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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, 2014 – June 30, 2015
Registrant: Dunham Funds - Dunham Focused Large Cap Growth Fund Item 1 |
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Investment Company Act file number: 811-22153 |
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Reporting Period: July 1, 2014 through June 30, 2015 |
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| Vote Summary | |||||||||||||||||||||||
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| MICHAEL KORS HOLDINGS LIMITED | ||||||||||||||||||||||
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| Security |
| G60754101 |
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| Meeting Type | Annual | ||||||||||||||
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| Ticker Symbol |
| KORS |
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| Meeting Date | 31-Jul-2014 |
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| ISIN |
| VGG607541015 |
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| Agenda | 934047146 - Management | ||||||||||||||
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| Record Date |
| 03-Jun-2014 |
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| Holding Recon Date | 03-Jun-2014 |
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| City / | Country |
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| / | Hong Kong |
| Vote Deadline Date | 30-Jul-2014 |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: JOHN D. IDOL |
| Management | For | For |
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| 1B. | ELECTION OF DIRECTOR: SILAS K.F. CHOU |
| Management | For | For |
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| 1C. | ELECTION OF DIRECTOR: ANN MCLAUGHLIN |
| Management | For | For |
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| 2. | TO RATIFY THE APPOINTMENT OF ERNST & |
| Management | For | For |
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| 3. | TO APPROVE, ON A NON-BINDING ADVISORY |
| Management | For | For |
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| PRECISION CASTPARTS CORP. | ||||||||||||||||||||||
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| Security |
| 740189105 |
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| Meeting Type | Annual | ||||||||||||||
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| Ticker Symbol |
| PCP |
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| Meeting Date | 12-Aug-2014 |
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| ISIN |
| US7401891053 |
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| Agenda | 934051551 - Management | ||||||||||||||
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| Record Date |
| 10-Jun-2014 |
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| Holding Recon Date | 10-Jun-2014 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 11-Aug-2014 |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: MARK DONEGAN |
| Management | For | For |
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| 1B. | ELECTION OF DIRECTOR: DON R. GRABER |
| Management | For | For |
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| 1C. | ELECTION OF DIRECTOR: LESTER L. LYLES |
| Management | For | For |
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| 1D. | ELECTION OF DIRECTOR: DANIEL J. |
| Management | For | For |
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| 1E. | ELECTION OF DIRECTOR: VERNON E. |
| Management | For | For |
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| 1F. | ELECTION OF DIRECTOR: ULRICH SCHMIDT |
| Management | For | For |
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| 1G. | ELECTION OF DIRECTOR: RICHARD L. |
| Management | For | For |
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| 1H. | ELECTION OF DIRECTOR: TIMOTHY A. |
| Management | For | For |
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| 2. | RATIFICATION OF APPOINTMENT OF |
| Management | For | For |
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| 3. | ADVISORY VOTE REGARDING |
| Management | For | For |
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| 4. | SHAREHOLDER PROPOSAL REGARDING |
| Shareholder | For | Against |
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| BE AEROSPACE, INC. | ||||||||||||||||||||||
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| Security |
| 073302101 |
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| Meeting Type | Annual | ||||||||||||||
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| Ticker Symbol |
| BEAV |
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| Meeting Date | 10-Sep-2014 |
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| ISIN |
| US0733021010 |
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| Agenda | 934064786 - Management | ||||||||||||||
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| Record Date |
| 01-Aug-2014 |
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| Holding Recon Date | 01-Aug-2014 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 09-Sep-2014 |
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| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | AMIN J. KHOURY |
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| For | For |
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| 2 | JONATHAN M. SCHOFIELD |
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| For | For |
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| 2. | SAY ON PAY - AN ADVISORY VOTE ON THE |
| Management | Against | Against |
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| 3. | PROPOSAL TO RATIFY THE APPOINTMENT |
| Management | For | For |
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| TRANSDIGM GROUP INCORPORATED | ||||||||||||||||||||||
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| Security |
| 893641100 |
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| Meeting Type | Special | ||||||||||||||
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| Ticker Symbol |
| TDG |
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| Meeting Date | 02-Oct-2014 |
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| ISIN |
| US8936411003 |
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| Agenda | 934072454 - Management | ||||||||||||||
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| Record Date |
| 11-Aug-2014 |
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| Holding Recon Date | 11-Aug-2014 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 01-Oct-2014 |
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| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | TO APPROVE AND ADOPT THE COMPANY'S |
| Management | Against | Against |
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| VISA INC. | |||||||||||||||||||
| Security |
| 92826C839 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| V |
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| Meeting Date | 28-Jan-2015 | |||||||||||
| ISIN |
| US92826C8394 |
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| Agenda | 934110785 - Management | |||||||||||
| Record Date |
| 01-Dec-2014 |
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| Holding Recon Date | 01-Dec-2014 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 27-Jan-2015 | |||||||||||
| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1A. | ELECTION OF DIRECTOR: MARY B. |
| Management | For | For | ||||||||||||||
| 1B. | ELECTION OF DIRECTOR: FRANCISCO |
| Management | For | For | ||||||||||||||
| 1C. | ELECTION OF DIRECTOR: ALFRED F. KELLY, |
| 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: CHARLES W. |
| Management | For | For | ||||||||||||||
| 1I. | ELECTION OF DIRECTOR: WILLIAM S. |
| Management | For | For | ||||||||||||||
| 1J. | ELECTION OF DIRECTOR: JOHN A.C. |
| Management | For | For | ||||||||||||||
| 1K. | ELECTION OF DIRECTOR: MAYNARD G. |
| Management | For | For | ||||||||||||||
| 2. | APPROVAL OF AMENDMENTS TO THE FIFTH |
| Management | For | For | ||||||||||||||
| 3. | APPROVAL, ON AN ADVISORY BASIS, OF |
| Management | For | For | ||||||||||||||
| 4. | APPROVAL OF THE VISA INC. EMPLOYEE |
| Management | For | For | ||||||||||||||
| 5A. | APPROVAL OF AMENDMENTS TO THE FIFTH |
| Management | For | For | ||||||||||||||
| 5B. | APPROVAL OF AMENDMENTS TO THE FIFTH |
| Management | For | For | ||||||||||||||
| 5C. | APPROVAL OF AMENDMENTS TO THE FIFTH |
| Management | For | For | ||||||||||||||
| 5D. | APPROVAL OF AMENDMENTS TO THE FIFTH |
| Management | For | For | ||||||||||||||
| 5E. | APPROVAL OF AMENDMENTS TO THE FIFTH |
| Management | For | For | ||||||||||||||
| 6. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For | ||||||||||||||
| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
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| 19-1593 |
| DUNHAM |
| U.S. BANK | 11,198 | 0 | 16-Jan-2015 | ||||||||||||
| MONSANTO COMPANY | |||||||||||||||||||
| Security |
| 61166W101 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| MON |
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| Meeting Date | 30-Jan-2015 | |||||||||||
| ISIN |
| US61166W1018 |
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| Agenda | 934110064 - Management | |||||||||||
| Record Date |
| 02-Dec-2014 |
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| Holding Recon Date | 02-Dec-2014 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 29-Jan-2015 | |||||||||||
| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| 1A. | ELECTION OF DIRECTOR: GREGORY H. |
| Management | For | For | ||||||||||||||
| 1B. | ELECTION OF DIRECTOR: JANICE L. FIELDS |
| Management | For | For | ||||||||||||||
| 1C. | ELECTION OF DIRECTOR: HUGH GRANT |
| Management | For | For | ||||||||||||||
| 1D. | ELECTION OF DIRECTOR: LAURA K. IPSEN |
| Management | For | For | ||||||||||||||
| 1E. | ELECTION OF DIRECTOR: MARCOS M. LUTZ |
| Management | For | For | ||||||||||||||
| 1F. | ELECTION OF DIRECTOR: C. STEVEN |
| Management | For | For | ||||||||||||||
| 1G. | ELECTION OF DIRECTOR: WILLIAM U. |
| Management | For | For | ||||||||||||||
| 1H. | ELECTION OF DIRECTOR: GEORGE H. |
| Management | For | For | ||||||||||||||
| 1I. | ELECTION OF DIRECTOR: ROBERT J. |
| Management | For | For | ||||||||||||||
| 2. | RATIFY THE APPOINTMENT OF DELOITTE & |
| Management | For | For | ||||||||||||||
| 3. | ADVISORY (NON-BINDING) VOTE TO |
| Management | For | For | ||||||||||||||
| 4. | SHAREOWNER PROPOSAL: LOBBYING |
| Shareholder | Against | For | ||||||||||||||
| 5. | SHAREOWNER PROPOSAL: SHAREOWNER |
| Shareholder | For | Against | ||||||||||||||
| 6. | SHAREOWNER PROPOSAL: INDEPENDENT |
| Shareholder | Against | For | ||||||||||||||
| TRANSDIGM GROUP INCORPORATED | |||||||||||||||||||
| Security |
| 893641100 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| TDG |
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| Meeting Date | 05-Mar-2015 | |||||||||||
| ISIN |
| US8936411003 |
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| Agenda | 934120712 - Management | |||||||||||
| Record Date |
| 05-Jan-2015 |
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| Holding Recon Date | 05-Jan-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 04-Mar-2015 | |||||||||||
| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1. | DIRECTOR |
| Management |
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| 1 | WILLIAM DRIES |
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| For | For | ||||||||||||
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| 2 | W. NICHOLAS HOWLEY |
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| For | For | ||||||||||||
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| 3 | RAYMOND LAUBENTHAL |
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| For | For | ||||||||||||
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| 4 | ROBERT SMALL |
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| For | For | ||||||||||||
| 2. | TO APPROVE (IN AN ADVISORY VOTE) |
| Management | Against | Against | ||||||||||||||
| 3. | TO RATIFY THE SELECTION OF ERNST & |
| Management | For | For | ||||||||||||||
| APPLE INC. | |||||||||||||||||||
| Security |
| 037833100 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| AAPL |
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| Meeting Date | 10-Mar-2015 | |||||||||||
| ISIN |
| US0378331005 |
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| Agenda | 934118983 - Management | |||||||||||
| Record Date |
| 09-Jan-2015 |
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| Holding Recon Date | 09-Jan-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 09-Mar-2015 | |||||||||||
| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1A. | ELECTION OF DIRECTOR: TIM COOK |
| Management | For | For | ||||||||||||||
| 1B. | ELECTION OF DIRECTOR: AL GORE |
| Management | For | For | ||||||||||||||
| 1C. | ELECTION OF DIRECTOR: BOB IGER |
| Management | For | For | ||||||||||||||
| 1D. | ELECTION OF DIRECTOR: ANDREA JUNG |
| Management | For | For | ||||||||||||||
| 1E. | ELECTION OF DIRECTOR: ART LEVINSON |
| Management | For | For | ||||||||||||||
| 1F. | ELECTION OF DIRECTOR: RON SUGAR |
| Management | For | For | ||||||||||||||
| 1G. | ELECTION OF DIRECTOR: SUE WAGNER |
| Management | For | For | ||||||||||||||
| 2. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For | ||||||||||||||
| 3. | AN ADVISORY RESOLUTION TO APPROVE |
| Management | For | For | ||||||||||||||
| 4. | THE AMENDMENT OF THE APPLE INC. |
| Management | For | For | ||||||||||||||
| 5. | A SHAREHOLDER PROPOSAL BY THE |
| Shareholder | Against | For | ||||||||||||||
| 6. | A SHAREHOLDER PROPOSAL BY MR. JAMES |
| Shareholder | Against | For | ||||||||||||||
| THE WALT DISNEY COMPANY | |||||||||||||||||||
| Security |
| 254687106 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| DIS |
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| Meeting Date | 12-Mar-2015 | |||||||||||
| ISIN |
| US2546871060 |
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| Agenda | 934118666 - Management | |||||||||||
| Record Date |
| 12-Jan-2015 |
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| Holding Recon Date | 12-Jan-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 11-Mar-2015 | |||||||||||
| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1A. | ELECTION OF DIRECTOR: SUSAN E. ARNOLD |
| Management | For | For | ||||||||||||||
| 1B. | ELECTION OF DIRECTOR: JOHN S. CHEN |
| Management | For | For | ||||||||||||||
| 1C. | ELECTION OF DIRECTOR: JACK DORSEY |
| Management | For | For | ||||||||||||||
| 1D. | ELECTION OF DIRECTOR: ROBERT A. IGER |
| Management | For | For | ||||||||||||||
| 1E. | ELECTION OF DIRECTOR: FRED H. |
| Management | For | For | ||||||||||||||
| 1F. | ELECTION OF DIRECTOR: AYLWIN B. LEWIS |
| Management | For | For | ||||||||||||||
| 1G. | ELECTION OF DIRECTOR: MONICA C. |
| Management | For | For | ||||||||||||||
| 1H. | ELECTION OF DIRECTOR: ROBERT W. |
| Management | For | For | ||||||||||||||
| 1I. | ELECTION OF DIRECTOR: SHERYL K. |
| Management | For | For | ||||||||||||||
| 1J. | ELECTION OF DIRECTOR: ORIN C. SMITH |
| Management | For | For | ||||||||||||||
| 2. | TO RATIFY THE APPOINTMENT OF |
| Management | For | For | ||||||||||||||
| 3. | TO APPROVE THE ADVISORY RESOLUTION |
| Management | Against | Against | ||||||||||||||
| 4. | TO APPROVE THE SHAREHOLDER |
| Shareholder | Against | For | ||||||||||||||
| 5. | TO APPROVE THE SHAREHOLDER |
| Shareholder | Against | For | ||||||||||||||
| STARBUCKS CORPORATION | |||||||||||||||||||
| Security |
| 855244109 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| SBUX |
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| Meeting Date | 18-Mar-2015 | |||||||||||
| ISIN |
| US8552441094 |
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| Agenda | 934118680 - Management | |||||||||||
| Record Date |
| 08-Jan-2015 |
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| Holding Recon Date | 08-Jan-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 17-Mar-2015 | |||||||||||
| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| 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. | ADVISORY RESOLUTION TO APPROVE OUR |
| Management | Against | Against | ||||||||||||||
| 3. | RATIFICATION OF SELECTION OF DELOITTE |
| Management | For | For | ||||||||||||||
| 4. | ESTABLISH A BOARD COMMITTEE ON |
| Shareholder | Against | For | ||||||||||||||
| 5. | REQUIRE AN INDEPENDENT BOARD |
| Shareholder | Against | For | ||||||||||||||
| UNDER ARMOUR, INC. | |||||||||||||||||||
| Security |
| 904311107 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| UA |
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| Meeting Date | 29-Apr-2015 | |||||||||||
| ISIN |
| US9043111072 |
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| Agenda | 934143900 - Management | |||||||||||
| Record Date |
| 25-Feb-2015 |
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| Holding Recon Date | 25-Feb-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 28-Apr-2015 | |||||||||||
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1. | DIRECTOR |
| Management |
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| 1 | KEVIN A. PLANK |
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| For | For | ||||||||||||
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| 2 | BYRON K. ADAMS, JR. |
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| For | For | ||||||||||||
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| 3 | GEORGE W. BODENHEIMER |
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| For | For | ||||||||||||
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| 4 | DOUGLAS E. COLTHARP |
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| For | For | ||||||||||||
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| 5 | ANTHONY W. DEERING |
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| For | For | ||||||||||||
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| 6 | KAREN W. KATZ |
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| For | For | ||||||||||||
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| 7 | A.B. KRONGARD |
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| For | For | ||||||||||||
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| 8 | WILLIAM R. MCDERMOTT |
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| For | For | ||||||||||||
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| 9 | ERIC T. OLSON |
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| For | For | ||||||||||||
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| 10 | HARVEY L. SANDERS |
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| For | For | ||||||||||||
| 2 | TO APPROVE, BY A NON-BINDING ADVISORY |
| Management | For | For | ||||||||||||||
| 3 | TO APPROVE THE SECOND AMENDED AND |
| Management | For | For | ||||||||||||||
| 4 | RATIFICATION OF APPOINTMENT OF |
| Management | For | For | ||||||||||||||
| ARM HOLDINGS PLC | |||||||||||||||||||
| Security |
| 042068106 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| ARMH |
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| Meeting Date | 30-Apr-2015 | |||||||||||
| ISIN |
| US0420681068 |
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| Agenda | 934165944 - Management | |||||||||||
| Record Date |
| 24-Mar-2015 |
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| Holding Recon Date | 24-Mar-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 21-Apr-2015 | |||||||||||
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1. | TO RECEIVE THE COMPANY'S ANNUAL |
| Management | For | For | ||||||||||||||
| 2. | TO DECLARE A FINAL DIVIDEND |
| Management | For | For | ||||||||||||||
| 3. | TO APPROVE THE DIRECTORS' |
| Management | For | For | ||||||||||||||
| 4. | TO ELECT JOHN LIU AS A DIRECTOR |
| Management | For | For | ||||||||||||||
| 5. | TO RE-ELECT STUART CHAMBERS AS A |
| Management | For | For | ||||||||||||||
| 6. | TO RE-ELECT SIMON SEGARS AS A |
| Management | For | For | ||||||||||||||
| 7. | TO RE-ELECT ANDY GREEN AS A DIRECTOR |
| Management | For | For | ||||||||||||||
| 8. | TO RE-ELECT LARRY HIRST AS A DIRECTOR |
| Management | For | For | ||||||||||||||
| 9. | TO RE-ELECT MIKE MULLER AS A DIRECTOR |
| Management | For | For | ||||||||||||||
| 10. | TO RE-ELECT KATHLEEN O'DONOVAN AS A |
| Management | For | For | ||||||||||||||
| 11. | TO RE-ELECT JANICE ROBERTS AS A |
| Management | For | For | ||||||||||||||
| 12. | TO RE-ELECT TIM SCORE AS A DIRECTOR |
| Management | For | For | ||||||||||||||
| 13. | TO RE-APPOINT |
| Management | For | For | ||||||||||||||
| 14. | TO AUTHORISE THE DIRECTORS TO FIX THE |
| Management | For | For | ||||||||||||||
| 15. | TO GRANT THE DIRECTORS AUTHORITY TO |
| Management | For | For | ||||||||||||||
| 16. | TO DISAPPLY PRE-EMPTION RIGHTS |
| Management | For | For | ||||||||||||||
| 17. | TO AUTHORISE THE COMPANY TO MAKE |
| Management | For | For | ||||||||||||||
| 18. | TO AUTHORISE THE COMPANY TO HOLD |
| Management | Against | Against | ||||||||||||||
| GILEAD SCIENCES, INC. | |||||||||||||||||||
| Security |
| 375558103 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| GILD |
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| Meeting Date | 06-May-2015 | |||||||||||
| ISIN |
| US3755581036 |
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| Agenda | 934149685 - Management | |||||||||||
| Record Date |
| 11-Mar-2015 |
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| Holding Recon Date | 11-Mar-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 05-May-2015 | |||||||||||
| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1A. | ELECTION OF DIRECTOR: JOHN F. COGAN |
| Management | For | For | ||||||||||||||
| 1B. | ELECTION OF DIRECTOR: ETIENNE F. |
| Management | For | For | ||||||||||||||
| 1C. | ELECTION OF DIRECTOR: CARLA A. HILLS |
| Management | For | For | ||||||||||||||
| 1D. | ELECTION OF DIRECTOR: KEVIN E. LOFTON |
| Management | For | For | ||||||||||||||
| 1E. | ELECTION OF DIRECTOR: JOHN W. MADIGAN |
| Management | For | For | ||||||||||||||
| 1F. | ELECTION OF DIRECTOR: JOHN C. MARTIN |
| Management | For | For | ||||||||||||||
| 1G. | ELECTION OF DIRECTOR: NICHOLAS G. |
| Management | For | For | ||||||||||||||
| 1H. | ELECTION OF DIRECTOR: RICHARD J. |
| Management | For | For | ||||||||||||||
| 1I. | ELECTION OF DIRECTOR: GAYLE E. WILSON |
| Management | For | For | ||||||||||||||
| 1J. | ELECTION OF DIRECTOR: PER WOLD-OLSEN |
| Management | For | For | ||||||||||||||
| 2. | TO RATIFY THE SELECTION OF ERNST & |
| Management | For | For | ||||||||||||||
| 3. | TO APPROVE AN AMENDMENT AND |
| Management | For | For | ||||||||||||||
| 4. | TO APPROVE, ON AN ADVISORY BASIS, THE |
| Management | For | For | ||||||||||||||
| 5. | TO VOTE ON A STOCKHOLDER PROPOSAL, |
| Shareholder | For | Against | ||||||||||||||
| 6. | TO VOTE ON A STOCKHOLDER PROPOSAL, |
| Shareholder | Against | For | ||||||||||||||
| 7. | TO VOTE ON A STOCKHOLDER PROPOSAL, |
| Shareholder | Against | For | ||||||||||||||
| 8. | TO VOTE ON A STOCKHOLDER PROPOSAL, |
| Shareholder | Against | For | ||||||||||||||
| ALEXION PHARMACEUTICALS, INC. | |||||||||||||||||||
| Security |
| 015351109 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| ALXN |
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| Meeting Date | 06-May-2015 | |||||||||||
| ISIN |
| US0153511094 |
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| Agenda | 934154674 - Management | |||||||||||
| Record Date |
| 13-Mar-2015 |
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| Holding Recon Date | 13-Mar-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 05-May-2015 | |||||||||||
| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1A. | ELECTION OF DIRECTOR: LEONARD BELL |
| Management | For | For | ||||||||||||||
| 1B. | ELECTION OF DIRECTOR: DAVID R. |
| Management | For | For | ||||||||||||||
| 1C. | ELECTION OF DIRECTOR: M. MICHELE |
| Management | For | For | ||||||||||||||
| 1D. | ELECTION OF DIRECTOR: CHRISTOPHER J. |
| Management | For | For | ||||||||||||||
| 1E. | ELECTION OF DIRECTOR: DAVID L. HALLAL |
| Management | For | For | ||||||||||||||
| 1F. | ELECTION OF DIRECTOR: JOHN T. MOLLEN |
| Management | For | For | ||||||||||||||
| 1G. | ELECTION OF DIRECTOR: R. DOUGLAS |
| Management | For | For | ||||||||||||||
| 1H. | ELECTION OF DIRECTOR: ALVIN S. PARVEN |
| Management | For | For | ||||||||||||||
| 1I. | ELECTION OF DIRECTOR: ANDREAS |
| Management | For | For | ||||||||||||||
| 1J. | ELECTION OF DIRECTOR: ANN M. VENEMAN |
| Management | For | For | ||||||||||||||
| 2. | APPROVAL OF A NON-BINDING ADVISORY |
| Management | For | For | ||||||||||||||
| 3. | RATIFICATION OF APPOINTMENT BY THE |
| Management | For | For | ||||||||||||||
| 4. | TO APPROVE ALEXION'S 2015 EMPLOYEE |
| Management | For | For | ||||||||||||||
| 5. | TO REQUEST THE BOARD TO AMEND |
| Shareholder | For | Against | ||||||||||||||
| 6. | TO REQUEST THE BOARD TO AMEND |
| Shareholder | For | Against | ||||||||||||||
| CUMMINS INC. | |||||||||||||||||||
| Security |
| 231021106 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| CMI |
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| Meeting Date | 12-May-2015 | |||||||||||
| ISIN |
| US2310211063 |
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| Agenda | 934147059 - Management | |||||||||||
| Record Date |
| 10-Mar-2015 |
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| Holding Recon Date | 10-Mar-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 11-May-2015 | |||||||||||
| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1) | ELECTION OF DIRECTOR: N. THOMAS |
| Management | For | For | ||||||||||||||
| 2) | ELECTION OF DIRECTOR: ROBERT J. |
| Management | For | For | ||||||||||||||
| 3) | ELECTION OF DIRECTOR: DR. FRANKLIN R. |
| Management | For | For | ||||||||||||||
| 4) | ELECTION OF DIRECTOR: BRUNO V. DI LEO |
| Management | For | For | ||||||||||||||
| 5) | ELECTION OF DIRECTOR: STEPHEN B. |
| Management | For | For | ||||||||||||||
| 6) | ELECTION OF DIRECTOR: ROBERT K. |
| Management | For | For | ||||||||||||||
| 7) | ELECTION OF DIRECTOR: ALEXIS M. |
| Management | For | For | ||||||||||||||
| 8) | ELECTION OF DIRECTOR: THOMAS J. LYNCH |
| Management | For | For | ||||||||||||||
| 9) | ELECTION OF DIRECTOR: WILLIAM I. MILLER |
| Management | For | For | ||||||||||||||
| 10) | ELECTION OF DIRECTOR: GEORGIA R. |
| Management | For | For | ||||||||||||||
| 11) | ADVISORY VOTE TO APPROVE THE |
| Management | For | For | ||||||||||||||
| 12) | PROPOSAL TO RATIFY THE APPOINTMENT |
| Management | For | For | ||||||||||||||
| 13) | SHAREHOLDER PROPOSAL REGARDING |
| Shareholder | Against | For | ||||||||||||||
| THE MIDDLEBY CORPORATION | |||||||||||||||||||
| Security |
| 596278101 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| MIDD |
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| Meeting Date | 12-May-2015 | |||||||||||
| ISIN |
| US5962781010 |
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| Agenda | 934162746 - Management | |||||||||||
| Record Date |
| 20-Mar-2015 |
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| Holding Recon Date | 20-Mar-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 11-May-2015 | |||||||||||
| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1.1 | ELECTION OF DIRECTOR: SELIM A. BASSOUL |
| Management | For | For | ||||||||||||||
| 1.2 | ELECTION OF DIRECTOR: SARAH PALISI |
| Management | For | For | ||||||||||||||
| 1.3 | ELECTION OF DIRECTOR: ROBERT B. LAMB |
| Management | For | For | ||||||||||||||
| 1.4 | ELECTION OF DIRECTOR: JOHN R. MILLER III |
| Management | For | For | ||||||||||||||
| 1.5 | ELECTION OF DIRECTOR: GORDON O'BRIEN |
| Management | For | For | ||||||||||||||
| 1.6 | ELECTION OF DIRECTOR: PHILIP G. PUTNAM |
| Management | For | For | ||||||||||||||
| 1.7 | ELECTION OF DIRECTOR: SABIN C. |
| Management | For | For | ||||||||||||||
| 2 | APPROVAL, BY AN ADVISORY VOTE, OF THE |
| Management | Against | Against | ||||||||||||||
| 3 | RATIFICATION OF THE SELECTION OF |
| Management | For | For | ||||||||||||||
| CHIPOTLE MEXICAN GRILL, INC. | |||||||||||||||||||
| Security |
| 169656105 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| CMG |
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| Meeting Date | 13-May-2015 | |||||||||||
| ISIN |
| US1696561059 |
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| Agenda | 934160526 - Management | |||||||||||
| Record Date |
| 16-Mar-2015 |
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| Holding Recon Date | 16-Mar-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 12-May-2015 | |||||||||||
| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1. | DIRECTOR |
| Management |
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| 1 | JOHN CHARLESWORTH |
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| For | For | ||||||||||||
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| 2 | KIMBAL MUSK |
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| For | For | ||||||||||||
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| 3 | MONTY MORAN |
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| For | For | ||||||||||||
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| 4 | PAT FLYNN |
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| For | For | ||||||||||||
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| 5 | STEVE ELLS |
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| For | For | ||||||||||||
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| 6 | STEPHEN GILLETT |
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| For | For | ||||||||||||
| 2. | AN ADVISORY VOTE TO APPROVE THE |
| Management | For | For | ||||||||||||||
| 3. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For | ||||||||||||||
| 4. | TO APPROVE THE AMENDED AND |
| Management | For | For | ||||||||||||||
| 5. | TO APPROVE A CHARTER AMENDMENT TO |
| Management | For | For | ||||||||||||||
| 6. | TO APPROVE A CHARTER AMENDMENT TO |
| Management | For | For | ||||||||||||||
| 7. | TO APPROVE A PROXY ACCESS BYLAW FOR |
| Management | Against | Against | ||||||||||||||
| 8. | A SHAREHOLDER PROPOSAL, SEEKING A |
| Shareholder | For | Against | ||||||||||||||
| 9. | A SHAREHOLDER PROPOSAL, REQUESTING |
| Shareholder | Against | For | ||||||||||||||
| 10. | A SHAREHOLDER PROPOSAL, SEEKING A |
| Shareholder | Against | For | ||||||||||||||
| 11. | A SHAREHOLDER PROPOSAL, SEEKING |
| Shareholder | Against | For | ||||||||||||||
| 12. | A SHAREHOLDER PROPOSAL, SEEKING |
| Shareholder | Against | For | ||||||||||||||
| ILLUMINA, INC. | |||||||||||||||||||
| Security |
| 452327109 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| ILMN |
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| Meeting Date | 27-May-2015 | |||||||||||
| ISIN |
| US4523271090 |
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| Agenda | 934174602 - Management | |||||||||||
| Record Date |
| 31-Mar-2015 |
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| Holding Recon Date | 31-Mar-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 26-May-2015 | |||||||||||
| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1A. | ELECTION OF DIRECTOR: A. BLAINE |
| Management | For | For | ||||||||||||||
| 1B. | ELECTION OF DIRECTOR: KARIN EASTHAM, |
| Management | For | For | ||||||||||||||
| 1C. | ELECTION OF DIRECTOR: JAY T. FLATLEY |
| Management | For | For | ||||||||||||||
| 1D. | ELECTION OF DIRECTOR: JEFFREY T. |
| Management | For | For | ||||||||||||||
| 1E. | ELECTION OF DIRECTOR: WILLIAM H. |
| Management | For | For | ||||||||||||||
| 2. | TO RATIFY THE APPOINTMENT OF ERNST & |
| Management | For | For | ||||||||||||||
| 3. | TO APPROVE, ON AN ADVISORY BASIS, THE |
| Management | For | For | ||||||||||||||
| 4. | TO APPROVE THE ILLUMINA, INC. 2015 |
| Management | For | For | ||||||||||||||
| TWITTER, INC. | |||||||||||||||||||
| Security |
| 90184L102 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| TWTR |
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| Meeting Date | 03-Jun-2015 | |||||||||||
| ISIN |
| US90184L1026 |
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| Agenda | 934189526 - Management | |||||||||||
| Record Date |
| 10-Apr-2015 |
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| Holding Recon Date | 10-Apr-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 02-Jun-2015 | |||||||||||
| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1. | DIRECTOR |
| Management |
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| 1 | DAVID ROSENBLATT |
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| For | For | ||||||||||||
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| 2 | EVAN WILLIAMS |
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| For | For | ||||||||||||
| 2. | TO APPROVE, ON AN ADVISORY BASIS, THE |
| Management | 1 Year | For | ||||||||||||||
| 3. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For | ||||||||||||||
| GOOGLE INC. | |||||||||||||||||||
| Security |
| 38259P508 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| GOOGL |
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| Meeting Date | 03-Jun-2015 | |||||||||||
| ISIN |
| US38259P5089 |
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| Agenda | 934194010 - Management | |||||||||||
| Record Date |
| 06-Apr-2015 |
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| Holding Recon Date | 06-Apr-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 02-Jun-2015 | |||||||||||
| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1 | DIRECTOR |
| Management |
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| 1 | LARRY PAGE |
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| For | For | ||||||||||||
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| 2 | SERGEY BRIN |
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| For | For | ||||||||||||
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| 3 | ERIC E. SCHMIDT |
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| For | For | ||||||||||||
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| 4 | L. JOHN DOERR |
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| For | For | ||||||||||||
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| 5 | DIANE B. GREENE |
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| For | For | ||||||||||||
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| 6 | JOHN L. HENNESSY |
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| For | For | ||||||||||||
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| 7 | ANN MATHER |
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| For | For | ||||||||||||
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| 8 | ALAN R. MULALLY |
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| For | For | ||||||||||||
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| 9 | PAUL S. OTELLINI |
