| | | | | | | | | | | | |
Meeting Date/Type | | Company/ Ballot Issues | | Security | | Management Recommendation | | Vote Cast | | Proponent |
| | | | | |
02/27/09 - A | | POSCO (formerly Pohang Iron & Steel) *PKX* | | 693483109 | | | | | | |
| | | | Meeting for ADR Holders | | | | | | | | |
| | 1 | | Approve Appropriation of Income and Year-End Dividend of KRW 7500 per Share | | | | For | | For | | Management |
| | 2 | | Amend Articles of Incorporation regarding Pre-Emptive Rights, Public Offerings, Meeting Notice, Election of Directors and Appointment of Audit Committee Members | | | | For | | For | | Management |
| | 3 | | Elect Directors | | | | For | | For | | Management |
| | 3.2 | | Elect Lee Chang-Hee as Member of Audit Committee | | | | For | | For | | Management |
| | 3 | | Elect Directors | | | | For | | For | | Management |
| | 4 | | Approve Total Remuneration of Inside Directors and Outside Directors | | | | For | | For | | Management |
| | | | | |
03/26/09 - S | | The Hartford Financial Services Group, Inc. *HIG* | | 416515104 | | | | | | |
| | 1 | | Approve Conversion of Securities | | | | For | | For | | Management |
| | | | | |
04/15/09 - A | | EDP-Energias de Portugal S.A *EDP* | | 268353109 | | | | | | |
| | | | Meeting for ADR Holders | | | | | | | | |
| | 1 | | Ratify Decisions Made by the Board of Directors in March 5, 2009 | | | | For | | | | Management |
| | 2 | | Accept Consolidated and Individual Financial Statements and Statutory Reports for Fiscal 2008 | | | | For | | | | Management |
| | 3 | | Approve Allocation of Income and Dividends | | | | For | | | | Management |
| | 4 | | Approve Discharge of Management and Supervisory Board | | | | For | | | | Management |
| | 5 | | Elect Directors for the 2009-2011 Term | | | | For | | | | Management |
| | 6 | | Authorize Share Repurchase Program and Reissuance of Repurchased Shares | | | | For | | | | Management |
| | 7 | | Authorize Share Repurchase Program and Reissuance of Repurchased Debt Instruments | | | | For | | | | Management |
| | 8 | | Approve Remuneration Report | | | | For | | | | Management |
| | | | Not voted per client instruction. | | | | | | | | |
| | | | | |
04/17/09 - A/S | | Sanofi Aventis *SNY* | | 80105N105 | | | | | | |
| | | | Meeting for ADR Holders | | | | | | | | |
| | | | Ordinary Business | | | | | | | | |
| | 1 | | Approve Financial Statements and Statutory Reports | | | | For | | For | | Management |
| | 2 | | Accept Consolidated Financial Statements and Statutory Reports | | | | For | | For | | Management |
| | 3 | | Approve Allocation of Income and Dividends of EUR 2.20 per Share | | | | For | | For | | Management |
| | 4 | | Ratify Appointment of Chris Viehbacher as Director | | | | For | | For | | Management |
| | 5 | | Approve Auditors’ Special Report Regarding Related-Party Transactions | | | | For | | Against | | Management |
| | 6 | | Approve Transaction with Chris Viehbacher Re: Severance Payments | | | | For | | Against | | Management |
| | 7 | | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | | | | For | | For | | Management |
| | | | Special Business | | | | | | | | |
| | 8 | | Authorize Issuance of Equity or Equity-Linked Securities with Preemptive Rights up to Aggregate Nominal Amount of EUR 1.3 Billion | | | | For | | For | | Management |
| | 9 | | Authorize Issuance of Equity or Equity-Linked Securities without Preemptive Rights up to Aggregate Nominal Amount of EUR 500 Million | | | | For | | For | | Management |
| | 10 | | Authorize Capital Increase of up to 10 Percent of Issued Capital for Future Acquisitions | | | | For | | For | | Management |
