FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF
REGISTERED MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811-21407
Nuveen Diversified Dividend and Income Fund
(Exact name of registrant as specified in charter)
333 West Wacker Drive, Chicago, Illinois 60606
(Address of principal executive offices) (Zip Code)
Gifford R. Zimmerman – Chief Administrative Officer
(Name and address of agent for service)
Registrant’s telephone number, including area code: 312-917-7700
Date of fiscal year-end: December 31
Date of reporting period: June 30, 2012
Item 1. Proxy Voting Record
Nuveen Diversified Dividend and Income Fund
Security Capital Research and Management, Inc.
| | | | | | | | | | | | | | | | | | |
Company Name | | Ticker | | Security ID | | Meeting Date | | Meeting Type | | Proponent | | Item Number | | Proposal | | Management Recommendation | | Vote Instruction |
Ventas, Inc. | | VTR | | 92276F100 | | 7/1/2011 | | Special | | Management | | 1 | | Issue Shares in Connection with Acquisition | | For | | For |
| | | | | | | | | | Management | | 2 | | Increase Authorized Common Stock | | For | | For |
| | | | | | | | | | Management | | 3 | | Adjourn Meeting | | For | | For |
Colonial Properties Trust | | CLP | | 195872106 | | 4/25/2012 | | Annual | | Management | | 1.1 | | Elect Director Carl F. Bailey | | For | | For |
| | | | | | | | | | Management | | 1.2 | | Elect Director Edwin M. Crawford | | For | | For |
| | | | | | | | | | Management | | 1.3 | | Elect Director M. Miller Gorrie | | For | | For |
| | | | | | | | | | Management | | 1.4 | | Elect Director William M. Johnson | | For | | For |
| | | | | | | | | | Management | | 1.5 | | Elect Director James K. Lowder | | For | | For |
| | | | | | | | | | Management | | 1.6 | | Elect Director Thomas H. Lowder | | For | | For |
| | | | | | | | | | Management | | 1.7 | | Elect Director Herbert A. Meisler | | For | | For |
| | | | | | | | | | Management | | 1.8 | | Elect Director Claude B. Nielsen | | For | | For |
| | | | | | | | | | Management | | 1.9 | | Elect Director Harold W. Ripps | | For | | For |
| | | | | | | | | | Management | | 1.10 | | Elect Director John W. Spiegel | | For | | For |
| | | | | | | | | | Management | | 2 | | Ratify Auditors | | For | | For |
| | | | | | | | | | Management | | 3 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
HCP, Inc. | | HCP | | 40414L109 | | 4/26/2012 | | Annual | | Management | | 1 | | Elect Director James F. Flaherty, III | | For | | For |
| | | | | | | | | | Management | | 2 | | Elect Director Christine N. Garvey | | For | | For |
| | | | | | | | | | Management | | 3 | | Elect Director David B. Henry | | For | | For |
| | | | | | | | | | Management | | 4 | | Elect Director Lauralee E. Martin | | For | | For |
| | | | | | | | | | Management | | 5 | | Elect Director Michael D. McKee | | For | | For |
| | | | | | | | | | Management | | 6 | | Elect Director Peter L. Rhein | | For | | For |
| | | | | | | | | | Management | | 7 | | Elect Director Kenneth B. Roath | | For | | For |
| | | | | | | | | | Management | | 8 | | Elect Director Joseph P. Sullivan | | For | | For |
| | | | | | | | | | Management | | 9 | | Ratify Auditors | | For | | For |
| | | | | | | | | | Management | | 10 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
General Growth Properties, Inc. | | GGP | | 370023103 | | 4/27/2012 | | Annual | | Management | | 1.1 | | Elect Director Richard B. Clark | | For | | For |
| | | | | | | | | | Management | | 1.2 | | Elect Director Mary Lou Fiala | | For | | For |
| | | | | | | | | | Management | | 1.3 | | Elect Director J. Bruce Flatt | | For | | Withhold |
| | | | | | | | | | Management | | 1.4 | | Elect Director John K. Haley | | For | | For |
| | | | | | | | | | Management | | 1.5 | | Elect Director Cyrus Madon | | For | | For |
| | | | | | | | | | Management | | 1.6 | | Elect Director Sandeep Mathrani | | For | | For |
| | | | | | | | | | Management | | 1.7 | | Elect Director David J. Neithercut | | For | | For |
| | | | | | | | | | Management | | 1.8 | | Elect Director Mark R. Patterson | | For | | For |
| | | | | | | | | | Management | | 1.9 | | Elect Director John G. Schreiber | | For | | For |
| | | | | | | | | | Management | | 2 | | Ratify Auditors | | For | | For |
| | | | | | | | | | Management | | 3 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | Against |
| | | | | | | | | | Management | | 4 | | Approve Nonqualified Employee Stock Purchase Plan | | For | | For |
Apartment Investment and Management Company | | AIV | | 03748R101 | | 4/30/2012 | | Annual | | Management | | 1 | | Elect Director James N. Bailey | | For | | For |
| | | | | | | | | | Management | | 2 | | Elect Director Terry Considine | | For | | For |
| | | | | | | | | | Management | | 3 | | Elect Director Thomas L. Keltner | | For | | For |
| | | | | | | | | | Management | | 4 | | Elect Director J. Landis Martin | | For | | For |
| | | | | | | | | | | | | | | | | | |
Company Name | | Ticker | | Security ID | | Meeting Date | | Meeting Type | | Proponent | | Item Number | | Proposal | | Management Recommendation | | Vote Instruction |
| | | | | | | | | | Management | | 5 | | Elect Director Robert A. Miller | | For | | For |
| | | | | | | | | | Management | | 6 | | Elect Director Kathleen M. Nelson | | For | | For |
| | | | | | | | | | Management | | 7 | | Elect Director Michael A. Stein | | For | | For |
| | | | | | | | | | Management | | 8 | | Ratify Auditors | | For | | For |
| | | | | | | | | | Management | | 9 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
Regency Centers Corporation | | REG | | 758849103 | | 5/1/2012 | | Annual | | Management | | 1.1 | | Elect Director Martin E. Stein, Jr. | | For | | For |
| | | | | | | | | | Management | | 1.2 | | Elect Director Raymond L. Bank | | For | | For |
| | | | | | | | | | Management | | 1.3 | | Elect Director C. Ronald Blankenship | | For | | For |
| | | | | | | | | | Management | | 1.4 | | Elect Director A.R. Carpenter | | For | | For |
| | | | | | | | | | Management | | 1.5 | | Elect Director J. Dix Druce, Jr. | | For | | For |
| | | | | | | | | | Management | | 1.6 | | Elect Director Mary Lou Fiala | | For | | For |
| | | | | | | | | | Management | | 1.7 | | Elect Director Bruce M. Johnson | | For | | For |
| | | | | | | | | | Management | | 1.8 | | Elect Director Douglas S. Luke | | For | | For |
| | | | | | | | | | Management | | 1.9 | | Elect Director David P. O’Connor | | For | | For |
| | | | | | | | | | Management | | 1.10 | | Elect Director John C. Schweitzer | | For | | For |
| | | | | | | | | | Management | | 1.11 | | Elect Director Brian M. Smith | | For | | For |
| | | | | | | | | | Management | | 1.12 | | Elect Director Thomas G. Wattles | | For | | For |
| | | | | | | | | | Management | | 2 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | Management | | 3 | | Ratify Auditors | | For | | For |
Federal Realty Investment Trust | | FRT | | 313747206 | | 5/2/2012 | | Annual | | Management | | 1.1 | | Elect Director Jon E. Bortz | | For | | For |
| | | | | | | | | | Management | | 1.2 | | Elect Director David W. Faeder | | For | | For |
| | | | | | | | | | Management | | 1.3 | | Elect Director Kristin Gamble | | For | | For |
| | | | | | | | | | Management | | 1.4 | | Elect Director Gail P. Steinel | | For | | For |
| | | | | | | | | | Management | | 1.5 | | Elect Director Warren M. Thompson | | For | | For |
| | | | | | | | | | Management | | 1.6 | | Elect Director Joseph S. Vassalluzzo | | For | | For |
| | | | | | | | | | Management | | 1.7 | | Elect Director Donald C. Wood | | For | | For |
| | | | | | | | | | Management | | 2 | | Ratify Auditors | | For | | For |
| | | | | | | | | | Management | | 3 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
Health Care REIT, Inc. | | HCN | | 42217K106 | | 5/3/2012 | | Annual | | Management | | 1 | | Elect Director William C. Ballard, Jr. | | For | | For |
| | | | | | | | | | Management | | 2 | | Elect Director George L. Chapman | | For | | For |
| | | | | | | | | | Management | | 3 | | Elect Director Daniel A. Decker | | For | | For |
| | | | | | | | | | Management | | 4 | | Elect Director Thomas J. DeRosa | | For | | For |
| | | | | | | | | | Management | | 5 | | Elect Director Jeffrey H. Donahue | | For | | For |
| | | | | | | | | | Management | | 6 | | Elect Director Peter J. Grua | | For | | For |
| | | | | | | | | | Management | | 7 | | Elect Director Fred S. Klipsch | | For | | For |
| | | | | | | | | | Management | | 8 | | Elect Director Sharon M. Oster | | For | | For |
| | | | | | | | | | Management | | 9 | | Elect Director Jeffrey R. Otten | | For | | For |
| | | | | | | | | | Management | | 10 | | Elect Director R. Scott Trumbull | | For | | For |
| | | | | | | | | | Management | | 11 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | Management | | 12 | | Ratify Auditors | | For | | For |
Prologis, Inc. | | PLD | | 74340W103 | | 5/3/2012 | | Annual | | Management | | 1 | | Elect Director Hamid R. Moghadam | | For | | For |
| | | | | | | | | | Management | | 2 | | Elect Director Walter C. Rakowich | | For | | For |
| | | | | | | | | | Management | | 3 | | Elect Director George L. Fotiades | | For | | For |
| | | | | | | | | | Management | | 4 | | Elect Director Christine N. Garvey | | For | | For |
| | | | | | | | | | Management | | 5 | | Elect Director Lydia H. Kennard | | For | | For |
| | | | | | | | | | Management | | 6 | | Elect Director J. Michael Losh | | For | | For |
| | | | | | | | | | | | | | | | | | |
Company Name | | Ticker | | Security ID | | Meeting Date | | Meeting Type | | Proponent | | Item Number | | Proposal | | Management Recommendation | | Vote Instruction |
| | | | | | | | | | Management | | 7 | | Elect Director Irving F. Lyons, III | | For | | For |
| | | | | | | | | | Management | | 8 | | Elect Director Jeffrey L. Skelton | | For | | For |
| | | | | | | | | | Management | | 9 | | Elect Director D. Michael Steuert | | For | | For |
| | | | | | | | | | Management | | 10 | | Elect Director Carl B. Webb | | For | | For |
| | | | | | | | | | Management | | 11 | | Elect Director William D. Zollars | | For | | For |
| | | | | | | | | | Management | | 12 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | Management | | 13 | | Advisory Vote on Say on Pay Frequency | | One Year | | One Year |
| | | | | | | | | | Management | | 14 | | Approve Omnibus Stock Plan | | For | | For |
| | | | | | | | | | Management | | 15 | | Increase Authorized Common Stock | | For | | For |
| | | | | | | | | | Management | | 16 | | Ratify Auditors | | For | | For |
Public Storage | | PSA | | 74460D109 | | 5/3/2012 | | Annual | | Management | | 1.1 | | Elect Director Ronald L. Havner, Jr. | | For | | For |
| | | | | | | | | | Management | | 1.2 | | Elect Director Tamara Hughes Gustavson | | For | | For |
| | | | | | | | | | Management | | 1.3 | | Elect Director Uri P. Harkham | | For | | For |
| | | | | | | | | | Management | | 1.4 | | Elect Director B. Wayne Hughes, Jr. | | For | | For |
| | | | | | | | | | Management | | 1.5 | | Elect Director Avedick B. Poladian | | For | | For |
| | | | | | | | | | Management | | 1.6 | | Elect Director Gary E. Pruitt | | For | | For |
| | | | | | | | | | Management | | 1.7 | | Elect Director Ronald P. Spogli | | For | | For |
| | | | | | | | | | Management | | 1.8 | | Elect Director Daniel C. Staton | | For | | For |