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| For | For | ||||||||||||
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| 10 | K. RAM SHRIRAM |
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| For | For | ||||||||||||
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| 11 | SHIRLEY M. TILGHMAN |
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| For | For | ||||||||||||
| 2 | THE RATIFICATION OF THE APPOINTMENT |
| Management | For | For | ||||||||||||||
| 3 | THE APPROVAL OF AN AMENDMENT TO |
| Management | Against | Against | ||||||||||||||
| 4 | A STOCKHOLDER PROPOSAL REGARDING |
| Shareholder | For | Against | ||||||||||||||
| 5 | A STOCKHOLDER PROPOSAL REGARDING A |
| Shareholder | Against | For | ||||||||||||||
| 6 | A STOCKHOLDER PROPOSAL REGARDING |
| Shareholder | For | Against | ||||||||||||||
| 7 | A STOCKHOLDER PROPOSAL REGARDING A |
| Shareholder | Against | For | ||||||||||||||
| 8 | A STOCKHOLDER PROPOSAL REGARDING A |
| Shareholder | Against | For | ||||||||||||||
| WORKDAY, INC. | |||||||||||||||||||
| Security |
| 98138H101 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| WDAY |
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| Meeting Date | 03-Jun-2015 | |||||||||||
| ISIN |
| US98138H1014 |
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| Agenda | 934195834 - Management | |||||||||||
| Record Date |
| 06-Apr-2015 |
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| Holding Recon Date | 06-Apr-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 02-Jun-2015 | |||||||||||
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1. | DIRECTOR |
| Management |
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| 1 | ANEEL BHUSRI |
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| For | For | ||||||||||||
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| 2 | DAVID A. DUFFIELD |
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| For | For | ||||||||||||
| 2 | TO RATIFY THE APPOINTMENT OF ERNST & |
| Management | For | For | ||||||||||||||
| 3 | ADVISORY VOTE ON NAMED EXECUTIVE |
| Management | For | For | ||||||||||||||
| 4 | ADVISORY VOTE ON FREQUENCY OF |
| Management | 1 Year | For | ||||||||||||||
| LINKEDIN CORPORATION | |||||||||||||||||||
| Security |
| 53578A108 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| LNKD |
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| Meeting Date | 03-Jun-2015 | |||||||||||
| ISIN |
| US53578A1088 |
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| Agenda | 934195872 - Management | |||||||||||
| Record Date |
| 07-Apr-2015 |
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| Holding Recon Date | 07-Apr-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 02-Jun-2015 | |||||||||||
| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| 1. | DIRECTOR |
| Management |
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| 1 | LESLIE KILGORE |
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| For | For | ||||||||||||
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| 2 | JEFFREY WEINER |
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| For | For | ||||||||||||
| 2 | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For | ||||||||||||||
| 3 | APPROVAL OF THE AMENDMENT OF THE |
| Management | For | For | ||||||||||||||
| 4 | ADVISORY VOTE TO APPROVE NAMED |
| Management | Against | Against | ||||||||||||||
| 5 | STOCKHOLDER PROPOSAL REGARDING |
| Shareholder | For | Against | ||||||||||||||
| SALESFORCE.COM, INC. | |||||||||||||||||||
| Security |
| 79466L302 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| CRM |
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| Meeting Date | 04-Jun-2015 | |||||||||||
| ISIN |
| US79466L3024 |
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| Agenda | 934194957 - Management | |||||||||||
| Record Date |
| 09-Apr-2015 |
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| Holding Recon Date | 09-Apr-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 03-Jun-2015 | |||||||||||
| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1A. | ELECTION OF DIRECTOR: MARC R. BENIOFF |
| Management | For | For | ||||||||||||||
| 1B. | ELECTION OF DIRECTOR: KEITH G. BLOCK |
| Management | For | For | ||||||||||||||
| 1C. | ELECTION OF DIRECTOR: CRAIG A. CONWAY |
| Management | For | For | ||||||||||||||
| 1D. | ELECTION OF DIRECTOR: ALAN G. |
| Management | For | For | ||||||||||||||
| 1E. | ELECTION OF DIRECTOR: COLIN L. POWELL |
| Management | For | For | ||||||||||||||
| 1F. | ELECTION OF DIRECTOR: SANFORD R. |
| Management | For | For | ||||||||||||||
| 1G. | ELECTION OF DIRECTOR: JOHN V. ROOS |
| Management | For | For | ||||||||||||||
| 1H. | ELECTION OF DIRECTOR: LAWRENCE J. |
| Management | For | For | ||||||||||||||
| 1I. | ELECTION OF DIRECTOR: ROBIN L. |
| Management | For | For | ||||||||||||||
| 1J. | ELECTION OF DIRECTOR: MAYNARD G. |
| Management | For | For | ||||||||||||||
| 1K. | ELECTION OF DIRECTOR: SUSAN D. |
| Management | For | For | ||||||||||||||
| 2. | APPROVAL OF AN AMENDMENT TO |
| Management | For | For | ||||||||||||||
| 3. | APPROVAL OF AN AMENDMENT TO |
| Management | For | For | ||||||||||||||
| 4. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For | ||||||||||||||
| 5. | ADVISORY VOTE TO APPROVE EXECUTIVE |
| Management | Against | Against | ||||||||||||||
| THE PRICELINE GROUP INC. | |||||||||||||||||||
| Security |
| 741503403 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| PCLN |
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| Meeting Date | 04-Jun-2015 | |||||||||||
| ISIN |
| US7415034039 |
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| Agenda | 934200938 - Management | |||||||||||
| Record Date |
| 09-Apr-2015 |
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| Holding Recon Date | 09-Apr-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 03-Jun-2015 | |||||||||||
| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1. | DIRECTOR |
| Management |
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| 1 | TIMOTHY M. ARMSTRONG |
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| For | For | ||||||||||||
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| 2 | HOWARD W. BARKER, JR. |
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| For | For | ||||||||||||
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| 3 | JEFFERY H. BOYD |
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| For | For | ||||||||||||
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| 4 | JAN L. DOCTER |
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| For | For | ||||||||||||
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| 5 | JEFFREY E. EPSTEIN |
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| For | For | ||||||||||||
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| 6 | JAMES M. GUYETTE |
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| For | For | ||||||||||||
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| 7 | DARREN R. HUSTON |
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| For | For | ||||||||||||
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| 8 | CHARLES H. NOSKI |
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| For | For | ||||||||||||
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| 9 | NANCY B. PERETSMAN |
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| For | For | ||||||||||||
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| 10 | THOMAS E. ROTHMAN |
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| For | For | ||||||||||||
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| 11 | CRAIG W. RYDIN |
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| 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 CONSIDER AND VOTE UPON A NON- |
| Shareholder | For | Against | ||||||||||||||
| 5. | TO CONSIDER AND VOTE UPON A NON- |
| Shareholder | For | Against | ||||||||||||||
| BIOMARIN PHARMACEUTICAL INC. | |||||||||||||||||||
| Security |
| 09061G101 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| BMRN |
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| Meeting Date | 09-Jun-2015 | |||||||||||
| ISIN |
| US09061G1013 |
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| Agenda | 934198563 - Management | |||||||||||
| Record Date |
| 10-Apr-2015 |
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| Holding Recon Date | 10-Apr-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 08-Jun-2015 | |||||||||||
| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1. | DIRECTOR |
| Management |
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| 1 | JEAN-JACQUES BIENAIME |
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| For | For | ||||||||||||
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| 2 | MICHAEL GREY |
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| For | For | ||||||||||||
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| 3 | ELAINE J. HERON |
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| For | For | ||||||||||||
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| 4 | PIERRE LAPALME |
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| For | For | ||||||||||||
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| 5 | V. BRYAN LAWLIS |
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| For | For | ||||||||||||
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| 6 | RICHARD A. MEIER |
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| For | For | ||||||||||||
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| 7 | ALAN J. LEWIS |
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| For | For | ||||||||||||
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| 8 | WILLIAM D. YOUNG |
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| For | For | ||||||||||||
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| 9 | KENNETH M. BATE |
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| For | For | ||||||||||||
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| 10 | DENNIS J. SLAMON |
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| For | For | ||||||||||||
| 2 | TO APPROVE AN AMENDMENT TO |
| Management | For | For | ||||||||||||||
| 3 | TO VOTE ON AN ADVISORY BASIS TO |
| Management | For | For | ||||||||||||||
| 4 | TO RATIFY THE SELECTION OF KPMG LLP |
| Management | For | For | ||||||||||||||
| 5 | TO VOTE UPON A STOCKHOLDER |
| Shareholder | For | Against | ||||||||||||||
| MASTERCARD INCORPORATED | |||||||||||||||||||
| Security |
| 57636Q104 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| MA |
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| Meeting Date | 09-Jun-2015 | |||||||||||
| ISIN |
| US57636Q1040 |
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| Agenda | 934206295 - Management | |||||||||||
| Record Date |
| 15-Apr-2015 |
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| Holding Recon Date | 15-Apr-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 08-Jun-2015 | |||||||||||
| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| 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: JULIUS |
| Management | For | For | ||||||||||||||
| 1G. | ELECTION OF DIRECTOR: MERIT E. JANOW |
| Management | For | For | ||||||||||||||
| 1H. | ELECTION OF DIRECTOR: NANCY J. KARCH |
| Management | For | For | ||||||||||||||
| 1I. | ELECTION OF DIRECTOR: MARC OLIVIE |
| Management | For | For | ||||||||||||||
| 1J. | ELECTION OF DIRECTOR: RIMA QURESHI |
| Management | For | For | ||||||||||||||
| 1K. | ELECTION OF DIRECTOR: JOSE OCTAVIO |
| Management | For | For | ||||||||||||||
| 1L. | ELECTION OF DIRECTOR: JACKSON P. TAI |
| Management | For | For | ||||||||||||||
| 1M. | ELECTION OF DIRECTOR: EDWARD SUNING |
| Management | For | For | ||||||||||||||
| 2. | ADVISORY APPROVAL OF THE COMPANY'S |
| Management | For | For | ||||||||||||||
| 3. | APPROVAL OF THE AMENDED AND |
| Management | For | For | ||||||||||||||
| 4. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For | ||||||||||||||
| AMAZON.COM, INC. | |||||||||||||||||||
| Security |
| 023135106 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| AMZN |
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| Meeting Date | 10-Jun-2015 | |||||||||||
| ISIN |
| US0231351067 |
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| Agenda | 934198727 - Management | |||||||||||
| Record Date |
| 13-Apr-2015 |
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| Holding Recon Date | 13-Apr-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 09-Jun-2015 | |||||||||||
| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| 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: JUDITH A. |
| Management | For | For | ||||||||||||||
| 1G. | ELECTION OF DIRECTOR: ALAIN MONIE |
| Management | For | For | ||||||||||||||
| 1H. | ELECTION OF DIRECTOR: JONATHAN J. |
| Management | For | For | ||||||||||||||
| 1I. | ELECTION OF DIRECTOR: THOMAS O. |
| Management | For | For | ||||||||||||||
| 1J. | ELECTION OF DIRECTOR: PATRICIA Q. |
| Management | For | For | ||||||||||||||
| 2. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For | ||||||||||||||
| 3. | SHAREHOLDER PROPOSAL REGARDING |
| Shareholder | Against | For | ||||||||||||||
| 4. | SHAREHOLDER PROPOSAL REGARDING A |
| Shareholder | Against | For | ||||||||||||||
| 5. | SHAREHOLDER PROPOSAL REGARDING |
| Shareholder | For | Against | ||||||||||||||
| 6. | SHAREHOLDER PROPOSAL REGARDING A |
| Shareholder | Against | For | ||||||||||||||
| BIOGEN INC. | |||||||||||||||||||
| Security |
| 09062X103 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| BIIB |
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| Meeting Date | 10-Jun-2015 | |||||||||||
| ISIN |
| US09062X1037 |
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| Agenda | 934202956 - Management | |||||||||||
| Record Date |
| 15-Apr-2015 |
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| Holding Recon Date | 15-Apr-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 09-Jun-2015 | |||||||||||
| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1A. | ELECTION OF DIRECTOR: ALEXANDER J. |
| Management | For | For | ||||||||||||||
| 1B. | ELECTION OF DIRECTOR: CAROLINE D. |
| Management | For | For | ||||||||||||||
| 1C. | ELECTION OF DIRECTOR: NANCY L. |
| Management | For | For | ||||||||||||||
| 1D. | ELECTION OF DIRECTOR: RICHARD C. |
| Management | For | For | ||||||||||||||
| 1E. | ELECTION OF DIRECTOR: ROBERT W. |
| Management | For | For | ||||||||||||||
| 1F. | ELECTION OF DIRECTOR: STELIOS |
| Management | For | For | ||||||||||||||
| 1G. | ELECTION OF DIRECTOR: BRIAN S. POSNER |
| Management | For | For | ||||||||||||||
| 1H. | ELECTION OF DIRECTOR: ERIC K. |
| Management | For | For | ||||||||||||||
| 1I. | ELECTION OF DIRECTOR: GEORGE A. |
| Management | For | For | ||||||||||||||
| 1J. | ELECTION OF DIRECTOR: LYNN SCHENK |
| Management | For | For | ||||||||||||||
| 1K. | ELECTION OF DIRECTOR: STEPHEN A. |
| Management | For | For | ||||||||||||||
| 2. | TO RATIFY THE SELECTION OF |
| Management | For | For | ||||||||||||||
| 3. | SAY ON PAY - AN ADVISORY VOTE ON |
| Management | For | For | ||||||||||||||
| 4. | TO APPROVE THE BIOGEN INC. 2015 |
| Management | For | For | ||||||||||||||
| 5. | TO APPROVE AN AMENDMENT TO THE |
| Management | For | For | ||||||||||||||
| FACEBOOK INC. | |||||||||||||||||||
| Security |
| 30303M102 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| FB |
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| Meeting Date | 11-Jun-2015 | |||||||||||
| ISIN |
| US30303M1027 |
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| Agenda | 934204378 - Management | |||||||||||
| Record Date |
| 13-Apr-2015 |
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| Holding Recon Date | 13-Apr-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 10-Jun-2015 | |||||||||||
| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1. | DIRECTOR |
| Management |
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| 1 | MARC L. ANDREESSEN |
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| For | For | ||||||||||||
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| 2 | ERSKINE B. BOWLES |
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| For | For | ||||||||||||
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| 3 | S.D. DESMOND-HELLMANN |
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| For | For | ||||||||||||
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| 4 | REED HASTINGS |
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| For | For | ||||||||||||
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| 5 | JAN KOUM |
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| For | For | ||||||||||||
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| 6 | SHERYL K. SANDBERG |
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| For | For | ||||||||||||
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| 7 | PETER A. THIEL |
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| For | For | ||||||||||||
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| 8 | MARK ZUCKERBERG |
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| For | For | ||||||||||||
| 2. | TO RATIFY THE APPOINTMENT OF ERNST & |
| Management | For | For | ||||||||||||||
| 3. | TO RE-APPROVE THE INTERNAL REVENUE |
| Management | Against | Against | ||||||||||||||
| 4. | A STOCKHOLDER PROPOSAL REGARDING |
| Shareholder | For | Against | ||||||||||||||
| 5. | A STOCKHOLDER PROPOSAL REGARDING |
| Shareholder | For | Against | ||||||||||||||
| 6. | A STOCKHOLDER PROPOSAL REGARDING A |
| Shareholder | Against | For | ||||||||||||||
| FIREEYE, INC. | |||||||||||||||||||
| Security |
| 31816Q101 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| FEYE |
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| Meeting Date | 11-Jun-2015 | |||||||||||
| ISIN |
| US31816Q1013 |
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| Agenda | 934204683 - Management | |||||||||||
| Record Date |
| 13-Apr-2015 |
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| Holding Recon Date | 13-Apr-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 10-Jun-2015 | |||||||||||
| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1. | DIRECTOR |
| Management |
|
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| 1 | ASHAR AZIZ |
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| For | For | ||||||||||||
|
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| 2 | DAVID G. DEWALT |
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| For | For | ||||||||||||
| 2. | TO RATIFY THE APPOINTMENT OF DELOITTE |
| Management | For | For | ||||||||||||||
| SPLUNK INC. | |||||||||||||||||||
| Security |
| 848637104 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| SPLK |
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| Meeting Date | 11-Jun-2015 | |||||||||||
| ISIN |
| US8486371045 |
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| Agenda | 934205053 - Management | |||||||||||
| Record Date |
| 15-Apr-2015 |
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| Holding Recon Date | 15-Apr-2015 | |||||||||||
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| / | United States |
| Vote Deadline Date | 10-Jun-2015 | |||||||||||
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1A. | ELECTION OF CLASS III DIRECTOR: |
| Management | For | For | ||||||||||||||
| 1B. | ELECTION OF CLASS III DIRECTOR: GRAHAM |
| Management | For | For | ||||||||||||||
| 1C. | ELECTION OF CLASS III DIRECTOR: |
| Management | For | For | ||||||||||||||
| 2. | TO RATIFY THE APPOINTMENT OF |
| Management | For | For | ||||||||||||||
| 3. | TO APPROVE, ON AN ADVISORY BASIS, THE |
| Management | For | For | ||||||||||||||
| THE TJX COMPANIES, INC. | |||||||||||||||||||
| Security |
| 872540109 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| TJX |
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| Meeting Date | 11-Jun-2015 | |||||||||||
| ISIN |
| US8725401090 |
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| Agenda | 934208908 - Management | |||||||||||
| Record Date |
| 14-Apr-2015 |
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| Holding Recon Date | 14-Apr-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 10-Jun-2015 | |||||||||||
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1A. | ELECTION OF DIRECTOR: ZEIN ABDALLA |
| Management | For | For | ||||||||||||||
| 1B. | ELECTION OF DIRECTOR: JOSE B. ALVAREZ |
| Management | For | For | ||||||||||||||
| 1C. | ELECTION OF DIRECTOR: ALAN M. BENNETT |
| Management | For | For | ||||||||||||||
| 1D. | ELECTION OF DIRECTOR: DAVID T. CHING |
| Management | For | For | ||||||||||||||
| 1E. | ELECTION OF DIRECTOR: MICHAEL F. HINES |
| Management | For | For | ||||||||||||||
| 1F. | ELECTION OF DIRECTOR: AMY B. LANE |
| Management | For | For | ||||||||||||||
| 1G. | ELECTION OF DIRECTOR: CAROL |
| Management | For | For | ||||||||||||||
| 1H. | ELECTION OF DIRECTOR: JOHN F. O'BRIEN |
| Management | For | For | ||||||||||||||
| 1I. | ELECTION OF DIRECTOR: WILLOW B. SHIRE |
| Management | For | For | ||||||||||||||
| 1J. | ELECTION OF DIRECTOR: WILLIAM H. |
| Management | For | For | ||||||||||||||
| 2. | RATIFICATION OF APPOINTMENT OF |
| Management | For | For | ||||||||||||||
| 3. | SAY ON PAY: ADVISORY APPROVAL OF |
| Management | For | For | ||||||||||||||
| REGENERON PHARMACEUTICALS, INC. | |||||||||||||||||||
| Security |
| 75886F107 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| REGN |
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| Meeting Date | 12-Jun-2015 | |||||||||||
| ISIN |
| US75886F1075 |
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| Agenda | 934201271 - Management | |||||||||||
| Record Date |
| 16-Apr-2015 |
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| Holding Recon Date | 16-Apr-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 11-Jun-2015 | |||||||||||
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1. | DIRECTOR |
| Management |
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| 1 | CHARLES A. BAKER |
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| For | For | ||||||||||||
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| 2 | ARTHUR F. RYAN |
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| For | For | ||||||||||||
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| 3 | GEORGE L. SING |
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| For | For | ||||||||||||
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| 4 | MARC TESSIER-LAVIGNE |
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| For | For | ||||||||||||
| 2 | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For | ||||||||||||||
| 3 | APPROVAL OF THE REGENERON |
| Management | For | For | ||||||||||||||
| 4 | APPROVAL OF AN AMENDMENT TO THE |
| Management | For | For | ||||||||||||||
| 5 | NONBINDING SHAREHOLDER PROPOSAL |
| Shareholder | For | Against | ||||||||||||||
| CELGENE CORPORATION | |||||||||||||||||||
| Security |
| 151020104 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| CELG |
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| Meeting Date | 17-Jun-2015 | |||||||||||
| ISIN |
| US1510201049 |
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| Agenda | 934208489 - Management | |||||||||||
| Record Date |
| 20-Apr-2015 |
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| Holding Recon Date | 20-Apr-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 16-Jun-2015 | |||||||||||
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1. | DIRECTOR |
| Management |
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| 1 | ROBERT J. HUGIN |
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| For | For | ||||||||||||
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| 2 | R.W. BARKER, D. PHIL. |
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| For | For | ||||||||||||
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| 3 | MICHAEL W. BONNEY |
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| For | For | ||||||||||||
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| 4 | MICHAEL D. CASEY |
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| For | For | ||||||||||||
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| 5 | CARRIE S. COX |
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| For | For | ||||||||||||
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| 6 | MICHAEL A. FRIEDMAN, MD |
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| For | For | ||||||||||||
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| 7 | GILLA S. KAPLAN, PH.D. |
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| For | For | ||||||||||||
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| 8 | JAMES J. LOUGHLIN |
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| For | For | ||||||||||||
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| 9 | ERNEST MARIO, PH.D. |
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| For | For | ||||||||||||
| 2. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For | ||||||||||||||
| 3. | APPROVAL OF AN AMENDMENT AND |
| Management | For | For | ||||||||||||||
| 4. | APPROVAL, BY NON-BINDING VOTE, OF |
| Management | For | For | ||||||||||||||
| 5. | STOCKHOLDER PROPOSAL DESCRIBED IN |
| Shareholder | Against | For | ||||||||||||||
| TRIPADVISOR, INC. | |||||||||||||||||||
| Security |
| 896945201 |
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| Meeting Type | Annual | |||||||||||
| Ticker Symbol |
| TRIP |
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| Meeting Date | 18-Jun-2015 | |||||||||||
| ISIN |
| US8969452015 |
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| Agenda | 934212147 - Management | |||||||||||
| Record Date |
| 20-Apr-2015 |
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| Holding Recon Date | 20-Apr-2015 | |||||||||||
| City / | Country |
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| / | United States |
| Vote Deadline Date | 17-Jun-2015 | |||||||||||
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| Item | Proposal |
| Proposed |
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| Vote | For/Against | ||||||||||||
| 1. | DIRECTOR |
| Management |
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| 1 | GREGORY B. MAFFEI |
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| For | For | ||||||||||||
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| 2 | STEPHEN KAUFER |
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| For | For | ||||||||||||
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| 3 | JONATHAN F. MILLER |
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| For | For | ||||||||||||
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| 4 | DIPCHAND (DEEP) NISHAR |
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| For | For | ||||||||||||
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| 5 | JEREMY PHILIPS |
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| For | For | ||||||||||||
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| 6 | SPENCER M. RASCOFF |
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| For | For | ||||||||||||
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| 7 | CHRISTOPHER W. SHEAN |
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| For | For | ||||||||||||
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| 8 | SUKHINDER SINGH CASSIDY |
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| For | For | ||||||||||||
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| 9 | ROBERT S. WIESENTHAL |
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| For | For | ||||||||||||
| 2. | TO RATIFY THE APPOINTMENT OF KPMG LLP |
| Management | For | For | ||||||||||||||
| 3. | TO APPROVE, ON AN ADVISORY BASIS, THE |
| Management | Against | Against |
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Registrant: Dunham Funds - Dunham Small Cap Value Fund Item 1 | ||||||||||||||||||||||
| Investment Company Act file number: 811-22153 |
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| Date of Reporting Period: July 1, 2014 through June 30, 2015 |
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| ASPEN INSURANCE HOLDINGS LIMITED | |||||||||||||||||||||
| Security |
| G05384105 |
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| Meeting Type | Contested-Consent | |||||||||||||
| Ticker Symbol |
| AHL |
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| Meeting Date | 25-Jul-2014 |
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| ISIN |
| BMG053841059 |
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| Agenda | 934054076 - Management | |||||||||||||
| Record Date |
| 13-Jun-2014 |
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| Holding Recon Date | 13-Jun-2014 |
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| City / | Country |
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| / | Bermuda |
| Vote Deadline Date | 24-Jul-2014 |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 01 | ENDURANCE'S AUTHORIZATION PROPOSAL |
| Management | For | For |
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| 02 | ENDURANCE'S AUTHORIZATION PROPOSAL |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 6,600 | 0 | 16-Jul-2014 | 17-Jul-2014 | |||||||||||||
| TRICO BANCSHARES | |||||||||||||||||||||
| Security |
| 896095106 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| TCBK |
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| Meeting Date | 07-Aug-2014 |
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| ISIN |
| US8960951064 |
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| Agenda | 934055371 - Management | |||||||||||||
| Record Date |
| 20-Jun-2014 |
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| Holding Recon Date | 20-Jun-2014 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 06-Aug-2014 |
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| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | TO APPROVE THE MERGER AND ADOPT THE |
| Management | For | For |
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| 2. | DIRECTOR |
| Management |
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| 1 | WILLIAM J. CASEY |
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| For | For |
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| 2 | DONALD J. AMARAL |
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| For | For |
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| 3 | L. GAGE CHRYSLER III |
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| For | For |
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| 4 | CRAIG S. COMPTON |
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| For | For |
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| 5 | CORY W. GIESE |
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| For | For |
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| 6 | JOHN S.A. HASBROOK |
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| For | For |
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| 7 | MICHAEL W. KOEHNEN |
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| For | For |
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| 8 | RICHARD P. SMITH |
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| For | For |
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| 9 | W. VIRGINIA WALKER |
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| For | For |
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| 3. | TO REAPPROVE THE EXISTING |
| Management | For | For |
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| 4. | ADVISORY APPROVAL OF THE COMPANY'S |
| Management | For | For |
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| 5. | TO RATIFY THE SELECTION OF CROWE |
| Management | For | For |
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| 6. | TO APPROVE ONE OR MORE |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 5,000 | 0 | 26-Jul-2014 | 27-Jul-2014 | |||||||||||||
| LA-Z-BOY INCORPORATED | |||||||||||||||||||||
| Security |
| 505336107 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| LZB |
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| Meeting Date | 20-Aug-2014 |
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| ISIN |
| US5053361078 |
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| Agenda | 934055345 - Management | |||||||||||||
| Record Date |
| 26-Jun-2014 |
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| Holding Recon Date | 26-Jun-2014 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 19-Aug-2014 |
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| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | KURT L. DARROW |
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| For | For |
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| 2 | JOHN H. FOSS |
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| For | For |
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| 3 | RICHARD M. GABRYS |
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| For | For |
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| 4 | JANET L. GURWITCH |
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| For | For |
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| 5 | DAVID K. HEHL |
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| For | For |
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| 6 | EDWIN J. HOLMAN |
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| For | For |
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| 7 | JANET E. KERR |
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| For | For |
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| 8 | MICHAEL T. LAWTON |
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| For | For |
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| 9 | H. GEORGE LEVY, MD |
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| For | For |
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| 10 | W. ALAN MCCOLLOUGH |
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| For | For |
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| 11 | DR. NIDO R. QUBEIN |
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| For | For |
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| 2. | TO APPROVE, ON AN ADVISORY BASIS, THE |
| Management | For | For |
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| 3. | BOARD'S PROPOSAL TO RATIFY |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 10,160 | 0 | 07-Aug-2014 | 08-Aug-2014 | |||||||||||||
| ALERE INC. | |||||||||||||||||||||
| Security |
| 01449J105 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| ALR |
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| Meeting Date | 21-Aug-2014 |
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| ISIN |
| US01449J1051 |
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| Agenda | 934058707 - Management | |||||||||||||
| Record Date |
| 30-Jun-2014 |
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| Holding Recon Date | 30-Jun-2014 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 20-Aug-2014 |
