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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, 2013 – June 30, 2014
Registrant: Dunham Alternative Income Fund Item 1 |
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Investment Company Act file number: 811-22153 |
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Reporting Period: June 30, 2013 through June 30, 2014 |
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FORM N-PX - PROXY VOTING RECORD REQUIREMENTS |
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| (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 withold regarding election of directors) | (I) Was Vote For or Against Management |
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1 | Atmos Energy Corporation | ATO | 049560-105 | annual 2/5/2014 | election of director: Robert W. Best | MGMT | YES | FOR | FOR |
2 | Atmos Energy Corporation | ATO | 049560-105 | annual 2/5/2014 | election of director: Kim R. Cocklin | MGMT | YES | FOR | FOR |
3 | Atmos Energy Corporation | ATO | 049560-105 | annual 2/5/2014 | election of director: Richard W. Douglas | MGMT | YES | FOR | FOR |
4 | Atmos Energy Corporation | ATO | 049560-105 | annual 2/5/2014 | election of director: Ruben E. Esquivel | MGMT | YES | FOR | FOR |
5 | Atmos Energy Corporation | ATO | 049560-105 | annual 2/5/2014 | election of director: Richard K. Gordon | MGMT | YES | FOR | FOR |
6 | Atmos Energy Corporation | ATO | 049560-105 | annual 2/5/2014 | election of director: Robert C. Grable | MGMT | YES | FOR | FOR |
7 | Atmos Energy Corporation | ATO | 049560-105 | annual 2/5/2014 | election of director: Thomas C. Meredith | MGMT | YES | FOR | FOR |
8 | Atmos Energy Corporation | ATO | 049560-105 | annual 2/5/2014 | election of director: Nancy K. Quinn | MGMT | YES | FOR | FOR |
9 | Atmos Energy Corporation | ATO | 049560-105 | annual 2/5/2014 | election of director: Richard A. Sampson | MGMT | YES | FOR | FOR |
10 | Atmos Energy Corporation | ATO | 049560-105 | annual 2/5/2014 | election of director: Stephen R. Springer | MGMT | YES | FOR | FOR |
11 | Atmos Energy Corporation | ATO | 049560-105 | annual 2/5/2014 | election of director: Richard Ware II | MGMT | YES | FOR | FOR |
12 | Atmos Energy Corporation | ATO | 049560-105 | annual 2/5/2014 | Proposal to ratify the appointment of Ernst & Young LLP as the …(Due to space Limits, see Proxy statement for full proposal) | MGMT | YES | FOR | FOR |
13 | Atmos Energy Corporation | ATO | 049560-105 | annual 2/5/2014 | Proposal for an advisory vote by shareholders to approve the compensation of the company's named executive officers for fiscal 2013 ("say on pay") | MGMT | YES | FOR | FOR |
14 | Cisco Systems, Inc. | CSCO | 17275R-102 | annual 11/19/2013 | Election of director: Carlo A. Bartz | MGMT | YES | FOR | FOR |
15 | Cisco Systems, Inc. | CSCO | 17275R-102 | annual 11/19/2013 | Election of director: Marc Benioff | MGMT | YES | FOR | FOR |
16 | Cisco Systems, Inc. | CSCO | 17275R-102 | annual 11/19/2013 | Election of director: Gregory Q. Brown | MGMT | YES | FOR | FOR |
17 | Cisco Systems, Inc. | CSCO | 17275R-102 | annual 11/19/2013 | Election of director: M. Michele Burns | MGMT | YES | FOR | FOR |
18 | Cisco Systems, Inc. | CSCO | 17275R-102 | annual 11/19/2013 | Election of director: Michael D. Capellas | MGMT | YES | FOR | FOR |
19 | Cisco Systems, Inc. | CSCO | 17275R-102 | annual 11/19/2013 | Election of director: John T. Chambers | MGMT | YES | FOR | FOR |
20 | Cisco Systems, Inc. | CSCO | 17275R-102 | annual 11/19/2013 | Election of director: Brian L. Halla | MGMT | YES | FOR | FOR |
21 | Cisco Systems, Inc. | CSCO | 17275R-102 | annual 11/19/2013 | Election of director: Dr. Joh L. Hennessy | MGMT | YES | FOR | FOR |
22 | Cisco Systems, Inc. | CSCO | 17275R-102 | annual 11/19/2013 | Election of director: Dr. Kristina M. Johnson | MGMT | YES | FOR | FOR |
23 | Cisco Systems, Inc. | CSCO | 17275R-102 | annual 11/19/2013 | Election of director: Roderick C. McGeary | MGMT | YES | FOR | FOR |
24 | Cisco Systems, Inc. | CSCO | 17275R-102 | annual 11/19/2013 | Election of director: Arun Sarin | MGMT | YES | FOR | FOR |
25 | Cisco Systems, Inc. | CSCO | 17275R-102 | annual 11/19/2013 | Election of director: Steven M. West | MGMT | YES | FOR | FOR |
26 | Cisco Systems, Inc. | CSCO | 17275R-102 | annual 11/19/2013 | Approval of amendment and restatement of the 2005 stock incentive plan | MGMT | YES | FOR | FOR |
27 | Cisco Systems, Inc. | CSCO | 17275R-102 | annual 11/19/2013 | Approval, on an advisory basis, of executive compensation | MGMT | YES | FOR | FOR |
28 | Cisco Systems, Inc. | CSCO | 17275R-102 | annual 11/19/2013 | Ratification of pricewaterhousecoopers LLP as Cisco's independent registered public accounting firm for fiscal 2014 | MGMT | YES | FOR | FOR |
29 | Cisco Systems, Inc. | CSCO | 17275R-102 | annual 11/19/2013 | Approval to have Cisco hold a competition for giving public advice on the voting items in the proxy filing for Cisco's 2014 annual shareowners meeting. | MGMT | YES | ABSTAIN | AGAINST |
30 | Enterprise Products Part, LP | ETP | 293792-107 | annual 9/30/2013 | Proposal to approve the amendment and restatement of the 2008 Enterprise Products long-term plan | MGMT | YES | FOR | FOR |
31 | Enterprise Products Part, LP | ETP | 293792-107 | annual 9/30/2013 | Proposal to approve the amendment and restatement of the EPD unit purchase plan. | MGMT | YES | FOR | FOR |
32 | Golar Lng Limited | GLNG | G9456A-100 | annual 9/20/2013 | to re-elect John Fredriksen as a director of the company. | MGMT | YES | FOR | FOR |
33 | Golar Lng Limited | GLNG | G9456A-100 | annual 9/20/2013 | to re-elect Kate Blakenship as a director of the company | MGMT | YES | FOR | FOR |
34 | Golar Lng Limited | GLNG | G9456A-100 | annual 9/20/2013 | to re-elect hans Petter as a director of the company | MGMT | YES | FOR | FOR |
35 | Golar Lng Limited | GLNG | G9456A-100 | annual 9/20/2013 | to re-elect Tgor Olay Troim as a director of the company | MGMT | YES | FOR | FOR |
36 | Golar Lng Limited | GLNG | G9456A-100 | annual 9/20/2013 | to re-elect Georgina E. Sousa as a director of the company | MGMT | YES | ABSTAIN | FOR |
37 | Golar Lng Limited | GLNG | G9456A-100 | annual 9/20/2013 | to amend the company's bye-laws nos. 54(a), 86, 90(b), 100, 101, 102, 103(a), 107 and 108 | MGMT | YES | FOR | FOR |
38 | Golar Lng Limited | GLNG | G9456A-100 | annual 9/20/2013 | proposal to re-appoint pricewaterhousecoopers of london, england as auditors and to authorize the directors to determine their remuneration | MGMT | YES | FOR | FOR |
39 | Golar Lng Limited | GLNG | G9456A-100 | annual 9/20/2013 | proposal to approve the remuneration of the company's board of directors of a total amount of fees not to exceed US$600,000 for the year ended December 31, 2013. | MGMT | YES | FOR | FOR |
40 | Plains All American Pipe, LP | PAA | 726503-105 | annual 11/19/2013 | proposal to approve the plains all american 2013 long-term incentive plan | MGMT | YES | FOR | FOR |
41 | Plains All American Pipe, LP | PAA | 726503-105 | annual 11/19/2013 | proposal to approve the adjournment of the special meeting to a later date or dates, if deemed necessary or appropriate by our general partner, to solicit additional proxies. | MGMT | YES | FOR | FOR |
42 | Seadrill Limited | SDRL | G7945E-105 | annual 9/20/2013 | to re-elect John Fredriksen as a director of the company. | MGMT | YES | FOR | FOR |
43 | Seadrill Limited | SDRL | G7945E-105 | annual 9/20/2013 | to re-elect Tor Olav Troim as a director of the company | MGMT | YES | FOR | FOR |
44 | Seadrill Limited | SDRL | G7945E-105 | annual 9/20/2013 | to re-elect Kate Blankenship as a director of the company. | MGMT | YES | FOR | FOR |
45 | Seadrill Limited | SDRL | G7945E-105 | annual 9/20/2013 | to re-elect Kathrine Fredriksen as a director of the company | MGMT | YES | FOR | FOR |
