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: 811-21680
DCA TOTAL RETURN FUND
(Formerly known as Dividend Capital Realty Income Allocation Fund)
(Exact name of registrant as specified in charter)
518 17th Street, Suite 1200, Denver, Colorado 80202
(Address of principal executive offices) (Zip code)
Jeffrey Taylor
DCA Total Return Fund
518 17th Street, Suite 1200
Denver, Colorado 80202
(Name of address of agent for service)
Registrant’s telephone number, including area code: (303) 228-2200
Date of fiscal year end: December 31
Date of reporting period: July 1, 2008 to June 30, 2009
Item 1 – Proxy Voting Record.
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DCA | | | | | | | | | | |
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NAME: | | | | HCP, Inc. | | | | | | |
| | | | | |
Ticker: | | | | HCP | | | | | | |
Meeting Date: | | | | 4/23/2009 | | | | | | |
Record Date: | | | | 3/3/2009 | | | | | | |
Security ID: | | | | 40414L109 | | | | | | |
Meeting Type: | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Elect Director Robert R. Fanning, Jr. | | For | | For | | Management |
| | 1.2 | | Elect Director James F. Flaherty III | | For | | For | | Management |
| | 1.3 | | Elect Director Christine N. Garvey | | For | | For | | Management |
| | 1.4 | | Elect Director David B. Henry | | For | | For | | Management |
| | 1.5 | | Elect Director Lauralee E. Martin | | For | | For | | Management |
| | 1.6 | | Elect Director Michael D. McKee | | For | | For | | Management |
| | 1.7 | | Elect Director Harold M. Messmer, Jr. | | For | | For | | Management |
| | 1.8 | | Elect Director Peter L. Rhein | | For | | For | | Management |
| | 1.9 | | Elect Director Kenneth B. Roath | | For | | For | | Management |
| | 1.10 | | Elect Director Richard M. Rosenberg | | For | | For | | Management |
| | 1.11 | | Elect Director Joseph P. Sullivan | | For | | For | | Management |
| | 2 | | Approve amendments to HCP’s 2006 Performance Incentive Plan. | | For | | For | | Management |
| | 3 | | Ratify the appointment of Ernst & Young LLP as HCP’s independent auditors for the fiscal year ending December 31, 2009. | | For | | For | | Management |
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NAME: | | | | Lasalle Hotel Properties | | | | | | |
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Ticker: | | | | LHO | | | | | | |
Meeting Date: | | | | 4/23/2009 | | | | | | |
Record Date: | | | | 2/10/2009 | | | | | | |
Security ID: | | | | 517942108 | | | | | | |
Meeting Type: | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Elect Director Darryl Hartley-Leonard | | For | | For | | Management |
| | 1.2 | | Elect Director Kelly L. Kuhn | | For | | For | | Management |
| | 1.3 | | Elect Director William S. McCalmont | | For | | For | | Management |
| | 1.4 | | Elect Director Michael D. Barnello | | For | | For | | Management |
| | 2 | | Ratify the appointment of the Company’s independent registered public accountants for the year ending December 31, 2009. | | For | | For | | Management |
| | 3 | | Consider and approve the 2009 Equity Incentive Plan. | | For | | For | | Management |
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NAME: | | | | Simon Property Group, Inc. | | | | | | |
| | | | | |
Ticker: | | | | SPG | | | | | | |
Meeting Date: | | | | 5/8/2009 | | | | | | |
Record Date: | | | | 3/9/2009 | | | | | | |
Security ID: | | | | 828806109 | | | | | | |
Meeting Type: | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1A | | Approve proposal to amend the charter to: provide for the election of up to fifteen directors. (if this proposal is not approved by 80% of the votes entitled to cast, the Board will have only 9 directors, 5 of whom are elected by holders of the common stock). | | For | | For | | Management |
| | 1B | | Approve proposal to amend the charter to: delete supermajority voting requirements. | | For | | For | | Management |
| | 1C | | Approve proposal to amend the charter to: increase the number of authorized shares. | | For | | For | | Management |
| | 1D | | Approve proposal to amend the charter to: delete or change obsolete or unnecessary provisions. | | For | | For | | Management |
| | 2.1 | | Elect Director Melvyn E. Bergstein | | For | | For | | Management |
| | 2.2 | | Elect Director Linda Walker Bynoe | | For | | For | | Management |
| | 2.3 | | Elect Director Karen N. Horn, Ph.D. | | For | | For | | Management |
| | 2.4 | | Elect Director Reuben S. Leibowitz | | For | | For | | Management |
| | 2.5 | | Elect Director J. Albert Smith, Jr. | | For | | For | | Management |
| | 2.6 | | Elect Director Pieter S. Van Den Berg | | For | | For | | Management |
| | 2.7 | | Elect Director Allan Hubbard | | For | | For | | Management |
| | 2.8 | | Elect Director Daniel C. Smith | | For | | For | | Management |
| | 3 | | Authorize management to adjourn, postpone or continue the meeting, if necessary, to solicit additional proxies in the event that there are not sufficient votes at the time of the meeting to adopt proposal 1(A) or proposal 1(B) listed above. | | For | | For | | Management |