| | 11 | | Authorize Board to Increase Capital in the Event of Additional Demand Related to Delegation Submitted to Shareholder Vote Above | | | | For | | For | | Management |
| | 12 | | Authorize Capitalization of Reserves of Up to EUR 500 Million for Bonus Issue or Increase in Par Value | | | | For | | For | | Management |
| | 13 | | Approve Employee Stock Purchase Plan | | | | For | | For | | Management |
| | 14 | | Authorize up to 2.5 Percent of Issued Capital for Use in Stock Option Plan | | | | For | | Against | | Management |
| | 15 | | Authorize up to 1.0 Percent of Issued Capital for Use in Restricted Stock Plan | | | | For | | Against | | Management |
| | 16 | | Approve Reduction in Share Capital via Cancellation of Repurchased Shares | | | | For | | For | | Management |
| | 17 | | Amend Article 15 of the Bylaws Re: Audit Committee | | | | For | | For | | Management |
| | 18 | | Authorize Filing of Required Documents/Other Formalities | | | | For | | For | | Management |
| | | | | |
04/22/09 - A | | General Electric Co. *GE* | | 369604103 | | | | | | |
| | 1 | | Elect Directors | | | | For | | Split | | Management |
| | 1.1 | | Elect Director James I. Cash, Jr. — For | | | | | | | | |
| | 1.2 | | Elect Director William M. Castell — For | | | | | | | | |
| | 1.3 | | Elect Director Ann M. Fudge — For | | | | | | | | |
| | 1.4 | | Elect Director Susan Hockfield — For | | | | | | | | |
| | 1.5 | | Elect Director Jeffrey R. Immelt — For | | | | | | | | |
| | 1.6 | | Elect Director Andrea Jung — For | | | | | | | | |
| | 1.7 | | Elect Director Alan G. (A.G.) Lafley — Against | | | | | | | | |
| | 1.8 | | Elect Director Robert W. Lane — For | | | | | | | | |
| | 1.9 | | Elect Director Ralph S. Larsen — For | | | | | | | | |
| | 1.10 | | Elect Director Rochelle B. Lazarus — For | | | | | | | | |
| | 1.11 | | Elect Director James J. Mulva — For | | | | | | | | |
| | 1.12 | | Elect Director Sam Nunn — For | | | | | | | | |
| | 1.13 | | Elect Director Roger S. Penske — Against | | | | | | | | |
| | 1.14 | | Elect Director Robert J. Swieringa — For | | | | | | | | |
| | 1.15 | | Elect Director Douglas A. Warner III — For | | | | | | | | |
| | 2 | | Ratify Auditors | | | | For | | For | | Management |
| | 3 | | Provide for Cumulative Voting | | | | Against | | For | | Shareholder |
| | 4 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | | | Against | | For | | Shareholder |
| | 5 | | Evaluate the Potential Conversion of the Corporation’s Business Units into Four or More Public Corporations and Distribute New Shares | | | | Against | | Against | | Shareholder |
| | 6 | | Adopt Policy to Cease the Payments of Dividends or Equivalent Payments to Senior Executives for Shares Not Owned | | | | Against | | For | | Shareholder |
| | 7 | | Submit Severance Agreement (Change in Control) to shareholder Vote | | | | Against | | For | | Shareholder |
| | | | | |
04/23/09 - A | | Lockheed Martin Corp. *LMT* | | 539830109 | | | | | | |
| | 1 | | Elect Directors | | | | For | | Split | | Management |
| | 1.1 | | Elect Director E. C. “Pete” Aldrige, Jr. — Against | | | | | | | | |
| | 1.2 | | Elect Director Nolan D. Archibald — Against | | | | | | | | |
| | 1.3 | | Elect Director David B. Burritt — For | | | | | | | | |
| | 1.4 | | Elect Director James O. Ellis, Jr. — For | | | | | | | | |
| | 1.5 | | Elect Director Gwendolyn S. King — For | | | | | | | | |
| | 1.6 | | Elect Director James M. Loy — For | | | | | | | | |
| | 1.7 | | Elect Director Douglas H. McCorkindale — Against | | | | | | | | |
| | 1.8 | | Elect Director Joseph W. Ralston — For | | | | | | | | |
| | 1.9 | | Elect Director Frank Savage — For | | | | | | | | |
| | 1.10 | | Elect Director James Schneider — Against | | | | | | | | |