46 | Seadrill Limited | SDRL | G7945E-105 | annual 9/20/2013 | to re-elect Carl Erik Steen as a director of the company | MGMT | YES | FOR | FOR |
47 | Seadrill Limited | SDRL | G7945E-105 | annual 9/20/2013 | to re-elect Bert Bekker as a director of the company | MGMT | YES | FOR | FOR |
48 | Seadrill Limited | SDRL | G7945E-105 | annual 9/20/2013 | to re-elect Paul Leand, Jr. as a director of the company | MGMT | YES | FOR | FOR |
49 | Seadrill Limited | SDRL | G7945E-105 | annual 9/20/2013 | to amend the company's bye-laws nos. 57(a), 89, 93(b), 103, 104, 105, 106(a), 110 and 111 | MGMT | YES | ABSTAIN | FOR |
50 | Seadrill Limited | SDRL | G7945E-105 | annual 9/20/2013 | to appoint pricewaterhousecoopers llp, as auditor and to authorize the directors to determoine their remuneration | MGMT | YES | FOR | FOR |
51 | Seadrill Limited | SDRL | G7945E-105 | annual 9/20/2013 | to approve the remunetation of the company's board of directors of a total amount of fees not to exceed us $1,500,000 for the year ended december 31, 2013 | MGMT | YES | FOR | FOR |
52 | Verizon Communications Inc. | VZ | 92343V-104 | annual 1/28/2014 | approve the issuance of up to approximately 1.28 billion shares of verizon common stock to vodafone ordinary shareholders in connection with verizon's acquistition of vodafone's indirect 45% interest in verizon wireless | MGMT | YES | FOR | FOR |
53 | Verizon Communications Inc. | VZ | 92343V-104 | annual 1/28/2014 | approve an amendment to article 4(a) of verizon's restated certificate of incorporation to increase verizon's authorized shares of common stock by 2 billion shares to an aggregate of 6.25 billion authorized shares of common stock | MGMT | YES | FOR | FOR |
54 | Verizon Communications Inc. | VZ | 92343V-104 | annual 1/28/2014 | approve the adjournment of the special meeting to solicit additional votes and proxies if there qare insufficient votes at the time of the special meeting to approve the above proposals | MGMT | YES | FOR | FOR |
55 | Williams Companies, Inc. | WMB | 969457-100 | annual 5/22/2014 | election of director: Alan S. Armstrong | MGMT | YES | FOR | FOR |
56 | Williams Companies, Inc. | WMB | 969457-100 | annual 5/22/2014 | election of director: Joseph R. Cleveland | MGMT | YES | FOR | FOR |
57 | Williams Companies, Inc. | WMB | 969457-100 | annual 5/22/2014 | election of director: Kathleen B. Cooper | MGMT | YES | FOR | FOR |
58 | Williams Companies, Inc. | WMB | 969457-100 | annual 5/22/2014 | election of director: John A. Hagg | MGMT | YES | FOR | FOR |
59 | Williams Companies, Inc. | WMB | 969457-100 | annual 5/22/2014 | election of director: Juanita H, Hinshaw | MGMT | YES | FOR | FOR |
60 | Williams Companies, Inc. | WMB | 969457-100 | annual 5/22/2014 | election of director: Ralph IzzoAlan S. Armstrong | MGMT | YES | FOR | FOR |
61 | Williams Companies, Inc. | WMB | 969457-100 | annual 5/22/2014 | election of director: Frank T. Macinnis | MGMT | YES | FOR | FOR |
62 | Williams Companies, Inc. | WMB | 969457-100 | annual 5/22/2014 | election of director: Eric W. Mandeblatt | MGMT | YES | FOR | FOR |
63 | Williams Companies, Inc. | WMB | 969457-100 | annual 5/22/2014 | election of director: Steven W. Nance | MGMT | YES | FOR | FOR |
64 | Williams Companies, Inc. | WMB | 969457-100 | annual 5/22/2014 | election of director: Murray D. Smith | MGMT | YES | FOR | FOR |
65 | Williams Companies, Inc. | WMB | 969457-100 | annual 5/22/2014 | election of director: Janice D. Stoney | MGMT | YES | FOR | FOR |
66 | Williams Companies, Inc. | WMB | 969457-100 | annual 5/22/2014 | election of director: Laura A. Sugg | MGMT | YES | FOR | FOR |
67 | Williams Companies, Inc. | WMB | 969457-100 | annual 5/22/2014 | approval of the amendment to the williams companies, inc. 2007 incentive plan | MGMT | YES | FOR | FOR |
68 | Williams Companies, Inc. | WMB | 969457-100 | annual 5/22/2014 | approval of the amendment to the williams companies, inc. 2007 employee stock purchase plan | MGMT | YES | FOR | FOR |
69 | Williams Companies, Inc. | WMB | 969457-100 | annual 5/22/2014 | ratification of ernst & young llp as auditors for 2014 | MGMT | YES | FOR | FOR |
70 | Williams Companies, Inc. | WMB | 969457-100 | annual 5/22/2014 | approval, by nonbinding advisory vote, of the company's executive compensation | MGMT | YES | FOR | FOR |
71 | Mack-Cali Realty Corp. | CLI | 554489-104 | annual 4/3/2014 | director, Nathan Gantcher, David S. Mack, William L. Mack, Alan G. Philibosian | MGMT | YES | FOR | FOR |
72 | Mack-Cali Realty Corp. | CLI | 554489-104 | annual 4/3/2014 | approval and adoption to amend the company's charter to declassify the borard of directors and adoption of concurrent annual terms for all members of the board of directors | MGMT | YES | FOR | FOR |
73 | Mack-Cali Realty Corp. | CLI | 554489-104 | annual 4/3/2014 | advisory vote approving the compensation of our named executive officers, as such compensation is described under the "compensation discussion and analysis" and "executive compensation" sections of the accompanying proxy statement | MGMT | YES | FOR | FOR |
74 | Mack-Cali Realty Corp. | CLI | 554489-104 | annual 4/3/2014 | ratification of the appointment of pricewaterhousecoopers llp as the independent registered public accouinting firm of the compay for the fiscal year ending december 31, 2014. | MGMT | YES | FOR | FOR |
75 | Centurylink, Inc. | CTL | 156700-106 | annual 4/10/2014 | Director, Virginia Boulet, Peter C. brown, Richard A. Gephardt, W. bruce Hanks, Gregory J. McCray, C.G. Melville, Jr. Fred R. Nichols, William A. Owens, Harvey P. Perry, Glen F. Post, III, Michael J. Roberts, Laurie A. Siegel, Joseph R. Zimmel | MGMT | YES | FOR | FOR |
76 | Centurylink, Inc. | CTL | 156700-106 | annual 4/10/2014 | ratify the appointment of KPMG LLP as our independent auditor for 2014 | MGMT | YES | FOR | FOR |
77 | Centurylink, Inc. | CTL | 156700-106 | annual 4/10/2014 | ratify a proxy access bylaw amendment | MGMT | YES | FOR | FOR |
78 | Centurylink, Inc. | CTL | 156700-106 | annual 4/10/2014 | advisory vote regarding our executive compensation | MGMT | YES | FOR | FOR |
79 | Centurylink, Inc. | CTL | 156700-106 | annual 4/10/2014 | shareholder proposal regarding equity retention | MGMT | YES | ABSTAIN | AGAINST |
80 | Lexington Realty Trust | LXP | 529043-101 | annual 3/19/2014 | Director, E. Robert Roskind, T. Wilson Eglin, Richard J. Rouse, Harold First, Richard S. Frary, James Grosfeld, Kevin W. Lynch | MGMT | YES | FOR | FOR |
81 | Lexington Realty Trust | LXP | 529043-101 | annual 3/19/2014 | an advisory resolution to approve the compensation of the named executive officers, as disclosed in the proxy statement for the 2014 annual meeting of shareholders. | MGMT | YES | FOR | FOR |
82 | Lexington Realty Trust | LXP | 529043-101 | annual 3/19/2014 | ratification of the appointment of kpmg llp as the companys independent registered public accounting firm for the fiscal year ending december 31, 2014. | MGMT | YES | FOR | FOR |
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1A | MDU Resources Group | MDU | 552690-109 | annual 4/22/2014 | election of director: Thomas Everist | MGMT | YES | FOR | FOR |
1B | MDU Resources Group | MDU | 552690-109 | annual 4/22/2014 | election of director: Karen B. Fagg | MGMT | YES | FOR | FOR |
1C | MDU Resources Group | MDU | 552690-109 | annual 4/22/2014 | election of director: David L. Goodin | MGMT | YES | FOR | FOR |
1D | MDU Resources Group | MDU | 552690-109 | annual 4/22/2014 | election of director: Mark A. Hellerstein | MGMT | YES | FOR | FOR |
1E | MDU Resources Group | MDU | 552690-109 | annual 4/22/2014 | election of director: A. Bart Holaday | MGMT | YES | FOR | FOR |
1F | MDU Resources Group | MDU | 552690-109 | annual 4/22/2014 | election of director: Dennis W. Johnson | MGMT | YES | FOR | FOR |
1G | MDU Resources Group | MDU | 552690-109 | annual 4/22/2014 | election of director: Williams E. McCracken | MGMT | YES | FOR | FOR |