| | 4 | | Ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm for 2009. | | For | | For | | Management |
DCA Proxy Voting Records
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NAME: | | | | Digital Realty Trust, Inc. | | | | | | |
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Ticker: | | | | DLR | | | | | | |
Meeting Date: | | | | 4/28/2009 | | | | | | |
Record Date: | | | | 3/3/2009 | | | | | | |
Security ID: | | | | 253868103 | | | | | | |
Meeting Type: | | | | Annual | | | | | | |
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# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Elect Director Richard A. Magnuson | | For | | For | | Management |
| | 1.2 | | Elect Director Michael F. Foust | | For | | For | | Management |
| | 1.3 | | Elect Director Laurence A. Chapman | | For | | For | | Management |
| | 1.4 | | Elect Director Kathleen Earley | | For | | For | | Management |
| | 1.5 | | Elect Director Ruann F. Ernst, Ph.D. | | For | | For | | Management |
| | 1.6 | | Elect Director Dennis E. Singleton | | For | | For | | Management |
| | 2 | | Ratify the selection of KPMG LLP as the Company’s independent registered public accounting firm for the year ending December 31, 2009. | | For | | For | | Management |
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NAME: | | | | Nationwide Health Properties, Inc. | | | | | | |
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Ticker: | | | | NHP | | | | | | |
Meeting Date: | | | | 5/5/2009 | | | | | | |
Record Date: | | | | 3/6/2009 | | | | | | |
Security ID: | | | | 638620104 | | | | | | |
Meeting Type: | | | | Annual | | | | | | |
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# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Elect Director William K. Doyle | | For | | Unvoted | | Management |
| | 1.2 | | Elect Director Richard I. Gilchrist | | For | | Unvoted | | Management |
| | 1.3 | | Elect Director Robert D. Paulson | | For | | Unvoted | | Management |
| | 1.4 | | Elect Director Jeffrey L. Rush | | For | | Unvoted | | Management |
| | 1.5 | | Elect Director Keith P. Russell | | For | | Unvoted | | Management |
| | 2 | | Ratify the appointment of Ernst & Young LLP as the Company’s independent accountants for the calendar year ending December 31, 2009. | | For | | Unvoted | | Management |
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NAME: | | | | Essex Property Trust, Inc. | | | | | | |
| | | | | |
Ticker: | | | | ESS | | | | | | |
Meeting Date: | | | | 5/5/2009 | | | | | | |
Record Date: | | | | 2/27/2009 | | | | | | |
Security ID: | | | | 297178105 | | | | | | |
Meeting Type: | | | | Annual | | | | | | |
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# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Elect Director George M. Marcus | | For | | Unvoted | | Management |
| | 1.2 | | Elect Director Gary P. Martin | | For | | Unvoted | | Management |
| | 1.3 | | Elect Director Michael J. Schall | | For | | Unvoted | | Management |
| | 2 | | Ratify the appointment of KPMG LLP as the independent registered public accounting firm for the Company for the year ending December 31, 2009. | | For | | Unvoted | | Management |
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NAME: | | | | Starwood Hotels & Resorts Worldwide | | | | | | |
| | | | | |
Ticker: | | | | HOT | | | | | | |
Meeting Date: | | | | 5/6/2009 | | | | | | |
Record Date: | | | | 3/12/2009 | | | | | | |
Security ID: | | | | 85590A401 | | | | | | |
Meeting Type: | | | | Annual | | | | | | |
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# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Elect Director Adam Aron | | For | | Unvoted | | Management |
| | 1.2 | | Elect Director Charlene Barshefsky | | For | | Unvoted | | Management |
| | 1.3 | | Elect Director Thomas Clarke | | For | | Unvoted | | Management |
| | 1.4 | | Elect Director Clayton Daley, Jr. | | For | | Unvoted | | Management |
| | 1.5 | | Elect Director Bruce Duncan | | For | | Unvoted | | Management |
| | 1.6 | | Elect Director Lizanne Galbreath | | For | | Unvoted | | Management |
| | 1.7 | | Elect Director Eric Hippeau | | For | | Unvoted | | Management |
| | 1.8 | | Elect Director Stephen Quazzo | | For | | Unvoted | | Management |
| | 1.9 | | Elect Director Thomas Ryder | | For | | Unvoted | | Management |
| | 1.10 | | Elect Director Frits Van Paasschen | | For | | Unvoted | | Management |
| | 1.11 | | Elect Director Kneeland Youngblood | | For | | Unvoted | | Management |
| | 2 | | Ratify the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2009. | | For | | Unvoted | | Management |
DCA Proxy Voting Records
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NAME: | | | | Federal Realty Investment Trust | | | | | | |
| | | | | |
Ticker: | | | | FRT | | | | | | |
Meeting Date: | | | | 5/6/2009 | | | | | | |
Record Date: | | | | 3/19/2009 | | | | | | |
