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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number: 811-22153
DUNHAM FUNDS
(Exact name of registrant as specified in charter)
10251 Vista Sorrento Parkway, Suite 200, San Diego, CA 92121
(Address of principal executive offices) (Zip code)
James Ash, Esq.
Gemini Fund Services, LLC
80 Arkay Drive, Suite 110, Hauppauge, NY 11788
(Name and address of agent for service)
Registrant's telephone number, including area code: 1-800-442-4358
Date of fiscal year end: October 31
Date of reporting period: July 1, 2012 – June 30, 2013
Registrant: Dunham Funds - Dunham High-Yield Bond Fund |
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Investment Company Act file number: 811-22153 |
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Reporting Period: July 1, 2012 through June 30, 2013 |
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ITEM 1- PROXY VOTING RECORD | |||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type (by issuer or shareholder) | (g) Voted | (h) How was vote cast (for or against proposal, or abstain; for or withhold regarding election of directors) | (i) Was Vote For or Against Management |
1 | There were no proxy votes to report during the Reporting Period. |
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Registrant: Dunham Funds - Dunham Large Cap Growth Fund | ||||||||||||||
Investment Company Act file number: 811-22153 | ||||||||||||||
| Reporting Period: July 1, 2012 through June 30, 2013 |
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| THE COCA-COLA COMPANY | |||||||||||||
| Security | 191216100 |
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| Meeting Type | Special | |||||||
| Ticker Symbol | KO |
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| Meeting Date | 10-Jul-2012 | |||||||
| ISIN | US1912161007 |
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| Agenda | 933646385 - Management | |||||||
| Record Date | 21-May-2012 |
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| Holding Recon Date | 21-May-2012 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 09-Jul-2012 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 01 | TO AMEND ARTICLE FOURTH OF THE | Management | For |
| For |
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| NETAPP, INC | |||||||||||||
| Security | 64110D104 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | NTAP |
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| Meeting Date | 31-Aug-2012 | |||||||
| ISIN | US64110D1046 |
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| Agenda | 933670350 - Management | |||||||
| Record Date | 11-Jul-2012 |
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| Holding Recon Date | 11-Jul-2012 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 30-Aug-2012 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1. | DIRECTOR | Management |
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| 1 | DANIEL J. WARMENHOVEN |
| For | For |
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| 2 | NICHOLAS G. MOORE |
| For | For |
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| 3 | THOMAS GEORGENS |
| For | For |
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| 4 | JEFFRY R. ALLEN |
| For | For |
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| 5 | ALAN L. EARHART |
| For | For |
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| 6 | GERALD HELD |
| For | For |
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| 7 | T. MICHAEL NEVENS |
| For | For |
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| 8 | GEORGE T. SHAHEEN |
| For | For |
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| 9 | ROBERT T. WALL |
| For | For |
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| 10 | RICHARD P. WALLACE |
| For | For |
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| 2. | TO APPROVE AN AMENDMENT TO THE 1999 | Management | Against |
| Against |
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| 3. | TO APPROVE AN AMENDMENT TO THE | Management | For |
| For |
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| 4. | TO APPROVE AN ADVISORY VOTE ON | Management | For |
| For |
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| 5. | TO RATIFY THE APPOINTMENT OF DELOITTE | Management | For |
| For |
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| 6. | TO CONSIDER A STOCKHOLDER PROPOSAL | Shareholder | For |
| N/A |
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| NIKE, INC. | |||||||||||||
| Security | 654106103 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | NKE |
| �� |
| Meeting Date | 20-Sep-2012 | |||||||
| ISIN | US6541061031 |
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| Agenda | 933673471 - Management | |||||||
| Record Date | 23-Jul-2012 |
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| Holding Recon Date | 23-Jul-2012 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 19-Sep-2012 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1. | DIRECTOR | Management |
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| 1 | ALAN B. GRAF, JR. |
| For | For |
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| 2 | JOHN C. LECHLEITER |
| For | For |
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| 3 | PHYLLIS M. WISE |
| For | For |
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| 2. | TO HOLD AN ADVISORY VOTE TO APPROVE | Management | For |
| For |
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| 3. | TO AMEND THE ARTICLES OF | Management | For |
| For |
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| 4. | TO RE-APPROVE AND AMEND THE NIKE, INC. | Management | For |
| For |
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| 5. | TO RATIFY THE APPOINTMENT OF | Management | For |
| For |
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| 6. | TO CONSIDER A SHAREHOLDER PROPOSAL | Shareholder | Against |
| For |
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| THE PROCTER & GAMBLE COMPANY | |||||||||||||
| Security | 742718109 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | PG |
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| Meeting Date | 09-Oct-2012 | |||||||
| ISIN | US7427181091 |
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| Agenda | 933681062 - Management | |||||||
| Record Date | 10-Aug-2012 |
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| Holding Recon Date | 10-Aug-2012 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 08-Oct-2012 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: ANGELA F. BRALY | Management | For |
| For |
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| 1B. | ELECTION OF DIRECTOR: KENNETH I. | Management | For |
| For |
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| 1C. | ELECTION OF DIRECTOR: SCOTT D. COOK | Management | For |
| For |
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| 1D. | ELECTION OF DIRECTOR: SUSAN DESMOND- | Management | For |
| For |
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| 1E. | ELECTION OF DIRECTOR: ROBERT A. | Management | For |
| For |
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| 1F. | ELECTION OF DIRECTOR: W. JAMES | Management | For |
| For |
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| 1G. | ELECTION OF DIRECTOR: JOHNATHAN A. | Management | For |
| For |
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| 1H. | ELECTION OF DIRECTOR: MARGARET C. | Management | For |
| For |
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| 1I. | ELECTION OF DIRECTOR: MARY AGNES | Management | For |
| For |
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| 1J. | ELECTION OF DIRECTOR: PATRICIA A. | Management | For |
| For |
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| 1K. | ELECTION OF DIRECTOR: ERNESTO | Management | For |
| For |
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| 2. | RATIFY APPOINTMENT OF THE | Management | For |
| For |
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| 3. | ADVISORY VOTE ON EXECUTIVE | Management | For |
| For |
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| 4. | SHAREHOLDER PROPOSAL #1 - SAY ON | Shareholder | Against |
| For |
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| 5. | SHAREHOLDER PROPOSAL #2 - PRODUCER | Shareholder | Against |
| For |
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| 6. | SHAREHOLDER PROPOSAL #3 - ADOPT | Shareholder | For |
| Against |
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| COACH, INC. | |||||||||||||
| Security | 189754104 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | COH |
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| Meeting Date | 07-Nov-2012 | |||||||
| ISIN | US1897541041 |
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| Agenda | 933690287 - Management | |||||||
| Record Date | 10-Sep-2012 |
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| Holding Recon Date | 10-Sep-2012 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 06-Nov-2012 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1. | DIRECTOR | Management |
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| 1 | LEW FRANKFORT |
| For | For |
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| 2 | SUSAN KROPF |
| For | For |
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| 3 | GARY LOVEMAN |
| For | For |
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| 4 | IVAN MENEZES |
| For | For |
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| 5 | IRENE MILLER |
| For | For |
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| 6 | MICHAEL MURPHY |
| For | For |
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| 7 | STEPHANIE TILENIUS |
| For | For |
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| 8 | JIDE ZEITLIN |
| For | For |
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| 2. | TO RATIFY THE APPOINTMENT OF DELOITTE | Management | For |
| For |
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| 3. | TO APPROVE, ON A NON-BINDING ADVISORY | Management | Against |
| Against |
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| ORACLE CORPORATION | |||||||||||||
| Security | 68389X105 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | ORCL |
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| Meeting Date | 07-Nov-2012 | |||||||
| ISIN | US68389X1054 |
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| Agenda | 933690302 - Management | |||||||
| Record Date | 10-Sep-2012 |
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| Holding Recon Date | 10-Sep-2012 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 06-Nov-2012 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1 | DIRECTOR | Management |
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| 1 | JEFFREY S. BERG |
| For | For |
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| 2 | H. RAYMOND BINGHAM |
| Withheld | Against |
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| 3 | MICHAEL J. BOSKIN |
| For | For |
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| 4 | SAFRA A. CATZ |
| Withheld | Against |
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| 5 | BRUCE R. CHIZEN |
| Withheld | Against |
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| 6 | GEORGE H. CONRADES |
| For | For |
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| 7 | LAWRENCE J. ELLISON |
| For | For |
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| 8 | HECTOR GARCIA-MOLINA |
| For | For |
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| 9 | JEFFREY O. HENLEY |
| For | For |
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| 10 | MARK V. HURD |
| For | For |
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| 11 | DONALD L. LUCAS |
| For | For |
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| 12 | NAOMI O. SELIGMAN |
| For | For |
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| 2 | ADVISORY VOTE TO APPROVE EXECUTIVE | Management | Against |
| Against |
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| 3 | APPROVAL OF INCREASE IN SHARES UNDER | Management | Against |
| Against |
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| 4 | RATIFICATION OF THE SELECTION OF | Management | For |
| For |
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| 5 | STOCKHOLDER PROPOSAL REGARDING | Shareholder | Against |
| For |
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| 6 | STOCKHOLDER PROPOSAL REGARDING | Shareholder | For |
| Against |
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| 7 | STOCKHOLDER PROPOSAL REGARDING | Shareholder | Against |
| For |
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| 8 | STOCKHOLDER PROPOSAL REGARDING | Shareholder | For |
| Against |
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| MICROSOFT CORPORATION | |||||||||||||
| Security | 594918104 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | MSFT |
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| Meeting Date | 28-Nov-2012 | |||||||
| ISIN | US5949181045 |
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| Agenda | 933691784 - Management | |||||||
| Record Date | 14-Sep-2012 |
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| Holding Recon Date | 14-Sep-2012 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 27-Nov-2012 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1. | ELECTION OF DIRECTOR: STEVEN A. | Management | For |
| For |
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| 2. | ELECTION OF DIRECTOR: DINA DUBLON | Management | For |
| For |
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| 3. | ELECTION OF DIRECTOR: WILLIAM H. GATES | Management | For |
| For |
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| 4. | ELECTION OF DIRECTOR: MARIA M. KLAWE | Management | For |
| For |
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| 5. | ELECTION OF DIRECTOR: STEPHEN J. | Management | For |
| For |
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| 6. | ELECTION OF DIRECTOR: DAVID F. | Management | For |
| For |
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| 7. | ELECTION OF DIRECTOR: CHARLES H. | Management | For |
| For |
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| 8. | ELECTION OF DIRECTOR: HELMUT PANKE | Management | For |
| For |
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| 9. | ELECTION OF DIRECTOR: JOHN W. | Management | For |
| For |
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| 10. | ADVISORY VOTE ON NAMED EXECUTIVE | Management | For |
| For |
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| 11. | APPROVAL OF EMPLOYEE STOCK | Management | For |
| For |
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| 12. | RATIFICATION OF DELOITTE & TOUCHE LLP | Management | For |
| For |
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| 13. | SHAREHOLDER PROPOSAL - ADOPT | Shareholder | Against |
| For |
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| VISA INC. | |||||||||||||
| Security | 92826C839 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | V |
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| Meeting Date | 30-Jan-2013 | |||||||
| ISIN | US92826C8394 |
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| Agenda | 933718895 - Management | |||||||
| Record Date | 04-Dec-2012 |
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| Holding Recon Date | 04-Dec-2012 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 29-Jan-2013 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: GARY P. | Management | For |
| For |
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| 1B. | ELECTION OF DIRECTOR: MARY B. | Management | Against |
| Against |
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| 1C. | ELECTION OF DIRECTOR: FRANCISCO | Management | For |
| For |
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| 1D. | ELECTION OF DIRECTOR: ROBERT W. | Management | For |
| For |
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| 1E. | ELECTION OF DIRECTOR: CATHY E. | Management | For |
| For |
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| 1F. | ELECTION OF DIRECTOR: SUZANNE NORA | Management | For |
| For |
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| 1G. | ELECTION OF DIRECTOR: DAVID J. PANG | Management | For |
| For |
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| 1H. | ELECTION OF DIRECTOR: JOSEPH W. | Management | For |
| For |
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| 1I. | ELECTION OF DIRECTOR: CHARLES W. | Management | For |
| For |
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| 1J. | ELECTION OF DIRECTOR: WILLIAM S. | Management | For |
| For |
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| 1K. | ELECTION OF DIRECTOR: JOHN A. | Management | For |
| For |
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| 2. | APPROVAL, ON AN ADVISORY BASIS, OF | Management | For |
| For |
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| 3. | RATIFICATION OF THE APPOINTMENT OF | Management | For |
| For |