1H | MDU Resources Group | MDU | 552690-109 | annual 4/22/2014 | election of director: Patricia L. Moss | MGMT | YES | FOR | FOR |
1I | MDU Resources Group | MDU | 552690-109 | annual 4/22/2014 | election of director: Harry J. Pearce | MGMT | YES | FOR | FOR |
1J | MDU Resources Group | MDU | 552690-109 | annual 4/22/2014 | election of director: J. Kent Wells | MGMT | YES | FOR | FOR |
1K | MDU Resources Group | MDU | 552690-109 | annual 4/22/2014 | election of director: John K. Wilson | MGMT | YES | FOR | FOR |
2 | MDU Resources Group | MDU | 552690-109 | annual 4/22/2014 | ratifiacation of deloitte & touche llp as the company's independent registered public accounting firm for 2014. | MGMT | YES | FOR | FOR |
3 | MDU Resources Group | MDU | 552690-109 | annual 4/22/2014 | approval, on a non-binding advisory basis, of the compensation of the company's named executive officers. | MGMT | YES | FOR | FOR |
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1A | AT&T | T | 00206R-102 | annual 4/25/2014 | election of director: Randall L. Stephenson | MGMT | YES | FOR | FOR |
1B | AT&T | T | 00206R-102 | annual 4/25/2014 | election of director: Reuben V. Anderson | MGMT | YES | FOR | FOR |
1C | AT&T | T | 00206R-102 | annual 4/25/2014 | election of director: Jaime Chico Pardo | MGMT | YES | FOR | FOR |
1D | AT&T | T | 00206R-102 | annual 4/25/2014 | election of director: Scott T. Ford | MGMT | YES | FOR | FOR |
1E | AT&T | T | 00206R-102 | annual 4/25/2014 | election of director: James P. Kelly | MGMT | YES | FOR | FOR |
1F | AT&T | T | 00206R-102 | annual 4/25/2014 | election of director: Jon C. Madonna | MGMT | YES | FOR | FOR |
1G | AT&T | T | 00206R-102 | annual 4/25/2014 | election of director: Michael B.McCallister | MGMT | YES | FOR | FOR |
1H | AT&T | T | 00206R-102 | annual 4/25/2014 | election of director: John B. McCoy | MGMT | YES | FOR | FOR |
1I | AT&T | T | 00206R-102 | annual 4/25/2014 | election of director: Beth E. Mooney | MGMT | YES | FOR | FOR |
1J | AT&T | T | 00206R-102 | annual 4/25/2014 | election of director: Joyce M. Roche | MGMT | YES | FOR | FOR |
1K | AT&T | T | 00206R-102 | annual 4/25/2014 | election of director: Matthew K. Rose | MGMT | YES | FOR | FOR |
1L | AT&T | T | 00206R-102 | annual 4/25/2014 | election of director: Cynthia B. Taylor | MGMT | YES | FOR | FOR |
1M | AT&T | T | 00206R-102 | annual 4/25/2014 | election of director: Laura D'Andrea Tyson | MGMT | YES | FOR | FOR |
1 | AT&T | T | 00206R-102 | annual 4/25/2014 | ratificaiton of appointment of independent auditors | MGMT | YES | FOR | FOR |
2 | AT&T | T | 00206R-102 | annual 4/25/2014 | advisory approval of executive compensation | MGMT | YES | FOR | FOR |
4 | AT&T | T | 00206R-102 | annual 4/25/2014 | approve severance policy | MGMT | YES | ABSTAIN | FOR |
5 | AT&T | T | 00206R-102 | annual 4/25/2014 | political report | MGMT | YES | ABSTAIN | AGAINST |
6 | AT&T | T | 00206R-102 | annual 4/25/2014 | lobbying report | MGMT | YES | ABSTAIN | AGAINST |
7 | AT&T | T | 00206R-102 | annual 4/25/2014 | written consent | MGMT | YES | ABSTAIN | AGAINST |
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1 | MAGELLAN MIDSTREAM | MMP | 559080-106 | annual 4/24/2014 | director: James C. Kempner, Michael N. Mears, James R. Montague | MGMT | YES | FOR | FOR |
2 | MAGELLAN MIDSTREAM | MMP | 559080-106 | annual 4/24/2014 | advisory resolution to approve executive compensation | MGMT | YES | FOR | FOR |
3 | MAGELLAN MIDSTREAM | MMP | 559080-106 | annual 4/24/2014 | ratification of appointment of independent auditor | MGMT | YES | FOR | FOR |
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1A | VERIZON | VZ | 92343V-104 | annual 5/1/2014 | election of director: Shellye L. Archambeau | MGMT | YES | FOR | FOR |
1B | VERIZON | VZ | 92343V-104 | annual 5/1/2014 | election of director: Richard L. Carrion | MGMT | YES | FOR | FOR |
1C | VERIZON | VZ | 92343V-104 | annual 5/1/2014 | election of director: Melanie L. Healey | MGMT | YES | FOR | FOR |
1D | VERIZON | VZ | 92343V-104 | annual 5/1/2014 | election of director: M. Frances Keeth | MGMT | YES | FOR | FOR |
1E | VERIZON | VZ | 92343V-104 | annual 5/1/2014 | election of director: Robert W. Lane | MGMT | YES | FOR | FOR |
1F | VERIZON | VZ | 92343V-104 | annual 5/1/2014 | election of director: Lowell C. McAdam | MGMT | YES | FOR | FOR |
1G | VERIZON | VZ | 92343V-104 | annual 5/1/2014 | election of director: Donald T. Nicolaisen | MGMT | YES | FOR | FOR |
1H | VERIZON | VZ | 92343V-104 | annual 5/1/2014 | election of director: Clarence Otis, Jr. | MGMT | YES | FOR | FOR |
1I | VERIZON | VZ | 92343V-104 | annual 5/1/2014 | election of director: Rodney E. Slater | MGMT | YES | FOR | FOR |
1J | VERIZON | VZ | 92343V-104 | annual 5/1/2014 | election of director: Kathryn A. Tesija | MGMT | YES | FOR | FOR |
1K | VERIZON | VZ | 92343V-104 | annual 5/1/2014 | election of director: Gregory D. Wasson | MGMT | YES | FOR | FOR |
2 | VERIZON | VZ | 92343V-104 | annual 5/1/2014 | ratification of appointment of independent registered public accounting firm | MGMT | YES | FOR | FOR |
3 | VERIZON | VZ | 92343V-104 | annual 5/1/2014 | advisory vote to approve executive compensation | MGMT | YES | FOR | FOR |
4 | VERIZON | VZ | 92343V-104 | annual 5/1/2014 | proposal t oimplement proxy access | MGMT | YES | FOR | FOR |
5 | VERIZON | VZ | 92343V-104 | annual 5/1/2014 | network neutrality | MGMT | YES | FOR | FOR |
6 | VERIZON | VZ | 92343V-104 | annual 5/1/2014 | lobbying activities | MGMT | YES | FOR | FOR |
7 | VERIZON | VZ | 92343V-104 | annual 5/1/2014 | severance approval policy | MGMT | YES | ABSTAIN | AGAINST |
8 | VERIZON | VZ | 92343V-104 | annual 5/1/2014 | shareholder right to call a special meeting | MGMT | YES | ABSTAIN | AGAINST |
9 | VERIZON | VZ | 92343V-104 | annual 5/1/2014 | shareholder right to act by written consent | MGMT | YES | ABSTAIN | AGAINST |
10 | VERIZON | VZ | 92343V-104 | annual 5/1/2014 | proxy voting authority | MGMT | YES | ABSTAIN | AGAINST |
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1 | TRANSCANADA CORP | TRP | 89353D-107 | annual 5/2/2014 | director: Kevin E. Benson, Derek H. Burney, Paule Gauthier, Russell K. Girling, S. Barry Jackson, Paula Rosput Reynolds, John Richels, Mary Pat Salomone, D. Michael G. Stewart, Siim A. Vanaselja, Richard E. Waugh | MGMT | YES | WITHHOLD ALL | FOR |
2 | TRANSCANADA CORP | TRP | 89353D-107 | annual 5/2/2014 | resolution to appoint kpmg llp, chartered accouintants as auditors and authorize the directors to fix their remuneration. | MGMT | YES | FOR | FOR |
3 | TRANSCANADA CORP | TRP | 89353D-107 | annual 5/2/2014 | resolution to accept transcanada corp's approach to executive compensation, as described in the management information circular. | MGMT | YES | FOR | FOR |
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| MGMT | YES | FOR | FOR |
1A | EXELON CORP | EXC | 301641N-101 | annual 5/6/2014 | election of director: Anthony K. Anderson | MGMT | YES | FOR | FOR |
1B | EXELON CORP | EXC | 301641N-101 | annual 5/6/2014 | election of director: Ann C. Berzin | MGMT | YES | FOR | FOR |
1C | EXELON CORP | EXC | 301641N-101 | annual 5/6/2014 | election of director: John A. Canning, Jr. | MGMT | YES | FOR | FOR |
1D | EXELON CORP | EXC | 301641N-101 | annual 5/6/2014 | election of director: Christopher M. Crane | MGMT | YES | FOR | FOR |
1E | EXELON CORP | EXC | 301641N-101 | annual 5/6/2014 | election of director: Yves C. DeBalmann | MGMT | YES | FOR | FOR |
1F | EXELON CORP | EXC | 301641N-101 | annual 5/6/2014 | election of director: Nicholas Debenedictis | MGMT | YES | FOR | FOR |
1G | EXELON CORP | EXC | 301641N-101 | annual 5/6/2014 | election of director: Nelson A. Diaz | MGMT | YES | FOR | FOR |
1H | EXELON CORP | EXC | 301641N-101 | annual 5/6/2014 | election of director: Due L. Gin | MGMT | YES | FOR | FOR |