Security ID: | | | | 313747206 | | | | | | |
Meeting Type: | | | | Annual | | | | | | |
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# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Elect Trustee Gail P. Steinel | | For | | Unvoted | | Management |
| | 1.2 | | Elect Trustee Joseph S. Vassalluzzo | | For | | Unvoted | | Management |
| | 2 | | Ratify the appointment of Grant Thorton LLP as the independent registered public accounting firm for the fiscal year ending December 31, 2009. | | For | | Unvoted | | Management |
| | 3 | | Consider proposal to amend the Declaration of Trust to eliminate the classified Board. | | For | | Unvoted | | Management |
| | 4 | | Consider proposal to ratify an amendment to the Shareholder Rights Plan to extend the term for three years and to add a qualified offer provision. | | For | | Unvoted | | Management |
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NAME: | | | | Public Storage | | | | | | |
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Ticker: | | | | PSA | | | | | | |
Meeting Date: | | | | 5/7/2009 | | | | | | |
Record Date: | | | | 3/9/2009 | | | | | | |
Security ID: | | | | 74460D109 | | | | | | |
Meeting Type: | | | | Annual | | | | | | |
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# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Elect Director B. Wayne Hughes | | For | | Unvoted | | Management |
| | 1.2 | | Elect Director Ronald L. Havner, Jr. | | For | | Unvoted | | Management |
| | 1.3 | | Elect Director Dann V. Angeloff | | For | | Unvoted | | Management |
| | 1.4 | | Elect Director William C. Baker | | For | | Unvoted | | Management |
| | 1.5 | | Elect Director John T. Evans | | For | | Unvoted | | Management |
| | 1.6 | | Elect Director Tamara Huges Gustavson | | For | | Unvoted | | Management |
| | 1.7 | | Elect Director Uri P. Harkham | | For | | Unvoted | | Management |
| | 1.8 | | Elect Director B. Wayne Hughes, Jr. | | For | | Unvoted | | Management |
| | 1.9 | | Elect Director Harvey Lenkin | | For | | Unvoted | | Management |
| | 1.10 | | Elect Director Gary E. Pruitt | | For | | Unvoted | | Management |
| | 1.11 | | Elect Director Daniel C. Staton | | For | | Unvoted | | Management |
| | 2 | | Ratify the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2009. | | For | | Unvoted | | Management |
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NAME: | | | | Ventas, Inc. | | | | | | |
| | | | | |
Ticker: | | | | VTR | | | | | | |
Meeting Date: | | | | 5/7/2009 | | | | | | |
Record Date: | | | | 3/16/2009 | | | | | | |
Security ID: | | | | 92276F100 | | | | | | |
Meeting Type: | | | | Annual | | | | | | |
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# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Elect Director Debra A. Cafaro | | For | | Unvoted | | Management |
| | 1.2 | | Elect Director Douglas Crocker II | | For | | Unvoted | | Management |
| | 1.3 | | Elect Director Ronald G. Geary | | For | | Unvoted | | Management |
| | 1.4 | | Elect Director Jay M. Gellert | | For | | Unvoted | | Management |
| | 1.5 | | Elect Director Robert D. Reed | | For | | Unvoted | | Management |
| | 1.6 | | Elect Director Sheli Z. Rosenberg | | For | | Unvoted | | Management |
| | 1.7 | | Elect Director James D. Shelton | | For | | Unvoted | | Management |
| | 1.8 | | Elect Director Thomas C. Theobald | | For | | Unvoted | | Management |
| | 2 | | Ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm for fiscal year 2009. | | For | | Unvoted | | Management |
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NAME: | | | | AMB Property Corp. | | | | | | |
| | | | | |
Ticker: | | | | AMB | | | | | | |
Meeting Date: | | | | 5/7/2009 | | | | | | |
Record Date: | | | | 3/3/2009 | | | | | | |
Security ID: | | | | 00163T109 | | | | | | |
Meeting Type: | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Elect Director Hamid R. Moghadam | | For | | Unvoted | | Management |
| | 1.2 | | Elect Director T. Robert Burke | | For | | Unvoted | | Management |
| | 1.3 | | Elect Director David A. Cole | | For | | Unvoted | | Management |
| | 1.4 | | Elect Director Lydia H. Kennard | | For | | Unvoted | | Management |
| | 1.5 | | Elect Director J. Michael Losh | | For | | Unvoted | | Management |
| | 1.6 | | Elect Director Frederick W. Reid | | For | | Unvoted | | Management |
| | 1.7 | | Elect Director Jeffrey L. Skelton | | For | | Unvoted | | Management |
| | 1.8 | | Elect Director Thomas W. Tusher | | For | | Unvoted | | Management |
| | 1.9 | | Elect Director Carl B. Webb | | | | Unvoted | | |
| | 2 | | Ratify the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the fiscal year ending December 31, 2009. | | For | | Unvoted | | Management |
DCA Proxy Voting Records
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NAME: | | | | Health Care REIT, Inc. | | | | | | |
| | | | | |
Ticker: | | | | HCN | | | | | | |
Meeting Date: | | | | 5/7/2009 | | | | | | |
Record Date: | | | | 3/12/2009 | | | | | | |