| | 1.11 | | Elect Director Anne Stevens — Against | | | | | | | | |
| | 1.12 | | Elect Director Robert J. Stevens — For | | | | | | | | |
| | 1.13 | | Elect Director James R. Ukropina — For | | | | | | | | |
| | 2 | | Ratify Auditors | | | | For | | For | | Management |
| | 3 | | Reduce Supermajority Vote Requirement | | | | For | | For | | Management |
| | 4 | | Report on Space-based Weapons Program | | | | Against | | Against | | Shareholder |
| | 5 | | Adopt a Policy in which the Company will not Make or Promise to Make Any Death Benefit Payments to Senior Executives | | | | Against | | For | | Shareholder |
| | 6 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | | | Against | | For | | Shareholder |
| | | | | |
04/23/09 - A | | Pfizer Inc. *PFE* | | 717081103 | | | | | | |
| | 1 | | Elect Directors | | | | For | | For | | Management |
| | 2 | | Ratify Auditors | | | | For | | For | | Management |
| | 3 | | Amend Omnibus Stock Plan | | | | For | | For | | Management |
| | 4 | | Limit/Prohibit Executive Stock-Based Awards | | | | Against | | Against | | Shareholder |
| | 5 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | | | Against | | For | | Shareholder |
| | 6 | | Provide for Cumulative Voting | | | | Against | | For | | Shareholder |
| | 7 | | Amend Bylaws — Call Special Meetings | | | | Against | | For | | Shareholder |
| | | | | |
04/24/09 - A | | AT&T Inc *T* | | 00206R102 | | | | | | |
| | 1 | | Elect Directors | | | | For | | Split | | Management |
| | 1.1 | | Elect Director Randall L. Stephenson — For | | | | | | | | |
| | 1.2 | | Elect Director William F. Aldinger III — Against | | | | | | | | |
| | 1.3 | | Elect Director Gilbert F. Amelio — Against | | | | | | | | |
| | 1.4 | | Elect Director Reuben V. Anderson — For | | | | | | | | |
| | 1.5 | | Elect Director James H. Blanchard — Against | | | | | | | | |
| | 1.6 | | Elect Director August A. Busch III — For | | | | | | | | |
| | 1.7 | | Elect Director Jaime Chico Pardo — For | | | | | | | | |
| | 1.8 | | Elect Director James P. Kelly — For | | | | | | | | |
| | 1.9 | | Elect Director Jon C. Madonna — For | | | | | | | | |
| | 1.10 | | Elect Director Lynn M. Martin — For | | | | | | | | |
| | 1.11 | | Elect Director John B. McCoy — For | | | | | | | | |
| | 1.12 | | Elect Director Mary S. Metz — For | | | | | | | | |
| | 1.13 | | Elect Director Joyce M. Roch — For | | | | | | | | |
| | 1.14 | | Elect Director Laura D Andrea Tyson — For | | | | | | | | |
| | 1.15 | | Elect Director Patricia P. Upton — Against | | | | | | | | |
| | 2 | | Ratify Auditors | | | | For | | For | | Management |
| | 3 | | Increase Authorized Common Stock | | | | For | | For | | Management |
| | 4 | | Report on Political Contributions | | | | Against | | For | | Shareholder |
| | 5 | | Amend Articles/Bylaws/Charter — Call Special Meetings | | | | Against | | For | | Shareholder |
| | 6 | | Provide for Cumulative Voting | | | | Against | | For | | Shareholder |
| | 7 | | Require Independent Board Chairman | | | | Against | | For | | Shareholder |
| | 8 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | | | Against | | For | | Shareholder |
| | 9 | | Exclude Pension Credits ftom Earnings Performance Measure | | | | Against | | For | | Shareholder |
| | | | | |
04/28/09 - A | | Merck & Co., Inc. *MRK* | | 589331107 | | | | | | |
| | 1 | | Elect Director Leslie A. Brun | | | | For | | For | | Management |
| | 2 | | Elect Director Thomas R. Cech | | | | For | | For | | Management |
| | 3 | | Elect Director Richard T. Clark | | | | For | | For | | Management |
| | 4 | | Elect Director Thomas H. Glocer | | | | For | | For | | Management |
| | 5 | | Elect Director Steven F. Goldstone | | | | For | | For | | Management |
