDICAL, INC.
Security | 790849103 | Meeting Type | Annual |
Ticker Symbol | STJ | Meeting Date | 26-Oct-2016 |
ISIN | US7908491035 | Agenda | 934486110 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
3A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
3B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
3C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
4. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
5. |
| Approve Stock Compensation Plan |
| Management |
| For |
| For |
| For |
6. |
| Declassify Board |
| Management |
| For |
| For |
| For |
7. |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
8. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
9. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
10. |
| S/H Proposal - Corporate Governance |
| Shareholder |
| Against |
| Against |
| For |
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date |
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 807,019 |
| 0 |
| 25-Oct-2016 |
| 27-Oct-2016 |
SAI GLOBAL LTD, SYDNEY
Security | Q8227J100 | Meeting Type | Annual General Meeting |
Ticker Symbol |
| Meeting Date | 27-Oct-2016 |
ISIN | AU000000SAI8 | Agenda | 707413352 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
CMMT |
| VOTING EXCLUSIONS APPLY TO THIS MEETING FOR PROPOSALS 1, 4 AND VOTES CAST BY-ANY INDIVIDUAL OR RELATED PARTY WHO BENEFIT FROM THE PASSING OF THE-PROPOSAL/S WILL BE DISREGARDED BY THE COMPANY. HENCE, IF YOU HAVE OBTAINED-BENEFIT OR EXPECT TO OBTAIN FUTURE BENEFIT (AS REFERRED IN THE COMPANY- ANNOUNCEMENT) VOTE ABSTAIN ON THE RELEVANT PROPOSAL ITEMS. BY DOING SO, YOU-ACKNOWLEDGE THAT YOU HAVE OBTAINED BENEFIT OR EXPECT TO OBTAIN BENEFIT BY THE- PASSING OF THE RELEVANT PROPOSAL/S. BY VOTING (FOR OR AGAINST) ON THE ABOVE-MENTIONED PROPOSAL/S, YOU ACKNOWLEDGE THAT YOU HAVE NOT OBTAINED BENEFIT-NEITHER EXPECT TO OBTAIN BENEFIT BY THE PASSING OF THE RELEVANT PROPOSAL/S-AND YOU COMPLY WITH THE VOTING EXCLUSION |
| Non-Voting |
|
|
|
|
|
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
4 |
| Management Proposal |
| Management |
| For |
| For |
| For |
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date |
WIX1 |
| WIX1 |
|
|
| STATE STREET BANK |
| 748,586 |
| 0 |
| 20-Oct-2016 |
| 21-Oct-2016 |
RACKSPACE HOSTING, INC.
Security | 750086100 | Meeting Type | Special |
Ticker Symbol | RAX | Meeting Date | 02-Nov-2016 |
ISIN | US7500861007 | Agenda | 934488114 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
4. |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date |
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 618,300 |
| 0 |
| 31-Oct-2016 |
| 03-Nov-2016 |
CEPHEID
Security | 15670R107 | Meeting Type | Special |
Ticker Symbol | CPHD | Meeting Date | 04-Nov-2016 |
ISIN | US15670R1077 | Agenda | 934488835 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
1 |
| Approve Reorganization Plan |
| Management |
| For |
| For |
| For |
2 |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
3 |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date |
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 913,974 |
| 0 |
| 31-Oct-2016 |
| 07-Nov-2016 |
APIGEE CORPORATION
Security | 03765N108 | Meeting Type | Special |
Ticker Symbol | APIC | Meeting Date | 08-Nov-2016 |
ISIN | US03765N1081 | Agenda | 934490640 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date |
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 480,081 |
| 0 |
| 07-Nov-2016 |
| 09-Nov-2016 |
EVERBANK FINANCIAL CORP
Security | 29977G102 | Meeting Type | Special |
Ticker Symbol | EVER | Meeting Date | 09-Nov-2016 |
ISIN | US29977G1022 | Agenda | 934488037 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 980,000 |
| 0 |
| 08-Nov-2016 |
| 10-Nov-2016 |
|
INTERACTIVE INTELLIGENCE GROUP, INC.
Security | 45841V109 | Meeting Type | Special |
Ticker Symbol | ININ | Meeting Date | 09-Nov-2016 |
ISIN | US45841V1098 | Agenda | 934488859 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 137,786 |
| 0 |
| 08-Nov-2016 |
| 10-Nov-2016 |
|
POST PROPERTIES, INC.
Security | 737464107 | Meeting Type | Special |
Ticker Symbol | PPS | Meeting Date | 10-Nov-2016 |
ISIN | US7374641071 | Agenda | 934488138 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1) |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2) |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3) |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 64,802 |
| 0 |
| 08-Nov-2016 |
| 11-Nov-2016 |
|
G&K SERVICES, INC.
Security | 361268105 | Meeting Type | Annual |
Ticker Symbol | GK | Meeting Date | 15-Nov-2016 |
ISIN | US3612681052 | Agenda | 934487592 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
4A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
4B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
4C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
5. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
6. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 85,621 |
| 0 |
| 09-Nov-2016 |
| 16-Nov-2016 |
|
CST BRANDS, INC.
Security | 12646R105 | Meeting Type | Special |
Ticker Symbol | CST | Meeting Date | 16-Nov-2016 |
ISIN | US12646R1059 | Agenda | 934490513 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 858,482 |
| 0 |
| 10-Nov-2016 |
| 17-Nov-2016 |
|
ENVISION HEALTHCARE HOLDINGS, INC.
Security | 29413U103 | Meeting Type | Special |
Ticker Symbol | EVHC | Meeting Date | 28-Nov-2016 |
ISIN | US29413U1034 | Agenda | 934493545 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 443,281 |
| 0 |
| 21-Nov-2016 |
| 29-Nov-2016 |
|
DTS, INC.
Security | 23335C101 | Meeting Type | Special |
Ticker Symbol | DTSI | Meeting Date | 01-Dec-2016 |
ISIN | US23335C1018 | Agenda | 934494814 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 105,800 |
| 0 |
| 25-Nov-2016 |
| 02-Dec-2016 |
|
DIRECTCASH PAYMENTS INC.
Security | 25456A103 | Meeting Type | Special |
Ticker Symbol | DCTFF | Meeting Date | 02-Dec-2016 |
ISIN | CA25456A1030 | Agenda | 934496577 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
01 |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX1SSTA 01 OM |
| ARBITRAGE FUND |
| WIX1SSTA 01 OM |
| STATE STREET TRUST |
| 615,000 |
| 0 |
| 22-Nov-2016 |
| 05-Dec-2016 |
|
SAI GLOBAL LTD, SYDNEY
Security | Q8227J100 | Meeting Type | Scheme Meeting |
Ticker Symbol |
| Meeting Date | 05-Dec-2016 |
ISIN | AU000000SAI8 | Agenda | 707561925 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
CMMT |
| PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM, THERE WILL BE A-SECOND COURT HEARING ON 09 DEC 2016. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS-WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU. |
| Non-Voting |
|
|
|
|
|
|
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX1 |
| WIX1 |
|
|
| STATE STREET BANK |
| 1,098,586 |
| 0 |
| 28-Nov-2016 |
| 01-Dec-2016 |
|
SVG CAPITAL PLC
Security | G8600D101 | Meeting Type | Ordinary General Meeting |
Ticker Symbol |
| Meeting Date | 05-Dec-2016 |
ISIN | GB0007892358 | Agenda | 707605638 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX1 |
| WIX1 |
|
|
| STATE STREET BANK |
| 3,567,293 |
| 0 |
| 22-Nov-2016 |
| 29-Nov-2016 |
|
TRANSOCEAN PARTNERS LLC
Security | Y8977Y100 | Meeting Type | Special |
Ticker Symbol | RIGP | Meeting Date | 06-Dec-2016 |
ISIN | MHY8977Y1005 | Agenda | 934488847 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 938,979 |
| 0 |
| 08-Nov-2016 |
| 07-Dec-2016 |
|
STARZ
Security | 85571Q102 | Meeting Type | Special |
Ticker Symbol | STRZA | Meeting Date | 07-Dec-2016 |
ISIN | US85571Q1022 | Agenda | 934501188 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| Against |
| For |
| Against |
|
2. |
| 14A Executive Compensation |
| Management |
| Against |
| For |
| Against |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| Against |
| For |
| Against |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 1,225,152 |
| 0 |
| 02-Dec-2016 |
| 08-Dec-2016 |
|
INTERSIL CORPORATION
Security | 46069S109 | Meeting Type | Special |
Ticker Symbol | ISIL | Meeting Date | 08-Dec-2016 |
ISIN | US46069S1096 | Agenda | 934496488 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 245,800 |
| 0 |
| 02-Dec-2016 |
| 09-Dec-2016 |
|
PRIVATEBANCORP, INC.
Security | 742962103 | Meeting Type | Special |
Ticker Symbol | PVTB | Meeting Date | 08-Dec-2016 |
ISIN | US7429621037 | Agenda | 934498216 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 890,654 |
| 0 |
| 05-Dec-2016 |
| 09-Dec-2016 |
|
YADKIN FINANCIAL CORPORATION
Security | 984305102 | Meeting Type | Special |
Ticker Symbol | YDKN | Meeting Date | 09-Dec-2016 |
ISIN | US9843051023 | Agenda | 934493557 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 68,754 |
| 0 |
| 07-Dec-2016 |
| 12-Dec-2016 |
|
F.N.B. CORPORATION
Security | 302520101 | Meeting Type | Special |
Ticker Symbol | FNB | Meeting Date | 09-Dec-2016 |
ISIN | US3025201019 | Agenda | 934495296 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 141,983 |
| 0 |
| 07-Dec-2016 |
| 12-Dec-2016 |
|
CABELA’S INCORPORATED
Security | 126804301 | Meeting Type | Annual |
Ticker Symbol | CAB | Meeting Date | 13-Dec-2016 |
ISIN | US1268043015 | Agenda | 934504300 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 652,161 |
| 0 |
| 12-Dec-2016 |
| 14-Dec-2016 |
|
ASTORIA FINANCIAL CORPORATION
Security | 046265104 | Meeting Type | Annual |
Ticker Symbol | AF | Meeting Date | 21-Dec-2016 |
ISIN | US0462651045 | Agenda | 934497240 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Election of Directors |
| Management |
|
|
|
|
|
|
|
|
| 1 JOHN R. CHRIN* |
|
|
| For |
| For |
| For |
|
|
| 2 JOHN J. CORRADO* |
|
|
| For |
| For |
| For |
|
|
| 3 ROBERT GIAMBRONE# |
|
|
| For |
| For |
| For |
|
|
| 4 BRIAN M. LEENEY* |
|
|
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 837,665 |
| 0 |
| 15-Dec-2016 |
| 22-Dec-2016 |
|
GAS NATURAL INC.
Security | 367204104 | Meeting Type | Special |
Ticker Symbol | EGAS | Meeting Date | 28-Dec-2016 |
ISIN | US3672041049 | Agenda | 934510276 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 350,762 |
| 0 |
| 21-Dec-2016 |
| 29-Dec-2016 |
|
DATALINK CORPORATION
Security | 237934104 | Meeting Type | Special |
Ticker Symbol | DTLK | Meeting Date | 05-Jan-2017 |
ISIN | US2379341041 | Agenda | 934511379 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 342,183 |
| 0 |
| 30-Dec-2016 |
| 06-Jan-2017 |
|
TEAM HEALTH HOLDINGS, INC.
Security | 87817A107 | Meeting Type | Special |
Ticker Symbol | TMH | Meeting Date | 11-Jan-2017 |
ISIN | US87817A1079 | Agenda | 934514818 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 858,668 |
| 0 |
| 05-Jan-2017 |
| 12-Jan-2017 |
|
INTELIQUENT, INC.
Security | 45825N107 | Meeting Type | Special |
Ticker Symbol | IQNT | Meeting Date | 17-Jan-2017 |
ISIN | US45825N1072 | Agenda | 934515454 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 76,998 |
| 0 |
| 10-Jan-2017 |
| 18-Jan-2017 |
|
AEP INDUSTRIES INC.
Security | 001031103 | Meeting Type | Special |
Ticker Symbol | AEPI | Meeting Date | 18-Jan-2017 |
ISIN | US0010311035 | Agenda | 934515959 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 58,077 |
| 0 |
| 12-Jan-2017 |
| 19-Jan-2017 |
|
LIFELOCK, INC.
Security | 53224V100 | Meeting Type | Special |
Ticker Symbol | LOCK | Meeting Date | 26-Jan-2017 |
ISIN | US53224V1008 | Agenda | 934518056 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Extraordinary Transaction Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 438,778 |
| 0 |
| 20-Jan-2017 |
| 27-Jan-2017 |
|
BROCADE COMMUNICATIONS SYSTEMS, INC.
Security | 111621306 | Meeting Type | Special |
Ticker Symbol | BRCD | Meeting Date | 26-Jan-2017 |
ISIN | US1116213067 | Agenda | 934518082 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 945,530 |
| 0 |
| 20-Jan-2017 |
| 27-Jan-2017 |
|
ENDURANCE SPECIALTY HOLDINGS LTD.
Security | G30397106 | Meeting Type | Special |
Ticker Symbol | ENH | Meeting Date | 27-Jan-2017 |
ISIN | BMG303971060 | Agenda | 934519565 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Extraordinary Transaction Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 552,143 |
| 0 |
| 23-Jan-2017 |
| 30-Jan-2017 |
|
NXP SEMICONDUCTORS NV.
Security | N6596X109 | Meeting Type | Special |
Ticker Symbol | NXPI | Meeting Date | 27-Jan-2017 |
ISIN | NL0009538784 | Agenda | 934520897 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
3.A |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3.B |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3.C |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3.D |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3.E |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
4. |
| Classify/Stagger Board of Directors |
| Management |
| For |
| For |
| For |
|
5.A |
| Authorize Sale of Assets |
| Management |
| For |
| For |
| For |
|
5.B |
| Approve Liquidation Plan |
| Management |
| For |
| For |
| For |
|
6.A |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
6.B |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 354,824 |
| 0 |
| 18-Jan-2017 |
| 30-Jan-2017 |
|
PUNCH TAVERNS PLC, BURTON UPON TRENT
Security | G73003124 | Meeting Type | Annual General Meeting |
Ticker Symbol |
| Meeting Date | 01-Feb-2017 |
ISIN | GB00BPXRVT80 | Agenda | 707645567 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
6 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
7 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
8 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
9 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
10 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
11 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
12 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
13 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
14 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
WIX1 |
| WIX1 |
|
|
| STATE STREET BANK |
| 500,000 |
| 0 |
| 26-Jan-2017 |
| 26-Jan-2017 |
|
CHEMTURA CORPORATION
Security | 163893209 | Meeting Type | Special |
Ticker Symbol | CHMT | Meeting Date | 01-Feb-2017 |
ISIN | US1638932095 | Agenda | 934519147 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1 |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2 |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3 |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 1,050,279 |
| 0 |
| 26-Jan-2017 |
| 02-Feb-2017 |
|
BLUE NILE, INC.
Security | 09578R103 | Meeting Type | Special |
Ticker Symbol | NILE | Meeting Date | 02-Feb-2017 |
ISIN | US09578R1032 | Agenda | 934518688 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 273,365 |
| 0 |
| 01-Feb-2017 |
| 03-Feb-2017 |
|
MENTOR GRAPHICS CORPORATION
Security | 587200106 | Meeting Type | Special |
Ticker Symbol | MENT | Meeting Date | 02-Feb-2017 |
ISIN | US5872001061 | Agenda | 934520568 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 510,930 |
| 0 |
| 01-Feb-2017 |
| 03-Feb-2017 |
|
HEADWATERS INCORPORATED
Security | 42210P102 | Meeting Type | Special |
Ticker Symbol | HW | Meeting Date | 03-Feb-2017 |
ISIN | US42210P1021 | Agenda | 934519616 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 707,383 |
| 0 |
| 30-Jan-2017 |
| 06-Feb-2017 |
|
CANEXUS CORPORATION
Security | 13751W103 | Meeting Type | Special |
Ticker Symbol | CXUSF | Meeting Date | 08-Feb-2017 |
ISIN | CA13751W1032 | Agenda | 934522233 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
01 |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
WIX1SSTA 01 OM |
| ARBITRAGE FUND |
| WIX1SSTA 01 OM |
| STATE STREET TRUST |
| 5,000,000 |
| 0 |
| 31-Jan-2017 |
| 09-Feb-2017 |
|
SVG CAPITAL PLC
Security | G8600D101 | Meeting Type | Ordinary General Meeting |
Ticker Symbol |
| Meeting Date | 09-Feb-2017 |
ISIN | GB0007892358 | Agenda | 707711087 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
WIX1 |
| WIX1 |
|
|
| STATE STREET BANK |
| 2,352,061 |
| 0 |
| 03-Feb-2017 |
| 03-Feb-2017 |
|
PUNCH TAVERNS PLC, BURTON UPON TRENT
Security | G73003124 | Meeting Type | Court Meeting |
Ticker Symbol |
| Meeting Date | 10-Feb-2017 |
ISIN | GB00BPXRVT80 | Agenda | 707694039 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
CMMT |
| PLEASE NOTE THAT ABSTAIN IS NOT A VALID VOTE OPTION FOR THIS MEETING TYPE.-PLEASE CHOOSE BETWEEN “FOR” AND “AGAINST” ONLY. SHOULD YOU CHOOSE TO VOTE- ABSTAIN FOR THIS MEETING THEN YOUR VOTE WILL BE DISREGARDED BY THE ISSUER OR-ISSUERS AGENT |
| Non-Voting |
|
|
|
|
|
|
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
WIX1 |
| WIX1 |
|
|
| STATE STREET BANK |
| 500,000 |
| 0 |
| 03-Feb-2017 |
| 06-Feb-2017 |
|
PUNCH TAVERNS PLC, BURTON UPON TRENT
Security | G73003124 | Meeting Type | Ordinary General Meeting |
Ticker Symbol |
| Meeting Date | 10-Feb-2017 |
ISIN | GB00BPXRVT80 | Agenda | 707694041 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
WIX1 |
| WIX1 |
|
|
| STATE STREET BANK |
| 500,000 |
| 0 |
| 03-Feb-2017 |
| 06-Feb-2017 |
|
WCI COMMUNITIES, INC.
Security | 92923C807 | Meeting Type | Special |
Ticker Symbol | WCIC | Meeting Date | 10-Feb-2017 |
ISIN | US92923C8073 | Agenda | 934522625 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 567,092 |
| 0 |
| 06-Feb-2017 |
| 13-Feb-2017 |
|
INTEROIL CORPORATION
Security | 460951106 | Meeting Type | Special |
Ticker Symbol | IOC | Meeting Date | 14-Feb-2017 |
ISIN | CA4609511064 | Agenda | 934522726 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
01 |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 711,996 |
| 0 |
| 06-Feb-2017 |
| 15-Feb-2017 |
|
TIME WARNER INC.
Security | 887317303 | Meeting Type | Special |
Ticker Symbol | TWX | Meeting Date | 15-Feb-2017 |
ISIN | US8873173038 | Agenda | 934521560 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 320,174 |
| 0 |
| 09-Feb-2017 |
| 16-Feb-2017 |
|
COLUMBIA PIPELINE PARTNERS LP
Security | 198281107 | Meeting Type | Special |
Ticker Symbol | CPPL | Meeting Date | 16-Feb-2017 |
ISIN | US1982811077 | Agenda | 934520924 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 1,124,788 |
| 0 |
| 15-Feb-2017 |
| 17-Feb-2017 |
|
UNIVERSAL AMERICAN CORP
Security | 91338E101 | Meeting Type | Special |
Ticker Symbol | UAM | Meeting Date | 16-Feb-2017 |
ISIN | US91338E1010 | Agenda | 934523641 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 957,188 |
| 0 |
| 13-Feb-2017 |
| 17-Feb-2017 |
|
VASCULAR SOLUTIONS, INC.
