Dow 30 Premium & Dividend Income Fund (XDPDX) Inactive
Filed: 19 Aug 13, 12:00am
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF
REGISTERED MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811-21708
Dow 30 Premium & Dividend Income Fund Inc.
(Exact name of registrant as specified in charter)
333 West Wacker Drive, Chicago, Illinois 60606
(Address of principal executive offices) (Zip Code)
Gifford R. Zimmerman - Chief Administrative Officer
(Name and address of agent for service)
Registrant’s telephone number, including area code: 312-917-7700
Date of fiscal year-end: December 31
Date of reporting period: June 30, 2013
Item 1. Proxy Voting Record
============================= Dow 30 Premium & Dividend Income Fund Inc. =============================
3M COMPANY
| Ticker: | MMM | Security ID: | 88579Y101 | |||
| Meeting Date: | MAY 14, 2013 | Meeting Type: | Annual | |||
| Record Date: | MAR 15, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1a | Elect Director Linda G. Alvarado | For | For | Management | ||||
| 1b | Elect Director Vance D. Coffman | For | For | Management | ||||
| 1c | Elect Director Michael L. Eskew | For | For | Management | ||||
| 1d | Elect Director W. James Farrell | For | For | Management | ||||
| 1e | Elect Director Herbert L. Henkel | For | For | Management | ||||
| 1f | Elect Director Muhtar Kent | For | For | Management | ||||
| 1g | Elect Director Edward M. Liddy | For | For | Management | ||||
| 1h | Elect Director Robert S. Morrison | For | For | Management | ||||
| 1i | Elect Director Aulana L. Peters | For | For | Management | ||||
| 1j | Elect Director Inge G. Thulin | For | For | Management | ||||
| 1k | Elect Director Robert J. Ulrich | For | For | Management | ||||
| 2 | Ratify Auditors | For | For | Management | ||||
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
| 4 | Provide Right to Act by Written Consent | Against | For | Shareholder | ||||
| 5 | Study Feasibility of Prohibiting Political Contributions | Against | Against | Shareholder |
ALCOA INC.
| Ticker: | AA | Security ID: | 013817101 | |||
| Meeting Date: | MAY 03, 2013 | Meeting Type: | Annual | |||
| Record Date: | FEB 04, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1.1 | Elect Director Arthur D. Collins, Jr. | For | For | Management | ||||
| 1.2 | Elect Director Michael G. Morris | For | For | Management | ||||
| 1.3 | Elect Director E. Stanley O’Neal | 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 | Provide Right to Call Special Meeting | For | For | Management |
AMERICAN EXPRESS COMPANY
| Ticker: | AXP | Security ID: | 025816109 | |||
| Meeting Date: | APR 29, 2013 | Meeting Type: | Annual | |||
| Record Date: | MAR 01, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1.1 | Elect Director Charlene Barshefsky | For | For | Management | ||||
| 1.2 | Elect Director Ursula M. Burns | For | For | Management | ||||
| 1.3 | Elect Director Kenneth I. Chenault | For | For | Management | ||||
| 1.4 | Elect Director Peter Chernin | For | For | Management |
Page 1
| 1.5 | Elect Director Anne Lauvergeon | For | For | Management | ||||
| 1.6 | Elect Director Theodore J. Leonsis | For | For | Management | ||||
| 1.7 | Elect Director Richard C. Levin | For | For | Management | ||||
| 1.8 | Elect Director Richard A. McGinn | For | For | Management | ||||
| 1.9 | Elect Director Samuel J. Palmisano | For | For | Management | ||||
| 1.10 | Elect Director Steven S Reinemund | For | For | Management | ||||
| 1.11 | Elect Director Daniel L. Vasella | For | For | Management | ||||
| 1.12 | Elect Director Robert D. Walter | For | For | Management | ||||
| 1.13 | Elect Director Ronald A. Williams | For | For | Management | ||||
| 2 | Ratify Auditors | For | For | Management | ||||
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
| 4 | Require Independent Board Chairman | Against | Against | Shareholder |
AT&T INC.
| Ticker: | T | Security ID: | 00206R102 | |||
| Meeting Date: | APR 26, 2013 | Meeting Type: | Annual | |||
| Record Date: | FEB 27, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1.1 | Elect Director Randall L. Stephenson | For | For | Management | ||||
| 1.2 | Elect Director Gilbert F. Amelio | For | For | Management | ||||
| 1.3 | Elect Director Reuben V. Anderson | For | For | Management | ||||
| 1.4 | Elect Director James H. Blanchard | For | For | Management | ||||
| 1.5 | Elect Director Jaime Chico Pardo | For | For | Management | ||||
| 1.6 | Elect Director Scott T. Ford | For | For | Management | ||||
| 1.7 | Elect Director James P. Kelly | For | For | Management | ||||
| 1.8 | Elect Director Jon C. Madonna | For | For | Management | ||||
| 1.9 | Elect Director Michael B. McCallister | For | For | Management | ||||
| 1.10 | Elect Director John B. McCoy | For | For | Management | ||||
| 1.11 | Elect Director Joyce M. Roche | For | For | Management | ||||
| 1.12 | Elect Director Matthew K. Rose | For | For | Management | ||||
| 1.13 | Elect Director Laura D’Andrea Tyson | For | For | Management | ||||
| 2 | Ratify Auditors | For | For | Management | ||||
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
| 4 | Amend Stock Purchase and Deferral Plan | For | For | Management | ||||
| 5 | Report on Political Contributions | Against | For | Shareholder | ||||
| 6 | Report on Reducing Lead Battery Health Hazards | Against | For | Shareholder | ||||
| 7 | Submit Severance Agreement (Change-in-Control) to Shareholder Vote | Against | For | Shareholder | ||||
| 8 | Require Independent Board Chairman | Against | Against | Shareholder |
BANK OF AMERICA CORPORATION
| Ticker: | BAC | Security ID: | 060505104 | |||
| Meeting Date: | MAY 08, 2013 | Meeting Type: | Annual | |||
| Record Date: | MAR 13, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1.1 | Elect Director Sharon L. Allen | For | For | Management | ||||
| 1.2 | Elect Director Susan S. Bies | For | For | Management | ||||
| 1.3 | Elect Director Jack O. Bovender, Jr. | For | For | Management | ||||
| 1.4 | Elect Director Frank P. Bramble, Sr. | For | For | Management | ||||
| 1.5 | Elect Director Arnold W. Donald | For | For | Management |
Page 2
| 1.6 | Elect Director Charles K. Gifford | For | For | Management | ||||
| 1.7 | Elect Director Charles O. Holliday, Jr. | For | For | Management | ||||
| 1.8 | Elect Director Linda P. Hudson | For | For | Management | ||||
| 1.9 | Elect Director Monica C. Lozano | For | For | Management | ||||
| 1.10 | Elect Director Thomas J. May | For | For | Management | ||||
| 1.11 | Elect Director Brian T. Moynihan | For | For | Management | ||||
| 1.12 | Elect Director Lionel L. Nowell, III | For | For | Management | ||||
| 1.13 | Elect Director R. David Yost | For | For | Management | ||||
| 2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
| 3 | Ratify Auditors | For | For | Management | ||||
| 4 | Report on Political Contributions | Against | For | Shareholder | ||||
| 5 | Adopt Proxy Access Right | Against | Against | Shareholder | ||||
| 6 | Amend Bylaw to Limit Multiple Board Service | Against | Against | Shareholder | ||||
| 7 | Report on Feasibility of Prohibiting Political Contributions | Against | Against | Shareholder | ||||
| 8 | Review Fair Housing and Fair Lending Compliance | Against | For | Shareholder |
CATERPILLAR INC.