| | 6 | | Elect Director William B. Harrison, Jr. | | | | For | | For | | Management |
| | 7 | | Elect Director Harry R. Jacobson | | | | For | | For | | Management |
| | 8 | | Elect Director William N. Kelley | | | | For | | For | | Management |
| | 9 | | Elect Director Rochelle B. Lazarus | | | | For | | For | | Management |
| | 10 | | Elect Director Carlos E. Represas | | | | For | | For | | Management |
| | 11 | | Elect Director Thomas E. Shenk | | | | For | | For | | Management |
| | 12 | | Elect Director Anne M. Tatlock | | | | For | | For | | Management |
| | 13 | | Elect Director Samuel O. Thier | | | | For | | For | | Management |
| | 14 | | Elect Director Wendell P. Weeks | | | | For | | For | | Management |
| | 15 | | Elect Director Peter C. Wendell | | | | For | | For | | Management |
| | 16 | | Ratify Auditors | | | | For | | For | | Management |
| | 17 | | Fix Number of Directors | | | | For | | For | | Management |
| | 18 | | Amend Bylaws — Call Special Meetings | | | | Against | | For | | Shareholder |
| | 19 | | Require Independent Lead Director | | | | Against | | Against | | Shareholder |
| | 20 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | | | Against | | For | | Shareholder |
| | | | | |
04/28/09 - A | | MetLife, Inc *MET* | | 59156R108 | | | | | | |
| | 1 | | Elect Directors | | | | For | | For | | Management |
| | 2 | | Amend Omnibus Stock Plan | | | | For | | For | | Management |
| | 3 | | Ratify Auditors | | | | For | | For | | Management |
| | | | | |
04/28/09 - A | | Wells Fargo and Company *WFC* | | 949746101 | | | | | | |
| | 1 | | Elect Director John D. Baker II | | | | For | | For | | Management |
| | 2 | | Elect Director John S. Chen | | | | For | | For | | Management |
| | 3 | | Elect Director Lloyd H. Dean | | | | For | | For | | Management |
| | 4 | | Elect Director Susan E. Engel | | | | For | | For | | Management |
| | 5 | | Elect Director Enrique Hernandez, Jr. | | | | For | | For | | Management |
| | 6 | | Elect Director Donald M. James | | | | For | | For | | Management |
| | 7 | | Elect Director Robert L. Joss | | | | For | | For | | Management |
| | 8 | | Elect Director Richard M. Kovacevich | | | | For | | For | | Management |
| | 9 | | Elect Director Richard D. McCormick | | | | For | | For | | Management |
| | 10 | | Elect Director Mackey J. McDonald | | | | For | | For | | Management |
| | 11 | | Elect Director Cynthia H. Milligan | | | | For | | For | | Management |
| | 12 | | Elect Director Nicholas G. Moore | | | | For | | For | | Management |
| | 13 | | Elect Director Philip J. Quigley | | | | For | | Against | | Management |
| | 14 | | Elect Director Donald B. Rice | | | | For | | For | | Management |
| | 15 | | Elect Director Judith M. Runstad | | | | For | | For | | Management |
| | 16 | | Elect Director Stephen W. Sanger | | | | For | | For | | Management |
| | 17 | | Elect Director Robert K. Steel | | | | For | | For | | Management |
| | 18 | | Elect Director John G. Stumpf | | | | For | | For | | Management |
| | 19 | | Elect Director Susan G. Swenson | | | | For | | For | | Management |
| | 20 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | | | For | | For | | Management |
| | 21 | | Ratify Auditors | | | | For | | For | | Management |
| | 22 | | Amend Omnibus Stock Plan | | | | For | | For | | Management |
| | 23 | | Require Independent Board Chairman | | | | Against | | For | | Shareholder |
| | 24 | | Report on Political Contributions | | | | Against | | For | | Shareholder |
| | | | | |
04/29/09 - A | | Barrick Gold Corp. *ABX* | | 067901108 | | | | | | |
| | 1 | | Elect Directors | | | | For | | For | | Management |