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| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: GREGG J. |
| Management | For | For |
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| 1B. | ELECTION OF DIRECTOR: REGINA |
| Management | For | For |
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| 1C. | ELECTION OF DIRECTOR: HAKAN |
| Management | For | For |
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| 1D. | ELECTION OF DIRECTOR: JOHN F. LEVY |
| Management | For | For |
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| 1E. | ELECTION OF DIRECTOR: STEPHEN P. |
| Management | For | For |
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| 1F. | ELECTION OF DIRECTOR: BRIAN A. |
| Management | For | For |
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| 1G. | ELECTION OF DIRECTOR: SIR THOMAS |
| Management | For | For |
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| 1H. | ELECTION OF DIRECTOR: JOHN A. QUELCH, |
| Management | For | For |
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| 2. | APPROVAL OF AN INCREASE IN THE |
| Management | For | For |
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| 3. | APPROVAL OF AN INCREASE TO THE |
| Management | For | For |
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| 4. | APPROVAL OF AN AMENDMENT TO OUR |
| Management | For | For |
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| 5. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For |
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| 6. | APPROVAL, BY NON-BINDING VOTE, OF |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 8,200 | 0 | 06-Aug-2014 | 06-Aug-2014 | |||||||||||||
| IXYS CORPORATION | |||||||||||||||||||||
| Security |
| 46600W106 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| IXYS |
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| Meeting Date | 28-Aug-2014 |
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| ISIN |
| US46600W1062 |
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| Agenda | 934059634 - Management | |||||||||||||
| Record Date |
| 02-Jul-2014 |
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| Holding Recon Date | 02-Jul-2014 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 27-Aug-2014 |
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| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | DONALD L. FEUCHT |
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| For | For |
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| 2 | SAMUEL KORY |
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| For | For |
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| 3 | S. JOON LEE |
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| For | For |
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| 4 | TIMOTHY A. RICHARDSON |
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| For | For |
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| 5 | JAMES M. THORBURN |
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| For | For |
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| 6 | KENNETH D. WONG |
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| For | For |
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| 7 | NATHAN ZOMMER |
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| For | For |
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| 2. | TO APPROVE AN INCREASE OF 350,000 |
| Management | For | For |
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| 3. | TO APPROVE, ON AN ADVISORY BASIS, THE |
| Management | For | For |
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| 4. | STOCKHOLDER PROPOSAL ON BOARD |
| Shareholder | Against | For |
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| 5. | TO RATIFY THE SELECTION OF BDO USA, |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 12,842 | 0 | 11-Aug-2014 | 12-Aug-2014 | |||||||||||||
| JOHN WILEY & SONS, INC. | |||||||||||||||||||||
| Security |
| 968223206 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| JWA |
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| Meeting Date | 18-Sep-2014 |
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| ISIN |
| US9682232064 |
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| Agenda | 934064217 - Management | |||||||||||||
| Record Date |
| 22-Jul-2014 |
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| Holding Recon Date | 22-Jul-2014 |
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| / | United States |
| Vote Deadline Date | 17-Sep-2014 |
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| Item | Proposal |
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| 1. | DIRECTOR |
| Management |
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| 1 | MARI J. BAKER |
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| For | For |
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| 2 | GEORGE BELL |
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| For | For |
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| 3 | RAYMOND W. MCDANIEL, JR |
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| For | For |
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| 4 | KALPANA RAINA |
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| For | For |
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| 2. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For |
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| 3. | APPROVAL, ON AN ADVISORY BASIS, OF |
| Management | For | For |
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| 4. | APPROVAL OF THE 2014 DIRECTORS STOCK |
| Management | For | For |
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| 5. | APPROVAL OF THE 2014 EXECUTIVE |
| Management | For | For |
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| 6. | APPROVAL OF THE 2014 KEY EMPLOYEE |
| Management | For | For |
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| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 4,800 | 0 | 10-Sep-2014 | 11-Sep-2014 | |||||||||||||
| OMNIVISION TECHNOLOGIES, INC. | |||||||||||||||||||||
| Security |
| 682128103 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| OVTI |
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| Meeting Date | 25-Sep-2014 |
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| ISIN |
| US6821281036 |
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| Agenda | 934063772 - Management | |||||||||||||
| Record Date |
| 28-Jul-2014 |
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| Holding Recon Date | 28-Jul-2014 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 24-Sep-2014 |
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| 1. | DIRECTOR |
| Management |
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| 1 | WEN-LIANG WILLIAM HSU |
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| For | For |
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| 2 | HENRY YANG |
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| For | For |
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| 2. | RATIFICATION OF |
| Management | For | For |
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| 3. | ADVISORY RESOLUTION TO APPROVE |
| Management | For | For |
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| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 14,500 | 0 | 04-Sep-2014 | 04-Sep-2014 | |||||||||||||
| KORN/FERRY INTERNATIONAL | |||||||||||||||||||||
| Security |
| 500643200 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| KFY |
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| Meeting Date | 01-Oct-2014 |
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| ISIN |
| US5006432000 |
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| Agenda | 934068506 - Management | |||||||||||||
| Record Date |
| 08-Aug-2014 |
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| Holding Recon Date | 08-Aug-2014 |
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| / | United States |
| Vote Deadline Date | 30-Sep-2014 |
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| Item | Proposal |
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| 1. | DIRECTOR |
| Management |
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| 1 | GARY D. BURNISON |
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| For | For |
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| 2 | WILLIAM R. FLOYD |
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| For | For |
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| 3 | CHRISTINA A. GOLD |
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| For | For |
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| 4 | JERRY P. LEAMON |
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| For | For |
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| 5 | EDWARD D. MILLER |
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| 6 | DEBRA J. PERRY |
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| 7 | GEORGE T. SHAHEEN |
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| For | For |
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| 8 | HARRY L. YOU |
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| For | For |
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| 2. | PROPOSAL TO APPROVE THE ADVISORY |
| Management | For | For |
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| 3. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For |
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| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 8,440 | 0 | 09-Sep-2014 | 10-Sep-2014 | |||||||||||||
| CAL-MAINE FOODS, INC. | |||||||||||||||||||||
| Security |
| 128030202 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| CALM |
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| Meeting Date | 03-Oct-2014 |
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| ISIN |
| US1280302027 |
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| Agenda | 934074004 - Management | |||||||||||||
| Record Date |
| 15-Aug-2014 |
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| Holding Recon Date | 15-Aug-2014 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 02-Oct-2014 |
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| Item | Proposal |
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| 1. | DIRECTOR |
| Management |
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| 1 | ADOLPHUS B. BAKER |
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| For | For |
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| 2 | TIMOTHY A. DAWSON |
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| For | For |
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| 3 | LETITIA C. HUGHES |
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| For | For |
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| 4 | SHERMAN MILLER |
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| For | For |
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| 5 | JAMES E. POOLE |
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| For | For |
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| 6 | STEVE W. SANDERS |
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| For | For |
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| 2. | AMENDMENT OF AMENDED AND RESTATED |
| Management | For | For |
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| 3. | ADVISORY VOTE ON EXECUTIVE |
| Management | For | For |
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| 4. | ADVISORY VOTE ON THE FREQUENCY OF |
| Management | 1 Year | Against |
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| 5. | RATIFICATION OF FROST, PLLC AS |
| Management | For | For |
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| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 4,390 | 0 | 11-Sep-2014 | 11-Sep-2014 | |||||||||||||
| AECOM | |||||||||||||||||||||
| Security |
| 00766T100 |
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| Meeting Type | Special | |||||||||||||
| Ticker Symbol |
| ACM |
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| Meeting Date | 16-Oct-2014 |
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| ISIN |
| US00766T1007 |
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| Agenda | 934078660 - Management | |||||||||||||
| Record Date |
| 12-Sep-2014 |
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| Holding Recon Date | 12-Sep-2014 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 15-Oct-2014 |
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| Item | Proposal |
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| 1. | COMMON STOCK ISSUANCE - TO APPROVE |
| Management | For | For |
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| 2. | ADJOURNMENT OF SPECIAL MEETING - TO |
| Management | For | For |
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| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 7,850 | 0 | 03-Oct-2014 | 04-Oct-2014 | |||||||||||||
| UNIFI, INC. | |||||||||||||||||||||
| Security |
| 904677200 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| UFI |
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| Meeting Date | 22-Oct-2014 |
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| ISIN |
| US9046772003 |
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| Agenda | 934075878 - Management | |||||||||||||
| Record Date |
| 05-Sep-2014 |
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| Holding Recon Date | 05-Sep-2014 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 21-Oct-2014 |
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| Item | Proposal |
| Proposed |
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| 1 | DIRECTOR |
| Management |
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| 1 | WILLIAM J. ARMFIELD, IV |
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| For | For |
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| 2 | R. ROGER BERRIER, JR. |
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| For | For |
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| 3 | ARCHIBALD COX, JR. |
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| For | For |
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| 4 | WILLIAM L. JASPER |
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| For | For |
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| 5 | KENNETH G. LANGONE |
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| For | For |
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| 6 | SUZANNE M. PRESENT |
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| For | For |
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| 7 | G. ALFRED WEBSTER |
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| For | For |
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| 8 | MITCHEL WEINBERGER |
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| For | For |
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| 2 | AN ADVISORY (NON-BINDING) VOTE TO |
| Management | For | For |
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| 3 | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For |
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| Account |
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| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 7,850 | 0 | 01-Oct-2014 | 01-Oct-2014 | |||||||||||||
| STANDEX INTERNATIONAL CORPORATION | |||||||||||||||||||||
| Security |
| 854231107 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| SXI |
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| Meeting Date | 29-Oct-2014 |
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| ISIN |
| US8542311076 |
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| Agenda | 934077365 - Management | |||||||||||||
| Record Date |
| 03-Sep-2014 |
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| Holding Recon Date | 03-Sep-2014 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 28-Oct-2014 |
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| SEDOL(s) |
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| Item | Proposal |
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| 01 | DIRECTOR |
| Management |
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| 1 | THOMAS E. CHORMAN |
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| For | For |
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| 2 | DAVID A. DUNBAR |
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| For | For |
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| 3 | ROGER L. FIX |
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| 4 | DANIEL B. HOGAN |
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| For | For |
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| 5 | JEFFREY S. EDWARDS |
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| For | For |
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| 02 | TO CONDUCT AN ADVISORY VOTE ON THE |
| Management | For | For |
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| 03 | TO RATIFY THE APPOINTMENT BY THE |
| Management | For | For |
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| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 2,838 | 0 | 08-Oct-2014 | 08-Oct-2014 | |||||||||||||
| ASCENA RETAIL GROUP, INC. | |||||||||||||||||||||
| Security |
| 04351G101 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| ASNA |
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| Meeting Date | 11-Dec-2014 |
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| ISIN |
| US04351G1013 |
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| Agenda | 934094741 - Management | |||||||||||||
| Record Date |
| 13-Oct-2014 |
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| Holding Recon Date | 13-Oct-2014 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 10-Dec-2014 |
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| Item | Proposal |
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| 1. | DIRECTOR |
| Management |
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| 1 | DAVID JAFFE |
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| For | For |
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| 2 | KLAUS EPPLER |
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| For | For |
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| 3 | KATE BUGGELN |
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| 2. | PROPOSAL TO APPROVE, BY NON-BINDING |
| Management | For | For |
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| 3. | PROPOSAL TO RATIFY DELOITTE & TOUCHE |
| Management | For | For |
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| Account |
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| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 19,810 | 0 | 24-Nov-2014 | 25-Nov-2014 | |||||||||||||
| UNIFIRST CORPORATION | |||||||||||||||||||||
| Security |
| 904708104 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| UNF |
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| Meeting Date | 13-Jan-2015 |
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| ISIN |
| US9047081040 |
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| Agenda | 934105289 - Management | |||||||||||||
| Record Date |
| 19-Nov-2014 |
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| Holding Recon Date | 19-Nov-2014 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 12-Jan-2015 |
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| 1. | DIRECTOR |
| Management |
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| 1 | KATHLEEN M. CAMILLI |
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| For | For |
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| 2 | MICHAEL IANDOLI |
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| For | For |
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| 2. | APPROVAL OF THE AMENDED AND |
| Management | For | For |
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| 3. | APPROVAL, ON A NON-BINDING ADVISORY |
| Management | For | For |
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| 4. | RATIFICATION OF APPOINTMENT OF ERNST |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 2,760 | 0 | 22-Dec-2014 | 22-Dec-2014 | |||||||||||||
| WASHINGTON FEDERAL, INC. | |||||||||||||||||||||
| Security |
| 938824109 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| WAFD |
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| Meeting Date | 21-Jan-2015 |
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| ISIN |
| US9388241096 |
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| Agenda | 934109213 - Management | |||||||||||||
| Record Date |
| 28-Nov-2014 |
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| Holding Recon Date | 28-Nov-2014 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 20-Jan-2015 |
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| 1. | DIRECTOR |
| Management |
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| 1 | ROY M. WHITEHEAD |
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| For | For |
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| 2 | MARK N. TABBUTT |
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| For | For |
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| 2. | ADVISORY VOTE ON THE COMPENSATION |
| Management | For | For |
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| 3. | RATIFICATION OF APPOINTMENT OF |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 14,460 | 0 | 31-Dec-2014 | 01-Jan-2015 | |||||||||||||
| SELECT INCOME REIT | |||||||||||||||||||||
| Security |
| 81618T100 |
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| Meeting Type | Special | |||||||||||||
| Ticker Symbol |
| SIR |
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| Meeting Date | 27-Jan-2015 |
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| ISIN |
| US81618T1007 |
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| Agenda | 934113375 - Management | |||||||||||||
| Record Date |
| 12-Dec-2014 |
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| Holding Recon Date | 12-Dec-2014 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 26-Jan-2015 |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | APPROVAL OF THE ISSUANCE OF COMMON |
| Management | Against | Against |
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| 2. | APPROVAL OF THE ADJOURNMENT OF THE |
| Management | Against | Against |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 8,398 | 0 | 22-Jan-2015 | 22-Jan-2015 | |||||||||||||
| THE LACLEDE GROUP, INC. | |||||||||||||||||||||
| Security |
| 505597104 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| LG |
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| Meeting Date | 29-Jan-2015 |
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| ISIN |
| US5055971049 |
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| Agenda | 934111206 - Management | |||||||||||||
| Record Date |
| 20-Nov-2014 |
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| Holding Recon Date | 20-Nov-2014 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 28-Jan-2015 |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | MARK A. BORER |
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| For | For |
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| 2 | MARIA V. FOGARTY |
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| For | For |
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| 3 | ANTHONY V. LENESS |
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| For | For |
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| 2. | APPROVE THE LACLEDE GROUP 2015 |
| Management | For | For |
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| 3. | RATIFY THE APPOINTMENT OF DELOITTE & |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 6,010 | 0 | 06-Jan-2015 | 06-Jan-2015 | |||||||||||||
| INGLES MARKETS, INCORPORATED | |||||||||||||||||||||
| Security |
| 457030104 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| IMKTA |
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| Meeting Date | 03-Feb-2015 |
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| ISIN |
| US4570301048 |
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| Agenda | 934111535 - Management | |||||||||||||
| Record Date |
| 05-Dec-2014 |
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| Holding Recon Date | 05-Dec-2014 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 02-Feb-2015 |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | ERNEST E. FERGUSON |
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| For | For |
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| 2 | BRENDA S. TUDOR |
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| For | For |
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| 2. | STOCKHOLDER PROPOSAL ON |
| Shareholder | Against | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 6,158 | 0 | 13-Jan-2015 | 13-Jan-2015 | |||||||||||||
| EMULEX CORPORATION | |||||||||||||||||||||
| Security |
| 292475209 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| ELX |
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| Meeting Date | 18-Feb-2015 |
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| ISIN |
| US2924752098 |
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| Agenda | 934116864 - Management | |||||||||||||
| Record Date |
| 22-Dec-2014 |
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| Holding Recon Date | 22-Dec-2014 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 17-Feb-2015 |
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| SEDOL(s) |
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| Item | Proposal |
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| 1. | DIRECTOR |
| Management |
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| 1 | JEFFREY W. BENCK |
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| For | For |
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| 2 | GREGORY S. CLARK |
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| Withheld | Against |
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| 3 | GARY J. DAICHENDT |
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| For | For |
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| 4 | BRUCE C. EDWARDS |
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| For | For |
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| 5 | PAUL F. FOLINO |
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| For | For |
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| 6 | BEATRIZ V. INFANTE |
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| For | For |
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| 7 | JOHN A. KELLEY |
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| For | For |
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| 8 | RAHUL N. MERCHANT |
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| For | For |
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| 9 | NERSI NAZARI |
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| For | For |
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| 10 | DEAN A. YOOST |
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| For | For |
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| 2 | APPROVAL OF AN AMENDMENT TO |
| Management | For | For |
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| 3 | APPROVAL OF AN AMENDMENT TO |
| Management | For | For |
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| 4 | RATIFICATION AND APPROVAL OF AN |
| Management | For | For |
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| 5 | RATIFICATION OF THE SELECTION OF |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 56,510 | 0 | 07-Feb-2015 | 07-Feb-2015 | |||||||||||||
| AECOM | |||||||||||||||||||||
| Security |
| 00766T100 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| ACM |
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| Meeting Date | 04-Mar-2015 |
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| ISIN |
| US00766T1007 |
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| Agenda | 934118654 - Management | |||||||||||||
| Record Date |
| 05-Jan-2015 |
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| Holding Recon Date | 05-Jan-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 03-Mar-2015 |
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| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1 | DIRECTOR |
| Management |
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| 1 | JAMES H. FORDYCE |
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| For | For |
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| 2 | LINDA GRIEGO |
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| For | For |
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| 3 | WILLIAM G. OUCHI |
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| For | For |
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| 4 | DOUGLAS W. STOTLAR |
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| For | For |
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| 2 | TO RATIFY THE APPOINTMENT OF ERNST & |
| Management | For | For |
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| 3 | ADVISORY RESOLUTION TO APPROVE |
| Management | Against | Against |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 7,850 | 0 | 13-Feb-2015 | 14-Feb-2015 | |||||||||||||
| PIEDMONT NATURAL GAS COMPANY, INC. | |||||||||||||||||||||
| Security |
| 720186105 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| PNY |
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| Meeting Date | 05-Mar-2015 |
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| ISIN |
| US7201861058 |
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| Agenda | 934117145 - Management | |||||||||||||
| Record Date |
| 02-Jan-2015 |
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| Holding Recon Date | 02-Jan-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 04-Mar-2015 |
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| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | DR. E. JAMES BURTON |
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| For | For |
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| 2 | MS. JO ANNE SANFORD |
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| For | For |
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| 3 | DR. DAVID E. SHI |
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| For | For |
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| 2. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For |
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| 3. | ADVISORY VOTE TO APPROVE NAMED |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 7,010 | 0 | 14-Feb-2015 | 15-Feb-2015 | |||||||||||||
| HUDSON PACIFIC PROPERTIES, INC. | |||||||||||||||||||||
| Security |
| 444097109 |
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| Meeting Type | Special | |||||||||||||
| Ticker Symbol |
| HPP |
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| Meeting Date | 05-Mar-2015 |
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| ISIN |
| US4440971095 |
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| Agenda | 934120471 - Management | |||||||||||||
| Record Date |
| 16-Jan-2015 |
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| Holding Recon Date | 16-Jan-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 04-Mar-2015 |
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| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | THE PROPOSAL TO APPROVE THE |
| Management | For | For |
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| 2. | THE PROPOSAL TO ADJOURN THE SPECIAL |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 11,730 | 0 | 18-Feb-2015 | 19-Feb-2015 | |||||||||||||
| SANMINA CORPORATION | |||||||||||||||||||||
| Security |
| 801056102 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| SANM |
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| Meeting Date | 09-Mar-2015 |
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| ISIN |
| US8010561020 |
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| Agenda | 934120370 - Management | |||||||||||||
| Record Date |
| 16-Jan-2015 |
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| Holding Recon Date | 16-Jan-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 06-Mar-2015 |
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| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| 1A. | ELECTION OF DIRECTOR: NEIL R. BONKE |
| Management | For | For |
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| 1B. | ELECTION OF DIRECTOR: MICHAEL J. |
| Management | For | For |
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| 1C. | ELECTION OF DIRECTOR: EUGENE A. |
| Management | For | For |
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| 1D. | ELECTION OF DIRECTOR: JOHN P. |
| Management | For | For |
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| 1E. | ELECTION OF DIRECTOR: JOSEPH G. |
| Management | For | For |
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| 1F. | ELECTION OF DIRECTOR: MARIO M. ROSATI |
| Management | For | For |
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| 1G. | ELECTION OF DIRECTOR: WAYNE |
| Management | For | For |
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| 1H. | ELECTION OF DIRECTOR: JURE SOLA |
| Management | For | For |
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| 1I. | ELECTION OF DIRECTOR: JACKIE M. WARD |
| Management | For | For |
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| 2. | PROPOSAL TO RATIFY THE APPOINTMENT |
| Management | For | For |
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| 3. | PROPOSAL TO APPROVE THE |
| Management | For | For |
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| 4. | PROPOSAL TO APPROVE, ON AN ADVISORY |
| Management | Against | Against |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 11,130 | 0 | 18-Feb-2015 | 18-Feb-2015 | |||||||||||||
| CABOT CORPORATION | |||||||||||||||||||||
| Security |
| 127055101 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| CBT |
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| Meeting Date | 12-Mar-2015 |
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| ISIN |
| US1270551013 |
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| Agenda | 934123617 - Management | |||||||||||||
| Record Date |
| 16-Jan-2015 |
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| Holding Recon Date | 16-Jan-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 11-Mar-2015 |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1.1 | ELECTION OF DIRECTOR WHOSE TERM |
| Management | For | For |
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| 1.2 | ELECTION OF DIRECTOR WHOSE TERM |
| Management | For | For |
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| 1.3 | ELECTION OF DIRECTOR WHOSE TERM |
| Management | For | For |
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| 1.4 | ELECTION OF DIRECTOR WHOSE TERM |
| Management | For | For |
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| 2. | TO APPROVE, IN AN ADVISORY VOTE, |