Security | 92231M109 | Meeting Type | Special |
Ticker Symbol | VASC | Meeting Date | 16-Feb-2017 |
ISIN | US92231M1099 | Agenda | 934524201 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Extraordinary Transaction Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Annual Meeting Date/Time Change |
| Management |
| For |
| For |
| For |
|
Account Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 269,654 |
| 0 |
| 13-Feb-2017 |
| 17-Feb-2017 |
|
HARMAN INTERNATIONAL INDUSTRIES, INC.
Security | 413086109 | Meeting Type | Special |
Ticker Symbol | HAR | Meeting Date | 17-Feb-2017 |
ISIN | US4130861093 | Agenda | 934524667 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 389,647 |
| 0 |
| 14-Feb-2017 |
| 14-Feb-2017 |
|
| |||||||||||||||
|
CLARCOR INC.
Security | 179895107 | Meeting Type | Special |
Ticker Symbol | CLC | Meeting Date | 23-Feb-2017 |
ISIN | US1798951075 | Agenda | 934525099 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 223,545 |
| 0 |
| 17-Feb-2017 |
| 24-Feb-2017 |
|
LIONBRIDGE TECHNOLOGIES, INC.
Security | 536252109 | Meeting Type | Special |
Ticker Symbol | LIOX | Meeting Date | 28-Feb-2017 |
ISIN | US5362521099 | Agenda | 934528211 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 385,641 |
| 0 |
| 23-Feb-2017 |
| 01-Mar-2017 |
|
NEUSTAR, INC.
Security | 64126X201 | Meeting Type | Special |
Ticker Symbol | NSR | Meeting Date | 14-Mar-2017 |
ISIN | US64126X2018 | Agenda | 934529136 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 739,161 |
| 0 |
| 10-Mar-2017 |
| 15-Mar-2017 |
|
LEVEL 3 COMMUNICATIONS, INC.
Security | 52729N308 | Meeting Type | Special |
Ticker Symbol | LVLT | Meeting Date | 16-Mar-2017 |
ISIN | US52729N3089 | Agenda | 934530999 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 138,903 |
| 0 |
| 14-Mar-2017 |
| 17-Mar-2017 |
|
ALLIED WORLD ASSURANCE COMPANY HLDGS, AG
Security | H01531104 | Meeting Type | Special |
Ticker Symbol | AWH | Meeting Date | 22-Mar-2017 |
ISIN | CH0121032772 | Agenda | 934534214 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
2. |
| Dividends |
| Management |
| For |
| For |
| For |
|
3. |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 1,677,299 |
| 0 |
| 16-Mar-2017 |
| 23-Mar-2017 |
|
THE VALSPAR CORPORATION
Security | 920355104 | Meeting Type | Annual |
Ticker Symbol | VAL | Meeting Date | 24-Mar-2017 |
ISIN | US9203551042 | Agenda | 934532727 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
4. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 433,406 |
| 0 |
| 20-Mar-2017 |
| 27-Mar-2017 |
|
HERITAGE OAKS BANCORP
Security | 42724R107 | Meeting Type | Special |
Ticker Symbol | HEOP | Meeting Date | 27-Mar-2017 |
ISIN | US42724R1077 | Agenda | 934535393 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 696,335 |
| 0 |
| 21-Mar-2017 |
| 28-Mar-2017 |
|
MILESTONE APARTMENTS REIT
Security | 59934P101 | Meeting Type | Special |
Ticker Symbol | MSTUF | Meeting Date | 28-Mar-2017 |
ISIN | CA59934P1018 | Agenda | 934528956 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
01 |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date |
|
WIX1SSTA 01 OM |
| ARBITRAGE FUND |
| WIX1SSTA 01 OM |
| STATE STREET TRUST |
| 1,079,742 |
| 0 |
| 22-Mar-2017 |
| 29-Mar-2017 |
|
VCA INC.
Security | 918194101 | Meeting Type | Special |
Ticker Symbol | WOOF | Meeting Date | 28-Mar-2017 |
ISIN | US9181941017 | Agenda | 934532145 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 465,618 |
| 0 |
| 22-Mar-2017 |
| 29-Mar-2017 |
|
DELTA LLOYD N.V., AMSTERDAM
Security | N25633103 | Meeting Type | ExtraOrdinary General Meeting |
Ticker Symbol |
| Meeting Date | 29-Mar-2017 |
ISIN | NL0009294552 | Agenda | 707732118 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1 |
| OPENING |
| Non-Voting |
|
|
|
|
|
|
|
2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
3 |
| CLOSE OF THE MEETING |
| Non-Voting |
|
|
|
|
|
|
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date |
|
WIX1 |
| WIX1 |
|
|
| STATE STREET BANK |
| 2,678,599 |
| 0 |
| 16-Mar-2017 |
| 17-Mar-2017 |
|
DELTA LLOYD N.V., AMSTERDAM
Security | N25633103 | Meeting Type | ExtraOrdinary General Meeting |
Ticker Symbol |
| Meeting Date | 29-Mar-2017 |
ISIN | NL0009294552 | Agenda | 707732120 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1 |
| OPENING AND ANNOUNCEMENTS |
| Non-Voting |
|
|
|
|
|
|
|
2 |
| EXPLANATION OF THE RECOMMENDED PUBLIC OFFER THAT HAS BEEN MADE BY OR ON-BEHALF OF NN GROUP |
| Non-Voting |
|
|
|
|
|
|
|
3.A |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
3.B |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.A |
| ANNOUNCEMENT OF THE VACANCIES TO BE FILLED |
| Non-Voting |
|
|
|
|
|
|
|
4.B |
| OPPORTUNITY TO MAKE RECOMMENDATIONS FOR THE APPOINTMENT OF NEW MEMBERS OF THE-SUPERVISORY BOARD |
| Non-Voting |
|
|
|
|
|
|
|
4.C |
| NOTICE OF THE SUPERVISORY BOARD’S NOMINATIONS FOR THE VACANCIES TO BE FILLED |
| Non-Voting |
|
|
|
|
|
|
|
4.D |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.E |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.F |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5 |
| NOTICE OF CONDITIONAL COMPOSITION OF THE EXECUTIVE BOARD AS PER THE-SETTLEMENT DATE |
| Non-Voting |
|
|
|
|
|
|
|
6.A |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
6.B |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
7 |
| EXPLANATION OF THE CONDITIONAL LEGAL MERGER |
| Non-Voting |
|
|
|
|
|
|
|
8 |
| ANY OTHER BUSINESS AND CLOSE OF THE MEETING |
| Non-Voting |
|
|
|
|
|
|
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date |
|
WIX1 |
| WIX1 |
|
|
| STATE STREET BANK |
| 2,678,599 |
| 0 |
| 16-Mar-2017 |
| 17-Mar-2017 |
|
CEB INC.
Security | 125134106 | Meeting Type | Special |
Ticker Symbol | CEB | Meeting Date | 04-Apr-2017 |
ISIN | US1251341061 | Agenda | 934540332 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 173,737 |
| 0 |
| 29-Mar-2017 |
| 05-Apr-2017 |
|
PKC GROUP OYJ, HELSINKI
Security | X6565R108 | Meeting Type | Annual General Meeting |
Ticker Symbol |
| Meeting Date | 05-Apr-2017 |
ISIN | FI0009006381 | Agenda | 707825127 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
CMMT |
| MARKET RULES REQUIRE DISCLOSURE OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED-ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO-PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE-POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED-IN ORDER FOR YOUR VOTE TO BE LODGED |
| Non-Voting |
|
|
|
|
|
|
|
CMMT |
| A POA IS NEEDED TO APPOINT OWN REPRESENTATIVE BUT IS NOT NEEDED IF A FINNISH-SUB/BANK IS APPOINTED EXCEPT IF THE SHAREHOLDER IS FINNISH THEN A POA WOULD-STILL BE REQUIRED. |
| Non-Voting |
|
|
|
|
|
|
|
1 |
| OPENING OF THE MEETING |
| Non-Voting |
|
|
|
|
|
|
|
2 |
| CALLING THE MEETING TO ORDER |
| Non-Voting |
|
|
|
|
|
|
|
3 |
| ELECTION OF PERSONS TO SCRUTINIZE THE MINUTES AND TO SUPERVISE THE COUNTING-OF VOTES |
| Non-Voting |
|
|
|
|
|
|
|
4 |
| RECORDING THE LEGALITY OF THE MEETING |
| Non-Voting |
|
|
|
|
|
|
|
5 |
| RECORDING THE ATTENDANCE AT THE MEETING AND ADOPTION OF THE LIST OF VOTES |
| Non-Voting |
|
|
|
|
|
|
|
6 |
| REVIEW BY THE CHAIRMAN OF THE BOARD OF DIRECTORS |
| Non-Voting |
|
|
|
|
|
|
|
7 |
| PRESENTATION OF THE FINANCIAL STATEMENTS, THE REPORT OF THE BOARD OF-DIRECTORS AND THE AUDITOR’S REPORT FOR THE YEAR 2016 |
| Non-Voting |
|
|
|
|
|
|
|
8 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
9 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
10 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
11 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
12 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
13 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
14 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
15 |
| CLOSING OF THE MEETING |
| Non-Voting |
|
|
|
|
|
|
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
WIX1 |
| WIX1 |
|
|
| STATE STREET BANK |
| 324,000 |
| 0 |
| 23-Mar-2017 |
| 28-Mar-2017 |
|
ACTELION LTD
Security | H0032X176 | Meeting Type | Annual General Meeting |
Ticker Symbol |
| Meeting Date | 05-Apr-2017 |
ISIN | CH0355794022 | Agenda | 707844115 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
CMMT |
| PART 2 OF THIS MEETING IS FOR VOTING ON AGENDA AND MEETING ATTENDANCE-REQUESTS ONLY. PLEASE ENSURE THAT YOU HAVE FIRST VOTED IN FAVOUR OF THE- REGISTRATION OF SHARES IN PART 1 OF THE MEETING. IT IS A MARKET REQUIREMENT-FOR MEETINGS OF THIS TYPE THAT THE SHARES ARE REGISTERED AND MOVED TO A- REGISTERED LOCATION AT THE CSD, AND SPECIFIC POLICIES AT THE INDIVIDUAL-SUB-CUSTODIANS MAY VARY. UPON RECEIPT OF THE VOTE INSTRUCTION, IT IS POSSIBLE-THAT A MARKER MAY BE PLACED ON YOUR SHARES TO ALLOW FOR RECONCILIATION AND-RE- REGISTRATION FOLLOWING A TRADE. THEREFORE WHILST THIS DOES NOT PREVENT THE-TRADING OF SHARES ANY THAT ARE REGISTERED MUST BE FIRST DEREGISTERED IF-REQUIRED FOR SETTLEMENT. DEREGISTRATION CAN AFFECT THE VOTING RIGHTS OF THOSE-SHARES. IF YOU HAVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR- CLIENT REPRESENTATIVE |
| Non-Voting |
|
|
|
|
|
|
|
1.1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
1.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.4 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.5 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.6 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.7 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.8 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.9 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.110 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.3.1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.3.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.3.3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.1.1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.1.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.1.3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.1.4 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.1.5 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.3.1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.3.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.3.3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
6 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
7 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
8 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
9 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
10 |
| Other Business |
| Management |
| Abstain |
| Abstain |
| For |
|
CMMT |
| PLEASE NOTE THAT THERE IS A TENDER IN PROCESS WHICH MIGHT AFFECT YOUR VOTING-AT THE ACTELION AGM (MEETINGS UNDER ISINS CH0010532478 (UNTENDERED SHARES)-AND CH0355794022 (TENDERED SHARES)). PLEASE BE AWARE THAT SHAREHOLDERS ARE- ELIGIBLE TO VOTE UNDER BOTH ISINS, UNTENDERED AND TENDERED SHARES. HOWEVER,-PLEASE ALSO NOTE THAT YOU MAY HAVE TO RE- SUBMIT YOUR VOTE INSTRUCTIONS IF YOU-TENDER AFTER YOUR INITIAL VOTE SUBMISSION AND YOUR SHARES HAVE SUCCESSFULLY-BEEN RE-BOOKED INTO THE TENDERED LINE (ISIN CH0355794022).THANK YOU. |
| Non-Voting |
|
|
|
|
|
|
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
WIX1 |
| WIX1 |
|
|
| STATE STREET BANK |
| 197,018 |
| 0 |
| 30-Mar-2017 |
| 30-Mar-2017 |
|
MULTI PACKAGING SOLUTIONS INT’L LTD
Security | G6331W109 | Meeting Type | Special |
Ticker Symbol | MPSX | Meeting Date | 05-Apr-2017 |
ISIN | BMG6331W1091 | Agenda | 934540370 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 1,896,934 |
| 0 |
| 30-Mar-2017 |
| 06-Apr-2017 |
|
BROCADE COMMUNICATIONS SYSTEMS, INC.
Security | 111621306 | Meeting Type | Annual |
Ticker Symbol | BRCD | Meeting Date | 11-Apr-2017 |
ISIN | US1116213067 | Agenda | 934532765 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation Vote |
| Management |
| 1 Year |
| 1 Year |
| For |
|
|
| Frequency |
|
|
|
|
|
|
|
|
|
4. |
| Amend Stock Option Plan |
| Management |
| For |
| For |
| For |
|
5. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 945,530 |
| 0 |
| 05-Apr-2017 |
| 12-Apr-2017 |
|
IXIA
Security | 45071R109 | Meeting Type | Special |
Ticker Symbol | XXIA | Meeting Date | 12-Apr-2017 |
ISIN | US45071R1095 | Agenda | 934547021 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Extraordinary Transaction Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 1,800,389 |
| 0 |
| 10-Apr-2017 |
| 13-Apr-2017 |
|
CLAYTON WILLIAMS ENERGY, INC.
Security | 969490101 | Meeting Type | Special |
Ticker Symbol | CWEI | Meeting Date | 24-Apr-2017 |
ISIN | US9694901011 | Agenda | 934562972 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 285,478 |
| 0 |
| 20-Apr-2017 |
| 25-Apr-2017 |
|
SOUTHWEST BANCORP, INC.
Security | 844767103 | Meeting Type | Annual |
Ticker Symbol | OKSB | Meeting Date | 25-Apr-2017 |
ISIN | US8447671038 | Agenda | 934542083 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
| |
1. |
| Election of Directors |
| Management |
|
|
|
|
|
|
| |
|
| 1 | JAMES E. BERRY II |
|
|
| For |
| For |
| For |
|
|
| 2 | THOMAS D. BERRY |
|
|
| For |
| For |
| For |
|
|
| 3 | JOHN COHLMIA |
|
|
| For |
| For |
| For |
|
|
| 4 | DAVID S. CROCKETT JR. |
|
|
| For |
| For |
| For |
|
|
| 5 | STEVEN C. DAVIS |
|
|
| For |
| For |
| For |
|
|
| 6 | PATRICE DOUGLAS |
|
|
| For |
| For |
| For |
|
|
| 7 | MARK W. FUNKE |
|
|
| For |
| For |
| For |
|
|
| 8 | JAMES M. JOHNSON |
|
|
| For |
| For |
| For |
|
|
| 9 | LARRY J. LANIE |
|
|
| For |
| For |
| For |
|
|
| 10 | JAMES M. MORRIS II |
|
|
| For |
| For |
| For |
|
|
| 11 | KAYSE M. SHRUM, D.O. |
|
|
| For |
| For |
| For |
|
|
| 12 | RUSSELL W. TEUBNER |
|
|
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
| |
3. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 148,931 |
| 0 |
| 21-Apr-2017 |
| 26-Apr-2017 |
|
ZELTIQ AESTHETICS INC.
Security | 98933Q108 | Meeting Type | Special |
Ticker Symbol | ZLTQ | Meeting Date | 27-Apr-2017 |
ISIN | US98933Q1085 | Agenda | 934567819 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 665,754 |
| 0 |
| 21-Apr-2017 |
| 28-Apr-2017 |
|
SILVER BAY REALTY TRUST CORP.
Security | 82735Q102 | Meeting Type | Special |
Ticker Symbol | SBY | Meeting Date | 05-May-2017 |
ISIN | US82735Q1022 | Agenda | 934576060 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Extraordinary Transaction Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 225,622 |
| 0 |
| 02-May-2017 |
| 08-May-2017 |
|
DELEK US HOLDINGS, INC.
Security | 246647101 | Meeting Type | Annual |
Ticker Symbol | DK | Meeting Date | 08-May-2017 |
ISIN | US2466471016 | Agenda | 934573999 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
| |
1. |
| Election of Directors |
| Management |
|
|
|
|
|
|
| |
|
| 1 | ERZA UZI YEMIN |
|
|
| For |
| For |
| For |
|
|
| 2 | WILLIAM J. FINNERTY |
|
|
| For |
| For |
| For |
|
|
| 3 | CARLOS E. JORDA |
|
|
| For |
| For |
| For |
|
|
| 4 | CHARLES H. LEONARD |
|
|
| For |
| For |
| For |
|
|
| 5 | GARY M. SULLIVAN, JR. |
|
|
| For |
| For |
| For |
|
|
| 6 | SHLOMO ZOHAR |
|
|
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
| |
3. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
| |
4. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 242,993 |
| 0 |
| 06-May-2017 |
| 09-May-2017 |
|
LINDE AG, MUENCHEN
Security | D50348107 | Meeting Type | Annual General Meeting |
Ticker Symbol |
| Meeting Date | 10-May-2017 |
ISIN | DE0006483001 | Agenda | 708004748 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
CMMT |
| ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN-CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE-NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS-AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS-NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WHPG). FOR-QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE- FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS- USUAL. THANK YOU |
| Non-Voting |
|
|
|
|
|
|
|
CMMT |
| PLEASE NOTE THAT THE TRUE RECORD DATE FOR THIS MEETING IS 19.04.2017, WHEREAS-THE MEETING HAS BEEN SETUP USING THE ACTUAL RECORD DATE - 1 BUSINESS DAY.-THIS IS DONE TO ENSURE THAT ALL POSITIONS REPORTED ARE IN CONCURRENCE WITH-THE GERMAN LAW. THANK YOU |
| Non-Voting |
|
|
|
|
|
|
|
CMMT |
| COUNTER PROPOSALS MAY BE SUBMITTED UNTIL 25.04.2017. FURTHER INFORMATION ON-COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER’S WEBSITE (PLEASE REFER-TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE-ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES- DIRECTLY AT THE COMPANY’S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED IN-THE BALLOT ON PROXYEDGE |
| Non-Voting |
|
|
|
|
|
|
|
1 |
| PRESENTATION OF THE FINANCIAL STATEMENTS AND ANNUAL REPORT FOR THE 2016-FINANCIAL YEAR WITH THE REPORT OF THE SUPERVISORY BOARD, THE GROUP FINANCIAL- STATEMENTS, THE GROUP ANNUAL REPORT, AND THE REPORT PURSUANT TO SECTIONS-289(4) AND 315(4) OF THE GERMAN COMMERCIAL CODE |
| Non-Voting |
|
|
|
|
|
|
|
2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
6 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
Account Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date Confirmed |
|
WIX1 |
| WIX1 |
|
|
| STATE STREET BANK |
| 35,589 |
| 0 |
| 02-May-2017 |
| 02-May-2017 |
|
PRIVATEBANCORP, INC.