| | | | | | | | | | Management | | 2 | | Ratify Auditors | | For | | For |
| | | | | | | | | | Management | | 3 | | Amend Omnibus Stock Plan | | For | | For |
| | | | | | | | | | Management | | 4 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
Starwood Hotels & Resorts Worldwide, Inc. | | HOT | | 85590A401 | | 5/3/2012 | | Annual | | Management | | 1.1 | | Elect Director Frits van Paasschen | | For | | For |
| | | | | | | | | | Management | | 1.2 | | Elect Director Bruce W. Duncan | | For | | For |
| | | | | | | | | | Management | | 1.3 | | Elect Director Adam M. Aron | | For | | For |
| | | | | | | | | | Management | | 1.4 | | Elect Director Charlene Barshefsky | | For | | For |
| | | | | | | | | | Management | | 1.5 | | Elect Director Thomas E. Clarke | | For | | For |
| | | | | | | | | | Management | | 1.6 | | Elect Director Clayton C. Daley, Jr. | | For | | For |
| | | | | | | | | | Management | �� | 1.7 | | Elect Director Lizanne Galbreath | | For | | For |
| | | | | | | | | | Management | | 1.8 | | Elect Director Eric Hippeau | | For | | For |
| | | | | | | | | | Management | | 1.9 | | Elect Director Stephen R. Quazzo | | For | | For |
| | | | | | | | | | Management | | 1.10 | | Elect Director Thomas O. Ryder | | For | | For |
| | | | | | | | | | Management | | 2 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | Management | | 3 | | Ratify Auditors | | For | | For |
CommonWealth REIT | | CWH | | 203233101 | | 5/8/2012 | | Annual | | Management | | 1 | | Elect Director William A. Lamkin | | For | | For |
| | | | | | | | | | Management | | 2 | | Elect Director Adam D. Portnoy | | For | | For |
| | | | | | | | | | Management | | 3 | | Approve Restricted Stock Plan | | For | | For |
| | | | | | | | | | Management | | 4 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | Management | | 5 | | Ratify Auditors | | For | | For |
Corporate Office Properties Trust | | OFC | | 22002T108 | | 5/10/2012 | | Annual | | Management | | 1.1 | | Elect Director Jay H. Shidler | | For | | For |
| | | | | | | | | | Management | | 1.2 | | Elect Director Clay W. Hamlin, III | | For | | For |
| | | | | | | | | | Management | | 1.3 | | Elect Director Thomas F. Brady | | For | | For |
| | | | | | | | | | Management | | 1.4 | | Elect Director Robert L. Denton | | For | | For |
| | | | | | | | | | Management | | 1.5 | | Elect Director Elizabeth A. Hight | | For | | For |
| | | | | | | | | | Management | | 1.6 | | Elect Director David M. Jacobstein | | For | | For |
| | | | | | | | | | Management | | 1.7 | | Elect Director Steven D. Kesler | | For | | For |
| | | | | | | | | | | | | | | | | | |
Company Name | | Ticker | | Security ID | | Meeting Date | | Meeting Type | | Proponent | | Item Number | | Proposal | | Management Recommendation | | Vote Instruction |
| | | | | | | | | | Management | | 1.8 | | Elect Director Richard Szafranski | | For | | For |
| | | | | | | | | | Management | | 1.9 | | Elect Director Roger A. Waesche, Jr. | | For | | For |
| | | | | | | | | | Management | | 1.10 | | Elect Director Kenneth D. Wethe | | For | | For |
| | | | | | | | | | Management | | 2 | | Ratify Auditors | | For | | For |
| | | | | | | | | | Management | | 3 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
Host Hotels & Resorts, Inc. | | HST | | 44107P104 | | 5/10/2012 | | Annual | | Management | | 1 | | Elect Director Robert M. Baylis | | For | | For |
| | | | | | | | | | Management | | 2 | | Elect Director Terence C. Golden | | For | | For |
| | | | | | | | | | Management | | 3 | | Elect Director Ann M. Korologos | | For | | For |
| | | | | | | | | | Management | | 4 | | Elect Director Richard E. Marriott | | For | | For |
| | | | | | | | | | Management | | 5 | | Elect Director John B. Morse, Jr. | | For | | For |
| | | | | | | | | | Management | | 6 | | Elect Director Walter C. Rakowich | | For | | For |
| | | | | | | | | | Management | | 7 | | Elect Director Gordon H. Smith | | For | | For |
| | | | | | | | | | Management | | 8 | | Elect Director W. Edward Walter | | For | | For |
| | | | | | | | | | Management | | 9 | | Ratify Auditors | | For | | For |
| | | | | | | | | | Management | | 10 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
BRE Properties, Inc. | | BRE | | 05564E106 | | 5/15/2012 | | Annual | | Management | | 1.1 | | Elect Director Irving F. Lyons, III | | For | | For |
| | | | | | | | | | Management | | 1.2 | | Elect Director Paula F. Downey | | For | | For |
| | | | | | | | | | Management | | 1.3 | | Elect Director Christopher J. McGurk | | For | | For |
| | | | | | | | | | Management | | 1.4 | | Elect Director Matthew T. Medeiros | | For | | For |
| | | | | | | | | | Management | | 1.5 | | Elect Director Constance B. Moore | | For | | For |
| | | | | | | | | | Management | | 1.6 | | Elect Director Jeanne R. Myerson | | For | | For |
| | | | | | | | | | Management | | 1.7 | | Elect Director Jeffrey T. Pero | | For | | For |
| | | | | | | | | | Management | | 1.8 | | Elect Director Thomas E. Robinson | | For | | For |
| | | | | | | | | | Management | | 1.9 | | Elect Director Dennis E. Singleton | | For | | For |
| | | | | | | | | | Management | | 1.10 | | Elect Director Thomas P. Sullivan | | For | | For |
| | | | | | | | | | Management | | 2 | | Ratify Auditors | | For | | For |
| | | | | | | | | | Management | | 3 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
Boston Properties, Inc. | | BXP | | 101121101 | | 5/15/2012 | | Annual | | Management | | 1 | | Elect Director Lawrence S. Bacow | | For | | For |
| | | | | | | | | | Management | | 2 | | Elect Director Zoe Baird Budinger | | For | | For |
| | | | | | | | | | Management | | 3 | | Elect Director Douglas T. Linde | | For | | For |
| | | | | | | | | | Management | | 4 | | Elect Director Matthew J. Lustig | | For | | For |
| | | | | | | | | | Management | | 5 | | Elect Director Alan J. Patricof | | For | | For |
| | | | | | | | | | Management | | 6 | | Elect Director Martin Turchin | | For | | For |
| | | | | | | | | | Management | | 7 | | Elect Director David A. Twardock | | For | | For |
| | | | | | | | | | Management | | 8 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | Management | | 9 | | Amend Omnibus Stock Plan | | For | | For |
| | | | | | | | | | Management | | 10 | | Ratify Auditors | | For | | For |
Simon Property Group, Inc. | | SPG | | 828806109 | | 5/17/2012 | | Annual | | Management | | 1 | | Elect Director Melvyn E. Bergstein | | For | | For |
| | | | | | | | | | Management | | 2 | | Elect Director Larry C. Glasscock | | For | | For |
| | | | | | | | | | Management | | 3 | | Elect Director Karen N. Horn | | For | | For |
| | | | | | | | | | Management | | 4 | | Elect Director Allan Hubbard | | For | | For |
| | | | | | | | | | Management | | 5 | | Elect Director Reuben S. Leibowitz | | For | | For |
| | | | | | | | | | Management | | 6 | | Elect Director Daniel C. Smith | | For | | For |
| | | | | | | | | | Management | | 7 | | Elect Director J. Albert Smith, Jr. | | For | | For |
| | | | | | | | | | Management | | 8 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | Management | | 9 | | Ratify Auditors | | For | | For |
| | | | | | | | | | Management | | 10 | | Amend Omnibus Stock Plan | | For | | For |
| | | | | | | | | | | | | | | | | | |
Company Name | | Ticker | | Security ID | | Meeting Date | | Meeting Type | | Proponent | | Item Number | | Proposal | | Management Recommendation | | Vote Instruction |
Ventas, Inc. | | VTR | | 92276F100 | | 5/17/2012 | | Annual | | Management | | 1 | | Elect Director Debra A. Cafaro | | For | | For |
| | | | | | | | | | Management | | 2 | | Elect Director Douglas Crocker, II | | For | | For |
| | | | | | | | | | Management | | 3 | | Elect Director Ronald G. Geary | | For | | For |
| | | | | | | | | | Management | | 4 | | Elect Director Jay M. Gellert | | For | | For |
| | | | | | | | | | Management | | 5 | | Elect Director Richard I. Gilchrist | | For | | For |
| | | | | | | | | | Management | | 6 | | Elect Director Matthew J. Lustig | | For | | For |
| | | | | | | | | | Management | | 7 | | Elect Director Douglas M. Pasquale | | For | | For |
| | | | | | | | | | Management | | 8 | | Elect Director Robert D. Reed | | For | | For |
| | | | | | | | | | Management | | 9 | | Elect Director Sheli Z. Rosenberg | | For | | For |
| | | | | | | | | | Management | | 10 | | Elect Director Glenn J. Rufrano | | For | | For |
| | | | | | | | | | Management | | 11 | | Elect Director James D. Shelton | | For | | For |
| | | | | | | | | | Management | | 12 | | Ratify Auditors | | For | | For |
| | | | | | | | | | Management | | 13 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | Management | | 14 | | Approve Omnibus Stock Plan | | For | | For |
Extra Space Storage Inc. | | EXR | | 30225T102 | | 5/22/2012 | | Annual | | Management | | 1.1 | | Elect Director Spencer F. Kirk | | For | | For |
| | | | | | | | | | Management | | 1.2 | | Elect Director Anthony Fanticola | | For | | For |
| | | | | | | | | | Management | | 1.3 | | Elect Director Hugh W. Horne | | For | | For |
| | | | | | | | | | Management | | 1.4 | | Elect Director Joseph D. Margolis | | For | | For |
| | | | | | | | | | Management | | 1.5 | | Elect Director Roger B. Porter | | For | | For |
| | | | | | | | | | Management | | 1.6 | | Elect Director K. Fred Skousen | | For | | For |
| | | | | | | | | | Management | | 1.7 | | Elect Director Kenneth M. Woolley | | For | | For |
| | | | | | | | | | Management | | 2 | | Ratify Auditors | | For | | For |
| | | | | | | | | | Management | | 3 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
AvalonBay Communities, Inc. | | AVB | | 053484101 | | 5/23/2012 | | Annual | | Management | | 1.1 | | Elect Director Bryce Blair | | For | | For |
| | | | | | | | | | Management | | 1.2 | | Elect Director Alan B. Buckelew | | For | | For |
| | | | | | | | | | Management | | 1.3 | | Elect Director Bruce A. Choate | | For | | For |
| | | | | | | | | | Management | | 1.4 | | Elect Director John J. Healy, Jr. | | For | | For |
| | | | | | | | | | Management | | 1.5 | | Elect Director Timothy J. Naughton | | For | | For |
| | | | | | | | | | Management | | 1.6 | | Elect Director Lance R. Primis | | For | | For |
| | | | | | | | | | Management | | 1.7 | | Elect Director Peter S. Rummell | | For | | For |
| | | | | | | | | | Management | | 1.8 | | Elect Director H. Jay Sarles | | For | | For |
| | | | | | | | | | Management | | 1.9 | | Elect Director W. Edward Walter | | For | | For |
| | | | | | | | | | Management | | 2 | | Ratify Auditors | | For | | For |
| | | | | | | | | | Management | | 3 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | Share Holder | | 4 | | Prepare Sustainability Report | | Against | | Against |
Vornado Realty Trust | | VNO | | 929042109 | | 5/24/2012 | | Annual | | Management | | 1.1 | | Elect Director Steven Roth | | For | | For |
| | | | | | | | | | Management | | 1.2 | | Elect Director Michael D. Fascitelli | | For | | For |
| | | | | | | | | | Management | | 1.3 | | Elect Director Russell B. Wight, Jr. | | For | | For |
| | | | | | | | | | Management | | 2 | | Ratify Auditors | | For | | For |
| | | | | | | | | | Management | | 3 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | Share Holder | | 4 | | Require a Majority Vote for the Election of Directors | | Against | | Against |