| Management | For | For |
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| 3. | TO APPROVE THE CABOT CORPORATION |
| Management | For | For |
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| 4. | TO RATIFY THE APPOINTMENT OF DELOITTE |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 8,030 | 0 | 19-Feb-2015 | 19-Feb-2015 | |||||||||||||
| BANNER CORPORATION | |||||||||||||||||||||
| Security |
| 06652V208 |
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| Meeting Type | Special | |||||||||||||
| Ticker Symbol |
| BANR |
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| Meeting Date | 17-Mar-2015 |
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| ISIN |
| US06652V2088 |
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| Agenda | 934128263 - Management | |||||||||||||
| Record Date |
| 13-Feb-2015 |
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| Holding Recon Date | 13-Feb-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 16-Mar-2015 |
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| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | A PROPOSAL TO APPROVE AN AMENDMENT |
| Management | For | For |
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| 2. | A PROPOSAL TO APPROVE THE ISSUANCE |
| Management | For | For |
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| 3. | A PROPOSAL TO APPROVE ADJOURNMENTS |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 7,870 | 0 | 05-Mar-2015 | 05-Mar-2015 | |||||||||||||
| SONIC AUTOMOTIVE, INC. | |||||||||||||||||||||
| Security |
| 83545G102 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| SAH |
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| Meeting Date | 14-Apr-2015 |
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| ISIN |
| US83545G1022 |
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| Agenda | 934132604 - Management | |||||||||||||
| Record Date |
| 18-Feb-2015 |
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| Holding Recon Date | 18-Feb-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 13-Apr-2015 |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1 | DIRECTOR |
| Management |
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| 1 | O. BRUTON SMITH |
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| For | For |
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| 2 | B. SCOTT SMITH |
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| For | For |
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| 3 | DAVID BRUTON SMITH |
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| For | For |
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| 4 | WILLIAM I. BELK |
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| For | For |
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| 5 | WILLIAM R. BROOKS |
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| For | For |
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| 6 | BERNARD C. BYRD, JR. |
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| For | For |
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| 7 | VICTOR H. DOOLAN |
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| For | For |
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| 8 | JOHN W. HARRIS III |
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| For | For |
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| 9 | ROBERT HELLER |
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| For | For |
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| 10 | R. EUGENE TAYLOR |
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| For | For |
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| 2 | TO RATIFY THE APPOINTMENT OF KPMG LLP |
| Management | For | For |
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| 3 | TO APPROVE ON A NON-BINDING, ADVISORY |
| Management | For | For |
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| 4 | TO CONSIDER AND APPROVE THE |
| Management | For | For |
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| ||||||||||||||
| Account |
|
| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 13,761 | 0 | 13-Mar-2015 | 13-Mar-2015 | |||||||||||||
| FIRSTMERIT CORPORATION | |||||||||||||||||||||
| Security |
| 337915102 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| FMER |
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|
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| Meeting Date | 15-Apr-2015 |
| ||||||||||||
| ISIN |
| US3379151026 |
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| Agenda | 934130662 - Management | |||||||||||||
| Record Date |
| 20-Feb-2015 |
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| Holding Recon Date | 20-Feb-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 14-Apr-2015 |
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| Item | Proposal |
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| 1. | DIRECTOR |
| Management |
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| 1 | LIZABETH A. ARDISANA |
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| For | For |
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| 2 | STEVEN H. BAER |
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| For | For |
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| 3 | KAREN S. BELDEN |
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| For | For |
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| 4 | R. CARY BLAIR |
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| For | For |
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| 5 | JOHN C. BLICKLE |
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| For | For |
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| 6 | ROBERT W. BRIGGS |
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| For | For |
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| 7 | RICHARD COLELLA |
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| For | For |
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| 8 | ROBERT S. CUBBIN |
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| For | For |
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| 9 | GINA D. FRANCE |
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| For | For |
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| 10 | PAUL G. GREIG |
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| For | For |
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| 11 | TERRY L. HAINES |
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| For | For |
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| 12 | J.M. HOCHSCHWENDER |
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| For | For |
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| 13 | CLIFFORD J. ISROFF |
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| For | For |
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| 14 | PHILIP A. LLOYD II |
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| For | For |
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| 15 | RUSS M. STROBEL |
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| For | For |
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| 2. | THE RATIFICATION OF THE APPOINTMENT |
| 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 A PROPOSAL TO AMEND |
| Management | For | For |
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| 5. | TO CONSIDER A SHAREHOLDER PROPOSAL |
| Shareholder | For | Against |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 17,560 | 0 | 20-Mar-2015 | 21-Mar-2015 | |||||||||||||
| COEUR MINING, INC. | |||||||||||||||||||||
| Security |
| 192108504 |
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| Meeting Type | Special | |||||||||||||
| Ticker Symbol |
| CDE |
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| Meeting Date | 17-Apr-2015 |
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| ISIN |
| US1921085049 |
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| Agenda | 934146069 - Management | |||||||||||||
| Record Date |
| 24-Feb-2015 |
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| Holding Recon Date | 24-Feb-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 16-Apr-2015 |
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| Item | Proposal |
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| 1. | PROPOSAL TO APPROVE THE ISSUANCE OF |
| Management | For | For |
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| 2. | PROPOSAL TO APPROVE AN ADJOURNMENT |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 17,020 | 0 | 31-Mar-2015 | 20-Apr-2015 | |||||||||||||
| ASSOCIATED BANC-CORP | |||||||||||||||||||||
| Security |
| 045487105 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| ASB |
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| Meeting Date | 21-Apr-2015 |
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| ISIN |
| US0454871056 |
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| Agenda | 934136765 - Management | |||||||||||||
| Record Date |
| 27-Feb-2015 |
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| Holding Recon Date | 27-Feb-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 20-Apr-2015 |
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| Item | Proposal |
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| 1. | DIRECTOR |
| Management |
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| 1 | JOHN F. BERGSTROM |
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| For | For |
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| 2 | RUTH M. CROWLEY |
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| For | For |
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| 3 | PHILIP B. FLYNN |
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| For | For |
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| 4 | R. JAY GERKEN |
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| For | For |
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| 5 | WILLIAM R. HUTCHINSON |
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| For | For |
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| 6 | ROBERT A. JEFFE |
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| For | For |
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| 7 | EILEEN A. KAMERICK |
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| For | For |
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| 8 | RICHARD T. LOMMEN |
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| For | For |
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| 9 | CORY L. NETTLES |
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| For | For |
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| 10 | J. DOUGLAS QUICK |
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| For | For |
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| 11 | KAREN T. VAN LITH |
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| For | For |
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| 12 | JOHN (JAY) B. WILLIAMS |
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| For | For |
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| 2. | ADVISORY APPROVAL OF ASSOCIATED |
| Management | Against | Against |
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| 3. | THE RATIFICATION OF THE SELECTION OF |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 16,000 | 0 | 25-Mar-2015 | 25-Mar-2015 | |||||||||||||
| BANNER CORPORATION | |||||||||||||||||||||
| Security |
| 06652V208 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| BANR |
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| Meeting Date | 21-Apr-2015 |
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| ISIN |
| US06652V2088 |
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| Agenda | 934159953 - Management | |||||||||||||
| Record Date |
| 27-Feb-2015 |
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| Holding Recon Date | 27-Feb-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 20-Apr-2015 |
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| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | GORDON E. BUDKE |
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| For | For |
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| 2 | CONSTANCE H. KRAVAS |
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| For | For |
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| 3 | JOHN R. LAYMAN |
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| For | For |
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| 4 | MICHAEL M. SMITH |
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| For | For |
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| 2. | ADVISORY APPROVAL OF THE |
| Management | For | For |
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| 3. | THE RATIFICATION OF THE AUDIT |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 7,870 | 0 | 31-Mar-2015 | 01-Apr-2015 | |||||||||||||
| SP PLUS CORPORATION | |||||||||||||||||||||
| Security |
| 78469C103 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| SP |
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| Meeting Date | 21-Apr-2015 |
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| ISIN |
| US78469C1036 |
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| Agenda | 934162974 - Management | |||||||||||||
| Record Date |
| 02-Mar-2015 |
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| Holding Recon Date | 02-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 20-Apr-2015 |
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| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | G MARC BAUMANN |
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| For | For |
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| 2 | KAREN M. GARRISON |
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| For | For |
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| 3 | PAUL HALPERN |
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| For | For |
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| 4 | ROBERT S. ROATH |
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| For | For |
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| 5 | WYMAN T. ROBERTS |
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| For | For |
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| 6 | DOUGLAS R. WAGGONER |
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| For | For |
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| 7 | JONATHAN P. WARD |
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| For | For |
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| 8 | JAMES A. WILHELM |
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| For | For |
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| 9 | GORDON H. WOODWARD |
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| For | For |
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| 2. | TO CONSIDER AN ADVISORY VOTE ON |
| Management | For | For |
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| 3. | TO APPOINT ERNST & YOUNG LLP AS |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 10,216 | 0 | 06-Apr-2015 | 22-Apr-2015 | |||||||||||||
| TCF FINANCIAL CORPORATION | |||||||||||||||||||||
| Security |
| 872275102 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| TCB |
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| Meeting Date | 22-Apr-2015 |
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| ISIN |
| US8722751026 |
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| Agenda | 934134583 - Management | |||||||||||||
| Record Date |
| 23-Feb-2015 |
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| Holding Recon Date | 23-Feb-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 21-Apr-2015 |
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| SEDOL(s) |
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| Item | Proposal |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | PETER BELL |
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| For | For |
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| 2 | WILLIAM F. BIEBER |
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| For | For |
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| 3 | THEODORE J. BIGOS |
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| For | For |
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| 4 | WILLIAM A. COOPER |
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| For | For |
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| 5 | THOMAS A. CUSICK |
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| For | For |
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| 6 | CRAIG R. DAHL |
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| For | For |
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| 7 | KAREN L. GRANDSTRAND |
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| For | For |
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| 8 | THOMAS F. JASPER |
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| For | For |
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| 9 | GEORGE G. JOHNSON |
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| For | For |
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| 10 | RICHARD H. KING |
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| For | For |
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| 11 | VANCE K. OPPERMAN |
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| For | For |
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| 12 | JAMES M. RAMSTAD |
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| For | For |
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| 13 | ROGER J. SIT |
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| For | For |
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| 14 | BARRY N. WINSLOW |
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| For | For |
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| 15 | RICHARD A. ZONA |
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| For | For |
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| 2. | APPROVE THE TCF FINANCIAL 2015 |
| Management | For | For |
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| 3. | APPROVE AN AMENDED AND RESTATED |
| Management | For | For |
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| 4. | STOCKHOLDER PROPOSAL REGARDING |
| Shareholder | For | Against |
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| 5. | STOCKHOLDER PROPOSAL REGARDING |
| Shareholder | For | Against |
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| 6. | ADVISORY (NON-BINDING) VOTE TO |
| Management | Against | Against |
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| 7. | ADVISORY (NON-BINDING) VOTE TO RATIFY |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 11,251 | 0 | 25-Mar-2015 | 25-Mar-2015 | |||||||||||||
| ASPEN INSURANCE HOLDINGS LIMITED | |||||||||||||||||||||
| Security |
| G05384105 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| AHL |
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| Meeting Date | 22-Apr-2015 |
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| ISIN |
| BMG053841059 |
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| Agenda | 934138024 - Management | |||||||||||||
| Record Date |
| 23-Feb-2015 |
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| Holding Recon Date | 23-Feb-2015 |
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| City / | Country |
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| / | Bermuda |
| Vote Deadline Date | 21-Apr-2015 |
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| SEDOL(s) |
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| Item | Proposal |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | MR. GLYN JONES* |
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| For | For |
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| 2 | MR. GARY GREGG* |
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| For | For |
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| 3 | MR. BRET PEARLMAN* |
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| For | For |
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| 2. | TO PROVIDE A NON-BINDING, ADVISORY |
| Management | For | For |
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| 3. | TO APPOINT KPMG LLP ("KPMG"), LONDON, |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 6,600 | 0 | 24-Mar-2015 | 24-Mar-2015 | |||||||||||||
| BANCORPSOUTH, INC. | |||||||||||||||||||||
| Security |
| 059692103 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| BXS |
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| Meeting Date | 22-Apr-2015 |
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| ISIN |
| US0596921033 |
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| Agenda | 934150284 - Management | |||||||||||||
| Record Date |
| 06-Mar-2015 |
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| Holding Recon Date | 06-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 21-Apr-2015 |
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| SEDOL(s) |
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| Item | Proposal |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | JAMES E. CAMPBELL III |
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| For | For |
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| 2 | DEBORAH M. CANNON |
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| For | For |
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| 3 | HASSELL H. FRANKLIN |
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| For | For |
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| 4 | W.G. HOLLIMAN, JR. |
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| For | For |
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| 5 | KEITH J. JACKSON |
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| For | For |
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| 6 | ROBERT C. NOLAN |
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| For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 14,120 | 0 | 27-Mar-2015 | 28-Mar-2015 | |||||||||||||
| 1ST SOURCE CORPORATION | |||||||||||||||||||||
| Security |
| 336901103 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| SRCE |
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| Meeting Date | 23-Apr-2015 |
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| ISIN |
| US3369011032 |
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| Agenda | 934145055 - Management | |||||||||||||
| Record Date |
| 18-Feb-2015 |
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| Holding Recon Date | 18-Feb-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 22-Apr-2015 |
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| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | ALLISON N. EGIDI |
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| For | For |
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| 2 | CRAIG A. KAPSON |
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| For | For |
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| 3 | JOHN T. PHAIR |
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| For | For |
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| 4 | MARK D. SCHWABERO |
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| For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 3,689 | 0 | 26-Mar-2015 | 27-Mar-2015 | |||||||||||||
| CENTRAL PACIFIC FINANCIAL CORP. | |||||||||||||||||||||
| Security |
| 154760409 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| CPF |
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| Meeting Date | 24-Apr-2015 |
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| ISIN |
| US1547604090 |
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| Agenda | 934132351 - Management | |||||||||||||
| Record Date |
| 24-Feb-2015 |
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| Holding Recon Date | 24-Feb-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 23-Apr-2015 |
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| Item | Proposal |
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| 1. | DIRECTOR |
| Management |
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| 1 | ALVARO J. AGUIRRE |
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| For | For |
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| 2 | JAMES F. BURR |
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| For | For |
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| 3 | CHRISTINE H.H. CAMP |
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| For | For |
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| 4 | JOHN C. DEAN |
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| For | For |
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| 5 | EARL E. FRY |
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| For | For |
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| 6 | PAUL J. KOSASA |
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| For | For |
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| 7 | DUANE K. KURISU |
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| For | For |
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| 8 | COLBERT M. MATSUMOTO |
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| For | For |
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| 9 | CRYSTAL K. ROSE |
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| For | For |
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| 2. | TO RATIFY THE APPOINTMENT OF KPMG LLP |
| Management | For | For |
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| 3. | TO APPROVE, ON A NON-BINDING ADVISORY |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 7,189 | 0 | 28-Mar-2015 | 29-Mar-2015 | |||||||||||||
| LITTELFUSE, INC. | |||||||||||||||||||||
| Security |
| 537008104 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| LFUS |
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| Meeting Date | 24-Apr-2015 |
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| ISIN |
| US5370081045 |
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| Agenda | 934136462 - Management | |||||||||||||
| Record Date |
| 26-Feb-2015 |
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| Holding Recon Date | 26-Feb-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 23-Apr-2015 |
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| Item | Proposal |
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| 1. | DIRECTOR |
| Management |
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| 1 | T.J. CHUNG |
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| For | For |
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| 2 | CARY T. FU |
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| For | For |
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| 3 | ANTHONY GRILLO |
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| For | For |
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| 4 | GORDON HUNTER |
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| For | For |
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| 5 | JOHN E. MAJOR |
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| For | For |
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| 6 | WILLIAM P. NOGLOWS |
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| For | For |
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| 7 | RONALD L. SCHUBEL |
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| For | For |
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| 2. | APPROVE AND RATIFY THE APPOINTMENT |
| Management | For | For |
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| 3. | RE-APPROVE THE PERFORMANCE GOALS IN |
| Management | For | For |
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| 4. | APPROVE, BY NON-BINDING VOTE, THE |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 3,430 | 0 | 30-Mar-2015 | 31-Mar-2015 | |||||||||||||
| CARDINAL FINANCIAL CORPORATION | |||||||||||||||||||||
| Security |
| 14149F109 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| CFNL |
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| Meeting Date | 24-Apr-2015 |
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| ISIN |
| US14149F1093 |
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| Agenda | 934157543 - Management | |||||||||||||
| Record Date |
| 02-Mar-2015 |
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| Holding Recon Date | 02-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 23-Apr-2015 |
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| SEDOL(s) |
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| Item | Proposal |
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| 1. | DIRECTOR |
| Management |
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| 1 | BERNARD H. CLINEBURG |
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| For | For |
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| 2 | MICHAEL A. GARCIA |
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| For | For |
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| 3 | J. HAMILTON LAMBERT |
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| For | For |
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| 4 | BARBARA B. LANG |
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| For | For |
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| 2. | ADVISORY APPROVAL OF THE COMPANY'S |
| Management | Against | Against |
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| 3. | RATIFY THE APPOINTMENT OF KPMG LLP AS |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 11,800 | 0 | 01-Apr-2015 | 27-Apr-2015 | |||||||||||||
| TRUSTMARK CORPORATION | |||||||||||||||||||||
| Security |
| 898402102 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| TRMK |
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| Meeting Date | 28-Apr-2015 |
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| ISIN |
| US8984021027 |
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| Agenda | 934137894 - Management | |||||||||||||
| Record Date |
| 17-Feb-2015 |
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| Holding Recon Date | 17-Feb-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 27-Apr-2015 |
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| SEDOL(s) |
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| Item | Proposal |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | ADOLPHUS B. BAKER |
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| For | For |
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| 2 | TRACY T. CONERLY |
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| For | For |
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| 3 | TONI D. COOLEY |
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| For | For |
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| 4 | DANIEL A. GRAFTON |
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| For | For |
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| 5 | GERARD R. HOST |
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| For | For |
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| 6 | DAVID H. HOSTER II |
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| For | For |
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| 7 | JOHN M. MCCULLOUCH |
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| For | For |
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| 8 | RICHARD H. PUCKETT |
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| For | For |
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| 9 | R. MICHAEL SUMMERFORD |
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| For | For |
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| 10 | LEROY G. WALKER, JR. |
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| For | For |
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| 11 | WILLIAM G. YATES III |
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| For | For |
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| 2. | TO PROVIDE ADVISORY APPROVAL OF |
| Management | For | For |
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| 3. | TO APPROVE THE TRUSTMARK |
| Management | For | For |
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| 4. | TO RATIFY THE SELECTION OF KPMG LLP |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 14,000 | 0 | 02-Apr-2015 | 29-Apr-2015 | |||||||||||||
| STEPAN COMPANY | |||||||||||||||||||||
| Security |
| 858586100 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| SCL |
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| Meeting Date | 28-Apr-2015 |
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| ISIN |
| US8585861003 |
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| Agenda | 934157303 - Management | |||||||||||||
| Record Date |
| 27-Feb-2015 |
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| Holding Recon Date | 27-Feb-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 27-Apr-2015 |
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| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | RANDALL S. DEARTH |
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| For | For |
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| 2 | GREGORY E. LAWTON |
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| For | For |
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| 2. | APPROVE ADOPTION OF THE STEPAN |
| Management | For | For |
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| 3. | ADVISORY RESOLUTION TO APPROVE |
| Management | For | For |
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| 4. | RATIFY THE APPOINTMENT OF DELOITTE & |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 4,100 | 0 | 01-Apr-2015 | 01-Apr-2015 | |||||||||||||
| DOUGLAS DYNAMICS, INC | |||||||||||||||||||||
| Security |
| 25960R105 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| PLOW |
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| Meeting Date | 29-Apr-2015 |
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| ISIN |
| US25960R1059 |
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| Agenda | 934164776 - Management | |||||||||||||
| Record Date |
| 04-Mar-2015 |
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| Holding Recon Date | 04-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 28-Apr-2015 |
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| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | JAMES L. PACKARD |
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| For | For |
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| 2 | KENNETH W. KRUEGER |
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| For | For |
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| 3 | JAMES L. JANIK |
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| For | For |
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| 2. | ADVISORY VOTE (NON-BINDING) TO |
| Management | For | For |