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| 4. | STOCKHOLDER PROPOSAL ON LOBBYING | Shareholder | Against |
| For |
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| MARKEL CORPORATION | |||||||||||||
| Security | 570535104 |
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| Meeting Type | Special | |||||||
| Ticker Symbol | MKL |
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| Meeting Date | 26-Feb-2013 | |||||||
| ISIN | US5705351048 |
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| Agenda | 933728341 - Management | |||||||
| Record Date | 17-Jan-2013 |
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| Holding Recon Date | 17-Jan-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 25-Feb-2013 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1. | TO APPROVE THE ISSUANCE OF MARKEL | Management | For |
| For |
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| 2. | TO TRANSACT SUCH OTHER BUSINESS, IF | Management | Against |
| Against |
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| APPLE INC. | |||||||||||||
| Security | 037833100 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | AAPL |
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| Meeting Date | 27-Feb-2013 | |||||||
| ISIN | US0378331005 |
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| Agenda | 933725042 - Management | |||||||
| Record Date | 02-Jan-2013 |
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| Holding Recon Date | 02-Jan-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 26-Feb-2013 | |||||
| SEDOL(s) |
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1. | DIRECTOR | Management |
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| 1 | WILLIAM CAMPBELL |
| For | For |
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| 2 | TIMOTHY COOK |
| For | For |
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| 3 | MILLARD DREXLER |
| For | For |
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| 4 | AL GORE |
| For | For |
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| 5 | ROBERT IGER |
| For | For |
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| 6 | ANDREA JUNG |
| For | For |
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| 7 | ARTHUR LEVINSON |
| For | For |
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| 8 | RONALD SUGAR |
| For | For |
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| 2. | AMENDMENT OF APPLE'S RESTATED | Management | For |
| For |
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| 3. | RATIFICATION OF THE APPOINTMENT OF | Management | For |
| For |
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| 4. | A NON-BINDING ADVISORY RESOLUTION TO | Management | For |
| For |
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| 5. | A SHAREHOLDER PROPOSAL ENTITLED | Shareholder | Against |
| For |
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| 6. | A SHAREHOLDER PROPOSAL ENTITLED | Shareholder | Against |
| For |
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| QUALCOMM INCORPORATED | |||||||||||||
| Security | 747525103 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | QCOM |
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| Meeting Date | 05-Mar-2013 | |||||||
| ISIN | US7475251036 |
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| Agenda | 933726397 - Management | |||||||
| Record Date | 07-Jan-2013 |
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| Holding Recon Date | 07-Jan-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 04-Mar-2013 | |||||
| SEDOL(s) |
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A | ELECTION OF DIRECTOR: BARBARA T. | Management | Against |
| Against |
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| 1B | ELECTION OF DIRECTOR: DONALD G. | Management | For |
| For |
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| 1C | ELECTION OF DIRECTOR: RAYMOND V. | Management | For |
| For |
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| 1D | ELECTION OF DIRECTOR: SUSAN | Management | For |
| For |
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| 1E | ELECTION OF DIRECTOR: THOMAS W. | Management | For |
| For |
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| 1F | ELECTION OF DIRECTOR: PAUL E. JACOBS | Management | For |
| For |
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| 1G | ELECTION OF DIRECTOR: SHERRY LANSING | Management | For |
| For |
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| 1H | ELECTION OF DIRECTOR: DUANE A. NELLES | Management | For |
| For |
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| 1I | ELECTION OF DIRECTOR: FRANCISCO ROS | Management | For |
| For |
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| 1J | ELECTION OF DIRECTOR: BRENT | Management | For |
| For |
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| 1K | ELECTION OF DIRECTOR: MARC I. STERN | Management | For |
| For |
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| 02 | TO APPROVE THE 2006 LONG-TERM | Management | For |
| For |
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| 03 | TO RATIFY THE SELECTION OF | Management | For |
| For |
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| 04 | ADVISORY APPROVAL OF THE COMPANY'S | Management | For |
| For |
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| THE WALT DISNEY COMPANY | |||||||||||||
| Security | 254687106 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | DIS |
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| Meeting Date | 06-Mar-2013 | |||||||
| ISIN | US2546871060 |
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| Agenda | 933727109 - Management | |||||||
| Record Date | 07-Jan-2013 |
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| Holding Recon Date | 07-Jan-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 05-Mar-2013 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: SUSAN E. ARNOLD | Management | For |
| For |
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| 1B. | ELECTION OF DIRECTOR: JOHN S. CHEN | Management | For |
| For |
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| 1C. | ELECTION OF DIRECTOR: JUDITH L. ESTRIN | Management | For |
| For |
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| 1D. | ELECTION OF DIRECTOR: ROBERT A. IGER | Management | For |
| For |
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| 1E. | ELECTION OF DIRECTOR: FRED H. | Management | For |
| For |
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| 1F. | ELECTION OF DIRECTOR: AYLWIN B. LEWIS | Management | For |
| For |
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| 1G. | ELECTION OF DIRECTOR: MONICA C. | Management | For |
| For |
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| 1H. | ELECTION OF DIRECTOR: ROBERT W. | Management | For |
| For |
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| 1I. | ELECTION OF DIRECTOR: SHERYL K. | Management | For |
| For |
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| 1J. | ELECTION OF DIRECTOR: ORIN C. SMITH | Management | Against |
| Against |
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| 2. | TO RATIFY THE APPOINTMENT OF | Management | For |
| For |
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| 3. | TO APPROVE THE TERMS OF THE | Management | Against |
| Against |
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| 4. | TO APPROVE THE ADVISORY RESOLUTION | Management | Against |
| Against |
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| 5. | TO APPROVE THE SHAREHOLDER | Shareholder | For |
| Against |
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| 6. | TO APPROVE THE SHAREHOLDER | Shareholder | For |
| Against |
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| ANALOG DEVICES, INC. | |||||||||||||
| Security | 032654105 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | ADI |
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| Meeting Date | 13-Mar-2013 | |||||||
| ISIN | US0326541051 |
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| Agenda | 933730322 - Management | |||||||
| Record Date | 11-Jan-2013 |
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| Holding Recon Date | 11-Jan-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 12-Mar-2013 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: RAY STATA | Management | For |
| For |
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| 1B. | ELECTION OF DIRECTOR: JERALD G. | Management | For |
| For |
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| 1C. | ELECTION OF DIRECTOR: JAMES A. CHAMPY | Management | For |
| For |
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| 1D. | ELECTION OF DIRECTOR: JOHN C. | Management | For |
| For |
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| 1E. | ELECTION OF DIRECTOR: YVES-ANDRE | Management | For |
| For |
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| 1F. | ELECTION OF DIRECTOR: NEIL NOVICH | Management | For |
| For |
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| 1G. | ELECTION OF DIRECTOR: F. GRANT | Management | For |
| For |
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| 1H. | ELECTION OF DIRECTOR: PAUL J. SEVERINO | Management | For |
| For |
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| 1I. | ELECTION OF DIRECTOR: KENTON J. | Management | For |
| For |
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| 1J. | ELECTION OF DIRECTOR: LISA T. SU | Management | For |
| For |
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| 2. | TO APPROVE, BY NON-BINDING "SAY-ON- | Management | Against |
| Against |
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| 3. | TO APPROVE THE ANALOG DEVICES, INC. | Management | For |
| For |
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| 4. | TO RATIFY THE SELECTION OF ERNST & | Management | For |
| For |
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| STARBUCKS CORPORATION | |||||||||||||
| Security | 855244109 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | SBUX |
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| Meeting Date | 20-Mar-2013 | |||||||
| ISIN | US8552441094 |
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| Agenda | 933726842 - Management | |||||||
| Record Date | 10-Jan-2013 |
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| Holding Recon Date | 10-Jan-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 19-Mar-2013 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: HOWARD | Management | For |
| For |
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| 1B. | ELECTION OF DIRECTOR: WILLIAM W. | Management | For |
| For |
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| 1C. | ELECTION OF DIRECTOR: ROBERT M. GATES | Management | For |
| For |
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| 1D. | ELECTION OF DIRECTOR: MELLODY | Management | For |
| For |
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| 1E. | ELECTION OF DIRECTOR: KEVIN R. | Management | For |
| For |
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| 1F. | ELECTION OF DIRECTOR: OLDEN LEE | Management | For |
| For |
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| 1G. | ELECTION OF DIRECTOR: JOSHUA COOPER | Management | For |
| For |
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| 1H. | ELECTION OF DIRECTOR: JAMES G. | Management | For |
| For |
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| 1I. | ELECTION OF DIRECTOR: CLARA SHIH | Management | For |
| For |
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| 1J. | ELECTION OF DIRECTOR: JAVIER G. TERUEL | Management | For |
| For |
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| 1K. | ELECTION OF DIRECTOR: MYRON E. | Management | For |
| For |
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| 1L. | ELECTION OF DIRECTOR: CRAIG E. | Management | For |
| For |
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| 2. | APPROVAL OF AN ADVISORY RESOLUTION | Management | For |
| For |
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| 3. | APPROVAL OF AN AMENDMENT AND | Management | For |
| For |
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| 4. | RATIFICATION OF THE SELECTION OF | Management | For |
| For |
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| 5. | SHAREHOLDER PROPOSAL TO PROHIBIT | Shareholder | Against |
| For |
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| COVIDIEN PLC | |||||||||||||
| Security | G2554F113 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | COV |
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| Meeting Date | 20-Mar-2013 | |||||||
| ISIN | IE00B68SQD29 |
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| Agenda | 933727779 - Management | |||||||
| Record Date | 10-Jan-2013 |
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| Holding Recon Date | 10-Jan-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 19-Mar-2013 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A) | ELECTION OF DIRECTOR: JOSE E. ALMEIDA | Management | For |
| For |
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| 1B) | ELECTION OF DIRECTOR: JOY A. | Management | For |
| For |
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| 1C) | ELECTION OF DIRECTOR: CRAIG ARNOLD | Management | For |
| For |
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| 1D) | ELECTION OF DIRECTOR: ROBERT H. BRUST | Management | For |
| For |
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| 1E) | ELECTION OF DIRECTOR: JOHN M. | Management | For |
| For |
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| 1F) | ELECTION OF DIRECTOR: CHRISTOPHER J. | Management | For |
| For |
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| 1G) | ELECTION OF DIRECTOR: RANDALL J. | Management | For |
| For |
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| 1H) | ELECTION OF DIRECTOR: MARTIN D. | Management | For |
| For |
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| 1I) | ELECTION OF DIRECTOR: DENNIS H. | Management | For |
| For |
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| 1J) | ELECTION OF DIRECTOR: JOSEPH A. | Management | For |
| For |
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| 2 | APPOINT THE INDEPENDENT AUDITORS AND | Management | For |
| For |
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| 3 | ADVISORY VOTE ON EXECUTIVE | Management | For |
| For |
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| 4 | APPROVE THE AMENDED AND RESTATED | Management | For |
| For |
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| 5 | AUTHORIZE THE COMPANY AND/OR ANY | Management | For |
| For |
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| S6 | AUTHORIZE THE PRICE RANGE AT WHICH | Management | For |
| For |
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| S7 | AMEND ARTICLES OF ASSOCIATION TO | Management | For |
| For |
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| 8 | ADVISORY VOTE ON THE CREATION OF | Management | For |
| For |
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| SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.) | |||||||||||||
| Security | 806857108 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | SLB |
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| Meeting Date | 10-Apr-2013 | |||||||
| ISIN | AN8068571086 |
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| Agenda | 933739382 - Management | |||||||
| Record Date | 20-Feb-2013 |
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| Holding Recon Date | 20-Feb-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 09-Apr-2013 | |||||
| SEDOL(s) |
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: PETER L.S. | Management | For |
| For |
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| 1B. | ELECTION OF DIRECTOR: TONY ISAAC | Management | Against |
| Against |
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| 1C. | ELECTION OF DIRECTOR: K. VAMAN KAMATH | Management | For |
| For |
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| 1D. | ELECTION OF DIRECTOR: PAAL KIBSGAARD | Management | For |
| For |
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| 1E. | ELECTION OF DIRECTOR: NIKOLAY | Management | For |
| For |
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| 1F. | ELECTION OF DIRECTOR: ADRIAN LAJOUS | Management | For |
| For |
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| 1G. | ELECTION OF DIRECTOR: MICHAEL E. | Management | For |
| For |
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| 1H. | ELECTION OF DIRECTOR: LUBNA S. OLAYAN | Management | For |
| For |
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| 1I. | ELECTION OF DIRECTOR: L. RAFAEL REIF | Management | For |
| For |
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| 1J. | ELECTION OF DIRECTOR: TORE I. | Management | For |
| For |
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| 1K. | ELECTION OF DIRECTOR: HENRI SEYDOUX | Management | For |
| For |
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| 2. | TO APPROVE, ON AN ADVISORY BASIS, THE | Management | For |