| Ticker: | CAT | Security ID: | 149123101 | |||
| Meeting Date: | JUN 12, 2013 | Meeting Type: | Annual | |||
| Record Date: | APR 15, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1.1 | Elect Director David L. Calhoun | For | For | Management | ||||
| 1.2 | Elect Director Daniel M. Dickinson | For | For | Management | ||||
| 1.3 | Elect Director Juan Gallardo | For | For | Management | ||||
| 1.4 | Elect Director David R. Goode | For | For | Management | ||||
| 1.5 | Elect Director Jesse J. Greene, Jr. | For | For | Management | ||||
| 1.6 | Elect Director Jon M. Huntsman, Jr. | For | For | Management | ||||
| 1.7 | Elect Director Peter A. Magowan | For | For | Management | ||||
| 1.8 | Elect Director Dennis A. Muilenburg | For | For | Management | ||||
| 1.9 | Elect Director Douglas R. Oberhelman | For | For | Management | ||||
| 1.10 | Elect Director William A. Osborn | For | For | Management | ||||
| 1.11 | Elect Director Charles D. Powell | For | For | Management | ||||
| 1.12 | Elect Director Edward B. Rust, Jr. | For | For | Management | ||||
| 1.13 | Elect Director Susan C. Schwab | For | For | Management | ||||
| 1.14 | Elect Director Joshua I. Smith | For | For | Management | ||||
| 1.15 | Elect Director Miles D. White | For | For | Management | ||||
| 2 | Ratify Auditors | For | For | Management | ||||
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
| 4 | Require a Majority Vote for the Election of Directors | Against | For | Shareholder | ||||
| 5 | Provide Right to Act by Written Consent | Against | For | Shareholder | ||||
| 6 | Stock Retention/Holding Period | Against | For | Shareholder | ||||
| 7 | Include Sustainability as a Performance Measure for Senior Executive Compensation | Against | Against | Shareholder | ||||
| 8 | Review and Assess Human Rights Policies | Against | For | Shareholder | ||||
| 9 | Prohibit Sales to the Government of Sudan | Against | Against | Shareholder |
Page 3
CHEVRON CORPORATION
| Ticker: | CVX | Security ID: | 166764100 | |||
| Meeting Date: | MAY 29, 2013 | Meeting Type: | Annual | |||
| Record Date: | APR 03, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1a | Elect Director Linnet F. Deily | For | For | Management | ||||
| 1b | Elect Director Robert E. Denham | For | For | Management | ||||
| 1c | Elect Director Alice P. Gast | For | For | Management | ||||
| 1d | Elect Director Enrique Hernandez, Jr. | For | For | Management | ||||
| 1e | Elect Director George L. Kirkland | For | For | Management | ||||
| 1f | Elect Director Charles W. Moorman, IV | For | For | Management | ||||
| 1g | Elect Director Kevin W. Sharer | For | For | Management | ||||
| 1h | Elect Director John G. Stumpf | For | For | Management | ||||
| 1i | Elect Director Ronald D. Sugar | For | For | Management | ||||
| 1j | Elect Director Carl Ware | For | For | Management | ||||
| 1k | Elect Director John S. Watson | For | For | Management | ||||
| 2 | Ratify Auditors | For | For | Management | ||||
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
| 4 | Amend Omnibus Stock Plan | For | For | Management | ||||
| 5 | Report on Management of Hydraulic Fracturing Risks and Opportunities | Against | For | Shareholder | ||||
| 6 | Report on Offshore Oil Wells and Spill Mitigation Measures | Against | Against | Shareholder | ||||
| 7 | Report on Financial Risks of Climate Change | Against | Against | Shareholder | ||||
| 8 | Report on Lobbying Payments and Policy | Against | For | Shareholder | ||||
| 9 | Prohibit Political Contributions | Against | Against | Shareholder | ||||
| 10 | Provide for Cumulative Voting | Against | For | Shareholder | ||||
| 11 | Amend Articles/Bylaws/Charter — Call Special Meetings | Against | For | Shareholder | ||||
| 12 | Require Director Nominee with Environmental Expertise | Against | For | Shareholder | ||||
| 13 | Adopt Guidelines for Country Selection | Against | For | Shareholder |
CISCO SYSTEMS, INC.