Security ID: | | | | 42217K106 | | | | | | |
Meeting Type: | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Elect Director Pier C. Borra | | For | | Unvoted | | Management |
| | 1.2 | | Elect Director George L. Chapman | | For | | Unvoted | | Management |
| | 1.3 | | Elect Director Sharon M. Oster | | For | | Unvoted | | Management |
| | 1.4 | | Elect Director Jeffrey R. Otten | | For | | Unvoted | | Management |
| | 2 | | Approval of the amended and restated Health Care REIT, Inc. 2005 Long-Term Incentive Plan | | For | | Unvoted | | Management |
| | 3 | | Ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm for the fiscal year 2009. | | For | | Unvoted | | Management |
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NAME: | | | | Kimco Realty Corp. | | | | | | |
| | | | | |
Ticker: | | | | KIM | | | | | | |
Meeting Date: | | | | 5/12/2009 | | | | | | |
Record Date: | | | | 3/18/2009 | | | | | | |
Security ID: | | | | 49446R109 | | | | | | |
Meeting Type: | | | | Annual | | | | | | |
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# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Elect Director M. Cooper | | For | | Unvoted | | Management |
| | 1.2 | | Elect Director R. Dooley | | For | | Unvoted | | Management |
| | 1.3 | | Elect Director J. Grills | | For | | Unvoted | | Management |
| | 1.4 | | Elect Director D. Henry | | For | | Unvoted | | Management |
| | 1.5 | | Elect Director F.P. Hughes | | For | | Unvoted | | Management |
| | 1.6 | | Elect Director F. Lourenso | | For | | Unvoted | | Management |
| | 1.7 | | Elect Director R. Saltzman | | For | | Unvoted | | Management |
| | 1.8 | | Elect Director P. Coviello | | For | | Unvoted | | Management |
| | 2 | | Ratify the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for 2009. | | For | | Unvoted | | Management |
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NAME: | | | | Realty Income Corp. | | | | | | |
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Ticker: | | | | O | | | | | | |
Meeting Date: | | | | 5/12/2009 | | | | | | |
Record Date: | | | | 3/12/2009 | | | | | | |
Security ID: | | | | 756109104 | | | | | | |
Meeting Type: | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Elect Director Kathleen R. Allen, Ph.D. | | For | | For | | Management |
| | 1.2 | | Elect Director Donald R. Cameron | | For | | For | | Management |
| | 1.3 | | Elect Director Priya Cherian Huskins | | For | | For | | Management |
| | 1.4 | | Elect Director Thomas A. Lewis | | For | | For | | Management |
| | 1.5 | | Elect Director Michael D. McKee | | For | | For | | Management |
| | 1.6 | | Elect Director Gregory T. McLaughlin | | For | | For | | Management |
| | 1.7 | | Elect Director Ronald R. Merriman | | For | | For | | Management |
| | 2 | | Ratify the appointment of KPMG LLP as the independent registered public accounting firm for fiscal year ending December 31, 2009. | | For | | For | | Management |
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NAME: | | | | Entertainment Properties Trust | | | | | | |
| | | | | |
Ticker: | | | | EPR | | | | | | |
Meeting Date: | | | | 5/13/2009 | | | | | | |
Record Date: | | | | 2/18/2009 | | | | | | |
Security ID: | | | | 29380T105 | | | | | | |
Meeting Type: | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Elect Director Jack A. Newman, Jr. | | For | | For | | Management |
| | 1.2 | | Elect Director James A. Olson | | For | | For | | Management |
| | 2 | | Approve an amendment to the Company’s 2007 Equity Incentive Plan to increase the number of authorized shares of common shares of beneficial interest, $0.01 par value per share, issuable under the Plan, from 950,000 shares to 1,950,000 shares. | | For | | For | | Management |
| | 3 | | Ratify the appointment of KPMG LLP as the independent registered public accounting firm for 2009. | | For | | For | | Management |
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NAME: | | | | Vornado Realty Trust | | | | | | |
| | | | | |
Ticker: | | | | VNO | | | | | | |
Meeting Date: | | | | 5/14/2009 | | | | | | |
Record Date: | | | | 3/13/2009 | | | | | | |
Security ID: | | | | 929042109 | | | | | | |
Meeting Type: | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 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 the selection of independent registered public accounting firm. | | For | | For | | Management |
| | 3 | | Shareholder proposal regarding majority voting for trustees. | | Against | | Against | | Shareholder |
| | 4 | | Shareholder proposal regarding the appointment of an independent chairman. | | Against | | For | | Shareholder |
DCA Proxy Voting Records
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NAME: | | | | Corporate Office Properties Trust | | | | | | |
| | | | | |
Ticker: | | | | OFC | | | | | | |
Meeting Date: | | | | 5/14/2009 | | | | | | |
Record Date: | | | | 3/16/2009 | | | | | | |
Security ID: | | | | 22002T108 | | | | | | |