| | | | | | | | | | Share Holder | | 5 | | Declassify the Board of Directors | | Against | | For |
The Macerich Company | | MAC | | 554382101 | | 5/30/2012 | | Annual | | Management | | 1 | | Elect Director Douglas D. Abbey | | For | | For |
| | | | | | | | | | Management | | 2 | | Elect Director Dana K. Anderson | | For | | For |
| | | | | | | | | | Management | | 3 | | Elect Director Arthur M. Coppola | | For | | For |
| | | | | | | | | | | | | | | | | | |
Company Name | | Ticker | | Security ID | | Meeting Date | | Meeting Type | | Proponent | | Item Number | | Proposal | | Management Recommendation | | Vote Instruction |
| | | | | | | | | | Management | | 4 | | Elect Director Edward C. Coppola | | For | | For |
| | | | | | | | | | Management | | 5 | | Elect Director Fred S. Hubbell | | For | | For |
| | | | | | | | | | Management | | 6 | | Elect Director Diana M. Laing | | For | | For |
| | | | | | | | | | Management | | 7 | | Elect Director Stanley A. Moore | | For | | For |
| | | | | | | | | | Management | | 8 | | Elect Director Mason G. Ross | | For | | For |
| | | | | | | | | | Management | | 9 | | Elect Director William P. Sexton | | For | | For |
| | | | | | | | | | Management | | 10 | | Ratify Auditors | | For | | For |
| | | | | | | | | | Management | | 11 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
Mack-Cali Realty Corporation | | CLI | | 554489104 | | 6/5/2012 | | Annual | | Management | | 1.1 | | Elect Director Mitchell E. Hersh | | For | | For |
| | | | | | | | | | Management | | 1.2 | | Elect Director Alan S. Bernikow | | For | | For |
| | | | | | | | | | Management | | 1.3 | | Elect Director Irvin D. Reid | | For | | For |
| | | | | | | | | | Management | | 2 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | Management | | 3 | | Ratify Auditors | | For | | For |
SL Green Realty Corp. | | SLG | | 78440X101 | | 6/19/2012 | | Annual | | Management | | 1.1 | | Elect Director John H. Alschuler, Jr. | | For | | For |
| | | | | | | | | | Management | | 1.2 | | Elect Director Stephen L. Green | | For | | For |
| | | | | | | | | | Management | | 2 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | Management | | 3 | | Ratify Auditors | | For | | For |
Equity Residential | | EQR | | 29476L107 | | 6/21/2012 | | Annual | | Management | | 1.1 | | Elect Director John W. Alexander | | For | | For |
| | | | | | | | | | Management | | 1.2 | | Elect Director Charles L. Atwood | | For | | For |
| | | | | | | | | | Management | | 1.3 | | Elect Director Linda Walker Bynoe | | For | | For |
| | | | | | | | | | Management | | 1.4 | | Elect Director Mary Kay Haben | | For | | For |
| | | | | | | | | | Management | | 1.5 | | Elect Director Bradley A. Keywell | | For | | For |
| | | | | | | | | | Management | | 1.6 | | Elect Director John E. Neal | | For | | For |
| | | | | | | | | | Management | | 1.7 | | Elect Director David J. Neithercut | | For | | For |
| | | | | | | | | | Management | | 1.8 | | Elect Director Mark S. Shapiro | | For | | For |
| | | | | | | | | | Management | | 1.9 | | Elect Director Gerald A. Spector | | For | | For |
| | | | | | | | | | Management | | 1.10 | | Elect Director B. Joseph White | | For | | For |
| | | | | | | | | | Management | | 1.11 | | Elect Director Samuel Zell | | For | | For |
| | | | | | | | | | Management | | 2 | | Ratify Auditors | | For | | For |
| | | | | | | | | | Management | | 3 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | Share Holder | | 4 | | Prepare Sustainability Report | | Against | | Against |
Nuveen Diversified Dividend and Income Fund
Symphony Asset Management
| | | | | | | | | | | | | | | | | | | | |
Company Name | | Ticker | | CUSIP | | Country | | Meeting Date | | Meeting Type | | Proponent | | Item Number | | Proposal | | Management Recommendation | | Vote Instruction |
MGM Holdings Inc. | | | | | | USA | | 19-Dec-11 | | Annual | | Management | | 1.1 | | Elect Director Gary Barber | | For | | |
| | | | | | | | | | | | Management | | 1.2 | | Elect Director Ann Mather | | For | | |
| | | | | | | | | | | | Management | | 1.3 | | Elect Director Roger Birnbaum | | For | | |
| | | | | | | | | | | | Management | | 1.4 | | Elect Director Christopher Pucillo | | For | | |
| | | | | | | | | | | | Management | | 1.5 | | Elect Director James Dondero | | For | | |
| | | | | | | | | | | | Management | | 1.6 | | Elect Director Frederic G. Reynolds | | For | | |
| | | | | | | | | | | | Management | | 1.7 | | Elect Director Jason O. Hirschhorn | | For | | |
| | | | | | | | | | | | Management | | 1.8 | | Elect Director Kevin Ulrich | | For | | |
| | | | | | | | | | | | Management | | 2 | | Elect Independent Director Peter Liguori | | For | | |
Masonite Inc. | | MASWF | | 575387105 | | Canada | | 01-Mar-12 | | Special | | Management | | 1 | | Private Company Resolution: Disclosure Requirements Resolution | | For | | |
| �� | | | | | | | | | | | Management | | 2 | | Private Company Resolution: Ancillary Amendments Resolution | | For | | |
| | | | | | | | | | | | Management | | 3 | | Private Company Resolution: Triggering Event Amendment Resolution | | For | | |
Masonite Inc. | | MASWF | | 575387105 | | Canada | | 18-May-12 | | Annual | | Management | | 1.1 | | Private Company Resolution: Elect Director Frederick J. Lynch | | For | | For |
| | | | | | | | | | | | Management | | 1.2 | | Private Company Resolution: Elect Director Robert J. Byrne | | For | | For |
| | | | | | | | | | | | Management | | 1.3 | | Private Company Resolution: Elect Director Jonathan F. Foster | | For | | For |
| | | | | | | | | | | | Management | | 1.4 | | Private Company Resolution: Elect Director Kenneth W. Freeman | | For | | For |
| | | | | | | | | | | | Management | | 1.5 | | Private Company Resolution: Elect Director George A. Lorch | | For | | For |
| | | | | | | | | | | | Management | | 1.6 | | Private Company Resolution: Elect Director Francis M. Scricco | | For | | For |
| | | | | | | | | | | | Management | | 1.7 | | Private Company Resolution: Elect Director John C. Wills | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Private Company Resolution: Approve Deloitte & Touche LLP as Auditors and Authorize Board to Fix Their Remuneration | | For | | For |
Nuveen Diversified Dividend and Income Fund
NWQ Investment Management Company LLC
| | | | | | | | | | | | | | | | | | | | |
Company Name | | Ticker | | Security ID | | Country | | Meeting Date | | Meeting Type | | Proponent | | Item Number | | Proposal | | Management Recommendation | | Vote Instruction |
Vodafone Group plc | | VOD | | 92857W209 | | United Kingdom | | 26-Jul-11 | | Annual | | Management | | 1 | | Accept Financial Statements and Statutory Reports | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Gerard Kleisterlee as Director | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Re-elect John Buchanan as Director | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Re-elect Vittorio Colao as Director | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Re-elect Michel Combes as Director | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Re-elect Andy Halford as Director | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Re-elect Stephen Pusey as Director | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Elect Renee James as Director | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Re-elect Alan Jebson as Director | | For | | For |
| | | | | | | | | | | | Management | | 10 | | Re-elect Samuel Jonah as Director | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Re-elect Nick Land as Director | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Re-elect Anne Lauvergeon as Director | | For | | For |
| | | | | | | | | | | | Management | | 13 | | Re-elect Luc Vandevelde as Director | | For | | For |
| | | | | | | | | | | | Management | | 14 | | Re-elect Anthony Watson as Director | | For | | For |
| | | | | | | | | | | | Management | | 15 | | Re-elect Philip Yea as Director | | For | | For |
| | | | | | | | | | | | Management | | 16 | | Approve Final Dividend | | For | | For |
| | | | | | | | | | | | Management | | 17 | | Approve Remuneration Report | | For | | For |
| | | | | | | | | | | | Management | | 18 | | Reappoint Deloitte LLP as Auditors | | For | | For |
| | | | | | | | | | | | Management | | 19 | | Authorise Audit Committee to Fix Remuneration of Auditors | | For | | For |
| | | | | | | | | | | | Management | | 20 | | Authorise Issue of Equity with Pre-emptive Rights | | For | | For |
| | | | | | | | | | | | Management | | 21 | | Authorise Issue of Equity without Pre-emptive Rights | | For | | For |
| | | | | | | | | | | | Management | | 22 | | Authorise Market Purchase | | For | | For |
| | | | | | | | | | | | Management | | 23 | | Authorise the Company to Call EGM with Two Weeks’ Notice | | For | | For |
CA, Inc. | | CA | | 12673P105 | | USA | | 03-Aug-11 | | Annual | | Management | | 1 | | Elect Director Raymond J. Bromark | | For | | Against |
| | | | | | | | | | | | Management | | 2 | | Elect Director Gary J. Fernandes | | For | | Against |
| | | | | | | | | | | | Management | | 3 | | Elect Director Rohit Kapoor | | For | | Against |
| | | | | | | | | | | | Management | | 4 | | Elect Director Kay Koplovitz | | For | | Against |
| | | | | | | | | | | | Management | | 5 | | Elect Director Christopher B. Lofgren | | For | | Against |
| | | | | | | | | | | | Management | | 6 | | Elect Director William E. McCracken | | For | | Against |
| | | | | | | | | | | | Management | | 7 | | Elect Director Richard Sulpizio | | For | | Against |
| | | | | | | | | | | | Management | | 8 | | Elect Director Laura S. Unger | | For | | Against |
| | | | | | | | | | | | Management | | 9 | | Elect Director Arthur F. Weinbach | | For | | Against |
| | | | | | | | | | | | Management | | 10 | | Elect Director Renato (Ron) Zambonini | | For | | Against |
| | | | | | | | | | | | Management | | 11 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | Against |
| | | | | | | | | | | | Management | | 13 | | Advisory Vote on Say on Pay Frequency | | One Year | | One Year |
| | | | | | | | | | | | Management | | 14 | | Approve Omnibus Stock Plan | | For | | Against |
| | | | | | | | | | | | Management | | 15 | | Approve Qualified Employee Stock Purchase Plan | | For | | For |
H. J. Heinz Finance Co | | | | 42307T306 | | USA | | 19-Sep-11 | | Annual | | Management | | 1.1 | | Elect Director Leonard A. Cullo, Jr. | | For | | Do Not Vote |
| | | | | | | | | | | | Management | | 1.2 | | Elect Director Edward J. McMenamin | | For | | Do Not Vote |
| | | | | | | | | | | | Management | | 1.3 | | Elect Director Arthur B. Winkleblack | | For | | Do Not Vote |
| | | | | | | | | | | | Management | | 2 | | Elect Independent Director Andrew L. Stidd | | For | | Do Not Vote |
Teva Pharmaceutical Industries Ltd. | | TEVA | | 881624209 | | Israel | | 19-Sep-11 | | Annual | | Management | | 1 | | Approve Final Dividend | | For | | For |
| | | | | | | | | | | | Management | | 2.1 | | Elect Chaim Hurvitz as Director | | For | | For |
| | | | | | | | | | | | Management | | 2.2 | | Elect Ory Slonim as Director | | For | | For |
| | | | | | | | | | | | Management | | 2.3 | | Elect Dan Suesskind as Director | | For | | For |
| | | | | | | | | | | | Management | | 3.1 | | Elect Joseph Nitzani as External Director and Approve His Remuneration | | For | | For |