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| 3. | THE RATIFICATION OF ERNST & YOUNG LLP |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 9,770 | 0 | 08-Apr-2015 | 30-Apr-2015 | |||||||||||||
| OWENS & MINOR, INC. | |||||||||||||||||||||
| Security |
| 690732102 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| OMI |
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| Meeting Date | 30-Apr-2015 |
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| ISIN |
| US6907321029 |
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| Agenda | 934140093 - Management | |||||||||||||
| Record Date |
| 05-Mar-2015 |
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| Holding Recon Date | 05-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 29-Apr-2015 |
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| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: JAMES L. |
| Management | For | For |
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| 1B. | ELECTION OF DIRECTOR: STUART M. ESSIG |
| Management | For | For |
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| 1C. | ELECTION OF DIRECTOR: JOHN W. |
| Management | For | For |
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| 1D. | ELECTION OF DIRECTOR: LEMUEL E. LEWIS |
| Management | For | For |
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| 1E. | ELECTION OF DIRECTOR: MARTHA H. |
| Management | For | For |
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| 1F. | ELECTION OF DIRECTOR: EDDIE N. MOORE, |
| Management | For | For |
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| 1G. | ELECTION OF DIRECTOR: JAMES E. ROGERS |
| Management | For | For |
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| 1H. | ELECTION OF DIRECTOR: DAVID S. |
| Management | For | For |
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| 1I. | ELECTION OF DIRECTOR: ROBERT C. SLEDD |
| Management | For | For |
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| 1J. | ELECTION OF DIRECTOR: CRAIG R. SMITH |
| Management | For | For |
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| 1K. | ELECTION OF DIRECTOR: ANNE MARIE |
| Management | For | For |
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| 2. | VOTE TO APPROVE THE PROPOSED OWENS |
| Management | For | For |
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| 3. | VOTE TO RATIFY KPMG LLP AS THE |
| Management | For | For |
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| 4. | ADVISORY VOTE ON EXECUTIVE |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 8,760 | 0 | 04-Apr-2015 | 01-May-2015 | |||||||||||||
| TESSERA TECHNOLOGIES, INC. | |||||||||||||||||||||
| Security |
| 88164L100 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| TSRA |
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| Meeting Date | 30-Apr-2015 |
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| ISIN |
| US88164L1008 |
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| Agenda | 934143734 - Management | |||||||||||||
| Record Date |
| 06-Mar-2015 |
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| Holding Recon Date | 06-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 29-Apr-2015 |
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| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1.1 | ELECTION OF DIRECTOR: RICHARD S. HILL |
| Management | For | For |
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| 1.2 | ELECTION OF DIRECTOR: CHRISTOPHER A. |
| Management | For | For |
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| 1.3 | ELECTION OF DIRECTOR: DONALD E. STOUT |
| Management | For | For |
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| 1.4 | ELECTION OF DIRECTOR: GEORGE A. |
| Management | For | For |
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| 1.5 | ELECTION OF DIRECTOR: JOHN CHENAULT |
| Management | For | For |
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| 1.6 | ELECTION OF DIRECTOR: THOMAS LACEY |
| Management | For | For |
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| 1.7 | ELECTION OF DIRECTOR: TUDOR BROWN |
| Management | For | For |
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| 2. | TO HOLD AN ADVISORY VOTE ON |
| Management | Against | Against |
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| 3. | TO RATIFY THE APPOINTMENT OF |
| Management | For | For |
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| 4. | TO APPROVE THE COMPANY'S SIXTH |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 10,010 | 0 | 07-Apr-2015 | 01-May-2015 | |||||||||||||
| SUNSTONE HOTEL INVESTORS, INC. | |||||||||||||||||||||
| Security |
| 867892101 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| SHO |
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| Meeting Date | 30-Apr-2015 |
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| ISIN |
| US8678921011 |
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| Agenda | 934158064 - Management | |||||||||||||
| Record Date |
| 10-Mar-2015 |
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| Holding Recon Date | 10-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 29-Apr-2015 |
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| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | JOHN V. ARABIA |
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| For | For |
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| 2 | ANDREW BATINOVICH |
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| For | For |
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| 3 | Z. JAMIE BEHAR |
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| For | For |
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| 4 | THOMAS A. LEWIS, JR. |
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| For | For |
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| 5 | KEITH M. LOCKER |
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| For | For |
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| 6 | DOUGLAS M. PASQUALE |
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| For | For |
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| 7 | KEITH P. RUSSELL |
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| For | For |
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| 8 | LEWIS N. WOLFF |
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| Withheld | Against |
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| 2. | RATIFICATION OF THE AUDIT COMMITTEE'S |
| Management | For | For |
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| 3. | ADVISORY RESOLUTION TO APPROVE THE |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 20,798 | 0 | 04-Apr-2015 | 01-May-2015 | |||||||||||||
| WSFS FINANCIAL CORPORATION | |||||||||||||||||||||
| Security |
| 929328102 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| WSFS |
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| Meeting Date | 30-Apr-2015 |
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| ISIN |
| US9293281021 |
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| Agenda | 934174931 - Management | |||||||||||||
| Record Date |
| 02-Mar-2015 |
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| Holding Recon Date | 02-Mar-2015 |
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| / | United States |
| Vote Deadline Date | 29-Apr-2015 |
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| Item | Proposal |
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| 01 | DIRECTOR |
| Management |
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| 1 | ANAT BIRD |
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| For | For |
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| 2 | JENNIFER W. DAVIS |
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| 3 | DONALD W. DELSON |
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| 02 | AMENDMENT OF THE AMENDED AND |
| Management | For | For |
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| 03 | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For |
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| 04 | ADVISORY (NON-BINDING) VOTE TO |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 3,630 | 0 | 08-Apr-2015 | 01-May-2015 | |||||||||||||
| CEDAR REALTY TRUST INC. | |||||||||||||||||||||
| Security |
| 150602209 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| CDR |
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| Meeting Date | 01-May-2015 |
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| ISIN |
| US1506022094 |
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| Agenda | 934147186 - Management | |||||||||||||
| Record Date |
| 13-Mar-2015 |
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| Holding Recon Date | 13-Mar-2015 |
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| / | United States |
| Vote Deadline Date | 30-Apr-2015 |
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| Item | Proposal |
| Proposed |
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| 1.1 | ELECTION OF DIRECTOR: JAMES J. BURNS |
| Management | For | For |
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| 1.2 | ELECTION OF DIRECTOR: PAMELA N. |
| Management | For | For |
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| 1.3 | ELECTION OF DIRECTOR: PAUL G. KIRK, JR. |
| Management | For | For |
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| 1.4 | ELECTION OF DIRECTOR: EVERETT B. |
| Management | For | For |
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| 1.5 | ELECTION OF DIRECTOR: BRUCE J. |
| Management | For | For |
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| 1.6 | ELECTION OF DIRECTOR: ROGER M. |
| Management | For | For |
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| 2. | THE APPROVAL (NON-BINDING) OF THE |
| Management | Against | Against |
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| 3. | TO RATIFY THE APPOINTMENT OF ERNST & |
| Management | For | For |
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| Account |
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| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 45,120 | 0 | 08-Apr-2015 | 04-May-2015 | |||||||||||||
| RLJ LODGING TR | |||||||||||||||||||||
| Security |
| 74965L101 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| RLJ |
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| Meeting Date | 01-May-2015 |
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| ISIN |
| US74965L1017 |
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| Agenda | 934163279 - Management | |||||||||||||
| Record Date |
| 13-Mar-2015 |
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| Holding Recon Date | 13-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 30-Apr-2015 |
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| Item | Proposal |
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| Vote | For/Against |
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| 1.1 | ELECTION OF TRUSTEE: ROBERT L. |
| Management | For | For |
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| 1.2 | ELECTION OF TRUSTEE: THOMAS J. |
| Management | For | For |
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| 1.3 | ELECTION OF TRUSTEE: EVAN BAYH |
| Management | For | For |
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| 1.4 | ELECTION OF TRUSTEE: NATHANIEL A. |
| Management | For | For |
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| 1.5 | ELECTION OF TRUSTEE: ROBERT M. LA |
| Management | For | For |
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| 1.6 | ELECTION OF TRUSTEE: GLENDA G. |
| Management | For | For |
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| 1.7 | ELECTION OF TRUSTEE: JOSEPH RYAN |
| Management | For | For |
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| 2. | TO RATIFY THE APPOINTMENT OF |
| Management | For | For |
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| 3. | TO APPROVE (ON A NON-BINDING BASIS) |
| Management | For | For |
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| 4. | TO APPROVE THE RLJ LODGING TRUST 2015 |
| Management | For | For |
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| 5. | TO AMEND OUR ARTICLES OF AMENDMENT |
| Management | For | For |
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| 6. | TO CONSIDER AND VOTE ON A NON- |
| Shareholder | For | Against |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 10,130 | 0 | 14-Apr-2015 | 04-May-2015 | |||||||||||||
| FIRST MERCHANTS CORPORATION | |||||||||||||||||||||
| Security |
| 320817109 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| FRME |
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| Meeting Date | 04-May-2015 |
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| ISIN |
| US3208171096 |
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| Agenda | 934142364 - Management | |||||||||||||
| Record Date |
| 24-Feb-2015 |
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| Holding Recon Date | 24-Feb-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 01-May-2015 |
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| Item | Proposal |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | MICHAEL R. BECHER |
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| For | For |
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| 2 | WILLIAM L. HOY |
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| For | For |
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| 3 | PATRICK A. SHERMAN |
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| For | For |
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| 2. | PROPOSAL TO APPROVE, ON AN ADVISORY |
| Management | For | For |
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| 3. | PROPOSAL TO RATIFY THE APPOINTMENT |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 4,382 | 0 | 09-Apr-2015 | 05-May-2015 | |||||||||||||
| SKYWEST, INC. | |||||||||||||||||||||
| Security |
| 830879102 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| SKYW |
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| Meeting Date | 05-May-2015 |
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| ISIN |
| US8308791024 |
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| Agenda | 934148708 - Management | |||||||||||||
| Record Date |
| 04-Mar-2015 |
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| Holding Recon Date | 04-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 04-May-2015 |
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| SEDOL(s) |
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| Item | Proposal |
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| Vote | For/Against |
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| 1.1 | ELECTION OF DIRECTOR: JERRY C. ATKIN |
| Management | For | For |
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| 1.2 | ELECTION OF DIRECTOR: W. STEVE |
| Management | For | For |
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| 1.3 | ELECTION OF DIRECTOR: HENRY J. EYRING |
| Management | For | For |
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| 1.4 | ELECTION OF DIRECTOR: RONALD J. |
| Management | For | For |
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| 1.5 | ELECTION OF DIRECTOR: ANDREW C. |
| Management | For | For |
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| 1.6 | ELECTION OF DIRECTOR: KEITH E. SMITH |
| Management | For | For |
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| 1.7 | ELECTION OF DIRECTOR: STEVEN F. |
| Management | For | For |
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| 1.8 | ELECTION OF DIRECTOR: JAMES L. WELCH |
| Management | For | For |
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| 2. | TO APPROVE, BY NON-BINDING VOTE, THE |
| Management | Against | Against |
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| 3. | TO RATIFY THE APPOINTMENT OF ERNST & |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 11,994 | 0 | 13-Apr-2015 | 06-May-2015 | |||||||||||||
| PROGRESS SOFTWARE CORPORATION | |||||||||||||||||||||
| Security |
| 743312100 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| PRGS |
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| Meeting Date | 05-May-2015 |
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| ISIN |
| US7433121008 |
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| Agenda | 934164601 - Management | |||||||||||||
| Record Date |
| 05-Mar-2015 |
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| Holding Recon Date | 05-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 04-May-2015 |
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| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | BARRY N. BYCOFF |
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| For | For |
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| 2 | JOHN R. EGAN |
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| For | For |
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| 3 | RAM GUPTA |
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| For | For |
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| 4 | CHARLES F. KANE |
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| 5 | DAVID A. KRALL |
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| 6 | MICHAEL L. MARK |
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| 7 | PHILIP M. PEAD |
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| For | For |
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| 2. | TO APPROVE THE COMPENSATION OF |
| Management | For | For |
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| 3. | TO RATIFY THE SELECTION OF DELOITTE & |
| Management | For | For |
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| 4. | TO APPROVE THE REINCORPORATION OF |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 12,000 | 0 | 15-Apr-2015 | 06-May-2015 | |||||||||||||
| UNIT CORPORATION | |||||||||||||||||||||
| Security |
| 909218109 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| UNT |
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| Meeting Date | 06-May-2015 |
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| ISIN |
| US9092181091 |
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| Agenda | 934149508 - Management | |||||||||||||
| Record Date |
| 09-Mar-2015 |
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| Holding Recon Date | 09-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 05-May-2015 |
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| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1.1 | ELECTION OF DIRECTOR: JOHN G. NIKKEL |
| Management | For | For |
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| 1.2 | ELECTION OF DIRECTOR: ROBERT J. |
| Management | For | For |
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| 1.3 | ELECTION OF DIRECTOR: GARY R. |
| Management | For | For |
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| 2. | APPROVE, ON AN ADVISORY BASIS, OUR |
| Management | For | For |
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| 3. | APPROVE THE SECOND AMENDED AND |
| Management | For | For |
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| 4. | RATIFY THE SELECTION OF |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 9,580 | 0 | 15-Apr-2015 | 07-May-2015 | |||||||||||||
| LASALLE HOTEL PROPERTIES | |||||||||||||||||||||
| Security |
| 517942108 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| LHO |
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| Meeting Date | 07-May-2015 |
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| ISIN |
| US5179421087 |
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| Agenda | 934130701 - Management | |||||||||||||
| Record Date |
| 20-Feb-2015 |
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| Holding Recon Date | 20-Feb-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 06-May-2015 |
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| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | JEFFREY T. FOLAND |
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| For | For |
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| 2 | DARRYL HARTLEY-LEONARD |
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| For | For |
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| 3 | WILLIAM S. MCCALMONT |
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| For | For |
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| 2. | TO RATIFY THE APPOINTMENT OF THE |
| Management | For | For |
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| 3. | TO APPROVE, BY NON-BINDING VOTE, |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 8,420 | 0 | 16-Apr-2015 | 08-May-2015 | |||||||||||||
| AVISTA CORP. | |||||||||||||||||||||
| Security |
| 05379B107 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| AVA |
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| Meeting Date | 07-May-2015 |
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| ISIN |
| US05379B1070 |
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| Agenda | 934139812 - Management | |||||||||||||
| Record Date |
| 06-Mar-2015 |
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| Holding Recon Date | 06-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 06-May-2015 |
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| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: ERIK J. |
| Management | For | For |
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| 1B. | ELECTION OF DIRECTOR: KRISTIANNE |
| Management | For | For |
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| 1C. | ELECTION OF DIRECTOR: DONALD C. BURKE |
| Management | For | For |
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| 1D. | ELECTION OF DIRECTOR: JOHN F. KELLY |
| Management | For | For |
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| 1E. | ELECTION OF DIRECTOR: REBECCA A. KLEIN |
| Management | For | For |
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| 1F. | ELECTION OF DIRECTOR: SCOTT L. MORRIS |
| Management | For | For |
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| 1G. | ELECTION OF DIRECTOR: MARC F. RACICOT |
| Management | For | For |
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| 1H. | ELECTION OF DIRECTOR: HEIDI B. STANLEY |
| Management | For | For |
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| 1I. | ELECTION OF DIRECTOR: R. JOHN TAYLOR |
| Management | For | For |
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| 1J. | ELECTION OF DIRECTOR: JANET D. |
| Management | For | For |
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| 2. | AMENDMENT OF THE COMPANY'S |
| Management | For | For |
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| 3. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For |
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| 4. | AMENDMENT OF THE COMPANY'S LONG- |
| Management | For | For |
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| 5. | ADVISORY (NON-BINDING) VOTE ON |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 9,222 | 0 | 16-Apr-2015 | 08-May-2015 | |||||||||||||
| PARKER DRILLING COMPANY | |||||||||||||||||||||
| Security |
| 701081101 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| PKD |
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| Meeting Date | 07-May-2015 |
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| ISIN |
| US7010811013 |
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| Agenda | 934147035 - Management | |||||||||||||
| Record Date |
| 11-Mar-2015 |
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| Holding Recon Date | 11-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 06-May-2015 |
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| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1 | DIRECTOR |
| Management |
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| 1 | RICHARD D. PATERSON |
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| For | For |
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| 2 | R. RUDOLPH REINFRANK |
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| For | For |
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| 3 | ZAKI SELIM |
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| For | For |
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| 2 | TO APPROVE, BY NON-BINDING VOTE, |
| Management | For | For |
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| 3 | RATIFY THE APPOINTMENT OF KPMG LLP AS |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 42,950 | 0 | 16-Apr-2015 | 08-May-2015 | |||||||||||||
| P.H. GLATFELTER COMPANY | |||||||||||||||||||||
| Security |
| 377316104 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| GLT |
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| Meeting Date | 07-May-2015 |
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| ISIN |
| US3773161043 |
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| Agenda | 934165259 - Management | |||||||||||||
| Record Date |
| 13-Mar-2015 |
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| Holding Recon Date | 13-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 06-May-2015 |
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| Item | Proposal |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | BRUCE BROWN |
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| For | For |
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| 2 | KATHLEEN A. DAHLBERG |
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| For | For |
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| 3 | NICHOLAS DEBENEDICTIS |
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| For | For |
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| 4 | KEVIN M. FOGARTY |
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| For | For |
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| 5 | J. ROBERT HALL |
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| For | For |
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| 6 | RICHARD C. ILL |
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| For | For |
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| 7 | RONALD J. NAPLES |
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| For | For |
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| 8 | DANTE C. PARRINI |
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| For | For |
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| 9 | LEE C. STEWART |
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| For | For |
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| 2. | PROPOSAL TO RATIFY THE APPOINTMENT |
| Management | For | For |
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| 3. | PROPOSAL TO APPROVE THE P. H. |
| Management | For | For |
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| 4. | ADVISORY APPROVAL OF THE COMPANY'S |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 11,230 | 0 | 09-Apr-2015 | 08-May-2015 | |||||||||||||
| FIRST INDUSTRIAL REALTY TRUST, INC. | |||||||||||||||||||||
| Security |
| 32054K103 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| FR |
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| Meeting Date | 07-May-2015 |
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| ISIN |
| US32054K1034 |
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| Agenda | 934172379 - Management | |||||||||||||
| Record Date |
| 20-Mar-2015 |
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| Holding Recon Date | 20-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 06-May-2015 |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1.1 | ELECTION OF DIRECTOR: MATTHEW S. |
| Management | For | For |
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| 1.2 | ELECTION OF DIRECTOR: BRUCE W. |
| Management | For | For |
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| 1.3 | ELECTION OF DIRECTOR: H. PATRICK |
| Management | For | For |
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| 1.4 | ELECTION OF DIRECTOR: JOHN RAU (IF |
| Management | For | For |
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| 1.5 | ELECTION OF DIRECTOR: L. PETER SHARPE |
| Management | For | For |
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| 1.6 | ELECTION OF DIRECTOR: W. ED TYLER (IF |
| Management | For | For |
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| 2. | TO APPROVE, ON AN ADVISORY (I.E. NON- |
| Management | For | For |
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| 3. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 14,640 | 0 | 17-Apr-2015 | 08-May-2015 | |||||||||||||
| TRICO BANCSHARES | |||||||||||||||||||||
| Security |
| 896095106 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| TCBK |
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| Meeting Date | 07-May-2015 |
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| ISIN |
| US8960951064 |
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| Agenda | 934173042 - Management | |||||||||||||
| Record Date |
| 27-Mar-2015 |
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| Holding Recon Date | 27-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 06-May-2015 |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | WILLIAM J. CASEY |
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| For | For |
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| 2 | DONALD J. AMARAL |
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| For | For |
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| 3 | L. GAGE CHRYSLER III |
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| For | For |
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| 4 | CRAIG S. COMPTON |
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| For | For |
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| 5 | CORY W. GIESE |
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| For | For |
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| 6 | JOHN S.A. HASBROOK |
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| For | For |
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| 7 | PATRICK W. KILKENNY |
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| For | For |
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| 8 | MICHAEL W. KOEHNEN |
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| For | For |
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| 9 | MARTIN A. MARIANI |
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| For | For |
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| 10 | RICHARD P. SMITH |
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| For | For |
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| 11 | W. VIRGINIA WALKER |
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| For | For |
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| 12 | J.M. "MIKE" WELLS, JR. |
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| For | For |
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| 2. | ADVISORY APPROVAL OF THE COMPANY'S |
| Management | For | For |
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| 3. | TO RATIFY THE SELECTION OF CROWE |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 6,711 | 0 | 15-Apr-2015 | 08-May-2015 | |||||||||||||
| GOVERNMENT PROPERTIES INCOME TRUST | |||||||||||||||||||||
| Security |
| 38376A103 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| GOV |
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| Meeting Date | 12-May-2015 |
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| ISIN |
| US38376A1034 |
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| Agenda | 934145168 - Management | |||||||||||||
| Record Date |
| 21-Jan-2015 |
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| Holding Recon Date | 21-Jan-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 11-May-2015 |
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| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | ELECTION OF INDEPENDENT TRUSTEE IN |
| Management | For | For |
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| 2. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 10,830 | 0 | 22-Apr-2015 | 13-May-2015 | |||||||||||||
| ALLETE, INC. | |||||||||||||||||||||
| Security |
| 018522300 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| ALE |
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| Meeting Date | 12-May-2015 |
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| ISIN |
| US0185223007 |
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| Agenda | 934151541 - Management | |||||||||||||
| Record Date |
| 13-Mar-2015 |
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| Holding Recon Date | 13-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 11-May-2015 |
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| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: KATHRYN W. |
| Management | For | For |
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| 1B. | ELECTION OF DIRECTOR: SIDNEY W. |
| Management | For | For |
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| 1C. | ELECTION OF DIRECTOR: GEORGE G. |
| Management | For | For |
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| 1D. | ELECTION OF DIRECTOR: JAMES S. HAINES, |
| Management | For | For |
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| 1E. | ELECTION OF DIRECTOR: ALAN R. HODNIK |
| Management | For | For |
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| 1F. | ELECTION OF DIRECTOR: JAMES J. |
| Management | For | For |
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| 1G. | ELECTION OF DIRECTOR: HEIDI E. |
| Management | For | For |
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| 1H. | ELECTION OF DIRECTOR: MADELEINE W. |
| Management | For | For |
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| 1I. | ELECTION OF DIRECTOR: DOUGLAS C. NEVE |
| Management | For | For |
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| 1J. | ELECTION OF DIRECTOR: LEONARD C. |
| Management | For | For |
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| 2. | ADVISORY VOTE TO APPROVE EXECUTIVE |
| Management | For | For |
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| 3. | APPROVAL OF THE ALLETE EXECUTIVE |
| Management | For | For |
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| 4. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 5,750 | 0 | 21-Apr-2015 | 13-May-2015 | |||||||||||||
| DST SYSTEMS, INC. | |||||||||||||||||||||
| Security |
| 233326107 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| DST |
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| Meeting Date | 12-May-2015 |
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| ISIN |
| US2333261079 |
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| Agenda | 934153139 - Management | |||||||||||||
| Record Date |
| 19-Mar-2015 |
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| Holding Recon Date | 19-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 11-May-2015 |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | JEROME H. BAILEY |
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| For | For |
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| 2 | LOWELL L. BRYAN |
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| For | For |