Security | 742962103 | Meeting Type | Special |
Ticker Symbol | PVTB | Meeting Date | 12-May-2017 |
ISIN | US7429621037 | Agenda | 934591656 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 180,072 |
| 0 |
| 04-May-2017 |
| 15-May-2017 |
|
DH CORPORATION
Security | 23290R101 | Meeting Type | Special |
Ticker Symbol | DHIFF | Meeting Date | 16-May-2017 |
ISIN | CA23290R1010 | Agenda | 934573456 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
01 |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
Account Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date Confirmed |
|
WIX1SSTA 01 OM |
| ARBITRAGE FUND |
| WIX1SSTA 01 OM |
| STATE STREET TRUST |
| 2,186,182 |
| 0 |
| 04-May-2017 |
| 17-May-2017 |
|
COLUMBIA BANKING SYSTEM,INC.
Security | 197236102 | Meeting Type | Annual |
Ticker Symbol | COLB | Meeting Date | 24-May-2017 |
ISIN | US1972361026 | Agenda | 934589740 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
4. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 110,177 |
| 0 |
| 18-May-2017 |
| 25-May-2017 |
|
CASCADE BANCORP
Security | 147154207 | Meeting Type | Special |
Ticker Symbol | CACB | Meeting Date | 24-May-2017 |
ISIN | US1471542076 | Agenda | 934599424 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
4. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 1,125,723 |
| 0 |
| 18-May-2017 |
| 25-May-2017 |
|
LUMOS NETWORKS CORP.
Security | 550283105 | Meeting Type | Annual |
Ticker Symbol | LMOS | Meeting Date | 24-May-2017 |
ISIN | US5502831051 | Agenda | 934611965 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4.1 |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
4.2 |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
4.3 |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
4.4 |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
4.5 |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
4.6 |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
4.7 |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
4.8 |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
4.9 |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
5. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
6. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 658,120 |
| 0 |
| 18-May-2017 |
| 25-May-2017 |
|
LEVEL 3 COMMUNICATIONS, INC.
Security | 52729N308 | Meeting Type | Annual |
Ticker Symbol | LVLT | Meeting Date | 25-May-2017 |
ISIN | US52729N3089 | Agenda | 934580158 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1K. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
4. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 481,450 |
| 0 |
| 22-May-2017 |
| 26-May-2017 |
|
ULTRATECH, INC.
Security | 904034105 | Meeting Type | Special |
Ticker Symbol | UTEK | Meeting Date | 25-May-2017 |
ISIN | US9040341052 | Agenda | 934612513 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 1,380,498 |
| 0 |
| 22-May-2017 |
| 26-May-2017 |
|
PACIFIC PREMIER BANCORP, INC.
Security | 69478X105 | Meeting Type | Annual |
Ticker Symbol | PPBI | Meeting Date | 31-May-2017 |
ISIN | US69478X1054 | Agenda | 934613515 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
| |
1. |
| Election of Directors |
| Management |
|
|
|
|
|
|
| |
|
| 1 | JOHN J. CARONA |
|
|
| For |
| For |
| For |
|
|
| 2 | AYAD A. FARGO |
|
|
| For |
| For |
| For |
|
|
| 3 | STEVEN R. GARDNER |
|
|
| For |
| For |
| For |
|
|
| 4 | JOSEPH L. GARRETT |
|
|
| For |
| For |
| For |
|
|
| 5 | JEFF C. JONES |
|
|
| For |
| For |
| For |
|
|
| 6 | SIMONE F. LAGOMARSINO |
|
|
| For |
| For |
| For |
|
|
| 7 | MICHAEL J. MORRIS |
|
|
| For |
| For |
| For |
|
|
| 8 | MICHAEL E. PFAU |
|
|
| For |
| For |
| For |
|
|
| 9 | ZAREH H. SARRAFIAN |
|
|
| For |
| For |
| For |
|
|
| 10 | CORA M. TELLEZ |
|
|
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
| |
3. |
| Amend Stock Compensation Plan |
| Management |
| For |
| For |
| For |
| |
4. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 241,697 |
| 0 |
| 24-May-2017 |
| 01-Jun-2017 |
|
MEAD JOHNSON NUTRITION COMPANY | |||
|
|
|
|
Security | 582839106 | Meeting Type | Special |
Ticker Symbol | MJN | Meeting Date | 31-May-2017 |
ISIN | US5828391061 | Agenda | 934616446 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Reorganization Plan |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 502,872 |
| 0 |
| 24-May-2017 |
| 01-Jun-2017 |
|
NXP SEMICONDUCTORS NV. | |||
|
|
|
|
Security | N6596X109 | Meeting Type | Annual |
Ticker Symbol | NXPI | Meeting Date | 01-Jun-2017 |
ISIN | NL0009538784 | Agenda | 934626966 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
2-C |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
2-D |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
3-A |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-B |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-C |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-D |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-E |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-F |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-G |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-H |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-I |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-J |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-K |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
4-A |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
4-B |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
5 |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
6 |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 697,977 |
| 0 |
| 24-May-2017 |
| 01-Jun-2017 |
|
UNITEDHEALTH GROUP INCORPORATED | |||
|
|
|
|
Security | 91324P102 | Meeting Type | Annual |
Ticker Symbol | UNH | Meeting Date | 05-Jun-2017 |
ISIN | US91324P1021 | Agenda | 934600013 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
4. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
5. |
| S/H Proposal - Corporate Governance |
| Shareholder |
| Against |
| Against |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 231,914 |
| 0 |
| 26-May-2017 |
| 06-Jun-2017 |
|
COLUMBIA BANKING SYSTEM,INC. | |||
|
|
|
|
Security | 197236102 | Meeting Type | Special |
Ticker Symbol | COLB | Meeting Date | 08-Jun-2017 |
ISIN | US1972361026 | Agenda | 934616547 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 110,177 |
| 0 |
| 02-Jun-2017 |
| 09-Jun-2017 |
|
BNC BANCORP | |||
|
|
|
|
Security | 05566T101 | Meeting Type | Special |
Ticker Symbol | BNCN | Meeting Date | 12-Jun-2017 |
ISIN | US05566T1016 | Agenda | 934623794 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 190,763 |
| 0 |
| 06-Jun-2017 |
| 13-Jun-2017 |
|
ASTORIA FINANCIAL CORPORATION | |||
|
|
|
|
Security | 046265104 | Meeting Type | Special |
Ticker Symbol | AF | Meeting Date | 13-Jun-2017 |
ISIN | US0462651045 | Agenda | 934619593 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Reorganization Plan |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 1,556,042 |
| 0 |
| 07-Jun-2017 |
| 14-Jun-2017 |
|
MOBILEYE N.V. | |||
|
|
|
|
Security | N51488117 | Meeting Type | Annual |
Ticker Symbol | MBLY | Meeting Date | 13-Jun-2017 |
ISIN | NL0010831061 | Agenda | 934625623 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1 |
| Authorize Sale of Assets |
| Management |
| For |
| For |
| For |
|
2 |
| Approve Liquidation Plan |
| Management |
| For |
| For |
| For |
|
3 |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
4 |
| Approve Article Amendments |
| Management |
| For |
| For |
| For |
|
5 |
| Approve Article Amendments |
| Management |
| For |
| For |
| For |
|
6 |
| Adopt Accounts for Past Year |
| Management |
| For |
| For |
| For |
|
7 |
| Approve Financial Statements, Allocation of Income, and Discharge Directors |
| Management |
| For |
| For |
| For |
|
8 |
| Approve Financial Statements, Allocation of Income, and Discharge Directors |
| Management |
| For |
| For |
| For |
|
9A |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
9B |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
9C |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
10A |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
10B |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
10C |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
10D |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
10E |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
11 |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
12 |
| Authorize Directors to Repurchase Shares |
| Management |
| For |
| For |
| For |
|
13 |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 768,015 |
| 0 |
| 07-Jun-2017 |
| 14-Jun-2017 |
|
MOBILEYE N.V. | |||
|
|
|
|
Security | N51488117 | Meeting Type | Annual |
Ticker Symbol | MBLY | Meeting Date | 13-Jun-2017 |
ISIN | NL0010831061 | Agenda | 934634026 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1 |
| Authorize Sale of Assets |
| Management |
| For |
| For |
| For |
|
2 |
| Approve Liquidation Plan |
| Management |
| For |
| For |
| For |
|
3 |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
4 |
| Approve Article Amendments |
| Management |
| For |
| For |
| For |
|
5 |
| Approve Article Amendments |
| Management |
| For |
| For |
| For |
|
6 |
| Adopt Accounts for Past Year |
| Management |
| For |
| For |
| For |
|
7 |
| Approve Financial Statements, Allocation of Income, and Discharge Directors |
| Management |
| For |
| For |
| For |
|
8 |
| Approve Financial Statements, Allocation of Income, and Discharge Directors |
| Management |
| For |
| For |
| For |
|
9A |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
9B |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
9C |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
10A |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
10B |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
10C |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
10D |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
10E |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
11 |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
12 |
| Authorize Directors to Repurchase Shares |
| Management |
| For |
| For |
| For |
|
13 |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 839,316 |
| 0 |
| 07-Jun-2017 |
| 14-Jun-2017 |
|
TIME WARNER INC.
Security | 887317303 | Meeting Type | Annual |
Ticker Symbol | TWX | Meeting Date | 15-Jun-2017 |
ISIN | US8873173038 | Agenda | 934609299 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 537,132 |
| 0 |
| 09-Jun-2017 |
| 16-Jun-2017 |
|
LUMENPULSE INC.
Security | 55024T102 | Meeting Type | Special |
Ticker Symbol | LMPLF | Meeting Date | 16-Jun-2017 |
ISIN | CA55024T1021 | Agenda | 934631929 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
01 |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX1SSTA 01 OM |
| ARBITRAGE FUND |
| WIX1SSTA 01 OM |
| STATE STREET TRUST |
| 900,057 |
| 0 |
| 09-Jun-2017 |
| 19-Jun-2017 |
|
ALLIED WORLD ASSURANCE COMPANY HLDGS, AG
Security | H01531104 | Meeting Type | Annual |
Ticker Symbol | AWH | Meeting Date | 21-Jun-2017 |
ISIN | CH0121032772 | Agenda | 934641172 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3A. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
3B. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
3C. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
3D. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
3E. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
3F. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
4. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
5. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
6. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
7. |
| Receive Consolidated Financial Statements |
| Management |
| For |
| For |
| For |
|
8. |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
9. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
10. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
11. |
| Approve Financial Statements, Allocation of Income, and Discharge Directors |
| Management |
| For |
| For |
| For |
|
12. |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 2,271,111 |
| 0 |
| 15-Jun-2017 |
| 22-Jun-2017 |
|
GENERAL COMMUNICATION, INC.
Security | 369385109 | Meeting Type | Annual |
Ticker Symbol | GNCMA | Meeting Date | 26-Jun-2017 |
ISIN | US3693851095 | Agenda | 934626485 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 3 Years |
| 3 Years |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 418,131 |
| 0 |
| 22-Jun-2017 |
| 27-Jun-2017 |
|
DELEK US HOLDINGS, INC.
Security | 246647101 | Meeting Type | Special |
Ticker Symbol | DK | Meeting Date | 29-Jun-2017 |
ISIN | US2466471016 | Agenda | 934642693 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Stock Issuance |
| Management |
| Against |
| For |
| Against |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| Against |
| For |
| Against |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 242,993 |
| 0 |
| 26-Jun-2017 |
| 30-Jun-2017 |
|
KCG HOLDINGS, INC.
Security | 48244B100 | Meeting Type | Special |
Ticker Symbol | KCG | Meeting Date | 30-Jun-2017 |
ISIN | US48244B1008 | Agenda | 934645005 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
|
|
| For |
|
|
|
2. |
| 14A Executive Compensation |
| Management |
|
|
| For |
|
|
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
|
|
| For |
|
|
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX1 |
| ARBITRAGE FUND |
| 997WIX1 |
| STATE STREET BANK & TRUST CO |
| 566,000 |
| 0 |
|
|
|
|
|
THE ARBITRAGE EVENT-DRIVEN FUND
Investment Company Report
TIVO INC.
Security | 888706108 | Meeting Type | Annual |
Ticker Symbol | TIVO | Meeting Date | 11-Jul-2016 |
ISIN | US8887061088 | Agenda | 934446863 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| Stock Issuance |
| Management |
| For |
| For |
| For |
|
4. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 249,053 |
| 0 |
| 07-Jul-2016 |
| 12-Jul-2016 |
|
TUMI HOLDINGS, INC
Security | 89969Q104 | Meeting Type | Special |
Ticker Symbol | TUMI | Meeting Date | 12-Jul-2016 |
ISIN | US89969Q1040 | Agenda | 934449047 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 84,794 |
| 0 |
| 08-Jul-2016 |
| 13-Jul-2016 |
|
CVENT, INC.
Security | 23247G109 | Meeting Type | Special |
Ticker Symbol | CVT | Meeting Date | 12-Jul-2016 |
ISIN | US23247G1094 | Agenda | 934451066 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 161,427 |
| 0 |
| 08-Jul-2016 |
| 13-Jul-2016 |
|
OFFICE DEPOT, INC.
Security | 676220106 | Meeting Type | Annual |
Ticker Symbol | ODP | Meeting Date | 13-Jul-2016 |
ISIN | US6762201068 | Agenda | 934451977 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 92,375 |
| 0 |
| 11-Jul-2016 |
| 14-Jul-2016 |
|
SABMILLER PLC, WOKING SURREY
Security | G77395104 | Meeting Type | Annual General Meeting |
Ticker Symbol |
| Meeting Date | 21-Jul-2016 |
ISIN | GB0004835483 | Agenda | 707207646 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
6 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
7 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
8 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
9 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
10 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
11 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
12 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
13 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
14 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
15 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
16 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
17 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
18 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
19 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
20 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
21 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
22 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
23 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
WIX2 |
| WIX2 |
|
|
| STATE STREET BANK |
| 88,504 |
| 0 |
| 12-Jul-2016 |
| 15-Jul-2016 |
|
EXAMWORKS GROUP, INC.(EXAM)
Security | 30066A105 | Meeting Type | Special |
Ticker Symbol | EXAM | Meeting Date | 26-Jul-2016 |
ISIN | US30066A1051 | Agenda | 934455456 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| Abstain |
| For |
| Against |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| Abstain |
| For |
| Against |
|
3. |
| 14A Executive Compensation |
| Management |
| Abstain |
| For |
| Against |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 35,698 |
| 0 |
| 21-Jul-2016 |
| 27-Jul-2016 |
|
KRISPY KREME DOUGHNUTS, INC.
Security | 501014104 | Meeting Type | Special |
Ticker Symbol | KKD | Meeting Date | 27-Jul-2016 |
ISIN | US5010141043 | Agenda | 934456674 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 74,097 |
| 0 |
| 25-Jul-2016 |
| 28-Jul-2016 |
|
MARKETO INC.
Security | 57063L107 | Meeting Type | Special |
Ticker Symbol | MKTO | Meeting Date | 28-Jul-2016 |
ISIN | US57063L1070 | Agenda | 934458553 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 91,787 |
| 0 |
| 25-Jul-2016 |
| 29-Jul-2016 |
|
PREMIER FARNELL PLC, LEEDS
Security | G33292106 | Meeting Type | Ordinary General Meeting |
Ticker Symbol |
| Meeting Date | 29-Jul-2016 |
ISIN | GB0003318416 | Agenda | 707252033 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
WIX2 |
| WIX2 |
|
|
| STATE STREET BANK |
| 283,064 |
| 0 |
| 25-Jul-2016 |
| 26-Jul-2016 |
|
PREMIER FARNELL PLC, LEEDS
Security | G33292106 | Meeting Type | Court Meeting |
Ticker Symbol |
| Meeting Date | 29-Jul-2016 |
ISIN | GB0003318416 | Agenda | 707252045 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
CMMT |
| PLEASE NOTE THAT ABSTAIN IS NOT A VALID VOTE OPTION FOR THIS MEETING TYPE.-PLEASE CHOOSE BETWEEN “FOR” AND “AGAINST” ONLY. SHOULD YOU CHOOSE TO VOTE-ABSTAIN FOR THIS MEETING THEN YOUR VOTE WILL BE DISREGARDED BY THE ISSUER OR-ISSUERS AGENT |
| Non-Voting |
|
|
|
|
|
|
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
WIX2 |
| WIX2 |
|
|
| STATE STREET BANK |
| 283,064 |
| 0 |
| 25-Jul-2016 |
| 26-Jul-2016 |
|
INTERVAL LEISURE GROUP INC
Security | 46113M108 | Meeting Type | Annual |
Ticker Symbol | IILG | Meeting Date | 03-Aug-2016 |
ISIN | US46113M1080 | Agenda | 934452501 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
| |
1. |
| Election of Directors |
| Management |
|
|
|
|
|
|
| |
|
| 1 | CRAIG M. NASH |
|
|
| For |
| For |
| For |
|
|
| 2 | DAVID FLOWERS |
|
|
| For |
| For |
| For |
|
|
| 3 | VICTORIA L. FREED |
|
|
| For |
| For |
| For |
|
|
| 4 | LIZANNE GALBREATH |
|
|
| For |
| For |
| For |
|
|
| 5 | CHAD HOLLINGSWORTH |
|
|
| For |
| For |
| For |
|
|
| 6 | LEWIS J. KORMAN |
|
|
| For |
| For |
| For |
|
|
| 7 | THOMAS J. KUHN |
|
|
| For |
| For |
| For |
|
|
| 8 | THOMAS J. MCINERNEY |
|
|
| For |
| For |
| For |
|
|
| 9 | THOMAS P. MURPHY, JR. |
|
|
| For |
| For |
| For |
|
|
| 10 | STEPHEN R. QUAZZO |
|
|
| For |
| For |
| For |
|
|
| 11 | SERGIO D. RIVERA |
|
|
| For |
| For |
| For |
|
|
| 12 | THOMAS O. RYDER |
|
|
| For |
| For |
| For |
|
|
| 13 | AVY H. STEIN |
|
|
| For |
| For |
| For |
|
2. |
| Amend Stock Compensation Plan |
| Management |
| For |
| For |
| For |
| |
3. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 9 |
| 0 |
| 03-Aug-2016 |
|
|
|
XURA, INC.
Security | 98420V107 | Meeting Type | Annual |
Ticker Symbol | MESG | Meeting Date | 16-Aug-2016 |
ISIN | US98420V1070 | Agenda | 934460851 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
2A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
3. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
4. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 85,002 |
| 0 |
| 11-Aug-2016 |
| 17-Aug-2016 |
|
TYCO INTERNATIONAL PLC
Security | G91442106 | Meeting Type | Special |
Ticker Symbol | TYC | Meeting Date | 17-Aug-2016 |
ISIN | IE00BQRQXQ92 | Agenda | 934459327 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
2. |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Reorganization Plan |
| Management |
| For |
| For |
| For |
|
4. |
| Increase Share Capital |
| Management |
| For |
| For |
| For |
|
5. |
| Allot Securities |
| Management |
| For |
| For |
| For |
|
6. |
| Approve Company Name Change |
| Management |
| For |
| For |
| For |
|
7. |
| Increase Share Capital |
| Management |
| For |
| For |
| For |
|
8. |
| Allot Securities |
| Management |
| For |
| For |
| For |
|
9. |
| Eliminate Pre-Emptive Rights |
| Management |
| For |
| For |
| For |
|
10. |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
11. |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 61,619 |
| 0 |
| 09-Aug-2016 |
| 16-Aug-2016 |
|
QLIK TECHNOLOGIES INC.