| | | | | | | | | | | | Management | | 3.2 | | Elect Dafna Schwartz as External Director and Approve Her Remuneration | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Approve Auditors and Authorize Board to Fix Their Remuneration | | For | | For |
| | | | | | | | | | | | | | | | | | | | |
Company Name | | Ticker | | Security ID | | Country | | Meeting Date | | Meeting Type | | Proponent | | Item Number | | Proposal | | Management Recommendation | | Vote Instruction |
| | | | | | | | | | | | Management | | 5 | | Approve Director/Officer Liability and Indemnification Insurance | | For | | For |
| | | | | | | | | | | | Management | | 6.1 | | Amend Remuneration of Vice Chairman | | For | | For |
| | | | | | | | | | | | Management | | 6.2 | | Approve Reimbursement of Expenses of Board Chairman | | For | | For |
Microsoft Corporation | | MSFT | | 594918104 | | USA | | 15-Nov-11 | | Annual | | Management | | 1 | | Elect Director Steven A. Ballmer | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director Dina Dublon | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Director William H. Gates, III | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Director Raymond V. Gilmartin | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Elect Director Reed Hastings | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Elect Director Maria M. Klawe | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Elect Director David F. Marquardt | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Elect Director Charles H. Noski | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Elect Director Helmut Panke | | For | | For |
| | | | | | | | | | | | Management | | 10 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Advisory Vote on Say on Pay Frequency | | One Year | | One Year |
| | | | | | | | | | | | Management | | 12 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Share Holder | | 13 | | Amend Bylaws to Establish a Board Committee on Environmental Sustainability | | Against | | Against |
AngloGold Ashanti Ltd | | ANG | | 035128206 | | South Africa | | 16-Nov-11 | | Special | | Management | | 1 | | Authorise the Company to Provide Financial Assistance to Subsidiaries and Other Related or Inter-related Parties | | For | | For |
Cisco Systems, Inc. | | CSCO | | 17275R102 | | USA | | 07-Dec-11 | | Annual | | Management | | 1 | | Elect Director Carol A. Bartz | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director M. Michele Burns | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Director Michael D. Capellas | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Director Larry R. Carter | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Elect Director John T. Chambers | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Elect Director Brian L. Halla | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Elect Director John L. Hennessy | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Elect Director Richard M. Kovacevich | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Elect Director Roderick C. McGeary | | For | | For |
| | | | | | | | | | | | Management | | 10 | | Elect Director Arun Sarin | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Elect Director Steven M. West | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Elect Director Jerry Yang | | For | | For |
| | | | | | | | | | | | Management | | 13 | | Amend Omnibus Stock Plan | | For | | For |
| | | | | | | | | | | | Management | | 14 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | | | Management | | 15 | | Advisory Vote on Say on Pay Frequency | | One Year | | One Year |
| | | | | | | | | | | | Management | | 16 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Share Holder | | 17 | | Amend Bylaws to Establish a Board Committee on Environmental Sustainability | | Against | | Against |
| | | | | | | | | | | | Share Holder | | 18 | | Report on Internet Fragmentation | | Against | | For |
| | | | | | | | | | | | Share Holder | | 19 | | Stock Retention/Holding Period | | Against | | Against |
Citigroup Inc. | | C | | 172967424 | | USA | | 17-Apr-12 | | Annual | | Management | | 1 | | Elect Director Franz B. Humer | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director Robert L. Joss | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Director Michael E. O’Neill | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Director Vikram S. Pandit | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Elect Director Lawrence R. Ricciardi | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Elect Director Judith Rodin | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Elect Director Robert L. Ryan | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Elect Director Anthony M. Santomero | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Elect Director Joan E. Spero | | For | | For |
| | | | | | | | | | | | Management | | 10 | | Elect Director Diana L. Taylor | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Elect Director William S. Thompson, Jr. | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Elect Director Ernesto Zedillo Ponce de Leon | | For | | For |
| | | | | | | | | | | | Management | | 13 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Management | | 14 | | Amend Omnibus Stock Plan | | For | | For |
| | | | | | | | | | | | Management | | 15 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | Against |
| | | | | | | | | | | | Share Holder | | 16 | | Disclose Prior Government Service | | Against | | Against |
| | | | | | | | | | | | | | | | | | | | |
Company Name | | Ticker | | Security ID | | Country | | Meeting Date | | Meeting Type | | Proponent | | Item Number | | Proposal | | Management Recommendation | | Vote Instruction |
| | | | | | | | | | | | Share Holder | | 17 | | Report on Political Contributions and Lobbying Expenditures | | Against | | Against |
| | | | | | | | | | | | Share Holder | | 18 | | Stock Retention/Holding Period | | Against | | For |
| | | | | | | | | | | | Share Holder | | 19 | | Require Audit Committee Review and Report on Controls Related to Loans, Foreclosure and Securitizations | | Against | | Against |
MetLife, Inc. | | MET | | 59156R108 | | USA | | 24-Apr-12 | | Annual | | Management | | 1.1 | | Elect Director John M. Keane | | For | | For |
| | | | | | | | | | | | Management | | 1.2 | | Elect Director Catherine R. Kinney | | For | | For |
| | | | | | | | | | | | Management | | 1.3 | | Elect Director Hugh B. Price | | For | | For |
| | | | | | | | | | | | Management | | 1.4 | | Elect Director Kenton J. Sicchitano | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
Newmont Mining Corporation | | NEM | | 651639106 | | USA | | 24-Apr-12 | | Annual | | Management | | 1.1 | | Elect Director Bruce R. Brook | | For | | For |
| | | | | | | | | | | | Management | | 1.2 | | Elect Director Vincent A. Calarco | | For | | For |
| | | | | | | | | | | | Management | | 1.3 | | Elect Director Joseph A. Carrabba | | For | | For |
| | | | | | | | | | | | Management | | 1.4 | | Elect Director Noreen Doyle | | For | | For |
| | | | | | | | | | | | Management | | 1.5 | | Elect Director Veronica M. Hagen | | For | | For |
| | | | | | | | | | | | Management | | 1.6 | | Elect Director Michael S. Hamson | | For | | For |
| | | | | | | | | | | | Management | | 1.7 | | Elect Director Jane Nelson | | For | | For |
| | | | | | | | | | | | Management | | 1.8 | | Elect Director Richard T. O’Brien | | For | | For |
| | | | | | | | | | | | Management | | 1.9 | | Elect Director John B. Prescott | | For | | For |
| | | | | | | | | | | | Management | | 1.10 | | Elect Director Donald C. Roth | | For | | For |
| | | | | | | | | | | | Management | | 1.11 | | Elect Director Simon R. Thompson | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Other Business | | For | | Against |
PACCAR Inc | | PCAR | | 693718108 | | USA | | 24-Apr-12 | | Annual | | Management | | 1.1 | | Elect Director Mark C. Pigott | | For | | For |
| | | | | | | | | | | | Management | | 1.2 | | Elect Director Warren R. Staley | | For | | For |
| | | | | | | | | | | | Management | | 1.3 | | Elect Director Charles R. Williamson | | For | | For |
| | | | | | | | | | | | Share Holder | | 2 | | Require a Majority Vote for the Election of Directors | | For | | For |
| | | | | | | | | | | | Share Holder | | 3 | | Reduce Supermajority Vote Requirement | | Against | | For |
| | | | | | | | | | | | Share Holder | | 4 | | Declassify the Board of Directors | | Against | | For |
Wells Fargo & Company | | WFC | | 949746101 | | USA | | 24-Apr-12 | | Annual | | Management | | 1 | | Elect Director John D. Baker, II | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director Elaine L. Chao | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Director John S. Chen | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Director Lloyd H. Dean | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Elect Director Susan E. Engel | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Elect Director Enrique Hernandez, Jr. | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Elect Director Donald M. James | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Elect Director Cynthia H. Milligan | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Elect Director Nicholas G. Moore | | For | | For |
| | | | | | | | | | | | Management | | 10 | | Elect Director Federico F. Pena | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Elect Director Philip J. Quigley | | For | | Against |
| | | | | | | | | | | | Management | | 12 | | Elect Director Judith M. Runstad | | For | | For |
| | | | | | | | | | | | Management | | 13 | | Elect Director Stephen W. Sanger | | For | | For |
| | | | | | | | | | | | Management | | 14 | | Elect Director John G. Stumpf | | For | | For |
| | | | | | | | | | | | Management | | 15 | | Elect Director Susan G. Swenson | | For | | For |
| | | | | | | | | | | | Management | | 16 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | | | Management | | 17 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Share Holder | | 18 | | Require Independent Board Chairman | | Against | | For |
| | | | | | | | | | | | Share Holder | | 19 | | Provide for Cumulative Voting | | Against | | For |
| | | | | | | | | | | | Share Holder | | 20 | | Adopt Proxy Access Right | | Against | | For |
| | | | | | | | | | | | Share Holder | | 21 | | Require Audit Committee Review and Report on Controls Related to Loans, Foreclosure and Securitizations | | Against | | Against |
General Electric Company | | GE | | 369604103 | | USA | | 25-Apr-12 | | Annual | | Management | | 1 | | Elect Director W. Geoffrey Beattie | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director James I. Cash, Jr. | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Director Ann M. Fudge | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Director Susan Hockfield | | For | | For |
| | | | | | | | | | | | | | | | | | | | |
Company Name | | Ticker | | Security ID | | Country | | Meeting Date | | Meeting Type | | Proponent | | Item Number | | Proposal | | Management Recommendation | | Vote Instruction |
| | | | | | | | | | | | Management | | 5 | | Elect Director Jeffrey R. Immelt | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Elect Director Andrea Jung | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Elect Director Alan G. Lafley | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Elect Director Robert W. Lane | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Elect Director Ralph S. Larsen | | For | | For |