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| 3 | GARY D. FORSEE |
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| For | For |
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| 4 | CHARLES E. HALDEMAN, JR |
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| For | For |
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| 5 | SAMUEL G. LISS |
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| For | For |
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| 2. | RATIFY THE AUDIT COMMITTEE'S |
| Management | For | For |
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| 3. | ADOPT AN ADVISORY RESOLUTION TO |
| Management | For | For |
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| 4. | APPROVE THE COMPANY'S 2015 EQUITY |
| Management | For | For |
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| 5. | APPROVE AN AMENDMENT TO THE |
| Management | For | For |
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| 6. | APPROVE AN AMENDMENT TO THE |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 3,070 | 0 | 28-Apr-2015 | 13-May-2015 | |||||||||||||
| PNM RESOURCES, INC. | |||||||||||||||||||||
| Security |
| 69349H107 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| PNM |
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| Meeting Date | 12-May-2015 |
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| ISIN |
| US69349H1077 |
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| Agenda | 934159662 - Management | |||||||||||||
| Record Date |
| 23-Mar-2015 |
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| Holding Recon Date | 23-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 11-May-2015 |
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| Item | Proposal |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | ADELMO E. ARCHULETA |
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| For | For |
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| 2 | PATRICIA K. COLLAWN |
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| For | For |
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| 3 | E. RENAE CONLEY |
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| For | For |
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| 4 | ALAN J. FOHRER |
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| For | For |
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| 5 | SIDNEY M. GUTIERREZ |
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| For | For |
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| 6 | MAUREEN T. MULLARKEY |
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| For | For |
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| 7 | ROBERT R. NORDHAUS |
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| For | For |
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| 8 | DONALD K. SCHWANZ |
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| For | For |
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| 9 | BRUCE W. WILKINSON |
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| For | For |
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| 2. | RATIFY APPOINTMENT OF KPMG LLP AS |
| Management | For | For |
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| 3. | APPROVE, ON AN ADVISORY BASIS, THE |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 10,190 | 0 | 23-Apr-2015 | 13-May-2015 | |||||||||||||
| COEUR MINING, INC. | |||||||||||||||||||||
| Security |
| 192108504 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| CDE |
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| Meeting Date | 12-May-2015 |
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| ISIN |
| US1921085049 |
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| Agenda | 934162962 - Management | |||||||||||||
| Record Date |
| 16-Mar-2015 |
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| Holding Recon Date | 16-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 11-May-2015 |
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| Item | Proposal |
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| 1.1 | ELECTION OF DIRECTOR: LINDA L. |
| Management | For | For |
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| 1.2 | ELECTION OF DIRECTOR: KEVIN S. |
| Management | For | For |
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| 1.3 | ELECTION OF DIRECTOR: SEBASTIAN |
| Management | For | For |
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| 1.4 | ELECTION OF DIRECTOR: RANDOLPH E. |
| Management | For | For |
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| 1.5 | ELECTION OF DIRECTOR: MITCHELL J. |
| Management | For | For |
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| 1.6 | ELECTION OF DIRECTOR: ROBERT E. |
| Management | For | For |
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| 1.7 | ELECTION OF DIRECTOR: JOHN H. |
| Management | For | For |
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| 1.8 | ELECTION OF DIRECTOR: J. KENNETH |
| Management | For | For |
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| 2. | AUTHORIZATION OF AN AMENDMENT TO |
| Management | For | For |
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| 3. | APPROVAL OF THE ADOPTION OF THE 2015 |
| Management | For | For |
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| 4. | ADVISORY RESOLUTION TO APPROVE |
| Management | For | For |
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| 5. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 17,020 | 0 | 28-Apr-2015 | 13-May-2015 | |||||||||||||
| CON-WAY INC. | |||||||||||||||||||||
| Security |
| 205944101 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| CNW |
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| Meeting Date | 12-May-2015 |
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| ISIN |
| US2059441012 |
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| Agenda | 934163027 - Management | |||||||||||||
| Record Date |
| 17-Mar-2015 |
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| Holding Recon Date | 17-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 11-May-2015 |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: W. KEITH |
| Management | For | For |
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| 1B. | ELECTION OF DIRECTOR: MICHAEL J. |
| Management | For | For |
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| 1C. | ELECTION OF DIRECTOR: EDITH R. PEREZ |
| Management | For | For |
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| 1D. | ELECTION OF DIRECTOR: P. CODY PHIPPS |
| Management | For | For |
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| 1E. | ELECTION OF DIRECTOR: JOHN C. POPE |
| Management | For | For |
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| 1F. | ELECTION OF DIRECTOR: WILLIAM J. |
| Management | For | For |
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| 1G. | ELECTION OF DIRECTOR: WAYNE R. |
| Management | For | For |
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| 1H. | ELECTION OF DIRECTOR: DOUGLAS W. |
| Management | For | For |
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| 1I. | ELECTION OF DIRECTOR: PETER W. STOTT |
| Management | For | For |
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| 1J. | ELECTION OF DIRECTOR: ROY W. TEMPLIN |
| Management | For | For |
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| 1K. | ELECTION OF DIRECTOR: CHELSEA C. |
| Management | For | For |
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| 2. | ADVISORY VOTE TO APPROVE EXECUTIVE |
| Management | For | For |
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| 3. | RATIFY APPOINTMENT OF KPMG LLP AS THE |
| Management | For | For |
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| 4. | SHAREHOLDER PROPOSAL RELATING TO |
| Shareholder | For | Against |
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| 5. | SHAREHOLDER PROPOSAL RELATING TO |
| Shareholder | Against | For |
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| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 5,720 | 0 | 23-Apr-2015 | 13-May-2015 | |||||||||||||
| FIRST AMERICAN FINANCIAL CORPORATION | |||||||||||||||||||||
| Security |
| 31847R102 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| FAF |
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| Meeting Date | 12-May-2015 |
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| ISIN |
| US31847R1023 |
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| Agenda | 934172014 - Management | |||||||||||||
| Record Date |
| 18-Mar-2015 |
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| Holding Recon Date | 18-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 11-May-2015 |
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| 1. | DIRECTOR |
| Management |
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| 1 | DENNIS J. GILMORE |
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| 2 | VIRGINIA M. UEBERROTH |
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| 2. | ADVISORY VOTE TO APPROVE EXECUTIVE |
| Management | For | For |
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| 3. | TO RATIFY THE SELECTION OF |
| Management | For | For |
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| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 9,520 | 0 | 22-Apr-2015 | 13-May-2015 | |||||||||||||
| WERNER ENTERPRISES, INC. | |||||||||||||||||||||
| Security |
| 950755108 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| WERN |
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| Meeting Date | 12-May-2015 |
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| ISIN |
| US9507551086 |
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| Agenda | 934178030 - Management | |||||||||||||
| Record Date |
| 23-Mar-2015 |
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| Holding Recon Date | 23-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 11-May-2015 |
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| 1. | DIRECTOR |
| Management |
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| 1 | CLARENCE L. WERNER |
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| 2 | PATRICK J. JUNG |
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| 3 | DUANE K. SATHER |
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| 2. | TO RATIFY THE APPOINTMENT OF KPMG LLP |
| Management | For | For |
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| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 11,320 | 0 | 23-Apr-2015 | 13-May-2015 | |||||||||||||
| KCG HOLDINGS, INC. | |||||||||||||||||||||
| Security |
| 48244B100 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| KCG |
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| Meeting Date | 12-May-2015 |
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| ISIN |
| US48244B1008 |
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| Agenda | 934178650 - Management | |||||||||||||
| Record Date |
| 01-Apr-2015 |
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| Holding Recon Date | 01-Apr-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 11-May-2015 |
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| 1.1 | ELECTION OF DIRECTOR: DANIEL COLEMAN |
| Management | For | For |
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| 1.2 | ELECTION OF DIRECTOR: CHARLES E. |
| Management | For | For |
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| 1.3 | ELECTION OF DIRECTOR: RENE KERN |
| Management | For | For |
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| 1.4 | ELECTION OF DIRECTOR: JAMES T. MILDE |
| Management | For | For |
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| 1.5 | ELECTION OF DIRECTOR: JOHN C. (HANS) |
| Management | For | For |
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| 1.6 | ELECTION OF DIRECTOR: DANIEL F. |
| Management | For | For |
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| 1.7 | ELECTION OF DIRECTOR: STEPHEN |
| Management | For | For |
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| 1.8 | ELECTION OF DIRECTOR: LAURIE M. |
| Management | For | For |
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| 1.9 | ELECTION OF DIRECTOR: DANIEL TIERNEY |
| Management | For | For |
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| 2. | ADVISORY (NON-BINDING) VOTE ON |
| Management | For | For |
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| 3. | AMENDMENT OF THE KCG HOLDINGS, INC. |
| Management | Against | Against |
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| 4. | RATIFICATION OF |
| Management | For | For |
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| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 24,075 | 0 | 24-Apr-2015 | 13-May-2015 | |||||||||||||
| SELECT INCOME REIT | |||||||||||||||||||||
| Security |
| 81618T100 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| SIR |
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| Meeting Date | 13-May-2015 |
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| ISIN |
| US81618T1007 |
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| Agenda | 934145170 - Management | |||||||||||||
| Record Date |
| 21-Jan-2015 |
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| Holding Recon Date | 21-Jan-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 12-May-2015 |
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| Item | Proposal |
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| 1. | ELECTION OF INDEPENDENT TRUSTEE IN |
| Management | For | For |
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| 2. | ADVISORY VOTE TO APPROVE NAMED |
| Management | For | For |
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| 3. | ADVISORY VOTE ON THE FREQUENCY OF |
| Management | 1 Year | Against |
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| 4. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For |
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| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 8,398 | 0 | 24-Apr-2015 | 14-May-2015 | |||||||||||||
| WATTS WATER TECHNOLOGIES, INC. | |||||||||||||||||||||
| Security |
| 942749102 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| WTS |
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| Meeting Date | 13-May-2015 |
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| ISIN |
| US9427491025 |
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| Agenda | 934153898 - Management | |||||||||||||
| Record Date |
| 20-Mar-2015 |
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| Holding Recon Date | 20-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 12-May-2015 |
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| Item | Proposal |
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| 1. | DIRECTOR |
| Management |
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| 1 | ROBERT L. AYERS |
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| For | For |
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| 2 | BERNARD BAERT |
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| For | For |
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| 3 | RICHARD J. CATHCART |
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| 4 | W. CRAIG KISSEL |
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| 5 | JOHN K. MCGILLICUDDY |
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| 6 | JOSEPH T. NOONAN |
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| 7 | ROBERT J. PAGANO, JR. |
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| 8 | MERILEE RAINES |
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| For | For |
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| 2. | TO RATIFY THE APPOINTMENT OF KPMG LLP |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 5,490 | 0 | 23-Apr-2015 | 14-May-2015 | |||||||||||||
| PIPER JAFFRAY COMPANIES | |||||||||||||||||||||
| Security |
| 724078100 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| PJC |
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| Meeting Date | 13-May-2015 |
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| ISIN |
| US7240781002 |
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| Agenda | 934160184 - Management | |||||||||||||
| Record Date |
| 18-Mar-2015 |
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| Holding Recon Date | 18-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 12-May-2015 |
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| Item | Proposal |
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| 1. | DIRECTOR |
| Management |
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| 1 | ANDREW S. DUFF |
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| For | For |
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| 2 | WILLIAM R. FITZGERALD |
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| For | For |
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| 3 | B. KRISTINE JOHNSON |
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| 4 | ADDISON L. PIPER |
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| 5 | LISA K. POLSKY |
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| 6 | PHILIP E. SORAN |
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| 7 | SCOTT C. TAYLOR |
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| 8 | MICHELE VOLPI |
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| 2. | RATIFICATION OF THE SELECTION OF |
| Management | For | For |
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| 3. | AN ADVISORY VOTE TO APPROVE THE |
| Management | For | For |
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| 4. | APPROVAL OF AN AMENDMENT TO THE |
| Management | Against | Against |
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| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 5,470 | 0 | 24-Apr-2015 | 14-May-2015 | |||||||||||||
| KBR, INC. | |||||||||||||||||||||
| Security |
| 48242W106 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| KBR |
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| Meeting Date | 14-May-2015 |
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| ISIN |
| US48242W1062 |
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| Agenda | 934162861 - Management | |||||||||||||
| Record Date |
| 19-Mar-2015 |
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| Holding Recon Date | 19-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 13-May-2015 |
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| Item | Proposal |
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| 1. | DIRECTOR |
| Management |
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| 1 | MARK E. BALDWIN |
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| For | For |
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| 2 | JAMES R. BLACKWELL |
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| For | For |
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| 3 | STUART J.B. BRADIE |
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| 4 | LOREN K. CARROLL |
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| 5 | JEFFREY E. CURTISS |
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| 6 | UMBERTO DELLA SALA |
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| 7 | LESTER L. LYLES |
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| 8 | JACK B. MOORE |
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| 9 | RICHARD J. SLATER |
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| For | For |
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| 2. | RATIFY THE APPOINTMENT OF KPMG LLP AS |
| Management | For | For |
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| 3. | ADVISORY VOTE TO APPROVE KBR'S |
| Management | Against | Against |
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| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 15,710 | 0 | 27-Apr-2015 | 15-May-2015 | |||||||||||||
| BUILD-A-BEAR WORKSHOP, INC. | |||||||||||||||||||||
| Security |
| 120076104 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| BBW |
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| Meeting Date | 14-May-2015 |
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| ISIN |
| US1200761047 |
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| Agenda | 934178307 - Management | |||||||||||||
| Record Date |
| 24-Mar-2015 |
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| Holding Recon Date | 24-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 13-May-2015 |
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| Item | Proposal |
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| 1. | DIRECTOR |
| Management |
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| 1 | BRADEN LEONARD |
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| For | For |
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| 2 | COLEMAN PETERSON |
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| For | For |
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| 3 | MICHAEL SHAFFER |
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| For | For |
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| 2. | TO RATIFY THE APPOINTMENT OF ERNST & |
| Management | For | For |
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| 3. | ADVISORY VOTE ON EXECUTIVE |
| Management | For | For |
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| 4. | TO TRANSACT SUCH OTHER BUSINESS AS |
| Management | Against | Against |
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| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 16,132 | 0 | 24-Apr-2015 | 15-May-2015 | |||||||||||||
| GREATBATCH, INC. | |||||||||||||||||||||
| Security |
| 39153L106 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| GB |
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| Meeting Date | 14-May-2015 |
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| ISIN |
| US39153L1061 |
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| Agenda | 934189538 - Management | |||||||||||||
| Record Date |
| 01-Apr-2015 |
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| Holding Recon Date | 01-Apr-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 13-May-2015 |
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| 1. | DIRECTOR |
| Management |
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| 1 | PAMELA G. BAILEY |
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| 2 | ANTHONY P. BIHL III |
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| 3 | JOSEPH W. DZIEDZIC |
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| 4 | THOMAS J. HOOK |
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| 5 | DR. JOSEPH A. MILLER JR |
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| 6 | BILL R. SANFORD |
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| For | For |
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| 7 | PETER H. SODERBERG |
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| For | For |
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| 8 | WILLIAM B. SUMMERS, JR. |
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| For | For |
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| 2. | RATIFY THE APPOINTMENT OF DELOITTE & |
| Management | For | For |
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| 3. | APPROVE BY NON-BINDING ADVISORY VOTE |
| Management | For | For |
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| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 10,120 | 0 | 27-Apr-2015 | 15-May-2015 | |||||||||||||
| QUAD/GRAPHICS, INC. | |||||||||||||||||||||
| Security |
| 747301109 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| QUAD |
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| Meeting Date | 18-May-2015 |
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| ISIN |
| US7473011093 |
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| Agenda | 934194301 - Management | |||||||||||||
| Record Date |
| 11-Mar-2015 |
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| Holding Recon Date | 11-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 15-May-2015 |
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| Item | Proposal |
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| 1. | DIRECTOR |
| Management |
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| 1 | WILLIAM J. ABRAHAM, JR. |
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| For | For |
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| 2 | MARK A. ANGELSON |
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| For | For |
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| 3 | DOUGLAS P. BUTH |
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| For | For |
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| 4 | CHRISTOPHER B. HARNED |
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| For | For |
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| 5 | J. JOEL QUADRACCI |
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| For | For |
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| 6 | KATHRYN Q. FLORES |
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| For | For |
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| 7 | THOMAS O. RYDER |
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| For | For |
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| 8 | JOHN S. SHIELY |
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| For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 11,500 | 0 | 29-Apr-2015 | 19-May-2015 | |||||||||||||
| THE HANOVER INSURANCE GROUP, INC. | |||||||||||||||||||||
| Security |
| 410867105 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| THG |
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| Meeting Date | 19-May-2015 |
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| ISIN |
| US4108671052 |
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| Agenda | 934160831 - Management | |||||||||||||
| Record Date |
| 24-Mar-2015 |
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| Holding Recon Date | 24-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 18-May-2015 |
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| Item | Proposal |
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| Vote | For/Against |
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| 1.1 | ELECTION OF DIRECTOR FOR ONE-YEAR |
| Management | For | For |
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| 1.2 | ELECTION OF DIRECTOR FOR THREE-YEAR |
| Management | For | For |
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| 1.3 | ELECTION OF DIRECTOR FOR THREE-YEAR |
| Management | For | For |
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| 1.4 | ELECTION OF DIRECTOR FOR THREE-YEAR |
| Management | For | For |
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| 1.5 | ELECTION OF DIRECTOR FOR THREE-YEAR |
| Management | For | For |
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| 2. | THE ADVISORY APPROVAL OF THE |
| Management | For | For |
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| 3. | THE RATIFICATION OF THE APPOINTMENT |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 4,950 | 0 | 01-May-2015 | 20-May-2015 | |||||||||||||
| SWIFT ENERGY COMPANY | |||||||||||||||||||||
| Security |
| 870738101 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| SFY |
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| Meeting Date | 19-May-2015 |
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| ISIN |
| US8707381013 |
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| Agenda | 934167847 - Management | |||||||||||||
| Record Date |
| 20-Mar-2015 |
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| Holding Recon Date | 20-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 18-May-2015 |
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| Item | Proposal |
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| 1. | DIRECTOR |
| Management |
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| 1 | CLYDE W. SMITH, JR.* |
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| For | For |
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| 2 | TERRY E. SWIFT* |
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| For | For |
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| 3 | CHARLES J. SWINDELLS* |
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| For | For |
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| 4 | W.A. BRUCKMANN III# |
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| For | For |
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| 2. | TO AMEND THE SECOND AMENDED AND |
| Management | For | For |
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| 3. | TO CONDUCT A NONBINDING ADVISORY |
| Management | For | For |
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| 4. | TO RATIFY THE SELECTION OF ERNST & |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 23,000 | 0 | 01-May-2015 | 20-May-2015 | |||||||||||||
| LEXINGTON REALTY TRUST | |||||||||||||||||||||
| Security |
| 529043101 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| LXP |
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| Meeting Date | 19-May-2015 |
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| ISIN |
| US5290431015 |
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| Agenda | 934169485 - Management | |||||||||||||
| Record Date |
| 18-Mar-2015 |
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| Holding Recon Date | 18-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 18-May-2015 |
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| Item | Proposal |
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| Vote | For/Against |
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| 1A. | ELECTION OF TRUSTEE: E. ROBERT |
| Management | For | For |
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| 1B. | ELECTION OF TRUSTEE: T. WILSON EGLIN |
| Management | For | For |
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| 1C. | ELECTION OF TRUSTEE: RICHARD J. ROUSE |
| Management | For | For |
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| 1D. | ELECTION OF TRUSTEE: HAROLD FIRST |
| Management | For | For |
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| 1E. | ELECTION OF TRUSTEE: RICHARD S. FRARY |
| Management | For | For |
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| 1F. | ELECTION OF TRUSTEE: JAMES GROSFELD |
| Management | For | For |
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| 1G. | ELECTION OF TRUSTEE: KEVIN W. LYNCH |
| Management | For | For |
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| 2. | AN ADVISORY RESOLUTION TO APPROVE |
| Management | For | For |
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| 3. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For |
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| Account |
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| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 27,240 | 0 | 01-May-2015 | 20-May-2015 | |||||||||||||
| INSIGHT ENTERPRISES, INC. | |||||||||||||||||||||
| Security |
| 45765U103 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| NSIT |
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| Meeting Date | 19-May-2015 |
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| ISIN |
| US45765U1034 |
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| Agenda | 934182990 - Management | |||||||||||||
| Record Date |
| 27-Mar-2015 |
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| Holding Recon Date | 27-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 18-May-2015 |
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| Item | Proposal |
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| 1. | TO APPROVE AN AMENDMENT TO OUR |
| Management | For | For |
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| 2.1 | ELECTION OF CLASS III DIRECTOR: TIMOTHY |
| Management | For | For |
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| 2.2 | ELECTION OF CLASS III DIRECTOR: |
| Management | For | For |
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| 2.3 | ELECTION OF CLASS III DIRECTOR: |
| Management | For | For |
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| 3. | ADVISORY VOTE (NON-BINDING) TO |
| Management | For | For |
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| 4. | TO RATIFY THE APPOINTMENT OF KPMG LLP |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 14,940 | 0 | 30-Apr-2015 | 20-May-2015 | |||||||||||||
| EDUCATION REALTY TRUST, INC. | |||||||||||||||||||||
| Security |
| 28140H203 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| EDR |
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| Meeting Date | 20-May-2015 |
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| ISIN |
| US28140H2031 |
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| Agenda | 934164637 - Management | |||||||||||||
| Record Date |
| 05-Mar-2015 |
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| Holding Recon Date | 05-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 19-May-2015 |
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| Item | Proposal |
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| 1. | DIRECTOR |
| Management |
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| 1 | JOHN V. ARABIA |
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| For | For |
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| 2 | MONTE J. BARROW |
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| For | For |
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| 3 | WILLIAM J. CAHILL, III |
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| For | For |
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| 4 | RANDALL L. CHURCHEY |
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| For | For |
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| 5 | JOHN L. FORD |
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| For | For |
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| 6 | HOWARD A. SILVER |
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| For | For |
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| 7 | THOMAS TRUBIANA |
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| For | For |
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| 8 | WENDELL W. WEAKLEY |
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| For | For |
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| 2. | TO RATIFY THE APPOINTMENT OF DELOITTE |
| Management | For | For |
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| 3. | TO APPROVE, IN AN ADVISORY (NON- |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 9,340 | 0 | 06-May-2015 | 21-May-2015 | |||||||||||||
| FIRST INTERSTATE BANCSYSTEM,INC | |||||||||||||||||||||
| Security |
| 32055Y201 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| FIBK |
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| Meeting Date | 20-May-2015 |
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| ISIN |
| US32055Y2019 |
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| Agenda | 934165879 - Management | |||||||||||||
