Clough Global Dividend and Income Fund (GLV)
Filed: 30 Aug 05, 12:00am
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number: 811-21583
CLOUGH GLOBAL ALLOCATION FUND
(Exact name of registrant as specified in charter)
1625 Broadway, Suite 2200, Denver, Colorado 80202
(Address of principal executive offices) (Zip code)
Erin E. Douglas
Clough Global Allocation Fund
1625 Broadway, Suite 2200
Denver, Colorado 80202
(Name and address of agent for service)
Registrant’s Telephone Number, including Area Code: (303) 623-2577
Date of fiscal year end: May 31
Date of reporting period: July 28, 2004 – June 30, 2005
Item 1 – Proxy Voting Record.
Name of Issuer |
| Ticker |
| CUSIP |
| S/H Meeting |
| Matter Voted on |
| Who Proposed |
| Did Fund |
| How |
| For/Against |
Banco LatinoAmericano De Export |
| BLX |
| P16994132 |
| 4/19/2005 |
| Bank Audited Financial Statements, Appointment of KPMG as Bank’s Independent Auditor |
| Issuer |
| Yes |
| For |
| For |
Fidelity Bankshares, Inc. |
| FFFL |
| 31604Q107 |
| 4/19/2005 |
| Board of Directors |
| Issuer |
| Yes |
| For |
| For |
Brookline Bancorp, Inc. |
| BRKL |
| 11373M107 |
| 4/21/2005 |
| Companies Annual Senior Executive Officer Incentive Compensation Plan, Appointment of KPMG LLP as Independent Registered Public Accounting Firm |
| Issuer |
| Yes |
| For |
| For |
Independent Bank Corp. |
| INDP |
| 453836108 |
| 4/21/2005 |
| Ratify selection of KPMG as Auditor, Approval of Employee Stock Plan, To Approve provisions for Unlimited Voting Rights/Right to receive Net Assets upon Liquidation |
| Issuer |
| Yes |
| For |
| For |
Sovereign Bancorp, Inc. |
| SOV |
| 845905108 |
| 4/21/2005 |
| Appointment of Ernst & Young as Auditors |
| Issuer |
| Yes |
| For |
| For |
Webster Financial Corporation |
| WBS |
| 947890109 |
| 4/21/2005 |
| To Amend Webster’s ‘92 Stock Option Plan, Ratify the Appointment of KPMG LLP as Independent Auditors. |
| Issuer |
| Yes |
| For |
| For |
Rowan Companies, Inc |
| RDC |
| 779382100 |
| 4/22/2005 |
| Approval of Long-Term Incentive Plan |
| Issuer |
| Yes |
| For |
| For |
PPL Corporation |
| PPL |
| 69351T106 |
| 4/22/2005 |
| Ratification of Appointment of Independent Auditor |
| Issuer |
| Yes |
| For |
| For |
Ameren Corporation |
| AEE |
| 23608102 |
| 4/26/2005 |
| Independent Auditors, Report on storage of Irradiated Fuel Rods, Independent Director as Chairman |
| S/H |
| Yes |
| For |
| For |
MetLife, Inc. |
| MET |
| 59156R108 |
| 4/26/2005 |
| Ratification of Deloitte & Touche as Auditor, Proposal to establish Board Committee |
| Issuer |
| Yes |
| For |
| For |
Petro-Canada |
| PCZ |
| 71644E106 |
| 4/26/2005 |
| Appointment of Deloitte & Touche as Auditors, Employee Stock Plan, Repeal to the Accompanying Management Proxy Circular |
| Issuer |
| Yes |
| For |
| For |
Smith International |
| SII |
| 832110100 |
| 4/26/2005 |
| Vote on Directors and Approval of Long Term Incentive Compensation Plan & Deloitte & Touche as Independent Auditors |
| Issuer |
| Yes |
| For |
| For |
Burlington Resources Inc. |
| B.TO |
| 122014103 |
| 4/27/2005 |
| Appointment of PriceWaterhouseCoopers LLP as companies Independent Auditor |
| Issuer |
| Yes |
| For |
| For |
Fluor Corporation |
