Dow 30 Premium & Dividend Income Fund (XDPDX) Inactive
Filed: 21 Aug 14, 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, 2014
Item 1. Proxy Voting Record
Dow 30 Premium & Dividend Income Fund
3M COMPANY
| Ticker: | MMM | Security ID: | 88579Y101 | |||
| Meeting Date: | MAY 13, 2014 | Meeting Type: | Annual | |||
| Record Date: | MAR 14, 2014 |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1a | Elect Director Linda G. Alvarado | For | For | Management | ||||
1b | Elect Director Thomas ‘Tony’ K. Brown | For | For | Management | ||||
1c | Elect Director Vance D. Coffman | For | For | Management | ||||
1d | Elect Director Michael L. Eskew | 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 Inge G. Thulin | For | For | Management | ||||
1i | 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 |
AMERICAN EXPRESS COMPANY
| Ticker: | AXP | Security ID: | 025816109 | |||
| Meeting Date: | MAY 12, 2014 | Meeting Type: | Annual | |||
| Record Date: | MAR 14, 2014 |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1a | Elect Director Charlene Barshefsky | For | For | Management | ||||
1b | Elect Director Ursula M. Burns | For | For | Management | ||||
1c | Elect Director Kenneth I. Chenault | For | For | Management | ||||
1d | Elect Director Peter Chernin | For | For | Management | ||||
1e | Elect Director Anne Lauvergeon | For | For | Management | ||||
1f | Elect Director Theodore J. Leonsis | For | For | Management | ||||
1g | Elect Director Richard C. Levin | For | For | Management | ||||
1h | Elect Director Richard A. McGinn | For | For | Management | ||||
1i | Elect Director Samuel J. Palmisano | For | For | Management | ||||
1j | Elect Director Steven S Reinemund | For | For | Management | ||||
1k | Elect Director Daniel L. Vasella | For | For | Management | ||||
1l | Elect Director Robert D. Walter | For | For | Management | ||||
1m | 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 | Prepare Employment Diversity Report | Against | For | Shareholder | ||||
5 | Report on Board Oversight of Privacy and Data Security and Requests for Customer Information | Against | For | Shareholder | ||||
6 | Provide Right to Act by Written Consent | Against | For | Shareholder | ||||
7 | Stock Retention/Holding Period | Against | For | Shareholder |
Page 1
AT&T INC.
| Ticker: | T | Security ID: | 00206R102 | |||
| Meeting Date: | APR 25, 2014 | Meeting Type: | Annual | |||
| Record Date: | FEB 26, 2014 |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Randall L. Stephenson | For | For | Management | ||||
1.2 | Elect Director Reuben V. Anderson | For | For | Management | ||||
1.3 | Elect Director Jaime Chico Pardo | For | For | Management | ||||
1.4 | Elect Director Scott T. Ford | For | For | Management | ||||
1.5 | Elect Director James P. Kelly | For | For | Management | ||||
1.6 | Elect Director Jon C. Madonna | For | For | Management | ||||
1.7 | Elect Director Michael B. McCallister | For | For | Management | ||||
1.8 | Elect Director John B. McCoy | For | For | Management | ||||
1.9 | Elect Director Beth E. Mooney | For | For | Management | ||||
1.10 | Elect Director Joyce M. Roche | For | For | Management | ||||
1.11 | Elect Director Matthew K. Rose | For | For | Management | ||||
1.12 | Elect Director Cynthia B. Taylor | 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 | Approve Severance Agreements/Change-in-Control Agreements | For | For | Management | ||||
5 | Report on Indirect Political Contributions | Against | For | Shareholder | ||||
6 | Report on Lobbying Payments and Policy | Against | For | Shareholder | ||||
7 | Lower Ownership Threshold for Action by Written Consent | Against | For | Shareholder |
CATERPILLAR INC.
