UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number: 811-22747
ALPS SERIES TRUST
(Exact name of registrant as specified in charter)
1290 Broadway, Suite 1100, Denver, Colorado 80203
(Address of principal executive offices) (Zip code)
JoEllen L. Legg, Esq., Secretary
ALPS Series Trust
1290 Broadway, Suite 1100
Denver, CO 80203
(Name and address of agent for service)
Registrant’s Telephone Number, including Area Code: (303) 623-2577
Date of fiscal year end: September 30
Date of reporting period: July 1, 2015 - June 30, 2016
Item 1 – Proxy Voting Record.
New Sheridan Developing World Fund
Effective November 16, 2015, the New Sheridan Developing World Fund merged into the Champlain Emerging Markets Fund, a series of The Advisors’ Inner Circle Fund II. The proxy voting activity for the New Sheridan Developing World Fund will be included in The Advisors’ Inner Circle Fund II N-PX filing under CIK 0000890540, File # 811-07102 which is due to be filed by August 31, 2016.
GKE Asian Opportunities Fund
There is no proxy voting activity for the fund, as the fund did not hold any votable positions during the reporting period.
Insignia Macro Fund
There is no proxy voting activity for the fund, as the fund did not hold any votable positions during the reporting period.
Riverside Frontier Markets Fund
There is no proxy voting activity for the fund, as the fund did not hold any votable positions during the reporting period.
Cognios Market Neutral Large Cap Fund
Investment Company Report | ||||||||||||||||
3M COMPANY | ||||||||||||||||
Security | 88579Y101 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | MMM | Meeting Date | 10-May-2016 | |||||||||||||
ISIN | US88579Y1010 | Agenda | 934345756 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | TO ELECT MEMBER TO THE BOARD OF DIRECTORS, EACH FOR A TERM OF ONE YEAR: SONDRA L. BARBOUR | Management | For | For | ||||||||||||
1B. | TO ELECT MEMBER TO THE BOARD OF DIRECTORS, EACH FOR A TERM OF ONE YEAR: THOMAS "TONY" K. BROWN | Management | For | For | ||||||||||||
1C. | TO ELECT MEMBER TO THE BOARD OF DIRECTORS, EACH FOR A TERM OF ONE YEAR: VANCE D. COFFMAN | Management | For | For | ||||||||||||
1D. | TO ELECT MEMBER TO THE BOARD OF DIRECTORS, EACH FOR A TERM OF ONE YEAR: DAVID B. DILLON | Management | For | For | ||||||||||||
1E. | TO ELECT MEMBER TO THE BOARD OF DIRECTORS, EACH FOR A TERM OF ONE YEAR: MICHAEL L. ESKEW | Management | For | For | ||||||||||||
1F. | TO ELECT MEMBER TO THE BOARD OF DIRECTORS, EACH FOR A TERM OF ONE YEAR: HERBERT L. HENKEL | Management | For | For | ||||||||||||
1G. | TO ELECT MEMBER TO THE BOARD OF DIRECTORS, EACH FOR A TERM OF ONE YEAR: MUHTAR KENT | Management | For | For | ||||||||||||
1H. | TO ELECT MEMBER TO THE BOARD OF DIRECTORS, EACH FOR A TERM OF ONE YEAR: EDWARD M. LIDDY | Management | For | For | ||||||||||||
1I. | TO ELECT MEMBER TO THE BOARD OF DIRECTORS, EACH FOR A TERM OF ONE YEAR: GREGORY R. PAGE | Management | For | For | ||||||||||||
1J. | TO ELECT MEMBER TO THE BOARD OF DIRECTORS, EACH FOR A TERM OF ONE YEAR: INGE G. THULIN | Management | For | For | ||||||||||||
1K. | TO ELECT MEMBER TO THE BOARD OF DIRECTORS, EACH FOR A TERM OF ONE YEAR: ROBERT J. ULRICH | Management | For | For | ||||||||||||
1L. | TO ELECT MEMBER TO THE BOARD OF DIRECTORS, EACH FOR A TERM OF ONE YEAR: PATRICIA A. WOERTZ | Management | For | For | ||||||||||||
2. | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS 3M'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||||||
3. | ADVISORY APPROVAL OF EXECUTIVE COMPENSATION. | Management | For | For | ||||||||||||
4. | APPROVAL OF THE 2016 LONG-TERM INCENTIVE PLAN. | Management | For | For | ||||||||||||
5. | STOCKHOLDER PROPOSAL ON SPECIAL MEETINGS. | Shareholder | Against | For | ||||||||||||
6. | STOCKHOLDER PROPOSAL ON SHARE REPURCHASE PROGRAM AND EXECUTIVE COMPENSATION. | Shareholder | Against | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 10,065 | 0 | 24-Mar-2016 | 11-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 10,910 | 0 | 24-Mar-2016 | 11-May-2016 | |||||||||
ALTRIA GROUP, INC. | ||||||||||||||||
Security | 02209S103 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | MO | Meeting Date | 19-May-2016 | |||||||||||||
ISIN | US02209S1033 | Agenda | 934367497 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: GERALD L. BALILES | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: MARTIN J. BARRINGTON | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: JOHN T. CASTEEN III | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: DINYAR S. DEVITRE | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: THOMAS F. FARRELL II | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: THOMAS W. JONES | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: DEBRA J. KELLY-ENNIS | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: W. LEO KIELY III | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: KATHRYN B. MCQUADE | Management | For | For | ||||||||||||
1J. | ELECTION OF DIRECTOR: GEORGE MUNOZ | Management | For | For | ||||||||||||
1K. | ELECTION OF DIRECTOR: NABIL Y. SAKKAB | Management | For | For | ||||||||||||
2. | RATIFICATION OF THE SELECTION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||||||
3. | NON-BINDING ADVISORY VOTE TO APPROVE THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS | Management | For | For | ||||||||||||
4. | SHAREHOLDER PROPOSAL - REPORT ON TOBACCO PRODUCT CONSTITUENTS AND INGREDIENTS AND THEIR POTENTIAL HEALTH CONSEQUENCES | Shareholder | Against | For | ||||||||||||
5. | SHAREHOLDER PROPOSAL - PARTICIPATION IN MEDIATION OF ANY ALLEGED HUMAN RIGHTS VIOLATIONS INVOLVING ALTRIA'S OPERATIONS | Shareholder | Against | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 13,836 | 0 | 08-Apr-2016 | 20-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 14,918 | 0 | 08-Apr-2016 | 20-May-2016 | |||||||||
AMERISOURCEBERGEN CORPORATION | ||||||||||||||||
Security | 03073E105 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | ABC | Meeting Date | 03-Mar-2016 | |||||||||||||
ISIN | US03073E1055 | Agenda | 934320425 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: ORNELLA BARRA | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: STEVEN H. COLLIS | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: DOUGLAS R. CONANT | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: D. MARK DURCAN | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: RICHARD W. GOCHNAUER | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: LON R. GREENBERG | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: JANE E. HENNEY, M.D. | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: KATHLEEN W. HYLE | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: MICHAEL J. LONG | Management | For | For | ||||||||||||