| FLR |
| 34341202 |
| 4/27/2005 |
| Ratification of the Appointment of Ernst & Young LLP as Auditors |
| S/H |
| Yes |
| For |
| For |
Newalliance Bancshares, Inc. |
| NAL |
| 650203102 |
| 4/27/2005 |
| Approval of Long-Term Compensation Plan, Appointment of PricewaterhouseCoopers as Auditors |
| Issuer |
| Yes |
| For |
| For |
Teco Energy, Inc. |
| TE |
| 872375100 |
| 4/27/2005 |
| Ratification of Corporation’s Auditor |
| Issuer |
| Yes |
| For |
| For |
Alpha Natural Resources, Inc. |
| ANR |
| 02076X102 |
| 4/27/2005 |
| Ratification of KPMG as Auditor |
| Issuer |
| Yes |
| For |
| For |
General Electric Company |
| GE |
| 369604103 |
| 4/27/2005 |
| Ratification of Selection of Independent Auditor, Cumulative Voting, Report of Nuclear Risk, Report on PCB Cleanup costs |
| S/H |
| Yes |
| For |
| For |
Newmont Mining Corporation |
| NEM |
| 651639106 |
| 4/27/2005 |
| Ratify Appointment of Independent Auditors, Approve 2005 Stock Incentive Plan |
| Issuer |
| Yes |
| For |
| For |
Abitibi-Consolidated Inc. |
| ABY |
| 3924107 |
| 4/27/2005 |
| Election of Directors, Appointment of Auditors |
| Issuer |
| Yes |
| For |
| For |
C.N.A. Financial Corp. |
| CAN |
| 126117100 |
| 4/27/2005 |
| Approval of Deloitte & Touche as Independent Regsitered Public Accounting Firm, Approval of Amendment to the C.N.A. Financial Corp. |
| Issuer |
| Yes |
| For |
| For |
Selective Insurance |
| SIGI |
| 816300107 |
| 4/27/2005 |
| Election of Directors, Approval of the 2005 Omnibus Stock Plan & Slective Insurance Group, Inc, Cash Incentive Plan, and KPMG as the Independent Public Accountant. |
| Issuer |
| Yes |
| For |
| For |
Arch Coal, Inc. |
| ACI |
| 39380100 |
| 4/28/2005 |
| Approval of Arch Coal Inc.’s Incentive Compensation Plan for Executive Officers |
| Issuer |
| Yes |
| For |
| For |
DTE Energy Company |
| DTE |
| 233331107 |
| 4/28/2005 |
| Independent Registered Public Accountanting Firm Deloitte & Touche LLP |
| Issuer |
| Yes |
| For |
| For |
Olin Corporation |
| OLN |
| 680665205 |
| 4/28/2005 |
| Stock Plan for Non-Employee Directors, Olin Senior Management Incentive Compensation Plan, Ratification of Appointement of Independent Auditors |
| Issuer |
| Yes |
| For |
| For |
Pan American Silver Corp. |
| PAAS |
| 697900108 |
| 4/28/2005 |
| Appointment of Deloitte & Touche as Auditors, Authorization of the Directors to Fix the Auditors’ Remuneration, to Ammend the Stock Plan, Amend the Articles of the Company |
| Issuer |
| Yes |
| For |
| For |
Suncor Energy Inc. |
| SU |
| 867229106 |
| 4/28/2005 |
| Reappointment of PricewaterhouseCoopers as Auditor, Amendment and Continuation of Shareholders Rights Plan |
| Issuer |
| Yes |
| For |
| For |
FMC Technologies Inc. |
|
|
| 30249U101 |
| 4/28/2005 |
| Election of Thomas M. Hamilton & Richard A. Pattarozzi |
| Issuer |
| Yes |
| For |
| For |
Louisiana-Pacific Corporation |
| LPX |
| 546347105 |
| 5/2/2005 |
| Ratification of Independent Auditors |
| Issuer |
| Yes |
| For |
| For |
First Niagra Financial Group, Inc. |
| FNFG |
| 33582V108 |
| 5/3/2005 |
| Amended & Restated First Niagra Financial Group, Inc.’02 Long-Term Incentive Stock Benefit Plan, Appointment of KPMG LLP as Independent Auditors |