| For |
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| 3. | TO APPROVE THE COMPANY'S 2012 | Management | For |
| For |
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| 4. | TO APPROVE THE APPOINTMENT OF THE | Management | For |
| For |
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| 5. | TO APPROVE THE ADOPTION OF THE 2013 | Management | For |
| For |
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| 6. | TO APPROVE THE ADOPTION OF AN | Management | For |
| For |
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| HONEYWELL INTERNATIONAL INC. | |||||||||||||
| Security | 438516106 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | HON |
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| Meeting Date | 22-Apr-2013 | |||||||
| ISIN | US4385161066 |
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| Agenda | 933739368 - Management | |||||||
| Record Date | 22-Feb-2013 |
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| Holding Recon Date | 22-Feb-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 19-Apr-2013 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: GORDON M. | Management | For |
| For |
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| 1B. | ELECTION OF DIRECTOR: KEVIN BURKE | Management | For |
| For |
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| 1C. | ELECTION OF DIRECTOR: JAIME CHICO | Management | For |
| For |
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| 1D. | ELECTION OF DIRECTOR: DAVID M. COTE | Management | For |
| For |
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| 1E. | ELECTION OF DIRECTOR: D. SCOTT DAVIS | Management | For |
| For |
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| 1F. | ELECTION OF DIRECTOR: LINNET F. DEILY | Management | Against |
| Against |
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| 1G. | ELECTION OF DIRECTOR: JUDD GREGG | Management | For |
| For |
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| 1H. | ELECTION OF DIRECTOR: CLIVE HOLLICK | Management | For |
| For |
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| 1I. | ELECTION OF DIRECTOR: GRACE D. | Management | For |
| For |
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| 1J. | ELECTION OF DIRECTOR: GEORGE PAZ | Management | For |
| For |
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| 1K. | ELECTION OF DIRECTOR: BRADLEY T. | Management | For |
| For |
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| 1L. | ELECTION OF DIRECTOR: ROBIN L. | Management | For |
| For |
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| 2. | APPROVAL OF INDEPENDENT | Management | For |
| For |
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| 3. | ADVISORY VOTE TO APPROVE EXECUTIVE | Management | For |
| For |
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| 4. | INDEPENDENT BOARD CHAIRMAN. | Shareholder | For |
| Against |
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| 5. | RIGHT TO ACT BY WRITTEN CONSENT. | Shareholder | For |
| Against |
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| 6. | ELIMINATE ACCELERATED VESTING IN A | Shareholder | For |
| Against |
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| PRAXAIR, INC. | |||||||||||||
| Security | 74005P104 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | PX |
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| Meeting Date | 23-Apr-2013 | |||||||
| ISIN | US74005P1049 |
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| Agenda | 933743088 - Management | |||||||
| Record Date | 01-Mar-2013 |
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| Holding Recon Date | 01-Mar-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 22-Apr-2013 | |||||
| SEDOL(s) |
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: STEPHEN F. | Management | For |
| For |
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| 1B. | ELECTION OF DIRECTOR: OSCAR | Management | For |
| For |
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| 1C. | ELECTION OF DIRECTOR: BRET. K. CLAYTON | Management | For |
| For |
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| 1D. | ELECTION OF DIRECTOR: NANCE K. | Management | For |
| For |
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| 1E. | ELECTION OF DIRECTOR: EDWARD G. | Management | For |
| For |
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| 1F. | ELECTION OF DIRECTOR: CLAIRE W. | Management | For |
| For |
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| 1G. | ELECTION OF DIRECTOR: IRA D. HALL | Management | For |
| For |
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| 1H. | ELECTION OF DIRECTOR: RAYMOND W. | Management | For |
| For |
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| 1I. | ELECTION OF DIRECTOR: LARRY D. MCVAY | Management | For |
| For |
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| 1J. | ELECTION OF DIRECTOR: WAYNE T. SMITH | Management | For |
| For |
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| 1K. | ELECTION OF DIRECTOR: ROBERT L. WOOD | Management | For |
| For |
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| 2. | TO APPROVE, ON AN ADVISORY AND NON- | Management | For |
| For |
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| 3. | A SHAREHOLDER PROPOSAL REGARDING | Shareholder | Against |
| For |
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| 4. | TO RATIFY THE APPOINTMENT OF THE | Management | For |
| For |
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| THE COCA-COLA COMPANY | |||||||||||||
| Security | 191216100 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | KO |
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| Meeting Date | 24-Apr-2013 | |||||||
| ISIN | US1912161007 |
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| Agenda | 933739596 - Management | |||||||
| Record Date | 25-Feb-2013 |
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| Holding Recon Date | 25-Feb-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 23-Apr-2013 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: HERBERT A. | Management | For |
| For |
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| 1B. | ELECTION OF DIRECTOR: RONALD W. ALLEN | Management | Against |
| Against |
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| 1C. | ELECTION OF DIRECTOR: HOWARD G. | Management | For |
| For |
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| 1D. | ELECTION OF DIRECTOR: RICHARD M. | Management | For |
| For |
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| 1E. | ELECTION OF DIRECTOR: BARRY DILLER | Management | Against |
| Against |
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| 1F. | ELECTION OF DIRECTOR: HELENE D. GAYLE | Management | For |
| For |
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| 1G. | ELECTION OF DIRECTOR: EVAN G. | Management | For |
| For |
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| 1H. | ELECTION OF DIRECTOR: ALEXIS M. | Management | For |
| For |
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| 1I. | ELECTION OF DIRECTOR: MUHTAR KENT | Management | For |
| For |
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| 1J. | ELECTION OF DIRECTOR: ROBERT A. | Management | For |
| For |
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| 1K. | ELECTION OF DIRECTOR: MARIA ELENA | Management | For |
| For |
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| 1L. | ELECTION OF DIRECTOR: DONALD F. | Management | For |
| For |
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| 1M. | ELECTION OF DIRECTOR: SAM NUNN | Management | For |
| For |
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| 1N. | ELECTION OF DIRECTOR: JAMES D. | Management | For |
| For |
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| 1O. | ELECTION OF DIRECTOR: PETER V. | Management | For |
| For |
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| 1P. | ELECTION OF DIRECTOR: JACOB | Management | For |
| For |
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| 2. | RATIFICATION OF THE APPOINTMENT OF | Management | For |
| For |
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| 3. | ADVISORY VOTE TO APPROVE EXECUTIVE | Management | For |
| For |
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| 4. | APPROVE AN AMENDMENT TO THE | Management | For |
| For |
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| 5. | SHAREOWNER PROPOSAL REGARDING A | Shareholder | Against |
| For |
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| ANHEUSER-BUSCH INBEV SA | |||||||||||||
| Security | 03524A108 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | BUD |
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| Meeting Date | 24-Apr-2013 | |||||||
| ISIN | US03524A1088 |
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| Agenda | 933759740 - Management | |||||||
| Record Date | 15-Mar-2013 |
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| Holding Recon Date | 15-Mar-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 15-Apr-2013 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| A1C | EXCLUSION OF THE PREFERENCE RIGHT IN | Management | Against |
| Against |
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| A1D | ISSUANCE OF SUBSCRIPTION RIGHTS | Management | Against |
| Against |
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| A1E | CONDITIONAL CAPITAL INCREASE | Management | Against |
| Against |
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| A1F | EXPRESS APPROVAL PURSUANT TO | Management | Against |
| Against |
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| A1G | POWERS | Management | Against |
| Against |
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| 4 | APPROVAL OF THE STATUTORY ANNUAL | Management | For |
| For |
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| 5 | DISCHARGE TO THE DIRECTORS | Management | For |
| For |
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| 6 | DISCHARGE TO THE STATUTORY AUDITOR | Management | For |
| For |
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| 7 | APPOINTMENT OF DIRECTORS | Management | For |
| For |
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| 8 | APPOINTMENT OF STATUTORY AUDITOR | Management | For |
| For |
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| 9A | APPROVING THE REMUNERATION REPORT | Management | Abstain |
| Against |
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| 9B | CONFIRMING THE GRANTS OF STOCK | Management | For |
| For |
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| 10 | APPROVAL OF INCREASED FIXED ANNUAL | Management | For |
| For |
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| 11A | CHANGE OF CONTROL PROVISIONS | Management | For |
| For |
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| 11B | CHANGE OF CONTROL PROVISIONS | Management | Against |
| Against |
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| C1 | FILINGS | Management | For |
| For |
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| JOHNSON & JOHNSON | |||||||||||||
| Security | 478160104 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | JNJ |
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| Meeting Date | 25-Apr-2013 | |||||||
| ISIN | US4781601046 |
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| Agenda | 933745068 - Management | |||||||
| Record Date | 26-Feb-2013 |
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| Holding Recon Date | 26-Feb-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 24-Apr-2013 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: MARY SUE | Management | For |
| For |
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| 1B. | ELECTION OF DIRECTOR: JAMES G. CULLEN | Management | For |
| For |
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| 1C. | ELECTION OF DIRECTOR: IAN E.L. DAVIS | Management | For |
| For |
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| 1D. | ELECTION OF DIRECTOR: ALEX GORSKY | Management | For |
| For |
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| 1E. | ELECTION OF DIRECTOR: MICHAEL M.E. | Management | For |
| For |
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| 1F. | ELECTION OF DIRECTOR: SUSAN L. | Management | For |
| For |
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| 1G. | ELECTION OF DIRECTOR: ANNE M. | Management | Against |
| Against |
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| 1H. | ELECTION OF DIRECTOR: LEO F. MULLIN | Management | For |
| For |
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| 1I. | ELECTION OF DIRECTOR: WILLIAM D. PEREZ | Management | For |
| For |
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| 1J. | ELECTION OF DIRECTOR: CHARLES PRINCE | Management | Against |
| Against |
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| 1K. | ELECTION OF DIRECTOR: A. EUGENE | Management | For |
| For |
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| 1L. | ELECTION OF DIRECTOR: RONALD A. | Management | For |
| For |
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| 2. | ADVISORY VOTE TO APPROVE NAMED | Management | For |
| For |
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| 3. | RATIFICATION OF APPOINTMENT OF | Management | For |
| For |
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| 4. | SHAREHOLDER PROPOSAL - EXECUTIVES | Shareholder | Against |
| For |
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| 5. | SHAREHOLDER PROPOSAL ON POLITICAL | Shareholder | Against |
| For |
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| 6. | SHAREHOLDER PROPOSAL ON | Shareholder | For |
| Against |
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| UNITED TECHNOLOGIES CORPORATION | |||||||||||||
| Security | 913017109 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | UTX |
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| Meeting Date | 29-Apr-2013 | |||||||
| ISIN | US9130171096 |
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| Agenda | 933743684 - Management | |||||||
| Record Date | 01-Mar-2013 |
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| Holding Recon Date | 01-Mar-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 26-Apr-2013 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: LOUIS R. | Management | For |
| For |
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| 1B. | ELECTION OF DIRECTOR: JOHN V. FARACI | Management | For |
| For |
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| 1C. | ELECTION OF DIRECTOR: JEAN-PIERRE | Management | For |
| For |
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| 1D. | ELECTION OF DIRECTOR: JAMIE S. | Management | For |
| For |
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| 1E. | ELECTION OF DIRECTOR: EDWARD A. | Management | For |
| For |
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| 1F. | ELECTION OF DIRECTOR: ELLEN J. KULLMAN | Management | For |
| For |
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| 1G. | ELECTION OF DIRECTOR: MARSHALL O. | Management | For |
| For |
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| 1H. | ELECTION OF DIRECTOR: HAROLD MCGRAW | Management | For |
| For |
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| 1I. | ELECTION OF DIRECTOR: RICHARD B. | Management | For |
| For |
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| 1J. | ELECTION OF DIRECTOR: H. PATRICK | Management | For |
| For |
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| 1K. | ELECTION OF DIRECTOR: ANDRE | Management | For |
| For |
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| 1L. | ELECTION OF DIRECTOR: CHRISTINE TODD | Management | For |
| For |
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| 2. | APPOINTMENT OF THE FIRM OF | Management | For |
| For |
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| 3. | ADVISORY VOTE TO APPROVE THE | Management | For |
| For |
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| THE BOEING COMPANY | |||||||||||||
| Security | 097023105 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | BA |
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| Meeting Date | 29-Apr-2013 | |||||||
| ISIN | US0970231058 |
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| Agenda | 933747315 - Management | |||||||
| Record Date | 01-Mar-2013 |
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| Holding Recon Date | 01-Mar-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 26-Apr-2013 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: DAVID L. | Management | For |
| For |
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| 1B. | ELECTION OF DIRECTOR: ARTHUR D. | Management | For |
| For |
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| 1C. | ELECTION OF DIRECTOR: LINDA Z. COOK | Management | For |
| For |
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| 1D. | ELECTION OF DIRECTOR: KENNETH M. | Management | For |
| For |
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| 1E. | ELECTION OF DIRECTOR: EDMUND P. | Management | For |
| For |