| Ticker: | CSCO | Security ID: | 17275R102 | |||
| Meeting Date: | NOV 15, 2012 | Meeting Type: | Annual | |||
| Record Date: | SEP 17, 2012 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1a | Elect Director Carol A. Bartz | For | For | Management | ||||
| 1b | Elect Director Marc Benioff | For | For | Management | ||||
| 1c | Elect Director M. Michele Burns | For | For | Management | ||||
| 1d | Elect Director Michael D. Capellas | For | For | Management | ||||
| 1e | Elect Director Larry R. Carter | For | For | Management | ||||
| 1f | Elect Director John T. Chambers | For | For | Management | ||||
| 1g | Elect Director Brian L. Halla | For | For | Management | ||||
| 1h | Elect Director John L. Hennessy | For | For | Management | ||||
| 1i | Elect Director Kristina M. Johnson | For | For | Management | ||||
| 1j | Elect Director Richard M. Kovacevich | For | For | Management | ||||
| 1k | Elect Director Roderick C. McGeary | For | For | Management | ||||
| 1l | Elect Director Arun Sarin | For | For | Management | ||||
| 1m | Elect Director Steven M. West | For | For | Management | ||||
| 2 | Amend Executive Incentive Bonus Plan | For | For | Management | ||||
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
| 4 | Ratify Auditors | For | For | Management |
Page 4
| 5 | Require Independent Board Chairman | Against | Against | Shareholder | ||||
| 6 | Report on Eliminating Conflict Minerals from Supply Chain | Against | Against | Shareholder |
E. I. DU PONT DE NEMOURS AND COMPANY
| Ticker: | DD | Security ID: | 263534109 | |||
| Meeting Date: | APR 24, 2013 | Meeting Type: | Annual | |||
| Record Date: | FEB 27, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1a | Elect Director Lamberto Andreotti | For | For | Management | ||||
| 1b | Elect Director Richard H. Brown | For | For | Management | ||||
| 1c | Elect Director Robert A. Brown | For | For | Management | ||||
| 1d | Elect Director Bertrand P. Collomb | For | For | Management | ||||
| 1e | Elect Director Curtis J. Crawford | For | For | Management | ||||
| 1f | Elect Director Alexander M. Cutler | For | For | Management | ||||
| 1g | Elect Director Eleuthere I. Du Pont | For | For | Management | ||||
| 1h | Elect Director Marillyn A. Hewson | For | For | Management | ||||
| 1i | Elect Director Lois D. Juliber | For | For | Management | ||||
| 1j | Elect Director Ellen J. Kullman | For | For | Management | ||||
| 1k | Elect Director Lee M. Thomas | For | For | Management | ||||
| 2 | Ratify Auditors | For | For | Management | ||||
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
| 4 | Require Independent Board Chairman | Against | For | Shareholder | ||||
| 5 | Report on Lobbying Payments and Policy | Against | For | Shareholder | ||||
| 6 | Report on Genetically Engineered Seed | Against | Against | Shareholder | ||||
| 7 | Report on Pay Disparity | Against | Against | Shareholder |
EXXON MOBIL CORPORATION
| Ticker: | XOM | Security ID: | 30231G102 | |||
| Meeting Date: | MAY 29, 2013 | Meeting Type: | Annual | |||
| Record Date: | APR 04, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1.1 | Elect Director M.J. Boskin | For | For | Management | ||||
| 1.2 | Elect Director P. Brabeck-Letmathe | For | For | Management | ||||
| 1.3 | Elect Director U.M. Burns | For | For | Management | ||||
| 1.4 | Elect Director L.R. Faulkner | For | For | Management | ||||
| 1.5 | Elect Director J.S. Fishman | For | For | Management | ||||
| 1.6 | Elect Director H.H. Fore | For | For | Management | ||||
| 1.7 | Elect Director K.C. Frazier | For | For | Management | ||||
| 1.8 | Elect Director W.W. George | For | For | Management | ||||
| 1.9 | Elect Director S.J. Palmisano | For | For | Management | ||||
| 1.10 | Elect Director S.S. Reinemund | For | For | Management | ||||
| 1.11 | Elect Director R.W. Tillerson | For | For | Management | ||||
| 1.12 | Elect Director W.C. Weldon | For | For | Management | ||||
| 1.13 | Elect Director E.E. Whitacre, Jr. | For | For | Management | ||||
| 2 | Ratify Auditors | For | For | Management | ||||
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | Against | Management | ||||
| 4 | Require Independent Board Chairman | Against | For | Shareholder | ||||
| 5 | Require a Majority Vote for the Election of Directors | Against | For | Shareholder |
Page 5
| 6 | Limit Directors to a Maximum of Three Board Memberships in Companies with Sales over $500 Million Annually | Against | Against | Shareholder | ||||
| 7 | Report on Lobbying Payments and Policy | Against | For | Shareholder | ||||
| 8 | Study Feasibility of Prohibiting Political Contributions | Against | Against | Shareholder | ||||
| 9 | Adopt Sexual Orientation Anti-bias Policy | Against | Against | Shareholder | ||||
| 10 | Report on Management of Hydraulic Fracturing Risks and Opportunities | Against | For | Shareholder | ||||
| 11 | Adopt Quantitative GHG Goals for Products and Operations | Against | For | Shareholder |
GENERAL ELECTRIC COMPANY
| Ticker: | GE | Security ID: | 369604103 | |||
| Meeting Date: | APR 24, 2013 | Meeting Type: | Annual | |||
| Record Date: | FEB 25, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1 | Elect Director W. Geoffrey Beattie | For | For | Management | ||||
| 2 | Elect Director John J. Brennan | For | For | Management | ||||
| 3 | Elect Director James I. Cash, Jr. | For | For | Management | ||||
| 4 | Elect Director Francisco D’Souza | For | For | Management | ||||
| 5 | Elect Director Marijn E. Dekkers | For | For | Management | ||||
| 6 | Elect Director Ann M. Fudge | For | For | Management | ||||
| 7 | Elect Director Susan Hockfield | For | For | Management | ||||
| 8 | Elect Director Jeffrey R. Immelt | For | For | Management | ||||
| 9 | Elect Director Andrea Jung | For | For | Management | ||||
| 10 | Elect Director Robert W. Lane | For | For | Management | ||||
| 11 | Elect Director Ralph S. Larsen | For | For | Management | ||||
| 12 | Elect Director Rochelle B. Lazarus | For | For | Management | ||||
| 13 | Elect Director James J. Mulva | For | For | Management | ||||
| 14 | Elect Director Mary L. Schapiro | For | For | Management | ||||
| 15 | Elect Director Robert J. Swieringa | For | For | Management | ||||
| 16 | Elect Director James S. Tisch | For | For | Management | ||||