| Issuer |
| Yes |
| For |
| For |
Great Plains Energy Incorporated |
| GXP |
| 391164100 |
| 5/3/2005 |
| Ratification of the Appointment of Deloitte & Touche as Auditors |
| Issuer |
| Yes |
| For |
| For |
EOG Resources |
| EOG |
| 26875P101 |
| 5/3/2005 |
| Ratification of Deloitee & Touche as Auditor |
| Issuer |
| Yes |
| For |
| For |
Ensco International Incoporated |
| ESV |
| 26874Q100 |
| 5/3/2005 |
| Consolidation of Existing Two-Classes of Preferred Stock into a Single Class of Preferred Stock, Approval to Remove Restrictions on Ownership and Control of Shares of the company by Non-United States Citizens, Approval to Simplify and Modernize the companies Certificate of Incorporation, Approval of ‘05 Incentive Plan & ‘05 Long-term Incentive Plan, and the Ratification of KPMG as Independent Accountants. |
| Issuer |
| Yes |
| For |
| For |
Hornbeck Offshore Services, Inc. |
| HOS |
| 440543106 |
| 5/3/2005 |
| Approval of ‘05 Stock Employee Purchase Plan, Approval of an Amendment to the Company’s Certificate of Incorporation, Ratification of Selection of Auditors |
| Issuer |
| Yes |
| For |
| For |
Talisman Energy Inc. |
| TLM |
| 87425E103 |
| 5/3/2005 |
| Election of Director(s), Reappointment of Ernst & Young, Continuation of Shareholder Rights Plan |
| Issuer |
| Yes |
| For |
| For |
Consol Energy Inc. |
| CNX |
| 20854P109 |
| 5/3/2005 |
| Ratification of Independent Accountants, and Amendment and Restatement of Equity Incentive Plan |
| Issuer |
| Yes |
| For |
| For |
Packaging Corporation of America |
| PKG |
| 695156109 |
| 5/4/2005 |
| Appointment of Ernst & Young as Accounting Firm, Long-Term Equity Incentive Plan |
| Issuer |
| Yes |
| For |
| For |
Direct General Corp. |
| DRCT |
| 25456W204 |
| 5/4/2005 |
|
|
| Issuer |
| Yes |
| For |
| For |
Fording Canadian Oil |
| FDG |
| 345425102 |
| 5/4/2005 |
| Election of Trustee(s), Approval of the Arrangement, Subdivision, and Fording Articles Resolutions. |
| Issuer |
| Yes |
| For |
| For |
Cooper Cameron Corporation |
| CAM |
| 216640102 |
| 5/5/2005 |
| Ratification of the Appointment of Independent Registered Public Accountants, Management Incentive Compensation Plan, Equity Incentive Plan |
| Issuer |
| Yes |
| For |
| For |
Freeport- McMoran Copper & Gold Inc. |
| FCX |
| 35671D857 |
| 5/5/2005 |
| Ratification of Appointment of Ernst & Young as Auditors, Approval of ‘02 Incentive Plan, Stockholder Proposal Regarding Maj. Vote Requirment to Elect Directors, Policy regarding Review of Policies relating to Financial support of Indonesian Gov’t Security Personnel |
| S/H |
| Yes |
| For |
| For |
Verizon Communications Inc. |
| VZ |
| 92343V104 |
| 5/5/2005 |
| Ratification of Independent Registered Public Accountanting Firm, Cumulative Voting, Majority Vote for Election of Directors, Board Composition, Separate Chairman and CEO, Directors Liability, Report on Political Contributions. |
| S/H |
| Yes |
| For |
| For |
Methanex |
| MEOH |
| 59151K108 |
| 5/5/2005 |
| Re-Appointment of KPMG, Authorization of Directors to Fix Remuneration of the Auditors, and Vote of Directors |
| Issuer |
| Yes |
| For |
| For |
Peabody Energy Corp. |
| BTU |
| 70459104 |
| 5/6/2005 |