Meeting Type: | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 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 Douglas M. Firstenberg | | For | | For | | Management |
| | 1.6 | | Elect Director Randall M. Griffin | | For | | For | | Management |
| | 1.7 | | Elect Director Steven D. Kesler | | For | | For | | Management |
| | 1.8 | | Elect Director Kenneth W. Sweet, Jr. | | For | | For | | Management |
| | 1.9 | | Elect Director Kenneth D. Wethe | | For | | For | | Management |
| | 2 | | Ratify the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm. | | For | | For | | Management |
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NAME: | | | | Boston Properties, Inc. | | | | | | |
| | | | | |
Ticker: | | | | BXP | | | | | | |
Meeting Date: | | | | 5/19/2009 | | | | | | |
Record Date: | | | | 3/24/2009 | | | | | | |
Security ID: | | | | 101121101 | | | | | | |
Meeting Type: | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Elect Director Frederick J. Iseman | | For | | For | | Management |
| | 1.2 | | Elect Director Edward H. Linde | | For | | For | | Management |
| | 1.3 | | Elect Director David A. Twardock | | For | | For | | Management |
| | 2 | | Ratify the Audit Committee’s appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the fiscal year ending December 31, 2009. | | For | | For | | Management |
| | 3 | | Stockholder proposal concerning the annual election of directors. | | Against | | For | | Shareholder |
| | 4 | | Stockholder proposal concerning majority voting. | | Against | | Against | | Shareholder |
| | 5 | | Stockholder proposal concerning the preparation of a sustainability report. | | Against | | Against | | Shareholder |
| | 6 | | Stockholder proposal concerning an independent board chairman. | | Against | | For | | Shareholder |
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NAME: | | | | Extra Space Storage, Inc. | | | | | | |
| | | | | |
Ticker: | | | | EXR | | | | | | |
Meeting Date: | | | | 5/20/2009 | | | | | | |
Record Date: | | | | 3/23/2009 | | | | | | |
Security ID: | | | | 30225T102 | | | | | | |
Meeting Type: | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 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 the appointment of Ernst & Young LLP as the Company’s independent registered accounting firm. | | For | | For | | Management |
| | | | | |
NAME: | | | | Prologis | | | | | | |
| | | | | |
Ticker: | | | | PLD | | | | | | |
Meeting Date: | | | | 5/20/2009 | | | | | | |
Record Date: | | | | 3/23/2009 | | | | | | |
Security ID: | | | | 743410102 | | | | | | |
Meeting Type: | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Elect Director Stephen L. Feinberg | | For | | For | | Management |
| | 1.2 | | Elect Director George L. Fotiades | | For | | For | | Management |
| | 1.3 | | Elect Director Christine N. Garvey | | For | | For | | Management |
| | 1.4 | | Elect Director Lawrence V. Jackson | | For | | For | | Management |
| | 1.5 | | Elect Director Donald P. Jacobs | | For | | For | | Management |
| | 1.6 | | Elect Director Walter C. Rakowich | | For | | For | | Management |
| | 1.7 | | Elect Director D. Michael Steuert | | For | | For | | Management |
| | 1.8 | | Elect Director J. Andre Teixeira | | For | | For | | Management |
| | 1.9 | | Elect Director William D. Zollars | | For | | For | | Management |
| | 1.10 | | Elect Director Andrea M. Zulberti | | For | | For | | Management |
| | 2 | | Ratify the appointment of KPMG LLP as the independent registered public accounting firm for 2009. | | For | | For | | Management |
DCA Proxy Voting Records
| | | | | | | | | | |
NAME: | | | | AvalonBay Communities, Inc. | | | | | | |
| | | | | |
Ticker: | | | | AVB | | | | | | |
Meeting Date: | | | | 5/21/2009 | | | | | | |
Record Date: | | | | 3/6/2009 | | | | | | |
Security ID: | | | | 053484101 | | | | | | |
Meeting Type: | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Elect Director Bryce Blair | | For | | Unvoted | | Management |
| | 1.2 | | Elect Director Bruce A. Choate | | For | | Unvoted | | Management |
| | 1.3 | | Elect Director John J. Healy, Jr. | | For | | Unvoted | | Management |
| | 1.4 | | Elect Director Gilbert M. Meyer | | For | | Unvoted | | Management |
| | 1.5 | | Elect Director Timothy J. Naughton | | For | | Unvoted | | Management |
| | 1.6 | | Elect Director Lance R. Primis | | For | | Unvoted | | Management |
| | 1.7 | | Elect Director Peter S. Rummell | | For | | Unvoted | | Management |
| | 1.8 | | Elect Director H. Jay Sarles | | For | | Unvoted | | Management |
| | 1.9 | | Elect Director W. Edward Walter | | For | | Unvoted | | Management |
| | 2 | | Approve the AvalonBay Communities, Inc. 2009 Stock Option and Incentive Plan. | | For | | Unvoted | | Management |
| | 3 | | Ratify the selection of Ernst & Young LLP as the Company’s independent auditors for the year ending December 31, 2009. | | For | | Unvoted | | Management |
| | | | | |
Ticker: | | | | BRE Properties, Inc. | | | | | | |
Meeting Date: | | | | 5/21/2009 | | | | | | |
Record Date: | | | | 3/20/2009 | | | | | | |