1I | EXELON CORP | EXC | 301641N-101 | annual 5/6/2014 | election of director: Paul L. Joskow | MGMT | YES | FOR | FOR |
1J | EXELON CORP | EXC | 301641N-101 | annual 5/6/2014 | election of director: Robert J. Lawless | MGMT | YES | FOR | FOR |
1K | EXELON CORP | EXC | 301641N-101 | annual 5/6/2014 | election of director: Richard W. Mies | MGMT | YES | FOR | FOR |
1L | EXELON CORP | EXC | 301641N-101 | annual 5/6/2014 | election of director: William C. Richardson | MGMT | YES | FOR | FOR |
1M | EXELON CORP | EXC | 301641N-101 | annual 5/6/2014 | election of director: John W. Rogers, Jr. | MGMT | YES | FOR | FOR |
1N | EXELON CORP | EXC | 301641N-101 | annual 5/6/2014 | election of director: Mayo A. Shattuck III | MGMT | YES | FOR | FOR |
1O | EXELON CORP | EXC | 301641N-101 | annual 5/6/2014 | election of director: Stephen D. Steinour | MGMT | YES | FOR | FOR |
2 | EXELON CORP | EXC | 301641N-101 | annual 5/6/2014 | the ratification of pricewaterhousecoopers llp as exelon's independent accountant for 2014. | MGMT | YES | FOR | FOR |
3 | EXELON CORP | EXC | 301641N-101 | annual 5/6/2014 | advisory vote to approve executive compensation. | MGMT | YES | FOR | FOR |
4 | EXELON CORP | EXC | 301641N-101 | annual 5/6/2014 | renew the senior executive annual incentive plan. | MGMT | YES | FOR | FOR |
5 | EXELON CORP | EXC | 301641N-101 | annual 5/6/2014 | a shareholder proposal to limit individual total compensation for each of the named executive officers to 100 times the annual median compensation paid to all employees. | MGMT | YES | ABSTAIN | AGAINST |
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1A | WINDSTREAM HOLDINGS | WIN | 97382A-101 | annual 5/7/2014 | election of director: Carol B. Armitage | MGMT | YES | FOR | FOR |
1B | WINDSTREAM HOLDINGS | WIN | 97382A-101 | annual 5/7/2014 | election of director: Samuel E. Beall, III | MGMT | YES | FOR | FOR |
1C | WINDSTREAM HOLDINGS | WIN | 97382A-101 | annual 5/7/2014 | election of director: Dennis E. Foster | MGMT | YES | FOR | FOR |
1D | WINDSTREAM HOLDINGS | WIN | 97382A-101 | annual 5/7/2014 | election of director: Francis X. Frantz | MGMT | YES | FOR | FOR |
1E | WINDSTREAM HOLDINGS | WIN | 97382A-101 | annual 5/7/2014 | election of director: Jeffery R. Gardner | MGMT | YES | FOR | FOR |
1F | WINDSTREAM HOLDINGS | WIN | 97382A-101 | annual 5/7/2014 | election of director: Judy K. Jones | MGMT | YES | FOR | FOR |
1G | WINDSTREAM HOLDINGS | WIN | 97382A-101 | annual 5/7/2014 | election of director: William A. Montgomery | MGMT | YES | FOR | FOR |
1H | WINDSTREAM HOLDINGS | WIN | 97382A-101 | annual 5/7/2014 | election of director: Alan L. Wells | MGMT | YES | FOR | FOR |
1I | WINDSTREAM HOLDINGS | WIN | 97382A-101 | annual 5/7/2014 | election of director: Jeffery T. Hinson | MGMT | YES | FOR | FOR |
2 | WINDSTREAM HOLDINGS | WIN | 97382A-101 | annual 5/7/2014 | to vote on an advisory (non-binding) resolution on executive compensation | MGMT | YES | FOR | FOR |
3 | WINDSTREAM HOLDINGS | WIN | 97382A-101 | annual 5/7/2014 | to approve an amendment to the windstream equity incentive plan to increase the authorized shares by 15,000,000 and to reapprove the plan's performance goals. | MGMT | YES | FOR | FOR |
4 | WINDSTREAM HOLDINGS | WIN | 97382A-101 | annual 5/7/2014 | to approve an amendment to the certificate of incorporation of windstream corporation to eliminate certain voting provisions. | MGMT | YES | FOR | FOR |
5 | WINDSTREAM HOLDINGS | WIN | 97382A-101 | annual 5/7/2014 | to approve amendments to the certificate of incorporation and bylaws of windstream holdings, inc., to enable stockholders to call special meetings under certain circumstances. | MGMT | YES | FOR | FOR |
6 | WINDSTREAM HOLDINGS | WIN | 97382A-101 | annual 5/7/2014 | to approve amendments to the certificate of incorporation and bylaws of windstream holdings, inc., to eliminate super-majority provisions. | MGMT | YES | FOR | FOR |
7 | WINDSTREAM HOLDINGS | WIN | 97382A-101 | annual 5/7/2014 | to ratify the appointment of pricewaterhousecoopers llp as windstream's independent registered public accountant for 2014. | MGMT | YES | FOR | FOR |
8 | WINDSTREAM HOLDINGS | WIN | 97382A-101 | annual 5/7/2014 | stockholder proposal-prohibition on accelerated vesting of equity awards. | MGMT | YES | ABSTAIN | AGAINST |
9 | WINDSTREAM HOLDINGS | WIN | 97382A-101 | annual 5/7/2014 | stockholder proposal-right to act by written consent. | MGMT | YES | ABSTAIN | AGAINST |
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1 | ENBRIDGE INC. | ENB | 29250N-105 | annual 5/7/2014 | director: David A. Arledge, James J. blanchard, J. Lorne Braitwaite, J. Herb England, Charles W. Fischer, V.M. Kempston Darkes, David A. Leslie, Al Monaco, George K. petty, Charles E. Shultz, Dan C. Tutcher, Catherine L. Williams | MGMT | YES | FOR | FOR |
2 | ENBRIDGE INC. | ENB | 29250N-105 | annual 5/7/2014 | appoint pricewaterhousecoopers llp as auditors. | MGMT | YES | FOR | FOR |
3 | ENBRIDGE INC. | ENB | 29250N-105 | annual 5/7/2014 | increase the number of shares reserved under our stock option plans. | MGMT | YES | FOR | FOR |
4 | ENBRIDGE INC. | ENB | 29250N-105 | annual 5/7/2014 | amend, continue and approve our shareholder rights plan. | MGMT | YES | FOR | FOR |
5 | ENBRIDGE INC. | ENB | 29250N-105 | annual 5/7/2014 | vote on our approach to executive compensation. While this vote is non-binding, it gives shareholders an opportunity to provide important input to our board. | MGMT | YES | FOR | FOR |
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1A | DOMINION RESOURCES | D | 25746U-109 | annual 5/7/2014 | election of director: William P. Barr | MGMT | YES | FOR | FOR |
1B | DOMINION RESOURCES | D | 25746U-109 | annual 5/7/2014 | election of director: Peter W. Brown, M.D. | MGMT | YES | FOR | FOR |
1C | DOMINION RESOURCES | D | 25746U-109 | annual 5/7/2014 | election of director: Helen E. Dragas | MGMT | YES | FOR | FOR |
1D | DOMINION RESOURCES | D | 25746U-109 | annual 5/7/2014 | election of director: James O. Ellis, Jr. | MGMT | YES | FOR | FOR |
1E | DOMINION RESOURCES | D | 25746U-109 | annual 5/7/2014 | election of director: Thomas F. Farrell II | MGMT | YES | FOR | FOR |
1F | DOMINION RESOURCES | D | 25746U-109 | annual 5/7/2014 | election of director: John W. Harris | MGMT | YES | FOR | FOR |
1G | DOMINION RESOURCES | D | 25746U-109 | annual 5/7/2014 | election of director: Mark J. Kington | MGMT | YES | FOR | FOR |
1H | DOMINION RESOURCES | D | 25746U-109 | annual 5/7/2014 | election of director: Pamela J. Royal, M.D. | MGMT | YES | FOR | FOR |
1I | DOMINION RESOURCES | D | 25746U-109 | annual 5/7/2014 | election of director: Robert H. Spilman, Jr. | MGMT | YES | FOR | FOR |
1J | DOMINION RESOURCES | D | 25746U-109 | annual 5/7/2014 | election of director: Michael E. Szymanczyk | MGMT | YES | FOR | FOR |
1K | DOMINION RESOURCES | D | 25746U-109 | annual 5/7/2014 | election of director: David A. Wollard | MGMT | YES | FOR | FOR |
2 | DOMINION RESOURCES | D | 25746U-109 | annual 5/7/2014 | ratification of appointment of the independent auditors for 2014 | MGMT | YES | FOR | FOR |
3 | DOMINION RESOURCES | D | 25746U-109 | annual 5/7/2014 | advisory vote on approval of executive compensation (say on pay) | MGMT | YES | FOR | FOR |
4 | DOMINION RESOURCES | D | 25746U-109 | annual 5/7/2014 | approval of the 2014 incentive compensation plan | MGMT | YES | FOR | FOR |
5 | DOMINION RESOURCES | D | 25746U-109 | annual 5/7/2014 | executives to retain significant stock | MGMT | YES | ABSTAIN | AGAINST |
6 | DOMINION RESOURCES | D | 25746U-109 | annual 5/7/2014 | report on financial risks to dominion posed by climate change | MGMT | YES | ABSTAIN | AGAINST |
7 | DOMINION RESOURCES | D | 25746U-109 | annual 5/7/2014 | report on methane emissions | MGMT | YES | ABSTAIN | AGAINST |
8 | DOMINION RESOURCES | D | 25746U-109 | annual 5/7/2014 | report on lobbying | MGMT | YES | ABSTAIN | AGAINST |