| Record Date |
| 16-Mar-2015 |
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| Holding Recon Date | 16-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 19-May-2015 |
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| Item | Proposal |
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| 1.1 | ELECTION OF DIRECTOR: ED GARDING |
| Management | Against | Against |
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| 1.2 | ELECTION OF DIRECTOR: DAVID L. JAHNKE |
| Management | For | For |
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| 1.3 | ELECTION OF DIRECTOR: ROSS E. LECKIE |
| Management | For | For |
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| 1.4 | ELECTION OF DIRECTOR: JAMES R. SCOTT |
| Management | Against | Against |
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| 1.5 | ELECTION OF DIRECTOR: RANDALL I. SCOTT |
| Management | Against | Against |
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| 1.6 | ELECTION OF DIRECTOR: TERESA A. |
| Management | For | For |
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| 2. | ADVISORY VOTE ON EXECUTIVE |
| Management | For | For |
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| 3. | APPROVAL OF 2015 EQUITY AND INCENTIVE |
| Management | For | For |
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| 4. | RATIFICATION OF MCGLADREY LLP AS OUR |
| Management | For | For |
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| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 8,468 | 0 | 04-May-2015 | 21-May-2015 | |||||||||||||
| ENDURANCE SPECIALTY HOLDINGS LTD. | |||||||||||||||||||||
| Security |
| G30397106 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| ENH |
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| Meeting Date | 20-May-2015 |
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| ISIN |
| BMG303971060 |
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| Agenda | 934172367 - Management | |||||||||||||
| Record Date |
| 20-Mar-2015 |
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| Holding Recon Date | 20-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 19-May-2015 |
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| Item | Proposal |
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| 1A. | ELECTION OF DIRECTOR: JOHN T. BAILY |
| Management | For | For |
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| 1B. | ELECTION OF DIRECTOR: NORMAN BARHAM |
| Management | For | For |
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| 1C. | ELECTION OF DIRECTOR: GALEN R. BARNES |
| Management | For | For |
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| 1D. | ELECTION OF DIRECTOR: WILLIAM H. |
| Management | For | For |
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| 1E. | ELECTION OF DIRECTOR: PHILIP M. |
| Management | For | For |
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| 1F. | ELECTION OF DIRECTOR: STEVEN W. |
| Management | For | For |
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| 1G. | ELECTION OF DIRECTOR: JOHN R. |
| Management | For | For |
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| 1H. | ELECTION OF DIRECTOR: SUSAN S. |
| Management | For | For |
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| 1I. | ELECTION OF DIRECTOR: SCOTT D. MOORE |
| Management | For | For |
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| 1J. | ELECTION OF DIRECTOR: WILLIAM J. RAVER |
| Management | For | For |
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| 1K. | ELECTION OF DIRECTOR: ROBERT A. SPASS |
| Management | For | For |
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| 2. | TO APPOINT ERNST & YOUNG LTD. AS THE |
| Management | For | For |
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| 3. | NON-BINDING ADVISORY VOTE TO APPROVE |
| Management | For | For |
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| 4. | TO ADOPT THE 2015 EMPLOYEE SHARE |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 4,950 | 0 | 04-May-2015 | 21-May-2015 | |||||||||||||
| YADKIN FINANCIAL CORPORATION | |||||||||||||||||||||
| Security |
| 984305102 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| YDKN |
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| Meeting Date | 20-May-2015 |
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| ISIN |
| US9843051023 |
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| Agenda | 934173030 - Management | |||||||||||||
| Record Date |
| 31-Mar-2015 |
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| Holding Recon Date | 31-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 19-May-2015 |
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| Item | Proposal |
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| 1. | DIRECTOR |
| Management |
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| 1 | J. ADAM ABRAM |
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| For | For |
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| 2 | DAVID S. BRODY |
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| For | For |
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| 3 | ALAN N. COLNER |
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| For | For |
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| 4 | SCOTT M. CUSTER |
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| 5 | HARRY M. DAVIS |
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| For | For |
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| 6 | THOMAS J. HALL |
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| For | For |
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| 7 | JAMES A. HARRELL, JR. |
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| For | For |
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| 8 | LARRY S. HELMS |
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| For | For |
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| 9 | DAN W. HILL, III |
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| For | For |
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| 10 | THIERRY HO |
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| For | For |
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| 11 | STEVEN J. LERNER |
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| For | For |
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| 12 | HARRY C. SPELL |
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| For | For |
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| 13 | JOSEPH H. TOWELL |
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| For | For |
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| 14 | NICOLAS D. ZERBIB |
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| For | For |
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| 2. | TO RATIFY AND APPROVE A NON-BINDING |
| Management | For | For |
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| 3. | TO APPROVE THE FREQUENCY OF THE |
| Management | 1 Year | For |
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| 4. | TO RATIFY THE APPOINTMENT OF DIXON |
| Management | For | For |
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| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 8,395 | 0 | 15-May-2015 | 21-May-2015 | |||||||||||||
| HUDSON PACIFIC PROPERTIES, INC. | |||||||||||||||||||||
| Security |
| 444097109 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| HPP |
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| Meeting Date | 20-May-2015 |
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| ISIN |
| US4440971095 |
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| Agenda | 934175692 - Management | |||||||||||||
| Record Date |
| 20-Mar-2015 |
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| Holding Recon Date | 20-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 19-May-2015 |
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| Item | Proposal |
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| 1A. | ELECTION OF DIRECTOR: VICTOR J. |
| Management | For | For |
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| 1B. | ELECTION OF DIRECTOR: THEODORE R. |
| Management | For | For |
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| 1C. | ELECTION OF DIRECTOR: FRANK COHEN |
| Management | For | For |
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| 1D. | ELECTION OF DIRECTOR: RICHARD B. FRIED |
| Management | For | For |
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| 1E. | ELECTION OF DIRECTOR: JONATHAN M. |
| Management | For | For |
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| 1F. | ELECTION OF DIRECTOR: ROBERT L. |
| Management | For | For |
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| 1G. | ELECTION OF DIRECTOR: MARK D. LINEHAN |
| Management | For | For |
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| 1H. | ELECTION OF DIRECTOR: ROBERT M. |
| Management | For | For |
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| 1I. | ELECTION OF DIRECTOR: MICHAEL NASH |
| Management | For | For |
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| 1J. | ELECTION OF DIRECTOR: BARRY A. PORTER |
| Management | For | For |
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| 1K. | ELECTION OF DIRECTOR: JOHN SCHREIBER |
| Management | For | For |
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| 2. | THE RATIFICATION OF THE APPOINTMENT |
| Management | For | For |
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| 3. | THE ADVISORY APPROVAL OF THE |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 11,730 | 0 | 05-May-2015 | 21-May-2015 | |||||||||||||
| FIRST MIDWEST BANCORP, INC. | |||||||||||||||||||||
| Security |
| 320867104 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| FMBI |
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| Meeting Date | 20-May-2015 |
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| ISIN |
| US3208671046 |
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| Agenda | 934190226 - Management | |||||||||||||
| Record Date |
| 27-Mar-2015 |
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| Holding Recon Date | 27-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 19-May-2015 |
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| Item | Proposal |
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| Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: BARBARA A. |
| Management | For | For |
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| 1B. | ELECTION OF DIRECTOR: PETER J. |
| Management | For | For |
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| 1C. | ELECTION OF DIRECTOR: PATRICK J. |
| Management | For | For |
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| 1D. | ELECTION OF DIRECTOR: ROBERT P. |
| Management | For | For |
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| 1E. | ELECTION OF DIRECTOR: MARK G. SANDER |
| Management | For | For |
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| 2. | APPROVAL OF AN ADVISORY (NON-BINDING) |
| Management | For | For |
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| 3. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 18,300 | 0 | 05-May-2015 | 21-May-2015 | |||||||||||||
| CHESAPEAKE LODGING TRUST | |||||||||||||||||||||
| Security |
| 165240102 |
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| Meeting Type | Contested-Annual | |||||||||||||
| Ticker Symbol |
| CHSP |
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| Meeting Date | 20-May-2015 |
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| ISIN |
| US1652401027 |
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| Agenda | 934196812 - Management | |||||||||||||
| Record Date |
| 01-Apr-2015 |
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| Holding Recon Date | 01-Apr-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 19-May-2015 |
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| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1.1 | ELECTION OF TRUSTEE: JAMES L. FRANCIS |
| Management | For | For |
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| 1.2 | ELECTION OF TRUSTEE: DOUGLAS W. |
| Management | Against | Against |
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| 1.3 | ELECTION OF TRUSTEE: THOMAS A. |
| Management | For | For |
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| 1.4 | ELECTION OF TRUSTEE: THOMAS D. |
| Management | For | For |
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| 1.5 | ELECTION OF TRUSTEE: JOHN W. HILL |
| Management | For | For |
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| 1.6 | ELECTION OF TRUSTEE: GEORGE F. |
| Management | For | For |
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| 1.7 | ELECTION OF TRUSTEE: JEFFREY D. |
| Management | For | For |
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| 2. | CONSIDER AND VOTE UPON A PROPOSAL |
| Management | For | For |
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| 3. | CONSIDER AND VOTE UPON A NON-BINDING |
| Management | For | For |
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| 4. | SHAREHOLDER PROPOSAL RELATING TO |
| Shareholder | For | Against |
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| 5. | SHAREHOLDER PROPOSAL RELATING TO |
| Shareholder | For | Against |
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| 6. | SHAREHOLDER PROPOSAL RELATING TO |
| Shareholder | For | Against |
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| 7. | SHAREHOLDER PROPOSAL RELATING TO |
| Shareholder | Against | For |
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| 8. | SHAREHOLDER PROPOSAL RELATING TO |
| Shareholder | Against | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 10,670 | 0 | 06-May-2015 | 21-May-2015 | |||||||||||||
| FIRST POTOMAC REALTY TRUST | |||||||||||||||||||||
| Security |
| 33610F109 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| FPO |
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| Meeting Date | 21-May-2015 |
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| ISIN |
| US33610F1093 |
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| Agenda | 934164461 - Management | |||||||||||||
| Record Date |
| 16-Mar-2015 |
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| Holding Recon Date | 16-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 20-May-2015 |
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| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | ROBERT H. ARNOLD |
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| For | For |
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| 2 | RICHARD B. CHESS |
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| For | For |
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| 3 | DOUGLAS J. DONATELLI |
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| For | For |
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| 4 | JAMES P. HOFFMANN |
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| For | For |
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| 5 | ALAN G. MERTEN |
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| For | For |
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| 6 | THOMAS E. ROBINSON |
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| For | For |
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| 7 | TERRY L. STEVENS |
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| For | For |
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| 2. | TO RATIFY THE APPOINTMENT OF KPMG LLP |
| Management | For | For |
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| 3. | ADVISORY (NON-BINDING) APPROVAL OF |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 24,740 | 0 | 08-May-2015 | 22-May-2015 | |||||||||||||
| PBF ENERGY INC. | |||||||||||||||||||||
| Security |
| 69318G106 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| PBF |
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| Meeting Date | 21-May-2015 |
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| ISIN |
| US69318G1067 |
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| Agenda | 934170010 - Management | |||||||||||||
| Record Date |
| 25-Mar-2015 |
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| Holding Recon Date | 25-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 20-May-2015 |
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| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1.1 | ELECTION OF DIRECTOR: THOMAS D. |
| Management | For | For |
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| 1.2 | ELECTION OF DIRECTOR: SPENCER |
| Management | For | For |
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| 1.3 | ELECTION OF DIRECTOR: JEFFERSON F. |
| Management | For | For |
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| 1.4 | ELECTION OF DIRECTOR: WAYNE A. BUDD |
| Management | For | For |
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| 1.5 | ELECTION OF DIRECTOR: S. EUGENE |
| Management | For | For |
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| 1.6 | ELECTION OF DIRECTOR: DENNIS M. |
| Management | For | For |
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| 1.7 | ELECTION OF DIRECTOR: EDWARD F. |
| Management | For | For |
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| 1.8 | ELECTION OF DIRECTOR: EIJA MALMIVIRTA |
| Management | For | For |
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| 1.9 | ELECTION OF DIRECTOR: THOMAS J. |
| Management | For | For |
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| 2. | THE RATIFICATION OF THE APPOINTMENT |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 9,360 | 0 | 28-Apr-2015 | 22-May-2015 | |||||||||||||
| WPX ENERGY, INC. | |||||||||||||||||||||
| Security |
| 98212B103 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| WPX |
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| Meeting Date | 21-May-2015 |
| ||||||||||||
| ISIN |
| US98212B1035 |
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| Agenda | 934176024 - Management | |||||||||||||
| Record Date |
| 30-Mar-2015 |
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| Holding Recon Date | 30-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 20-May-2015 |
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| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1.1 | ELECTION OF DIRECTOR: WILLIAM R. |
| Management | For | For |
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| 1.2 | ELECTION OF DIRECTOR: KELT KINDICK |
| Management | For | For |
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| 1.3 | ELECTION OF DIRECTOR: KIMBERLY S. |
| Management | For | For |
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| 1.4 | ELECTION OF DIRECTOR: DAVID F. WORK |
| Management | For | For |
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| 2. | SAY ON PAY - AN ADVISORY VOTE ON THE |
| Management | Against | Against |
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| 3. | DECLASSIFICATION OF THE BOARD OF |
| Management | For | For |
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| 4. | APPROVAL OF AN AMENDMENT TO THE WPX |
| Management | For | For |
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| 5. | PROPOSAL TO RATIFY THE APPOINTMENT |
| Management | For | For |
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| 6. | STOCKHOLDER PROPOSAL REGARDING |
| Shareholder | For | Against |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 29,940 | 0 | 08-May-2015 | 22-May-2015 | |||||||||||||
| SUPERIOR ENERGY SERVICES, INC. | |||||||||||||||||||||
| Security |
| 868157108 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| SPN |
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| Meeting Date | 22-May-2015 |
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| ISIN |
| US8681571084 |
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| Agenda | 934197042 - Management | |||||||||||||
| Record Date |
| 08-Apr-2015 |
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| Holding Recon Date | 08-Apr-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 21-May-2015 |
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| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | HAROLD J. BOUILLION |
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| For | For |
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| 2 | DAVID D. DUNLAP |
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| For | For |
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| 3 | JAMES M. FUNK |
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| For | For |
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| 4 | TERENCE E. HALL |
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| For | For |
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| 5 | PETER D. KINNEAR |
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| For | For |
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| 6 | MICHAEL M. MCSHANE |
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| For | For |
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| 7 | W. MATT RALLS |
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| For | For |
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| 8 | JUSTIN L. SULLIVAN |
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| For | For |
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| 2. | APPROVAL, ON AN ADVISORY BASIS, OF |
| Management | For | For |
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| 3. | ADOPTION OF THE AMENDED AND |
| Management | For | For |
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| 4. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 15,690 | 0 | 11-May-2015 | 11-May-2015 | |||||||||||||
| ASTORIA FINANCIAL CORPORATION | |||||||||||||||||||||
| Security |
| 046265104 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| AF |
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| Meeting Date | 27-May-2015 |
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| ISIN |
| US0462651045 |
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| Agenda | 934180148 - Management | |||||||||||||
| Record Date |
| 30-Mar-2015 |
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| Holding Recon Date | 30-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 26-May-2015 |
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| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | MONTE N. REDMAN |
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| For | For |
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| 2 | GERARD C. KEEGAN |
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| For | For |
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| 3 | PATRICIA M. NAZEMETZ |
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| For | For |
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| 2. | THE APPROVAL, ON A NON-BINDING BASIS, |
| Management | Against | Against |
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| 3. | THE RATIFICATION OF THE APPOINTMENT |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 23,500 | 0 | 11-May-2015 | 28-May-2015 | |||||||||||||
| TAYLOR MORRISON HOME CORP (TMHC) | |||||||||||||||||||||
| Security |
| 87724P106 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| TMHC |
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| Meeting Date | 27-May-2015 |
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| ISIN |
| US87724P1066 |
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| Agenda | 934182469 - Management | |||||||||||||
| Record Date |
| 31-Mar-2015 |
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| Holding Recon Date | 31-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 26-May-2015 |
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| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | JOHN BRADY |
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| Withheld | Against |
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| Comments: | Board is not majority independent. | |||||||||||||||||
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| 2 | JOE S. HOUSSIAN |
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| Withheld | Against |
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| Comments: | Board is not majority independent. | |||||||||||||||||
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| 3 | DAVID MERRITT |
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| For | For |
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| 4 | JAMES SHOLEM |
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| Withheld | Against |
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| Comments: | Board is not majority independent. | |||||||||||||||||
| 2. | ADVISORY VOTE TO APPROVE THE |
| Management | For | For |
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| 3. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 19,430 | 0 | 18-May-2015 | 28-May-2015 | |||||||||||||
| POLYCOM, INC. | |||||||||||||||||||||
| Security |
| 73172K104 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| PLCM |
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| Meeting Date | 27-May-2015 |
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| ISIN |
| US73172K1043 |
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| Agenda | 934190721 - Management | |||||||||||||
| Record Date |
| 07-Apr-2015 |
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| Holding Recon Date | 07-Apr-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 26-May-2015 |
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| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1.1 | ELECTION OF DIRECTOR: PETER A. LEAV |
| Management | For | For |
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| 1.2 | ELECTION OF DIRECTOR: BETSY S. ATKINS |
| Management | For | For |
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| 1.3 | ELECTION OF DIRECTOR: MARTHA H. BEJAR |
| Management | For | For |
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| 1.4 | ELECTION OF DIRECTOR: ROBERT J. |
| Management | For | For |
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| 1.5 | ELECTION OF DIRECTOR: JOHN A. KELLEY, |
| Management | For | For |
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| 1.6 | ELECTION OF DIRECTOR: D. SCOTT |
| Management | For | For |
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| 1.7 | ELECTION OF DIRECTOR: KEVIN T. PARKER |
| Management | For | For |
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| 2. | TO APPROVE AN AMENDMENT TO THE 2011 |
| Management | For | For |
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| 3. | TO APPROVE, BY A NON-BINDING ADVISORY |
| Management | For | For |
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| 4. | TO RATIFY THE APPOINTMENT OF |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 22,780 | 0 | 12-May-2015 | 28-May-2015 | |||||||||||||
| HANMI FINANCIAL CORPORATION | |||||||||||||||||||||
| Security |
| 410495204 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| HAFC |
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| Meeting Date | 27-May-2015 |
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| ISIN |
| US4104952043 |
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| Agenda | 934202324 - Management | |||||||||||||
| Record Date |
| 01-Apr-2015 |
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| Holding Recon Date | 01-Apr-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 26-May-2015 |
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| Item | Proposal |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | I JOON AHN |
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| For | For |
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| 2 | JOHN J. AHN |
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| For | For |
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| 3 | CHRISTIE K. CHU |
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| For | For |
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| 4 | JOHN A. HALL |
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| For | For |
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| 5 | PAUL SEON-HONG KIM |
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| For | For |
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| 6 | C.G. KUM |
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| For | For |
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| 7 | JOON HYUNG LEE |
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| For | For |
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| 8 | JOSEPH K. RHO |
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| For | For |
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| 9 | DAVID L. ROSENBLUM |
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| For | For |
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| 2. | ADVISORY (NON-BINDING) RESOLUTION TO |
| Management | For | For |
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| 3. | RATIFICATION OF INDEPENDENT |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 15,627 | 0 | 13-May-2015 | 28-May-2015 | |||||||||||||
| DUCOMMUN INCORPORATED | |||||||||||||||||||||
| Security |
| 264147109 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| DCO |
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| Meeting Date | 27-May-2015 |
| ||||||||||||
| ISIN |
| US2641471097 |
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| Agenda | 934202970 - Management | |||||||||||||
| Record Date |
| 09-Apr-2015 |
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| Holding Recon Date | 09-Apr-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 26-May-2015 |
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| Item | Proposal |
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| 1. | DIRECTOR |
| Management |
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| 1 | GREGORY S. CHURCHILL |
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| For | For |
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| 2 | ANTHONY J. REARDON |
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| For | For |
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| 2. | ADVISORY RESOLUTION ON NAMED |
| Management | For | For |
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| 3. | AMENDED AND RESTATED 2013 STOCK |
| Management | For | For |
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| 4. | RATIFICATION OF THE SELECTION OF |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 10,840 | 0 | 12-May-2015 | 28-May-2015 | |||||||||||||
| BIG LOTS, INC. | |||||||||||||||||||||
| Security |
| 089302103 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| BIG |
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| Meeting Date | 28-May-2015 |
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| ISIN |
| US0893021032 |
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| Agenda | 934177432 - Management | |||||||||||||
| Record Date |
| 30-Mar-2015 |
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| Holding Recon Date | 30-Mar-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 27-May-2015 |
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| SEDOL(s) |
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| Item | Proposal |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | JEFFREY P. BERGER |
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| For | For |
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| 2 | DAVID J. CAMPISI |
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| For | For |
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| 3 | JAMES R. CHAMBERS |
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| For | For |
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| 4 | MARLA C. GOTTSCHALK |
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| For | For |
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| 5 | CYNTHIA T. JAMISON |
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| For | For |
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| 6 | PHILIP E. MALLOTT |
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| For | For |
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| 7 | NANCY A. REARDON |
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| For | For |
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| 8 | WENDY L. SCHOPPERT |
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| For | For |
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| 9 | RUSSELL E. SOLT |
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| For | For |
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| 2. | THE APPROVAL OF THE COMPENSATION OF |
| Management | For | For |
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| 3. | THE RATIFICATION OF THE APPOINTMENT |
| Management | For | For |
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| 4. | THE APPROVAL OF AN AMENDMENT TO BIG |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 6,330 | 0 | 13-May-2015 | 29-May-2015 | |||||||||||||
| WINTRUST FINANCIAL CORPORATION | |||||||||||||||||||||
| Security |
| 97650W108 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| WTFC |
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| Meeting Date | 28-May-2015 |
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| ISIN |
| US97650W1080 |
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| Agenda | 934188699 - Management | |||||||||||||
| Record Date |
| 09-Apr-2015 |
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| Holding Recon Date | 09-Apr-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 27-May-2015 |
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| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1A. | ELECTION OF DIRECTOR: PETER D. CRIST |
| Management | For | For |
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| 1B. | ELECTION OF DIRECTOR: BRUCE K. |
| Management | For | For |
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| 1C. | ELECTION OF DIRECTOR: JOSEPH F. |
| Management | For | For |
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| 1D. | ELECTION OF DIRECTOR: ZED S. FRANCIS III |
| Management | For | For |
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| 1E. | ELECTION OF DIRECTOR: MARLA F. GLABE |
| Management | For | For |
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| 1F. | ELECTION OF DIRECTOR: H. PATRICK |
| Management | For | For |
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| 1G. | ELECTION OF DIRECTOR: SCOTT K. |
| Management | For | For |
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| 1H. | ELECTION OF DIRECTOR: CHARLES H. |
| Management | For | For |
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| 1I. | ELECTION OF DIRECTOR: ALBIN F. |
| Management | For | For |
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| 1J. | ELECTION OF DIRECTOR: CHRISTOPHER J. |
| Management | For | For |
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| 1K. | ELECTION OF DIRECTOR: INGRID S. |
| Management | For | For |
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| 1L. | ELECTION OF DIRECTOR: GARY D. "JOE" |
| Management | For | For |