| Ticker: | CAT | Security ID: | 149123101 | |||
| Meeting Date: | JUN 11, 2014 | Meeting Type: | Annual | |||
| Record Date: | APR 14, 2014 |
| # | 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 Jesse J. Greene, Jr. | For | For | Management | ||||
1.5 | Elect Director Jon M. Huntsman, Jr. | For | For | Management | ||||
1.6 | Elect Director Peter A. Magowan | For | For | Management | ||||
1.7 | Elect Director Dennis A. Muilenburg | For | For | Management | ||||
1.8 | Elect Director Douglas R. Oberhelman | For | For | Management | ||||
1.9 | Elect Director William A. Osborn | For | For | Management | ||||
1.10 | Elect Director Edward B. Rust, Jr. | For | For | Management | ||||
1.11 | Elect Director Susan C. Schwab | For | For | Management | ||||
1.12 | 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 | Approve Omnibus Stock Plan | For | For | Management | ||||
5 | Approve Executive Incentive Bonus Plan | For | For | Management | ||||
6 | Review and Amend Human Rights Policies | Against | For | Shareholder | ||||
7 | Report on Controls to Ensure no Sales to Sudan | Against | For | Shareholder | ||||
8 | Provide for Cumulative Voting | Against | For | Shareholder |
Page 2
CHEVRON CORPORATION
| Ticker: | CVX | Security ID: | 166764100 | |||
| Meeting Date: | MAY 28, 2014 | Meeting Type: | Annual | |||
| Record Date: | APR 02, 2014 |
| # | 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 Jon M. Huntsman, Jr. | For | For | Management | ||||
1f | Elect Director George L. Kirkland | For | For | Management | ||||
1g | Elect Director Charles W. Moorman, IV | For | For | Management | ||||
1h | Elect Director Kevin W. Sharer | For | For | Management | ||||
1i | Elect Director John G. Stumpf | For | For | Management | ||||
1j | Elect Director Ronald D. Sugar | For | For | Management | ||||
1k | Elect Director Carl Ware | For | For | Management | ||||
1l | 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 | Report on Charitable Contributions | Against | Against | Shareholder | ||||
5 | Report on Lobbying Payments and Policy | Against | For | Shareholder | ||||
6 | Report on Management of Hydraulic Fracturing Risks and Opportunities | Against | For | Shareholder | ||||
7 | Require Independent Board Chairman | Against | Against | Shareholder | ||||
8 | Amend Bylaws — Call Special Meetings | Against | For | Shareholder | ||||
9 | Require Director Nominee with Environmental Experience | Against | For | Shareholder | ||||
10 | Adopt Guidelines for Country Selection | Against | For | Shareholder |
Page 3
CISCO SYSTEMS, INC.
| Ticker: | CSCO | Security ID: | 17275R102 | |||
| Meeting Date: | NOV 19, 2013 | Meeting Type: | Annual | |||
| Record Date: | SEP 20, 2013 |
| # | 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 Gregory Q. Brown | For | For | Management | ||||
1d | Elect Director M. Michele Burns | For | For | Management | ||||
1e | Elect Director Michael D. Capellas | 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 Roderick C. McGeary | For | For | Management | ||||
1k | Elect Director Arun Sarin | For | For | Management | ||||
1l | Elect Director Steven M. West | For | For | Management | ||||
2 | Amend Omnibus Stock Plan | For | For | Management | ||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
4 | Ratify Auditors | For | For | Management | ||||
5 | Approve Proxy Advisor Competition | Against | Against | Shareholder |
E. I. DU PONT DE NEMOURS AND COMPANY
| Ticker: | DD | Security ID: | 263534109 | |||
| Meeting Date: | APR 23, 2014 | Meeting Type: | Annual | |||
| Record Date: | FEB 26, 2014 |
| # | 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 | ||||
1l | Elect Director Patrick J. Ward | For | For | Management | ||||
2 | Ratify Auditors | For | For | Management | ||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
4 | Prohibit Political Contributions | Against | Against | Shareholder | ||||
5 | Report on Herbicide Use on GMO Crops | Against | Against | Shareholder | ||||
6 | Establish Committee on Plant Closures | Against | Against | Shareholder | ||||
7 | Pro-rata Vesting of Equity Awards | Against | For | Shareholder |
Page 4
EXXON MOBIL CORPORATION
| Ticker: | XOM | Security ID: | 30231G102 | |||
| Meeting Date: | MAY 28, 2014 | Meeting Type: | Annual | |||
| Record Date: | APR 04, 2014 |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Michael J. Boskin | For | For | Management | ||||
1.2 | Elect Director Peter Brabeck-Letmathe | For | For | Management | ||||