| Appointment of Independent Accounting Firm, Approval of Increase in Common Shares, and Stockholder proposal regarding Director Independence, Classified Board, and Majority Voting Requirement. |
| S/H |
| Yes |
| For |
| For |
Western Gas Resources |
| WGR |
| 958259103 |
| 5/6/2005 |
| Vote on Directors and Proposal to Approve the 2005 Stock Incentive Plan |
| Issuer |
| Yes |
| For |
| For |
Agrium Inc. |
| AGU |
| 8916108 |
| 5/9/2005 |
| Appointment of KPMG as Auditors of the Corporation, The Resolution Approving the Reservtion of an Additional 1,100,000 Common Shares for Option Grants under the companies Stock Option and Tandem Sar Plan. |
| Issuer |
| Yes |
| For |
| For |
Southern Union Company |
| SUG |
| 844030106 |
| 5/9/2005 |
| Vote on Directors and Amendements to Company’s Certificate of Incorporation |
| Issuer |
| Yes |
| For |
| For |
Trinity Industries |
| TRN |
| 896522109 |
| 5/9/2005 |
| Vote on Directors, Ratification of E&Y as Independent Accounting Firm |
| Issuer |
| Yes |
| For |
| For |
Northeast Utilities |
| NU |
| 664397106 |
| 5/10/2005 |
| Ratification of Deloitte & Touche as Independent Auditors |
| Issuer |
| Yes |
| For |
| For |
Tetra Technologies, Inc. |
| TTI |
| 88162F105 |
| 5/10/2005 |
| Apporval of Ernst & Young as Independent Auditor, Adoption of the companies ‘05 Equity Incentive Plan Compensation Plan |
| Issuer |
| Yes |
| For |
| For |
Compton Petroleum Corporation |
| CMT.TO |
| 204940100 |
| 5/10/2005 |
| Election of Directors, Appointment of Grant Thorton, and Approval of Stock Incentive Plan ‘05 |
| Issuer |
| Yes |
| For |
| For |
Ivanhoe Mines |
| IVN |
| 46579N103 |
| 5/10/2005 |
| Appointment of Auditors and Employees’ & Directors’ Equity Incentive Plan |
| Issuer |
| Yes |
| For |
| For |
Precision Drilling |
| PDS |
| 74022D100 |
| 5/10/2005 |
| Appointment of KPMG, Amendment of Corporation’s Articles, Approval of ‘05 Stock Option Plan, and Election of Directors |
| Issuer |
| Yes |
| For |
| For |
Todco |
| THE |
| 88889T107 |
| 5/10/2005 |
| Approval of Long Term Incentive Plan |
| Issuer |
| Yes |
| For |
| For |
Murphy Oil Corporation |
| MUR |
| 626717102 |
| 5/11/2005 |
| Companies Certificate of Incorporation, Approval of KPMG as Auditor |
| Issuer |
| Yes |
| For |
| For |
Progress Energy |
| PGN |
| 743263105 |
| 5/11/2005 |
| Ratification of the Selection of Deloitte & Touche as Independent Registered Public Accounting Firm |
| Issuer |
| Yes |
| For |
| For |
Smurit-Stone Container Corporation |
| SSCC |
| 832727101 |
| 5/11/2005 |
| Ratification of the Selection of Ernst & Young as Independent Registered Public Accounting Firm |
| Issuer |
| Yes |
| For |
| For |
Statoil ASA |
| STO |
| 85771P102 |
| 5/11/2005 |
| Election of a Chair |
| Issuer |
| Yes |
| For |
| For |
Energy Partners |
| EPL |
| 29270U105 |
| 5/12/2005 |
| To Approve ‘00 Stock Incentive Plan, Ratify the Appointment of KPMG as Public Accountants |
| Issuer |
| Yes |
| For |
| For |
Transocean Inc. |
| RIG |
| G90078109 |
| 5/12/2005 |
| Approval of the Amendment to have Employee Stock Purchase Plan to increase the Number of Ordinary Shares, Appointment of Ernst & Young as Independent Registered Public Accounting Firm |
| Issuer |
| Yes |