Security ID: | | | | 05564E106 | | | | | | |
Meeting Type: | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Elect Director Paula F. Downey | | For | | For | | Management |
| | 1.2 | | Elect Director Edward F. Lange, Jr. | | For | | For | | Management |
| | 1.3 | | Elect Director Irving F. Lyons III | | For | | For | | Management |
| | 1.4 | | Elect Director Edward E. Mace | | For | | For | | Management |
| | 1.5 | | Elect Director Christopher J. McGurk | | For | | For | | Management |
| | 1.6 | | Elect Director Matthew T. Medeiros | | For | | For | | Management |
| | 1.7 | | Elect Director Constance B. Moore | | For | | For | | Management |
| | 1.8 | | Elect Director Jeanne R. Myerson | | For | | For | | Management |
| | 1.9 | | Elect Director Thomas E. Robinson | | For | | For | | Management |
| | 1.10 | | Elect Director Dennis E. Singleton | | For | | For | | Management |
| | 2 | | Ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm for the year ending December 31, 2009. | | For | | For | | Management |
| | | | | |
Ticker: | | | | The Macerich Company | | | | | | |
Meeting Date: | | | | 6/8/2009 | | | | | | |
Record Date: | | | | 3/10/2009 | | | | | | |
Security ID: | | | | 554382101 | | | | | | |
Meeting Type: | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Elect Director Arthur M. Coppola | | For | | For | | Management |
| | 1.2 | | Elect Director James S. Cownie | | For | | For | | Management |
| | 1.3 | | Elect Director Mason G. Ross | | For | | For | | Management |
| | 2 | | Ratify the appointment of Deloitte & Touche LLP as the independent accountants for the year ending December 31, 2009. | | For | | For | | Management |
| | 3 | | Approve the amended and restated 2003 equity incentive plan. | | For | | For | | Management |
| | 4 | | Approve the amendment to the charter to increase the authorized shares of common stock to 250,000,000 and the total number of authorized shares of stock to 325,000,000. | | For | | For | | Management |
DCA Proxy Voting Records
| | | | | | | | | | |
| | | | | |
NAME: | | | | Alcon, Inc. | | | | | | |
| | | | | |
Ticker: | | | | ACL | | | | | | |
Meeting Date: | | | | 5/5/2009 | | | | | | |
Record Date: | | | | 4/23/2009 | | | | | | |
Security ID: | | | | H01301102 | | | | | | |
Meeting Type | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1 | | Approval of the 2008 Annual Report and Accounts of Alcon, Inc. and the 2008 Consolidated Financial Statements of Alcon, Inc. and subsidiaries | | For | | For | | Management |
| | 2 | | Appropriation of available earnings and proposed dividend to shareholders for the financial year 2008 | | For | | For | | Management |
| | 3 | | Discharge of the members of the Board of Directors for the financial year 2008 | | For | | For | | Management |
| | 4 | | Election of KPMG AG, Zug, as group and parent company auditors | | For | | For | | Management |
| | 5 | | Election of OBT AG, Zurich, as special auditors | | For | | For | | Management |
| | 6.1 | | Election to the Board of Directors: Kevin Buehler | | For | | For | | Management |
| | 6.2 | | Election to the Board of Directors: Paul Bulcke | | For | | For | | Management |
| | 6.3 | | Election to the Board of Directors: Joan Miller, M.D. | | For | | For | | Management |
| | 6.4 | | Election to the Board of Directors: Hermann Wirz | | For | | For | | Management |
| | 7 | | Approval of share cancellation | | For | | For | | Management |
| | 8 | | Editorial amendments to the Articles of Association | | For | | For | | Management |
| | | | | |
NAME: | | | | Amazon.com, Inc. | | | | | | |
| | | | | |
Ticker: | | | | AMZN | | | | | | |
Meeting Date: | | | | 5/28/2009 | | | | | | |
Record Date: | | | | 5/14/2009 | | | | | | |
Security ID: | | | | 023135106 | | | | | | |
Meeting Type | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Election of Director: Jeffrey P. Bezos | | For | | For | | Management |
| | 1.2 | | Election of Director: Tom A. Alberg | | For | | For | | Management |
| | 1.3 | | Election of Director: John Seely Brown | | For | | For | | Management |
| | 1.4 | | Election of Director: L. John Doerr | | For | | For | | Management |
| | 1.5 | | Election of Director: William B. Gordon | | For | | For | | Management |
| | 1.6 | | Election of Director: Alain Monie | | For | | For | | Management |
| | 1.7 | | Election of Director: Thomas O. Ryder | | For | | For | | Management |
| | 1.8 | | Election of Director: Patricia Q. Stonesifer | | For | | For | | Management |
| | 2 | | Ratification of the appointment of Ernst & Young LLP as the company’s independent auditors for 2009. | | For | | For | | Management |
| | | | | |
NAME: | | | | America Movil, S.A.B. DE C.V. | | | | | | |
| | | | | |
Ticker: | | | | AMX | | | | | | |
Meeting Date: | | | | 4/20/2009 | | | | | | |
Record Date: | | | | 4/15/2009 | | | | | | |
Security ID: | | | | 02364W105 | | | | | | |