1J. | ELECTION OF DIRECTOR: HENRY W. MCGEE | Management | For | For | ||||||||||||
2. | RATIFICATION OF APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2016. | Management | For | For | ||||||||||||
3. | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | ||||||||||||
4. | APPROVAL OF A STOCKHOLDER PROPOSAL REGARDING PROXY ACCESS. | Shareholder | Against | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 442 | 0 | 23-Jan-2016 | 04-Mar-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 579 | 0 | 23-Jan-2016 | 04-Mar-2016 | |||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 45 | 0 | 23-Jan-2016 | 04-Mar-2016 | |||||||||
AMETEK INC. | ||||||||||||||||
Security | 031100100 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | AME | Meeting Date | 04-May-2016 | |||||||||||||
ISIN | US0311001004 | Agenda | 934359349 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1.1 | ELECTION OF DIRECTOR: RUBY R. CHANDY | Management | For | For | ||||||||||||
1.2 | ELECTION OF DIRECTOR: STEVEN W. KOHLHAGEN | Management | For | For | ||||||||||||
2. | APPROVAL OF THE MATERIAL TERMS OF THE PERFORMANCE GOALS IN AMETEK, INC.'S 2011 OMNIBUS INCENTIVE COMPENSATION PLAN. | Management | For | For | ||||||||||||
3. | APPROVAL, BY NON-BINDING ADVISORY VOTE, OF AMETEK, INC. EXECUTIVE COMPENSATION. | Management | For | For | ||||||||||||
4. | RATIFICATION OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 16,910 | 0 | 29-Mar-2016 | 05-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 18,331 | 0 | 29-Mar-2016 | 05-May-2016 | |||||||||
APPLE INC. | ||||||||||||||||
Security | 037833100 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | AAPL | Meeting Date | 26-Feb-2016 | |||||||||||||
ISIN | US0378331005 | Agenda | 934319016 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: JAMES BELL | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: TIM COOK | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: AL GORE | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: BOB IGER | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: ANDREA JUNG | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: ART LEVINSON | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: RON SUGAR | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: SUE WAGNER | Management | For | For | ||||||||||||
2. | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS APPLE'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2016 | Management | For | For | ||||||||||||
3. | AN ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION | Management | For | For | ||||||||||||
4. | APPROVAL OF THE AMENDED AND RESTATED APPLE INC. 2014 EMPLOYEE STOCK PLAN | Management | For | For | ||||||||||||
5. | A SHAREHOLDER PROPOSAL ENTITLED "NET-ZERO GREENHOUSE GAS EMISSIONS BY 2030" | Shareholder | Against | For | ||||||||||||
6. | A SHAREHOLDER PROPOSAL REGARDING DIVERSITY AMONG OUR SENIOR MANAGEMENT AND BOARD OF DIRECTORS | Shareholder | Against | For | ||||||||||||
7. | A SHAREHOLDER PROPOSAL ENTITLED "HUMAN RIGHTS REVIEW - HIGH RISK REGIONS" | Shareholder | Against | For | ||||||||||||
8. | A SHAREHOLDER PROPOSAL ENTITLED "SHAREHOLDER PROXY ACCESS" | Shareholder | Against | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 1,612 | 0 | 07-Jan-2016 | 29-Feb-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 2,115 | 0 | 07-Jan-2016 | 29-Feb-2016 | |||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 163 | 0 | 07-Jan-2016 | 29-Feb-2016 | |||||||||
AUTOZONE, INC. | ||||||||||||||||
Security | 053332102 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | AZO | Meeting Date | 16-Dec-2015 | |||||||||||||
ISIN | US0533321024 | Agenda | 934294086 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A | ELECTION OF DIRECTOR: DOUGLAS H. BROOKS | Management | For | For | ||||||||||||
1B | ELECTION OF DIRECTOR: LINDA A. GOODSPEED | Management | For | For | ||||||||||||
1C | ELECTION OF DIRECTOR: SUE E. GOVE | Management | For | For | ||||||||||||
1D | ELECTION OF DIRECTOR: EARL G. GRAVES, JR. | Management | For | For | ||||||||||||
1E | ELECTION OF DIRECTOR: ENDERSON GUIMARAES | Management | For | For | ||||||||||||
1F | ELECTION OF DIRECTOR: J.R. HYDE, III | Management | For | For | ||||||||||||
1G | ELECTION OF DIRECTOR: D. BRYAN JORDAN | Management | For | For | ||||||||||||
1H | ELECTION OF DIRECTOR: W. ANDREW MCKENNA | Management | For | For | ||||||||||||
1I | ELECTION OF DIRECTOR: GEORGE R. MRKONIC, JR. | Management | For | For | ||||||||||||
1J | ELECTION OF DIRECTOR: LUIS P. NIETO | Management | For | For | ||||||||||||
1K | ELECTION OF DIRECTOR: WILLIAM C. RHODES, III | Management | For | For | ||||||||||||
2 | RATIFICATION OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE 2016 FISCAL YEAR. | Management | For | For | ||||||||||||
3 | APPROVAL OF AMENDED AND RESTATED AUTOZONE, INC. 2011 EQUITY INCENTIVE AWARD PLAN. | Management | For | For | ||||||||||||
4 | APPROVAL OF ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Management | For | For | ||||||||||||
5 | STOCKHOLDER PROPOSAL REGARDING POLITICAL DISCLOSURE AND ACCOUNTABILITY. | Shareholder | Against | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 173 | 0 | 28-Oct-2015 | 17-Dec-2015 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 227 | 0 | 28-Oct-2015 | 17-Dec-2015 | |||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 18 | 0 | 28-Oct-2015 | 17-Dec-2015 | |||||||||
C.H. ROBINSON WORLDWIDE, INC. | ||||||||||||||||
Security | 12541W209 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | CHRW | Meeting Date | 12-May-2016 | |||||||||||||
ISIN | US12541W2098 | Agenda | 934352092 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: SCOTT P. ANDERSON | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: ROBERT EZRILOV | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: WAYNE M. FORTUN | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: MARY J. STEELE GUILFOILE | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: JODEE A. KOZLAK | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: REBECCA KOENIG ROLOFF | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: BRIAN P. SHORT | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: JAMES B. STAKE | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: JOHN P. WIEHOFF | Management | For | For | ||||||||||||
2. | TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||||||
3. | TO APPROVE AMENDMENT TO AND RESTATEMENT OF THE C.H. ROBINSON WORLDWIDE, INC. 2013 EQUITY INCENTIVE PLAN. | Management | For | For | ||||||||||||
4. | RATIFICATION OF THE SELECTION OF DELOITTE & TOUCHE LLP AS THE COMPANY'S INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2016. | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 11,325 | 0 | 02-Apr-2016 | 13-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 12,276 | 0 | 02-Apr-2016 | 13-May-2016 | |||||||||
CAMPBELL SOUP COMPANY | ||||||||||||||||
Security | 134429109 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | CPB | Meeting Date | 18-Nov-2015 | |||||||||||||
ISIN | US1344291091 | Agenda | 934287055 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: BENNETT DORRANCE | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: RANDALL W. LARRIMORE | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: MARC B. LAUTENBACH | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: MARY ALICE D. MALONE | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: SARA MATHEW | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: DENISE M. MORRISON | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: CHARLES R. PERRIN | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: A. BARRY RAND | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: NICK SHREIBER | Management | For | For | ||||||||||||
1J. | ELECTION OF DIRECTOR: TRACEY T. TRAVIS | Management | For | For | ||||||||||||
1K. | ELECTION OF DIRECTOR: ARCHBOLD D. VAN BEUREN | Management | For | For | ||||||||||||
1L. | ELECTION OF DIRECTOR: LES C. VINNEY | Management | For | For | ||||||||||||
2. | RATIFICATION OF APPOINTMENT OF THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||||||
3. | ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Management | For | For | ||||||||||||
4. | APPROVAL OF CAMPBELL SOUP COMPANY 2015 LONG-TERM INCENTIVE PLAN. | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 7,653 | 0 | 10-Oct-2015 | 19-Nov-2015 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 9,787 | 0 | 10-Oct-2015 | 19-Nov-2015 | |||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 786 | 0 | 10-Oct-2015 | 19-Nov-2015 | |||||||||
COACH, INC. | ||||||||||||||||
Security | 189754104 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | COH | Meeting Date | 04-Nov-2015 | |||||||||||||
ISIN | US1897541041 | Agenda | 934281293 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: DAVID DENTON | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: ANDREA GUERRA | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: SUSAN KROPF | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: VICTOR LUIS | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: IVAN MENEZES | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: WILLIAM NUTI | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: STEPHANIE TILENIUS | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: JIDE ZEITLIN | Management | For | For | ||||||||||||
2. | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2016 | Management | For | For | ||||||||||||
3. | APPROVAL, ON A NON-BINDING ADVISORY BASIS, OF THE COMPANY'S EXECUTIVE COMPENSATION AS DISCLOSED IN THE PROXY STATEMENT FOR THE 2015 ANNUAL MEETING | Management | For | For | ||||||||||||
4. | APPROVAL OF THE AMENDED AND RESTATED COACH, INC. 2010 STOCK INCENTIVE PLAN (AMENDED AND RESTATED AS OF SEPTEMBER 18, 2015) | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 15,926 | 0 | 26-Sep-2015 | 05-Nov-2015 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 15,592 | 0 | 26-Sep-2015 | 05-Nov-2015 | |||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 1,296 | 0 | 26-Sep-2015 | 05-Nov-2015 | |||||||||
DANAHER CORPORATION | ||||||||||||||||
Security | 235851102 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | DHR | Meeting Date | 10-May-2016 | |||||||||||||
ISIN | US2358511028 | Agenda | 934373301 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: DONALD J. EHRLICH | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: LINDA HEFNER FILLER | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: THOMAS P. JOYCE, JR. | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: TERI LIST-STOLL | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: WALTER G. LOHR, JR. | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: MITCHELL P. RALES | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: STEVEN M. RALES | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: JOHN T. SCHWIETERS | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: ALAN G. SPOON | Management | For | For | ||||||||||||
1J. | ELECTION OF DIRECTOR: ELIAS A. ZERHOUNI, M.D. | Management | For | For | ||||||||||||
2. | TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS DANAHER'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||||||
3. | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | ||||||||||||
4. | TO ACT UPON A SHAREHOLDER PROPOSAL REQUESTING THAT DANAHER ISSUE A REPORT DISCLOSING ITS POLITICAL EXPENDITURE POLICIES AND DIRECT AND INDIRECT POLITICAL EXPENDITURES. | Shareholder | Against | For | ||||||||||||
5. | TO ACT UPON A SHAREHOLDER PROPOSAL REQUESTING THAT DANAHER ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL) | Shareholder | Against | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 1,915 | 0 | 06-Apr-2016 | 11-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 2,074 | 0 | 06-Apr-2016 | 11-May-2016 | |||||||||
DAVITA HEALTHCARE PARTNERS, INC. | ||||||||||||||||
Security | 23918K108 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | DVA | Meeting Date | 20-Jun-2016 | |||||||||||||
ISIN | US23918K1088 | Agenda | 934419260 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: PAMELA M. ARWAY | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: CHARLES G. BERG | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: CAROL ANTHONY DAVIDSON | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: BARBARA J. DESOER | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: PAUL J. DIAZ | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: PETER T. GRAUER | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: JOHN M. NEHRA | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: WILLIAM L. ROPER | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: KENT J. THIRY | Management | For | For | ||||||||||||