| | 2 | | Approve PricewaterhouseCoopers LLP as Auditors and Authorize Board to Fix Their Remuneration | | | | For | | For | | Management |
| | 3 | | Convene an Independent Third Party to Review Company’s Community Engagement Practices | | | | Against | | Against | | Shareholder |
| | | | | |
04/30/09 - A | | Kimberly-Clark Corp. *KMB* | | 494368103 | | | | | | |
| | 1 | | Elect Directors | | | | For | | For | | Management |
| | 2 | | Ratify Auditors | | | | For | | For | | Management |
| | 3 | | Provide Right to Call Special Meeting | | | | For | | For | | Management |
| | 4 | | Amend Omnibus Stock Plan | | | | For | | For | | Management |
| | 5 | | Provide for Cumulative Voting | | | | Against | | Against | | Shareholder |
| | | | | |
05/05/09 - A | | Philip Morris International Inc. *PM* | | 718172109 | | | | | | |
| | 1 | | Elect Directors | | | | For | | Split | | Management |
| | 1.1 | | Elect Director Harold Brown — For | | | | | | | | |
| | 1.2 | | Elect Director Mathis Cabiallavetta — For | | | | | | | | |
| | 1.3 | | Elect Director Louis C. Camilleri — For | | | | | | | | |
| | 1.4 | | Elect Director J. Dudley Fishburn — For | | | | | | | | |
| | 1.5 | | Elect Director Graham Mackay — For | | | | | | | | |
| | 1.6 | | Elect Director Sergio Marchionne — Against | | | | | | | | |
| | 1.7 | | Elect Director Lucio A. Noto — For | | | | | | | | |
| | 1.8 | | Elect Director Carlos Slim Hel — For | | | | | | | | |
| | 1.9 | | Elect Director Stephen M. Wolf — For | | | | | | | | |
| | 2 | | Ratify Auditors | | | | For | | For | | Management |
| | 3 | | Amend Omnibus Stock Plan | | | | For | | For | | Management |
| | | | | |
05/05/09 - A | | The Travelers Companies, Inc. *TRV* | | 89417E109 | | | | | | |
| | 1 | | Elect Directors | | | | For | | For | | Management |
| | 2 | | Ratify Auditors | | | | For | | For | | Management |
| | 3 | | Amend Omnibus Stock Plan | | | | For | | For | | Management |
| | 4 | | Report on Political Contributions | | | | Against | | For | | Shareholder |
| | | | | |
05/07/09 - A | | Verizon Communications *VZ* | | 92343V104 | | | | | | |
| | 1 | | Elect Directors | | | | For | | For | | Management |
| | 2 | | Ratify Auditors | | | | For | | For | | Management |
| | 3 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | | | For | | For | | Management |
| | 4 | | Approve Omnibus Stock Plan | | | | For | | For | | Management |
| | 5 | | Approve Executive Incentive Bonus Plan | | | | For | | For | | Management |
| | 6 | | Prohibit Executive Stock-Based Awards | | | | Against | | Against | | Shareholder |
| | 7 | | Amend Articles/Bylaws/Charter — Call Special Meetings | | | | Against | | Against | | Shareholder |
| | 8 | | Require Independent Board Chairman | | | | Against | | Against | | Shareholder |
| | 9 | | Provide for Cumulative Voting | | | | Against | | For | | Shareholder |
| | 10 | | Adopt a Policy in which the Company will not Make or Promise to Make Any Death Benefit Payments to Senior Executives | | | | Against | | For | | Shareholder |
| | | | | |
05/11/09 - A | | Pitney Bowes Inc. *PBI* | | 724479100 | | | | | | |
| | 1 | | Elect Directors | | | | For | | For | | Management |
| | 2 | | Ratify Auditors | | | | For | | For | | Management |
| | | | | |
05/13/09 - A | | ConocoPhillips *COP* | | 20825C104 | | | | | | |
| | 1 | | Elect Directors | | | | For | | For | | Management |
| | 2 | | Ratify Auditors | | | | For | | For | | Management |
| | 3 | | Approve Omnibus Stock Plan | | | | For | | For | | Management |
| | 4 | | Adopt Principles for Health Care Reform | | | | Against | | Against | | Shareholder |
| | 5 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | | | Against | | For | | Shareholder |