| 17 | Elect Director Douglas A. Warner, III | For | For | Management | ||||
| 18 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
| 19 | Ratify Auditors | For | For | Management | ||||
| 20 | Cessation of All Stock Options and Bonuses | Against | Against | Shareholder | ||||
| 21 | Establish Term Limits for Directors | Against | Against | Shareholder | ||||
| 22 | Require Independent Board Chairman | Against | Against | Shareholder | ||||
| 23 | Provide Right to Act by Written Consent | Against | Against | Shareholder | ||||
| 24 | Stock Retention/Holding Period | Against | For | Shareholder | ||||
| 25 | Require More Director Nominations Than Open Seats | Against | Against | Shareholder |
HEWLETT-PACKARD COMPANY
| Ticker: | HPQ | Security ID: | 428236103 | |||
| Meeting Date: | MAR 20, 2013 | Meeting Type: | Annual | |||
| Record Date: | JAN 22, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1.1 | Elect Director Marc L. Andreessen | For | For | Management | ||||
| 1.2 | Elect Director Shumeet Banerji | For | For | Management |
Page 6
| 1.3 | Elect Director Rajiv L. Gupta | For | For | Management | ||||
| 1.4 | Elect Director John H. Hammergren | For | Against | Management | ||||
| 1.5 | Elect Director Raymond J. Lane | For | Against | Management | ||||
| 1.6 | Elect Director Ann M. Livermore | For | For | Management | ||||
| 1.7 | Elect Director Gary M. Reiner | For | For | Management | ||||
| 1.8 | Elect Director Patricia F. Russo | For | For | Management | ||||
| 1.9 | Elect Director G. Kennedy Thompson | For | Against | Management | ||||
| 1.10 | Elect Director Margaret C. Whitman | For | For | Management | ||||
| 1.11 | Elect Director Ralph V. Whitworth | For | For | Management | ||||
| 2 | Ratify Auditors | For | For | Management | ||||
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
| 4 | Provide Proxy Access Right | For | For | Management | ||||
| 5 | Amend Omnibus Stock Plan | For | For | Management | ||||
| 6 | Establish Environmental/Social Issue Board Committee | Against | Against | Shareholder | ||||
| 7 | Amend Human Rights Policies | Against | Against | Shareholder | ||||
| 8 | Stock Retention/Holding Period | Against | For | Shareholder |
INTEL CORPORATION
| Ticker: | INTC | Security ID: | 458140100 | |||
| Meeting Date: | MAY 16, 2013 | Meeting Type: | Annual | |||
| Record Date: | MAR 18, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1a | Elect Director Charlene Barshefsky | For | For | Management | ||||
| 1b | Elect Director Andy D. Bryant | For | For | Management | ||||
| 1c | Elect Director Susan L. Decker | For | For | Management | ||||
| 1d | Elect Director John J. Donahoe | For | For | Management | ||||
| 1e | Elect Director Reed E. Hundt | For | For | Management | ||||
| 1f | Elect Director James D. Plummer | For | For | Management | ||||
| 1g | Elect Director David S. Pottruck | For | For | Management | ||||
| 1h | Elect Director Frank D. Yeary | For | For | Management | ||||
| 1i | Elect Director David B. Yoffie | For | For | Management | ||||
| 2 | Ratify Auditors | For | For | Management | ||||
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | Against | Management | ||||
| 4 | Amend Omnibus Stock Plan | For | For | Management | ||||
| 5 | Stock Retention/Holding Period | Against | For | Shareholder |
INTERNATIONAL BUSINESS MACHINES CORPORATION
| Ticker: | IBM | Security ID: | 459200101 | |||
| Meeting Date: | APR 30, 2013 | Meeting Type: | Annual | |||
| Record Date: | MAR 01, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1.1 | Elect Director Alain J.P. Belda | For | For | Management | ||||
| 1.2 | Elect Director William R. Brody | For | For | Management | ||||
| 1.3 | Elect Director Kenneth I. Chenault | For | For | Management | ||||
| 1.4 | Elect Director Michael L. Eskew | For | For | Management | ||||
| 1.5 | Elect Director David N. Farr | For | For | Management | ||||
| 1.6 | Elect Director Shirley Ann Jackson | For | For | Management | ||||
| 1.7 | Elect Director Andrew N. Liveris | For | For | Management | ||||
| 1.8 | Elect Director W. James McNerney, Jr. | For | For | Management | ||||
| 1.9 | Elect Director James W. Owens | For | For | Management |
Page 7
| 1.10 | Elect Director Virginia M. Rometty | For | For | Management | ||||
| 1.11 | Elect Director Joan E. Spero | For | For | Management | ||||
| 1.12 | Elect Director Sidney Taurel | For | For | Management | ||||
| 1.13 | Elect Director Lorenzo H. Zambrano | For | For | Management | ||||
| 2 | Ratify Auditors | For | For | Management | ||||
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
| 4 | Report on Lobbying Payments and Policy | Against | For | Shareholder | ||||
| 5 | Provide Right to Act by Written Consent | Against | For | Shareholder | ||||
| 6 | Require Independent Board Chairman | Against | For | Shareholder | ||||
| 7 | Stock Retention/Holding Period | Against | For | Shareholder |
JOHNSON & JOHNSON
| Ticker: | JNJ | Security ID: | 478160104 | |||
| Meeting Date: | APR 25, 2013 | Meeting Type: | Annual | |||
| Record Date: | FEB 26, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1.1 | Elect Director Mary Sue Coleman | For | For | Management | ||||
| 1.2 | Elect Director James G. Cullen | For | For | Management | ||||
| 1.3 | Elect Director Ian E.L. Davis | For | For | Management | ||||
| 1.4 | Elect Director Alex Gorsky | For | For | Management | ||||
| 1.5 | Elect Director Michael M.E. Johns | For | For | Management | ||||
| 1.6 | Elect Director Susan L. Lindquist | For | For | Management | ||||
| 1.7 | Elect Director Anne M. Mulcahy | For | For | Management | ||||
| 1.8 | Elect Director Leo F. Mullin | For | For | Management | ||||
| 1.9 | Elect Director William D. Perez | For | For | Management | ||||
| 1.10 | Elect Director Charles Prince | For | For | Management | ||||
| 1.11 | Elect Director A. Eugene Washington | For | For | Management | ||||
| 1.12 | Elect Director Ronald A. Williams | For | For | Management | ||||
| 2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
| 3 | Ratify Auditors | For | For | Management | ||||
| 4 | Stock Retention/Holding Period | Against | For | Shareholder | ||||
| 5 | Screen Political Contributions for Consistency with Corporate Values | Against | Against | Shareholder | ||||
| 6 | Require Independent Board Chairman | Against | Against | Shareholder |
JPMORGAN CHASE & CO.