1J. | ELECTION OF DIRECTOR: ROGER J. VALINE | Management | For | For | ||||||||||||
2. | TO RATIFY THE APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2016. | Management | For | For | ||||||||||||
3. | TO HOLD AN ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Management | For | For | ||||||||||||
4. | TO ADOPT AND APPROVE PROPOSED AMENDMENTS TO OUR AMENDED AND RESTATED BYLAWS TO ADOPT PROXY ACCESS. | Management | For | For | ||||||||||||
5. | TO ADOPT AND APPROVE AN AMENDMENT TO THE COMPANY'S EMPLOYEE STOCK PURCHASE PLAN (SEE PROXY STATEMENT FOR FULL PROPOSAL) | Management | For | For | ||||||||||||
6. | TO CONSIDER AND VOTE UPON A STOCKHOLDER PROPOSAL REGARDING WRITTEN CONSENT (SEE PROXY STATEMENT FOR FULL PROPOSAL) | Shareholder | Against | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 34,574 | 0 | 11-May-2016 | 21-Jun-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 33,361 | 0 | 11-May-2016 | 21-Jun-2016 | |||||||||
DELTA AIR LINES, INC. | ||||||||||||||||
Security | 247361702 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | DAL | Meeting Date | 10-Jun-2016 | |||||||||||||
ISIN | US2473617023 | Agenda | 934402025 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: RICHARD H. ANDERSON | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: EDWARD H. BASTIAN | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: FRANCIS S. BLAKE | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: DANIEL A. CARP | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: DAVID G. DEWALT | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: THOMAS E. DONILON | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: WILLIAM H. EASTER III | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: MICKEY P. FORET | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: SHIRLEY C. FRANKLIN | Management | For | For | ||||||||||||
1J. | ELECTION OF DIRECTOR: GEORGE N. MATTSON | Management | For | For | ||||||||||||
1K. | ELECTION OF DIRECTOR: DOUGLAS R. RALPH | Management | For | For | ||||||||||||
1L. | ELECTION OF DIRECTOR: SERGIO A.L. RIAL | Management | For | For | ||||||||||||
1M. | ELECTION OF DIRECTOR: KATHY N. WALLER | Management | For | For | ||||||||||||
1N. | ELECTION OF DIRECTOR: KENNETH B. WOODROW | Management | For | For | ||||||||||||
2. | TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF DELTA'S NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||||||
3. | TO APPROVE THE AMENDMENT AND RESTATEMENT OF DELTA'S PERFORMANCE COMPENSATION PLAN. | Management | For | For | ||||||||||||
4. | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS DELTA'S INDEPENDENT AUDITORS FOR THE YEAR ENDING DECEMBER 31, 2016. | Management | For | For | ||||||||||||
5. | A STOCKHOLDER PROPOSAL FOR SENIOR EXECUTIVES TO RETAIN SIGNIFICANT STOCK. | Shareholder | Against | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 5,955 | 0 | 30-Apr-2016 | 13-Jun-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 5,746 | 0 | 30-Apr-2016 | 13-Jun-2016 | |||||||||
DEVON ENERGY CORPORATION | ||||||||||||||||
Security | 25179M103 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | DVN | Meeting Date | 08-Jun-2016 | |||||||||||||
ISIN | US25179M1036 | Agenda | 934400071 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1. | DIRECTOR | Management | ||||||||||||||
1 | BARBARA M. BAUMANN | For | For | |||||||||||||
2 | JOHN E. BETHANCOURT | For | For | |||||||||||||
3 | DAVID A. HAGER | For | For | |||||||||||||
4 | ROBERT H. HENRY | For | For | |||||||||||||
5 | MICHAEL M. KANOVSKY | For | For | |||||||||||||
6 | ROBERT A. MOSBACHER, JR | For | For | |||||||||||||
7 | DUANE C. RADTKE | For | For | |||||||||||||
8 | MARY P. RICCIARDELLO | For | For | |||||||||||||
9 | JOHN RICHELS | For | For | |||||||||||||
2. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Management | For | For | ||||||||||||
3. | RATIFY THE APPOINTMENT OF THE COMPANY'S INDEPENDENT AUDITORS FOR 2016. | Management | For | For | ||||||||||||
4. | REPORT ON LOBBYING ACTIVITIES RELATED TO ENERGY POLICY AND CLIMATE CHANGE. | Shareholder | Against | For | ||||||||||||
5. | REPORT ON THE IMPACT OF POTENTIAL CLIMATE CHANGE POLICIES. | Shareholder | Against | For | ||||||||||||
6. | REPORT DISCLOSING LOBBYING POLICY AND ACTIVITY. | Shareholder | Against | For | ||||||||||||
7. | REMOVE RESERVE ADDITION METRICS FROM THE DETERMINATION OF EXECUTIVE INCENTIVE COMPENSATION. | Shareholder | Against | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 9,663 | 0 | 28-Apr-2016 | 09-Jun-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 9,282 | 0 | 28-Apr-2016 | 09-Jun-2016 | |||||||||
EMC CORPORATION | ||||||||||||||||
Security | 268648102 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | EMC | Meeting Date | 12-May-2016 | |||||||||||||
ISIN | US2686481027 | Agenda | 934354630 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: DONALD J. CARTY | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: RANDOLPH L. COWEN | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: JAMES S. DISTASIO | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: JOHN R. EGAN | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: WILLIAM D. GREEN | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: JAMI MISCIK | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: PAUL SAGAN | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: LAURA J. SEN | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: JOSEPH M. TUCCI | Management | For | For | ||||||||||||
2. | RATIFICATION OF THE SELECTION BY THE AUDIT COMMITTEE OF PRICEWATERHOUSECOOPERS LLP AS EMC'S INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2016, AS DESCRIBED IN EMC'S PROXY STATEMENT. | Management | For | For | ||||||||||||
3. | ADVISORY APPROVAL OF OUR EXECUTIVE COMPENSATION, AS DESCRIBED IN EMC'S PROXY STATEMENT. | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 30,517 | 0 | 25-Mar-2016 | 13-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 33,082 | 0 | 25-Mar-2016 | 13-May-2016 | |||||||||
ENSCO PLC | ||||||||||||||||
Security | G3157S106 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | ESV | Meeting Date | 23-May-2016 | |||||||||||||