| For |
| For |
B&G Foods |
| BGF |
| 05508R205 |
| 5/12/2005 |
| Vote on Directors |
| Issuer |
| Yes |
| For |
| For |
Bristol West Holdings |
| BRW |
| 11037M105 |
| 5/12/2005 |
| Ratification of the Selection of Deloitte & Touche as Independent Auditor for ‘05 |
| Issuer |
| Yes |
| For |
| For |
Petroquest Energy |
| PQUE |
| 716748108 |
| 5/12/2005 |
| Election of Directors |
| Issuer |
| Yes |
| For |
| For |
Pride International |
| PDE |
| 741553Q102 |
| 5/12/2005 |
| Election of Directors and Approval of Employee Stock Purchase Plan |
| Issuer |
| Yes |
| For |
| For |
Specialty Underwriter’s Alliance |
| SUAI |
| 84751T309 |
| 5/12/2005 |
| Approval of Amendment to the Company’s Certificate of Incorporation and the Appointment of PWC as Independent Auditors |
| Issuer |
| Yes |
| For |
| For |
Entergy Corp. |
| ETR |
| 29364G103 |
| 5/13/2005 |
| Ratification of External Auditors, Stockholders Proposal regarding Independent Chairman of Board of Directors, Stockholder Proposal Regarding Majority Election of Directors. |
| S/H |
| Yes |
| For |
| For |
Maverick Tube Corporation |
| MVK |
| 577914104 |
| 5/16/2005 |
| Approval of 2004 Omnibus Incentive Plan |
| Issuer |
| Yes |
| For |
| For |
Allmerica Financial Corporation |
| AFC |
| 19754100 |
| 5/17/2005 |
| Ratification of the Appointment of PWC as Independent Registered Public Accountants |
| Issuer |
| Yes |
| For |
| For |
Grey Wolf, Inc. |
| GW |
| 397888108 |
| 5/17/2005 |
| Vote on Directors |
| Issuer |
| Yes |
| For |
| For |
Omnicare |
| OCR |
| 681904108 |
| 5/17/2005 |
| Election of Directors and Selection of Independent Accountant |
| Issuer |
| Yes |
| For |
| For |
Halliburton |
| HAL |
| 406216101 |
| 5/18/2005 |
| Ratification of the Selection of Auditors, Proposal on Severance Agreements, Proposal on Director Election Vote Threshold |
| S/H |
| Yes |
| For |
| For |
Adtran Inc. |
| ADTN |
| 00738A106 |
| 5/18/2005 |
| Ratification of PricewaterhouseCoopers as Independent Registered Public Accounting Firm, Approval of Adtran ‘05 Director’s Stock Option Plan |
| Issuer |
| Yes |
| For |
| For |
Biosphere Medical, Inc. |
| BSMD |
| 09066V103 |
| 5/18/2005 |
| Approval of Amendment to Certificate of Designations, Preferences and Rights of Series a Preferred Stock |
| Issuer |
| Yes |
| For |
| For |
Dynergy Inc. |
| DYN |
| 26816Q101 |
| 5/19/2005 |
| Change State of Incorporation, Appointment of PWC as Auditors, and Shareholder Proposal regarding Recoupment of Senior Executive Compensation. |
| S/H |
| Yes |
| For |
| For |
Hexcel Corporation |
| HXL |
| 428291108 |
| 5/19/2005 |
| Approval of Management Incentive Compensation Plan, Approval of the 2003 Incentive Plan, and PWC as Independent Registered Public Accounting Firm |
| Issuer |
| Yes |
| For |
| For |
OGE Energy |
| OGE |
| 670837103 |
| 5/19/2005 |
| Appointment of E&Y |
| Issuer |
| Yes |
| For |
| For |
Sepracor |
| SEPR |
| 817315104 |
| 5/19/2005 |
| Approval of 2000 Stock Incentive Plan, and the Selection of PWC as Independent Public Accounting Firm |
| Issuer |
| Yes |
| For |
| For |
The William Companies |
| WMB |
| 969457100 |
| 5/19/2005 |
| Ratification of E&Y, and Stockholder Proposal on Majority Voting on Director Nominees |