| Ticker: | JPM | Security ID: | 46625H100 | |||
| Meeting Date: | MAY 21, 2013 | Meeting Type: | Annual | |||
| Record Date: | MAR 22, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1a | Elect Director James A. Bell | For | For | Management | ||||
| 1b | Elect Director Crandall C.Bowles | For | For | Management | ||||
| 1c | Elect Director Stephen B. Burke | For | For | Management | ||||
| 1d | Elect Director David M. Cote | For | Against | Management | ||||
| 1e | Elect Director James S. Crown | For | Against | Management | ||||
| 1f | Elect Director James Dimon | For | For | Management | ||||
| 1g | Elect Director Timothy P. Flynn | For | For | Management | ||||
| 1h | Elect Director Ellen V. Futter | For | Against | Management | ||||
| 1i | Elect Director Laban P. Jackson, Jr. | For | For | Management | ||||
| 1j | Elect Director Lee R. Raymond | For | For | Management | ||||
| 1k | Elect Director William C. Weldon | For | For | Management |
Page 8
| 2 | Ratify Auditors | For | For | Management | ||||
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
| 4 | Provide Right to Act by Written Consent | For | For | Management | ||||
| 5 | Amend Executive Incentive Bonus Plan | For | For | Management | ||||
| 6 | Require Independent Board Chairman | Against | For | Shareholder | ||||
| 7 | Stock Retention/Holding Period | Against | Against | Shareholder | ||||
| 8 | Institute Procedures to Prevent Investments in Companies that Contribute to Genocide or Crimes Against Humanity | Against | Against | Shareholder | ||||
| 9 | Report on Lobbying Payments and Policy | Against | Against | Shareholder |
MCDONALD’S CORPORATION
| Ticker: | MCD | Security ID: | 580135101 | |||
| Meeting Date: | MAY 23, 2013 | Meeting Type: | Annual | |||
| Record Date: | MAR 25, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1a | Elect Director Walter E. Massey | For | For | Management | ||||
| 1b | Elect Director John W. Rogers, Jr. | For | For | Management | ||||
| 1c | Elect Director Roger W. Stone | For | For | Management | ||||
| 1d | Elect Director Miles D. White | For | For | Management | ||||
| 2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
| 3 | Ratify Auditors | For | For | Management | ||||
| 4 | Report on Pay Disparity | Against | Against | Shareholder | ||||
| 5 | Stock Retention/Holding Period | Against | For | Shareholder | ||||
| 6 | Report on Human Rights Risk Assessment Process | Against | For | Shareholder | ||||
| 7 | Report on Nutrition Initiatives and | Against | Against | Shareholder | ||||
| Childhood Obesity Concerns |
MERCK & CO., INC.
| Ticker: | MRK | Security ID: | 58933Y105 | |||
| Meeting Date: | MAY 28, 2013 | Meeting Type: | Annual | |||
| Record Date: | APR 01, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1a | Elect Director Leslie A. Brun | For | For | Management | ||||
| 1b | Elect Director Thomas R. Cech | For | For | Management | ||||
| 1c | Elect Director Kenneth C. Frazier | For | For | Management | ||||
| 1d | Elect Director Thomas H. Glocer | For | For | Management | ||||
| 1e | Elect Director William B. Harrison Jr. | For | For | Management | ||||
| 1f | Elect Director C. Robert Kidder | For | For | Management | ||||
| 1g | Elect Director Rochelle B. Lazarus | For | For | Management | ||||
| 1h | Elect Director Carlos E. Represas | For | For | Management | ||||
| 1i | Elect Director Patricia F. Russo | For | For | Management | ||||
| 1j | Elect Director Craig B. Thompson | For | For | Management | ||||
| 1k | Elect Director Wendell P. Weeks | For | For | Management | ||||
| 1l | Elect Director Peter C. Wendell | For | For | Management | ||||
| 2 | Ratify Auditors | For | For | Management | ||||
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
| 4 | Provide Right to Act by Written Consent | Against | For | Shareholder |
Page 9
| 5 | Amend Articles/Bylaws/Charter — Call Special Meetings | Against | For | Shareholder | ||||
| 6 | Report on Charitable and Political Contributions | Against | Against | Shareholder | ||||
| 7 | Report on Lobbying Activities | Against | Against | Shareholder |
MICROSOFT CORPORATION
| Ticker: | MSFT | Security ID: | 594918104 | |||
| Meeting Date: | NOV 28, 2012 | Meeting Type: | Annual | |||
| Record Date: | SEP 14, 2012 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1 | Elect Director Steven A. Ballmer | For | For | Management | ||||
| 2 | Elect Director Dina Dublon | For | For | Management | ||||
| 3 | Elect Director William H. Gates, III | For | For | Management | ||||
| 4 | Elect Director Maria M. Klawe | For | For | Management | ||||
| 5 | Elect Director Stephen J. Luczo | For | For | Management | ||||
| 6 | Elect Director David F. Marquardt | For | For | Management | ||||
| 7 | Elect Director Charles H. Noski | For | For | Management | ||||
| 8 | Elect Director Helmut Panke | For | For | Management | ||||
| 9 | Elect Director John W. Thompson | For | For | Management | ||||
| 10 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
| 11 | Approve Qualified Employee Stock Purchase Plan | For | For | Management | ||||
| 12 | Ratify Auditors | For | For | Management | ||||
| 13 | Provide for Cumulative Voting | Against | For | Shareholder |
PFIZER INC.