ISIN | GB00B4VLR192 | Agenda | 934379430 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | RE-ELECTION OF DIRECTOR TO SERVE UNTIL THE 2017 ANNUAL GENERAL MEETING: J. RODERICK CLARK | Management | For | For | ||||||||||||
1B. | RE-ELECTION OF DIRECTOR TO SERVE UNTIL THE 2017 ANNUAL GENERAL MEETING: ROXANNE J. DECYK | Management | For | For | ||||||||||||
1C. | RE-ELECTION OF DIRECTOR TO SERVE UNTIL THE 2017 ANNUAL GENERAL MEETING: MARY E. FRANCIS CBE | Management | For | For | ||||||||||||
1D. | RE-ELECTION OF DIRECTOR TO SERVE UNTIL THE 2017 ANNUAL GENERAL MEETING: C. CHRISTOPHER GAUT | Management | For | For | ||||||||||||
1E. | RE-ELECTION OF DIRECTOR TO SERVE UNTIL THE 2017 ANNUAL GENERAL MEETING: GERALD W. HADDOCK | Management | For | For | ||||||||||||
1F. | RE-ELECTION OF DIRECTOR TO SERVE UNTIL THE 2017 ANNUAL GENERAL MEETING: FRANCIS S. KALMAN | Management | For | For | ||||||||||||
1G. | RE-ELECTION OF DIRECTOR TO SERVE UNTIL THE 2017 ANNUAL GENERAL MEETING: KEITH O. RATTIE | Management | For | For | ||||||||||||
1H. | RE-ELECTION OF DIRECTOR TO SERVE UNTIL THE 2017 ANNUAL GENERAL MEETING: PAUL E. ROWSEY, III | Management | For | For | ||||||||||||
1I. | RE-ELECTION OF DIRECTOR TO SERVE UNTIL THE 2017 ANNUAL GENERAL MEETING: CARL G. TROWELL | Management | For | For | ||||||||||||
2. | TO AUTHORISE THE BOARD OF DIRECTORS TO ALLOT SHARES. | Management | For | For | ||||||||||||
3. | TO RATIFY THE AUDIT COMMITTEE'S APPOINTMENT OF KPMG LLP (U.S.) AS OUR U.S. INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDED 31 DECEMBER 2016. | Management | For | For | ||||||||||||
4. | TO APPOINT KPMG LLP (U.K.) AS OUR U.K. STATUTORY AUDITORS UNDER THE U.K. COMPANIES ACT 2006 (TO HOLD OFFICE FROM THE CONCLUSION OF THE ANNUAL GENERAL MEETING OF SHAREHOLDERS UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF SHAREHOLDERS AT WHICH ACCOUNTS ARE LAID BEFORE THE COMPANY). | Management | For | For | ||||||||||||
5. | TO AUTHORISE THE AUDIT COMMITTEE TO DETERMINE OUR U.K. STATUTORY AUDITORS' REMUNERATION. | Management | For | For | ||||||||||||
6. | TO APPROVE AN AMENDMENT TO THE ENSCO 2012 LONG-TERM INCENTIVE PLAN. | Management | For | For | ||||||||||||
7. | A NON-BINDING ADVISORY VOTE TO APPROVE THE DIRECTORS' REMUNERATION REPORT FOR THE YEAR ENDED 31 DECEMBER 2015. | Management | For | For | ||||||||||||
8. | A NON-BINDING ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||||||
9. | A NON-BINDING ADVISORY VOTE TO APPROVE THE REPORTS OF THE AUDITORS AND THE DIRECTORS AND THE U.K. STATUTORY ACCOUNTS FOR THE YEAR ENDED 31 DECEMBER 2015. | Management | For | For | ||||||||||||
10. | TO APPROVE THE DISAPPLICATION OF PRE- EMPTION RIGHTS. | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 23,593 | 0 | 12-Apr-2016 | 24-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 25,440 | 0 | 12-Apr-2016 | 24-May-2016 | |||||||||
EXPRESS SCRIPTS HOLDING COMPANY | ||||||||||||||||
Security | 30219G108 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | ESRX | Meeting Date | 04-May-2016 | |||||||||||||
ISIN | US30219G1085 | Agenda | 934347027 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: MAURA C. BREEN | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: WILLIAM J. DELANEY | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: ELDER GRANGER, MD, MG, USA (RETIRED) | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: NICHOLAS J. LAHOWCHIC | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: THOMAS P. MAC MAHON | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: FRANK MERGENTHALER | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: WOODROW A. MYERS, JR., MD | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: RODERICK A. PALMORE | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: GEORGE PAZ | Management | For | For | ||||||||||||
1J. | ELECTION OF DIRECTOR: WILLIAM L. ROPER, MD, MPH | Management | For | For | ||||||||||||
1K. | ELECTION OF DIRECTOR: SEYMOUR STERNBERG | Management | For | For | ||||||||||||
1L. | ELECTION OF DIRECTOR: TIMOTHY WENTWORTH | Management | For | For | ||||||||||||
2. | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR 2016. | Management | For | For | ||||||||||||
3. | TO APPROVE, BY NON-BINDING VOTE, EXECUTIVE COMPENSATION. | Management | For | For | ||||||||||||
4. | TO APPROVE AND RATIFY THE EXPRESS SCRIPTS HOLDING COMPANY 2016 LONG-TERM INCENTIVE PLAN. | Management | For | For | ||||||||||||
5. | STOCKHOLDER PROPOSAL REGARDING AN INDEPENDENT BOARD CHAIRMAN. | Shareholder | Against | For | ||||||||||||
6. | STOCKHOLDER PROPOSAL REGARDING POLITICAL ACTIVITIES DISCLOSURE. | Shareholder | Against | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 22,774 | 0 | 23-Mar-2016 | 05-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 24,689 | 0 | 23-Mar-2016 | 05-May-2016 | |||||||||
F5 NETWORKS, INC. | ||||||||||||||||
Security | 315616102 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | FFIV | Meeting Date | 10-Mar-2016 | |||||||||||||
ISIN | US3156161024 | Agenda | 934322847 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: A. GARY AMES | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: SANDRA E. BERGERON | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: DEBORAH L. BEVIER | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: JONATHAN C. CHADWICK | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: MICHAEL L. DREYER | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: ALAN J. HIGGINSON | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: PETER S. KLEIN | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: JOHN MCADAM | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: STEPHEN M. SMITH | Management | For | For | ||||||||||||
2. | ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||||||
3. | RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2016. | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 3,674 | 0 | 22-Jan-2016 | 11-Mar-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 4,820 | 0 | 22-Jan-2016 | 11-Mar-2016 | |||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 362 | 0 | 22-Jan-2016 | 11-Mar-2016 | |||||||||
FISERV, INC. | ||||||||||||||||
Security | 337738108 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | FISV | Meeting Date | 18-May-2016 | |||||||||||||
ISIN | US3377381088 | Agenda | 934360479 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1. | DIRECTOR | Management | ||||||||||||||
1 | ALISON DAVIS | For | For | |||||||||||||