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| 1M. | ELECTION OF DIRECTOR: SHEILA G. TALTON |
| Management | For | For |
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| 1N. | ELECTION OF DIRECTOR: EDWARD J. |
| Management | For | For |
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| 2. | PROPOSAL TO APPROVE ON AN ADVISORY |
| Management | For | For |
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| 3. | PROPOSAL TO ADOPT OF THE 2015 STOCK |
| Management | For | For |
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| 4. | PROPOSAL TO RATIFY THE APPOINTMENT |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 7,503 | 0 | 13-May-2015 | 29-May-2015 | |||||||||||||
| NORTHWEST NATURAL GAS COMPANY | |||||||||||||||||||||
| Security |
| 667655104 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| NWN |
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| Meeting Date | 28-May-2015 |
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| ISIN |
| US6676551046 |
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| Agenda | 934189944 - Management | |||||||||||||
| Record Date |
| 09-Apr-2015 |
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| Holding Recon Date | 09-Apr-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 27-May-2015 |
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| SEDOL(s) |
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| Quick Code |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | TIMOTHY P. BOYLE |
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| For | For |
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| 2 | MARK S. DODSON |
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| For | For |
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| 3 | GREGG S. KANTOR |
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| For | For |
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| 4 | MALIA H. WASSON |
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| For | For |
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| 2. | ADVISORY VOTE TO APPROVE NAMED |
| Management | For | For |
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| 3. | THE RATIFICATION OF THE APPOINTMENT |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 6,200 | 0 | 13-May-2015 | 29-May-2015 | |||||||||||||
| BANCFIRST CORPORATION | |||||||||||||||||||||
| Security |
| 05945F103 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| BANF |
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| Meeting Date | 28-May-2015 |
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| ISIN |
| US05945F1030 |
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| Agenda | 934203302 - Management | |||||||||||||
| Record Date |
| 09-Apr-2015 |
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| Holding Recon Date | 09-Apr-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 27-May-2015 |
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| SEDOL(s) |
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| Item | Proposal |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | DENNIS L. BRAND |
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| For | For |
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| 2 | C.L. CRAIG, JR. |
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| For | For |
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| 3 | WILLIAM H. CRAWFORD |
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| For | For |
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| 4 | JAMES R. DANIEL |
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| For | For |
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| 5 | F. FORD DRUMMOND |
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| For | For |
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| 6 | K. GORDON GREER |
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| For | For |
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| 7 | DR. D.B. HALVERSTADT |
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| For | For |
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| 8 | WILLIAM O. JOHNSTONE |
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| For | For |
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| 9 | DAVE R. LOPEZ |
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| For | For |
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| 10 | J. RALPH MCCALMONT |
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| For | For |
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| 11 | TOM H. MCCASLAND III |
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| 12 | RONALD J. NORICK |
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| 13 | PAUL B. ODOM. JR. |
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| 14 | DAVID E. RAINBOLT |
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| For | For |
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| 15 | H.E. RAINBOLT |
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| For | For |
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| 16 | MICHAEL S. SAMIS |
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| For | For |
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| 17 | NATALIE SHIRLEY |
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| For | For |
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| 18 | MICHAEL K. WALLACE |
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| For | For |
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| 19 | GREGORY WEDEL |
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| For | For |
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| 20 | G. RAINEY WILLIAMS, JR. |
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| For | For |
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| 2. | TO RATIFY BKD LLP AS INDEPENDENT |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 2,200 | 0 | 12-May-2015 | 29-May-2015 | |||||||||||||
| HOMESTREET, INC. | |||||||||||||||||||||
| Security |
| 43785V102 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| HMST |
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| Meeting Date | 28-May-2015 |
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| ISIN |
| US43785V1026 |
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| Agenda | 934210890 - Management | |||||||||||||
| Record Date |
| 23-Apr-2015 |
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| Holding Recon Date | 23-Apr-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 27-May-2015 |
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| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1.1 | ELECTION OF CLASS I DIRECTOR TO SERVE |
| Management | For | For |
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| 1.2 | ELECTION OF CLASS I DIRECTOR TO SERVE |
| Management | For | For |
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| 1.3 | ELECTION OF CLASS I DIRECTOR TO SERVE |
| Management | For | For |
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| 1.4 | ELECTION OF CLASS II DIRECTOR TO SERVE |
| Management | For | For |
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| 1.5 | ELECTION OF CLASS II DIRECTOR TO SERVE |
| Management | For | For |
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| 2. | TO RATIFY THE APPOINTMENT OF DELOITTE |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 9,500 | 0 | 07-May-2015 | 29-May-2015 | |||||||||||||
| OM GROUP, INC. | |||||||||||||||||||||
| Security |
| 670872100 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| OMG |
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| Meeting Date | 01-Jun-2015 |
| ||||||||||||
| ISIN |
| US6708721005 |
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| Agenda | 934200647 - Management | |||||||||||||
| Record Date |
| 13-Apr-2015 |
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| Holding Recon Date | 13-Apr-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 29-May-2015 |
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| SEDOL(s) |
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| Item | Proposal |
| Proposed |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | CARL R. CHRISTENSON |
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| For | For |
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| 2 | JOSEPH M. GINGO |
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| For | For |
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| 3 | DAVID A. LORBER |
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| For | For |
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| 2. | APPOINTMENT OF INDEPENDENT |
| Management | For | For |
|
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| 3. | ADVISORY VOTE ON COMPENSATION OF |
| Management | For | For |
|
| ||||||||||||||
| Account |
|
| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 11,815 | 0 | 15-May-2015 | 02-Jun-2015 | |||||||||||||
| NETGEAR, INC. | |||||||||||||||||||||
| Security |
| 64111Q104 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| NTGR |
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|
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| Meeting Date | 02-Jun-2015 |
| ||||||||||||
| ISIN |
| US64111Q1040 |
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| Agenda | 934194806 - Management | |||||||||||||
| Record Date |
| 06-Apr-2015 |
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| Holding Recon Date | 06-Apr-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 01-Jun-2015 |
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| SEDOL(s) |
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| Item | Proposal |
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| Vote | For/Against |
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| 1. | DIRECTOR |
| Management |
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| 1 | PATRICK C.S. LO |
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| 2 | J.E. CARTER-MILLER |
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| For | For |
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| 3 | RALPH E. FAISON |
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| For | For |
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| 4 | A. TIMOTHY GODWIN |
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| For | For |
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| 5 | JEF T. GRAHAM |
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| 6 | GREGORY J. ROSSMANN |
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| For | For |
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| 7 | BARBARA V. SCHERER |
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| For | For |
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| 8 | JULIE A. SHIMER |
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| For | For |
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| 9 | THOMAS H. WAECHTER |
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| For | For |
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| 2 | PROPOSAL TO RATIFY THE APPOINTMENT |
| Management | For | For |
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| 3 | PROPOSAL TO APPROVE, ON A NON- |
| Management | For | For |
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| 4 | PROPOSAL TO APPROVE AMENDMENTS TO |
| Management | For | For |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 8,529 | 0 | 15-May-2015 | 03-Jun-2015 | |||||||||||||
| CHECKPOINT SYSTEMS, INC. | |||||||||||||||||||||
| Security |
| 162825103 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| CKP |
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| Meeting Date | 03-Jun-2015 |
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| ISIN |
| US1628251035 |
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| Agenda | 934205217 - Management | |||||||||||||
| Record Date |
| 15-Apr-2015 |
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| Holding Recon Date | 15-Apr-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 02-Jun-2015 |
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| 1. | DIRECTOR |
| Management |
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| 1 | GEORGE BABICH, JR. |
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| 2 | JULIE S. ENGLAND |
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| For | For |
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| 2. | TO APPROVE THE CHECKPOINT SYSTEMS, |
| Management | For | For |
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| 3. | TO APPROVE THE CHECKPOINT SYSTEMS, |
| Management | For | For |
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| 4. | NON-BINDING ADVISORY VOTE TO APPROVE |
| Management | For | For |
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| 5. | TO RATIFY THE APPOINTMENT OF THE |
| Management | For | For |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 10,500 | 0 | 18-May-2015 | 04-Jun-2015 | |||||||||||||
| AMERICAN EQUITY INVESTMENT LIFE HLDG CO | |||||||||||||||||||||
| Security |
| 025676206 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| AEL |
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| Meeting Date | 04-Jun-2015 |
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| ISIN |
| US0256762065 |
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| Agenda | 934192244 - Management | |||||||||||||
| Record Date |
| 10-Apr-2015 |
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| Holding Recon Date | 10-Apr-2015 |
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| / | United States |
| Vote Deadline Date | 03-Jun-2015 |
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| Item | Proposal |
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| 1. | DIRECTOR |
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| 1 | DAVID S. MULCAHY |
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| For | For |
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| 2 | DAVID J. NOBLE |
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| For | For |
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| 3 | A.J. STRICKLAND, III |
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| For | For |
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| 4 | HARLEY A. WHITFIELD, SR |
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| For | For |
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| 2. | TO APPROVE THE AMENDED AND |
| Management | For | For |
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| 3. | TO RATIFY THE APPOINTMENT OF KPMG LLP |
| Management | For | For |
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| 4. | TO APPROVE, ON AN ADVISORY BASIS, THE |
| Management | For | For |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 12,917 | 0 | 19-May-2015 | 05-Jun-2015 | |||||||||||||
| AMERICAN EAGLE OUTFITTERS, INC. | |||||||||||||||||||||
| Security |
| 02553E106 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| AEO |
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| Meeting Date | 04-Jun-2015 |
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| ISIN |
| US02553E1064 |
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| Agenda | 934192662 - Management | |||||||||||||
| Record Date |
| 06-Apr-2015 |
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| Holding Recon Date | 06-Apr-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 03-Jun-2015 |
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| Item | Proposal |
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| 1.1 | ELECTION OF DIRECTOR: JANICE E. PAGE |
| Management | For | For |
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| 1.2 | ELECTION OF DIRECTOR: DAVID M. SABLE |
| Management | For | For |
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| 1.3 | ELECTION OF DIRECTOR: NOEL J. SPIEGEL |
| Management | For | For |
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| 2. | RATIFY THE APPOINTMENT OF ERNST & |
| Management | For | For |
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| 3. | HOLD AN ADVISORY VOTE ON THE |
| Management | For | For |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 19,830 | 0 | 19-May-2015 | 05-Jun-2015 | |||||||||||||
| PENNSYLVANIA REAL ESTATE INVESTMENT TR | |||||||||||||||||||||
| Security |
| 709102107 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| PEI |
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| Meeting Date | 04-Jun-2015 |
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| ISIN |
| US7091021078 |
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| Agenda | 934206776 - Management | |||||||||||||
| Record Date |
| 06-Apr-2015 |
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| Holding Recon Date | 06-Apr-2015 |
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| / | United States |
| Vote Deadline Date | 03-Jun-2015 |
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| 1. | DIRECTOR |
| Management |
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| 1 | JOSEPH F. CORADINO |
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| For | For |
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| 2 | M. WALTER D'ALESSIO |
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| For | For |
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| 3 | MICHAEL J. DEMARCO |
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| For | For |
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| 4 | ROSEMARIE B. GRECO |
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| For | For |
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| 5 | LEONARD I. KORMAN |
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| For | For |
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| 6 | MARK E. PASQUERILLA |
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| For | For |
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| 7 | CHARLES P. PIZZI |
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| For | For |
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| 8 | JOHN J. ROBERTS |
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| For | For |
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| 9 | RONALD RUBIN |
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| For | For |
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| 2. | ADVISORY APPROVAL OF THE COMPANY'S |
| Management | For | For |
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| 3. | RATIFICATION OF THE SELECTION OF KPMG |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 14,700 | 0 | 20-May-2015 | 05-Jun-2015 | |||||||||||||
| MARRIOTT VACATIONS WORLDWIDE CORPORATION | |||||||||||||||||||||
| Security |
| 57164Y107 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| VAC |
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| Meeting Date | 05-Jun-2015 |
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| ISIN |
| US57164Y1073 |
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| Agenda | 934190036 - Management | |||||||||||||
| Record Date |
| 09-Apr-2015 |
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| Holding Recon Date | 09-Apr-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 04-Jun-2015 |
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| Item | Proposal |
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| 1. �� | DIRECTOR |
| Management |
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| 1 | MELQUIADES R. MARTINEZ |
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| For | For |
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| 2 | STEPHEN P. WEISZ |
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| For | For |
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| 2. | APPROVAL OF THE MARRIOTT VACATIONS |
| Management | For | For |
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| 3. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For |
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| 4. | AN ADVISORY RESOLUTION TO APPROVE |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 5,720 | 0 | 21-May-2015 | 08-Jun-2015 | |||||||||||||
| SAGENT PHARMACEUTICALS, INC | |||||||||||||||||||||
| Security |
| 786692103 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| SGNT |
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| Meeting Date | 09-Jun-2015 |
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| ISIN |
| US7866921031 |
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| Agenda | 934207146 - Management | |||||||||||||
| Record Date |
| 15-Apr-2015 |
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| Holding Recon Date | 15-Apr-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 08-Jun-2015 |
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| Item | Proposal |
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| 1. | DIRECTOR |
| Management |
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| 1 | MICHAEL FEKETE* |
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| For | For |
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| 2 | SHLOMO YANAI* |
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| For | For |
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| 3 | ROBERT FLANAGAN# |
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| For | For |
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| 2. | TO RATIFY THE RETENTION OF ERNST & |
| Management | For | For |
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| 3. | AN ADVISORY VOTE TO APPROVE THE |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 10,800 | 0 | 27-May-2015 | 10-Jun-2015 | |||||||||||||
| UNIVERSAL ELECTRONICS INC. | |||||||||||||||||||||
| Security |
| 913483103 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| UEIC |
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| Meeting Date | 11-Jun-2015 |
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| ISIN |
| US9134831034 |
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| Agenda | 934205344 - Management | |||||||||||||
| Record Date |
| 17-Apr-2015 |
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| Holding Recon Date | 17-Apr-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 10-Jun-2015 |
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| 1. | DIRECTOR |
| Management |
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| 1 | PAUL D. ARLING |
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| For | For |
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| 2. | SAY ON PAY - AN ADVISORY VOTE ON THE |
| Management | For | For |
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| 3. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For |
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| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 6,317 | 0 | 28-May-2015 | 12-Jun-2015 | |||||||||||||
| ATLANTIC TELE-NETWORK, INC. | |||||||||||||||||||||
| Security |
| 049079205 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| ATNI |
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| Meeting Date | 11-Jun-2015 |
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| ISIN |
| US0490792050 |
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| Agenda | 934207211 - Management | |||||||||||||
| Record Date |
| 20-Apr-2015 |
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| Holding Recon Date | 20-Apr-2015 |
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| / | United States |
| Vote Deadline Date | 10-Jun-2015 |
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| 1. | DIRECTOR |
| Management |
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| 1 | MARTIN L. BUDD |
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| For | For |
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| 2 | MICHAEL T. FLYNN |
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| For | For |
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| 3 | LIANE J. PELLETIER |
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| For | For |
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| 4 | CORNELIUS B. PRIOR, JR. |
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| For | For |
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| 5 | MICHAEL T. PRIOR |
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| For | For |
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| 6 | CHARLES J. ROESSLEIN |
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| For | For |
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| 2. | RATIFICATION OF THE SELECTION OF |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 4,540 | 0 | 27-May-2015 | 12-Jun-2015 | |||||||||||||
| STAGE STORES, INC. | |||||||||||||||||||||
| Security |
| 85254C305 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| SSI |
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| Meeting Date | 11-Jun-2015 |
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| ISIN |
| US85254C3051 |
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| Agenda | 934208693 - Management | |||||||||||||
| Record Date |
| 13-Apr-2015 |
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| Holding Recon Date | 13-Apr-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 10-Jun-2015 |
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| Item | Proposal |
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| 1A. | ELECTION OF DIRECTOR: ALAN J. BAROCAS |
| Management | For | For |
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| 1B. | ELECTION OF DIRECTOR: ELAINE D. |
| Management | For | For |
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| 1C. | ELECTION OF DIRECTOR: DIANE M. ELLIS |
| Management | For | For |
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| 1D. | ELECTION OF DIRECTOR: MICHAEL L. |
| Management | For | For |
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| 1E. | ELECTION OF DIRECTOR: GABRIELLE E. |
| Management | For | For |
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| 1F. | ELECTION OF DIRECTOR: EARL J. |
| Management | For | For |
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| 1G. | ELECTION OF DIRECTOR: LISA R. KRANC |
| Management | For | For |
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| 1H. | ELECTION OF DIRECTOR: WILLIAM J. |
| Management | For | For |
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| 1I. | ELECTION OF DIRECTOR: C. CLAYTON |
| Management | For | For |
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| 1J. | ELECTION OF DIRECTOR: RALPH P. |
| Management | For | For |
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| 2. | APPROVAL OF THE STAGE STORES |
| Management | For | For |
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| 3. | ADVISORY VOTE TO APPROVE NAMED |
| Management | For | For |
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| 4. | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 13,500 | 0 | 29-May-2015 | 12-Jun-2015 | |||||||||||||
| SUMMIT HOTEL PROPERTIES INC | |||||||||||||||||||||
| Security |
| 866082100 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| INN |
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| Meeting Date | 15-Jun-2015 |
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| ISIN |
| US8660821005 |
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| Agenda | 934207514 - Management | |||||||||||||
| Record Date |
| 14-Apr-2015 |
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| Holding Recon Date | 14-Apr-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 12-Jun-2015 |
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| 1. | DIRECTOR |
| Management |
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| 1 | KERRY W. BOEKELHEIDE |
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| For | For |
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| 2 | DANIEL P. HANSEN |
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| For | For |
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| 3 | BJORN R.L. HANSON |
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| 4 | JEFFREY W. JONES |
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| For | For |
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| 5 | KENNETH J. KAY |
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| For | For |
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| 6 | THOMAS W. STOREY |
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| For | For |
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| 2. | RATIFY THE APPOINTMENT OF ERNST & |
| Management | For | For |
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| 3. | APPROVE AN ADVISORY VOTE ON |
| Management | For | For |
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| 4. | APPROVE AN AMENDMENT AND |
| Management | For | For |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 25,499 | 0 | 29-May-2015 | 16-Jun-2015 | |||||||||||||
| MANNING & NAPIER INC. | |||||||||||||||||||||
| Security |
| 56382Q102 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| MN |
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| Meeting Date | 17-Jun-2015 |
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| ISIN |
| US56382Q1022 |
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| Agenda | 934207223 - Management | |||||||||||||
| Record Date |
| 21-Apr-2015 |
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| Holding Recon Date | 21-Apr-2015 |
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| / | United States |
| Vote Deadline Date | 16-Jun-2015 |
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| Item | Proposal |
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| 1. | DIRECTOR |
| Management |
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| 1 | WILLIAM MANNING |
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| For | For |
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| 2 | PATRICK CUNNINGHAM |
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| For | For |
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| 3 | RICHARD GOLDBERG |
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| For | For |
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| 4 | BARBARA GOODSTEIN |
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| For | For |
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| 5 | RICHARD M. HURWITZ |
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| For | For |
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| 6 | EDWARD J. PETTINELLA |
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| For | For |
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| 7 | ROBERT M. ZAK |
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| For | For |
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| 2 | RATIFICATION OF THE APPOINTMENT OF |
| Management | For | For |
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| 3 | ADVISORY (NON-BINDING) VOTE |
| Management | Against | Against |
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| 4 | ADVISORY (NON-BINDING) VOTE |
| Management | 1 Year | For |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 12,383 | 0 | 04-Jun-2015 | 18-Jun-2015 | |||||||||||||
| PHARMERICA CORPORATION | |||||||||||||||||||||
| Security |
| 71714F104 |
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| Meeting Type | Annual | |||||||||||||
| Ticker Symbol |
| PMC |
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| Meeting Date | 19-Jun-2015 |
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| ISIN |
| US71714F1049 |
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| Agenda | 934213923 - Management | |||||||||||||
| Record Date |
| 24-Apr-2015 |
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| Holding Recon Date | 24-Apr-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 18-Jun-2015 |
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| 1. | DIRECTOR |
| Management |
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| 1 | GREGORY S. WEISHAR |
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| For | For |
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| 2 | W. ROBERT DAHL, JR. |
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| For | For |
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| 3 | FRANK E. COLLINS, ESQ. |
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| For | For |
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| 4 | THOMAS P. MAC MAHON |
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| For | For |
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| 5 | MARJORIE W. DORR |
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| For | For |
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| 6 | THOMAS P. GERRITY, PH.D |
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| For | For |
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| 7 | ROBERT A. OAKLEY, PH.D. |
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| For | For |
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| 8 | GEOFFREY G. MEYERS |
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| For | For |
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| 9 | PATRICK G. LEPORE |
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| For | For |
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| 2 | PROPOSAL TO RATIFY THE APPOINTMENT |
| Management | For | For |
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| 3 | ADVISORY VOTE TO APPROVE NAMED |
| Management | For | For |
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| 4 | APPROVE AND ADOPT THE PHARMERICA |
| Management | Against | Against |
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| Account |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 11,970 | 0 | 05-Jun-2015 | 22-Jun-2015 | |||||||||||||
| ENDURANCE SPECIALTY HOLDINGS LTD. | |||||||||||||||||||||
| Security |
| G30397106 |
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| Meeting Type | Special | |||||||||||||
| Ticker Symbol |
| ENH |
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| Meeting Date | 30-Jun-2015 |
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| ISIN |
| BMG303971060 |
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| Agenda | 934241174 - Management | |||||||||||||
| Record Date |
| 26-May-2015 |
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| Holding Recon Date | 26-May-2015 |
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| City / | Country |
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| / | United States |
| Vote Deadline Date | 29-Jun-2015 |
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| Item | Proposal |
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| 1. | TO APPROVE THE ISSUANCE OF THE |
| Management | For | For |
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| 2. | TO APPROVE THE ADJOURNMENT OF |
| Management | For | For |
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| Account Name |
| Internal | Custodian | Ballot Shares |
| Unavailable |
| Vote | Date | |||||||||
| 19-1588 |
| DUNHAM SMALL | 19-1588 | U.S. BANK | 4,950 | 0 | 17-Jun-2015 | 01-Jul-2015 |
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 20, 2015
* Print the name and title of each signing officer under his or her signature.