1.3 | Elect Director Ursula M. Burns | For | For | Management | ||||
1.4 | Elect Director Larry R. Faulkner | For | For | Management | ||||
1.5 | Elect Director Jay S. Fishman | For | For | Management | ||||
1.6 | Elect Director Henrietta H. Fore | For | For | Management | ||||
1.7 | Elect Director Kenneth C. Frazier | For | For | Management | ||||
1.8 | Elect Director William W. George | 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 Rex W. Tillerson | For | For | Management | ||||
1.12 | Elect Director William C. Weldon | 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 | Limit Directors to a Maximum of Three Board Memberships in Companies with Sales over $500 Million Annually | Against | Against | Shareholder | ||||
6 | Amend EEO Policy to Prohibit Discrimination Based on Sexual Orientation and Gender Identity | Against | Against | Shareholder | ||||
7 | Report on Lobbying Payments and Policy | Against | For | Shareholder | ||||
8 | Adopt Quantitative GHG Goals for Products and Operations | Against | For | Shareholder |
GENERAL ELECTRIC COMPANY
| Ticker: | GE | Security ID: | 369604103 | |||
| Meeting Date: | APR 23, 2014 | Meeting Type: | Annual | |||
| Record Date: | FEB 24, 2014 |
| # | 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 J. 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 Rochelle B. Lazarus | For | For | Management | ||||
12 | Elect Director James J. Mulva | For | For | Management | ||||
13 | Elect Director James E. Rohr | 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 | Provide for Cumulative Voting | Against | For | Shareholder | ||||
21 | Stock Retention/Holding Period | Against | Against | Shareholder | ||||
22 | Require More Director Nominations Than Open Seats | Against | Against | Shareholder | ||||
23 | Provide Right to Act by Written Consent | Against | Against | Shareholder | ||||
24 | Cessation of All Stock Options and Bonuses | Against | Against | Shareholder | ||||
25 | Seek Sale of Company | Against | Against | Shareholder |
Page 5
INTEL CORPORATION
| Ticker: | INTC | Security ID: | 458140100 | |||
| Meeting Date: | MAY 22, 2014 | Meeting Type: | Annual | |||
| Record Date: | MAR 24, 2014 |
| # | 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 Brian M. Krzanich | For | For | Management | ||||
1g | Elect Director James D. Plummer | For | For | Management | ||||
1h | Elect Director David S. Pottruck | For | For | Management | ||||
1i | Elect Director Frank D. Yeary | For | For | Management | ||||
1j | Elect Director David B. Yoffie | For | For | Management | ||||
2 | Ratify Auditors | For | For | Management | ||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management |
Page 6
INTERNATIONAL BUSINESS MACHINES CORPORATION
| Ticker: | IBM | Security ID: | 459200101 | |||
| Meeting Date: | APR 29, 2014 | Meeting Type: | Annual | |||
| Record Date: | FEB 28, 2014 |
| # | 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 | ||||
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 | Amend Executive Incentive Bonus Plan | For | For | Management | ||||
5 | Approve Qualified Employee Stock Purchase Plan | For | For | Management | ||||
6 | Report on Lobbying Payments and Policy | Against | For | Shareholder | ||||
7 | Provide Right to Act by Written Consent | Against | For | Shareholder | ||||
8 | Pro-rata Vesting of Equity Awards | Against | For | Shareholder |
JOHNSON & JOHNSON
| Ticker: | JNJ | Security ID: | 478160104 | |||
| Meeting Date: | APR 24, 2014 | Meeting Type: | Annual | |||
| Record Date: | FEB 25, 2014 |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1a | Elect Director Mary Sue Coleman | For | For | Management | ||||
1b | Elect Director James G. Cullen | For | For | Management | ||||
1c | Elect Director Ian E. L. Davis | For | For | Management | ||||
1d | Elect Director Alex Gorsky | For | For | Management | ||||
1e | Elect Director Susan L. Lindquist | For | For | Management | ||||
1f | Elect Director Mark B. McClellan | For | For | Management | ||||
1g | Elect Director Anne M. Mulcahy | For | For | Management | ||||
1h | Elect Director Leo F. Mullin | For | For | Management | ||||
1i | Elect Director William D. Perez | For | For | Management | ||||
1j | Elect Director Charles Prince | For | For | Management | ||||
1k | Elect Director A. Eugene Washington | For | For | Management | ||||
1l | 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 |
Page 7
JPMORGAN CHASE & CO.