| | | | | | | | | | | | Management | | 10 | | Elect Director Rochelle B. Lazarus | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Elect Director James J. Mulva | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Elect Director Sam Nunn | | For | | For |
| | | | | | | | | | | | Management | | 13 | | Elect Director Roger S. Penske | | For | | For |
| | | | | | | | | | | | Management | | 14 | | Elect Director Robert J. Swieringa | | For | | For |
| | | | | | | | | | | | Management | | 15 | | Elect Director James S. Tisch | | For | | For |
| | | | | | | | | | | | Management | | 16 | | Elect Director Douglas A. Warner, III | | For | | For |
| | | | | | | | | | | | Management | | 17 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Management | | 18 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | | | Management | | 19 | | Amend Omnibus Stock Plan | | For | | For |
| | | | | | | | | | | | Management | | 20 | | Approve Material Terms of Senior Officer Performance Goals | | For | | For |
| | | | | | | | | | | | Share Holder | | 21 | | Provide for Cumulative Voting | | Against | | For |
| | | | | | | | | | | | Share Holder | | 22 | | Phase Out Nuclear Activities | | Against | | Against |
| | | | | | | | | | | | Share Holder | | 23 | | Require Independent Board Chairman | | Against | | Against |
| | | | | | | | | | | | Share Holder | | 24 | | Provide Right to Act by Written Consent | | Against | | For |
Pfizer Inc. | | PFE | | 717081103 | | USA | | 26-Apr-12 | | Annual | | Management | | 1 | | Elect Director Dennis A. Ausiello | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director M. Anthony Burns | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Director W. Don Cornwell | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Director Frances D. Fergusson | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Elect Director William H. Gray, III | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Elect Director Helen H. Hobbs | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Elect Director Constance J. Horner | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Elect Director James M. Kilts | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Elect Director George A. Lorch | | For | | For |
| | | | | | | | | | | | Management | | 10 | | Elect Director John P. Mascotte | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Elect Director Suzanne Nora Johnson | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Elect Director Ian C. Read | | For | | For |
| | | | | | | | | | | | Management | | 13 | | Elect Director Stephen W. Sanger | | For | | For |
| | | | | | | | | | | | Management | | 14 | | Elect Director Marc Tessier-Lavigne | | For | | For |
| | | | | | | | | | | | Management | | 15 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Management | | 16 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | | | Share Holder | | 17 | | Publish Political Contributions | | Against | | Against |
| | | | | | | | | | | | Share Holder | | 18 | | Provide Right to Act by Written Consent | | Against | | For |
| | | | | | | | | | | | Share Holder | | 19 | | Amend Articles/Bylaws/Charter -- Call Special Meetings | | Against | | Against |
| | | | | | | | | | | | Share Holder | | 20 | | Non-Employee Director Compensation | | Against | | Against |
Motorola Solutions, Inc. | | MSI | | 620076307 | | USA | | 30-Apr-12 | | Annual | | Management | | 1 | | Elect Director Gregory Q. Brown | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director William J. Bratton | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Director Kenneth C. Dahlberg | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Director David W. Dorman | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Elect Director Michael V. Hayden | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Elect Director Judy C. Lewent | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Elect Director Samuel C. Scott, III | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Elect Director John A. White | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | Against |
| | | | | | | | | | | | Management | | 10 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Share Holder | | 11 | | Encourage Suppliers to Produce Sustainability Reports | | Against | | Against |
| | | | | | | | | | | | Share Holder | | 12 | | Stock Retention/Holding Period | | Against | | For |
National CineMedia, Inc. | | NCMI | | 635309107 | | USA | | 01-May-12 | | Annual | | Management | | 1.1 | | Elect Director David R. Haas | | For | | For |
| | | | | | | | | | | | Management | | 1.2 | | Elect Director James R. Holland, Jr. | | For | | For |
| | | | | | | | | | | | Management | | 1.3 | | Elect Director Stephen L. Lanning | | For | | For |
| | | | | | | | | | | | Management | | 1.4 | | Elect Director Edward H. Meyer | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Approve Executive Incentive Bonus Plan | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | Against |
| | | | | | | | | | | | Management | | 4 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | | | | | | | | | |
Company Name | | Ticker | | Security ID | | Country | | Meeting Date | | Meeting Type | | Proponent | | Item Number | | Proposal | | Management Recommendation | | Vote Instruction |
Talisman Energy Inc. | | TLM | | 87425E103 | | Canada | | 01-May-12 | | Annual | | Management | | 1.1 | | Elect Director Christiane Bergevin | | For | | For |
| | | | | | | | | | | | Management | | 1.2 | | Elect Director Donald J. Carty | | For | | For |
| | | | | | | | | | | | Management | | 1.3 | | Elect Director William R.P. Dalton | | For | | For |
| | | | | | | | | | | | Management | | 1.4 | | Elect Director Kevin S. Dunne | | For | | For |
| | | | | | | | | | | | Management | | 1.5 | | Elect Director Harold N. Kvisle | | For | | For |
| | | | | | | | | | | | Management | | 1.6 | | Elect Director John A. Manzoni | | For | | For |
| | | | | | | | | | | | Management | | 1.7 | | Elect Director Lisa A. Stewart | | For | | For |
| | | | | | | | | | | | Management | | 1.8 | | Elect Director Peter W. Tomsett | | For | | For |
| | | | | | | | | | | | Management | | 1.9 | | Elect Director Michael T. Waites | | For | | For |
| | | | | | | | | | | | Management | | 1.10 | | Elect Director Charles R. Williamson | | For | | For |
| | | | | | | | | | | | Management | | 1.11 | | Elect Director Charles M. Winograd | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Ratify Ernst & Young LLP as Auditors | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Advisory Vote on Executive Compensation Approach | | For | | For |
Barrick Gold Corporation | | ABX | | 067901108 | | Canada | | 02-May-12 | | Annual | | Management | | 1.1 | | Elect Director Howard L. Beck | | For | | For |
| | | | | | | | | | | | Management | | 1.2 | | Elect Director C. William D. Birchall | | For | | For |
| | | | | | | | | | | | Management | | 1.3 | | Elect Director Donald J. Carty | | For | | For |
| | | | | | | | | | | | Management | | 1.4 | | Elect Director Gustavo Cisneros | | For | | For |
| | | | | | | | | | | | Management | | 1.5 | | Elect Director Robert M. Franklin | | For | | For |
| | | | | | | | | | | | Management | | 1.6 | | Elect Director J. Brett Harvey | | For | | For |
| | | | | | | | | | | | Management | | 1.7 | | Elect Director Dambisa Moyo | | For | | For |
| | | | | | | | | | | | Management | | 1.8 | | Elect Director Brian Mulroney | | For | | For |
| | | | | | | | | | | | Management | | 1.9 | | Elect Director Anthony Munk | | For | | For |
| | | | | | | | | | | | Management | | 1.10 | | Elect Director Peter Munk | | For | | For |
| | | | | | | | | | | | Management | | 1.11 | | Elect Director Aaron W. Regent | | For | | For |
| | | | | | | | | | | | Management | | 1.12 | | Elect Director Nathaniel P. Rothschild | | For | | For |
| | | | | | | | | | | | Management | | 1.13 | | Elect Director Steven J. Shapiro | | For | | For |
| | | | | | | | | | | | Management | | 1.14 | | Elect Director John L. Thornton | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Approve PricewaterhouseCoopers LLP as Auditors and Authorize Board to Fix Their Remuneration | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Advisory Vote on Executive Compensation Approach | | For | | For |
GlaxoSmithKline plc | | GSK | | 37733W105 | | United Kingdom | | 03-May-12 | | Annual | | Management | | 1 | | Accept Financial Statements and Statutory Reports | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Approve Remuneration Report | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Re-elect Sir Christopher Gent as Director | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Re-elect Sir Andrew Witty as Director | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Re-elect Sir Roy Anderson as Director | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Re-elect Dr Stephanie Burns as Director | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Re-elect Stacey Cartwright as Director | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Re-elect Larry Culp as Director | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Re-elect Sir Crispin Davis as Director | | For | | For |
| | | | | | | | | | | | Management | | 10 | | Re-elect Simon Dingemans as Director | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Re-elect Judy Lewent as Director | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Re-elect Sir Deryck Maughan as Director | | For | | For |
| | | | | | | | | | | | Management | | 13 | | Re-elect Dr Daniel Podolsky as Director | | For | | For |
| | | | | | | | | | | | Management | | 14 | | Re-elect Dr Moncef Slaoui as Director | | For | | For |
| | | | | | | | | | | | Management | | 15 | | Re-elect Tom de Swaan as Director | | For | | For |
| | | | | | | | | | | | Management | | 16 | | Re-elect Sir Robert Wilson as Director | | For | | For |
| | | | | | | | | | | | Management | | 17 | | Reappoint PricewaterhouseCoopers LLP as Auditors | | For | | For |
| | | | | | | | | | | | Management | | 18 | | Authorise the Audit & Risk Committee to Fix Remuneration of Auditors | | For | | For |
| | | | | | | | | | | | Management | | 19 | | Authorise EU Political Donations and Expenditure | | For | | For |
| | | | | | | | | | | | Management | | 20 | | Authorise Issue of Equity with Pre-emptive Rights | | For | | For |
| | | | | | | | | | | | Management | | 21 | | Authorise Issue of Equity without Pre-emptive Rights | | For | | For |
| | | | | | | | | | | | Management | | 22 | | Authorise Market Purchase | | For | | For |
| | | | | | | | | | | | Management | | 23 | | Approve the Exemption from Statement of the Name of the Senior Statutory Auditor in Published Copies of the Auditors’ Reports | | For | | For |
| | | | | | | | | | | | Management | | 24 | | Authorise the Company to Call EGM with Two Weeks’ Notice | | For | | For |
| | | | | | | | | | | | Management | | 25 | | Approve 2012 ShareSave Plan | | For | | For |
| | | | | | | | | | | | Management | | 26 | | Approve 2012 ShareReward Plan | | For | | For |
| | | | | | | | | | | | | | | | | | | | |
Company Name | | Ticker | | Security ID | | Country | | Meeting Date | | Meeting Type | | Proponent | | Item Number | | Proposal | | Management Recommendation | | Vote Instruction |