Meeting Type | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1 | | Appointment or, as the case may be, reelection of the members of the Board of Directors of the company that the holders of the Series “L” shares are entitled to appoint. Adoption of resolution thereon. | | For | | Abstain | | Management |
| | 2 | | Appointment of delegates to execute and, if applicable, formalize the resolutions adopted by the meeting. Adoption of resolutions thereon. | | For | | For | | Management |
| | | | | |
NAME: | | | | Celgene Corporation | | | | | | |
| | | | | |
Ticker: | | | | CELG | | | | | | |
Meeting Date: | | | | 6/17/2009 | | | | | | |
Record Date: | | | | 6/10/2009 | | | | | | |
Security ID: | | | | 151020104 | | | | | | |
Meeting Type | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Election of Director Sol J. Barer, Ph.D. | | For | | For | | Management |
| | 1.2 | | Election of Director Robert J. Hugin | | For | | For | | Management |
| | 1.3 | | Election of Director Michael D. Casey | | For | | For | | Management |
| | 1.4 | | Election of Director Rodman L. Drake | | For | | For | | Management |
| | 1.5 | | Election of Director A.H. Hayes, Jr., M.D. | | For | | For | | Management |
| | 1.6 | | Election of Director Gilla Kaplan, Ph.D. | | For | | For | | Management |
| | 1.7 | | Election of Director James J. Loughlin | | For | | For | | Management |
| | 1.8 | | Election of Director Ernest Mario, Ph.D. | | For | | For | | Management |
| | 1.9 | | Election of Director Walter L. Robb, Ph.D. | | For | | For | | Management |
| | 2 | | Ratification of the Appointment of KPMG LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2009. | | For | | For | | Management |
| | 3 | | Approval of an amendment and restatement of the Company’s 2008 stock incentive plan. | | For | | For | | Management |
| | 4 | | Stockholder proposal regarding the voting standard for Director elections. | | Against | | Against | | Shareholder |
DCA Proxy Voting Records
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NAME: | | | | ENSCO International Incorporated | | | | | | |
| | | | | |
Ticker: | | | | ESV | | | | | | |
Meeting Date: | | | | 5/28/2009 | | | | | | |
Record Date: | | | | 5/13/2009 | | | | | | |
Security ID: | | | | 26874Q100 | | | | | | |
Meeting Type | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Election of Director: Gerald W. Haddock | | For | | For | | Management |
| | 1.2 | | Election of Director: Paul E. Rowsey, III | | For | | For | | Management |
| | 1.3 | | Election of Director: C. Christopher Gaut | | For | | For | | Management |
| | 2 | | Approval of an amendment to the ENSCO 2005 long-term incentive plan and reapproval of the material terms of the performance goals therein for purposes of Section 162(m) of the internal revenue code. | | For | | For | | Management |
| | 3 | | Ratification of the audit committee’s appointment of KPMG LLP as our independent registered public accounting firm for 2009. | | For | | For | | Management |
| | | | | |
NAME: | | | | Guess?, Inc. | | | | | | |
| | | | | |
Ticker: | | | | GES | | | | | | |
Meeting Date: | | | | 6/23/2009 | | | | | | |
Record Date: | | | | 6/12/2009 | | | | | | |
Security ID: | | | | 401617105 | | | | | | |
Meeting Type | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Election of Director Carlos Alberini | | For | | For | | Management |
| | 1.2 | | Election of Director Alice Kane | | For | | For | | Management |
| | 2 | | To re-approve the performance criteria for performance-based awards set forth in the Company’s 2004 equity incentive plan. | | For | | For | | Management |
| | 3 | | To ratify the appointment of Ernst & Young LLP as the Company’s independent auditors for the fiscal year ending January 30, 2010. | | For | | For | | Management |
| | | | | |
NAME: | | | | Infosys Technologies Limited | | | | | | |
| | | | | |
Ticker: | | | | INFY | | | | | | |
Meeting Date: | | | | 6/20/2009 | | | | | | |
Record Date: | | | | 6/4/2009 | | | | | | |
Security ID: | | | | 456788108 | | | | | | |
Meeting Type | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1 | | To receive, consider and adopt the balance sheet as at March 31, 2009 and the profit and loss account for the year ended on that date and the report of the directors and auditors thereon. | | | | For | | Management |
| | 2 | | To declare a final dividend for the financial year ended March 31, 2009. | | | | For | | Management |
| | 3 | | To appoint a director in place of Deepak M. Satwalekar, who retires by rotation and, being eligible, seeks re-appointment. | | | | For | | Management |
| | 4 | | To appoint a director in place of Dr. Omkar Goswami, who retires by rotation and, being eligible, seeks re-appointment. | | | | For | | Management |
| | 5 | | To appoint a director in place of Rama Bijapurkar, who retires by rotation and, being eligible, seeks re-appointment. | | | | Abstain | | Management |
| | 6 | | To appoint a director in place of David L. Boyles, who retires by rotation and, being eligible, seeks re-appointment. | | | | For | | Management |