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| 1F. | ELECTION OF DIRECTOR: LAWRENCE W. | Management | For |
| For |
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| 1G. | ELECTION OF DIRECTOR: EDWARD M. LIDDY | Management | For |
| For |
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| 1H. | ELECTION OF DIRECTOR: W. JAMES | Management | For |
| For |
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| 1I. | ELECTION OF DIRECTOR: SUSAN C. | Management | For |
| For |
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| 1J. | ELECTION OF DIRECTOR: RONALD A. | Management | For |
| For |
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| 1K. | ELECTION OF DIRECTOR: MIKE S. | Management | For |
| For |
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| 2. | ADVISORY VOTE TO APPROVE NAMED | Management | For |
| For |
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| 3. | RATIFICATION OF THE APPOINTMENT OF | Management | For |
| For |
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| 4. | FUTURE EXTRAORDINARY RETIREMENT | Shareholder | Against |
| For |
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| 5. | ACTION BY WRITTEN CONSENT. | Shareholder | For |
| Against |
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| 6. | EXECUTIVES TO RETAIN SIGNIFICANT | Shareholder | Against |
| For |
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| 7. | INDEPENDENT BOARD CHAIRMAN. | Shareholder | For |
| Against |
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| PEPSICO, INC. | |||||||||||||
| Security | 713448108 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | PEP |
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| Meeting Date | 01-May-2013 | |||||||
| ISIN | US7134481081 |
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| Agenda | 933748521 - Management | |||||||
| Record Date | 07-Mar-2013 |
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| Holding Recon Date | 07-Mar-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 30-Apr-2013 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: S.L. BROWN | Management | For |
| For |
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| 1B. | ELECTION OF DIRECTOR: G.W. BUCKLEY | Management | For |
| For |
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| 1C. | ELECTION OF DIRECTOR: I.M. COOK | Management | For |
| For |
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| 1D. | ELECTION OF DIRECTOR: D. DUBLON | Management | For |
| For |
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| 1E. | ELECTION OF DIRECTOR: V.J. DZAU | Management | For |
| For |
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| 1F. | ELECTION OF DIRECTOR: R.L. HUNT | Management | For |
| For |
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| 1G. | ELECTION OF DIRECTOR: A. IBARGUEN | Management | For |
| For |
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| 1H. | ELECTION OF DIRECTOR: I.K. NOOYI | Management | For |
| For |
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| 1I. | ELECTION OF DIRECTOR: S.P. | Management | For |
| For |
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| 1J. | ELECTION OF DIRECTOR: J.J. SCHIRO | Management | For |
| For |
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| 1K. | ELECTION OF DIRECTOR: L.G. TROTTER | Management | For |
| For |
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| 1L. | ELECTION OF DIRECTOR: D. VASELLA | Management | For |
| For |
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| 1M. | ELECTION OF DIRECTOR: A. WEISSER | Management | For |
| For |
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| 2. | RATIFY THE APPOINTMENT OF KPMG LLP AS | Management | For |
| For |
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| 3. | ADVISORY RESOLUTION TO APPROVE | Management | For |
| For |
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| EMC CORPORATION | |||||||||||||
| Security | 268648102 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | EMC |
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| Meeting Date | 01-May-2013 | |||||||
| ISIN | US2686481027 |
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| Agenda | 933748747 - Management | |||||||
| Record Date | 01-Mar-2013 |
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| Holding Recon Date | 01-Mar-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 30-Apr-2013 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: MICHAEL W. | Management | For |
| For |
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| 1B. | ELECTION OF DIRECTOR: RANDOLPH L. | Management | For |
| For |
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| 1C. | ELECTION OF DIRECTOR: GAIL DEEGAN | Management | For |
| For |
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| 1D. | ELECTION OF DIRECTOR: JAMES S. | Management | For |
| For |
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| 1E. | ELECTION OF DIRECTOR: JOHN R. EGAN | Management | For |
| For |
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| 1F. | ELECTION OF DIRECTOR: EDMUND F. KELLY | Management | For |
| For |
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| 1G. | ELECTION OF DIRECTOR: JAMI MISCIK | Management | For |
| For |
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| 1H. | ELECTION OF DIRECTOR: WINDLE B. PRIEM | Management | For |
| For |
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| 1I. | ELECTION OF DIRECTOR: PAUL SAGAN | Management | For |
| For |
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| 1J. | ELECTION OF DIRECTOR: DAVID N. STROHM | Management | For |
| For |
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| 1K. | ELECTION OF DIRECTOR: JOSEPH M. TUCCI | Management | For |
| For |
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| 2. | RATIFICATION OF THE SELECTION BY THE | Management | For |
| For |
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| 3. | ADVISORY APPROVAL OF OUR EXECUTIVE | Management | Against |
| Against |
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| 4. | APPROVAL OF THE EMC CORPORATION | Management | For |
| For |
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| 5. | APPROVAL OF THE EMC CORPORATION | Management | For |
| For |
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| 6. | APPROVAL OF AMENDMENTS TO EMC'S | Management | For |
| For |
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| 7. | TO ACT UPON A SHAREHOLDER PROPOSAL | Shareholder | Against |
| For |
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| CANADIAN PACIFIC RAILWAY LIMITED | |||||||||||||
| Security | 13645T100 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | CP |
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| Meeting Date | 01-May-2013 | |||||||
| ISIN | CA13645T1003 |
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| Agenda | 933752847 - Management | |||||||
| Record Date | 12-Mar-2013 |
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| Holding Recon Date | 12-Mar-2013 | |||||||
| City / | Country |
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| Vote Deadline Date | 26-Apr-2013 | |||||
| SEDOL(s) |
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| Item | Proposal |
| Type | Vote | For/Against |
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| 01 | APPOINTMENT OF AUDITOR AS NAMED IN | Management | For |
| For |
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| 02 | ADVISORY VOTE ACCEPTING THE | Management | For |
| For |
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| 03 | DIRECTOR | Management |
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| 1 | WILLIAM A. ACKMAN |
| For | For |
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| 2 | GARY F. COLTER |
| For | For |
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| 3 | ISABELLE COURVILLE |
| For | For |
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| 4 | PAUL G. HAGGIS |
| For | For |
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| 5 | E. HUNTER HARRISON |
| For | For |
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| 6 | PAUL C. HILAL |
| For | For |
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| 7 | KRYSTYNA T. HOEG |
| For | For |
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| 8 | RICHARD C. KELLY |
| For | For |
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| 9 | REBECCA MACDONALD |
| For | For |
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| 10 | DR. ANTHONY R. MELMAN |
| For | For |
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| 11 | LINDA J. MORGAN |
| For | For |
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| 12 | ANDREW F. REARDON |
| For | For |
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| 13 | STEPHEN C. TOBIAS |
| For | For |
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| ST. JUDE MEDICAL, INC. | |||||||||||||
| Security | 790849103 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | STJ |
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| Meeting Date | 02-May-2013 | |||||||
| ISIN | US7908491035 |
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| Agenda | 933751667 - Management | |||||||
| Record Date | 05-Mar-2013 |
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| Holding Recon Date | 05-Mar-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 01-May-2013 | |||||
| SEDOL(s) |
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: STUART M. ESSIG | Management | For |
| For |
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| 1B. | ELECTION OF DIRECTOR: BARBARA B. HILL | Management | For |
| For |
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| 1C. | ELECTION OF DIRECTOR: MICHAEL A. | Management | For |
| For |
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| 2. | TO APPROVE AMENDMENTS TO OUR | Management | For |
| For |
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| 3. | ADVISORY VOTE TO APPROVE THE | Management | For |
| For |
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| 4. | TO RATIFY THE APPOINTMENT OF ERNST & | Management | For |
| For |
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| OCCIDENTAL PETROLEUM CORPORATION | |||||||||||||
| Security | 674599105 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | OXY |
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| Meeting Date | 03-May-2013 | |||||||
| ISIN | US6745991058 |
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| Agenda | 933771063 - Management | |||||||
| Record Date | 13-Mar-2013 |
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| Holding Recon Date | 13-Mar-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 02-May-2013 | |||||
| SEDOL(s) |
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: SPENCER | Management | Against |
| Against |
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| 1B. | ELECTION OF DIRECTOR: HOWARD I. | Management | For |
| For |
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| 1C. | ELECTION OF DIRECTOR: STEPHEN I. | Management | For |
| For |
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| 1D. | ELECTION OF DIRECTOR: EDWARD P. | Management | Against |
| Against |
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| 1E. | ELECTION OF DIRECTOR: JOHN E. FEICK | Management | Against |
| Against |
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| 1F. | ELECTION OF DIRECTOR: MARGARET M. | Management | For |
| For |
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| 1G. | ELECTION OF DIRECTOR: CARLOS M. | Management | For |
| For |
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| 1H. | ELECTION OF DIRECTOR: RAY R. IRANI | Management | Against |
| Against |
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| 1I. | ELECTION OF DIRECTOR: AVEDICK B. | Management | For |
| For |
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| 1J. | ELECTION OF DIRECTOR: AZIZ D. SYRIANI | Management | Against |
| Against |
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| 2. | ADVISORY VOTE APPROVING EXECUTIVE | Management | Against |
| Against |
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| 3. | RATIFICATION OF SELECTION OF KPMG LLP | Management | For |
| For |
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| 4. | STOCKHOLDER RIGHT TO ACT BY WRITTEN | Shareholder | For |
| Against |
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| BERKSHIRE HATHAWAY INC. | |||||||||||||
| Security | 084670702 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | BRKB |
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| Meeting Date | 04-May-2013 | |||||||
| ISIN | US0846707026 |
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| Agenda | 933747529 - Management | |||||||
| Record Date | 06-Mar-2013 |
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| Holding Recon Date | 06-Mar-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 03-May-2013 | |||||
| SEDOL(s) |
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1. | DIRECTOR | Management |
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| 1 | WARREN E. BUFFETT |
| For | For |
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| 2 | CHARLES T. MUNGER |
| For | For |
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| 3 | HOWARD G. BUFFETT |
| For | For |
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| 4 | STEPHEN B. BURKE |
| For | For |
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| 5 | SUSAN L. DECKER |
| For | For |
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| 6 | WILLIAM H. GATES III |
| For | For |
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| 7 | DAVID S. GOTTESMAN |
| For | For |
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| 8 | CHARLOTTE GUYMAN |
| For | For |
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| 9 | DONALD R. KEOUGH |
| For | For |
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| 10 | THOMAS S. MURPHY |
| For | For |
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| 11 | RONALD L. OLSON |
| For | For |
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| 12 | WALTER SCOTT, JR. |
| For | For |
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| 13 | MERYL B. WITMER |
| For | For |
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| 2. | SHAREHOLDER PROPOSAL REGARDING | Shareholder | Against |
| For |
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| O'REILLY AUTOMOTIVE, INC. | |||||||||||||
| Security | 67103H107 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | ORLY |
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| Meeting Date | 07-May-2013 | |||||||
| ISIN | US67103H1077 |
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| Agenda | 933753421 - Management | |||||||
| Record Date | 28-Feb-2013 |
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| Holding Recon Date | 28-Feb-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 06-May-2013 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A | ELECTION OF DIRECTOR: LARRY O'REILLY | Management | Against |
| Against |
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| 1B | ELECTION OF DIRECTOR: ROSALIE | Management | Against |
| Against |
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| 1C | ELECTION OF DIRECTOR: THOMAS T. | Management | For |
| For |
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| 2 | TO AMEND THE ARTICLES OF | Management | For |
| For |
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| 3 | TO AMEND THE ARTICLES OF | Management | For |
| For |
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| 4 | TO AMEND THE ARTICLES OF | Management | For |
| For |
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| 5 | ADVISORY VOTE ON APPROVAL OF | Management | For |
| For |
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| 6 | RATIFICATION OF APPOINTMENT OF ERNST | Management | For |
| For |
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| BAXTER INTERNATIONAL INC. | |||||||||||||
| Security | 071813109 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | BAX |
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| Meeting Date | 07-May-2013 | |||||||
| ISIN | US0718131099 |
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| Agenda | 933754916 - Management | |||||||
| Record Date | 11-Mar-2013 |
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| Holding Recon Date | 11-Mar-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 06-May-2013 | |||||
| SEDOL(s) |
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: THOMAS F. CHEN | Management | For |
| For |
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| 1B. | ELECTION OF DIRECTOR: BLAKE E. DEVITT | Management | For |
| For |
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| 1C. | ELECTION OF DIRECTOR: JOHN D. FORSYTH | Management | For |
| For |
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| 1D. | ELECTION OF DIRECTOR: GAIL D. FOSLER | Management | For |
| For |
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| 1E. | ELECTION OF DIRECTOR: CAROLE J. | Management | For |
| For |