| Ticker: | PFE | Security ID: | 717081103 | |||
| Meeting Date: | APR 25, 2013 | Meeting Type: | Annual | |||
| Record Date: | FEB 27, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1.1 | Elect Director Dennis A. Ausiello | For | For | Management | ||||
| 1.2 | Elect Director M. Anthony Burns | For | For | Management | ||||
| 1.3 | Elect Director W. Don Cornwell | For | For | Management | ||||
| 1.4 | Elect Director Frances D. Fergusson | For | For | Management | ||||
| 1.5 | Elect Director William H. Gray, III | For | For | Management | ||||
| 1.6 | Elect Director Helen H. Hobbs | For | For | Management | ||||
| 1.7 | Elect Director Constance J. Horner | For | For | Management | ||||
| 1.8 | Elect Director James M. Kilts | For | For | Management | ||||
| 1.9 | Elect Director George A. Lorch | For | For | Management | ||||
| 1.10 | Elect Director Suzanne Nora Johnson | For | For | Management | ||||
| 1.11 | Elect Director Ian C. Read | For | For | Management | ||||
| 1.12 | Elect Director Stephen W. Sanger | For | For | Management | ||||
| 1.13 | Elect Director Marc Tessier-Lavigne | For | For | Management | ||||
| 2 | Ratify Auditors | For | For | Management | ||||
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
| 4 | Stock Retention/Holding Period | Against | For | Shareholder | ||||
| 5 | Provide Right to Act by Written Consent | Against | For | Shareholder |
Page 10
THE BOEING COMPANY
| Ticker: | BA | Security ID: | 097023105 | |||
| Meeting Date: | APR 29, 2013 | Meeting Type: | Annual | |||
| Record Date: | MAR 01, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1a | Elect Director David L. Calhoun | For | For | Management | ||||
| 1b | Elect Director Arthur D. Collins, Jr. | For | For | Management | ||||
| 1c | Elect Director Linda Z. Cook | For | For | Management | ||||
| 1d | Elect Director Kenneth M. Duberstein | For | For | Management | ||||
| 1e | Elect Director Edmund P. Giambastiani, Jr. | For | For | Management | ||||
| 1f | Elect Director Lawrence W. Kellner | For | For | Management | ||||
| 1g | Elect Director Edward M. Liddy | For | For | Management | ||||
| 1h | Elect Director W. James McNerney, Jr. | For | For | Management | ||||
| 1i | Elect Director Susan C. Schwab | For | For | Management | ||||
| 1j | Elect Director Ronald A. Williams | For | For | Management | ||||
| 1k | Elect Director Mike S. Zafirovski | For | For | Management | ||||
| 2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
| 3 | Ratify Auditors | For | For | Management | ||||
| 4 | Submit SERP to Shareholder Vote | Against | For | Shareholder | ||||
| 5 | Provide Right to Act by Written Consent | Against | For | Shareholder | ||||
| 6 | Stock Retention/Holding Period | Against | For | Shareholder | ||||
| 7 | Require Independent Board Chairman | Against | For | Shareholder |
THE COCA-COLA COMPANY
| Ticker: | KO | Security ID: | 191216100 | |||
| Meeting Date: | JUL 10, 2012 | Meeting Type: | Special | |||
| Record Date: | MAY 21, 2012 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1 | Approve Stock Split | For | For | Management |
THE COCA-COLA COMPANY
| Ticker: | KO | Security ID: | 191216100 | |||
| Meeting Date: | APR 24, 2013 | Meeting Type: | Annual | |||
| Record Date: | FEB 25, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1.1 | Elect Director Herbert A. Allen | For | For | Management | ||||
| 1.2 | Elect Director Ronald W. Allen | For | Against | Management | ||||
| 1.3 | Elect Director Howard G. Buffett | For | For | Management | ||||
| 1.4 | Elect Director Richard M. Daley | For | For | Management | ||||
| 1.5 | Elect Director Barry Diller | For | For | Management | ||||
| 1.6 | Elect Director Helene D. Gayle | For | For | Management | ||||
| 1.7 | Elect Director Evan G. Greenberg | For | For | Management | ||||
| 1.8 | Elect Director Alexis M. Herman | For | For | Management | ||||
| 1.9 | Elect Director Muhtar Kent | For | For | Management | ||||
| 1.10 | Elect Director Robert A. Kotick | For | For | Management | ||||
| 1.11 | Elect Director Maria Elena Lagomasino | For | For | Management | ||||
| 1.12 | Elect Director Donald F. McHenry | For | For | Management | ||||
| 1.13 | Elect Director Sam Nunn | For | For | Management |
Page 11
| 1.14 | Elect Director James D. Robinson, III | For | For | Management | ||||
| 1.15 | Elect Director Peter V. Ueberroth | For | For | Management | ||||
| 1.16 | Elect Director Jacob Wallenberg | For | For | Management | ||||
| 2 | Ratify Auditors | For | For | Management | ||||
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | Against | Management | ||||
| 4 | Provide Right to Call Special Meeting | For | For | Management | ||||
| 5 | Establish Board Committee on Human Rights | Against | Against | Shareholder |
THE HOME DEPOT, INC.