Security | 74733T105 | Meeting Type | Special |
Ticker Symbol | QLIK | Meeting Date | 17-Aug-2016 |
ISIN | US74733T1051 | Agenda | 934459668 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 183,997 |
| 0 |
| 12-Aug-2016 |
| 18-Aug-2016 |
|
LINKEDIN CORPORATION
Security | 53578A108 | Meeting Type | Special |
Ticker Symbol | LNKD | Meeting Date | 19-Aug-2016 |
ISIN | US53578A1088 | Agenda | 934464405 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 22,504 |
| 0 |
| 15-Aug-2016 |
| 22-Aug-2016 |
|
PARKWAY PROPERTIES, INC.
Security | 70159Q104 | Meeting Type | Special |
Ticker Symbol | PKY | Meeting Date | 23-Aug-2016 |
ISIN | US70159Q1040 | Agenda | 934464710 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 29,037 |
| 0 |
| 17-Aug-2016 |
| 24-Aug-2016 |
|
FEI COMPANY
Security | 30241L109 | Meeting Type | Special |
Ticker Symbol | FEIC | Meeting Date | 30-Aug-2016 |
ISIN | US30241L1098 | Agenda | 934465798 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1 |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2 |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3 |
| 14A Extraordinary Transaction Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 20,955 |
| 0 |
| 24-Aug-2016 |
| 31-Aug-2016 |
|
AXIALL CORPORATION
Security | 05463D100 | Meeting Type | Special |
Ticker Symbol | AXLL | Meeting Date | 30-Aug-2016 |
ISIN | US05463D1000 | Agenda | 934466372 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 63,753 |
| 0 |
| 24-Aug-2016 |
| 31-Aug-2016 |
|
POLYCOM, INC.
Security | 73172K104 | Meeting Type | Special |
Ticker Symbol | PLCM | Meeting Date | 02-Sep-2016 |
ISIN | US73172K1043 | Agenda | 934468009 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 327,590 |
| 0 |
| 29-Aug-2016 |
| 29-Aug-2016 |
|
POUNDLAND GROUP PLC, WILLENHALL
Security | G7198K105 | Meeting Type | Annual General Meeting |
Ticker Symbol |
| Meeting Date | 07-Sep-2016 |
ISIN | GB00BJ34VB96 | Agenda | 707306040 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
6 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
7 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
8 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
9 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
10 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
11 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
12 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
13 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
14 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
15 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
16 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
17 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
18 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
WIX2 |
| WIX2 |
|
|
| STATE STREET BANK |
| 147,517 |
| 0 |
| 29-Aug-2016 |
| 06-Sep-2016 |
|
POUNDLAND GROUP PLC, WILLENHALL
Security | G7198K105 | Meeting Type | Court Meeting |
Ticker Symbol |
| Meeting Date | 07-Sep-2016 |
ISIN | GB00BJ34VB96 | Agenda | 707320393 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
CMMT |
| PLEASE NOTE THAT ABSTAIN IS NOT A VALID VOTE OPTION FOR THIS MEETING TYPE.-PLEASE CHOOSE BETWEEN “FOR” AND “AGAINST” ONLY. SHOULD YOU CHOOSE TO VOTE-ABSTAIN FOR THIS MEETING THEN YOUR VOTE WILL BE DISREGARDED BY THE ISSUER OR-ISSUERS AGENT |
| Non-Voting |
|
|
|
|
|
|
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX2 |
| WIX2 |
|
|
| STATE STREET BANK |
| 147,517 |
| 0 |
| 29-Aug-2016 |
| 06-Sep-2016 |
|
|
POUNDLAND GROUP PLC, WILLENHALL
Security | G7198K105 | Meeting Type | Ordinary General Meeting |
Ticker Symbol |
| Meeting Date | 07-Sep-2016 |
ISIN | GB00BJ34VB96 | Agenda | 707320406 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX2 |
| WIX2 |
|
|
| STATE STREET BANK |
| 147,517 |
| 0 |
| 29-Aug-2016 |
| 06-Sep-2016 |
|
|
TIVO INC.
Security | 888706108 | Meeting Type | Special |
Ticker Symbol | TIVO | Meeting Date | 07-Sep-2016 |
ISIN | US8887061088 | Agenda | 934467514 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Extraordinary Transaction Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 392,838 |
| 0 |
| 01-Sep-2016 |
| 08-Sep-2016 |
|
|
PREMIER FARNELL PLC, LEEDS
Security | G33292106 | Meeting Type | Court Meeting |
Ticker Symbol |
| Meeting Date | 12-Sep-2016 |
ISIN | GB0003318416 | Agenda | 707327753 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
CMMT |
| PLEASE NOTE THAT ABSTAIN IS NOT A VALID VOTE OPTION FOR THIS MEETING TYPE.-PLEASE CHOOSE BETWEEN “FOR” AND “AGAINST” ONLY. SHOULD YOU CHOOSE TO VOTE-ABSTAIN FOR THIS MEETING THEN YOUR VOTE WILL BE DISREGARDED BY THE ISSUER OR-ISSUERS AGENT. |
| Non-Voting |
|
|
|
|
|
|
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX2 |
| WIX2 |
|
|
| STATE STREET BANK |
| 264,939 |
| 0 |
| 01-Sep-2016 |
| 06-Sep-2016 |
|
|
PREMIER FARNELL PLC, LEEDS
Security | G33292106 | Meeting Type | Ordinary General Meeting |
Ticker Symbol |
| Meeting Date | 12-Sep-2016 |
ISIN | GB0003318416 | Agenda | 707327765 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX2 |
| WIX2 |
|
|
| STATE STREET BANK |
| 264,939 |
| 0 |
| 01-Sep-2016 |
| 06-Sep-2016 |
|
|
INTEROIL CORPORATION
Security | 460951106 | Meeting Type | Special |
Ticker Symbol | IOC | Meeting Date | 21-Sep-2016 |
ISIN | CA4609511064 | Agenda | 934473656 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
01 |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 22,580 |
| 0 |
| 13-Sep-2016 |
| 22-Sep-2016 |
|
|
WESTAR ENERGY, INC.
Security | 95709T100 | Meeting Type | Special |
Ticker Symbol | WR | Meeting Date | 26-Sep-2016 |
ISIN | US95709T1007 | Agenda | 934475117 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
01 |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
02 |
| 14A Extraordinary Transaction Executive Compensation |
| Management |
| For |
| For |
| For |
|
03 |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 57,767 |
| 0 |
| 20-Sep-2016 |
| 27-Sep-2016 |
|
|
SABMILLER PLC, WOKING SURREY
Security | G77395104 | Meeting Type | Ordinary General Meeting |
Ticker Symbol |
| Meeting Date | 28-Sep-2016 |
ISIN | GB0004835483 | Agenda | 707342654 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX2 |
| WIX2 |
|
|
| STATE STREET BANK |
| 89,995 |
| 0 |
| 19-Sep-2016 |
| 22-Sep-2016 |
|
|
SABMILLER PLC, WOKING SURREY
Security | G77395104 | Meeting Type | Court Meeting |
Ticker Symbol |
| Meeting Date | 28-Sep-2016 |
ISIN | GB0004835483 | Agenda | 707343808 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
CMMT |
| PLEASE NOTE THAT ABSTAIN IS NOT A VALID VOTE OPTION FOR THIS MEETING TYPE.-PLEASE CHOOSE BETWEEN “FOR” AND “AGAINST” ONLY. SHOULD YOU CHOOSE TO VOTE-ABSTAIN FOR THIS MEETING THEN YOUR VOTE WILL BE DISREGARDED BY THE ISSUER OR-ISSUERS AGENT |
| Non-Voting |
|
|
|
|
|
|
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX2 |
| WIX2 |
|
|
| STATE STREET BANK |
| 89,995 |
| 0 |
| 19-Sep-2016 |
| 22-Sep-2016 |
|
|
THE WHITEWAVE FOODS COMPANY
Security | 966244105 | Meeting Type | Special |
Ticker Symbol | WWAV | Meeting Date | 04-Oct-2016 |
ISIN | US9662441057 | Agenda | 934476640 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 70,579 |
| 0 |
| 28-Sep-2016 |
| 05-Oct-2016 |
|
|
TALEN ENERGY CORPORATION
Security | 87422J105 | Meeting Type | Special |
Ticker Symbol | TLN | Meeting Date | 06-Oct-2016 |
ISIN | US87422J1051 | Agenda | 934478606 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 44,898 |
| 0 |
| 30-Sep-2016 |
| 07-Oct-2016 |
|
|
CYNAPSUS THERAPEUTICS INC.
Security | 23257Y859 | Meeting Type | Special |
Ticker Symbol | CYNA | Meeting Date | 13-Oct-2016 |
ISIN | CA23257Y8595 | Agenda | 934482934 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
01 |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 10,632 |
| 0 |
| 30-Sep-2016 |
| 14-Oct-2016 |
|
|
JOY GLOBAL INC.
Security | 481165108 | Meeting Type | Special |
Ticker Symbol | JOY | Meeting Date | 19-Oct-2016 |
ISIN | US4811651086 | Agenda | 934478581 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Extraordinary Transaction Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 24,500 |
| 0 |
| 13-Oct-2016 |
| 20-Oct-2016 |
|
|
ST. JUDE MEDICAL, INC.
Security | 790849103 | Meeting Type | Annual |
Ticker Symbol | STJ | Meeting Date | 26-Oct-2016 |
ISIN | US7908491035 | Agenda | 934486110 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
4. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
5. |
| Approve Stock Compensation Plan |
| Management |
| For |
| For |
| For |
|
6. |
| Declassify Board |
| Management |
| For |
| For |
| For |
|
7. |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
8. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
9. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
10. |
| S/H Proposal - Corporate Governance |
| Shareholder |
| Against |
| Against |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 76,030 |
| 0 |
| 25-Oct-2016 |
| 27-Oct-2016 |
|
POST PROPERTIES, INC.
Security | 737464107 | Meeting Type | Special |
Ticker Symbol | PPS | Meeting Date | 10-Nov-2016 |
ISIN | US7374641071 | Agenda | 934488138 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1) |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2) |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3) |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 6,103 |
| 0 |
| 08-Nov-2016 |
| 11-Nov-2016 |
|
ORACLE CORPORATION
Security | 68389X105 | Meeting Type | Annual |
Ticker Symbol | ORCL | Meeting Date | 16-Nov-2016 |
ISIN | US68389X1054 | Agenda | 934483556 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
| |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
| |
1. |
| Election of Directors |
| Management |
|
|
|
|
|
|
| |
|
| 1 | JEFFREY S. BERG |
|
|
| For |
| For |
| For |
|
|
| 2 | H. RAYMOND BINGHAM |
|
|
| For |
| For |
| For |
|
|
| 3 | MICHAEL J. BOSKIN |
|
|
| For |
| For |
| For |
|
|
| 4 | SAFRA A. CATZ |
|
|
| For |
| For |
| For |
|
|
| 5 | BRUCE R. CHIZEN |
|
|
| For |
| For |
| For |
|
|
| 6 | GEORGE H. CONRADES |
|
|
| For |
| For |
| For |
|
|
| 7 | LAWRENCE J. ELLISON |
|
|
| For |
| For |
| For |
|
|
| 8 | HECTOR GARCIA-MOLINA |
|
|
| For |
| For |
| For |
|
|
| 9 | JEFFREY O. HENLEY |
|
|
| For |
| For |
| For |
|
|
| 10 | MARK V. HURD |
|
|
| For |
| For |
| For |
|
|
| 11 | RENEE J. JAMES |
|
|
| For |
| For |
| For |
|
|
| 12 | LEON E. PANETTA |
|
|
| For |
| For |
| For |
|
|
| 13 | NAOMI O. SELIGMAN |
|
|
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
| |
3. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
| |
4. |
| S/H Proposal - Political/Government |
| Shareholder |
| Against |
| Against |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 5,908 |
| 0 |
| 14-Nov-2016 |
| 17-Nov-2016 |
|
CST BRANDS, INC.
Security | 12646R105 | Meeting Type | Special |
Ticker Symbol | CST | Meeting Date | 16-Nov-2016 |
ISIN | US12646R1059 | Agenda | 934490513 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 79,875 |
| 0 |
| 10-Nov-2016 |
| 17-Nov-2016 |
|
CABELA’S INCORPORATED
Security | 126804301 | Meeting Type | Annual |
Ticker Symbol | CAB | Meeting Date | 13-Dec-2016 |
ISIN | US1268043015 | Agenda | 934504300 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 59,075 |
| 0 |
| 12-Dec-2016 |
| 14-Dec-2016 |
|
TEAM HEALTH HOLDINGS, INC.
Security | 87817A107 | Meeting Type | Special |
Ticker Symbol | TMH | Meeting Date | 11-Jan-2017 |
ISIN | US87817A1079 | Agenda | 934514818 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 74,531 |
| 0 |
| 05-Jan-2017 |
| 12-Jan-2017 |
|
CBOE HOLDINGS INC
Security | 12503M108 | Meeting Type | Special |
Ticker Symbol | CBOE | Meeting Date | 17-Jan-2017 |
ISIN | US12503M1080 | Agenda | 934515175 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Stock Issuance |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 11,947 |
| 0 |
| 10-Jan-2017 |
| 18-Jan-2017 |
|
INTELIQUENT, INC.
Security | 45825N107 | Meeting Type | Special |
Ticker Symbol | IQNT | Meeting Date | 17-Jan-2017 |
ISIN | US45825N1072 | Agenda | 934515454 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 6,897 |
| 0 |
| 10-Jan-2017 |
| 18-Jan-2017 |
|
AIR PRODUCTS AND CHEMICALS, INC.
Security | 009158106 | Meeting Type | Annual |
Ticker Symbol | APD | Meeting Date | 26-Jan-2017 |
ISIN | US0091581068 | Agenda | 934513424 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2 |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3 |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
4 |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 10,640 |
| 0 |
| 20-Jan-2017 |
| 27-Jan-2017 |
|
LIFELOCK, INC.
Security | 53224V100 | Meeting Type | Special |
Ticker Symbol | LOCK | Meeting Date | 26-Jan-2017 |
ISIN | US53224V1008 | Agenda | 934518056 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Extraordinary Transaction Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 38,121 |
| 0 |
| 20-Jan-2017 |
| 27-Jan-2017 |
|
BROCADE COMMUNICATIONS SYSTEMS, INC.
Security | 111621306 | Meeting Type | Special |
Ticker Symbol | BRCD | Meeting Date | 26-Jan-2017 |
ISIN | US1116213067 | Agenda | 934518082 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 82,483 |
| 0 |
| 20-Jan-2017 |
| 27-Jan-2017 |
|
ENDURANCE SPECIALTY HOLDINGS LTD.
Security | G30397106 | Meeting Type | Special |
Ticker Symbol | ENH | Meeting Date | 27-Jan-2017 |
ISIN | BMG303971060 | Agenda | 934519565 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Extraordinary Transaction Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 47,707 |
| 0 |
| 23-Jan-2017 |
| 30-Jan-2017 |
|
NXP SEMICONDUCTORS NV.
Security | N6596X109 | Meeting Type | Special |
Ticker Symbol | NXPI | Meeting Date | 27-Jan-2017 |
ISIN | NL0009538784 | Agenda | 934520897 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
3.A |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3.B |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3.C |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3.D |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3.E |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
4. |
| Classify/Stagger Board of Directors |
| Management |
| For |
| For |
| For |
|
5.A |
| Authorize Sale of Assets |
| Management |
| For |
| For |
| For |
|
5.B |
| Approve Liquidation Plan |
| Management |
| For |
| For |
| For |
|
6.A |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
6.B |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 30,654 |
| 0 |
| 18-Jan-2017 |
| 30-Jan-2017 |
|
CGI GROUP INC.
Security | 39945C109 | Meeting Type | Annual |
Ticker Symbol | GIB | Meeting Date | 01-Feb-2017 |
ISIN | CA39945C1095 | Agenda | 934516494 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
| |
01 |
| Election of Directors (Majority Voting) |
| Management |
|
|
|
|
|
|
| |
|
| 1 | ALAIN BOUCHARD |
|
|
| For |
| For |
| For |
|
|
| 2 | BERNARD BOURIGEAUD |
|
|
| For |
| For |
| For |
|
|
| 3 | JEAN BRASSARD |
|
|
| For |
| For |
| For |
|
|
| 4 | DOMINIC D’ALESSANDRO |
|
|
| For |
| For |
| For |
|
|
| 5 | PAULE DORÉ |
|
|
| For |
| For |
| For |
|
|
| 6 | RICHARD B. EVANS |
|
|
| For |
| For |
| For |
|
|
| 7 | JULIE GODIN |
|
|
| For |
| For |
| For |
|
|
| 8 | SERGE GODIN |
|
|
| For |
| For |
| For |
|
|
| 9 | TIMOTHY J. HEARN |
|
|
| For |
| For |
| For |
|
|
| 10 | ANDRÉ IMBEAU |
|
|
| For |
| For |
| For |
|
|
| 11 | GILLES LABBÉ |
|
|
| For |
| For |
| For |
|
|
| 12 | HEATHER MUNROE-BLUM |
|
|
| For |
| For |
| For |
|
|
| 13 | MICHAEL E. ROACH |
|
|
| For |
| For |
| For |
|
|
| 14 | GEORGE D. SCHINDLER |
|
|
| For |
| For |
| For |
|
|
| 15 | JOAKIM WESTH |
|
|
| For |
| For |
| For |
|
02 |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
| |
03 |
| S/H Proposal - Corporate Governance |
| Shareholder |
| Against |
| Against |
| For |
| |
04 |
| S/H Proposal - Corporate Governance |
| Shareholder |
| Against |
| Against |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 2,159 |
| 0 |
| 25-Jan-2017 |
| 02-Feb-2017 |
|
CHEMTURA CORPORATION
Security | 163893209 | Meeting Type | Special |
Ticker Symbol | CHMT | Meeting Date | 01-Feb-2017 |
ISIN | US1638932095 | Agenda | 934519147 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1 |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2 |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3 |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 92,020 |
| 0 |
| 26-Jan-2017 |
| 02-Feb-2017 |
|
MENTOR GRAPHICS CORPORATION
Security | 587200106 | Meeting Type | Special |
Ticker Symbol | MENT | Meeting Date | 02-Feb-2017 |
ISIN | US5872001061 | Agenda | 934520568 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1 |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 44,389 |
| 0 |
| 01-Feb-2017 |
| 03-Feb-2017 |
|
ACCENTURE PLC
Security | G1151C101 | Meeting Type | Annual |
Ticker Symbol | ACN | Meeting Date | 10-Feb-2017 |
ISIN | IE00B4BNMY34 | Agenda | 934516874 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
1K. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
4. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
5. |
| Stock Issuance |
| Management |
| For |
| For |
| For |
|
6. |
| Eliminate Pre-Emptive Rights |
| Management |
| For |
| For |
| For |
|
7. |
| Allot Securities |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 879 |
| 0 |
| 06-Feb-2017 |
| 13-Feb-2017 |
|
INTEROIL CORPORATION
Security | 460951106 | Meeting Type | Special |
Ticker Symbol | IOC | Meeting Date | 14-Feb-2017 |
ISIN | CA4609511064 | Agenda | 934522726 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
01 |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 60,372 |
| 0 |
| 06-Feb-2017 |
| 15-Feb-2017 |
|
TIME WARNER INC.
Security | 887317303 | Meeting Type | Special |
Ticker Symbol | TWX | Meeting Date | 15-Feb-2017 |
ISIN | US8873173038 | Agenda | 934521560 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 27,303 |
| 0 |
| 09-Feb-2017 |
| 16-Feb-2017 |
|
VASCULAR SOLUTIONS, INC.