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| 2. | RATIFICATION OF INDEPENDENT | Management | For |
| For |
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| 3. | APPROVAL OF NAMED EXECUTIVE OFFICER | Management | For |
| For |
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| 4. | AMENDMENT OF ARTICLE SIXTH OF THE | Management | For |
| For |
| |||||||
| 5. | AMENDMENT OF THE AMENDED AND | Management | For |
| For |
| |||||||
| COLGATE-PALMOLIVE COMPANY | |||||||||||||
| Security | 194162103 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | CL |
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| Meeting Date | 10-May-2013 | |||||||
| ISIN | US1941621039 |
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| Agenda | 933756477 - Management | |||||||
| Record Date | 11-Mar-2013 |
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| Holding Recon Date | 11-Mar-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 09-May-2013 | |||||
| SEDOL(s) |
| Quick Code |
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| Item | Proposal |
| Type | Vote | For/Against |
| |||||||
| 1A | ELECTION OF DIRECTOR: NIKESH ARORA | Management | For |
| For |
| |||||||
| 1B | ELECTION OF DIRECTOR: JOHN T. CAHILL | Management | For |
| For |
| |||||||
| 1C | ELECTION OF DIRECTOR: IAN COOK | Management | For |
| For |
| |||||||
| 1D | ELECTION OF DIRECTOR: HELENE D. GAYLE | Management | For |
| For |
| |||||||
| 1E | ELECTION OF DIRECTOR: ELLEN M. | Management | For |
| For |
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| 1F | ELECTION OF DIRECTOR: JOSEPH JIMENEZ | Management | For |
| For |
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| 1G | ELECTION OF DIRECTOR: RICHARD J. | Management | For |
| For |
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| 1H | ELECTION OF DIRECTOR: DELANO E. LEWIS | Management | For |
| For |
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| 1I | ELECTION OF DIRECTOR: J. PEDRO | Management | For |
| For |
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| 1J | ELECTION OF DIRECTOR: STEPHEN I. | Management | For |
| For |
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| 2. | RATIFY SELECTION OF | Management | For |
| For |
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| 3. | ADVISORY VOTE ON EXECUTIVE | Management | For |
| For |
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| 4. | APPROVE THE COLGATE-PALMOLIVE | Management | For |
| For |
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| 5. | STOCKHOLDER PROPOSAL ON EXECUTIVE | Shareholder | Against |
| For |
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| MARKEL CORPORATION | |||||||||||||
| Security | 570535104 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | MKL |
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| Meeting Date | 13-May-2013 | |||||||
| ISIN | US5705351048 |
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| Agenda | 933745309 - Management | |||||||
| Record Date | 07-Mar-2013 |
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| Holding Recon Date | 07-Mar-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 10-May-2013 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: J. ALFRED | Management | For |
| For |
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| 1B. | ELECTION OF DIRECTOR: DOUGLAS C. EBY | Management | For |
| For |
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| 1C. | ELECTION OF DIRECTOR: STEWART M. | Management | For |
| For |
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| 1D. | ELECTION OF DIRECTOR: ALAN I. KIRSHNER | Management | For |
| For |
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| 1E. | ELECTION OF DIRECTOR: LEMUEL E. LEWIS | Management | For |
| For |
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| 1F. | ELECTION OF DIRECTOR: DARRELL D. | Management | Against |
| Against |
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| 1G. | ELECTION OF DIRECTOR: ANTHONY F. | Management | For |
| For |
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| 1H. | ELECTION OF DIRECTOR: STEVEN A. | Management | For |
| For |
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| 1I. | ELECTION OF DIRECTOR: JAY M. WEINBERG | Management | For |
| For |
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| 1J. | ELECTION OF DIRECTOR: DEBORA J. | Management | For |
| For |
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| 1K. | ELECTION OF DIRECTOR: K. BRUCE | Management | For |
| For |
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| 1L. | ELECTION OF DIRECTOR: MICHAEL O'REILLY | Management | For |
| For |
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| 2. | TO RATIFY THE SELECTION OF KPMG LLP | Management | For |
| For |
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| UNION PACIFIC CORPORATION | |||||||||||||
| Security | 907818108 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | UNP |
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| Meeting Date | 16-May-2013 | |||||||
| ISIN | US9078181081 |
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| Agenda | 933779398 - Management | |||||||
| Record Date | 28-Feb-2013 |
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| Holding Recon Date | 28-Feb-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 15-May-2013 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: A.H. CARD, JR. | Management | For |
| For |
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| 1B. | ELECTION OF DIRECTOR: E.B. DAVIS, JR. | Management | For |
| For |
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| 1C. | ELECTION OF DIRECTOR: T.J. DONOHUE | Management | For |
| For |
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| 1D. | ELECTION OF DIRECTOR: A.W. DUNHAM | Management | For |
| For |
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| 1E. | ELECTION OF DIRECTOR: J.R. HOPE | Management | For |
| For |
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| 1F. | ELECTION OF DIRECTOR: J.J. KORALESKI | Management | For |
| For |
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| 1G. | ELECTION OF DIRECTOR: C.C. KRULAK | Management | For |
| For |
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| 1H. | ELECTION OF DIRECTOR: M.R. MCCARTHY | Management | For |
| For |
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| 1I. | ELECTION OF DIRECTOR: M.W. MCCONNELL | Management | For |
| For |
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| 1J. | ELECTION OF DIRECTOR: T.F. MCLARTY III | Management | For |
| For |
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| 1K. | ELECTION OF DIRECTOR: S.R. ROGEL | Management | For |
| For |
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| 1L. | ELECTION OF DIRECTOR: J.H. VILLARREAL | Management | For |
| For |
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| 1M. | ELECTION OF DIRECTOR: J.R. YOUNG | Management | For |
| For |
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| 2. | RATIFICATION OF THE APPOINTMENT OF | Management | For |
| For |
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| 3. | AN ADVISORY VOTE ON EXECUTIVE | Management | For |
| For |
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| 4. | ADOPT THE UNION PACIFIC CORPORATION | Management | For |
| For |
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| 5. | SHAREHOLDER PROPOSAL REGARDING | Shareholder | Against |
| For |
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| MONDELEZ INTL, INC | |||||||||||||
| Security | 609207105 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | MDLZ |
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| Meeting Date | 21-May-2013 | |||||||
| ISIN | US6092071058 |
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| Agenda | 933759625 - Management | |||||||
| Record Date | 15-Mar-2013 |
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| Holding Recon Date | 15-Mar-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 20-May-2013 | |||||
| SEDOL(s) |
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: STEPHEN F. | Management | For |
| For |
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| 1B. | ELECTION OF DIRECTOR: LEWIS W.K. | Management | For |
| For |
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| 1C. | ELECTION OF DIRECTOR: LOIS D. JULIBER | Management | For |
| For |
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| 1D. | ELECTION OF DIRECTOR: MARK D. | Management | For |
| For |
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| 1E. | ELECTION OF DIRECTOR: JORGE S. | Management | For |
| For |
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| 1F. | ELECTION OF DIRECTOR: FREDRIC G. | Management | For |
| For |
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| 1G. | ELECTION OF DIRECTOR: IRENE B. | Management | For |
| For |
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| 1H. | ELECTION OF DIRECTOR: PATRICK T. | Management | For |
| For |
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| 1I. | ELECTION OF DIRECTOR: RUTH J. SIMMONS | Management | For |
| For |
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| 1J | ELECTION OF DIRECTOR: RATAN N. TATA | Management | For |
| For |
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| 1K | ELECTION OF DIRECTOR: J.F. VAN | Management | For |
| For |
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| 2. | ADVISORY VOTE TO APPROVE EXECUTIVE | Management | Against |
| Against |
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| 3. | RATIFICATION OF | Management | For |
| For |
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| 4. | SHAREHOLDER PROPOSAL: REPORT ON | Shareholder | Against |
| For |
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| 5 | SHAREHOLDER PROPOSAL: | Shareholder | Against |
| For |
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| AMERICAN TOWER CORPORATION | |||||||||||||
| Security | 03027X100 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | AMT |
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| Meeting Date | 21-May-2013 | |||||||
| ISIN | US03027X1000 |
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| Agenda | 933777457 - Management | |||||||
| Record Date | 26-Mar-2013 |
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| Holding Recon Date | 26-Mar-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 20-May-2013 | |||||
| SEDOL(s) |
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: RAYMOND P. | Management | For |
| For |
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| 1B. | ELECTION OF DIRECTOR: RONALD M. DYKES | Management | For |
| For |
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| 1C. | ELECTION OF DIRECTOR: CAROLYN F. KATZ | Management | For |
| For |
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| 1D. | ELECTION OF DIRECTOR: GUSTAVO LARA | Management | For |
| For |
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| 1E. | ELECTION OF DIRECTOR: JOANN A. REED | Management | For |
| For |
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| 1F. | ELECTION OF DIRECTOR: PAMELA D.A. | Management | For |
| For |
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| 1G. | ELECTION OF DIRECTOR: DAVID E. | Management | For |
| For |
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| 1H. | ELECTION OF DIRECTOR: JAMES D. | Management | For |
| For |
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| 1I. | ELECTION OF DIRECTOR: SAMME L. | Management | For |
| For |
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| 2. | TO RATIFY THE SELECTION OF DELOITTE & | Management | For |
| For |
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| 3. | TO APPROVE, ON AN ADVISORY BASIS, THE | Management | For |
| For |
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| 4. | TO APPROVE AN AMENDMENT TO THE | Management | For |
| For |
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| THERMO FISHER SCIENTIFIC INC. | |||||||||||||
| Security | 883556102 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | TMO |
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| Meeting Date | 22-May-2013 | |||||||
| ISIN | US8835561023 |
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| Agenda | 933783056 - Management | |||||||
| Record Date | 01-Apr-2013 |
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| Holding Recon Date | 01-Apr-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 21-May-2013 | |||||
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: C. MARTIN HARRIS | Management | For |
| For |
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| 1B. | ELECTION OF DIRECTOR: JUDY C. LEWENT | Management | For |
| For |
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| 1C. | ELECTION OF DIRECTOR: JIM P. MANZI | Management | For |
| For |
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| 1D. | ELECTION OF DIRECTOR: LARS R. | Management | For |
| For |
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| 1E. | ELECTION OF DIRECTOR: ELAINE S. ULLIAN | Management | For |
| For |
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| 1F. | ELECTION OF DIRECTOR: MARC N. CASPER | Management | For |
| For |
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| 1G. | ELECTION OF DIRECTOR: NELSON J. CHAI | Management | For |
| For |
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| 1H. | ELECTION OF DIRECTOR: TYLER JACKS | Management | For |
| For |
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| 2. | AN ADVISORY VOTE TO APPROVE NAMED | Management | For |
| For |
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| 3. | APPROVAL AND ADOPTION OF THE THERMO | Management | For |
| For |
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| 4. | APPROVAL AND ADOPTION OF THE THERMO | Management | For |
| For |
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| 5. | RATIFICATION OF THE AUDIT COMMITTEE'S | Management | For |
| For |
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| THE HOME DEPOT, INC. | |||||||||||||
| Security | 437076102 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | HD |
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| Meeting Date | 23-May-2013 | |||||||
| ISIN | US4370761029 |
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| Agenda | 933779259 - Management | |||||||
| Record Date | 25-Mar-2013 |
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| Holding Recon Date | 25-Mar-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 22-May-2013 | |||||
| SEDOL(s) |
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: F. DUANE | Management | For |
| For |
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| 1B. | ELECTION OF DIRECTOR: FRANCIS S. BLAKE | Management | For |
| For |
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| 1C. | ELECTION OF DIRECTOR: ARI BOUSBIB | Management | For |
| For |
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| 1D. | ELECTION OF DIRECTOR: GREGORY D. | Management | For |
| For |
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| 1E. | ELECTION OF DIRECTOR: J. FRANK BROWN | Management | For |
| For |
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| 1F. | ELECTION OF DIRECTOR: ALBERT P. CAREY | Management | For |
| For |
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| 1G. | ELECTION OF DIRECTOR: ARMANDO | Management | Against |
| Against |
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| 1H. | ELECTION OF DIRECTOR: BONNIE G. HILL | Management | For |
| For |
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| 1I. | ELECTION OF DIRECTOR: KAREN L. KATEN | Management | For |
| For |
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| 1J. | ELECTION OF DIRECTOR: MARK VADON | Management | For |
| For |
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| 2. | PROPOSAL TO RATIFY THE APPOINTMENT | Management | For |
| For |
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| 3. | ADVISORY VOTE TO APPROVE EXECUTIVE | Management | For |
| For |
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| 4. | APPROVAL OF THE MATERIAL TERMS OF | Management | For |
| For |
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| 5. | APPROVAL OF THE AMENDED AND | Management | For |
| For |
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| 6. | SHAREHOLDER PROPOSAL REGARDING | Shareholder | Against |
| For |
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| 7. | SHAREHOLDER PROPOSAL REGARDING | Shareholder | Against |
| For |
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| EXXON MOBIL CORPORATION | |||||||||||||
| Security | 30231G102 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | XOM |
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| Meeting Date | 29-May-2013 | |||||||
| ISIN | US30231G1022 |
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| Agenda | 933791243 - Management | |||||||
| Record Date | 04-Apr-2013 |
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| Holding Recon Date | 04-Apr-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 28-May-2013 | |||||
| SEDOL(s) |