| | 7 | | To appoint a director in place of Prof. Jeffrey S. Lehman, who retires by rotation and, being eligible, seeks re-appointment. | | | | For | | Management |
| | 8 | | To appoint auditors to hold office from the conclusion of the annual general meeting held on June 20, 2009, until the conclusion of the next annual general meeting, and to fix their remuneration. | | | | For | | Management |
| | 09 | | To appoint K.V. Kamath as director, liable to retire by rotation. | | | | For | | Management |
DCA Proxy Voting Records
| | | | | | | | | | |
NAME: | | | | Mastercard Incorporated | | | | | | |
| | | | | |
Ticker: | | | | MA | | | | | | |
Meeting Date: | | | | 6/9/2009 | | | | | | |
Record Date: | | | | 6/1/2009 | | | | | | |
Security ID: | | | | 57636Q104 | | | | | | |
Meeting Type | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1.1 | | Election of Director Richard Haythornthwaite | | For | | For | | Management |
| | 1.2 | | Election of Director David R. Carlucci | | For | | For | | Management |
| | 1.3 | | Election of Director Robert W. Selander | | For | | For | | Management |
| | 2 | | Approval of amendment of Sections 6.1(a) and 6.4(b) of the Company’s amended and restated Certificate of Incorporation | | For | | For | | Management |
| | 3 | | Ratification of the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the Company for 2009 | | For | | For | | Management |
| | | | | |
NAME: | | | | Noble Corporation | | | | | | |
| | | | | |
Ticker: | | | | NE | | | | | | |
Meeting Date: | | | | 5/28/2009 | | | | | | |
Record Date: | | | | 5/19/2009 | | | | | | |
Security ID: | | | | H5833N103 | | | | | | |
Meeting Type | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1 | | Approval of the payment of a dividend through a reduction of the par value of the shares in an amount equal to Swiss Francs 0.25 | | For | | For | | Management |
| | 2.1 | | Election of Director Julie H. Edwards | | For | | For | | Management |
| | 2.2 | | Election of Director Marc E. Leland | | For | | For | | Management |
| | 2.3 | | Election of Director David W. Williams | | For | | For | | Management |
| | 3 | | Approval of the appointment of PricewaterhouseCoopers LLP as Noble Corporation’s independent registered public accounting firm for 2009 | | For | | For | | Management |
| | 4 | | Approval of an amendment of Article 21 paragraph 1(d) of the Articles of Association in order to limit the changes to authorized and conditional capital that require approval of at least two-thirds of the shares represented at a general meeting to an increase in the amount of the authorized or conditional share capital | | For | | For | | Management |
| | | | | |
NAME: | | | | Transocean, Ltd. | | | | | | |
| | | | | |
Ticker: | | | | RIG | | | | | | |
Meeting Date: | | | | 5/15/2009 | | | | | | |
Record Date: | �� | | | 5/11/2009 | | | | | | |
Security ID: | | | | H8817H100 | | | | | | |
Meeting Type | | | | Annual | | | | | | |
| | | | | |
# | | | | Proposal | | Management Recommendation | | Vote Cast | | Sponsor |
| | 1 | | Approval of the 2008 annual report, the consolidated financial statements of Transocean Ltd. for fiscal year 2008 and the statutory financial statements of Transocean Ltd. | | For | | For | | Management |
| | 2 | | Discharge of the members of the Board of Directors and the Executive Officers for fiscal year 2008 | | For | | For | | Management |
| | 3 | | Appropriation of the available retained earnings without payment of a dividend to shareholders for fiscal year 2008 and release of CHF 3.5 billion of legal reserves to other reserves. | | For | | For | | Management |
| | 4 | | Authorization of a share repurchase program | | For | | For | | Management |
| | 5 | | Approval of the long-term incentive plan of Transocean Ltd. in the form as amended and restated effective as of 2/12/09 | | For | | For | | Management |
| | 6.1 | | Reelection of Class I Director for a three year term: W. Richard Anderson | | For | | For | | Management |
| | 6.2 | | Reelection of Class I Director for a three year term: Richard L. George | | For | | For | | Management |
| | 6.3 | | Reelection of Class I Director for a three year term: Robert L. Long | | For | | For | | Management |
| | 6.4 | | Reelection of Class I Director for a three year term: Edward R. Muller | | For | | For | | Management |
| | 6.5 | | Reelection of Class III Director for a two-year term: Victor E. Grijalva | | For | | For | | Management |
| | 7 | | Appointment of Ernst & Young LLP as Transocean Ltd.’s independent registered public accounting firm for fiscal year 2009 and reelection of Ernst & Young Ltd., Zurich, as Transocean Ltd.’s auditor pursuant to the Swiss Code of Obligations for a further one-year term | | For | | For | | Management |
DCA Proxy Voting Records
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.
DCA Total Return Fund
| | |
By: | | /s/ Jeffrey Taylor |
| | Jeffrey Taylor |
| | President (Principal Executive Officer) |
Date: August 27, 2009