| Ticker: | JPM | Security ID: | 46625H100 | |||
| Meeting Date: | MAY 20, 2014 | Meeting Type: | Annual | |||
| Record Date: | MAR 21, 2014 |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1a | Elect Director Linda B. Bammann | For | For | Management | ||||
1b | Elect Director James A. Bell | For | For | Management | ||||
1c | Elect Director Crandall C. Bowles | For | For | Management | ||||
1d | Elect Director Stephen B. Burke | For | For | Management | ||||
1e | Elect Director James S. Crown | For | For | Management | ||||
1f | Elect Director James Dimon | For | For | Management | ||||
1g | Elect Director Timothy P. Flynn | For | For | Management | ||||
1h | Elect Director Laban P. Jackson, Jr. | For | For | Management | ||||
1i | Elect Director Michael A. Neal | For | For | Management | ||||
1j | Elect Director Lee R. Raymond | For | For | Management | ||||
1k | Elect Director William C. Weldon | 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 | Against | Shareholder | ||||
5 | Amend Articles/Bylaws/Charter — Call Special Meetings | Against | For | Shareholder | ||||
6 | Provide for Cumulative Voting | Against | For | Shareholder |
MCDONALD’S CORPORATION
| Ticker: | MCD | Security ID: | 580135101 | |||
| Meeting Date: | MAY 22, 2014 | Meeting Type: | Annual | |||
| Record Date: | MAR 24, 2014 |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1a | Elect Director Susan E. Arnold | For | For | Management | ||||
1b | ElectionElect Director Richard H. Lenny | For | For | Management | ||||
1c | Elect Director Walter E. Massey | For | For | Management | ||||
1d | Elect Director Cary D. McMillan | For | For | Management | ||||
1e | Elect Director Sheila A. Penrose | For | For | Management | ||||
1f | Elect Director John W. Rogers, Jr. | For | For | Management | ||||
1g | Elect Director Roger W. Stone | For | For | Management | ||||
1h | Elect Director Miles D. White | For | For | Management | ||||
2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
3 | Amend Executive Incentive Bonus Plan | For | For | Management | ||||
4 | Ratify Auditors | For | For | Management | ||||
5 | Provide Right to Act by Written Consent | Against | For | Shareholder |
Page 8
MERCK & CO., INC.
| Ticker: | MRK | Security ID: | 58933Y105 | |||
| Meeting Date: | MAY 27, 2014 | Meeting Type: | Annual | |||
| Record Date: | MAR 31, 2014 |
| # | 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 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
3 | Ratify Auditors | For | For | Management | ||||
4 | Provide Right to Act by Written Consent | Against | For | Shareholder | ||||
5 | Amend Articles/Bylaws/Charter — Call Special Meetings | Against | For | Shareholder |
MICROSOFT CORPORATION
| Ticker: | MSFT | Security ID: | 594918104 | |||
| Meeting Date: | NOV 19, 2013 | Meeting Type: | Annual | |||
| Record Date: | SEP 13, 2013 |
| # | 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 | 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 | Amend Executive Incentive Bonus Plan | For | For | Management | ||||
11 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
12 | Ratify Auditors | For | For | Management |
Page 9
PFIZER INC.