Occidental Petroleum Corporation | | OXY | | 674599105 | | USA | | 04-May-12 | | Annual | | Management | | 1 | | Elect Director Spencer Abraham | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director Howard I. Atkins | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Director Stephen I. Chazen | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Director Edward P. Djerejian | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Elect Director John E. Feick | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Elect Director Margaret M. Foran | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Elect Director Carlos M. Gutierrez | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Elect Director Ray R. Irani | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Elect Director Avedick B. Poladian | | For | | For |
| | | | | | | | | | | | Management | | 10 | | Elect Director Aziz D. Syriani | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Elect Director Rosemary Tomich | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | | | Management | | 13 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Share Holder | | 14 | | Request Director Nominee with Environmental Qualifications | | Against | | Against |
Sanofi | | SAN | | 80105N105 | | France | | 04-May-12 | | Annual/Special | | Management | | 1 | | Approve Financial Statements and Statutory Reports | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Approve Consolidated Financial Statements and Statutory Reports | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Approve Allocation of Income and Dividends of EUR 2.65 per Share | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Laurent Attal as Director | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Reelect Uwe Bicker as Director | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Reelect Jean Rene Fourtou as Director | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Reelect Claudie Haignere as Director | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Reelect Carole Piwnica as Director | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Reelect Klaus Pohle as Director | | For | | For |
| | | | | | | | | | | | Management | | 10 | | Appoint Ernst & Young et Autres as Auditor | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Appoint Auditex as Alternate Auditor | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Ratify Change of Registered Office to 54, rue La Boetie, 75008 Paris and Amend Article 4 of Bylaws Accordingly | | For | | For |
| | | | | | | | | | | | Management | | 13 | | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | | For | | For |
| | | | | | | | | | | | Management | | 14 | | Authorize up to 1.2 Percent of Issued Capital for Use in Restricted Stock Plan | | For | | For |
| | | | | | | | | | | | Management | | 15 | | Authorize Filing of Required Documents/Other Formalities | | For | | For |
Symetra Financial Corporation | | SYA | | 87151Q106 | | USA | | 04-May-12 | | Annual | | Management | | 1.1 | | Elect Director Sander M. Levy | | For | | For |
| | | | | | | | | | | | Management | | 1.2 | | Elect Director Lowndes A. Smith | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Ratify Auditors | | For | | For |
Loews Corporation | | L | | 540424108 | | USA | | 08-May-12 | | Annual | | Management | | 1 | | Elect Director Lawrence S. Bacow | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director Ann E. Berman | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Director Joseph L. Bower | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Director Charles M. Diker | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Elect Director Jacob A. Frenkel | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Elect Director Paul J. Fribourg | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Elect Director Walter L. Harris | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Elect Director Philip A. Laskawy | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Elect Director Ken Miller | | For | | For |
| | | | | | | | | | | | Management | | 10 | | Elect Director Gloria R. Scott | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Elect Director Andrew H. Tisch | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Elect Director James S. Tisch | | For | | For |
| | | | | | | | | | | | Management | | 13 | | Elect Director Jonathan M. Tisch | | For | | For |
| | | | | | | | | | | | Management | | 14 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | | | Management | | 15 | | Amend Stock Option Plan | | For | | For |
| | | | | | | | | | | | Management | | 16 | | Approve Executive Incentive Bonus Plan | | For | | For |
| | | | | | | | | | | | Management | | 17 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | | | | | | | | | |
Company Name | | Ticker | | Security ID | | Country | | Meeting Date | | Meeting Type | | Proponent | | Item Number | | Proposal | | Management Recommendation | | Vote Instruction |
Frontier Communications Corporation | | FTR | | 35906A108 | | USA | | 09-May-12 | | Annual | | Management | | 1.1 | | Elect Director Leroy T. Barnes, Jr. | | For | | For |
| | | | | | | | | | | | Management | | 1.2 | | Elect Director Peter C.B. Bynoe | | For | | For |
| | | | | | | | | | | | Management | | 1.3 | | Elect Director Jeri B. Finard | | For | | For |
| | | | | | | | | | | | Management | | 1.4 | | Elect Director Edward Fraioli | | For | | For |
| | | | | | | | | | | | Management | | 1.5 | | Elect Director James S. Kahan | | For | | For |
| | | | | | | | | | | | Management | | 1.6 | | Elect Director Pamela D.A. Reeve | | For | | For |
| | | | | | | | | | | | Management | | 1.7 | | Elect Director Howard L. Schrott | | For | | For |
| | | | | | | | | | | | Management | | 1.8 | | Elect Director Larraine D. Segil | | For | | For |
| | | | | | | | | | | | Management | | 1.9 | | Elect Director Mark Shapiro | | For | | For |
| | | | | | | | | | | | Management | | 1.10 | | Elect Director Myron A. Wick, III | | For | | For |
| | | | | | | | | | | | Management | | 1.11 | | Elect Director Mary Agnes Wilderotter | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | | | Share Holder | | 3 | | Require Independent Board Chairman | | Against | | For |
| | | | | | | | | | | | Share Holder | | 4 | | Amend Articles Regarding Arbitration of Shareholder Lawsuits | | Against | | Against |
| | | | | | | | | | | | Management | | 5 | | Ratify Auditors | | For | | For |
Philip Morris International Inc. | | PM | | 718172109 | | USA | | 09-May-12 | | Annual | | Management | | 1 | | Elect Director Harold Brown | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director Mathis Cabiallavetta | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect DirectorLouis C. Camilleri | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect DirectorJ. Dudley Fishburn | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Elect DirectorJennifer Li | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Elect Director Graham Mackay | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Elect Director Sergio Marchionne | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Elect Director Kalpana Morparia | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Elect DirectorLucio A. Noto | | For | | For |
| | | | | | | | | | | | Management | | 10 | | Elect DirectorRobert B. Polet | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Elect DirectorCarlos Slim Helu | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Elect DirectorStephen M. Wolf | | For | | For |
| | | | | | | | | | | | Management | | 13 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Management | | 14 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | | | Management | | 15 | | Approve Restricted Stock Plan | | For | | For |
| | | | | | | | | | | | Share Holder | | 16 | | Require Independent Board Chairman | | Against | | Against |
| | | | | | | | | | | | Share Holder | | 17 | | Establish Ethics Committee to Review Marketing Activities | | Against | | Against |
AngloGold Ashanti Ltd | | ANG | | 035128206 | | South Africa | | 10-May-12 | | Annual | | Management | | 1 | | Reappoint Ernst & Young Inc as Auditors of the Company | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Nozipho January-Bardill as Director | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Rodney Ruston as Director | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Re-elect Bill Nairn as Director | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Re-elect Wiseman Nkuhlu as Director | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Re-elect Wiseman Nkuhlu as Member of the Audit and Corporate Governance Committee | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Re-elect Frank Arisman as Member of the Audit and Corporate Governance Committee | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Re-elect Rhidwaan Gasant as Member of the Audit and Corporate Governance Committee | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Elect Nozipho January-Bardill as Member of the Audit and Corporate Governance Committee | | For | | For |
| | | | | | | | | | | | Management | | 10 | | Place Authorised but Unissued Shares under Control of Directors | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Authorise Board to Issue Shares for Cash up to a Maximum of Five Percent of Issued Share Capital | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Approve Remuneration Policy | | For | | For |
| | | | | | | | | | | | Management | | 13 | | Approve Increase in Non-executive Directors Fees | | For | | For |
| | | | | | | | | | | | Management | | 14 | | Approve Increase in Non-executive Directors Fees for Board Committee Meetings | | For | | For |
| | | | | | | | | | | | Management | | 15 | | Authorise Repurchase of Up to Five Percent of Issued Share Capital | | For | | For |
| | | | | | | | | | | | | | | | | | | | |
Company Name | | Ticker | | Security ID | | Country | | Meeting Date | | Meeting Type | | Proponent | | Item Number | | Proposal | | Management Recommendation | | Vote Instruction |
CVS Caremark Corporation | | CVS | | 126650100 | | USA | | 10-May-12 | | Annual | | Management | | 1 | | Elect Director C. David Brown, II | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director David W. Dorman | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Director Anne M. Finucane | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Director Kristen Gibney Williams | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Elect Director Marian L. Heard | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Elect Director Larry J. Merlo | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Elect Director Jean-Pierre Millon | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Elect Director C.A. Lance Piccolo | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Elect Director Richard J. Swift | | For | | For |
| | | | | | | | | | | | Management | | 10 | | Elect Director Tony L. White | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | | | Management | | 13 | | Provide Right to Act by Written Consent | | For | | For |
| | | | | | | | | | | | Share Holder | | 14 | | Report on Political Contributions | | Against | | Against |