| | 6 | | Report on Political Contributions | | | | Against | | For | | Shareholder |
| | 7 | | Adopt Quantitative GHG Goals for Products and Operations | | | | Against | | For | | Shareholder |
| | 8 | | Report on Environmental Impact of Oil Sands Operations in Canada | | | | Against | | For | | Shareholder |
| | 9 | | Require Director Nominee Qualifications | | | | Against | | Against | | Shareholder |
| | | | | |
05/14/09 - A | | Union Pacific Corp. *UNP* | | 907818108 | | | | | | |
| | 1 | | Elect Directors | | | | For | | For | | Management |
| | 2 | | Ratify Auditors | | | | For | | For | | Management |
| | 3 | | Report on Political Contributions | | | | Against | | For | | Shareholder |
| | | | | |
05/15/09 - A/S | | Total SA *TOT* | | 89151E109 | | | | | | |
| | | | Meeting for ADR Holders | | | | | | | | |
| | | | Ordinary Business | | | | | | | | |
| | 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 | | Approve Special Auditors’ Report Presenting Ongoing Related-Party Transactions | | | | For | | For | | Management |
| | 5 | | Approve Transaction with Thierry Desmarest | | | | For | | For | | Management |
| | 6 | | Approve Transaction with Christophe de Margerie | | | | For | | For | | Management |
| | 7 | | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | | | | For | | For | | Management |
| | 8 | | Reelect Anne Lauvergeon as Director | | | | For | | For | | Management |
| | 9 | | Reelect Daniel Bouton as Director | | | | For | | For | | Management |
| | 10 | | Reelect Bertrand Collomb as Director | | | | For | | For | | Management |
| | 11 | | Reelect Christophe de Margerie as Director | | | | For | | For | | Management |
| | 12 | | Reelect Michel Pebereau as Director | | | | For | | For | | Management |
| | 13 | | Electe Patrick Artus as Director | | | | For | | For | | Management |
| | | | Special Business | | | | | | | | |
| | 14 | | Amend Article 12 of Bylaws Re: Age Limit for Chairman | | | | For | | For | | Management |
| | | | Shareholder Proposals | | | | | | | | |
| | A | | Amend Article 19 of Bylaws Re: Disclosure of Individual Stock Option Plans | | | | Against | | Against | | Shareholder |
| | B | | Amend Article 11 of Bylaws Re: Nomination of Employee’s Shareholder Representative to the Board of Directors | | | | Against | | Against | | Shareholder |
| | C | | Approve Restricted Stock Plan for Employee | | | | Against | | Against | | Shareholder |
| | | | | |
05/19/09 - A | | JPMorgan Chase & Co. *JPM* | | 46625H100 | | | | | | |
| | 1 | | Elect Directors | | | | For | | For | | Management |
| | 2 | | Ratify Auditors | | | | For | | For | | Management |
| | 3 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | | | For | | For | | Management |
| | 4 | | Disclose Prior Government Service | | | | Against | | Against | | Shareholder |
| | 5 | | Provide for Cumulative Voting | | | | Against | | For | | Shareholder |
| | 6 | | Amend Articles/Bylaws/Charter — Call Special Meetings | | | | Against | | For | | Shareholder |
| | 7 | | Report on Predatory Lending Policies | | | | Against | | Against | | Shareholder |
| | 8 | | Amend Key Executive Performance Plan | | | | Against | | For | | Shareholder |
| | 9 | | Stock Retention/Holding Period | | | | Against | | For | | Shareholder |
| | 10 | | Prepare Carbon Principles Report | | | | Against | | Against | | Shareholder |
| | | | | |
05/20/09 - A/S | | GlaxoSmithKline plc *GSK* | | 37733W105 | | | | | | |
| | | | Meeting for ADR Holders | | | | | | | | |
| | | | Ordinary Business | | | | | | | | |
| | 1 | | Accept Financial Statements and Statutory Reports | | | | For | | For | | Management |
| | 2 | | Approve Remuneration Report | | | | For | | For | | Management |