Security | 92231M109 | Meeting Type | Special |
Ticker Symbol | VASC | Meeting Date | 16-Feb-2017 |
ISIN | US92231M1099 | Agenda | 934524201 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Extraordinary Transaction Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Annual Meeting Date/Time Change |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 22,768 |
| 0 |
| 13-Feb-2017 |
| 17-Feb-2017 |
|
HARMAN INTERNATIONAL INDUSTRIES, INC.
Security | 413086109 | Meeting Type | Special |
Ticker Symbol | HAR | Meeting Date | 17-Feb-2017 |
ISIN | US4130861093 | Agenda | 934524667 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 33,160 |
| 0 |
| 14-Feb-2017 |
| 14-Feb-2017 |
|
LIONBRIDGE TECHNOLOGIES, INC.
Security | 536252109 | Meeting Type | Special |
Ticker Symbol | LIOX | Meeting Date | 28-Feb-2017 |
ISIN | US5362521099 | Agenda | 934528211 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 32,630 |
| 0 |
| 23-Feb-2017 |
| 01-Mar-2017 |
|
QUALCOMM INCORPORATED
Security | 747525103 | Meeting Type | Annual |
Ticker Symbol | QCOM | Meeting Date | 07-Mar-2017 |
ISIN | US7475251036 | Agenda | 934522435 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1K. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| S/H Proposal - Access To Proxy |
| Shareholder |
| Against |
| Against |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 12,287 |
| 0 |
| 01-Mar-2017 |
| 08-Mar-2017 |
|
CABOT MICROELECTRONICS CORPORATION
Security | 12709P103 | Meeting Type | Annual |
Ticker Symbol | CCMP | Meeting Date | 07-Mar-2017 |
ISIN | US12709P1030 | Agenda | 934524592 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Election of Directors |
| Management |
|
|
|
|
|
|
|
|
| 1 PAUL J. REILLY |
|
|
| For |
| For |
| For |
|
|
| 2 GEOFFREY WILD |
|
|
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
4. |
| Approve Stock Compensation Plan |
| Management |
| For |
| For |
| For |
|
5. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 4,981 |
| 0 |
| 01-Mar-2017 |
| 08-Mar-2017 |
|
LEVEL 3 COMMUNICATIONS, INC.
Security | 52729N308 | Meeting Type | Special |
Ticker Symbol | LVLT | Meeting Date | 16-Mar-2017 |
ISIN | US52729N3089 | Agenda | 934530999 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 11,693 |
| 0 |
| 14-Mar-2017 |
| 17-Mar-2017 |
|
HEWLETT PACKARD ENTERPRISE COMPANY
Security | 42824C109 | Meeting Type | Annual |
Ticker Symbol | HPE | Meeting Date | 22-Mar-2017 |
ISIN | US42824C1099 | Agenda | 934528502 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1K. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1L. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1M. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1N. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| Approve Stock Compensation Plan |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 83,548 |
| 0 |
| 16-Mar-2017 |
| 23-Mar-2017 |
|
ALLIED WORLD ASSURANCE COMPANY HLDGS, AG
Security | H01531104 | Meeting Type | Special |
Ticker Symbol | AWH | Meeting Date | 22-Mar-2017 |
ISIN | CH0121032772 | Agenda | 934534214 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
2. |
| Dividends |
| Management |
| For |
| For |
| For |
|
3. |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 140,141 |
| 0 |
| 16-Mar-2017 |
| 23-Mar-2017 |
|
THE VALSPAR CORPORATION
Security | 920355104 | Meeting Type | Annual |
Ticker Symbol | VAL | Meeting Date | 24-Mar-2017 |
ISIN | US9203551042 | Agenda | 934532727 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
4. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 43,659 |
| 0 |
| 20-Mar-2017 |
| 27-Mar-2017 |
|
MILESTONE APARTMENTS REIT
Security | 59934P101 | Meeting Type | Special |
Ticker Symbol | MSTUF | Meeting Date | 28-Mar-2017 |
ISIN | CA59934P1018 | Agenda | 934528956 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
01 |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX2SSTA 01 OM |
| ARBITRAGE EVENT-DRIVEN FUND |
| WIX2SSTA 01 OM |
| STATE STREET TRUST |
| 90,669 |
| 0 |
| 22-Mar-2017 |
| 29-Mar-2017 |
|
VCA INC.
Security | 918194101 | Meeting Type | Special |
Ticker Symbol | WOOF | Meeting Date | 28-Mar-2017 |
ISIN | US9181941017 | Agenda | 934532145 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT-DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 39,348 |
| 0 |
| 22-Mar-2017 |
| 29-Mar-2017 |
|
ACTELION LTD
Security | H0032X176 | Meeting Type | Annual General Meeting |
Ticker Symbol |
| Meeting Date | 05-Apr-2017 |
ISIN | CH0355794022 | Agenda | 707844115 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
CMMT |
| PART 2 OF THIS MEETING IS FOR VOTING ON AGENDA AND MEETING ATTENDANCE-REQUESTS ONLY. PLEASE ENSURE THAT YOU HAVE FIRST VOTED IN FAVOUR OF THE- REGISTRATION OF SHARES IN PART 1 OF THE MEETING. IT IS A MARKET REQUIREMENT-FOR MEETINGS OF THIS TYPE THAT THE SHARES ARE REGISTERED AND MOVED TO A- REGISTERED LOCATION AT THE CSD, AND SPECIFIC POLICIES AT THE INDIVIDUAL-SUB-CUSTODIANS MAY VARY. UPON RECEIPT OF THE VOTE INSTRUCTION, IT IS POSSIBLE-THAT A MARKER MAY BE PLACED ON YOUR SHARES TO ALLOW FOR RECONCILIATION AND-RE- REGISTRATION FOLLOWING A TRADE. THEREFORE WHILST THIS DOES NOT PREVENT THE-TRADING OF SHARES ANY THAT ARE REGISTERED MUST BE FIRST DEREGISTERED IF-REQUIRED FOR SETTLEMENT. DEREGISTRATION CAN AFFECT THE VOTING RIGHTS OF THOSE-SHARES. IF YOU HAVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR- CLIENT REPRESENTATIVE |
| Non-Voting |
|
|
|
|
|
|
|
1.1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
1.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.4 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.5 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.6 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.7 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.8 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.9 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.110 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.3.1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.3.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.3.3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.1.1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.1.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.1.3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.1.4 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.1.5 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.3.1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.3.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.3.3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
6 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
7 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
8 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
9 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
10 |
| Other Business |
| Management |
| Abstain |
| Abstain |
| For |
|
CMMT |
| PLEASE NOTE THAT THERE IS A TENDER IN PROCESS WHICH MIGHT AFFECT YOUR VOTING-AT THE ACTELION AGM (MEETINGS UNDER ISINS CH0010532478 (UNTENDERED SHARES)-AND CH0355794022 (TENDERED SHARES)). PLEASE BE AWARE THAT SHAREHOLDERS ARE- ELIGIBLE TO VOTE UNDER BOTH ISINS, UNTENDERED AND TENDERED SHARES. HOWEVER,-PLEASE ALSO NOTE THAT YOU MAY HAVE TO RE- SUBMIT YOUR VOTE INSTRUCTIONS IF YOU-TENDER AFTER YOUR INITIAL VOTE SUBMISSION AND YOUR SHARES HAVE SUCCESSFULLY-BEEN RE- BOOKED INTO THE TENDERED LINE (ISIN CH0355794022).THANK YOU. |
| Non-Voting |
|
|
|
|
|
|
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX2 |
| WIX2 |
|
|
| STATE STREET BANK |
| 15,990 |
| 0 |
| 30-Mar-2017 |
| 30-Mar-2017 |
|
BROCADE COMMUNICATIONS SYSTEMS, INC.
Security | 111621306 | Meeting Type | Annual |
Ticker Symbol | BRCD | Meeting Date | 11-Apr-2017 |
ISIN | US1116213067 | Agenda | 934532765 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
4. |
| Amend Stock Option Plan |
| Management |
| For |
| For |
| For |
|
5. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 82,483 |
| 0 |
| 05-Apr-2017 |
| 12-Apr-2017 |
|
IXIA
Security | 45071R109 | Meeting Type | Special |
Ticker Symbol | XXIA | Meeting Date | 12-Apr-2017 |
ISIN | US45071R1095 | Agenda | 934547021 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Extraordinary Transaction Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 152,144 |
| 0 |
| 10-Apr-2017 |
| 13-Apr-2017 |
|
CLAYTON WILLIAMS ENERGY, INC.
Security | 969490101 | Meeting Type | Special |
Ticker Symbol | CWEI | Meeting Date | 24-Apr-2017 |
ISIN | US9694901011 | Agenda | 934562972 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 23,777 |
| 0 |
| 20-Apr-2017 |
| 25-Apr-2017 |
|
AKZO NOBEL NV, AMSTERDAM
Security | N01803100 | Meeting Type | Annual General Meeting |
Ticker Symbol |
| Meeting Date | 25-Apr-2017 |
ISIN | NL0000009132 | Agenda | 707842313 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1 |
| OPEN MEETING |
| Non-Voting |
|
|
|
|
|
|
|
2 |
| RECEIVE REPORT OF MANAGEMENT BOARD |
| Non-Voting |
|
|
|
|
|
|
|
3.A |
| DISCUSS REMUNERATION REPORT CONTAINING REMUNERATION POLICY FOR MANAGEMENT-BOARD MEMBERS |
| Non-Voting |
|
|
|
|
|
|
|
3.B |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
3.C |
| DISCUSS ON THE COMPANY’S DIVIDEND POLICY |
| Non-Voting |
|
|
|
|
|
|
|
3.D |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.A |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.B |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.A |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.B |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
6 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
7 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
8 |
| OTHER BUSINESS |
| Non-Voting |
|
|
|
|
|
|
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
WIX2 |
| WIX2 |
|
|
| STATE STREET BANK |
| 8,458 |
| 0 |
| 11-Apr-2017 |
| 12-Apr-2017 |
|
INTERNATIONAL BUSINESS MACHINES CORP.
Security | 459200101 | Meeting Type | Annual |
Ticker Symbol | IBM | Meeting Date | 25-Apr-2017 |
ISIN | US4592001014 | Agenda | 934539973 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1K. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1L. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1M. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
5. |
| S/H Proposal - Political/Government |
| Shareholder |
| Against |
| Against |
| For |
|
6. |
| S/H Proposal - Corporate Governance |
| Shareholder |
| Against |
| Against |
| For |
|
7. |
| S/H Proposal - Access To Proxy |
| Shareholder |
| Against |
| Against |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 695 |
| 0 |
| 19-Apr-2017 |
| 26-Apr-2017 |
|
PAPA JOHN’S INTERNATIONAL, INC.
Security | 698813102 | Meeting Type | Annual |
Ticker Symbol | PZZA | Meeting Date | 27-Apr-2017 |
ISIN | US6988131024 | Agenda | 934554812 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 1,965 |
| 0 |
| 21-Apr-2017 |
| 28-Apr-2017 |
|
ZELTIQ AESTHETICS INC.
Security | 98933Q108 | Meeting Type | Special |
Ticker Symbol | ZLTQ | Meeting Date | 27-Apr-2017 |
ISIN | US98933Q1085 | Agenda | 934567819 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 54,736 |
| 0 |
| 21-Apr-2017 |
| 28-Apr-2017 |
|
MARRIOTT INTERNATIONAL, INC.
Security | 571903202 | Meeting Type | Annual |
Ticker Symbol | MAR | Meeting Date | 05-May-2017 |
ISIN | US5719032022 | Agenda | 934571705 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1K. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1L. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1M. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1N. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
5. |
| S/H Proposal - Corporate Governance |
| Shareholder |
| Against |
| Against |
| For |
|
Account Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 2,954 |
| 0 |
| 04-May-2017 |
| 08-May-2017 |
|
LINDE AG, MUENCHEN
Security | D50348107 | Meeting Type | Annual General Meeting |
Ticker Symbol |
| Meeting Date | 10-May-2017 |
ISIN | DE0006483001 | Agenda | 708004748 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
CMMT |
| ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN-CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE-NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS-AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS-NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WHPG). FOR-QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE-FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS-USUAL. THANK YOU |
| Non-Voting |
|
|
|
|
|
|
|
CMMT |
| PLEASE NOTE THAT THE TRUE RECORD DATE FOR THIS MEETING IS 19.04.2017, WHEREAS-THE MEETING HAS BEEN SETUP USING THE ACTUAL RECORD DATE - 1 BUSINESS DAY.-THIS IS DONE TO ENSURE THAT ALL POSITIONS REPORTED ARE IN CONCURRENCE WITH-THE GERMAN LAW. THANK YOU |
| Non-Voting |
|
|
|
|
|
|
|
CMMT |
| COUNTER PROPOSALS MAY BE SUBMITTED UNTIL 25.04.2017. FURTHER INFORMATION ON-COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER’S WEBSITE (PLEASE REFER-TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE-ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES-DIRECTLY AT THE COMPANY’S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED IN-THE BALLOT ON PROXYEDGE |
| Non-Voting |
|
|
|
|
|
|
|
1 |
| PRESENTATION OF THE FINANCIAL STATEMENTS AND ANNUAL REPORT FOR THE 2016-FINANCIAL YEAR WITH THE REPORT OF THE SUPERVISORY BOARD, THE GROUP FINANCIAL-STATEMENTS, THE GROUP ANNUAL REPORT, AND THE REPORT PURSUANT TO SECTIONS-289(4) AND 315(4) OF THE GERMAN COMMERCIAL CODE |
| Non-Voting |
|
|
|
|
|
|
|
2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
6 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
WIX2 |
| WIX2 |
|
|
| STATE STREET BANK |
| 4,457 |
| 0 |
| 02-May-2017 |
| 02-May-2017 |
|
DUNKIN’ BRANDS GROUP, INC
Security | 265504100 | Meeting Type | Annual |
Ticker Symbol | DNKN | Meeting Date | 10-May-2017 |
ISIN | US2655041000 | Agenda | 934551664 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
| |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
| |
1. |
| Election of Directors |
| Management |
| For |
| For |
| For |
| |
|
| 1 | IRENE CHANG BRITT |
|
|
| For |
| For |
| For |
|
|
| 2 | MICHAEL HINES |
|
|
|
|
|
|
|
|
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
| |
3. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
| |
4. |
| S/H Proposal - Environmental |
| Shareholder |
| Against |
| Against |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 3,083 |
| 0 |
| 04-May-2017 |
| 11-May-2017 |
|
NORFOLK SOUTHERN CORPORATION
Security | 655844108 | Meeting Type | Annual |
Ticker Symbol | NSC | Meeting Date | 11-May-2017 |
ISIN | US6558441084 | Agenda | 934551397 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1K. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1L. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1M. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 7,111 |
| 0 |
| 08-May-2017 |
| 12-May-2017 |
|
GRUBHUB INC.
Security | 400110102 | Meeting Type | Annual |
Ticker Symbol | GRUB | Meeting Date | 11-May-2017 |
ISIN | US4001101025 | Agenda | 934558480 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
| |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
| |
1. |
| Election of Directors |
| Management |
|
|
|
|
|
|
| |
|
| 1 | LLOYD FRINK |
|
|
| For |
| For |
| For |
|
|
| 2 | GIRISH LAKSHMAN |
|
|
| For |
| For |
| For |
|
|
| 3 | KEITH RICHMAN |
|
|
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
| |
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 10,143 |
| 0 |
| 08-May-2017 |
| 12-May-2017 |
|
PRIVATEBANCORP, INC.
Security | 742962103 | Meeting Type | Special |
Ticker Symbol | PVTB | Meeting Date | 12-May-2017 |
ISIN | US7429621037 | Agenda | 934591656 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 14,787 |
| 0 |
| 04-May-2017 |
| 15-May-2017 |
|
DH CORPORATION
Security | 23290R101 | Meeting Type | Special |
Ticker Symbol | DHIFF | Meeting Date | 16-May-2017 |
ISIN | CA23290R1010 | Agenda | 934573456 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
01 |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX2SSTA 01 OM |
| ARBITRAGE EVENT- DRIVEN FUND |
| WIX2SSTA 01 OM |
| STATE STREET TRUST |
| 176,050 |
| 0 |
| 04-May-2017 |
| 17-May-2017 |
|
INTEL CORPORATION
Security | 458140100 | Meeting Type | Annual |
Ticker Symbol | INTC | Meeting Date | 18-May-2017 |
ISIN | US4581401001 | Agenda | 934568431 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1K. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| Amend Stock Compensation Plan |
| Management |
| For |
| For |
| For |
|
5. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
6. |
| S/H Proposal - Political/Government |
| Shareholder |
| Against |
| Against |
| For |
|
7. |
| S/H Proposal - Corporate Governance |
| Shareholder |
| Against |
| Against |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 3,301 |
| 0 |
| 11-May-2017 |
| 19-May-2017 |
|
THE WENDY’S COMPANY
Security | 95058W100 | Meeting Type | Annual |
Ticker Symbol | WEN | Meeting Date | 23-May-2017 |
ISIN | US95058W1009 | Agenda | 934589093 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1K. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
5. |
| S/H Proposal - Establish Independent Chairman |
| Shareholder |
| Against |
| Against |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 8,546 |
| 0 |
| 17-May-2017 |
| 24-May-2017 |
|
MCDONALD’S CORPORATION
Security | 580135101 | Meeting Type | Annual |
Ticker Symbol | MCD | Meeting Date | 24-May-2017 |
ISIN | US5801351017 | Agenda | 934584168 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1K. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
4. |
| Adopt Omnibus Stock Option Plan |
| Management |
| For |
| For |
| For |
|
5. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
6. |
| S/H Proposal - Corporate Governance |
| Shareholder |
| Against |
| Against |
| For |
|
7. |
| S/H Proposal - Rights To Call Special Meeting |
| Shareholder |
| Against |
| Against |
| For |
|
8. |
| S/H Proposal - Corporate Governance |
| Shareholder |
| Against |
| Against |
| For |
|
9. |
| S/H Proposal - Political/Government |
| Shareholder |
| Against |
| Against |
| For |
|
10. |
| S/H Proposal - Health Issues |
| Shareholder |
| Against |
| Against |
| For |
|
11. |
| S/H Proposal - Environmental |
| Shareholder |
| Against |
| Against |
| For |
|
12. |
| S/H Proposal - Report on Charitable Contributions |
| Shareholder |
| Against |
| Against |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 949 |
| 0 |
| 18-May-2017 |
| 25-May-2017 |
|
COLUMBIA BANKING SYSTEM,INC.
Security | 197236102 | Meeting Type | Annual |
Ticker Symbol | COLB | Meeting Date | 24-May-2017 |
ISIN | US1972361026 | Agenda | 934589740 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
4. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 9,245 |
| 0 |
| 18-May-2017 |
| 25-May-2017 |
|
LEVEL 3 COMMUNICATIONS, INC.
Security | 52729N308 | Meeting Type | Annual |
Ticker Symbol | LVLT | Meeting Date | 25-May-2017 |
ISIN | US52729N3089 | Agenda | 934580158 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1K. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
4. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 39,378 |
| 0 |
| 22-May-2017 |
| 26-May-2017 |
|
MEAD JOHNSON NUTRITION COMPANY
Security | 582839106 | Meeting Type | Special |
Ticker Symbol | MJN | Meeting Date | 31-May-2017 |
ISIN | US5828391061 | Agenda | 934616446 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
1. |
| Approve Reorganization Plan |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 39,844 |
| 0 |
| 24-May-2017 |
| 01-Jun-2017 |
|
NXP SEMICONDUCTORS NV.