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1. | DIRECTOR | Management |
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| 1 | M.J. BOSKIN |
| For | For |
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| 2 | P. BRABECK-LETMATHE |
| For | For |
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| 3 | U.M. BURNS |
| For | For |
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| 4 | L.R. FAULKNER |
| For | For |
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| 5 | J.S. FISHMAN |
| For | For |
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| 6 | H.H. FORE |
| For | For |
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| 7 | K.C. FRAZIER |
| For | For |
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| 8 | W.W. GEORGE |
| For | For |
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| 9 | S.J. PALMISANO |
| For | For |
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| 10 | S.S REINEMUND |
| For | For |
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| 11 | R.W. TILLERSON |
| For | For |
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| 12 | W.C. WELDON |
| For | For |
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| 13 | E.E. WHITACRE, JR. |
| For | For |
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| 2. | RATIFICATION OF INDEPENDENT AUDITORS | Management | For |
| For |
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| 3. | ADVISORY VOTE TO APPROVE EXECUTIVE | Management | For |
| For |
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| 4. | INDEPENDENT CHAIRMAN (PAGE 63) | Shareholder | For |
| Against |
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| 5. | MAJORITY VOTE FOR DIRECTORS (PAGE 64) | Shareholder | For |
| Against |
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| 6. | LIMIT DIRECTORSHIPS (PAGE 65) | Shareholder | Against |
| For |
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| 7. | REPORT ON LOBBYING (PAGE 66) | Shareholder | Against |
| For |
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| 8. | POLITICAL CONTRIBUTIONS POLICY (PAGE | Shareholder | Against |
| For |
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| 9. | AMENDMENT OF EEO POLICY (PAGE 69) | Shareholder | For |
| Against |
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| 10. | REPORT ON NATURAL GAS PRODUCTION | Shareholder | Against |
| For |
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| 11. | GREENHOUSE GAS EMISSIONS GOALS | Shareholder | Against |
| For |
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| GOOGLE INC. | |||||||||||||
| Security | 38259P508 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | GOOG |
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| Meeting Date | 06-Jun-2013 | |||||||
| ISIN | US38259P5089 |
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| Agenda | 933801905 - Management | |||||||
| Record Date | 08-Apr-2013 |
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| Holding Recon Date | 08-Apr-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 05-Jun-2013 | |||||
| SEDOL(s) |
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1. | DIRECTOR | Management |
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| 1 | LARRY PAGE |
| For | For |
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| 2 | SERGEY BRIN |
| For | For |
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| 3 | ERIC E. SCHMIDT |
| For | For |
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| 4 | L. JOHN DOERR |
| For | For |
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| 5 | DIANE B. GREENE |
| For | For |
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| 6 | JOHN L. HENNESSY |
| Withheld | Against |
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| 7 | ANN MATHER |
| For | For |
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| 8 | PAUL S. OTELLINI |
| For | For |
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| 9 | K. RAM SHRIRAM |
| For | For |
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| 10 | SHIRLEY M. TILGHMAN |
| For | For |
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| 2. | THE RATIFICATION OF THE APPOINTMENT | Management | For |
| For |
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| 3. | A STOCKHOLDER PROPOSAL REGARDING A | Shareholder | Against |
| For |
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| 4. | A STOCKHOLDER PROPOSAL REGARDING | Shareholder | For |
| Against |
| |||||||
| 5. | A STOCKHOLDER PROPOSAL REGARDING | Shareholder | Against |
| For |
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| 6. | A STOCKHOLDER PROPOSAL REGARDING | Shareholder | Against |
| For |
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| TARGET CORPORATION | |||||||||||||
| Security | 87612E106 |
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| Meeting Type | Annual | |||||||
| Ticker Symbol | TGT |
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| Meeting Date | 12-Jun-2013 | |||||||
| ISIN | US87612E1064 |
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| Agenda | 933808163 - Management | |||||||
| Record Date | 15-Apr-2013 |
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| Holding Recon Date | 15-Apr-2013 | |||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 11-Jun-2013 | |||||
| SEDOL(s) |
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| Item | Proposal |
| Type | Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: ROXANNE S. | Management | For |
| For |
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| 1B. | ELECTION OF DIRECTOR: DOUGLAS M. | Management | For |
| For |
| |||||||
| 1C. | ELECTION OF DIRECTOR: HENRIQUE DE | Management | For |
| For |
| |||||||
| 1D. | ELECTION OF DIRECTOR: CALVIN DARDEN | Management | For |
| For |
| |||||||
| 1E. | ELECTION OF DIRECTOR: MARY N. DILLON | Management | For |
| For |
| |||||||
| 1F. | ELECTION OF DIRECTOR: JAMES A. | Management | Against |
| Against |
| |||||||
| 1G. | ELECTION OF DIRECTOR: MARY E. MINNICK | Management | For |
| For |
| |||||||
| 1H. | ELECTION OF DIRECTOR: ANNE M. | Management | Against |
| Against |
| |||||||
| 1I. | ELECTION OF DIRECTOR: DERICA W. RICE | Management | For |
| For |
| |||||||
| 1J. | ELECTION OF DIRECTOR: GREGG W. | Management | For |
| For |
| |||||||
| 1K. | ELECTION OF DIRECTOR: JOHN G. STUMPF | Management | For |
| For |
| |||||||
| 1L. | ELECTION OF DIRECTOR: SOLOMON D. | Management | For |
| For |
| |||||||
| 2. | COMPANY PROPOSAL TO RATIFY THE | Management | For |
| For |
| |||||||
| 3. | COMPANY PROPOSAL TO APPROVE, ON AN | Management | Against |
| Against |
| |||||||
| 4. | SHAREHOLDER PROPOSAL TO ADOPT A | Shareholder | For |
| Against |
| |||||||
| 5. | SHAREHOLDER PROPOSAL ON | Shareholder | Against |
| For |
|
Registrant: Dunham Funds - Dunham Focused Large Cap Growth Fund | |||||||||||
| Investment Company Act file number: 811-22153 |
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| Reporting Period: July 1, 2012 through June 30, 2013 |
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| BE AEROSPACE, INC. | ||||||||||
| Security | 073302101 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | BEAV |
| Meeting Date | 25-Jul-2012 | ||||||
| ISIN | US0733021010 |
| Agenda | 933657542 - Management | ||||||
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| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1. | DIRECTOR | Management |
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| 1 | RICHARD G. HAMERMESH |
| For | For |
| |||
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| 2 | AMIN J. KHOURY |
| For | For |
| |||
| 2. | SAY ON PAY - AN ADVISORY VOTE ON THE | Management | For |
| For |
| ||||
| 3. | PROPOSAL TO AMEND THE CERTIFICATE OF | Management | For |
| For |
| ||||
| 4. | PROPOSAL TO RATIFY THE APPOINTMENT | Management | For |
| For |
| ||||
| 5. | PROPOSAL TO AMEND THE BE AEROSPACE, | Management | For |
| For |
| ||||
| PRECISION CASTPARTS CORP. | ||||||||||
| Security | 740189105 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | PCP |
| Meeting Date | 14-Aug-2012 | ||||||
| ISIN | US7401891053 |
| Agenda | 933660804 - Management | ||||||
|
|
|
|
|
|
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|
|
|
|
|
| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1. | DIRECTOR | Management |
|
|
|
| ||||
|
|
| 1 | MARK DONEGAN |
| For | For |
| |||
|
|
| 2 | VERNON E. OECHSLE |
| For | For |
| |||
|
|
| 3 | ULRICH SCHMIDT |
| For | For |
| |||
| 2. | RATIFICATION OF APPOINTMENT OF | Management | For |
| For |
| ||||
| 3. | ADVISORY VOTE REGARDING | Management | For |
| For |
| ||||
| 4. | RE-APPROVAL AND AMENDMENT OF THE | Management | For |
| For |
| ||||
| COACH, INC. | ||||||||||
| Security | 189754104 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | COH |
| Meeting Date | 07-Nov-2012 | ||||||
| ISIN | US1897541041 |
| Agenda | 933690287 - Management | ||||||
|
|
|
|
|
|
|
|
|
|
|
|
| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1. | DIRECTOR | Management |
|
|
|
| ||||
|
|
| 1 | LEW FRANKFORT |
| For | For |
| |||
|
|
| 2 | SUSAN KROPF |
| For | For |
| |||
|
|
| 3 | GARY LOVEMAN |
| For | For |
| |||
|
|
| 4 | IVAN MENEZES |
| For | For |
| |||
|
|
| 5 | IRENE MILLER |
| For | For |
| |||
|
|
| 6 | MICHAEL MURPHY |
| For | For |
| |||
|
|
| 7 | STEPHANIE TILENIUS |
| For | For |
| |||
|
|
| 8 | JIDE ZEITLIN |
| For | For |
| |||
| 2. | TO RATIFY THE APPOINTMENT OF DELOITTE | Management | For |
| For |
| ||||
| 3. | TO APPROVE, ON A NON-BINDING ADVISORY | Management | Against |
| Against |
| ||||
| VISA INC. | ||||||||||
| Security | 92826C839 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | V |
| Meeting Date | 30-Jan-2013 | ||||||
| ISIN | US92826C8394 |
| Agenda | 933718895 - Management | ||||||
|
|
|
|
|
|
|
|
|
|
|
|
| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1A. | ELECTION OF DIRECTOR: GARY P. | Management | For |
| For |
| ||||
| 1B. | ELECTION OF DIRECTOR: MARY B. | Management | For |
| For |
| ||||
| 1C. | ELECTION OF DIRECTOR: FRANCISCO | Management | For |
| For |
| ||||
| 1D. | ELECTION OF DIRECTOR: ROBERT W. | Management | For |
| For |
| ||||
| 1E. | ELECTION OF DIRECTOR: CATHY E. | Management | For |
| For |
| ||||
| 1F. | ELECTION OF DIRECTOR: SUZANNE NORA | Management | For |
| For |
| ||||
| 1G. | ELECTION OF DIRECTOR: DAVID J. PANG | Management | For |
| For |
| ||||
| 1H. | ELECTION OF DIRECTOR: JOSEPH W. | Management | For |
| For |
| ||||
| 1I. | ELECTION OF DIRECTOR: CHARLES W. | Management | For |
| For |
| ||||
| 1J. | ELECTION OF DIRECTOR: WILLIAM S. | Management | For |
| For |
| ||||
| 1K. | ELECTION OF DIRECTOR: JOHN A. | Management | For |
| For |
| ||||
| 2. | APPROVAL, ON AN ADVISORY BASIS, OF | Management | For |
| For |
| ||||
| 3. | RATIFICATION OF THE APPOINTMENT OF | Management | For |
| For |
| ||||
| 4. | STOCKHOLDER PROPOSAL ON LOBBYING | Shareholder | Against |
| For |
| ||||
| APPLE INC. | ||||||||||
| Security | 037833100 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | AAPL |
| Meeting Date | 27-Feb-2013 | ||||||
| ISIN | US0378331005 |
| Agenda | 933725042 - Management | ||||||
|
|
|
|
|
|
|
|
|
|
|
|
| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1. | DIRECTOR | Management |
|
|
|
| ||||
|
|
| 1 | WILLIAM CAMPBELL |
| For | For |
| |||
|
|
| 2 | TIMOTHY COOK |
| For | For |
| |||
|
|
| 3 | MILLARD DREXLER |
| For | For |
| |||
|
|
| 4 | AL GORE |
| For | For |
| |||
|
|
| 5 | ROBERT IGER |
| For | For |
| |||
|
|
| 6 | ANDREA JUNG |
| For | For |
| |||
|
|
| 7 | ARTHUR LEVINSON |
| For | For |
| |||
|
|
| 8 | RONALD SUGAR |
| For | For |
| |||
| 2. | AMENDMENT OF APPLE'S RESTATED | Management | For |
| For |
| ||||
| 3. | RATIFICATION OF THE APPOINTMENT OF | Management | For |
| For |
| ||||
| 4. | A NON-BINDING ADVISORY RESOLUTION TO | Management | For |
| For |
| ||||
| 5. | A SHAREHOLDER PROPOSAL ENTITLED | Shareholder | Against |
| For |
| ||||
| 6. | A SHAREHOLDER PROPOSAL ENTITLED | Shareholder | Against |
| For |
| ||||
| QUALCOMM INCORPORATED | ||||||||||
| Security | 747525103 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | QCOM |
| Meeting Date | 05-Mar-2013 | ||||||
| ISIN | US7475251036 |
| Agenda | 933726397 - Management | ||||||
|
|
|
|
|
|
|
|
|
|
|
|
| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1A | ELECTION OF DIRECTOR: BARBARA T. | Management | For |
| For |
| ||||
| 1B | ELECTION OF DIRECTOR: DONALD G. | Management | For |
| For |
| ||||
| 1C | ELECTION OF DIRECTOR: RAYMOND V. | Management | For |
| For |
| ||||
| 1D | ELECTION OF DIRECTOR: SUSAN | Management | For |
| For |
| ||||
| 1E | ELECTION OF DIRECTOR: THOMAS W. | Management | For |
| For |
| ||||
| 1F | ELECTION OF DIRECTOR: PAUL E. JACOBS | Management | For |
| For |
| ||||
| 1G | ELECTION OF DIRECTOR: SHERRY LANSING | Management | For |
| For |
| ||||
| 1H | ELECTION OF DIRECTOR: DUANE A. NELLES | Management | For |
| For |
| ||||
| 1I | ELECTION OF DIRECTOR: FRANCISCO ROS | Management | For |
| For |
| ||||
| 1J | ELECTION OF DIRECTOR: BRENT | Management | For |
| For |
| ||||
| 1K | ELECTION OF DIRECTOR: MARC I. STERN | Management | For |
| For |
| ||||
| 02 | TO APPROVE THE 2006 LONG-TERM | Management | For |
| For |
| ||||
| 03 | TO RATIFY THE SELECTION OF | Management | For |
| For |
| ||||
| 04 | ADVISORY APPROVAL OF THE COMPANY'S | Management | For |
| For |
| ||||
| TRANSDIGM GROUP INCORPORATED | ||||||||||
| Security | 893641100 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | TDG |
| Meeting Date | 06-Mar-2013 | ||||||
| ISIN | US8936411003 |
| Agenda | 933729355 - Management | ||||||
|
|
|
|
|
|
|
|
|
|
|
|
| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1. | DIRECTOR | Management |
|
|
|
| ||||
|
|
| 1 | MERVIN DUNN |
| For | For |
| |||
|
|
| 2 | MICHAEL GRAFF |
| For | For |
| |||
| 2. | TO APPROVE (IN AN ADVISORY VOTE) | Management | For |
| For |
| ||||
| 3. | TO RATIFY THE SELECTION OF ERNST & | Management | For |
| For |
| ||||
| 4. | TO VOTE ON A STOCKHOLDER PROPOSAL, | Shareholder | For |
| N/A |
| ||||
| F5 NETWORKS, INC. | ||||||||||
| Security | 315616102 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | FFIV |
| Meeting Date | 13-Mar-2013 | ||||||
| ISIN | US3156161024 |
| Agenda | 933728985 - Management | ||||||
|
|
|
|
|
|
|
|
|
|
|
|
| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1A. | ELECTION OF CLASS I DIRECTOR: MICHAEL | Management | For |
| For |
| ||||
| 1B. | ELECTION OF CLASS I DIRECTOR: SANDRA | Management | For |
| For |
| ||||
| 1C. | ELECTION OF CLASS II DIRECTOR: | Management | For |
| For |
| ||||
| 1D. | ELECTION OF CLASS II DIRECTOR: ALAN J. | Management | For |
| For |
| ||||
| 1E. | ELECTION OF CLASS II DIRECTOR: JOHN | Management | For |
| For |
| ||||
| 1F. | ELECTION OF CLASS III DIRECTOR: | Management | For |
| For |
| ||||
| 2. | RATIFY THE SELECTION OF | Management | For |
| For |
| ||||
| 3. | ADVISORY VOTE ON COMPENSATION OF | Management | For |
| For |
| ||||
| 4. | ADOPT AND APPROVE AN AMENDMENT TO | Management | For |
| For |
| ||||
| WHOLE FOODS MARKET, INC. | ||||||||||
| Security | 966837106 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | WFM |
| Meeting Date | 15-Mar-2013 | ||||||
| ISIN | US9668371068 |
| Agenda | 933728923 - Management | ||||||
|
|
|
|
|
|
|
|
|
|
|
|
| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1. | DIRECTOR | Management |
|
|
|
| ||||
|
|
| 1 | DR. JOHN ELSTROTT |
| For | For |
| |||
|
|
| 2 | GABRIELLE GREENE |
| For | For |
| |||
|
|
| 3 | SHAHID (HASS) HASSAN |
| For | For |
| |||
|
|
| 4 | STEPHANIE KUGELMAN |
| For | For |
| |||
|
|
| 5 | JOHN MACKEY |
| For | For |
| |||
|
|
| 6 | WALTER ROBB |
| For | For |
| |||
|
|
| 7 | JONATHAN SEIFFER |
| For | For |
| |||
|
|
| 8 | MORRIS (MO) SIEGEL |
| For | For |
| |||
|
|
| 9 | JONATHAN SOKOLOFF |
| For | For |
| |||
|
|
| 10 | DR. RALPH SORENSON |
| For | For |
| |||
|
|
| 11 | W. (KIP) TINDELL, III |
| For | For |
| |||
| 2. | TO RATIFY THE APPOINTMENT OF ERNST & | Management | For |
| For |
| ||||
| 3. | TO CONDUCT AN ADVISORY VOTE TO | Management | For |
| For |
| ||||
| 4. | TO RATIFY THE AMENDMENT OF THE | Management | For |
| For |
| ||||
| 5. | SHAREHOLDER PROPOSAL REGARDING | Shareholder | Against |
| For |
| ||||
| 6. | SHAREHOLDER PROPOSAL TO REQUIRE | Shareholder | Against |
| For |
| ||||
| STARBUCKS CORPORATION | ||||||||||
| Security | 855244109 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | SBUX |
| Meeting Date | 20-Mar-2013 | ||||||
| ISIN | US8552441094 |
| Agenda | 933726842 - Management | ||||||
|
|
|
|
|
|
|
|
|
|
|
|
| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1A. | ELECTION OF DIRECTOR: HOWARD | Management | For |
| For |
| ||||
| 1B. | ELECTION OF DIRECTOR: WILLIAM W. | Management | For |
| For |
| ||||
| 1C. | ELECTION OF DIRECTOR: ROBERT M. GATES | Management | For |
| For |
| ||||
| 1D. | ELECTION OF DIRECTOR: MELLODY | Management | For |
| For |
| ||||
| 1E. | ELECTION OF DIRECTOR: KEVIN R. | Management | For |
| For |
| ||||
| 1F. | ELECTION OF DIRECTOR: OLDEN LEE | Management | For |
| For |
| ||||