Total SA | | FP | | 89151E109 | | France | | 11-May-12 | | Annual/Special | | Management | | 1 | | Approve Financial Statements and Statutory Reports | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Approve Consolidated Financial Statements and Statutory Reports | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Approve Allocation of Income and Dividends of EUR 2.28 per Share | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Reelect Christophe de Margerie as Director | | For | | Against |
| | | | | | | | | | | | Management | | 6 | | Reelect Patrick Artus as Director | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Reelect Bertrand Collomb as Director | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Reelect Anne Lauvergeon as Director | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Reelect Michel Pebereau as Director | | For | | Against |
| | | | | | | | | | | | Management | | 10 | | Ratify Appointment of Gerard Lamarche as Director | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Elect Anne-Marie Idrac as Director | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Approve Severance Payment Agreement with Christophe de Margerie | | For | | Against |
| | | | | | | | | | | | Management | | 13 | | Authorize Issuance of Equity or Equity-Linked Securities with Preemptive Rights up to Aggregate Nominal Amount of EUR 2.5 Billion and/or Authorize Capitalization of Reserves for Bonus Issue or Increase in Par Value | | For | | For |
| | | | | | | | | | | | Management | | 14 | | Authorize Issuance of Equity or Equity-Linked Securities without Preemptive Rights up to Aggregate Nominal Amount of EUR 850 Million | | For | | For |
| | | | | | | | | | | | Management | | 15 | | Authorize Board to Increase Capital in the Event of Additional Demand Related to Delegation Submitted to Shareholder Vote Under Item 14 | | For | | For |
| | | | | | | | | | | | Management | | 16 | | Authorize Capital Increase of up to 10 Percent of Issued Capital for Future Acquisitions | | For | | For |
| | | | | | | | | | | | Management | | 17 | | Approve Employee Stock Purchase Plan | | For | | For |
| | | | | | | | | | | | Management | | 18 | | Approve Stock Purchase Plan Reserved for Employees of International Subsidiaries | | For | | For |
| | | | | | | | | | | | Management | | 19 | | Approve Reduction in Share Capital via Cancellation of Repurchased Shares | | For | | For |
| | | | | | | | | | | | Share Holder | | A | | Approve Additional Indicators to Include in the Information Provided on Corporate Executive Officers Remuneration | | Against | | Against |
| | | | | | | | | | | | Share Holder | | B | | Allow Loyalty Dividends to Long-Term Registered Shareholders | | Against | | Against |
Pitney Bowes Inc. | | PBI | | 724479100 | | USA | | 14-May-12 | | Annual | | Management | | 1 | | Elect Director Rodney C. Adkins | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director Anne M. Busquet | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Director Roger Fradin | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Director Anne Sutherland Fuchs | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Elect Director James H. Keyes | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Elect Director Murray D. Martin | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Elect Director Michael I. Roth | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Elect Director David L. Shedlarz | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Elect Director David B. Snow, Jr. | | For | | For |
| | | | | | | | | | | | | | | | | | | | |
Company Name | | Ticker | | Security ID | | Country | | Meeting Date | | Meeting Type | | Proponent | | Item Number | | Proposal | | Management Recommendation | | Vote Instruction |
| | | | | | | | | | | | Management | | 10 | | Elect Director Robert E. Weissman | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | Against |
JPMorgan Chase & Co. | | JPM | | 46625H100 | | USA | | 15-May-12 | | Annual | | Management | | 1 | | Elect Director James A. Bell | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director Crandall C. Bowles | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Director Stephen B. Burke | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Director David M. Cote | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Elect Director James S. Crown | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Elect Director James Dimon | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Elect Director Timothy P. Flynn | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Elect Director Ellen V. Futter | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Elect Director Laban P. Jackson, Jr. | | For | | For |
| | | | | | | | | | | | Management | | 10 | | Elect Director Lee R. Raymond | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Elect Director William C. Weldon | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Management | | 13 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | | | Share Holder | | 14 | | Affirm Political Non-Partisanship | | Against | | Against |
| | | | | | | | | | | | Share Holder | | 15 | | Require Independent Board Chairman | | Against | | For |
| | | | | | | | | | | | Share Holder | | 16 | | Report on Loan Modifications | | Against | | Against |
| | | | | | | | | | | | Share Holder | | 17 | | Report on Political Contributions | | Against | | Against |
| | | | | | | | | | | | Share Holder | | 18 | | Institute Procedures to Prevent Investments in Companies that Contribute to Genocide or Crimes Against Humanity | | Against | | Against |
| | | | | | | | | | | | Share Holder | | 19 | | Provide Right to Act by Written Consent | | Against | | For |
| | | | | | | | | | | | Share Holder | | 20 | | Stock Retention | | Against | | Against |
Time Warner Inc. | | TWX | | 887317303 | | USA | | 15-May-12 | | Annual | | Management | | 1 | | Elect Director James L. Barksdale | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director William P. Barr | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Director Jeffrey L. Bewkes | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Director Stephen F. Bollenbach | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Elect Director Robert C. Clark | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Elect Director Mathias Dopfner | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Elect Director Jessica P. Einhorn | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Elect Director Fred Hassan | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Elect Director Kenneth J. Novack | | For | | For |
| | | | | | | | | | | | Management | | 10 | | Elect Director Paul D. Wachter | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Elect Director Deborah C. Wright | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Management | | 13 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | | | Share Holder | | 14 | | Provide Right to Act by Written Consent | | Against | | Against |
The Hartford Financial Services Group, Inc. | | HIG | | 416515104 | | USA | | 16-May-12 | | Annual | | Management | | 1 | | Elect Director Robert B. Allardice, III | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director Trevor Fetter | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Director Paul G. Kirk, Jr. | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Director Liam E. Mcgee | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Elect Director Kathryn A. Mikells | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Elect Director Michael G. Morris | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Elect Director Thomas A. Renyi | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Elect Director Charles B. Strauss | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Elect Director H. Patrick Swygert | | For | | For |
| | | | | | | | | | | | Management | | 10 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
Genworth Financial, Inc. | | GNW | | 37247D106 | | USA | | 17-May-12 | | Annual | | Management | | 1 | | Elect Director Steven W. Alesio | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director William H. Bolinder | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Director Michael D. Fraizer | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Director Nancy J. Karch | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Elect Director Christine B. Mead | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Elect Director Thomas E. Moloney | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Elect Director James A. Parke | | For | | For |
| | | | | | | | | | | | | | | | | | | | |
Company Name | | Ticker | | Security ID | | Country | | Meeting Date | | Meeting Type | | Proponent | | Item Number | | Proposal | | Management Recommendation | | Vote Instruction |
| | | | | | | | | | | | Management | | 8 | | Elect Director James S. Riepe | | For | | For |
| | | | | �� | | | | | | | Management | | 11 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Approve Omnibus Stock Plan | | For | | For |
| | | | | | | | | | | | Management | | 13 | | Ratify Auditors | | For | | For |
Redwood Trust, Inc. | | RWT | | 758075402 | | USA | | 17-May-12 | | Annual | | Management | | 1.1 | | Elect Director George E. Bull, III | | For | | For |
| | | | | | | | | | | | Management | | 1.2 | | Elect Director Georganne C. Proctor | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Increase Authorized Common Stock | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Amend Omnibus Stock Plan | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Amend Qualified Employee Stock Purchase Plan | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Declassify the Board of Directors | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Adopt Majority Voting for Uncontested Election of Directors | | None | | For |
Merck & Co., Inc. | | MRK | | 58933Y105 | | USA | | 22-May-12 | | Annual | | Management | | 1 | | Elect Director Leslie A. Brun | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director Thomas R. Cech | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Director Kenneth C. Frazier | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Director Thomas H. Glocer | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Elect Director William B. Harrison Jr. | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Elect Director C. Robert Kidder | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Elect Director Rochelle B. Lazarus | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Elect Director Carlos E. Represas | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Elect Director Patricia F. Russo | | For | | For |
| | | | | | | | | | | | Management | | 10 | | Elect Director Craig B. Thompson | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Elect Director Wendell P. Weeks | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Elect Director Peter C. Wendell | | For | | For |
| | | | | | | | | | | | Management | | 13 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Management | | 14 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | | | Share Holder | | 15 | | Provide Right to Act by Written Consent | | Against | | For |
| | | | | | | | | | | | Share Holder | | 16 | | Amend Bylaws -- Call Special Meetings | | Against | | Against |
| | | | | | | | | | | | Share Holder | | 17 | | Report on Charitable and Political Contributions | | Against | | Against |