9 | DOMINION RESOURCES | D | 25746U-109 | annual 5/7/2014 | report on environmental and climate change impacts of biomass | MGMT | YES | ABSTAIN | AGAINST |
10 | DOMINION RESOURCES | D | 25746U-109 | annual 5/7/2014 | adopt quantitative goals for reducing greenhouse gas emissions | MGMT | YES | ABSTAIN | AGAINST |
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1A | PHILIP MORRIS INTER | PM | 718172-109 | annual 5/7/2014 | election of director: Harold Brown | MGMT | YES | FOR | FOR |
1B | PHILIP MORRIS INTER | PM | 718172-109 | annual 5/7/2014 | election of director: Andre Calantzopoulos | MGMT | YES | FOR | FOR |
1C | PHILIP MORRIS INTER | PM | 718172-109 | annual 5/7/2014 | election of director: louis c. camilleri | MGMT | YES | FOR | FOR |
1D | PHILIP MORRIS INTER | PM | 718172-109 | annual 5/7/2014 | election of director: Jennifer Li | MGMT | YES | FOR | FOR |
1E | PHILIP MORRIS INTER | PM | 718172-109 | annual 5/7/2014 | election of director: Sergio Marchionne | MGMT | YES | FOR | FOR |
1F | PHILIP MORRIS INTER | PM | 718172-109 | annual 5/7/2014 | election of director: Kalpana Morparia | MGMT | YES | FOR | FOR |
1G | PHILIP MORRIS INTER | PM | 718172-109 | annual 5/7/2014 | election of director: Lucio A. Noto | MGMT | YES | FOR | FOR |
1H | PHILIP MORRIS INTER | PM | 718172-109 | annual 5/7/2014 | election of director: Robert B. Polet | MGMT | YES | FOR | FOR |
1I | PHILIP MORRIS INTER | PM | 718172-109 | annual 5/7/2014 | election of director: Carlos Slim helu | MGMT | YES | FOR | FOR |
1J | PHILIP MORRIS INTER | PM | 718172-109 | annual 5/7/2014 | election of director: Stephen M. Wolf | MGMT | YES | FOR | FOR |
2 | PHILIP MORRIS INTER | PM | 718172-109 | annual 5/7/2014 | ratificationi of the selection of independent auditors | MGMT | YES | FOR | FOR |
3 | PHILIP MORRIS INTER | PM | 718172-109 | annual 5/7/2014 | advisory note approving executive compensation | MGMT | YES | FOR | FOR |
4 | PHILIP MORRIS INTER | PM | 718172-109 | annual 5/7/2014 | shareholder proposal 1- lobbying | MGMT | YES | ABSTAIN | AGAINST |
5 | PHILIP MORRIS INTER | PM | 718172-109 | annual 5/7/2014 | shareholder proposal 2- animal testing | MGMT | YES | ABSTAIN | AGAINST |
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1 | COVANTA HOLDING | CVA | 22282E-102 | annual 5/8/2014 | director: David M. Barse, Ronald J. Broglio, Peter C.B. Bynoe, Linda J. Fisher, Joseph M. Holsten, Anthony J. Orlando, William C. Pate, Robert S. Silberman, Jean Smith, Samuel Zell | MGMT | YES | FOR | FOR |
2 | COVANTA HOLDING | CVA | 22282E-102 | annual 5/8/2014 | to ratify the appointment of ernst & young llp as covanta holding corporation's independent registered public accountants for the 2014 fiscal year. | MGMT | YES | FOR | FOR |
3 | COVANTA HOLDING | CVA | 22282E-102 | annual 5/8/2014 | to approve the covanta holding corporation 2014 equity award plan. | MGMT | YES | FOR | FOR |
4 | COVANTA HOLDING | CVA | 22282E-102 | annual 5/8/2014 | advisory vote to approve the compensation of covanta holding corporation's named executive officers as disclosed in the proxy statement. | MGMT | YES | FOR | FOR |
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1A | REYNOLDS AMERICAN | RAI | 761713-106 | annual 5/8/2014 | election of class I director: Susan M. Cameron | MGMT | YES | FOR | FOR |
1B | REYNOLDS AMERICAN | RAI | 761713-106 | annual 5/8/2014 | election of class I director: Luc Jobin | MGMT | YES | FOR | FOR |
1C | REYNOLDS AMERICAN | RAI | 761713-106 | annual 5/8/2014 | election of class I director: Nana Mensah | MGMT | YES | FOR | FOR |
1D | REYNOLDS AMERICAN | RAI | 761713-106 | annual 5/8/2014 | election of class I director: Ronald S. Rolfe | MGMT | YES | FOR | FOR |
1E | REYNOLDS AMERICAN | RAI | 761713-106 | annual 5/8/2014 | election of class I director: John J. Zillmer | MGMT | YES | FOR | FOR |
1F | REYNOLDS AMERICAN | RAI | 761713-106 | annual 5/8/2014 | election of class II director: Sir Nicholas Scheele | MGMT | YES | FOR | FOR |
2 | REYNOLDS AMERICAN | RAI | 761713-106 | annual 5/8/2014 | approval of the reynolds american inc. amended and restated 2009 omnibus incentive compensation plan. | MGMT | YES | FOR | FOR |
3 | REYNOLDS AMERICAN | RAI | 761713-106 | annual 5/8/2014 | advisory vote to approve the compensation of named executive officers | MGMT | YES | FOR | FOR |
4 | REYNOLDS AMERICAN | RAI | 761713-106 | annual 5/8/2014 | ratification of the appointment of kpmg llp as independent auditors | MGMT | YES | FOR | FOR |
5 | REYNOLDS AMERICAN | RAI | 761713-106 | annual 5/8/2014 | shareholder proposal on disclosure of lobbying policies and practices | MGMT | YES | ABSTAIN | AGAINST |
6 | REYNOLDS AMERICAN | RAI | 761713-106 | annual 5/8/2014 | shareholder proposal on animal testing | MGMT | YES | ABSTAIN | AGAINST |
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1 | PEMBINA PIPELINE CORP | PBA | 706327-103 | annual 5/9/2014 | director: Grant D. Billing, Thomas W. Buchanan, Michael H. Dilger, Randall J. Findlay, Lorne B. Gordon, David M.B. Legresley, Robert B. Michaleski, Leslie A. O'Donoghue, Jeffrey T. Smith | MGMT | YES | FOR | FOR |
2 | PEMBINA PIPELINE CORP | PBA | 706327-103 | annual 5/9/2014 | to appoint kpmg llp, chartered accountants, as the auditors of the corporation for the ensuing financial year at a remuneration to be fixed by management. | MGMT | YES | FOR | FOR |
3 | PEMBINA PIPELINE CORP | PBA | 706327-103 | annual 5/9/2014 | an ordinary resolution approving and authorizing the amendments to the stock option plan (the "plan") of pembina pipeline corporation ("pembina"), including an increase to the number of common shares reserved for issuance under the plan, and an amendment to the individuals eligible to participate in the plan, as more particularly described in the accompanying information circular and proxy statement of pembina dated march 24, 2014 | MGMT | YES | FOR | FOR |
4 | PEMBINA PIPELINE CORP | PBA | 706327-103 | annual 5/9/2014 | to accept the approach to executive compensation as disclosed in the accompanying management information circular. | MGMT | YES | FOR | FOR |
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| MGMT | YES | FOR | FOR |
1A | CONOCOPHILLIPS | COP | 20825C-104 | annual 5/13/2014 | election of director: Richard L. Armitage | MGMT | YES | FOR | FOR |
1B | CONOCOPHILLIPS | COP | 20825C-104 | annual 5/13/2014 | election of director: Richard H. Auchinleck | MGMT | YES | FOR | FOR |
1C | CONOCOPHILLIPS | COP | 20825C-104 | annual 5/13/2014 | election of director: Charles E. Bunch | MGMT | YES | FOR | FOR |
1D | CONOCOPHILLIPS | COP | 20825C-104 | annual 5/13/2014 | election of director: James E. Copeland, Jr. | MGMT | YES | FOR | FOR |
1E | CONOCOPHILLIPS | COP | 20825C-104 | annual 5/13/2014 | election of director: Jody L. Freeman | MGMT | YES | FOR | FOR |
1F | CONOCOPHILLIPS | COP | 20825C-104 | annual 5/13/2014 | election of director: Gay Huey Evans | MGMT | YES | FOR | FOR |
1G | CONOCOPHILLIPS | COP | 20825C-104 | annual 5/13/2014 | election of director: Ryan M. Lance | MGMT | YES | FOR | FOR |
1H | CONOCOPHILLIPS | COP | 20825C-104 | annual 5/13/2014 | election of director:Robert A. Niblock | MGMT | YES | FOR | FOR |
1I | CONOCOPHILLIPS | COP | 20825C-104 | annual 5/13/2014 | election of director: harald J. Norvik | MGMT | YES | FOR | FOR |
1J | CONOCOPHILLIPS | COP | 20825C-104 | annual 5/13/2014 | election of director: William E. Wade, Jr. | MGMT | YES | FOR | FOR |
2 | CONOCOPHILLIPS | COP | 20825C-104 | annual 5/13/2014 | ratify appointment of ernst & young llp as conocophillips' independent registered public accounting firm for 2014. | MGMT | YES | FOR | FOR |
3 | CONOCOPHILLIPS | COP | 20825C-104 | annual 5/13/2014 | advisory approval of executive compensation. | MGMT | YES | FOR | FOR |
4 | CONOCOPHILLIPS | COP | 20825C-104 | annual 5/13/2014 | approval of 2014 omnibus stock and performance incentive plan of conocophillips. | MGMT | YES | FOR | FOR |