| 1G. | ELECTION OF DIRECTOR: JOSHUA COOPER | Management | For |
| For |
| ||||
| 1H. | ELECTION OF DIRECTOR: JAMES G. | Management | For |
| For |
| ||||
| 1I. | ELECTION OF DIRECTOR: CLARA SHIH | Management | For |
| For |
| ||||
| 1J. | ELECTION OF DIRECTOR: JAVIER G. TERUEL | Management | For |
| For |
| ||||
| 1K. | ELECTION OF DIRECTOR: MYRON E. | Management | For |
| For |
| ||||
| 1L. | ELECTION OF DIRECTOR: CRAIG E. | Management | For |
| For |
| ||||
| 2. | APPROVAL OF AN ADVISORY RESOLUTION | Management | For |
| For |
| ||||
| 3. | APPROVAL OF AN AMENDMENT AND | Management | For |
| For |
| ||||
| 4. | RATIFICATION OF THE SELECTION OF | Management | For |
| For |
| ||||
| 5. | SHAREHOLDER PROPOSAL TO PROHIBIT | Shareholder | Against |
| For |
| ||||
| SALESFORCE.COM, INC. | ||||||||||
| Security | 79466L302 |
| Meeting Type | Special | ||||||
| Ticker Symbol | CRM |
| Meeting Date | 20-Mar-2013 | ||||||
| ISIN | US79466L3024 |
| Agenda | 933734851 - Management | ||||||
|
|
|
|
|
|
|
|
|
|
|
|
| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1. | APPROVAL OF THE AMENDMENT AND | Management | For |
| For |
| ||||
| SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.) | ||||||||||
| Security | 806857108 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | SLB |
| Meeting Date | 10-Apr-2013 | ||||||
| ISIN | AN8068571086 |
| Agenda | 933739382 - Management | ||||||
|
|
|
|
|
|
|
|
|
|
|
|
| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1A. | ELECTION OF DIRECTOR: PETER L.S. | Management | For |
| For |
| ||||
| 1B. | ELECTION OF DIRECTOR: TONY ISAAC | Management | For |
| For |
| ||||
| 1C. | ELECTION OF DIRECTOR: K. VAMAN KAMATH | Management | For |
| For |
| ||||
| 1D. | ELECTION OF DIRECTOR: PAAL KIBSGAARD | Management | For |
| For |
| ||||
| 1E. | ELECTION OF DIRECTOR: NIKOLAY | Management | For |
| For |
| ||||
| 1F. | ELECTION OF DIRECTOR: ADRIAN LAJOUS | Management | For |
| For |
| ||||
| 1G. | ELECTION OF DIRECTOR: MICHAEL E. | Management | For |
| For |
| ||||
| 1H. | ELECTION OF DIRECTOR: LUBNA S. OLAYAN | Management | For |
| For |
| ||||
| 1I. | ELECTION OF DIRECTOR: L. RAFAEL REIF | Management | For |
| For |
| ||||
| 1J. | ELECTION OF DIRECTOR: TORE I. | Management | For |
| For |
| ||||
| 1K. | ELECTION OF DIRECTOR: HENRI SEYDOUX | Management | For |
| For |
| ||||
| 2. | TO APPROVE, ON AN ADVISORY BASIS, THE | Management | For |
| For |
| ||||
| 3. | TO APPROVE THE COMPANY'S 2012 | Management | For |
| For |
| ||||
| 4. | TO APPROVE THE APPOINTMENT OF THE | Management | For |
| For |
| ||||
| 5. | TO APPROVE THE ADOPTION OF THE 2013 | Management | For |
| For |
| ||||
| 6. | TO APPROVE THE ADOPTION OF AN | Management | For |
| For |
| ||||
| INTUITIVE SURGICAL, INC. | ||||||||||
| Security | 46120E602 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | ISRG |
| Meeting Date | 25-Apr-2013 | ||||||
| ISIN | US46120E6023 |
| Agenda | 933742125 - Management | ||||||
|
|
|
|
|
|
|
|
|
|
|
|
| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1.1 | ELECTION OF DIRECTOR: AMAL M. | Management | For |
| For |
| ||||
| 1.2 | ELECTION OF DIRECTOR: ERIC H. | Management | For |
| For |
| ||||
| 1.3 | ELECTION OF DIRECTOR: ALAN J. LEVY, | Management | For |
| For |
| ||||
| 2. | TO APPROVE THE AMENDMENT AND | Management | For |
| For |
| ||||
| 3. | TO APPROVE, BY ADVISORY VOTE, THE | Management | For |
| For |
| ||||
| 4. | THE RATIFICATION OF THE APPOINTMENT | Management | For |
| For |
| ||||
| ALLERGAN, INC. | ||||||||||
| Security | 018490102 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | AGN |
| Meeting Date | 30-Apr-2013 | ||||||
| ISIN | US0184901025 |
| Agenda | 933747618 - Management | ||||||
|
|
|
|
|
|
|
|
|
|
|
|
| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1A | ELECTION OF DIRECTOR: DAVID E.I. PYOTT | Management | For |
| For |
| ||||
| 1B | ELECTION OF DIRECTOR: MICHAEL R. | Management | For |
| For |
| ||||
| 1C | ELECTION OF DIRECTOR: DEBORAH | Management | For |
| For |
| ||||
| 1D | ELECTION OF DIRECTOR: DAWN HUDSON | Management | For |
| For |
| ||||
| 1E | ELECTION OF DIRECTOR: TREVOR M. | Management | For |
| For |
| ||||
| 1F | ELECTION OF DIRECTOR: LOUIS J. LAVIGNE, | Management | For |
| For |
| ||||
| 1G | ELECTION OF DIRECTOR: PETER J. | Management | For |
| For |
| ||||
| 1H | ELECTION OF DIRECTOR: TIMOTHY D. | Management | For |
| For |
| ||||
| 1I | ELECTION OF DIRECTOR: RUSSELL T. RAY | Management | For |
| For |
| ||||
| 2 | RATIFICATION OF THE APPOINTMENT OF | Management | For |
| For |
| ||||
| 3 | ADVISORY VOTE ON THE COMPENSATION | Management | For |
| For |
| ||||
| 4 | APPROVE THE AMENDMENT AND | Management | For |
| For |
| ||||
| 5.1 | STOCKHOLDER PROPOSAL #1 - RIGHT TO | Shareholder | For |
| Against |
| ||||
| 5.2 | STOCKHOLDER PROPOSAL #2 - | Shareholder | Against |
| For |
| ||||
| UNDER ARMOUR, INC. | ||||||||||
| Security | 904311107 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | UA |
| Meeting Date | 30-Apr-2013 | ||||||
| ISIN | US9043111072 |
| Agenda | 933748862 - Management | ||||||
|
|
|
|
|
|
|
|
|
|
|
|
| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1. | DIRECTOR | Management |
|
|
|
| ||||
|
|
| 1 | KEVIN A. PLANK |
| For | For |
| |||
|
|
| 2 | BYRON K. ADAMS, JR. |
| For | For |
| |||
|
|
| 3 | DOUGLAS E. COLTHARP |
| For | For |
| |||
|
|
| 4 | ANTHONY W. DEERING |
| For | For |
| |||
|
|
| 5 | A.B. KRONGARD |
| For | For |
| |||
|
|
| 6 | WILLIAM R. MCDERMOTT |
| For | For |
| |||
|
|
| 7 | ERIC T. OLSON |
| For | For |
| |||
|
|
| 8 | BRENDA PIPER |
| For | For |
| |||
|
|
| 9 | HARVEY L. SANDERS |
| For | For |
| |||
|
|
| 10 | THOMAS J. SIPPEL |
| For | For |
| |||
| 2. | TO APPROVE, BY NON-BINDING VOTE, THE | Management | For |
| For |
| ||||
| 3. | TO APPROVE OUR EXECUTIVE INCENTIVE | Management | For |
| For |
| ||||
| 4. | RATIFICATION OF APPOINTMENT OF | Management | For |
| For |
| ||||
| ARM HOLDINGS PLC | ||||||||||
| Security | 042068106 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | ARMH |
| Meeting Date | 02-May-2013 | ||||||
| ISIN | US0420681068 |
| Agenda | 933769640 - Management | ||||||
|
|
|
|
|
|
|
|
|
|
|
|
| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1. | TO RECEIVE THE ANNUAL REPORT AND | Management | For |
| For |
| ||||
| 2. | TO DECLARE A FINAL DIVIDEND | Management | For |
| For |
| ||||
| 3. | TO APPROVE THE REMUNERATION REPORT | Management | For |
| For |
| ||||
| 4. | TO RE-ELECT SIR JOHN BUCHANAN AS A | Management | For |
| For |
| ||||
| 5. | TO RE-ELECT WARREN EAST AS A | Management | For |
| For |
| ||||
| 6. | TO RE-ELECT ANDY GREEN AS A DIRECTOR | Management | For |
| For |
| ||||
| 7. | TO RE-ELECT LARRY HIRST AS A DIRECTOR | Management | For |
| For |
| ||||
| 8. | TO RE-ELECT MIKE MULLER AS A DIRECTOR | Management | For |
| For |
| ||||
| 9. | TO RE-ELECT KATHLEEN O'DONOVAN AS A | Management | For |
| For |
| ||||
| 10. | TO RE-ELECT JANICE ROBERTS AS A | Management | For |
| For |
| ||||
| 11. | TO RE-ELECT PHILIP ROWLEY AS A | Management | For |
| For |
| ||||
| 12. | TO RE-ELECT TIM SCORE AS A DIRECTOR | Management | For |
| For |
| ||||
| 13. | TO RE-ELECT SIMON SEGARS AS A | Management | For |
| For |
| ||||
| 14. | TO RE-APPOINT | Management | For |
| For |
| ||||
| 15. | TO AUTHORISE THE DIRECTORS TO FIX THE | Management | For |
| For |
| ||||
| 16. | TO APPROVE THE NEW LONG TERM | Management | For |
| For |
| ||||
| 17. | TO GRANT THE DIRECTORS AUTHORITY TO | Management | For |
| For |
| ||||
| 18. | TO DISAPPLY PRE-EMPTION RIGHTS | Management | For |
| For |
| ||||
| 19. | TO AUTHORISE THE COMPANY TO MAKE | Management | For |
| For |
| ||||
| 20. | TO AUTHORISE THE COMPANY TO HOLD | Management | Against |
| Against |
| ||||
| ALEXION PHARMACEUTICALS, INC. | ||||||||||
| Security | 015351109 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | ALXN |
| Meeting Date | 06-May-2013 | ||||||
| ISIN | US0153511094 |
| Agenda | 933795051 - Management | ||||||
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| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1. | DIRECTOR | Management |
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| ||||
|
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| 1 | LEONARD BELL |
| For | For |
| |||
|
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| 2 | MAX LINK |
| For | For |
| |||
|
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| 3 | WILLIAM R. KELLER |
| For | For |
| |||
|
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| 4 | JOSEPH A. MADRI |
| For | For |
| |||
|
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| 5 | LARRY L. MATHIS |
| For | For |
| |||
|
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| 6 | R. DOUGLAS NORBY |
| For | For |
| |||
|
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| 7 | ALVIN S. PARVEN |
| For | For |
| |||
|
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| 8 | ANDREAS RUMMELT |
| For | For |
| |||
|
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| 9 | ANN M. VENEMAN |
| For | For |
| |||
| 2. | APPROVAL OF A NON-BINDING ADVISORY | Management | Against |
| Against |
| ||||
| 3. | APPROVAL OF THE AMENDED AND | Management | For |
| For |
| ||||
| 4. | RATIFICATION OF APPOINTMENT BY THE | Management | For |
| For |
| ||||
| CUMMINS INC. | ||||||||||
| Security | 231021106 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | CMI |
| Meeting Date | 14-May-2013 | ||||||
| ISIN | US2310211063 |
| Agenda | 933753382 - Management | ||||||
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| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1. | ELECTION OF DIRECTOR: N. THOMAS | Management | For |
| For |
| ||||
| 2. | ELECTION OF DIRECTOR: WILLIAM I. MILLER | Management | For |
| For |
| ||||
| 3. | ELECTION OF DIRECTOR: ALEXIS M. | Management | For |
| For |
| ||||
| 4. | ELECTION OF DIRECTOR: GEORGIA R. | Management | For |
| For |
| ||||
| 5. | ELECTION OF DIRECTOR: CARL WARE | Management | For |
| For |
| ||||
| 6. | ELECTION OF DIRECTOR: ROBERT K. | Management | For |
| For |
| ||||
| 7. | ELECTION OF DIRECTOR: ROBERT J. | Management | For |
| For |
| ||||
| 8. | ELECTION OF DIRECTOR: DR. FRANKLIN R. | Management | For |
| For |
| ||||
| 9. | ELECTION OF DIRECTOR: STEPHEN B. | Management | For |
| For |
| ||||
| 10. | ADVISORY VOTE TO APPROVE THE | Management | For |
| For |
| ||||
| 11. | PROPOSAL TO RATIFY THE APPOINTMENT | Management | For |
| For |
| ||||
| 12. | SHAREHOLDER PROPOSAL REGARDING | Shareholder | For |
| Against |
| ||||
| CHIPOTLE MEXICAN GRILL, INC. | ||||||||||
| Security | 169656105 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | CMG |
| Meeting Date | 17-May-2013 | ||||||
| ISIN | US1696561059 |
| Agenda | 933765464 - Management | ||||||
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| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1 | DIRECTOR | Management |
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| ||||
|
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| 1 | AL BALDOCCHI |
| For | For |
| |||
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| 2 | NEIL FLANZRAICH |
| For | For |
| |||
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| 3 | DARLENE FRIEDMAN |
| For | For |
| |||
| 2 | AN ADVISORY VOTE TO APPROVE THE | Management | For |
| For |
| ||||
| 3 | RATIFICATION OF THE SELECTION OF | Management | For |
| For |
| ||||
| 4 | A PROPOSAL TO APPROVE THE CHIPOTLE | Management | For |
| For |
| ||||
| 5 | A PROPOSAL TO AMEND OUR CERTIFICATE | Management | For |
| For |
| ||||
| 6 | A SHAREHOLDER PROPOSAL, IF PROPERLY | Shareholder | Against |
| For |
| ||||
| AMERICAN TOWER CORPORATION | ||||||||||
| Security | 03027X100 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | AMT |
| Meeting Date | 21-May-2013 | ||||||
| ISIN | US03027X1000 |
| Agenda | 933777457 - Management | ||||||
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| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1A. | ELECTION OF DIRECTOR: RAYMOND P. | Management | For |
| For |
| ||||
| 1B. | ELECTION OF DIRECTOR: RONALD M. DYKES | Management | For |
| For |
| ||||
| 1C. | ELECTION OF DIRECTOR: CAROLYN F. KATZ | Management | For |
| For |
| ||||
| 1D. | ELECTION OF DIRECTOR: GUSTAVO LARA | Management | For |
| For |
| ||||
| 1E. | ELECTION OF DIRECTOR: JOANN A. REED | Management | For |
| For |
| ||||
| 1F. | ELECTION OF DIRECTOR: PAMELA D.A. | Management | For |
| For |
| ||||
| 1G. | ELECTION OF DIRECTOR: DAVID E. | Management | For |
| For |
| ||||
| 1H. | ELECTION OF DIRECTOR: JAMES D. | Management | For |
| For |
| ||||
| 1I. | ELECTION OF DIRECTOR: SAMME L. | Management | For |
| For |
| ||||
| 2. | TO RATIFY THE SELECTION OF DELOITTE & | Management | For |
| For |
| ||||
| 3. | TO APPROVE, ON AN ADVISORY BASIS, THE | Management | For |
| For |
| ||||
| 4. | TO APPROVE AN AMENDMENT TO THE | Management | For |
| For |
| ||||
| NATIONAL OILWELL VARCO, INC. | ||||||||||
| Security | 637071101 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | NOV |
| Meeting Date | 22-May-2013 | ||||||
| ISIN | US6370711011 |
| Agenda | 933784464 - Management | ||||||
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| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1A. | ELECTION OF DIRECTOR: MERRILL A. | Management | For |
| For |
| ||||
| 1B. | ELECTION OF DIRECTOR: GREG L. | Management | For |
| For |
| ||||
| 1C. | ELECTION OF DIRECTOR: BEN A. GUILL | Management | For |
| For |
| ||||
| 1D. | ELECTION OF DIRECTOR: DAVID D. | Management | For |
| For |
| ||||
| 1E. | ELECTION OF DIRECTOR: ROGER L. JARVIS | Management | For |
| For |
| ||||
| 1F. | ELECTION OF DIRECTOR: ERIC L. MATTSON | Management | For |
| For |
| ||||
| 2. | RATIFICATION OF INDEPENDENT AUDITORS. | Management | For |
| For |
| ||||
| 3. | APPROVE, BY NON-BINDING VOTE, THE | Management | For |
| For |
| ||||
| 4. | APPROVE AMENDMENTS TO THE NATIONAL | Management | For |
| For |
| ||||
| 5. | APPROVE THE NATIONAL OILWELL VARCO, | Management | For |
| For |
| ||||
| AMAZON.COM, INC. | ||||||||||
| Security | 023135106 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | AMZN |
| Meeting Date | 23-May-2013 | ||||||
| ISIN | US0231351067 |
| Agenda | 933782612 - Management | ||||||
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| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1A. | ELECTION OF DIRECTOR: JEFFREY P. | Management | For |
| For |
| ||||
| 1B. | ELECTION OF DIRECTOR: TOM A. ALBERG | Management | For |
| For |
| ||||
| 1C. | ELECTION OF DIRECTOR: JOHN SEELY | Management | For |
| For |
| ||||
| 1D. | ELECTION OF DIRECTOR: WILLIAM B. | Management | For |
| For |
| ||||
| 1E. | ELECTION OF DIRECTOR: JAMIE S. | Management | For |
| For |
| ||||
| 1F. | ELECTION OF DIRECTOR: ALAIN MONIE | Management | For |
| For |
| ||||
| 1G. | ELECTION OF DIRECTOR: JONATHAN J. | Management | For |
| For |
| ||||
| 1H. | ELECTION OF DIRECTOR: THOMAS O. | Management | For |
| For |
| ||||
| 1I. | ELECTION OF DIRECTOR: PATRICIA Q. | Management | For |
| For |
| ||||
| 2. | RATIFICATION OF THE APPOINTMENT OF | Management | For |
| For |
| ||||
| 3. | SHAREHOLDER PROPOSAL REGARDING A | Shareholder | For |
| Against |
| ||||
| VMWARE, INC. | ||||||||||
| Security | 928563402 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | VMW |
| Meeting Date | 29-May-2013 | ||||||
| ISIN | US9285634021 |
| Agenda | 933793273 - Management | ||||||
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| Item | Proposal | Type | Vote | For/Against |
| |||||
| 2. | TO APPROVE, ON AN ADVISORY BASIS, THE | Management | For |
| For |
| ||||
| 3. | TO RATIFY THE SELECTION BY THE AUDIT | Management | For |
| For |
| ||||
| 4. | TO APPROVE THE AMENDED AND | Management | For |
| For |
| ||||
| 5. | TO APPROVE AN AMENDMENT TO THE 2007 | Management | For |
| For |
| ||||
| LAS VEGAS SANDS CORP. | ||||||||||
| Security | 517834107 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | LVS |
| Meeting Date | 05-Jun-2013 | ||||||
| ISIN | US5178341070 |
| Agenda | 933807387 - Management | ||||||
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| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1. | DIRECTOR | Management |
|
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| ||||
|
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| 1 | SHELDON G. ADELSON |
| For | For |
| |||
|
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| 2 | IRWIN CHAFETZ |
| For | For |
| |||
|
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| 3 | VICTOR CHALTIEL |
| For | For |
| |||
|
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| 4 | CHARLES A. KOPPELMAN |
| For | For |
| |||
| 2. | TO APPROVE THE PERFORMANCE-BASED | Management | For |
| For |
| ||||
| 3. | TO APPROVE THE PERFORMANCE-BASED | Management | For |
| For |
| ||||
| 4. | TO CONSIDER AND ACT UPON AN ADVISORY | Management | For |
| For |
| ||||
| ULTA SALON, COSMETICS & FRAGRANCE, INC | ||||||||||
| Security | 90384S303 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | ULTA |