Royal Dutch Shell plc | | RDSB | | 780259206 | | United Kingdom | | 22-May-12 | | Annual | | Management | | 1 | | Accept Financial Statements and Statutory Reports | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Approve Remuneration Report | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Sir Nigel Sheinwald as Director | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Re-elect Josef Ackermann as Director | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Re-elect Guy Elliott as Director | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Re-elect Simon Henry as Director | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Re-elect Charles Holliday as Director | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Re-elect Gerard Kleisterlee as Director | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Re-elect Christine Morin-Postel as Director | | For | | For |
| | | | | | | | | | | | Management | | 10 | | Re-elect Jorma Ollila as Director | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Re-elect Linda Stuntz as Director | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Re-elect Jeroen van der Veer as Director | | For | | For |
| | | | | | | | | | | | Management | | 13 | | Re-elect Peter Voser as Director | | For | | For |
| | | | | | | | | | | | Management | | 14 | | Re-elect Hans Wijers as Director | | For | | For |
| | | | | | | | | | | | Management | | 15 | | Reappoint PricewaterhouseCoopers LLP as Auditors | | For | | For |
| | | | | | | | | | | | Management | | 16 | | Authorise Board to Fix Remuneration of Auditors | | For | | For |
| | | | | | | | | | | | Management | | 17 | | Authorise Issue of Equity with Pre-emptive Rights | | For | | For |
| | | | | | | | | | | | Management | | 18 | | Authorise Issue of Equity without Pre-emptive Rights | | For | | For |
| | | | | | | | | | | | Management | | 19 | | Authorise Market Purchase of Ordinary Shares | | For | | For |
| | | | | | | | | | | | Management | | 20 | | Authorise EU Political Donations and Expenditure | | For | | For |
Lincoln National Corporation | | LNC | | 534187109 | | USA | | 24-May-12 | | Annual | | Management | | 1 | | Elect Director George W. Henderson, III | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director Eric G. Johnson | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Director M. Leanne Lachman | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Director Isaiah Tidwell | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | | | | | | | | | | | |
Company Name | | Ticker | | Security ID | | Country | | Meeting Date | | Meeting Type | | Proponent | | Item Number | | Proposal | | Management Recommendation | | Vote Instruction |
The Goldman Sachs Group, Inc. | | GS | | 38141G104 | | USA | | 24-May-12 | | Annual | | Management | | 1 | | Elect Director Lloyd C. Blankfein | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director M. Michele Burns | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Director Gary D. Cohn | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Director Claes Dahlback | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Elect Director Stephen Friedman | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Elect Director William W. George | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Elect Director James A. Johnson | | For | | Against |
| | | | | | | | | | | | Management | | 8 | | Elect Director Lakshmi N. Mittal | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Elect Director James J. Schiro | | For | | For |
| | | | | | | | | | | | Management | | 10 | | Elect Director Debora L. Spar | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Share Holder | | 13 | | Provide for Cumulative Voting | | Against | | Against |
| | | | | | | | | | | | Share Holder | | 14 | | Stock Retention/Holding Period | | Against | | Against |
| | | | | | | | | | | | Share Holder | | 15 | | Report on Lobbying Payments and Policy | | Against | | Against |
The Interpublic Group of Companies, Inc. | | IPG | | 460690100 | | USA | | 24-May-12 | | Annual | | Management | | 1 | | Elect Director Jocelyn Carter-Miller | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director Jill M. Considine | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Director Richard A. Goldstein | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Director Mary J. Steele Guilfoile | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Elect Director H. John Greeniaus | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Elect Director Dawn Hudson | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Elect Director William T. Kerr | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Elect Director Michael I. Roth | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Elect Director David M. Thomas | | For | | For |
| | | | | | | | | | | | Management | | 10 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | | | Share Holder | | 12 | | Stock Retention/Holding Period | | Against | | Against |
Unum Group | | UNM | | 91529Y106 | | USA | | 24-May-12 | | Annual | | Management | | 1 | | Elect Director Pamela H. Godwin | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director Thomas Kinser | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Director A.S. MacMillan, Jr. | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Director Edward J. Muhl | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Approve Omnibus Stock Plan | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Ratify Auditors | | For | | For |
Raytheon Company | | RTN | | 755111507 | | USA | | 31-May-12 | | Annual | | Management | | 1 | | Elect Director James E. Cartwright | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director Vernon E. Clark | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Director John M. Deutch | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Director Stephen J. Hadley | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Elect Director Frederic M. Poses | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Elect Director Michael C. Ruettgers | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Elect Director Ronald L. Skates | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Elect Director William R. Spivey | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Elect Director Linda G. Stuntz | | For | | Against |
| | | | | | | | | | | | Management | | 10 | | Elect Director William H. Swanson | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Share Holder | | 13 | | Stock Retention/Holding Period | | Against | | Against |
| | | | | | | | | | | | Share Holder | | 14 | | Submit SERP to Shareholder Vote | | Against | | Against |
| | | | | | | | | | | | Share Holder | | 15 | | Provide Right to Act by Written Consent | | Against | | Against |
Ingersoll-Rand plc | | IR | | G47791101 | | Ireland | | 07-Jun-12 | | Annual | | Management | | 1 | | Elect Director Ann C. Berzin | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director John Bruton | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Director Jared L. Cohon | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Director Gary D. Forsee | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Elect Director Peter C. Godsoe | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Elect Director Edward E. Hagenlocker | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Elect Director Constance J. Horner | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Elect Director Michael W. Lamach | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Elect Director Theodore E. Martin | | For | | For |
| | | | | | | | | | | | | | | | | | | | |
Company Name | | Ticker | | Security ID | | Country | | Meeting Date | | Meeting Type | | Proponent | | Item Number | | Proposal | | Management Recommendation | | Vote Instruction |
| | | | | | | | | | | | Management | | 10 | | Elect Director Richard J. Swift | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Elect Director Tony L. White | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
| | | | | | | | | | | | Management | | 13 | | Ratify Auditors | | For | | For |
General Motors Company | | GM | | 37045V100 | | USA | | 12-Jun-12 | | Annual | | Management | | 1 | | Elect Director Daniel F. Akerson | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Elect Director David Bonderman | | For | | For |
| | | | | | | | | | | | Management | | 3 | | Elect Director Erroll B. Davis, Jr. | | For | | For |
| | | | | | | | | | | | Management | | 4 | | Elect Director Stephen J. Girsky | | For | | For |
| | | | | | | | | | | | Management | | 5 | | Elect Director E. Neville Isdell | | For | | For |
| | | | | | | | | | | | Management | | 6 | | Elect Director Robert D. Krebs | | For | | For |
| | | | | | | | | | | | Management | | 7 | | Elect Director Philip A. Laskawy | | For | | For |
| | | | | | | | | | | | Management | | 8 | | Elect Director Kathryn V. Marinello | | For | | For |
| | | | | | | | | | | | Management | | 9 | | Elect Director James J. Mulva | | For | | For |
| | | | | | | | | | | | Management | | 10 | | Elect Director Patricia F. Russo | | For | | For |
| | | | | | | | | | | | Management | | 11 | | Elect Director Thomas M. Schoewe | | For | | For |
| | | | | | | | | | | | Management | | 12 | | Elect Director Carol M. Stephenson | | For | | For |
| | | | | | | | | | | | Management | | 13 | | Elect Director Theodore M. Solso | | For | | For |
| | | | | | | | | | | | Management | | 14 | | Elect Director Cynthia A. Telles | | For | | For |
| | | | | | | | | | | | Management | | 15 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Management | | 16 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | For |
Freeport-McMoRan Copper & Gold Inc. | | FCX | | 35671D857 | | USA | | 14-Jun-12 | | Annual | | Management | | 1.1 | | Elect Director Richard C. Adkerson | | For | | For |
| | | | | | | | | | | | Management | | 1.2 | | Elect Director Robert J. Allison, Jr. | | For | | For |
| | | | | | | | | | | | Management | | 1.3 | | Elect Director Robert A. Day | | For | | For |
| | | | | | | | | | | | Management | | 1.4 | | Elect Director Gerald J. Ford | | For | | For |
| | | | | | | | | | | | Management | | 1.5 | | Elect Director H. Devon Graham, Jr. | | For | | For |
| | | | | | | | | | | | Management | | 1.6 | | Elect Director Charles C. Krulak | | For | | For |
| | | | | | | | | | | | Management | | 1.7 | | Elect Director Bobby Lee Lackey | | For | | For |
| | | | | | | | | | | | Management | | 1.8 | | Elect Director Jon C. Madonna | | For | | For |
| | | | | | | | | | | | Management | | 1.9 | | Elect Director Dustan E. McCoy | | For | | For |
| | | | | | | | | | | | Management | | 1.10 | | Elect Director James R. Moffett | | For | | For |
| | | | | | | | | | | | Management | | 1.11 | | Elect Director B. M. Rankin, Jr. | | For | | For |
| | | | | | | | | | | | Management | | 1.12 | | Elect Director Stephen H. Siegele | | For | | For |
| | | | | | | | | | | | Management | | 2 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | For | | Against |
| | | | | | | | | | | | Management | | 3 | | Ratify Auditors | | For | | For |
| | | | | | | | | | | | Share Holder | | 4 | | Request Director Nominee with Environmental Qualifications | | Against | | For |
SIGNATURES:
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Nuveen Diversified Dividend and Income Fund
| | |
By | | /s/ Gifford R. Zimmerman
|
| | Gifford R. Zimmerman – Chief Administrative Officer |
| |
Date | | |
August 29, 2012