| S/H |
| Yes |
| For |
| For |
FPL Group Inc. |
| FPL |
| 302571104 |
| 5/20/2005 |
| Ratification of the Appointment of D&T as Independent Registered Public Accountants |
| Issuer |
| Yes |
| For |
| For |
Diamond Offshore Drilling Inc. |
| DO |
| 25271C102 |
| 5/23/2005 |
| Considering an act upon a Proposal to Approve the Companies ‘00 Stock Option Plan and the Compensation Plan for Executive Officers, and to ratify the Appointment of Deloitte & Touche as Independent Auditors. |
| Issuer |
| Yes |
| For |
| For |
Blue Nile |
| NILE |
| 09578R103 |
| 5/23/2005 |
| Ratification of Independent Accountants, and Amendment and Restatement of Equity Incentive Plan |
| Issuer |
| Yes |
| For |
| For |
Massey Energy Co. |
| MEE |
| 576206106 |
| 5/24/2005 |
| Appointment of E&Y, Re-approval of Qualifying Performance Criteria, and Approval of Amendment to Stock Non-Employee Directors |
| Issuer |
| Yes |
| For |
| For |
Everest RE Group |
| RE |
| G3223R108 |
| 5/25/2005 |
| Appointment of PWC as Auditors, Approval of 2003 Non-Employee Director Equity Compensation Plan, and the Approval of the Executive Performance Annual Incentive Plan |
| Issuer |
| Yes |
| For |
| For |
Bowne & Co. |
|
|
| 103043105 |
| 5/26/2005 |
| Approval of the Appointment of KPMG LLP as Auditors |
| Issuer |
| Yes |
| For |
| For |
Viacom |
| VIA |
| 925524100 |
| 5/26/2005 |
| Appointment of PWC as Auditors, Approval of Senior Executive Short Term Incentive Plan, and Approval of 2005 RSU Plan for Outside Directors |
| Issuer |
| Yes |
| For |
| For |
Cohen & Steers, Inc. |
| CNS |
| 19247A100 |
| 5/29/2005 |
| Ratification of Deloitte & Touche as Auditor |
| Issuer |
| Yes |
| For |
| For |
Devon Energy |
| DVN |
| 25179M103 |
| 6/8/2005 |
| Appintment of KPMG as Independent Auditors, Adoption of Company’s 2005 Long Term Incentive Plan, and Revised Director Election Vote Standard |
| Issuer |
| Yes |
| For |
| For |
Chesapeake Energy Corporation |
| CHK |
| 165167107 |
| 6/10/2005 |
| Adoption of Company Long Term Incentive Plan, and Approval of Company Founder Well Participation Program |
| Issuer |
| Yes |
| For |
| For |
Patterson-UTI Energy |
| PTEN |
| 703481101 |
| 6/15/2005 |
| Approval of 2005 Long Term Incentive Plan and Selection of PWC as Independent Accountants |
| Issuer |
| Yes |
| For |
| For |
RADvision LTD. |
| RVSN |
| M81869105 |
| 6/19/2005 |
| Appointment of Auditors, and to Authorize Remuneration for Independent Director |
| Issuer |
| Yes |
| For |
| For |
KFX Inc. |
| KFX |
| 48245L107 |
| 6/21/2005 |
| Ratification of Deloitte & Touch as Accountants and the 2004 Equity Incentive Plan |
| Issuer |
| Yes |
| For |
| For |
Apex Silver Mines |
| SIL |
| G04074103 |
| 6/24/2005 |
| Approval of Amendment to Increase Authorized Share Capital, the Issuance of “Blank Check” Preference Shares, Article 18, Restatment Memorandum and Articles of Association, and the Ratification of PWC as Accountants. |
| Issuer |
| Yes |
| For |
| For |
SIGNATURE
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.
| Clough Global Allocation Fund | ||
|
|
| |
| By: | /s/ Edmund J. Burke |
|
|
| Edmund J. Burke | |
|
| President | |
|
|
| |
| Date: | August 30, 2005 | |