| Meeting Date | 06-Jun-2013 | ||||||
| ISIN | US90384S3031 |
| Agenda | 933803163 - Management | ||||||
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| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1. | DIRECTOR | Management |
|
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| ||||
|
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| 1 | CHARLES HEILBRONN |
| For | For |
| |||
|
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| 2 | MICHAEL R. MACDONALD |
| For | For |
| |||
| 2. | RATIFICATION OF THE APPOINTMENT OF | Management | For |
| For |
| ||||
| 3. | ADVISORY RESOLUTION TO APPROVE THE | Management | For |
| For |
| ||||
| PRICELINE.COM INCORPORATED | ||||||||||
| Security | 741503403 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | PCLN |
| Meeting Date | 06-Jun-2013 | ||||||
| ISIN | US7415034039 |
| Agenda | 933805080 - Management | ||||||
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| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1. | DIRECTOR | Management |
|
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| ||||
|
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| 1 | TIM ARMSTRONG |
| For | For |
| |||
|
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| 2 | HOWARD W. BARKER, JR. |
| For | For |
| |||
|
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| 3 | JEFFERY H. BOYD |
| For | For |
| |||
|
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| 4 | JAN L. DOCTER |
| For | For |
| |||
|
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| 5 | JEFFREY E. EPSTEIN |
| For | For |
| |||
|
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| 6 | JAMES M. GUYETTE |
| For | For |
| |||
|
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| 7 | NANCY B. PERETSMAN |
| For | For |
| |||
|
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| 8 | THOMAS E. ROTHMAN |
| For | For |
| |||
|
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| 9 | CRAIG W. RYDIN |
| For | For |
| |||
| 2. | TO RATIFY THE SELECTION OF DELOITTE & | Management | For |
| For |
| ||||
| 3. | TO APPROVE ON AN ADVISORY BASIS THE | Management | For |
| For |
| ||||
| 4. | TO APPROVE AN AMENDMENT TO THE | Management | For |
| For |
| ||||
| 5. | TO CONSIDER AND VOTE UPON A NON- | Shareholder | Against |
| For |
| ||||
| SALESFORCE.COM, INC. | ||||||||||
| Security | 79466L302 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | CRM |
| Meeting Date | 06-Jun-2013 | ||||||
| ISIN | US79466L3024 |
| Agenda | 933825979 - Management | ||||||
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| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1.1 | ELECTION OF DIRECTOR: STRATTON | Management | For |
| For |
| ||||
| 1.2 | ELECTION OF DIRECTOR: LAWRENCE | Management | For |
| For |
| ||||
| 1.3 | ELECTION OF DIRECTOR: SHIRLEY YOUNG | Management | For |
| For |
| ||||
| 2. | APPROVAL OF THE AMENDMENT AND | Management | For |
| For |
| ||||
| 3. | APPROVAL OF THE COMPANY'S 2013 | Management | Against |
| Against |
| ||||
| 4. | RATIFICATION OF THE APPOINTMENT OF | Management | For |
| For |
| ||||
| 5. | ADVISORY VOTE TO APPROVE THE | Management | Against |
| Against |
| ||||
| FACEBOOK INC. | ||||||||||
| Security | 30303M102 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | FB |
| Meeting Date | 11-Jun-2013 | ||||||
| ISIN | US30303M1027 |
| Agenda | 933811538 - Management | ||||||
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| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1. | DIRECTOR | Management |
|
|
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| ||||
|
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| 1 | MARC L. ANDREESSEN |
| For | For |
| |||
|
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| 2 | ERSKINE B. BOWLES |
| For | For |
| |||
|
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| 3 | S.D. DESMOND-HELLMANN |
| For | For |
| |||
|
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| 4 | DONALD E. GRAHAM |
| For | For |
| |||
|
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| 5 | REED HASTINGS |
| For | For |
| |||
|
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| 6 | SHERYL K. SANDBERG |
| For | For |
| |||
|
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| 7 | PETER A. THIEL |
| For | For |
| |||
|
|
| 8 | MARK ZUCKERBERG |
| For | For |
| |||
| 2. | TO APPROVE, ON A NON-BINDING ADVISORY | Management | Against |
| Against |
| ||||
| 3. | TO VOTE, ON A NON-BINDING ADVISORY | Management | 1 Year |
| Against |
| ||||
| 4. | TO RATIFY THE APPOINTMENT OF ERNST & | Management | Against |
| Against |
| ||||
| CATERPILLAR INC. | ||||||||||
| Security | 149123101 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | CAT |
| Meeting Date | 12-Jun-2013 | ||||||
| ISIN | US1491231015 |
| Agenda | 933809937 - Management | ||||||
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| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1. | DIRECTOR | Management |
|
|
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| ||||
|
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| 1 | DAVID L. CALHOUN |
| For | For |
| |||
|
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| 2 | DANIEL M. DICKINSON |
| For | For |
| |||
|
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| 3 | JUAN GALLARDO |
| For | For |
| |||
|
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| 4 | DAVID R. GOODE |
| For | For |
| |||
|
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| 5 | JESSE J. GREENE, JR. |
| For | For |
| |||
|
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| 6 | JON M. HUNTSMAN, JR. |
| For | For |
| |||
|
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| 7 | PETER A. MAGOWAN |
| For | For |
| |||
|
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| 8 | DENNIS A. MUILENBURG |
| For | For |
| |||
|
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| 9 | DOUGLAS R. OBERHELMAN |
| For | For |
| |||
|
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| 10 | WILLIAM A. OSBORN |
| For | For |
| |||
|
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| 11 | CHARLES D. POWELL |
| For | For |
| |||
|
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| 12 | EDWARD B. RUST, JR. |
| For | For |
| |||
|
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| 13 | SUSAN C. SCHWAB |
| For | For |
| |||
|
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| 14 | JOSHUA I. SMITH |
| For | For |
| |||
|
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| 15 | MILES D. WHITE |
| For | For |
| |||
| 2. | RATIFY THE APPOINTMENT OF | Management | For |
| For |
| ||||
| 3. | ADVISORY VOTE ON EXECUTIVE | Management | For |
| For |
| ||||
| 4. | STOCKHOLDER PROPOSAL - DIRECTOR | Shareholder | For |
| Against |
| ||||
| 5. | STOCKHOLDER PROPOSAL - STOCKHOLDER | Shareholder | For |
| Against |
| ||||
| 6. | STOCKHOLDER PROPOSAL - EXECUTIVE | Shareholder | Against |
| For |
| ||||
| 7. | STOCKHOLDER PROPOSAL - | Shareholder | Against |
| For |
| ||||
| 8. | STOCKHOLDER PROPOSAL - REVIEW OF | Shareholder | Against |
| For |
| ||||
| 9. | STOCKHOLDER PROPOSAL - SALES TO | Shareholder | Against |
| For |
| ||||
| SPLUNK INC. | ||||||||||
| Security | 848637104 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | SPLK |
| Meeting Date | 13-Jun-2013 | ||||||
| ISIN | US8486371045 |
| Agenda | 933807440 - Management | ||||||
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| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1. | DIRECTOR | Management |
|
|
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| ||||
|
|
| 1 | DAVID M. HORNIK |
| For | For |
| |||
|
|
| 2 | THOMAS M. NEUSTAETTER |
| For | For |
| |||
| 2. | TO RATIFY THE APPOINTMENT OF | Management | For |
| For |
| ||||
| 3. | TO CONDUCT AN ADVISORY VOTE TO | Management | For |
| For |
| ||||
| 4. | TO CONDUCT AN ADVISORY VOTE ON THE | Management | 1 Year |
| For |
| ||||
| LINKEDIN CORPORATION | ||||||||||
| Security | 53578A108 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | LNKD |
| Meeting Date | 13-Jun-2013 | ||||||
| ISIN | US53578A1088 |
| Agenda | 933814065 - Management | ||||||
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| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1. | DIRECTOR | Management |
|
|
|
| ||||
|
|
| 1 | A. GEORGE "SKIP" BATTLE |
| For | For |
| |||
|
|
| 2 | MICHAEL J. MORITZ |
| For | For |
| |||
| 2. | RATIFICATION OF THE APPOINTMENT OF | Management | For |
| For |
| ||||
| REGENERON PHARMACEUTICALS, INC. | ||||||||||
| Security | 75886F107 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | REGN |
| Meeting Date | 14-Jun-2013 | ||||||
| ISIN | US75886F1075 |
| Agenda | 933806854 - Management | ||||||
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| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1. | DIRECTOR | Management |
|
|
|
| ||||
|
|
| 1 | MICHAEL S. BROWN, M.D. |
| For | For |
| |||
|
|
| 2 | LEONARD S. SCHLEIFER |
| For | For |
| |||
|
|
| 3 | ERIC M. SHOOTER, PH.D. |
| For | For |
| |||
|
|
| 4 | GEORGE D. YANCOPOULOS |
| For | For |
| |||
| 2. | PROPOSAL TO RATIFY THE APPOINTMENT | Management | For |
| For |
| ||||
| MASTERCARD INCORPORATED | ||||||||||
| Security | 57636Q104 |
| Meeting Type | Annual | ||||||
| Ticker Symbol | MA |
| Meeting Date | 18-Jun-2013 | ||||||
| ISIN | US57636Q1040 |
| Agenda | 933809761 - Management | ||||||
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|
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| Item | Proposal | Type | Vote | For/Against |
| |||||
| 1A. | ELECTION OF DIRECTOR: RICHARD | Management | For |
| For |
| ||||
| 1B. | ELECTION OF DIRECTOR: AJAY BANGA | Management | For |
| For |
| ||||
| 1C. | ELECTION OF DIRECTOR: SILVIO BARZI | Management | For |
| For |
| ||||
| 1D. | ELECTION OF DIRECTOR: DAVID R. | Management | For |
| For |
| ||||
| 1E. | ELECTION OF DIRECTOR: STEVEN J. | Management | For |
| For |
| ||||
| 1F. | ELECTION OF DIRECTOR: NANCY J. KARCH | Management | For |
| For |
| ||||
| 1G. | ELECTION OF DIRECTOR: MARC OLIVIE | Management | For |
| For |
| ||||
| 1H. | ELECTION OF DIRECTOR: RIMA QURESHI | Management | For |
| For |
| ||||
| 1I. | ELECTION OF DIRECTOR: JOSE OCTAVIO | Management | For |
| For |
| ||||
| 1J. | ELECTION OF DIRECTOR: MARK SCHWARTZ | Management | For |
| For |
| ||||
| 1K. | ELECTION OF DIRECTOR: JACKSON P. TAI | Management | For |
| For |
| ||||
| 1L. | ELECTION OF DIRECTOR: EDWARD SUNING | Management | For |
| For |
| ||||
| 2. | ADVISORY APPROVAL OF THE COMPANY'S | Management | For |
| For |
| ||||
| 3. | RATIFICATION OF THE APPOINTMENT OF | Management | For |
| For |
|
Registrant: Dunham Funds - Dunham Loss Averse Equity Income Fund |
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Investment Company Act file number: 811-22153 |
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Reporting Period: July 1, 2012 through June 30, 2013 |
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FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | |
1 | Apollo Investment Corporation | AINV | 03761U106 | annual 8/7/2012 |
| election of John J Hannan, James C Zelter, Ashok N Bakhru | Mgmt | Y | FOR | FOR |
2 | Apollo Investment Corporation | AINV | 03761U106 | annual 8/7/2012 |
| to ratify the selection of Pricewaterhousecoopers LLP to serve as the company's independent registered public accounting firm for the year ending March 31, 2013 | Mgmt | Y | FOR | FOR |
3 | Apollo Investment Corporation | AINV | 03761U106 | annual 8/7/2012 |
| to consider and vote upon a proposal to authorize flexibility for the company, with the approval of its board of directors, to sell shares of its common stock at a price below its then current net asset value per share | Mgmt | Y | FOR | FOR |
4 | Oclaro, Inc. | OCLR | 67555N206 | special 7/17/2012 |
| approval of the issuance of shares of Oclaro common stock to Opnext stockholders pursuant to the merger | Mgmt | Y | FOR | FOR |
5 | Oclaro, Inc. | OCLR | 67555N206 | special 7/17/2012 |
| approval of the amendment to Oclaro's restated certificate of Incorporation to increase the number of authorized shares of Oclaro to 176,000,000 | Mgmt | Y | FOR | FOR |
6 | Oclaro, Inc. | OCLR | 67555N206 | special 7/17/2012 |
| the adjournment of the special meeting, if necessary of appropriate, to solicit additional proxies if there are not sufficient votes to approve proposal nos. 1 and 2 | Mgmt | Y | FOR | FOR |
7 | Coronado Biosciences Inc. | CNDO | 21976U109 | annual 8/16/2012 |
| election of Glenn L Cooper, MD, Bobby Sandage Jr PhD, Eric K | Mgmt | Y | FOR | FOR |
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| Rowinsky MD, David J Barrett, Jimmie Harvey Jr MD, J Jay Lobell, |
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| Michael W Rogers, Lindsay A Rosenwald MD, Harlan F Weisman MD |
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8 | Coronado Biosciences Inc. | CNDO | 21976U109 | annual 8/16/2012 |
| approval and ratification of the Coronado Biosciences, Inc. 2012 employee stock purchase plan | Mgmt | Y | FOR | FOR |
9 | Coronado Biosciences Inc. | CNDO | 21976U109 | annual 8/16/2012 |
| ratification of Pricewaterhousecoopers LLP as ou independent registered public accounting firm for the fiscal year ending December 31, 2012 | Mgmt | Y | FOR | FOR |
10 | The Procter & Gamble Company | PG | 742718109 | annual 10/9/2012 |
| election of Angela F. Braly, Kenneth I Chenault, Scott D. Cook, | Mgmt | Y | FOR | FOR |
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| Susan Desmond-Hellmann, Robert A. McDonald, W. James McNerney, Jr., |
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| Johnathan A. Rodgers, Margaret C. Whitman, Mary Agnes Wilderotter, |
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| Patricia A. Woertz, Ernesto Zedillo |
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11 | The Procter & Gamble Company | PG | 742718109 | annual 10/9/2012 |
| ratify appointment of the independent registered public accounting firm | Mgmt | Y | FOR | FOR |
12 | The Procter & Gamble Company | PG | 742718109 | annual 10/9/2012 |
| advisory vote on executive compensation | Mgmt | Y | FOR | FOR |
13 | The Procter & Gamble Company | PG | 742718109 | annual 10/9/2012 |
| shareholder proposal #1 - say on political contribution | Mgmt | Y | AGAINST | AGAINST |
14 | The Procter & Gamble Company | PG | 742718109 | annual 10/9/2012 |
| shareholder proposal #2 - producer responsibility for packaging | Mgmt | Y | AGAINST | AGAINST |
15 | The Procter & Gamble Company | PG | 742718109 | annual 10/9/2012 |
| shareholder proposal #3 - adopt simple majority vote | Mgmt | Y | AGAINST | AGAINST |
16 | Prospect Capital Corp | PSEC | 74348T102 | annual 12/07/2012 |
| To ratify the selection of BDO USA, LLP to serve as Independent Public Accounting Firm | Mgmt | Y | FOR | FOR |
17 | Walgreen Co. | WAG | 931422109 | annual 1/9/2013 |
| election of Janice M. Babiak, David J. Brailer, Steven A. Davis, | Mgmt | Y | FOR | FOR |
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| William C. Foote, Mark P. Frissora, Ginger L. Graham, Alan G. McNally, |
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| Dominic P. Murphy, Stefano Pessina, Nancy M Schlichting, Alejandro Silva, |
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| James A. Skinner, Gregory D. Wasson |
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18 | Walgreen Co. | WAG | 931422109 | annual 1/9/2013 |
| Advisory Vote on Executive Officer Compensation | Mgmt | Y | FOR | FOR |
19 | Walgreen Co. | WAG | 931422109 | annual 1/9/2013 |
| approval of the Walgreen Co. 2013 Omnibus Incentive Plan | Mgmt | Y | FOR | FOR |
20 | Walgreen Co. | WAG | 931422109 | annual 1/9/2013 |
| ratify the appointment of Deloitte & Touche LLP as Walgreen Co.'s independent accounting firm | Mgmt | Y | FOR | FOR |
21 | Walgreen Co. | WAG | 931422109 | annual 1/9/2013 |
| shareholder Proposal on a policy regarding accelerated vesting of equity awards of senior executives upon a change in control | Sharehold | Y | AGAINST | AGAINST |
Registrant: Dunham Funds - Dunham Alternative Strategy Fund |
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Investment Company Act file number: 811-22153 |
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Reporting Period: July 1, 2012 through June 30, 2013 |
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ITEM 1- PROXY VOTING RECORD | |||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type (by issuer or shareholder) | (g) Voted | (h) How was vote cast (for or against proposal, or abstain; for or withhold regarding election of directors) | (i) Was Vote For or Against Management |
1 | There were no proxy votes to Report during the Reporting Period. |
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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.
(Registrant)
DUNHAM FUNDS
By (Signature and Title)* /s/ Jeffrey A. Dunham
Jeffrey A. Dunham, President and Principal Executive Officer
Date: August 27, 2013
* Print the name and title of each signing officer under his or her signature.