| Ticker: | HD | Security ID: | 437076102 | |||
| Meeting Date: | MAY 23, 2013 | Meeting Type: | Annual | |||
| Record Date: | MAR 25, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1a | Elect Director F. Duane Ackerman | For | For | Management | ||||
| 1b | Elect Director Francis S. Blake | For | For | Management | ||||
| 1c | Elect Director Ari Bousbib | For | For | Management | ||||
| 1d | Elect Director Gregory D. Brenneman | For | For | Management | ||||
| 1e | Elect Director J. Frank Brown | For | For | Management | ||||
| 1f | Elect Director Albert P. Carey | For | For | Management | ||||
| 1g | Elect Director Armando Codina | For | For | Management | ||||
| 1h | Elect Director Bonnie G. Hill | For | For | Management | ||||
| 1i | Elect Director Karen L. Katen | For | For | Management | ||||
| 1j | Elect Director Mark Vadon | For | For | Management | ||||
| 2 | Ratify Auditors | For | For | Management | ||||
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
| 4 | Approve Executive Incentive Bonus Plan | For | For | Management | ||||
| 5 | Amend Omnibus Stock Plan | For | For | Management | ||||
| 6 | Prepare Employment Diversity Report | Against | For | Shareholder | ||||
| 7 | Adopt Stormwater Run-off Management Policy | Against | Against | Shareholder |
THE PROCTER & GAMBLE COMPANY
| Ticker: | PG | Security ID: | 742718109 | |||
| Meeting Date: | OCT 09, 2012 | Meeting Type: | Annual | |||
| Record Date: | AUG 10, 2012 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1.1 | Elect Director Angela F. Braly | For | For | Management | ||||
| 1.2 | Elect Director Kenneth I. Chenault | For | For | Management | ||||
| 1.3 | Elect Director Scott D. Cook | For | For | Management | ||||
| 1.4 | Elect Director Susan Desmond-Hellmann | For | For | Management | ||||
| 1.5 | Elect Director Robert A. McDonald | For | For | Management | ||||
| 1.6 | Elect Director W. James McNerney, Jr. | For | For | Management | ||||
| 1.7 | Elect Director Johnathan A. Rodgers | For | For | Management | ||||
| 1.8 | Elect Director Margaret C. Whitman | For | For | Management | ||||
| 1.9 | Elect Director Mary Agnes Wilderotter | For | For | Management | ||||
| 1.10 | Elect Director Patricia A. Woertz | For | For | Management | ||||
| 1.11 | Elect Director Ernesto Zedillo | For | For | Management | ||||
| 2 | Ratify Auditors | For | For | Management | ||||
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management |
Page 12
| 4 | Adopt Proxy Statement Reporting on Political Contributions and Advisory Vote | Against | Against | Shareholder | ||||
| 5 | Report on Adopting Extended Producer Responsibility Policy | Against | Against | Shareholder | ||||
| 6 | Reduce Supermajority Vote Requirement | Against | For | Shareholder |
THE TRAVELERS COMPANIES, INC.
| Ticker: | TRV | Security ID: | 89417E109 | |||
| Meeting Date: | MAY 22, 2013 | Meeting Type: | Annual | |||
| Record Date: | MAR 25, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1a | Elect Director Alan L. Beller | For | For | Management | ||||
| 1b | Elect Director John H. Dasburg | For | For | Management | ||||
| 1c | Elect Director Janet M. Dolan | For | For | Management | ||||
| 1d | Elect Director Kenneth M. Duberstein | For | For | Management | ||||
| 1e | Elect Director Jay S. Fishman | For | For | Management | ||||
| 1f | Elect Director Patricia L. Higgins | For | For | Management | ||||
| 1g | Elect Director Thomas R. Hodgson | For | For | Management | ||||
| 1h | Elect Director William J. Kane | For | For | Management | ||||
| 1i | Elect Director Cleve L. Killingsworth, Jr. | For | For | Management | ||||
| 1j | Elect Director Donald J. Shepard | For | For | Management | ||||
| 1k | Elect Director Laurie J. Thomsen | For | For | Management | ||||
| 2 | Ratify Auditors | For | For | Management | ||||
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
| 4 | Authorize New Class of Preferred Stock | For | For | Management | ||||
| 5 | Report on Political Contributions | Against | For | Shareholder |
THE WALT DISNEY COMPANY
| Ticker: | DIS | Security ID: | 254687106 | |||
| Meeting Date: | MAR 06, 2013 | Meeting Type: | Annual | |||
| Record Date: | JAN 07, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1.a | Elect Director Susan E. Arnold | For | For | Management | ||||
| 1.b | Elect Director John S. Chen | For | For | Management | ||||
| 1.c | Elect Director Judith L. Estrin | For | For | Management | ||||
| 1.d | Elect Director Robert A. Iger | For | For | Management | ||||
| 1.e | Elect Director Fred H. Langhammer | For | For | Management | ||||
| 1.f | Elect Director Aylwin B. Lewis | For | For | Management | ||||
| 1.g | Elect Director Monica C. Lozano | For | For | Management | ||||
| 1.h | Elect Director Robert W. Matschullat | For | For | Management | ||||
| 1.i | Elect Director Sheryl K. Sandberg | For | For | Management | ||||
| 1.j | Elect Director Orin C. Smith | For | For | Management | ||||
| 2 | Ratify Auditors | For | For | Management | ||||
| 3 | Amend Executive Incentive Bonus Plan | For | For | Management | ||||
| 4 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | Against | Management | ||||
| 5 | Adopt Proxy Access Right | Against | For | Shareholder | ||||
| 6 | Require Independent Board Chairman | Against | For | Shareholder |
Page 13
UNITED TECHNOLOGIES CORPORATION
| Ticker: | UTX | Security ID: | 913017109 | |||
| Meeting Date: | APR 29, 2013 | Meeting Type: | Annual | |||
| Record Date: | MAR 01, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1a | Elect Director Louis R. Chenevert | For | For | Management | ||||
| 1b | Elect Director John V. Faraci | For | For | Management | ||||
| 1c | Elect Director Jean-Pierre Garnier | For | For | Management | ||||