2 | CHRISTOPHER M. FLINK | For | For | |||||||||||||
3 | DANIEL P. KEARNEY | For | For | |||||||||||||
4 | DENNIS F. LYNCH | For | For | |||||||||||||
5 | DENIS J. O'LEARY | For | For | |||||||||||||
6 | GLENN M. RENWICK | For | For | |||||||||||||
7 | KIM M. ROBAK | For | For | |||||||||||||
8 | JD SHERMAN | For | For | |||||||||||||
9 | DOYLE R. SIMONS | For | For | |||||||||||||
10 | THOMAS C. WERTHEIMER | For | For | |||||||||||||
11 | JEFFERY W. YABUKI | For | For | |||||||||||||
2. | TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF THE NAMED EXECUTIVE OFFICERS OF FISERV, INC. | Management | For | For | ||||||||||||
3. | TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF FISERV, INC. FOR 2016. | Management | For | For | ||||||||||||
4. | A SHAREHOLDER PROPOSAL ASKING THE BOARD OF DIRECTORS TO ADOPT AND PRESENT FOR SHAREHOLDER APPROVAL A PROXY ACCESS BY- LAW. | Shareholder | Against | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 8,176 | 0 | 06-Apr-2016 | 19-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 8,862 | 0 | 06-Apr-2016 | 19-May-2016 | |||||||||
GAMESTOP CORP. | ||||||||||||||||
Security | 36467W109 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | GME | Meeting Date | 21-Jun-2016 | |||||||||||||
ISIN | US36467W1099 | Agenda | 934417379 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | RE-ELECTION OF DIRECTOR: DANIEL A. DEMATTEO | Management | For | For | ||||||||||||
1B. | RE-ELECTION OF DIRECTOR: J. PAUL RAINES | Management | For | For | ||||||||||||
1C. | RE-ELECTION OF DIRECTOR: JEROME L. DAVIS | Management | For | For | ||||||||||||
1D. | RE-ELECTION OF DIRECTOR: THOMAS N. KELLY JR. | Management | For | For | ||||||||||||
1E. | RE-ELECTION OF DIRECTOR: SHANE S. KIM | Management | For | For | ||||||||||||
1F. | RE-ELECTION OF DIRECTOR: STEVEN R. KOONIN | Management | For | For | ||||||||||||
1G. | RE-ELECTION OF DIRECTOR: STEPHANIE M. SHERN | Management | For | For | ||||||||||||
1H. | RE-ELECTION OF DIRECTOR: GERALD R. SZCZEPANSKI | Management | For | For | ||||||||||||
1I. | RE-ELECTION OF DIRECTOR: KATHY P. VRABECK | Management | For | For | ||||||||||||
1J. | RE-ELECTION OF DIRECTOR: LAWRENCE S. ZILAVY | Management | For | For | ||||||||||||
2. | ADVISORY VOTE ON EXECUTIVE COMPENSATION | Management | For | For | ||||||||||||
3. | RATIFICATION OF APPOINTMENT OF DELOITTE & TOUCHE LLP AS INDEPENDENT, REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL 2016 | Management | For | For | ||||||||||||
4. | AMEND AND RESTATE THE CERTIFICATE OF INCORPORATION TO CHANGE THE SHAREHOLDER VOTING REQUIREMENT FOR REMOVAL OF DIRECTORS FROM A SUPERMAJORITY (80%) OF SHAREHOLDERS AND ONLY FOR CAUSE, TO A SIMPLE MAJORITY OF SHAREHOLDERS WITH OR WITHOUT CAUSE, AND TO MAKE OTHER TECHNICAL AND CONFORMING CHANGES | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 9,023 | 0 | 07-May-2016 | 22-Jun-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 8,707 | 0 | 07-May-2016 | 22-Jun-2016 | |||||||||
GENERAL MILLS, INC. | ||||||||||||||||
Security | 370334104 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | GIS | Meeting Date | 29-Sep-2015 | |||||||||||||
ISIN | US3703341046 | Agenda | 934268067 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A) | ELECTION OF DIRECTOR: BRADBURY H. ANDERSON | Management | For | For | ||||||||||||
1B) | ELECTION OF DIRECTOR: R. KERRY CLARK | Management | For | For | ||||||||||||
1C) | ELECTION OF DIRECTOR: DAVID M. CORDANI | Management | For | For | ||||||||||||
1D) | ELECTION OF DIRECTOR: PAUL DANOS | Management | For | For | ||||||||||||
1E) | ELECTION OF DIRECTOR: HENRIETTA H. FORE | Management | For | For | ||||||||||||
1F) | ELECTION OF DIRECTOR: HEIDI G. MILLER | Management | For | For | ||||||||||||
1G) | ELECTION OF DIRECTOR: STEVE ODLAND | Management | For | For | ||||||||||||
1H) | ELECTION OF DIRECTOR: KENDALL J. POWELL | Management | For | For | ||||||||||||
1I) | ELECTION OF DIRECTOR: MICHAEL D. ROSE | Management | For | For | ||||||||||||
1J) | ELECTION OF DIRECTOR: ROBERT L. RYAN | Management | For | For | ||||||||||||
1K) | ELECTION OF DIRECTOR: DOROTHY A. TERRELL | Management | For | For | ||||||||||||
2. | CAST AN ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Management | For | For | ||||||||||||
3. | RATIFY THE APPOINTMENT OF KPMG LLP AS GENERAL MILLS' INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 8,645 | 0 | 18-Aug-2015 | 30-Sep-2015 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 6,620 | 0 | 18-Aug-2015 | 30-Sep-2015 | |||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 688 | 0 | 18-Aug-2015 | 30-Sep-2015 | |||||||||
GILEAD SCIENCES, INC. | ||||||||||||||||
Security | 375558103 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | GILD | Meeting Date | 11-May-2016 | |||||||||||||
ISIN | US3755581036 | Agenda | 934355567 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: JOHN F. COGAN, PH.D. | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: KEVIN E. LOFTON | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: JOHN W. MADIGAN | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: JOHN C. MARTIN, PH.D. | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: JOHN F. MILLIGAN, PH.D. | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: NICHOLAS G. MOORE | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: RICHARD J. WHITLEY, M.D. | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: GAYLE E. WILSON | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: PER WOLD-OLSEN | Management | For | For | ||||||||||||
2. | TO RATIFY THE SELECTION OF ERNST & YOUNG LLP BY THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF GILEAD FOR THE FISCAL YEAR ENDING DECEMBER 31, 2016. | Management | For | For | ||||||||||||
3. | TO APPROVE THE AMENDED AND RESTATED GILEAD SCIENCES, INC. CODE SECTION 162(M) BONUS PLAN. | Management | For | For | ||||||||||||
4. | TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS AS PRESENTED IN THE PROXY STATEMENT. | Management | For | For | ||||||||||||
5. | TO VOTE ON A STOCKHOLDER PROPOSAL, IF PROPERLY PRESENTED AT THE MEETING, REQUESTING THAT THE BOARD TAKE STEPS TO PERMIT STOCKHOLDER ACTION BY WRITTEN CONSENT. | Shareholder | Against | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 20,178 | 0 | 30-Mar-2016 | 12-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 21,872 | 0 | 30-Mar-2016 | 12-May-2016 | |||||||||
HARRIS CORPORATION | ||||||||||||||||