Security | N6596X109 | Meeting Type | Annual |
Ticker Symbol | NXPI | Meeting Date | 01-Jun-2017 |
ISIN | NL0009538784 | Agenda | 934626966 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
2-C |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
2-D |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
3-A |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-B |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-C |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-D |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-E |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-F |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-G |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-H |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-I |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-J |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-K |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
4-A |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
4-B |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
5 |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
6 |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
Account Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 54,776 |
| 0 |
| 24-May-2017 |
| 01-Jun-2017 |
|
KATE SPADE & COMPANY
Security | 485865109 | Meeting Type | Annual |
Ticker Symbol | KATE | Meeting Date | 06-Jun-2017 |
ISIN | US4858651098 | Agenda | 934622184 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1K. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| Against |
| For |
| Against |
|
3. |
| 14A Executive Compensation Vote Frequency |
| Management |
| Abstain |
| 1 Year |
| Against |
|
4. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
5. |
| S/H Proposal - Access To Proxy |
| Shareholder |
| Against |
| Against |
| For |
|
Account Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 89,203 |
| 0 |
| 31-May-2017 |
| 07-Jun-2017 |
|
COMCAST CORPORATION
Security | 20030N101 | Meeting Type | Annual |
Ticker Symbol | CMCSA | Meeting Date | 08-Jun-2017 |
ISIN | US20030N1019 | Agenda | 934601572 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
| |
1. |
| Election of Directors |
| Management |
| For |
| For |
| For |
| |
|
| 1 | KENNETH J. BACON |
|
|
| For |
| For |
| For |
|
|
| 2 | MADELINE S. BELL |
|
|
| For |
| For |
| For |
|
|
| 3 | SHELDON M. BONOVITZ |
|
|
| For |
| For |
| For |
|
|
| 4 | EDWARD D. BREEN |
|
|
| For |
| For |
| For |
|
|
| 5 | GERALD L. HASSELL |
|
|
| For |
| For |
| For |
|
|
| 6 | JEFFREY A. HONICKMAN |
|
|
| For |
| For |
| For |
|
|
| 7 | ASUKA NAKAHARA |
|
|
| For |
| For |
| For |
|
|
| 8 | DAVID C. NOVAK |
|
|
| For |
| For |
| For |
|
|
| 9 | BRIAN L. ROBERTS |
|
|
| For |
| For |
| For |
|
|
| 10 | JOHNATHAN A. RODGERS |
|
|
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
| |
3. |
| 14A Executive Compensation |
| Management |
| 1 Year |
| 1 Year |
| For |
| |
4. |
| 14A Executive Compensation Vote Frequency |
| Management |
| Against |
| Against |
| For |
| |
5. |
| S/H Proposal - Political/Government |
| Shareholder |
| Against |
| Against |
| For |
| |
6. |
| S/H Proposal - Corporate Governance |
| Shareholder |
| Against |
| Against |
| For |
|
Account Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 11,626 |
| 0 |
| 06-Jun-2017 |
| 09-Jun-2017 |
|
COLUMBIA BANKING SYSTEM,INC.
Security | 197236102 | Meeting Type | Special |
Ticker Symbol | COLB | Meeting Date | 08-Jun-2017 |
ISIN | US1972361026 | Agenda | 934616547 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 9,245 |
| 0 |
| 02-Jun-2017 |
| 09-Jun-2017 |
|
MOBILEYE N.V.
Security | N51488117 | Meeting Type | Annual |
Ticker Symbol | MBLY | Meeting Date | 13-Jun-2017 |
ISIN | NL0010831061 | Agenda | 934625623 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
1 |
| Authorize Sale of Assets |
| Management |
| For |
| For |
| For |
|
2 |
| Approve Liquidation Plan |
| Management |
| For |
| For |
| For |
|
3 |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
4 |
| Approve Article Amendments |
| Management |
| For |
| For |
| For |
|
5 |
| Approve Article Amendments |
| Management |
| For |
| For |
| For |
|
6 |
| Adopt Accounts for Past Year |
| Management |
| For |
| For |
| For |
|
7 |
| Approve Financial Statements, Allocation of Income, and Discharge Directors |
| Management Management |
| For For |
| For For |
| For For |
|
8 |
| Approve Financial Statements, Allocation of Income, and Discharge Directors |
| Management Management |
| For For |
| For For |
| For For |
|
9A |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
9B |
| Election of Directors (Full Slate) |
| Management | �� | For |
| For |
| For |
|
9C |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
10A |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
10B |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
10C |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
10D |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
10E |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
11 |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
12 |
| Authorize Directors to Repurchase Shares |
| Management |
| For |
| For |
| For |
|
13 |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 60,412 |
| 0 |
| 07-Jun-2017 |
| 14-Jun-2017 |
|
MOBILEYE N.V.
Security | N51488117 | Meeting Type | Annual |
Ticker Symbol | MBLY | Meeting Date | 13-Jun-2017 |
ISIN | NL0010831061 | Agenda | 934634026 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
1 |
| Authorize Sale of Assets |
| Management |
| For |
| For |
| For |
|
2 |
| Approve Liquidation Plan |
| Management |
| For |
| For |
| For |
|
3 |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
4 |
| Approve Article Amendments |
| Management |
| For |
| For |
| For |
|
5 |
| Approve Article Amendments |
| Management |
| For |
| For |
| For |
|
6 |
| Adopt Accounts for Past Year |
| Management |
| For |
| For |
| For |
|
7 |
| Approve Financial Statements, Allocation of Income, and Discharge Directors |
| Management |
| For |
| For |
| For |
|
8 |
| Approve Financial Statements, Allocation of Income, and Discharge Directors |
| Management |
| For |
| For |
| For |
|
9A |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
9B |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
9C |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
10A |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
10B |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
10C |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
10D |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
10E |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
11 |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
12 |
| Authorize Directors to Repurchase Shares |
| Management |
| For |
| For |
| For |
|
13 |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 65,811 |
| 0 |
| 07-Jun-2017 |
| 14-Jun-2017 |
|
CORNERSTONE ONDEMAND, INC.
Security | 21925Y103 | Meeting Type | Annual |
Ticker Symbol | CSOD | Meeting Date | 14-Jun-2017 |
ISIN | US21925Y1038 | Agenda | 934620003 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
| |
1. |
| Election of Directors |
| Management |
|
|
|
|
|
|
| |
|
| 1 | ADAM L. MILLER |
|
|
| For |
| For |
| For |
|
|
| 2 | R.C. MARK BAKER |
|
|
| For |
| For |
| For |
|
|
| 3 | STEFFAN TOMLINSON |
|
|
| For |
| For |
| For |
|
|
| 4 | DEAN CARTER |
|
|
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable Shares |
| Vote Date |
| Date Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 18,157 |
| 0 |
| 09-Jun-2017 |
| 15-Jun-2017 |
|
TIME WARNER INC.
Security | 887317303 | Meeting Type | Annual |
Ticker Symbol | TWX | Meeting Date | 15-Jun-2017 |
ISIN | US8873173038 | Agenda | 934609299 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 42,346 |
| 0 |
| 09-Jun-2017 |
| 16-Jun-2017 |
|
ALLIED WORLD ASSURANCE COMPANY HLDGS, AG
Security | H01531104 | Meeting Type | Annual |
Ticker Symbol | AWH | Meeting Date | 21-Jun-2017 |
ISIN | CH0121032772 | Agenda | 934641172 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3A. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
3B. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
3C. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
3D. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
3E. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
3F. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
4. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
5. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
6. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
7. |
| Receive Consolidated Financial Statements |
| Management |
| For |
| For |
| For |
|
8. |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
9. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
10. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
11. |
| Approve Financial Statements, Allocation of Income, and Discharge Directors |
| Management |
| For |
| For |
| For |
|
12. |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 70,290 |
| 0 |
| 15-Jun-2017 |
| 22-Jun-2017 |
|
DIGITALGLOBE, INC.
Security | 25389M877 | Meeting Type | Annual |
Ticker Symbol | DGI | Meeting Date | 22-Jun-2017 |
ISIN | US25389M8771 | Agenda | 934612448 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
4. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 17,923 |
| 0 |
| 16-Jun-2017 |
| 23-Jun-2017 |
|
BROOKFIELD CANADA OFFICE PROPERTIES
Security | 112823109 | Meeting Type | Annual and Special Meeting |
Ticker Symbol | BOXC | Meeting Date | 28-Jun-2017 |
ISIN | CA1128231091 | Agenda | 934627021 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
| |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
| |
01 |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
| |
02 |
| Election of Directors (Majority Voting) |
| Management |
|
|
|
|
|
|
| |
|
| 1 | MR. COLUM BASTABLE |
|
|
| For |
| For |
| For |
|
|
| 2 | MR. G. MARK BROWN |
|
|
| For |
| For |
| For |
|
|
| 3 | MR. THOMAS F. FARLEY |
|
|
| For |
| For |
| For |
|
|
| 4 | MR. RODERICK D. FRASER |
|
|
| For |
| For |
| For |
|
|
| 5 | MR. PAUL D. MCFARLANE |
|
|
| For |
| For |
| For |
|
|
| 6 | MS. S.L. RIDDELL ROSE |
|
|
| For |
| For |
| For |
|
|
| 7 | MR. T. JAN SUCHARDA |
|
|
| For |
| For |
| For |
|
03 |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
WIX2SSTA 01 OM |
| ARBITRAGE EVENT-DRIVEN FUND |
| WIX2SSTA 01 OM |
| STATE STREET STREET TRUST |
| 28,145 |
| 0 |
| 21-Jun-2017 |
| 29-Jun-2017 |
|
TIME INC.
Security | 887228104 | Meeting Type | Annual |
Ticker Symbol | TIME | Meeting Date | 29-Jun-2017 |
ISIN | US8872281048 | Agenda | 934626891 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| Against |
| For |
| Against |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| Against |
| For |
| Against |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| Against |
| For |
| Against |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| Against |
| For |
| Against |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| Against |
| For |
| Against |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| Against |
| For |
| Against |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| Against |
| For |
| Against |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| Against |
| For |
| Against |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| Against |
| For |
| Against |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| Against |
| For |
| Against |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| Against |
| For |
| Against |
|
4. |
| S/H Proposal - Establish Independent Chairman |
| Shareholder |
| For |
| Against |
| Against |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX2 |
| ARBITRAGE EVENT- DRIVEN FUND |
| 997WIX2 |
| STATE STREET BANK & TRUST CO |
| 81,460 |
| 0 |
| 23-Jun-2017 |
| 30-Jun-2017 |
|
VIRTU FINANCIAL INC
Security | 928254101 | Meeting Type | Annual |
Ticker Symbol | VIRT | Meeting Date | 30-Jun-2017 |
ISIN | US9282541013 | Agenda | 934633086 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
| |
1. |
| Election of Directors |
| Management |
|
|
|
|
|
|
| |
|
| 1 | DOUGLAS A. CIFU |
|
|
| For |
| For |
| For |
|
|
| 2 | JOHN F. (JACK) SANDNER |
|
|
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
| |
3. |
| Amend Stock Compensation Plan |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX2 |
| ARBITRAGE EVENT- |
| 997WIX2 DRIVEN FUND |
| STATE STREET BANK & TRUST CO |
| 29,538 |
| 0 |
| 29-Jun-2017 |
| 03-Jul-2017 |
|
THE ARBITRAGE CREDIT OPPORTUNITIES FUND
Investment Company Report
RED HAT, INC.
Security | 756577102 | Meeting Type | Annual |
Ticker Symbol | RHT | Meeting Date | 11-Aug-2016 |
ISIN | US7565771026 | Agenda | 934455278 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| Approve Stock Compensation Plan |
| Management |
| For |
| For |
| For |
|
5. |
| Adopt Employee Stock Purchase Plan |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX3 |
| ARBITRAGE CREDIT OPPS FUND |
| 997WIX3 |
| STATE STREET BANK & TRUST CO |
| 4,800 |
| 0 |
| 08-Aug-2016 |
| 12-Aug-2016 |
|
THE ARBITRAGE TACTICAL EQUITY FUND
Investment Company Report
TIVO INC.
Security | 888706108 | Meeting Type | Annual |
Ticker Symbol | TIVO | Meeting Date | 11-Jul-2016 |
ISIN | US8887061088 | Agenda | 934446863 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| Stock Issuance |
| Management |
| For |
| For |
| For |
|
4. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 730 |
| 0 |
| 07-Jul-2016 |
| 12-Jul-2016 |
|
OFFICE DEPOT, INC.
Security | 676220106 | Meeting Type | Annual |
Ticker Symbol | ODP | Meeting Date | 13-Jul-2016 |
ISIN | US6762201068 | Agenda | 934451977 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 1,352 |
| 0 |
| 11-Jul-2016 |
| 14-Jul-2016 |
|
CSRA INC.
Security | 12650T104 | Meeting Type | Annual |
Ticker Symbol | CSRA | Meeting Date | 09-Aug-2016 |
ISIN | US12650T1043 | Agenda | 934454884 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
5. |
| Approve Stock Compensation Plan |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 320 |
| 0 |
| 05-Aug-2016 |
| 10-Aug-2016 |
|
CELESIO AG, STUTTGART
Security | D1497R112 | Meeting Type | Annual General Meeting |
Ticker Symbol |
| Meeting Date | 10-Aug-2016 |
ISIN | DE000CLS1001 | Agenda | 707256891 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
|
| PLEASE NOTE THAT FOLLOWING THE AMENDMENT TO PARAGRAPH 21 OF THE SECURITIES-TRADE ACT ON 9TH JULY 2015 AND THE OVER-RULING OF THE DISTRICT COURT IN-COLOGNE JUDGMENT FROM 6TH JUNE 2012 THE VOTING PROCESS HAS NOW CHANGED WITH-REGARD TO THE GERMAN REGISTERED SHARES. AS A RESULT, IT IS NOW THE-RESPONSIBILITY OF THE END-INVESTOR (I.E. FINAL BENEFICIARY) AND NOT THE- INTERMEDIARY TO DISCLOSE RESPECTIVE FINAL BENEFICIARY VOTING RIGHTS THEREFORE-THE CUSTODIAN BANK / AGENT IN THE MARKET WILL BE SENDING THE VOTING DIRECTLY-TO MARKET AND IT IS THE END INVESTORS RESPONSIBILITY TO ENSURE THE- REGISTRATION ELEMENT IS COMPLETE WITH THE ISSUER DIRECTLY, SHOULD THEY HOLD-MORE THAN 3 % OF THE TOTAL SHARE CAPITAL. |
| Non-Voting |
|
|
|
|
|
|
|
|
| THE VOTE/REGISTRATION DEADLINE AS DISPLAYED ON PROXYEDGE IS SUBJECT TO CHANGE-AND WILL BE UPDATED AS SOON AS BROADRIDGE RECEIVES CONFIRMATION FROM THE SUB-CUSTODIANS REGARDING THEIR INSTRUCTION DEADLINE. FOR ANY QUERIES PLEASE-CONTACT YOUR CLIENT SERVICES REPRESENTATIVE. |
| Non-Voting |
|
|
|
|
|
|
|
|
| ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN-CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE-NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS-AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS-NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WHPG). FOR-QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE- FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS- USUAL. THANK YOU. |
| Non-Voting |
|
|
|
|
|
|
|
|
| COUNTER PROPOSALS MAY BE SUBMITTED UNTIL 26.07.2016. FURTHER INFORMATION ON-COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER’S WEBSITE (PLEASE REFER-TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE-ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES- DIRECTLY AT THE COMPANY’S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED IN-THE BALLOT ON PROXYEDGE. |
| Non-Voting |
|
|
|
|
|
|
|
1. |
| PRESENTATION OF THE ADOPTED ANNUAL FINANCIAL STATEMENTS OF CELESIO AG AND THE-APPROVED CONSOLIDATED FINANCIAL STATEMENTS AS AT 31 MARCH 2016, THE COMBINED-MANAGEMENT REPORT FOR CELESIO AG AND THE GROUP, INCLUDING THE REPORT OF THE-SUPERVISORY BOARD FOR THE FISCAL YEAR 2016 (1 APRIL 2015 TO 31 MARCH 2016) |
| Non-Voting |
|
|
|
|
|
|
|
2. |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
3. |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4. |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5. |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
6. |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
7. |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
WIX4 |
| WIX4 |
|
|
| STATE STREET BANK |
| 1,449 |
| 0 |
| 27-Jul-2016 |
| 29-Jul-2016 |
|
QLIK TECHNOLOGIES INC.
Security | 74733T105 | Meeting Type | Special |
Ticker Symbol | QLIK | Meeting Date | 17-Aug-2016 |
ISIN | US74733T1051 | Agenda | 934459668 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 553 |
| 0 |
| 12-Aug-2016 |
| 18-Aug-2016 |
|
AXIALL CORPORATION
Security | 05463D100 | Meeting Type | Special |
Ticker Symbol | AXLL | Meeting Date | 30-Aug-2016 |
ISIN | US05463D1000 | Agenda | 934466372 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 292 |
| 0 |
| 24-Aug-2016 |
| 31-Aug-2016 |
|
TIVO INC.