| Ticker: | PFE | Security ID: | 717081103 | |||
| Meeting Date: | APR 24, 2014 | Meeting Type: | Annual | |||
| Record Date: | FEB 26, 2014 |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Dennis A. Ausiello | For | For | Management | ||||
1.2 | Elect Director W. Don Cornwell | For | For | Management | ||||
1.3 | Elect Director Frances D. Fergusson | For | For | Management | ||||
1.4 | Elect Director Helen H. Hobbs | For | For | Management | ||||
1.5 | Elect Director Constance J. Horner | For | For | Management | ||||
1.6 | Elect Director James M. Kilts | For | For | Management | ||||
1.7 | Elect Director George A. Lorch | For | For | Management | ||||
1.8 | Elect Director Shantanu Narayen | For | For | Management | ||||
1.9 | Elect Director Suzanne Nora Johnson | For | For | Management | ||||
1.10 | Elect Director Ian C. Read | For | For | Management | ||||
1.11 | Elect Director Stephen W. Sanger | For | For | Management | ||||
1.12 | 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 | Approve Omnibus Stock Plan | For | For | Management | ||||
5 | Require Shareholder Vote to Approve Political Contributions Policy | Against | Against | Shareholder | ||||
6 | Review and Assess Membership of Lobbying Organizations | Against | Against | Shareholder | ||||
7 | Provide Right to Act by Written Consent | Against | For | Shareholder |
THE BOEING COMPANY
| Ticker: | BA | Security ID: | 097023105 | |||
| Meeting Date: | APR 28, 2014 | Meeting Type: | Annual | |||
| Record Date: | FEB 27, 2014 |
| # | 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 | Amend Omnibus Stock Plan | For | For | Management | ||||
4 | Ratify Auditors | For | For | Management | ||||
5 | Report on Lobbying Payments and Policy | Against | For | Shareholder | ||||
6 | Provide Right to Act by Written Consent | Against | For | Shareholder | ||||
7 | Require Independent Board Chairman | Against | Against | Shareholder |
Page 10
THE COCA-COLA COMPANY
| Ticker: | KO | Security ID: | 191216100 | |||
| Meeting Date: | APR 23, 2014 | Meeting Type: | Annual | |||
| Record Date: | FEB 24, 2014 |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Herbert A. Allen | For | For | Management | ||||
1.2 | Elect Director Ronald W. Allen | For | For | Management | ||||
1.3 | Elect Director Ana Botin | For | For | Management | ||||
1.4 | Elect Director Howard G. Buffett | For | For | Management | ||||
1.5 | Elect Director Richard M. Daley | For | For | Management | ||||
1.6 | Elect Director Barry Diller | For | For | Management | ||||
1.7 | Elect Director Helene D. Gayle | For | For | Management | ||||
1.8 | Elect Director Evan G. Greenberg | For | For | Management | ||||
1.9 | Elect Director Alexis M. Herman | For | For | Management | ||||
1.10 | Elect Director Muhtar Kent | For | For | Management | ||||
1.11 | Elect Director Robert A. Kotick | For | For | Management | ||||
1.12 | Elect Director Maria Elena Lagomasino | For | For | Management | ||||
1.13 | Elect Director Sam Nunn | For | For | Management | ||||
1.14 | Elect Director James D. Robinson, III | For | For | Management | ||||
1.15 | Elect Director Peter V. Ueberroth | For | For | Management | ||||
2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
3 | Approve Omnibus Stock Plan | For | For | Management | ||||
4 | Ratify Auditors | For | For | Management | ||||
5 | Require Independent Board Chairman | Against | For | Shareholder |
THE GOLDMAN SACHS GROUP, INC.
| Ticker: | GS | Security ID: | 38141G104 | |||
| Meeting Date: | MAY 16, 2014 | Meeting Type: | Annual | |||
| Record Date: | MAR 17, 2014 |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1a | Elect Director Lloyd C. Blankfein | For | For | Management | ||||
1b | Elect Director M. Michele Burns | For | For | Management | ||||
1c | Elect Director Gary D. Cohn | For | For | Management | ||||
1d | Elect Director Claes Dahlback | For | For | Management | ||||
1e | Elect Director William W. George | For | For | Management | ||||
1f | Elect Director James A. Johnson | For | For | Management | ||||
1g | Elect Director Lakshmi N. Mittal | For | For | Management | ||||
1h | Elect Director Adebayo O. Ogunlesi | For | For | Management | ||||
1i | Elect Director Peter Oppenheimer | For | For | Management | ||||
1j | Elect Director James J. Schiro | For | For | Management | ||||
1k | Elect Director Debora L. Spar | For | For | Management | ||||
1l | Elect Director Mark E. Tucker | For | For | Management | ||||
1m | Elect Director David A. Viniar | For | For | Management | ||||
2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
3 | Ratify Auditors | For | For | Management | ||||
4 | Adopt Proxy Access Right | Against | Against | Shareholder |
Page 11
THE HOME DEPOT, INC.