5 | CONOCOPHILLIPS | COP | 20825C-104 | annual 5/13/2014 | report on lobbying expenditures. | MGMT | YES | ABSTAIN | AGAINST |
6 | CONOCOPHILLIPS | COP | 20825C-104 | annual 5/13/2014 | greenhouse gas reduction targets. | MGMT | YES | ABSTAIN | AGAINST |
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1A | ALTRIA GROUP | MO | 02209S-103 | annual 5/14/2014 | election of director: Gerald L. Baliles | MGMT | YES | FOR | FOR |
1B | ALTRIA GROUP | MO | 02209S-103 | annual 5/14/2014 | election of director: Martin J. Barrington | MGMT | YES | FOR | FOR |
1C | ALTRIA GROUP | MO | 02209S-103 | annual 5/14/2014 | election of director: John T. Casteen III | MGMT | YES | FOR | FOR |
1D | ALTRIA GROUP | MO | 02209S-103 | annual 5/14/2014 | election of director: Dinyar S. Devitre | MGMT | YES | FOR | FOR |
1E | ALTRIA GROUP | MO | 02209S-103 | annual 5/14/2014 | election of director: Thomas W. Jones | MGMT | YES | FOR | FOR |
1F | ALTRIA GROUP | MO | 02209S-103 | annual 5/14/2014 | election of director: Thomas F. Farrell II | MGMT | YES | FOR | FOR |
1G | ALTRIA GROUP | MO | 02209S-103 | annual 5/14/2014 | election of director: Debra J. Kelly-Ennis | MGMT | YES | FOR | FOR |
1H | ALTRIA GROUP | MO | 02209S-103 | annual 5/14/2014 | election of director: W. Leo Kiely III | MGMT | YES | FOR | FOR |
1I | ALTRIA GROUP | MO | 02209S-103 | annual 5/14/2014 | election of director: Kathryn B. McQuade | MGMT | YES | FOR | FOR |
1J | ALTRIA GROUP | MO | 02209S-103 | annual 5/14/2014 | election of director:George Munoz | MGMT | YES | FOR | FOR |
1K | ALTRIA GROUP | MO | 02209S-103 | annual 5/14/2014 | election of director: Nabil Y. Sakkab | MGMT | YES | FOR | FOR |
2 | ALTRIA GROUP | MO | 02209S-103 | annual 5/14/2014 | ratification of the selection of independent registered public accounting firm | MGMT | YES | FOR | FOR |
3 | ALTRIA GROUP | MO | 02209S-103 | annual 5/14/2014 | advisory vote to approve the compensation of the company's named executive officers | MGMT | YES | FOR | FOR |
4 | ALTRIA GROUP | MO | 02209S-103 | annual 5/14/2014 | shareholder proposal- preparation of health effect and cessation materials for poor and less formally educated tobacco consumers | MGMT | YES | ABSTAIN | AGAINST |
5 | ALTRIA GROUP | MO | 02209S-103 | annual 5/14/2014 | shareholder proposal-disclosure of lobbying policies and practices | MGMT | YES | ABSTAIN | AGAINST |
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1 | FRONTIER COMM | FTR | 35906A-108 | annual 5/14/2014 | director: Leroy T. Barnes, Jr., Peter C.B. Bynoe, Edward Fraioli, Daniel J. McCarthy, Pamela D.A. Reeve, Virginia P. Ruesterholz, howard L. Schrott, Larraine D. Segil, mark Shapiro, Myron A. Wick, III, Mary Agnes Wilderotter | MGMT | YES | FOR | FOR |
2 | FRONTIER COMM | FTR | 35906A-108 | annual 5/14/2014 | to consider and vote upon an advisory proposal on executive compensation | MGMT | YES | FOR | FOR |
3 | FRONTIER COMM | FTR | 35906A-108 | annual 5/14/2014 | to ratify the selection of kpmg llp as our independent registered public accounting firm for 2014 | MGMT | YES | FOR | FOR |
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| MGMT | YES | FOR | FOR |
1.1 | LORILLARD, INC. | LO | 544147-101 | annual 5/15/2014 | election of director: Dianne Neal Blixt | MGMT | YES | FOR | FOR |
1.2 | LORILLARD, INC. | LO | 544147-101 | annual 5/15/2014 | election of director: Andrew H. Card, Jr. | MGMT | YES | FOR | FOR |
1.3 | LORILLARD, INC. | LO | 544147-101 | annual 5/15/2014 | election of director: Virgis W. Colbert | MGMT | YES | FOR | FOR |
1.4 | LORILLARD, INC. | LO | 544147-101 | annual 5/15/2014 | election of director: David E.R. Dangoor | MGMT | YES | FOR | FOR |
1.5 | LORILLARD, INC. | LO | 544147-101 | annual 5/15/2014 | election of director: Murray S. Kessler | MGMT | YES | FOR | FOR |
1.6 | LORILLARD, INC. | LO | 544147-101 | annual 5/15/2014 | election of director: Jerry W. Levin | MGMT | YES | FOR | FOR |
1.7 | LORILLARD, INC. | LO | 544147-101 | annual 5/15/2014 | election of director: Richard W. Roedel | MGMT | YES | FOR | FOR |
2 | LORILLARD, INC. | LO | 544147-101 | annual 5/15/2014 | advisory vote to approve the company's executive compensation | MGMT | YES | FOR | FOR |
3 | LORILLARD, INC. | LO | 544147-101 | annual 5/15/2014 | to ratify the selection of deloitte & touche llp as the company's independent registered public accounting firm for the fiscal year ending december 31, 2014 | MGMT | YES | FOR | FOR |
4 | LORILLARD, INC. | LO | 544147-101 | annual 5/15/2014 | shareholder proposal on desclosure of lobbying policies and practices | MGMT | YES | FOR | FOR |
5 | LORILLARD, INC. | LO | 544147-101 | annual 5/15/2014 | shareholder proposal on additional disclosure of the health risks of smokeing | MGMT | YES | ABSTAIN | AGAINST |
6 | LORILLARD, INC. | LO | 544147-101 | annual 5/15/2014 | approval of the 2008 incentive compensation plan as amended and restated. | MGMT | YES | ABSTAIN | AGAINST |
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2 | DEUTSCHE TELEKOM | DTEGY | 251566-105 | annual 5/6/2014 | resolution on the appropriation of net income | MGMT | YES | ABSTAIN | NONE |
3 | DEUTSCHE TELEKOM | DTEGY | 251566-105 | annual 5/6/2014 | resolution on the approval of the actions of the members of the board of management for the 2013 financial year. | MGMT | YES | ABSTAIN | NONE |
4 | DEUTSCHE TELEKOM | DTEGY | 251566-105 | annual 5/6/2014 | resolution on the approval of the actions of the members of the supervisory board for the 2013 financial year. | MGMT | YES | ABSTAIN | NONE |
5 | DEUTSCHE TELEKOM | DTEGY | 251566-105 | annual 5/6/2014 | resolutuion of the appointment of the independent auditor and the group auditor for the 2014 financial year as well as the independent auditor to review the condessed financial statements and the interim management report in the 2014 financial year. | MGMT | YES | ABSTAIN | NONE |
6 | DEUTSCHE TELEKOM | DTEGY | 251566-105 | annual 5/6/2014 | election of a supervisory board member | MGMT | YES | ABSTAIN | NONE |
7 | DEUTSCHE TELEKOM | DTEGY | 251566-105 | annual 5/6/2014 | election of a supervisory board member | MGMT | YES | FOR | NONE |
8 | DEUTSCHE TELEKOM | DTEGY | 251566-105 | annual 5/6/2014 | election of a supervisory board member | MGMT | YES | FOR | NONE |
9 | DEUTSCHE TELEKOM | DTEGY | 251566-105 | annual 5/6/2014 | election of a supervisory board member | MGMT | YES | FOR | NONE |
10 | DEUTSCHE TELEKOM | DTEGY | 251566-105 | annual 5/6/2014 | authorization to issue bonds with warrants, convertible bonds, profit participation rights, and/or participating bonds, cancelation of the contingent capital creation of new contingent capital (contingent capital 2014). | MGMT | YES | FOR | NONE |
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1A | THE DOW CHEMICAL CO | DOW | 260543-103 | annual 5/15/2014 | election of director: Arnold A. Allemang | MGMT | YES | FOR | FOR |
1B | THE DOW CHEMICAL CO | DOW | 260543-103 | annual 5/15/2014 | election of director: Ajay Banga | MGMT | YES | FOR | FOR |
1C | THE DOW CHEMICAL CO | DOW | 260543-103 | annual 5/15/2014 | election of director: Jacqueline K. Barton | MGMT | YES | FOR | FOR |
1D | THE DOW CHEMICAL CO | DOW | 260543-103 | annual 5/15/2014 | election of director: James A. Bell | MGMT | YES | FOR | FOR |
1E | THE DOW CHEMICAL CO | DOW | 260543-103 | annual 5/15/2014 | election of director: Jeff M. Fettig | MGMT | YES | FOR | FOR |
1F | THE DOW CHEMICAL CO | DOW | 260543-103 | annual 5/15/2014 | election of director: Andrew N. Liveris | MGMT | YES | FOR | FOR |
1G | THE DOW CHEMICAL CO | DOW | 260543-103 | annual 5/15/2014 | election of director: Paul Polman | MGMT | YES | FOR | FOR |
1H | THE DOW CHEMICAL CO | DOW | 260543-103 | annual 5/15/2014 | election of director: Dennis H. Reilley | MGMT | YES | FOR | FOR |