| 1d | Elect Director Jamie S. Gorelick | For | For | Management | ||||
| 1e | Elect Director Edward A. Kangas | For | For | Management | ||||
| 1f | Elect Director Ellen J. Kullman | For | For | Management | ||||
| 1g | Elect Director Marshall O. Larsen | For | For | Management | ||||
| 1h | Elect Director Harold McGraw, III | For | For | Management | ||||
| 1i | Elect Director Richard B. Myers | For | For | Management | ||||
| 1j | Elect Director H. Patrick Swygert | For | For | Management | ||||
| 1k | Elect Director Andre Villeneuve | For | For | Management | ||||
| 1l | Elect Director Christine Todd Whitman | For | For | Management | ||||
| 2 | Ratify Auditors | For | For | Management | ||||
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management |
UNITEDHEALTH GROUP INCORPORATED
| Ticker: | UNH | Security ID: | 91324P102 | |||
| Meeting Date: | JUN 03, 2013 | Meeting Type: | Annual | |||
| Record Date: | APR 05, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1a | Elect Director William C. Ballard, Jr. | For | For | Management | ||||
| 1b | Elect Director Edson Bueno | For | For | Management | ||||
| 1c | Elect Director Richard T. Burke | For | For | Management | ||||
| 1d | Elect Director Robert J. Darretta | For | For | Management | ||||
| 1e | Elect Director Stephen J. Hemsley | For | For | Management | ||||
| 1f | Elect Director Michele J. Hooper | For | For | Management | ||||
| 1g | Elect Director Rodger A. Lawson | For | For | Management | ||||
| 1h | Elect Director Douglas W. Leatherdale | For | For | Management | ||||
| 1i | Elect Director Glenn M. Renwick | For | For | Management | ||||
| 1j | Elect Director Kenneth I. Shine | For | For | Management | ||||
| 1k | Elect Director Gail R. Wilensky | For | For | Management | ||||
| 2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
| 3 | Ratify Auditors | For | For | Management | ||||
| 4 | Report on Lobbying Payments and Policy | Against | For | Shareholder |
VERIZON COMMUNICATIONS INC.
| Ticker: | VZ | Security ID: | 92343V104 | |||
| Meeting Date: | MAY 02, 2013 | Meeting Type: | Annual | |||
| Record Date: | MAR 04, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1.1 | Elect Director Richard L. Carrion | For | For | Management | ||||
| 1.2 | Elect Director Melanie L. Healey | For | For | Management |
Page 14
| 1.3 | Elect Director M. Frances Keeth | For | For | Management | ||||
| 1.4 | Elect Director Robert W. Lane | For | For | Management | ||||
| 1.5 | Elect Director Lowell C. McAdam | For | For | Management | ||||
| 1.6 | Elect Director Sandra O. Moose | For | For | Management | ||||
| 1.7 | Elect Director Joseph Neubauer | For | For | Management | ||||
| 1.8 | Elect Director Donald T. Nicolaisen | For | For | Management | ||||
| 1.9 | Elect Director Clarence Otis, Jr. | For | For | Management | ||||
| 1.10 | Elect Director Hugh B. Price | For | For | Management | ||||
| 1.11 | Elect Director Rodney E. Slater | For | For | Management | ||||
| 1.12 | Elect Director Kathryn A. Tesija | For | For | Management | ||||
| 1.13 | Elect Director Gregory D. Wasson | For | For | Management | ||||
| 2 | Ratify Auditors | For | For | Management | ||||
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
| 4 | Amend Omnibus Stock Plan | For | For | Management | ||||
| 5 | Commit to Wireless Network Neutrality | Against | For | Shareholder | ||||
| 6 | Report on Lobbying Payments and Policy | Against | For | Shareholder | ||||
| 7 | Adopt Proxy Access Right | Against | For | Shareholder | ||||
| 8 | Submit Severance Agreement (Change-in-Control) to Shareholder Vote | Against | For | Shareholder | ||||
| 9 | Amend Articles/Bylaws/Charter- Call Special Meetings | Against | For | Shareholder | ||||
| 10 | Provide Right to Act by Written Consent | Against | For | Shareholder |
WAL-MART STORES, INC.
| Ticker: | WMT | Security ID: | 931142103 | |||
| Meeting Date: | JUN 07, 2013 | Meeting Type: | Annual | |||
| Record Date: | APR 11, 2013 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
| 1a | Elect Director Aida M. Alvarez | For | For | Management | ||||
| 1b | Elect Director James I. Cash, Jr. | For | For | Management | ||||
| 1c | Elect Director Roger C. Corbett | For | For | Management | ||||
| 1d | Elect Director Douglas N. Daft | For | For | Management | ||||
| 1e | Elect Director Michael T. Duke | For | Against | Management | ||||
| 1f | Elect Director Timothy P. Flynn | For | For | Management | ||||
| 1g | Elect Director Marissa A. Mayer | For | For | Management | ||||
| 1h | Elect Director Gregory B. Penner | For | For | Management | ||||
| 1i | Elect Director Steven S. Reinemund | For | For | Management | ||||
| 1j | Elect Director H. Lee Scott, Jr. | For | For | Management | ||||
| 1k | Elect Director Jim C. Walton | For | For | Management | ||||
| 1l | Elect Director S. Robson Walton | For | Against | Management | ||||
| 1m | Elect Director Christopher J. Williams | For | Against | Management | ||||
| 1n | Elect Director Linda S. Wolf | For | For | Management | ||||
| 2 | Ratify Auditors | For | For | Management | ||||
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
| 4 | Amend Executive Incentive Bonus Plan | For | For | Management | ||||
| 5 | Amend Bylaws — Call Special Meetings | Against | For | Shareholder | ||||
| 6 | Stock Retention/Holding Period | Against | For | Shareholder | ||||
| 7 | Require Independent Board Chairman | Against | For | Shareholder | ||||
| 8 | Disclosure of Recoupment Activity from Senior Officers | Against | For | Shareholder |
Page 15
SIGNATURES:
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Dow 30 Premium & Dividend Income Fund Inc.
| By | /s/ Gifford R. Zimmerman | |
| Gifford R. Zimmerman – Chief Administrative Officer | ||
| Date | ||
August 19, 2013