Security | 413875105 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | HRS | Meeting Date | 23-Oct-2015 | |||||||||||||
ISIN | US4138751056 | Agenda | 934278296 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: WILLIAM M. BROWN | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: PETER W. CHIARELLI | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: THOMAS A. DATTILO | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: TERRY D. GROWCOCK | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: LEWIS HAY III | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: VYOMESH I. JOSHI | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: KAREN KATEN | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: LESLIE F. KENNE | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: DAVID B. RICKARD | Management | For | For | ||||||||||||
1J. | ELECTION OF DIRECTOR: DR. JAMES C. STOFFEL | Management | For | For | ||||||||||||
1K. | ELECTION OF DIRECTOR: GREGORY T. SWIENTON | Management | For | For | ||||||||||||
1L. | ELECTION OF DIRECTOR: HANSEL E. TOOKES II | Management | For | For | ||||||||||||
2. | ADVISORY VOTE TO APPROVE THE COMPENSATION OF NAMED EXECUTIVE OFFICERS AS DISCLOSED IN PROXY STATEMENT | Management | For | For | ||||||||||||
3. | APPROVAL OF NEW HARRIS CORPORATION 2015 EQUITY INCENTIVE PLAN | Management | For | For | ||||||||||||
4. | APPROVAL OF NEW HARRIS CORPORATION ANNUAL INCENTIVE PLAN | Management | For | For | ||||||||||||
5. | RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2016 | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 5,970 | 0 | 11-Sep-2015 | 26-Oct-2015 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 4,456 | 0 | 11-Sep-2015 | 26-Oct-2015 | |||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 493 | 0 | 11-Sep-2015 | 26-Oct-2015 | |||||||||
HELMERICH & PAYNE, INC. | ||||||||||||||||
Security | 423452101 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | HP | Meeting Date | 02-Mar-2016 | |||||||||||||
ISIN | US4234521015 | Agenda | 934321807 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: WILLIAM L. ARMSTRONG | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: RANDY A. FOUTCH | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: HANS HELMERICH | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: JOHN W. LINDSAY | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: PAULA MARSHALL | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: THOMAS A. PETRIE | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: DONALD F. ROBILLARD, JR. | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: FRANCIS ROONEY | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: EDWARD B. RUST, JR. | Management | For | For | ||||||||||||
1J. | ELECTION OF DIRECTOR: JOHN D. ZEGLIS | Management | For | For | ||||||||||||
2. | RATIFICATION OF ERNST & YOUNG LLP AS AUDITORS FOR 2016. | Management | For | For | ||||||||||||
3. | ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Management | For | For | ||||||||||||
4. | HELMERICH & PAYNE, INC. 2016 OMNIBUS INCENTIVE PLAN. | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 1,169 | 0 | 20-Jan-2016 | 03-Mar-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 1,533 | 0 | 20-Jan-2016 | 03-Mar-2016 | |||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 120 | 0 | 20-Jan-2016 | 03-Mar-2016 | |||||||||
L-3 COMMUNICATIONS HOLDINGS, INC. | ||||||||||||||||
Security | 502424104 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | LLL | Meeting Date | 03-May-2016 | |||||||||||||
ISIN | US5024241045 | Agenda | 934350202 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: CLAUDE R. CANIZARES | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: THOMAS A. CORCORAN | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: ANN E. DUNWOODY | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: LEWIS KRAMER | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: ROBERT B. MILLARD | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: LLOYD W. NEWTON | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: VINCENT PAGANO, JR. | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: H. HUGH SHELTON | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: ARTHUR L. SIMON | Management | For | For | ||||||||||||
1J. | ELECTION OF DIRECTOR: MICHAEL T. STRIANESE | Management | For | For | ||||||||||||
2. | RATIFY THE APPOINTMENT OF OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2016. | Management | For | For | ||||||||||||
3. | APPROVE, IN A NON-BINDING, ADVISORY VOTE, THE COMPENSATION PAID TO OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||||||
4. | APPROVE AN AMENDMENT TO THE L-3 COMMUNICATIONS HOLDINGS, INC. AMENDED AND RESTATED 2008 LONG TERM PERFORMANCE PLAN. | Management | For | For | ||||||||||||
5. | ADOPT AN AGREEMENT AND PLAN OF MERGER EFFECTING THE ELIMINATION OF THE COMPANY'S HOLDING COMPANY STRUCTURE. | Management | For | For | ||||||||||||
6. | APPROVE A SHAREHOLDER PROPOSAL TO AMEND AND RESTATE THE COMPANY'S CERTIFICATE OF INCORPORATION TO PERMIT SHAREHOLDERS TO TAKE ACTION BY WRITTEN CONSENT. | Shareholder | Against | |||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 6,789 | 0 | 24-Mar-2016 | 04-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 6,615 | 0 | 24-Mar-2016 | 04-May-2016 | |||||||||
LYONDELLBASELL INDUSTRIES N.V. | ||||||||||||||||
Security | N53745100 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | LYB | Meeting Date | 11-May-2016 | |||||||||||||
ISIN | NL0009434992 | Agenda | 934358979 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF CLASS III SUPERVISORY DIRECTOR: JACQUES AIGRAIN | Management | For | For | ||||||||||||
1B. | ELECTION OF CLASS III SUPERVISORY DIRECTOR: LINCOLN BENET | Management | For | For | ||||||||||||
1C. | ELECTION OF CLASS III SUPERVISORY DIRECTOR: NANCE K. DICCIANI | Management | For | For | ||||||||||||
1D. | ELECTION OF CLASS III SUPERVISORY DIRECTOR: BRUCE A. SMITH | Management | For | For | ||||||||||||
2A. | TO ELECT MANAGING DIRECTOR TO SERVE A TWO- YEAR TERM: THOMAS AEBISCHER | Management | For | For | ||||||||||||
2B. | TO ELECT MANAGING DIRECTOR TO SERVE A TWO- YEAR TERM: DAN COOMBS | Management | For | For | ||||||||||||
2C. | TO ELECT MANAGING DIRECTOR TO SERVE A TWO- YEAR TERM: JAMES D. GUILFOYLE | Management | For | For | ||||||||||||
3. | ADOPTION OF ANNUAL ACCOUNTS FOR 2015 | Management | For | For | ||||||||||||