1I | THE DOW CHEMICAL CO | DOW | 260543-103 | annual 5/15/2014 | election of director: James M. Ringler | MGMT | YES | FOR | FOR |
1J | THE DOW CHEMICAL CO | DOW | 260543-103 | annual 5/15/2014 | election of director: Ruth G. Shaw | MGMT | YES | FOR | FOR |
2 | THE DOW CHEMICAL CO | DOW | 260543-103 | annual 5/15/2014 | ratification of the appointment of the independent registered public accounting firm. | MGMT | YES | FOR | FOR |
3 | THE DOW CHEMICAL CO | DOW | 260543-103 | annual 5/15/2014 | advisory resolution to approve executive compensation. | MGMT | YES | FOR | FOR |
4 | THE DOW CHEMICAL CO | DOW | 260543-103 | annual 5/15/2014 | approval of the amended and restated 2012 stock incentive plan. | MGMT | YES | FOR | FOR |
5 | THE DOW CHEMICAL CO | DOW | 260543-103 | annual 5/15/2014 | stockholder proposal on stockholder action by written consent. | MGMT | YES | ABSTAIN | AGAINST |
6 | THE DOW CHEMICAL CO | DOW | 260543-103 | annual 5/15/2014 | stockholder proposal on executive stock retention. | MGMT | YES | ABSTAIN | AGAINST |
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1 | LEXINGTON REALTY | LXP | 529043-101 | annual 5/20/2014 | director: E. Robert Roskind, T. Wilson Eglin, Richard J. Rouse, Harold First, Richard S. Frary, James Grosfeld, Kevin W. Lynch | MGMT | YES | FOR | FOR |
2 | LEXINGTON REALTY | LXP | 529043-101 | annual 5/20/2014 | an advisory resolution to approve the compensation of the named executive officers, as disclosed in the proxy statement for the 2014 annual meeting of shareholders. | MGMT | YES | FOR | FOR |
3 | LEXINGTON REALTY | LXP | 529043-101 | annual 5/20/2014 | ratification of the appointment of kpmg llp as the company's independent registered public accounting firm for the fiscal year ending december 31, 2014. | MGMT | YES | FOR | FOR |
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1A | ONEOK, INC. | OKE | 682680-103 | annual 5/21/2014 | election of director: James C. Day | MGMT | YES | FOR | FOR |
1B | ONEOK, INC. | OKE | 682680-103 | annual 5/21/2014 | election of director: Julie H. Edwards | MGMT | YES | FOR | FOR |
1C | ONEOK, INC. | OKE | 682680-103 | annual 5/21/2014 | election of director: William L. Ford | MGMT | YES | FOR | FOR |
1D | ONEOK, INC. | OKE | 682680-103 | annual 5/21/2014 | election of director: John W. Gibson | MGMT | YES | FOR | FOR |
1E | ONEOK, INC. | OKE | 682680-103 | annual 5/21/2014 | election of director: Bert H. Mackie | MGMT | YES | FOR | FOR |
1F | ONEOK, INC. | OKE | 682680-103 | annual 5/21/2014 | election of director: Steven J. Malcolm | MGMT | YES | FOR | FOR |
1G | ONEOK, INC. | OKE | 682680-103 | annual 5/21/2014 | election of director: Jim W. Mogg | MGMT | YES | FOR | FOR |
1H | ONEOK, INC. | OKE | 682680-103 | annual 5/21/2014 | election of director: Pattye L. Moore | MGMT | YES | FOR | FOR |
1I | ONEOK, INC. | OKE | 682680-103 | annual 5/21/2014 | election of director: Gary D. parker | MGMT | YES | FOR | FOR |
1J | ONEOK, INC. | OKE | 682680-103 | annual 5/21/2014 | election of director: Eduardo A. Rodriguez | MGMT | YES | FOR | FOR |
1K | ONEOK, INC. | OKE | 682680-103 | annual 5/21/2014 | election of director: Terry K. Spencer | MGMT | YES | FOR | FOR |
2 | ONEOK, INC. | OKE | 682680-103 | annual 5/21/2014 | ratification of the selection of pricewaterhousecooper llp as the independent registered public accounting firm of oneok, inc. | MGMT | YES | FOR | FOR |
3 | ONEOK, INC. | OKE | 682680-103 | annual 5/21/2014 | an advisory vote to approve the company's executive compensation | MGMT | YES | FOR | FOR |
4 | ONEOK, INC. | OKE | 682680-103 | annual 5/21/2014 | a shareholder proposal regarding publication of a report on methane edmissions. | MGMT | YES | ABSTAIN | AGAINST |
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1A | NEXTERA ENERGY | NEE | 65339f-101 | annual 3/24/2014 | election of director: Sherry S. Barrat | MGMT | YES | FOR | FOR |
1B | NEXTERA ENERGY | NEE | 65339f-101 | annual 3/24/2014 | election of director: Robert M. Beall, II | MGMT | YES | FOR | FOR |
1C | NEXTERA ENERGY | NEE | 65339f-101 | annual 3/24/2014 | election of director: James L. Camaren | MGMT | YES | FOR | FOR |
1D | NEXTERA ENERGY | NEE | 65339f-101 | annual 3/24/2014 | election of director: Kenneth B. Dunn | MGMT | YES | FOR | FOR |
1E | NEXTERA ENERGY | NEE | 65339f-101 | annual 3/24/2014 | election of director: Kirk S. Hachigian | MGMT | YES | FOR | FOR |
1F | NEXTERA ENERGY | NEE | 65339f-101 | annual 3/24/2014 | election of director: Toni Jennings | MGMT | YES | FOR | FOR |
1G | NEXTERA ENERGY | NEE | 65339f-101 | annual 3/24/2014 | election of director: James L. Robo | MGMT | YES | FOR | FOR |
1H | NEXTERA ENERGY | NEE | 65339f-101 | annual 3/24/2014 | election of director: Rudy E. Schupp | MGMT | YES | FOR | FOR |
1I | NEXTERA ENERGY | NEE | 65339f-101 | annual 3/24/2014 | election of director: John L. Skolds | MGMT | YES | FOR | FOR |
1J | NEXTERA ENERGY | NEE | 65339f-101 | annual 3/24/2014 | election of director: William H. Swanson | MGMT | YES | FOR | FOR |
1K | NEXTERA ENERGY | NEE | 65339f-101 | annual 3/24/2014 | election of director: Hansel E. Tookes, II | MGMT | YES | FOR | FOR |
2 | NEXTERA ENERGY | NEE | 65339f-101 | annual 3/24/2014 | ratification of appointment of deloitte & touche llp as nextera energy's independent registered public accoiunting firm for 2014. | MGMT | YES | FOR | FOR |
3 | NEXTERA ENERGY | NEE | 65339f-101 | annual 3/24/2014 | approval, by non-binding advisory vote, of nextera energy's compensation of its named executive officers as discloded in the proxy statement. | MGMT | YES | FOR | FOR |
4 | NEXTERA ENERGY | NEE | 65339f-101 | annual 3/24/2014 | shareholder proposal-eliminate supermajority vote requirements in articles of incorporation and bylaws. | MGMT | YES | ABSTAIN | AGAINST |
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1A | INTEL CORP | INTC | 458140-100 | annual 5/22/2014 | election of director: Charlene Barshefsky | MGMT | YES | FOR | FOR |
1B | INTEL CORP | INTC | 458140-100 | annual 5/22/2014 | election of director: Andy D. Bryant | MGMT | YES | FOR | FOR |
1C | INTEL CORP | INTC | 458140-100 | annual 5/22/2014 | election of director: Susan L. Decker | MGMT | YES | FOR | FOR |
1D | INTEL CORP | INTC | 458140-100 | annual 5/22/2014 | election of director: John J. Donahoe | MGMT | YES | FOR | FOR |
1E | INTEL CORP | INTC | 458140-100 | annual 5/22/2014 | election of director: Reed E. Hundt | MGMT | YES | FOR | FOR |
1F | INTEL CORP | INTC | 458140-100 | annual 5/22/2014 | election of director: Brian M. Krzannich | MGMT | YES | FOR | FOR |
1G | INTEL CORP | INTC | 458140-100 | annual 5/22/2014 | election of director: James D. Plummer | MGMT | YES | FOR | FOR |
1H | INTEL CORP | INTC | 458140-100 | annual 5/22/2014 | election of director: David S. Pottruck | MGMT | YES | FOR | FOR |
1I | INTEL CORP | INTC | 458140-100 | annual 5/22/2014 | election of director: Frank D. Yeary | MGMT | YES | FOR | FOR |
1J | INTEL CORP | INTC | 458140-100 | annual 5/22/2014 | election of director: David B. Yoffie | MGMT | YES | FOR | FOR |
2 | INTEL CORP | INTC | 458140-100 | annual 5/22/2014 | ratification of selection of ernst & young llp as our independent registered public accounting firm for the current year. | MGMT | YES | FOR | FOR |
3 | INTEL CORP | INTC | 458140-100 | annual 5/22/2014 | advisory vote to approve executive compensation | MGMT | YES | FOR | FOR |
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1 | MACQUARIE | MIC | 55608B-105 | annual 5/21/2014 | director: Norman H. brown, Jr., George W. Carmany, III, H.E. (Jack) Lentz, Ouma Sananiikone, William H. Webb | MGMT | YES | FOR | FOR |
2 | MACQUARIE | MIC | 55608B-105 | annual 5/21/2014 | the ratification of the slection of kpmg llp as our independent auditor for the fiscal year ending december 31, 2014. | MGMT | YES | FOR | FOR |