| | 3 | | Elect James Murdoch as Director | | | | For | | For | | Management |
| | 4 | | Re-elect Larry Culp as Director | | | | For | | For | | Management |
| | 5 | | Re-elect Sir Crispin Davis as Director | | | | For | | For | | Management |
| | 6 | | Re-elect Dr Moncef Slaoui as Director | | | | For | | For | | Management |
| | 7 | | Re-elect Tom de Swaan as Director | | | | For | | For | | Management |
| | 8 | | Reappoint PricewaterhouseCoopers LLP as Auditors of the Company | | | | For | | For | | Management |
| | 9 | | Authorise the Audit Committee to Fix Remuneration of Auditors | | | | For | | For | | Management |
| | | | Special Business | | | | | | | | |
| | 10 | | Authorise the Company and its Subsidiaries to Make EU Political Donations to Political Organisations Other than Political Parties up to GBP 50,000 and to Incur EU Political Expenditure up to GBP 50,000 | | | | For | | For | | Management |
| | 11 | | Authorise Issue of Equity with Pre-emptive Rights Under a General Authority up to GBP 432,359,137 and an Additional Amount Pursuant to a Rights Issue of up to GBP 864,692,333 After Deducting Any Securities Issued Under the General Authority | | | | For | | For | | Management |
| | 12 | | Authorise Issue of Equity or Equity-Linked Securities without Pre-emptive Rights up to Aggregate Nominal Amount of GBP 64,854,519 | | | | For | | For | | Management |
| | 13 | | Authorise 518,836,153 Ordinary Shares for Market Purchase | | | | For | | For | | Management |
| | 14 | | Approve the Exemption from Statement of the Name of the Senior Statutory Auditor in Published Copies of the Auditor’s Reports | | | | For | | For | | Management |
| | 15 | | Approve That a General Meeting of the Company Other Than an Annual General Meeting May Be Called on Not Less Than 14 Clear Days’ Notice | | | | For | | For | | Management |
| | 16 | | Approve GlaxoSmithKline 2009 Performance Share Plan | | | | For | | For | | Management |
| | 17 | | Approve GlaxoSmithKline 2009 Share Option Plan | | | | For | | For | | Management |
| | 18 | | Approve GlaxoSmithKline 2009 Deferred Annual Bonus Plan | | | | For | | For | | Management |
| | | | | |
05/20/09 - A | | Kraft Foods Inc *KFT* | | 50075N104 | | | | | | |
| | 1 | | Elect Directors | | | | For | | For | | Management |
| | 2 | | Amend Omnibus Stock Plan | | | | For | | For | | Management |
| | 3 | | Ratify Auditors | | | | For | | For | | Management |
| | 4 | | Amend Articles/Bylaws/Charter — Call Special Meetings | | | | Against | | For | | Shareholder |
| | | | | |
05/20/09 - A | | Reinsurance Group of America, Incorporated *RGA* | | 759351604 | | | | | | |
| | 1 | | Elect Directors | | | | For | | For | | Management |
| | 2 | | Ratify Auditors | | | | For | | For | | Management |
| | | | | |
05/21/09 - A | | Lorillard, Inc. *LO* | | 544147101 | | | | | | |
| | 1 | | Elect Directors | | | | For | | Withhold | | Management |
| | 2 | | Amend Omnibus Stock Plan | | | | For | | For | | Management |
| | 3 | | Ratify Auditors | | | | For | | For | | Management |
| | | | | |
05/27/09 - A | | Chevron Corporation *CVX* | | 166764100 | | | | | | |
| | 1 | | Elect Directors | | | | For | | For | | Management |
| | 2 | | Ratify Auditors | | | | For | | For | | Management |
| | 3 | | Amend Executive Incentive Bonus Plan | | | | For | | For | | Management |
| | 4 | | Amend Omnibus Stock Plan | | | | For | | For | | Management |
| | 5 | | Amend Articles/Bylaws/Charter — Call Special Meetings | | | | Against | | For | | Shareholder |
| | 6 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | | | Against | | For | | Shareholder |
| | 7 | | Adopt Quantitative GHG Goals for Products and Operations | | | | Against | | Against | | Shareholder |