| Ticker: | HD | Security ID: | 437076102 | |||
| Meeting Date: | MAY 22, 2014 | Meeting Type: | Annual | |||
| Record Date: | MAR 24, 2014 |
| # | 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 Helena B. Foulkes | For | For | Management | ||||
1i | Elect Director Wayne M. Hewett | For | For | Management | ||||
1j | Elect Director Karen L. Katen | For | For | Management | ||||
1k | 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 | Amend Bylaws — Call Special Meetings | Against | For | Shareholder | ||||
5 | Prepare Employment Diversity Report | Against | For | Shareholder |
THE PROCTER & GAMBLE COMPANY
| Ticker: | PG | Security ID: | 742718109 | |||
| Meeting Date: | OCT 08, 2013 | Meeting Type: | Annual | |||
| Record Date: | AUG 09, 2013 |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1a | Elect Director Angela F. Braly | For | For | Management | ||||
1b | Elect Director Kenneth I. Chenault | For | For | Management | ||||
1c | Elect Director Scott D. Cook | For | For | Management | ||||
1d | Elect Director Susan Desmond-Hellmann | For | For | Management | ||||
1e | Elect Director A.G. Lafley | For | For | Management | ||||
1f | Elect Director Terry J. Lundgren | For | For | Management | ||||
1g | Elect Director W. James McNerney, Jr. | For | For | Management | ||||
1h | Elect Director Margaret C. Whitman | For | For | Management | ||||
1i | Elect Director Mary Agnes Wilderotter | For | For | Management | ||||
1j | Elect Director Patricia A. Woertz | For | For | Management | ||||
1k | Elect Director Ernesto Zedillo | For | For | Management | ||||
2 | Ratify Auditors | For | For | Management | ||||
3 | Reduce Supermajority Vote Requirement | For | For | Management | ||||
4 | Approve Non-Employee Director Omnibus Stock Plan | For | For | Management | ||||
5 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management |
Page 12
THE TRAVELERS COMPANIES, INC.
| Ticker: | TRV | Security ID: | 89417E109 | |||
| Meeting Date: | MAY 27, 2014 | Meeting Type: | Annual | |||
| Record Date: | MAR 31, 2014 |
| # | 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 Philip T. (Pete) Ruegger, III | For | For | Management | ||||
1k | Elect Director Donald J. Shepard | For | For | Management | ||||
1l | 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 | Approve Omnibus Stock Plan | For | For | Management | ||||
5 | Report on Political Contributions | Against | For | Shareholder |
THE WALT DISNEY COMPANY
| Ticker: | DIS | Security ID: | 254687106 | |||
| Meeting Date: | MAR 18, 2014 | Meeting Type: | Annual | |||
| Record Date: | JAN 17, 2014 |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1a | Elect Director Susan E. Arnold | For | For | Management | ||||
1b | Elect Director John S. Chen | For | For | Management | ||||
1c | Elect Director Jack Dorsey | For | For | Management | ||||
1d | Elect Director Robert A. Iger | For | For | Management | ||||
1e | Elect Director Fred H. Langhammer | For | For | Management | ||||
1f | Elect Director Aylwin B. Lewis | For | For | Management | ||||
1g | Elect Director Monica C. Lozano | For | For | Management | ||||
1h | Elect Director Robert W. Matschullat | For | For | Management | ||||
1i | Elect Director Sheryl K. Sandberg | For | For | Management | ||||
1j | Elect Director Orin C. Smith | 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 Call Special Meeting | For | For | Management | ||||
5 | Adopt Proxy Access Right | Against | For | Shareholder | ||||
6 | Pro-rata Vesting of Equity Awards | Against | For | Shareholder |
Page 13
UNITED TECHNOLOGIES CORPORATION
| Ticker: | UTX | Security ID: | 913017109 | |||
| Meeting Date: | APR 28, 2014 | Meeting Type: | Annual | |||
| Record Date: | MAR 03, 2014 |
| # | 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 | Amend Omnibus Stock Plan | For | For | Management | ||||
4 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management |
UNITEDHEALTH GROUP INCORPORATED
| Ticker: | UNH | Security ID: | 91324P102 | |||
| Meeting Date: | JUN 02, 2014 | Meeting Type: | Annual | |||
| Record Date: | APR 04, 2014 |
| # | 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 Directo 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 | Provide for Cumulative Voting | Against | For | Shareholder | ||||
5 | Report on Lobbying Payments and Policy | Against | For | Shareholder |
Page 14
VERIZON COMMUNICATIONS INC.