3 | MACQUARIE | MIC | 55608B-105 | annual 5/21/2014 | the approval, on an advisory basis, of executive compensation. | MGMT | YES | FOR | FOR |
4 | MACQUARIE | MIC | 55608B-105 | annual 5/21/2014 | the approval of the 2014 independent directors equity plan. | MGMT | YES | FOR | FOR |
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1 | DEUTSCHE BANK | DB | D18190-898 | annual 5/22/2014 | appropriation of distributable profit | MGMT | YES | FOR | FOR |
2 | DEUTSCHE BANK | DB | D18190-898 | annual 5/22/2014 | ratification of the acts of management of the memebers of the management board for the 2013 financial year. | MGMT | YES | FOR | FOR |
3 | DEUTSCHE BANK | DB | D18190-898 | annual 5/22/2014 | ratification of the acts of management of the memebers of the management board for the 2013 financial year. | MGMT | YES | FOR | FOR |
4 | DEUTSCHE BANK | DB | D18190-898 | annual 5/22/2014 | ratification of the acts of management of the memebers of the supervisory board for the 2013 financial year. | MGMT | YES | FOR | FOR |
5 | DEUTSCHE BANK | DB | D18190-898 | annual 5/22/2014 | election of the auditor for the 2014 financial year, interim accounts. | MGMT | YES | FOR | FOR |
6 | DEUTSCHE BANK | DB | D18190-898 | annual 5/22/2014 | authorization to acquire own shares pursuant to 71 (1) no. 8 stock corporation act as well as for their use with the possible exclusion of pre-emptive rights. | MGMT | YES | FOR | FOR |
7 | DEUTSCHE BANK | DB | D18190-898 | annual 5/22/2014 | authorization to use derivatives within the framework of the purchase of own shares pursuant to 71 (1) no. 8 stock corporation act. | MGMT | YES | FOR | FOR |
8 | DEUTSCHE BANK | DB | D18190-898 | annual 5/22/2014 | increase in the limit for variable compensation components for the management board members. | MGMT | YES | FOR | FOR |
9 | DEUTSCHE BANK | DB | D18190-898 | annual 5/22/2014 | increase in the limit for variable compensation components for employees etc. | MGMT | YES | FOR | FOR |
10 | DEUTSCHE BANK | DB | D18190-898 | annual 5/22/2014 | amendments to the articles of associations regarding supervisory board compensation | MGMT | YES | FOR | FOR |
11 | DEUTSCHE BANK | DB | D18190-898 | annual 5/22/2014 | new authorized capital with possibility of excluding shareholders' pre-emptive rights, amendment of the articles of association | MGMT | YES | ABSTAIN | FOR |
12 | DEUTSCHE BANK | DB | D18190-898 | annual 5/22/2014 | authorization for participatory notes with warrants and/or convertible participatory notes, other at 1 instruments, bonds with warrants and convertible bonds, conditional capital and amendments to the articles of association. | MGMT | YES | FOR | FOR |
13 | DEUTSCHE BANK | DB | D18190-898 | annual 5/22/2014 | authorization for participatory notes and other at1 instruments. | MGMT | YES | FOR | FOR |
14 | DEUTSCHE BANK | DB | D18190-898 | annual 5/22/2014 | approval of a domination agreement with deutsche immobilien leasing gmgh. | MGMT | YES | FOR | FOR |
15 | DEUTSCHE BANK | DB | D18190-898 | annual 5/22/2014 | approval of a domination agreement with deutsche bank (europe) ghbh | MGMT | YES | FOR | FOR |
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1 | TELEFONICA | VIV | 879382-208 | annual 5/29/2014 | examination and approval, if applicable, of individual annual accounts, consolidated financial statements & management report of telefonica, s.a. and of its consolidated group of companies, all as more fully described in the proxy material. | MGMT | YES | FOR | NONE |
2 | TELEFONICA | VIV | 879382-208 | annual 5/29/2014 | re-election of the auditor for fiscal year 2014. | MGMT | YES | FOR | NONE |
3 | TELEFONICA | VIV | 879382-208 | annual 5/29/2014 | shareholder compensation by means of a scrip dividend. Increase in share capital by such amount as may be determined pursuant to the terms and condition of the resolution, all as more fully described in the proxy material. | MGMT | YES | ABSTAIN | NONE |
4 | TELEFONICA | VIV | 879382-208 | annual 5/29/2014 | delegation to directors of power to issue debentures, bonds, notes & other fixed-income securities and hybrid instruments, including preferred shares, be they simple,m exchangeable and/or convertible, all as more fully described in the maaterial. | MGMT | YES | FOR | NONE |
5 | TELEFONICA | VIV | 879382-208 | annual 5/29/2014 | authorization for the acquisition of the company's own shares directly or through companies of the group. | MGMT | YES | FOR | NONE |
6 | TELEFONICA | VIV | 879382-208 | annual 5/29/2014 | approval of a long-term incentitive plan consisting of the delivery of shares of telefonica, s.a. for the executives of the telefonica group. | MGMT | YES | FOR | NONE |
7 | TELEFONICA | VIV | 879382-208 | annual 5/29/2014 | approval of a global incentive telefonica, s.a. shares purchase plan for the employees of the telefonica group. | MGMT | YES | FOR | NONE |
8 | TELEFONICA | VIV | 879382-208 | annual 5/29/2014 | delegation of powers to formalize, interpret, correct and implement the resolutions adopted by the shareholders. | MGMT | YES | FOR | NONE |
9 | TELEFONICA | VIV | 879382-208 | annual 5/29/2014 | consultative vote on the annual report on the remuneration of directors. | MGMT | YES | FOR | NONE |
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1 | HIGHWOODS PROP. | HIW | 431284-108 | annual 5/30/2014 | director; Charles A. Anderson, Gene H. Anderson, Edward J. Fritsch, David J. Hartzell, Sherry A. Kellett, Mark F. mulhern, L. Glenn Orr, Jr., O. Temple Sloan , Jr. | MGMT | YES | FOR | FOR |
2 | HIGHWOODS PROP. | HIW | 431284-108 | annual 5/30/2014 | ratification of appointment of deloitte & touche llp as independent auditor for 2014. | MGMT | YES | FOR | FOR |
3 | HIGHWOODS PROP. | HIW | 431284-108 | annual 5/30/2014 | advisory vote on executive compensation. | MGMT | YES | FOR | FOR |
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1 | BUCKEYE PART | BPL | 118230-101 | annual 6/3/2014 | director: Forrest E. Wylie, Barbara J. Duganier, Joseph A. Lasala, Jr. Martin A. White | MGMT | YES | FOR | FOR |
2 | BUCKEYE PART | BPL | 118230-101 | annual 6/3/2014 | the ratification of the selection of deloitte & touche llp as buckeye partners, l.p.'s independent registered public accountants for 2014. | MGMT | YES | FOR | FOR |
3 | BUCKEYE PART | BPL | 118230-101 | annual 6/3/2014 | the approval, in an advisory vote, of the compensation of buckeye's named executive officers as described in our proxy statement pursuant to item 402 of regulation s-k. | MGMT | YES | FOR | FOR |
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1 | MESABI TRUST | MSB | 590672-101 | annual 6/4/2014 | appointment of michael p. mlinar as a trustee | MGMT | YES | FOR | FOR |
2 | MESABI TRUST | MSB | 590672-101 | annual 6/4/2014 | authorization of any motion to adjourn the special meeting, or any adjournments therof, to a later date or dates, if necessary, to allow time for further solicitation of proxies in the event that a quorum is not present and/or there are insufficient votes present in person or represented by proxies at the special meeting to approve the proposals. | MGMT | YES | FOR | FOR |
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1 | UNIVERSAL HEALTH REALTY | UHT | 91359E-105 | annual 6/12/2014 | director; alan b. miller, robert f. mccadden | MGMT | YES | FOR | FOR |
2 | UNIVERSAL HEALTH REALTY | UHT | 91359E-105 | annual 6/12/2014 | advisory (nonbinding)vote to approve executive officer compensation. | MGMT | YES | FOR | FOR |
3 | UNIVERSAL HEALTH REALTY | UHT | 91359E-105 | annual 6/12/2014 | to ratify the selection of kpmg llp, as the company's independent registered public accounting firm for the fiscal year ending december 31.2014. | MGMT | YES | FOR | FOR |
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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 22, 2014
* Print the name and title of each signing officer under his or her signature.