Security | 888706108 | Meeting Type | Special |
Ticker Symbol | TIVO | Meeting Date | 07-Sep-2016 |
ISIN | US8887061088 | Agenda | 934467514 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Extraordinary Transaction Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 730 |
| 0 |
| 01-Sep-2016 |
| 08-Sep-2016 |
|
ROVI CORPORATION
Security | 779376102 | Meeting Type | Special |
Ticker Symbol | ROVI | Meeting Date | 07-Sep-2016 |
ISIN | US7793761021 | Agenda | 934467540 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Extraordinary Transaction Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 500 |
| 0 |
| 01-Sep-2016 |
| 08-Sep-2016 |
|
SABMILLER PLC, WOKING SURREY
Security | G77395104 | Meeting Type | Ordinary General Meeting |
Ticker Symbol |
| Meeting Date | 28-Sep-2016 |
ISIN | GB0004835483 | Agenda | 707342654 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
WIX4 |
| WIX4 |
|
|
| STATE STREET BANK |
| 260 |
| 0 |
| 19-Sep-2016 |
| 22-Sep-2016 |
|
SABMILLER PLC, WOKING SURREY
Security | G77395104 | Meeting Type | Court Meeting |
Ticker Symbol |
| Meeting Date | 28-Sep-2016 |
ISIN | GB0004835483 | Agenda | 707343808 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
CMMT |
| PLEASE NOTE THAT ABSTAIN IS NOT A VALID VOTE OPTION FOR THIS MEETING TYPE.-PLEASE CHOOSE BETWEEN “FOR” AND “AGAINST” ONLY. SHOULD YOU CHOOSE TO VOTE- ABSTAIN FOR THIS MEETING THEN YOUR VOTE WILL BE DISREGARDED BY THE ISSUER OR-ISSUERS AGENT |
| Non-Voting |
|
|
|
|
|
|
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
WIX4 |
| WIX4 |
|
|
| STATE STREET BANK |
| 260 |
| 0 |
| 19-Sep-2016 |
| 22-Sep-2016 |
|
KABEL DEUTSCHLAND HOLDING AG, UNTERFOEHRING B.MUEN
Security | D6424C104 | Meeting Type | Annual General Meeting |
Ticker Symbol |
| Meeting Date | 25-Oct-2016 |
ISIN | DE000KD88880 | Agenda | 707402157 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
CMMT |
| ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN-CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE-NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS-AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS-NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WHPG). FOR-QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE- FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS- USUAL. THANK YOU |
| Non-Voting |
|
|
|
|
|
|
|
CMMT |
| PLEASE NOTE THAT THE TRUE RECORD DATE FOR THIS MEETING IS 04 OCT 16, WHEREAS-THE MEETING HAS BEEN SETUP USING THE ACTUAL RECORD DATE - 1 BUSINESS DAY.-THIS IS DONE TO ENSURE THAT ALL POSITIONS REPORTED ARE IN CONCURRENCE WITH-THE GERMAN LAW. THANK YOU |
| Non-Voting |
|
|
|
|
|
|
|
CMMT |
| COUNTER PROPOSALS MAY BE SUBMITTED UNTIL 10.10.2016. FURTHER INFORMATION ON-COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER’S WEBSITE (PLEASE REFER-TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE-ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES- DIRECTLY AT THE COMPANY’S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED IN-THE BALLOT ON PROXYEDGE |
| Non-Voting |
|
|
|
|
|
|
|
1. |
| PRESENTATION OF THE FINANCIAL STATEMENTS AND THE ABBREVIATED ANNUAL REPORT-FOR THE 2015-2016 FINANCIAL YEAR WITH THE REPORT OF THE SUPERVISORY BOARD,-THE GROUP FINANCIAL STATEMENTS AND GROUP ANNUAL REPORT AS WELL AS THE REPORT-BY THE BOARD OF MDS PURSUANT TO SECTIONS 289(4) AND 315(4) OF THE GERMAN-COMMERCIAL CODE |
| Non-Voting |
|
|
|
|
|
|
|
2. |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
3. |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4. |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
WIX4 |
| WIX4 |
|
|
| STATE STREET BANK |
| 357 |
| 0 |
| 11-Oct-2016 |
| 17-Oct-2016 |
|
ORACLE CORPORATION
Security | 68389X105 | Meeting Type | Annual |
Ticker Symbol | ORCL | Meeting Date | 16-Nov-2016 |
ISIN | US68389X1054 | Agenda | 934483556 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
| |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
| |
1. |
| Election of Directors |
| Management |
|
|
|
|
|
|
| |
|
| 1 | JEFFREY S. BERG |
|
|
| For |
| For |
| For |
|
|
| 2 | H. RAYMOND BINGHAM |
|
|
| For |
| For |
| For |
|
|
| 3 | MICHAEL J. BOSKIN |
|
|
| For |
| For |
| For |
|
|
| 4 | SAFRA A. CATZ |
|
|
| For |
| For |
| For |
|
|
| 5 | BRUCE R. CHIZEN |
|
|
| For |
| For |
| For |
|
|
| 6 | GEORGE H. CONRADES |
|
|
| For |
| For |
| For |
|
|
| 7 | LAWRENCE J. ELLISON |
|
|
| For |
| For |
| For |
|
|
| 8 | HECTOR GARCIA-MOLINA |
|
|
| For |
| For |
| For |
|
|
| 9 | JEFFREY O. HENLEY |
|
|
| For |
| For |
| For |
|
|
| 10 | MARK V. HURD |
|
|
| For |
| For |
| For |
|
|
| 11 | RENEE J. JAMES |
|
|
| For |
| For |
| For |
|
|
| 12 | LEON E. PANETTA |
|
|
| For |
| For |
| For |
|
|
| 13 | NAOMI O. SELIGMAN |
|
|
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
| |
3. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
| |
4. |
| S/H Proposal - Political/Government |
| Shareholder |
| Against |
| Against |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 113 |
| 0 |
| 14-Nov-2016 |
| 17-Nov-2016 |
|
CABELA’S INCORPORATED
Security | 126804301 | Meeting Type | Annual |
Ticker Symbol | CAB | Meeting Date | 13-Dec-2016 |
ISIN | US1268043015 | Agenda | 934504300 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 597 |
| 0 |
| 12-Dec-2016 |
| 14-Dec-2016 |
|
TEAM HEALTH HOLDINGS, INC.
Security | 87817A107 | Meeting Type | Special |
Ticker Symbol | TMH | Meeting Date | 11-Jan-2017 |
ISIN | US87817A1079 | Agenda | 934514818 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 781 |
| 0 |
| 05-Jan-2017 |
| 12-Jan-2017 |
|
CBOE HOLDINGS INC
Security | 12503M108 | Meeting Type | Special |
Ticker Symbol | CBOE | Meeting Date | 17-Jan-2017 |
ISIN | US12503M1080 | Agenda | 934515175 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Stock Issuance |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 236 |
| 0 |
| 10-Jan-2017 |
| 18-Jan-2017 |
|
ANSALDO STS SPA, GENOVA
Security | T0421V119 | Meeting Type | Ordinary General Meeting |
Ticker Symbol |
| Meeting Date | 19-Jan-2017 |
ISIN | IT0003977540 | Agenda | 707678819 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
CMMT |
| PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 713573 DUE TO ADDITION OF-RESOLUTION 2. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED-AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU |
| Non-Voting |
|
|
|
|
|
|
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
CMMT |
| 05 JAN 2017: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN THE- STANDING INSTRUCTIONS TAG TO “N” AND ADDITION OF COMMENT. IF YOU HAVE ALREADY-SENT IN YOUR VOTES FOR MID: 718017 PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE-TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. |
| Non-Voting |
|
|
|
|
|
|
|
CMMT |
| 05 JAN 2017: PLEASE NOTE THAT MANAGEMENT DOES NOT MAKE ANY RECOMMENDATION FOR-RESOLUTIONS 1 AND 2. THANK YOU |
| Non-Voting |
|
|
|
|
|
|
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
WIX4 |
| WIX4 |
|
|
| STATE STREET BANK |
| 701 |
| 0 |
| 11-Jan-2017 |
| 12-Jan-2017 |
|
AIR PRODUCTS AND CHEMICALS, INC.
Security | 009158106 | Meeting Type | Annual |
Ticker Symbol | APD | Meeting Date | 26-Jan-2017 |
ISIN | US0091581068 | Agenda | 934513424 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2 |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3 |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
4 |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 276 |
| 0 |
| 20-Jan-2017 |
| 27-Jan-2017 |
|
BROCADE COMMUNICATIONS SYSTEMS, INC.
Security | 111621306 | Meeting Type | Special |
Ticker Symbol | BRCD | Meeting Date | 26-Jan-2017 |
ISIN | US1116213067 | Agenda | 934518082 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 860 |
| 0 |
| 20-Jan-2017 |
| 27-Jan-2017 |
|
CGI GROUP INC.
Security | 39945C109 | Meeting Type | Annual |
Ticker Symbol | GIB | Meeting Date | 01-Feb-2017 |
ISIN | CA39945C1095 | Agenda | 934516494 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
| |
01 |
| Election of Directors (Majority Voting) |
| Management |
|
|
|
|
|
|
| |
|
| 1 | ALAIN BOUCHARD |
|
|
| For |
| For |
| For |
|
|
| 2 | BERNARD BOURIGEAUD |
|
|
| For |
| For |
| For |
|
|
| 3 | JEAN BRASSARD |
|
|
| For |
| For |
| For |
|
|
| 4 | DOMINIC D’ALESSANDRO |
|
|
| For |
| For |
| For |
|
|
| 5 | PAULE DORÉ |
|
|
| For |
| For |
| For |
|
|
| 6 | RICHARD B. EVANS |
|
|
| For |
| For |
| For |
|
|
| 7 | JULIE GODIN |
|
|
| For |
| For |
| For |
|
|
| 8 | SERGE GODIN |
|
|
| For |
| For |
| For |
|
|
| 9 | TIMOTHY J. HEARN |
|
|
| For |
| For |
| For |
|
|
| 10 | ANDRÉ IMBEAU |
|
|
| For |
| For |
| For |
|
|
| 11 | GILLES LABBÉ |
|
|
| For |
| For |
| For |
|
|
| 12 | HEATHER MUNROE-BLUM |
|
|
| For |
| For |
| For |
|
|
| 13 | MICHAEL E. ROACH |
|
|
| For |
| For |
| For |
|
|
| 14 | GEORGE D. SCHINDLER |
|
|
| For |
| For |
| For |
|
|
| 15 | JOAKIM WESTH |
|
|
| For |
| For |
| For |
|
02 |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
| |
03 |
| S/H Proposal - Corporate Governance |
| Shareholder |
| Against |
| Against |
| For |
| |
04 |
| S/H Proposal - Corporate Governance |
| Shareholder |
| Against |
| Against |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 43 |
| 0 |
| 25-Jan-2017 |
| 02-Feb-2017 |
|
ACCENTURE PLC
Security | G1151C101 | Meeting Type | Annual |
Ticker Symbol | ACN | Meeting Date | 10-Feb-2017 |
ISIN | IE00B4BNMY34 | Agenda | 934516874 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
1K. |
| Election of Directors (Full Slate) |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
4. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
5. |
| Stock Issuance |
| Management |
| For |
| For |
| For |
|
6. |
| Eliminate Pre-Emptive Rights |
| Management |
| For |
| For |
| For |
|
7. |
| Allot Securities |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 18 |
| 0 |
| 06-Feb-2017 |
| 13-Feb-2017 |
|
TIME WARNER INC.
Security | 887317303 | Meeting Type | Special |
Ticker Symbol | TWX | Meeting Date | 15-Feb-2017 |
ISIN | US8873173038 | Agenda | 934521560 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 444 |
| 0 |
| 09-Feb-2017 |
| 16-Feb-2017 |
|
QUALCOMM INCORPORATED
Security | 747525103 | Meeting Type | Annual |
Ticker Symbol | QCOM | Meeting Date | 07-Mar-2017 |
ISIN | US7475251036 | Agenda | 934522435 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1K. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| S/H Proposal - Access To Proxy |
| Shareholder |
| Against |
| Against |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 190 |
| 0 |
| 01-Mar-2017 |
| 08-Mar-2017 |
|
CABOT MICROELECTRONICS CORPORATION
Security | 12709P103 | Meeting Type | Annual |
Ticker Symbol | CCMP | Meeting Date | 07-Mar-2017 |
ISIN | US12709P1030 | Agenda | 934524592 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
| |
1. |
| Election of Directors |
| Management |
|
|
|
|
|
|
| |
|
| 1 | PAUL J. REILLY |
|
|
| For |
| For |
| For |
|
|
| 2 | GEOFFREY WILD |
|
|
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
| |
3. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
| |
4. |
| Approve Stock Compensation Plan |
| Management |
| For |
| For |
| For |
| |
5. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 113 |
| 0 |
| 01-Mar-2017 |
| 08-Mar-2017 |
|
LEVEL 3 COMMUNICATIONS, INC.
Security | 52729N308 | Meeting Type | Special |
Ticker Symbol | LVLT | Meeting Date | 16-Mar-2017 |
ISIN | US52729N3089 | Agenda | 934530999 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 526 |
| 0 |
| 14-Mar-2017 |
| 17-Mar-2017 |
|
HEWLETT PACKARD ENTERPRISE COMPANY
Security | 42824C109 | Meeting Type | Annual |
Ticker Symbol | HPE | Meeting Date | 22-Mar-2017 |
ISIN | US42824C1099 | Agenda | 934528502 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1K. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1L. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1M. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1N. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| Approve Stock Compensation Plan |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 1,881 |
| 0 |
| 16-Mar-2017 |
| 23-Mar-2017 |
|
ACTELION LTD
Security | H0032X176 | Meeting Type | Annual General Meeting |
Ticker Symbol |
| Meeting Date | 05-Apr-2017 |
ISIN | CH0355794022 | Agenda | 707844115 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
CMMT |
| PART 2 OF THIS MEETING IS FOR VOTING ON AGENDA AND MEETING ATTENDANCE-REQUESTS ONLY. PLEASE ENSURE THAT YOU HAVE FIRST VOTED IN FAVOUR OF THE- REGISTRATION OF SHARES IN PART 1 OF THE MEETING. IT IS A MARKET REQUIREMENT-FOR MEETINGS OF THIS TYPE THAT THE SHARES ARE REGISTERED AND MOVED TO A- REGISTERED LOCATION AT THE CSD, AND SPECIFIC POLICIES AT THE INDIVIDUAL-SUB-CUSTODIANS MAY VARY. UPON RECEIPT OF THE VOTE INSTRUCTION, IT IS POSSIBLE-THAT A MARKER MAY BE PLACED ON YOUR SHARES TO ALLOW FOR RECONCILIATION AND-RE- REGISTRATION FOLLOWING A TRADE. THEREFORE WHILST THIS DOES NOT PREVENT THE-TRADING OF SHARES ANY THAT ARE REGISTERED MUST BE FIRST DEREGISTERED IF-REQUIRED FOR SETTLEMENT. DEREGISTRATION CAN AFFECT THE VOTING RIGHTS OF THOSE-SHARES. IF YOU HAVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR- CLIENT REPRESENTATIVE |
| Non-Voting |
|
|
|
|
|
|
|
1.1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
1.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.4 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.5 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.6 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.7 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.8 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1.9 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.110 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.3.1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.3.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.3.3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.1.1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.1.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.1.3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.1.4 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.1.5 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.3.1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.3.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.3.3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
6 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
7 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
8 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
9 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
10 |
| Other Business |
| Management |
| Abstain |
| Abstain |
| For |
|
CMMT |
| PLEASE NOTE THAT THERE IS A TENDER IN PROCESS WHICH MIGHT AFFECT YOUR VOTING-AT THE ACTELION AGM (MEETINGS UNDER ISINS CH0010532478 (UNTENDERED SHARES)-AND CH0355794022 (TENDERED SHARES)). PLEASE BE AWARE THAT SHAREHOLDERS ARE- ELIGIBLE TO VOTE UNDER BOTH ISINS, UNTENDERED AND TENDERED SHARES. HOWEVER,-PLEASE ALSO NOTE THAT YOU MAY HAVE TO RE- SUBMIT YOUR VOTE INSTRUCTIONS IF YOU-TENDER AFTER YOUR INITIAL VOTE SUBMISSION AND YOUR SHARES HAVE SUCCESSFULLY-BEEN RE-BOOKED INTO THE TENDERED LINE (ISIN CH0355794022).THANK YOU. |
| Non-Voting |
|
|
|
|
|
|
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
WIX4 |
| WIX4 |
|
|
| STATE STREET BANK |
| 183 |
| 0 |
| 30-Mar-2017 |
| 30-Mar-2017 |
|
IXIA
Security | 45071R109 | Meeting Type | Special |
Ticker Symbol | XXIA | Meeting Date | 12-Apr-2017 |
ISIN | US45071R1095 | Agenda | 934547021 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Extraordinary Transaction Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 1,702 |
| 0 |
| 10-Apr-2017 |
| 13-Apr-2017 |
|
AKZO NOBEL NV, AMSTERDAM
Security | N01803100 | Meeting Type | Annual General Meeting |
Ticker Symbol |
| Meeting Date | 25-Apr-2017 |
ISIN | NL0000009132 | Agenda | 707842313 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1 |
| OPEN MEETING |
| Non-Voting |
|
|
|
|
|
|
|
2 |
| RECEIVE REPORT OF MANAGEMENT BOARD |
| Non-Voting |
|
|
|
|
|
|
|
3.A |
| DISCUSS REMUNERATION REPORT CONTAINING REMUNERATION POLICY FOR MANAGEMENT-BOARD MEMBERS |
| Non-Voting |
|
|
|
|
|
|
|
3.B |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
3.C |
| DISCUSS ON THE COMPANY’S DIVIDEND POLICY |
| Non-Voting |
|
|
|
|
|
|
|
3.D |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.A |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.B |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.A |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.B |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
6 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
7 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
8 |
| OTHER BUSINESS |
| Non-Voting |
|
|
|
|
|
|
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
WIX4 |
| WIX4 |
|
|
| STATE STREET BANK |
| 193 |
| 0 |
| 11-Apr-2017 |
| 12-Apr-2017 |
|
INTERNATIONAL BUSINESS MACHINES CORP.
Security | 459200101 | Meeting Type | Annual |
Ticker Symbol | IBM | Meeting Date | 25-Apr-2017 |
ISIN | US4592001014 | Agenda | 934539973 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1K. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1L. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1M. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
5. |
| S/H Proposal - Political/Government |
| Shareholder |
| Against |
| Against |
| For |
|
6. |
| S/H Proposal - Corporate Governance |
| Shareholder |
| Against |
| Against |
| For |
|
7. |
| S/H Proposal - Access To Proxy |
| Shareholder |
| Against |
| Against |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 16 |
| 0 |
| 19-Apr-2017 |
| 26-Apr-2017 |
|
PAPA JOHN’S INTERNATIONAL, INC.
Security | 698813102 | Meeting Type | Annual |
Ticker Symbol | PZZA | Meeting Date | 27-Apr-2017 |
ISIN | US6988131024 | Agenda | 934554812 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 45 |
| 0 |
| 21-Apr-2017 |
| 28-Apr-2017 |
|
BAYER AG, LEVERKUSEN
Security | D0712D163 | Meeting Type | Annual General Meeting |
Ticker Symbol |
| Meeting Date | 28-Apr-2017 |
ISIN | DE000BAY0017 | Agenda | 707787492 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
CMMT |
| PLEASE NOTE THAT FOLLOWING THE AMENDMENT TO PARAGRAPH 21 OF THE SECURITIES-TRADE ACT ON 9TH JULY 2015 AND THE OVER-RULING OF THE DISTRICT COURT IN-COLOGNE JUDGMENT FROM 6TH JUNE 2012 THE VOTING PROCESS HAS NOW CHANGED WITH-REGARD TO THE GERMAN REGISTERED SHARES. AS A RESULT, IT IS NOW THE-RESPONSIBILITY OF THE END-INVESTOR (I.E. FINAL BENEFICIARY) AND NOT THE-INTERMEDIARY TO DISCLOSE RESPECTIVE FINAL BENEFICIARY VOTING RIGHTS THEREFORE-THE CUSTODIAN BANK / AGENT IN THE MARKET WILL BE SENDING THE VOTING DIRECTLY-TO MARKET AND IT IS THE END INVESTORS RESPONSIBILITY TO ENSURE THE-REGISTRATION ELEMENT IS COMPLETE WITH THE ISSUER DIRECTLY, SHOULD THEY HOLD-MORE THAN 3% OF THE TOTAL SHARE CAPITAL |
| Non-Voting |
|
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|
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|
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|
CMMT |
| THE VOTE/REGISTRATION DEADLINE AS DISPLAYED ON PROXYEDGE IS SUBJECT TO CHANGE-AND WILL BE UPDATED AS SOON AS BROADRIDGE RECEIVES CONFIRMATION FROM THE SUB-CUSTODIANS REGARDING THEIR INSTRUCTION DEADLINE. FOR ANY QUERIES PLEASE-CONTACT YOUR CLIENT SERVICES REPRESENTATIVE |
| Non-Voting |
|
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|
|
|
CMMT |
| ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN-CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE-NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS-AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS-NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING |
| Non-Voting |
|
|
|
|
|
|
|
|
| ACT (WHPG). FOR-QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE-FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS-USUAL. THANK YOU |
|
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|
CMMT |
| COUNTER PROPOSALS MAY BE SUBMITTED UNTIL 13.04.2017. FURTHER INFORMATION ON-COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER’S WEBSITE (PLEASE REFER-TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE-ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES-DIRECTLY AT THE COMPANY’S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED IN-THE BALLOT ON PROXYEDGE |
| Non-Voting |
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|
|
|
1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.4 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.5 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4.6 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
6 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
7 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
CMMT |
| Investor Relations German: http://www.investor.bayer.de/de/uebersicht/ |
| Non-Voting |
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|
CMMT |
| Investor Relations English: http://www.investor.bayer.de/en/overview/ |
| Non-Voting |
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|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
WIX4 |
| WIX4 |
|
|
| STATE STREET BANK |
| 258 |
| 0 |
| 12-Apr-2017 |
| 21-Apr-2017 |
|
MARRIOTT INTERNATIONAL, INC.