| | 8 | | Adopt Guidelines for Country Selection | | | | Against | | For | | Shareholder |
| | 9 | | Adopt Human Rights Policy | | | | Against | | For | | Shareholder |
| | 10 | | Report on Market Specific Environmental Laws | | | | Against | | Against | | Shareholder |
| | | | | |
05/27/09 - A | | Packaging Corporation of America *PKG* | | 695156109 | | | | | | |
| | 1 | | Elect Directors | | | | For | | Split | | Management |
| | 1.1 | | Elect Director Cheryl K. Beebe — For | | | | | | | | |
| | 1.2 | | Elect Director Henry F. Frigon — For | | | | | | | | |
| | 1.3 | | Elect Director Hasan Jameel — For | | | | | | | | |
| | 1.4 | | Elect Director Samuel M. Mencoff — Withhold | | | | | | | | |
| | 1.5 | | Elect Director Roger B. Porter — Withhold | | | | | | | | |
| | 1.6 | | Elect Director Paul T. Stecko — For | | | | | | | | |
| | 1.7 | | Elect Director James D. Woodrum — For | | | | | | | | |
| | 2 | | Ratify Auditors | | | | For | | For | | Management |
| | 3 | | Amend Omnibus Stock Plan | | | | For | | For | | Management |
| | | | | |
05/27/09 - A | | The Hartford Financial Services Group, Inc. *HIG* | | 416515104 | | | | | | |
| | 1 | | Elect Directors | | | | For | | For | | Management |
| | 2 | | Ratify Auditors | | | | For | | For | | Management |
| | 3 | | Increase Authorized Common Stock | | | | For | | For | | Management |
| | 4 | | Amend Qualified Employee Stock Purchase Plan | | | | For | | For | | Management |
| | | | | |
05/28/09 - A | | Raytheon Co. *RTN* | | 755111507 | | | | | | |
| | 1 | | Elect Director Vernon E. Clark | | | | For | | For | | Management |
| | 2 | | Elect Director John M. Deutch | | | | For | | For | | Management |
| | 3 | | Elect Director Frederic M. Poses | | | | For | | For | | Management |
| | 4 | | Elect Director Michael C. Ruettgers | | | | For | | For | | Management |
| | 5 | | Elect Director Ronald L. Skates | | | | For | | For | | Management |
| | 6 | | Elect Director William R. Spivey | | | | For | | For | | Management |
| | 7 | | Elect Director Linda G. Stuntz | | | | For | | For | | Management |
| | 8 | | Elect Director William H. Swanson | | | | For | | For | | Management |
| | 9 | | Ratify Auditors | | | | For | | For | | Management |
| | 10 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | | | Against | | For | | Shareholder |
| | 11 | | Amend Articles/Bylaws/Charter — Call Special Meetings | | | | Against | | For | | Shareholder |
| | 12 | | Provide for Cumulative Voting | | | | Against | | For | | Shareholder |
| | 13 | | Adopt Principles for Health Care Reform | | | | Against | | Against | | Shareholder |
| | 14 | | Submit SERP to Shareholder Vote | | | | Against | | For | | Shareholder |
| | | | | |
06/10/09 - A | | Caterpillar Inc. *CAT* | | 149123101 | | | | | | |
| | 1 | | Elect Directors | | | | For | | For | | Management |
| | 2 | | Ratify Auditors | | | | For | | For | | Management |
| | 3 | | Declassify the Board of Directors | | | | Against | | For | | Shareholder |
| | 4 | | Require a Majority Vote for the Election of Directors | | | | Against | | For | | Shareholder |
| | 5 | | Report on Foreign Military Sales | | | | Against | | Against | | Shareholder |
| | 6 | | Adopt Simple Majority Vote Standard | | | | Against | | For | | Shareholder |
| | 7 | | Limitation on Compensation Consultant Services | | | | Against | | For | | Shareholder |
| | 8 | | Require Independent Board Chairman | | | | Against | | For | | Shareholder |
| | 9 | | Report on Lobbying Priorities | | | | Against | | Against | | Shareholder |
EDP was not voted due to shareblocking restrictions.
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.