| Ticker: | VZ | Security ID: | 92343V104 | |||
| Meeting Date: | JAN 28, 2014 | Meeting Type: | Special | |||
| Record Date: | DEC 09, 2013 |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1 | Issue Shares in Connection with Acquisition | For | For | Management | ||||
2 | Increase Authorized Common Stock | For | For | Management | ||||
3 | Adjourn Meeting | For | For | Management |
VERIZON COMMUNICATIONS INC.
| Ticker: | VZ | Security ID: | 92343V104 | |||
| Meeting Date: | MAY 01, 2014 | Meeting Type: | Annual | |||
| Record Date: | MAR 03, 2014 |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Shellye L. Archambeau | For | For | Management | ||||
1.2 | Elect Director Richard L. Carrion | For | For | Management | ||||
1.3 | Elect Director Melanie L. Healey | For | For | Management | ||||
1.4 | Elect Director M. Frances Keeth | For | For | Management | ||||
1.5 | Elect Director Robert W. Lane | For | For | Management | ||||
1.6 | Elect Director Lowell C. McAdam | For | For | Management | ||||
1.7 | Elect Director Donald T. Nicolaisen | For | For | Management | ||||
1.8 | Elect Director Clarence Otis, Jr. | For | For | Management | ||||
1.9 | Elect Director Rodney E. Slater | For | For | Management | ||||
1.10 | Elect Director Kathryn A. Tesija | For | For | Management | ||||
1.11 | 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 | Provide Proxy Access Right | For | For | Management | ||||
5 | Report on Net Neutrality | Against | For | Shareholder | ||||
6 | Report on Lobbying Payments and Policy | Against | For | Shareholder | ||||
7 | Submit Severance Agreement (Change-in-Control) to Shareholder Vote | Against | For | Shareholder | ||||
8 | Amend Articles/Bylaws/Charter — Call Special Meetings | Against | For | Shareholder | ||||
9 | Provide Right to Act by Written Consent | Against | For | Shareholder | ||||
10 | Approve Proxy Voting Authority | Against | Against | Shareholder |
Page 15
VISA INC.
| Ticker: | V | Security ID: | 92826C839 | |||
| Meeting Date: | JAN 29, 2014 | Meeting Type: | Annual | |||
| Record Date: | DEC 03, 2013 |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1a | Elect Director Mary B. Cranston | For | For | Management | ||||
1b | Elect Director Francisco Javier Fernandez-Carbajal | For | For | Management | ||||
1c | Elect Director Alfred F. Kelly, Jr. | For | For | Management | ||||
1d | Elect Director Robert W. Matschullat | For | For | Management | ||||
1e | Elect Director Cathy E. Minehan | For | For | Management | ||||
1f | Elect Director Suzanne Nora Johnson | For | For | Management | ||||
1g | Elect Director David J. Pang | For | For | Management | ||||
1h | Elect Director Charles W. Scharf | For | For | Management | ||||
1i | Elect Director William S. Shanahan | For | For | Management | ||||
1j | Elect Director John A. C. Swainson | For | For | Management | ||||
1k | Elect Director Maynard G. Webb, Jr. | For | For | Management | ||||
2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | ||||
3 | Ratify Auditors | For | For | Management |
WAL-MART STORES, INC.
| Ticker: | WMT | Security ID: | 931142103 | |||
| Meeting Date: | JUN 06, 2014 | Meeting Type: | Annual | |||
| Record Date: | APR 11, 2014 |
| # | 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 Pamela J. Craig | For | For | Management | ||||
1e | Elect Director Douglas N. Daft | For | For | Management | ||||
1f | Elect Director Michael T. Duke | For | Against | Management | ||||
1g | Elect Director Timothy P. Flynn | For | For | Management | ||||
1h | Elect Director Marissa A. Mayer | For | For | Management | ||||
1i | Elect Director C. Douglas McMillon | For | For | Management | ||||
1j | Elect Director Gregory B. Penner | For | For | Management | ||||
1k | Elect Director Steven S Reinemund | For | For | Management | ||||
1l | Elect Director Jim C. Walton | For | For | Management | ||||
1m | Elect Director S. Robson Walton | 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 | Against | Management | ||||
4 | Require Independent Board Chairman | Against | For | Shareholder | ||||
5 | Disclosure of Recoupment Activity from Senior Officers | Against | For | Shareholder | ||||
6 | Report on Lobbying Payments and Policy | Against | For | Shareholder |
Page 16
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 21, 2014