Security | 571903202 | Meeting Type | Annual |
Ticker Symbol | MAR | Meeting Date | 05-May-2017 |
ISIN | US5719032022 | Agenda | 934571705 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1K. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1L. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1M. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1N. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
5. |
| S/H Proposal - Corporate Governance |
| Shareholder |
| Against |
| Against |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 67 |
| 0 |
| 04-May-2017 |
| 08-May-2017 |
|
LINDE AG, MUENCHEN
Security | D50348107 | Meeting Type | Annual General Meeting |
Ticker Symbol |
| Meeting Date | 10-May-2017 |
ISIN | DE0006483001 | Agenda | 708004748 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
CMMT |
| ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN-CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE-NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS-AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS-NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WHPG). FOR-QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE- FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS- USUAL. THANK YOU |
| Non-Voting |
|
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|
|
|
CMMT |
| PLEASE NOTE THAT THE TRUE RECORD DATE FOR THIS MEETING IS 19.04.2017, WHEREAS-THE MEETING HAS BEEN SETUP USING THE ACTUAL RECORD DATE - 1 BUSINESS DAY.-THIS IS DONE TO ENSURE THAT ALL POSITIONS REPORTED ARE IN CONCURRENCE WITH-THE GERMAN LAW. THANK YOU |
| Non-Voting |
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|
CMMT |
| COUNTER PROPOSALS MAY BE SUBMITTED UNTIL 25.04.2017. FURTHER INFORMATION ON-COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER’S WEBSITE (PLEASE REFER-TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE-ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES- DIRECTLY AT THE COMPANY’S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED IN-THE BALLOT ON PROXYEDGE |
| Non-Voting |
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|
1 |
| PRESENTATION OF THE FINANCIAL STATEMENTS AND ANNUAL REPORT FOR THE 2016-FINANCIAL YEAR WITH THE REPORT OF THE SUPERVISORY BOARD, THE GROUP FINANCIAL- STATEMENTS, THE GROUP ANNUAL REPORT, AND THE REPORT PURSUANT TO SECTIONS-289(4) AND 315(4) OF THE GERMAN COMMERCIAL CODE |
| Non-Voting |
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2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
3 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
4 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.1 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
5.2 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
6 |
| Management Proposal |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date Confirmed |
|
WIX4 |
| WIX4 |
|
|
| STATE STREET BANK |
| 142 |
| 0 |
| 02-May-2017 |
| 02-May-2017 |
|
DUNKIN’ BRANDS GROUP, INC
Security | 265504100 | Meeting Type | Annual |
Ticker Symbol | DNKN | Meeting Date | 10-May-2017 |
ISIN | US2655041000 | Agenda | 934551664 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
| |
1. |
| Election of Directors |
| Management |
|
|
|
|
|
|
| |
|
| 1 | IRENE CHANG BRITT |
|
|
| For |
| For |
| For |
|
|
| 2 | MICHAEL HINES |
|
|
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
| |
3. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
| |
4. |
| S/H Proposal - Environmental |
| Shareholder |
| Against |
| Against |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 70 |
| 0 |
| 04-May-2017 |
| 11-May-2017 |
|
NORFOLK SOUTHERN CORPORATION
Security | 655844108 | Meeting Type | Annual |
Ticker Symbol | NSC | Meeting Date | 11-May-2017 |
ISIN | US6558441084 | Agenda | 934551397 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1K. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1L. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1M. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 161 |
| 0 |
| 08-May-2017 |
| 12-May-2017 |
|
GRUBHUB INC.
Security | 400110102 | Meeting Type | Annual |
Ticker Symbol | GRUB | Meeting Date | 11-May-2017 |
ISIN | US4001101025 | Agenda | 934558480 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
| |
1. |
| Election of Directors |
| Management |
|
|
|
|
|
|
| |
|
| 1 | LLOYD FRINK |
|
|
| For |
| For |
| For |
|
|
| 2 | GIRISH LAKSHMAN |
|
|
| For |
| For |
| For |
|
|
| 3 | KEITH RICHMAN |
|
|
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
| |
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 230 |
| 0 |
| 08-May-2017 |
| 12-May-2017 |
|
TEREX CORPORATION
Security | 880779103 | Meeting Type | Annual |
Ticker Symbol | TEX | Meeting Date | 11-May-2017 |
ISIN | US8807791038 | Agenda | 934561184 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| Amend Employee Stock Purchase Plan |
| Management |
| For |
| For |
| For |
|
4. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
5. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 284 |
| 0 |
| 05-May-2017 |
| 12-May-2017 |
|
PRIVATEBANCORP, INC.
Security | 742962103 | Meeting Type | Special |
Ticker Symbol | PVTB | Meeting Date | 12-May-2017 |
ISIN | US7429621037 | Agenda | 934591656 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 732 |
| 0 |
| 04-May-2017 |
| 15-May-2017 |
|
DH CORPORATION
Security | 23290R101 | Meeting Type | Special |
Ticker Symbol | DHIFF | Meeting Date | 16-May-2017 |
ISIN | CA23290R1010 | Agenda | 934573456 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
01 |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
WIX4SSTA 01 OM |
| ARBITRAGE TACTICAL EQUITY FUND |
| WIX4SSTA 01 OM |
| STATE STREET TRUST |
| 2,061 |
| 0 |
| 04-May-2017 |
| 17-May-2017 |
|
HERC HOLDINGS INC.
Security | 42704L104 | Meeting Type | Annual |
Ticker Symbol | HRI | Meeting Date | 18-May-2017 |
ISIN | US42704L1044 | Agenda | 934562059 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
4. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 488 |
| 0 |
| 11-May-2017 |
| 19-May-2017 |
|
INTEL CORPORATION
Security | 458140100 | Meeting Type | Annual |
Ticker Symbol | INTC | Meeting Date | 18-May-2017 |
ISIN | US4581401001 | Agenda | 934568431 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1K. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| Amend Stock Compensation Plan |
| Management |
| For |
| For |
| For |
|
5. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
6. |
| S/H Proposal - Political/Government |
| Shareholder |
| Against |
| Against |
| For |
|
7. |
| S/H Proposal - Corporate Governance |
| Shareholder |
| Against |
| Against |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 74 |
| 0 |
| 11-May-2017 |
| 19-May-2017 |
|
THE WENDY’S COMPANY
Security | 95058W100 | Meeting Type | Annual |
Ticker Symbol | WEN | Meeting Date | 23-May-2017 |
ISIN | US95058W1009 | Agenda | 934589093 - Management |
Item |
| Proposal |
| Proposed by |
| Vote |
| Management Recommendation |
| For/Against Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1K. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
5. |
| S/H Proposal - Establish Independent Chairman |
| Shareholder |
| Against |
| Against |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 197 |
| 0 |
| 17-May-2017 |
| 24-May-2017 |
|
MCDONALD’S CORPORATION
Security | 580135101 | Meeting Type | Annual |
Ticker Symbol | MCD | Meeting Date | 24-May-2017 |
ISIN | US5801351017 | Agenda | 934584168 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1K. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
4. |
| Adopt Omnibus Stock Option Plan |
| Management |
| For |
| For |
| For |
|
5. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
6. |
| S/H Proposal - Corporate Governance |
| Shareholder |
| Against |
| Against |
| For |
|
7. |
| S/H Proposal - Rights To Call Special Meeting |
| Shareholder |
| Against |
| Against |
| For |
|
8. |
| S/H Proposal - Corporate Governance |
| Shareholder |
| Against |
| Against |
| For |
|
9. |
| S/H Proposal - Political/Government |
| Shareholder |
| Against |
| Against |
| For |
|
10. |
| S/H Proposal - Health Issues |
| Shareholder |
| Against |
| Against |
| For |
|
11. |
| S/H Proposal - Environmental |
| Shareholder |
| Against |
| Against |
| For |
|
12. |
| S/H Proposal - Report on Charitable Contributions |
| Shareholder |
| Against |
| Against |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 22 |
| 0 |
| 18-May-2017 |
| 25-May-2017 |
|
CONDUENT INCORPORATED
Security | 206787103 | Meeting Type | Annual |
Ticker Symbol | CNDT | Meeting Date | 25-May-2017 |
ISIN | US2067871036 | Agenda | 934574597 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1.1 |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1.2 |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1.3 |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1.4 |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1.5 |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1.6 |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1.7 |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1.8 |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1.9 |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
5. |
| Approve Stock Compensation Plan |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 2,003 |
| 0 |
| 22-May-2017 |
| 26-May-2017 |
|
LEVEL 3 COMMUNICATIONS, INC.
Security | 52729N308 | Meeting Type | Annual |
Ticker Symbol | LVLT | Meeting Date | 25-May-2017 |
ISIN | US52729N3089 | Agenda | 934580158 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1K. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
4. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 673 |
| 0 |
| 22-May-2017 |
| 26-May-2017 |
|
MEAD JOHNSON NUTRITION COMPANY
Security | 582839106 | Meeting Type | Special |
Ticker Symbol | MJN | Meeting Date | 31-May-2017 |
ISIN | US5828391061 | Agenda | 934616446 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1. |
| Approve Reorganization Plan |
| Management |
| For |
| For |
| For |
|
2. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 942 |
| 0 |
| 24-May-2017 |
| 01-Jun-2017 |
|
NXP SEMICONDUCTORS NV.
Security | N6596X109 | Meeting Type | Annual |
Ticker Symbol | NXPI | Meeting Date | 01-Jun-2017 |
ISIN | NL0009538784 | Agenda | 934626966 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
2-C |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
2-D |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
3-A |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-B |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-C |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-D |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-E |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-F |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-G |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-H |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-I |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-J |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3-K |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
4-A |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
4-B |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
5 |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
6 |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 783 |
| 0 |
| 24-May-2017 |
| 01-Jun-2017 |
|
KATE SPADE & COMPANY
Security | 485865109 | Meeting Type | Annual |
Ticker Symbol | KATE | Meeting Date | 06-Jun-2017 |
ISIN | US4858651098 | Agenda | 934622184 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1K. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| Against |
| For |
| Against |
|
3. |
| 14A Executive Compensation Vote Frequency |
| Management |
| Abstain |
| 1 Year |
| Against |
|
4. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
5. |
| S/H Proposal - Access To Proxy |
| Shareholder |
| Against |
| Against |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 2,541 |
| 0 |
| 31-May-2017 |
| 07-Jun-2017 |
|
TECH DATA CORPORATION
Security | 878237106 | Meeting Type | Annual |
Ticker Symbol | TECD | Meeting Date | 07-Jun-2017 |
ISIN | US8782371061 | Agenda | 934603401 - Management |
Item |
| Proposal |
| Proposed |
| Vote |
| Management |
| For/Against |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| Approve Stock Compensation Plan |
| Management |
| For |
| For |
| For |
|
5. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
Account |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Unavailable |
| Vote Date |
| Date |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 323 |
| 0 |
| 31-May-2017 |
| 08-Jun-2017 |
|
COMCAST CORPORATION
Security | 20030N101 | Meeting Type | Annual |
Ticker Symbol | CMCSA | Meeting Date | 08-Jun-2017 |
ISIN | US20030N1019 | Agenda | 934601572 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
| |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
| |
1. |
| Election of Directors |
| Management |
|
|
|
|
|
|
| |
|
| 1 | KENNETH J. BACON |
|
|
| For |
| For |
| For |
|
|
| 2 | MADELINE S. BELL |
|
|
| For |
| For |
| For |
|
|
| 3 | SHELDON M. BONOVITZ |
|
|
| For |
| For |
| For |
|
|
| 4 | EDWARD D. BREEN |
|
|
| For |
| For |
| For |
|
|
| 5 | GERALD L. HASSELL |
|
|
| For |
| For |
| For |
|
|
| 6 | JEFFREY A. HONICKMAN |
|
|
| For |
| For |
| For |
|
|
| 7 | ASUKA NAKAHARA |
|
|
| For |
| For |
| For |
|
|
| 8 | DAVID C. NOVAK |
|
|
| For |
| For |
| For |
|
|
| 9 | BRIAN L. ROBERTS |
|
|
| For |
| For |
| For |
|
|
| 10 | JOHNATHAN A. RODGERS |
|
|
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
| |
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
| |
4. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
| |
5. |
| S/H Proposal - Political/Government |
| Shareholder |
| Against |
| Against |
| For |
| |
6. |
| S/H Proposal - Corporate Governance |
| Shareholder |
| Against |
| Against |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 266 |
| 0 |
| 06-Jun-2017 |
| 09-Jun-2017 |
|
FOREST CITY REALTY TRUST, INC.
Security | 345605208 | Meeting Type | Annual |
Ticker Symbol | FCEB | Meeting Date | 09-Jun-2017 |
ISIN | US3456052089 | Agenda | 934621625 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
| |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
| |
1. |
| Election of Directors |
| Management |
|
|
|
|
|
|
| |
|
| 1 | Z. JAMIE BEHAR |
|
|
| Withheld |
| For |
| Against |
|
|
| 2 | CHRISTINE R. DETRICK |
|
|
| Withheld |
| For |
| Against |
|
|
| 3 | DEBORAH L. HARMON |
|
|
| Withheld |
| For |
| Against |
|
|
| 4 | DAVID J. LARUE |
|
|
| Withheld |
| For |
| Against |
|
|
| 5 | CRAIG MACNAB |
|
|
| Withheld |
| For |
| Against |
|
|
| 6 | BRIAN J. RATNER |
|
|
| Withheld |
| For |
| Against |
|
|
| 7 | DEBORAH RATNER SALZBERG |
|
|
| Withheld |
| For |
| Against |
|
|
| 8 | JAMES A. RATNER |
|
|
| Withheld |
| For |
| Against |
|
|
| 9 | RONALD A. RATNER |
|
|
| Withheld |
| For |
| Against |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
| |
3. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
| |
4. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
| |
5. |
| Approve Charter Amendment |
| Management |
| For |
| For |
| For |
| |
6. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 1,946 |
| 0 |
| 05-Jun-2017 |
| 12-Jun-2017 |
|
CORNERSTONE ONDEMAND, INC.
Security | 21925Y103 | Meeting Type | Annual |
Ticker Symbol | CSOD | Meeting Date | 14-Jun-2017 |
ISIN | US21925Y1038 | Agenda | 934620003 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
| |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
| |
1. |
| Election of Directors |
| Management |
|
|
|
|
|
|
| |
|
| 1 | ADAM L. MILLER |
|
|
| For |
| For |
| For |
|
|
| 2 | R.C. MARK BAKER |
|
|
| For |
| For |
| For |
|
|
| 3 | STEFFAN TOMLINSON |
|
|
| For |
| For |
| For |
|
|
| 4 | DEAN CARTER |
|
|
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 429 |
| 0 |
| 09-Jun-2017 |
| 15-Jun-2017 |
|
TIME WARNER INC.
Security | 887317303 | Meeting Type | Annual |
Ticker Symbol | TWX | Meeting Date | 15-Jun-2017 |
ISIN | US8873173038 | Agenda | 934609299 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
4. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 757 |
| 0 |
| 09-Jun-2017 |
| 16-Jun-2017 |
|
DIGITALGLOBE, INC.
Security | 25389M877 | Meeting Type | Annual |
Ticker Symbol | DGI | Meeting Date | 22-Jun-2017 |
ISIN | US25389M8771 | Agenda | 934612448 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
2. |
| 14A Executive Compensation |
| Management |
| For |
| For |
| For |
|
3. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
4. |
| 14A Executive Compensation Vote Frequency |
| Management |
| 1 Year |
| 1 Year |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 407 |
| 0 |
| 16-Jun-2017 |
| 23-Jun-2017 |
|
TIME INC.
Security | 887228104 | Meeting Type | Annual |
Ticker Symbol | TIME | Meeting Date | 29-Jun-2017 |
ISIN | US8872281048 | Agenda | 934626891 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1A. |
| Election of Directors (Majority Voting) |
| Management |
| Against |
| For |
| Against |
|
1B. |
| Election of Directors (Majority Voting) |
| Management |
| Against |
| For |
| Against |
|
1C. |
| Election of Directors (Majority Voting) |
| Management |
| Against |
| For |
| Against |
|
1D. |
| Election of Directors (Majority Voting) |
| Management |
| Against |
| For |
| Against |
|
1E. |
| Election of Directors (Majority Voting) |
| Management |
| Against |
| For |
| Against |
|
1F. |
| Election of Directors (Majority Voting) |
| Management |
| Against |
| For |
| Against |
|
1G. |
| Election of Directors (Majority Voting) |
| Management |
| Against |
| For |
| Against |
|
1H. |
| Election of Directors (Majority Voting) |
| Management |
| Against |
| For |
| Against |
|
1I. |
| Election of Directors (Majority Voting) |
| Management |
| Against |
| For |
| Against |
|
1J. |
| Election of Directors (Majority Voting) |
| Management |
| Against |
| For |
| Against |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
|
3. |
| 14A Executive Compensation |
| Management |
| Against |
| For |
| Against |
|
4. |
| S/H Proposal - Establish Independent Chairman |
| Shareholder |
| For |
| Against |
| Against |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 1,951 |
| 0 |
| 23-Jun-2017 |
| 30-Jun-2017 |
|
CAPITOL ACQUISITION CORP III
Security | 14055M106 | Meeting Type | Annual |
Ticker Symbol | CLAC | Meeting Date | 29-Jun-2017 |
ISIN | US14055M1062 | Agenda | 934649964 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
|
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
|
1. |
| Approve Merger Agreement |
| Management |
| For |
| For |
| For |
|
2A. |
| Approve Company Name Change |
| Management |
| For |
| For |
| For |
|
2B. |
| Authorize Common Stock Increase |
| Management |
| For |
| For |
| For |
|
2C. |
| Miscellaneous Corporate Actions |
| Management |
| For |
| For |
| For |
|
3A. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3B. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3C. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3D. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3E. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3F. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
3G. |
| Election of Directors (Majority Voting) |
| Management |
| For |
| For |
| For |
|
4. |
| Amend Omnibus Stock Option Plan |
| Management |
| For |
| For |
| For |
|
5. |
| Approve Motion to Adjourn Meeting |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 2,500 |
| 0 |
| 23-Jun-2017 |
| 30-Jun-2017 |
|
VIRTU FINANCIAL INC
Security | 928254101 | Meeting Type | Annual |
Ticker Symbol | VIRT | Meeting Date | 30-Jun-2017 |
ISIN | US9282541013 | Agenda | 934633086 - Management |
|
|
|
| Proposed |
|
|
| Management |
| For/Against |
| |
Item |
| Proposal |
| by |
| Vote |
| Recommendation |
| Management |
| |
1. |
| Election of Directors |
| Management |
|
|
|
|
|
|
| |
|
| 1 | DOUGLAS A. CIFU |
|
|
| For |
| For |
| For |
|
|
| 2 | JOHN F. (JACK) SANDNER |
|
|
| For |
| For |
| For |
|
2. |
| Ratify Appointment of Independent Auditors |
| Management |
| For |
| For |
| For |
| |
3. |
| Amend Stock Compensation Plan |
| Management |
| For |
| For |
| For |
|
Account |
|
|
|
|
|
|
|
|
| Unavailable |
|
|
| Date |
|
Number |
| Account Name |
| Internal Account |
| Custodian |
| Ballot Shares |
| Shares |
| Vote Date |
| Confirmed |
|
997WIX4 |
| ARBITRAGE TACTICAL EQUITY FUND |
| 997WIX4 |
| STATE STREET BANK & TRUST CO |
| 706 |
| 0 |
| 29-Jun-2017 |
| 03-Jul-2017 |
|
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.
| The Arbitrage Funds | |
|
| |
|
| |
| By: | /s/ John Orrico |
|
| John Orrico |
|
| President (Principal Executive Officer) |
|
|
|
| Date: | August 11, 2017 |