4. | DISCHARGE FROM LIABILITY OF MEMBERS OF THE MANAGEMENT BOARD | Management | For | For | ||||||||||||
5. | DISCHARGE FROM LIABILITY OF MEMBERS OF THE SUPERVISORY BOARD | Management | For | For | ||||||||||||
6. | RATIFICATION OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||||||
7. | APPOINTMENT OF PRICEWATERHOUSECOOPERS ACCOUNTANTS N.V. AS OUR AUDITOR FOR THE DUTCH ANNUAL ACCOUNTS | Management | For | For | ||||||||||||
8. | RATIFICATION AND APPROVAL OF DIVIDENDS IN RESPECT OF THE 2015 FISCAL YEAR | Management | For | For | ||||||||||||
9. | ADVISORY (NON-BINDING) VOTE APPROVING EXECUTIVE COMPENSATION | Management | For | For | ||||||||||||
10. | APPROVAL TO REPURCHASE UP TO 10% OF OUR OUTSTANDING SHARES | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 2,223 | 0 | 29-Mar-2016 | 12-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 2,407 | 0 | 29-Mar-2016 | 12-May-2016 | |||||||||
LYONDELLBASELL INDUSTRIES N.V. | ||||||||||||||||
Security | N53745100 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | LYB | Meeting Date | 11-May-2016 | |||||||||||||
ISIN | NL0009434992 | Agenda | 934395369 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF CLASS III SUPERVISORY DIRECTOR: JACQUES AIGRAIN | Management | For | For | ||||||||||||
1B. | ELECTION OF CLASS III SUPERVISORY DIRECTOR: LINCOLN BENET | Management | For | For | ||||||||||||
1C. | ELECTION OF CLASS III SUPERVISORY DIRECTOR: NANCE K. DICCIANI | Management | For | For | ||||||||||||
1D. | ELECTION OF CLASS III SUPERVISORY DIRECTOR: BRUCE A. SMITH | Management | For | For | ||||||||||||
2A. | TO ELECT MANAGING DIRECTOR TO SERVE A TWO- YEAR TERM: THOMAS AEBISCHER | Management | For | For | ||||||||||||
2B. | TO ELECT MANAGING DIRECTOR TO SERVE A TWO- YEAR TERM: DAN COOMBS | Management | For | For | ||||||||||||
2C. | TO ELECT MANAGING DIRECTOR TO SERVE A TWO- YEAR TERM: JAMES D. GUILFOYLE | Management | For | For | ||||||||||||
3. | ADOPTION OF ANNUAL ACCOUNTS FOR 2015 | Management | For | For | ||||||||||||
4. | DISCHARGE FROM LIABILITY OF MEMBERS OF THE MANAGEMENT BOARD | Management | For | For | ||||||||||||
5. | DISCHARGE FROM LIABILITY OF MEMBERS OF THE SUPERVISORY BOARD | Management | For | For | ||||||||||||
6. | RATIFICATION OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||||||
7. | APPOINTMENT OF PRICEWATERHOUSECOOPERS ACCOUNTANTS N.V. AS OUR AUDITOR FOR THE DUTCH ANNUAL ACCOUNTS | Management | For | For | ||||||||||||
8. | RATIFICATION AND APPROVAL OF DIVIDENDS IN RESPECT OF THE 2015 FISCAL YEAR | Management | For | For | ||||||||||||
9. | ADVISORY (NON-BINDING) VOTE APPROVING EXECUTIVE COMPENSATION | Management | For | For | ||||||||||||
10. | APPROVAL TO REPURCHASE UP TO 10% OF OUR OUTSTANDING SHARES | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 3,302 | 0 | 22-Apr-2016 | 12-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 3,186 | 0 | 22-Apr-2016 | 12-May-2016 | |||||||||
MARSH & MCLENNAN COMPANIES, INC. | ||||||||||||||||
Security | 571748102 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | MMC | Meeting Date | 19-May-2016 | |||||||||||||
ISIN | US5717481023 | Agenda | 934356432 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: OSCAR FANJUL | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: DANIEL S. GLASER | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: H. EDWARD HANWAY | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: ELAINE LA ROCHE | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: MARIA SILVIA BASTOS MARQUES | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: STEVEN A. MILLS | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: BRUCE P. NOLOP | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: MARC D. OKEN | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: MORTON O. SCHAPIRO | Management | For | For | ||||||||||||
1J. | ELECTION OF DIRECTOR: LLOYD M. YATES | Management | For | For | ||||||||||||
1K. | ELECTION OF DIRECTOR: R. DAVID YOST | Management | For | For | ||||||||||||
2. | ADVISORY (NONBINDING) VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION | Management | For | For | ||||||||||||
3. | RATIFICATION OF SELECTION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 13,848 | 0 | 02-Apr-2016 | 20-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 15,011 | 0 | 02-Apr-2016 | 20-May-2016 | |||||||||
MCDONALD'S CORPORATION | ||||||||||||||||
Security | 580135101 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | MCD | Meeting Date | 26-May-2016 | |||||||||||||
ISIN | US5801351017 | Agenda | 934375898 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: LLOYD DEAN | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: STEPHEN EASTERBROOK | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: ROBERT ECKERT | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: MARGARET GEORGIADIS | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: ENRIQUE HERNANDEZ, JR. | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: JEANNE JACKSON | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: RICHARD LENNY | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: WALTER MASSEY | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: JOHN MULLIGAN | Management | For | For | ||||||||||||
1J. | ELECTION OF DIRECTOR: SHEILA PENROSE | Management | For | For | ||||||||||||
1K. | ELECTION OF DIRECTOR: JOHN ROGERS, JR. | Management | For | For | ||||||||||||
1L. | ELECTION OF DIRECTOR: MILES WHITE | Management | For | For | ||||||||||||
2. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Management | For | For | ||||||||||||
3. | ADVISORY VOTE TO APPROVE THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITOR FOR 2016. | Management | For | For | ||||||||||||
4. | ADVISORY VOTE ON A SHAREHOLDER PROPOSAL REQUESTING THAT MATTERS PRESENTED BY SHAREHOLDERS BE DECIDED BY SIMPLE MAJORITY VOTE, IF PRESENTED. | Shareholder | Against | For | ||||||||||||
5. | ADVISORY VOTE ON A SHAREHOLDER PROPOSAL REQUESTING ABILITY OF SHAREHOLDERS TO ACT BY WRITTEN CONSENT, IF PRESENTED. | Shareholder | Against | For | ||||||||||||
6. | ADVISORY VOTE ON A SHAREHOLDER PROPOSAL REQUESTING THAT THE BOARD MAKE ALL LAWFUL EFFORTS TO IMPLEMENT AND/OR INCREASE ACTIVITY ON THE HOLY LAND PRINCIPLES, IF PRESENTED. | Shareholder | Against | For | ||||||||||||
7. | ADVISORY VOTE ON A SHAREHOLDER PROPOSAL REQUESTING THE BOARD ADOPT A POLICY REGARDING USE OF ANTIBIOTICS BY ITS MEAT SUPPLIERS, IF PRESENTED. | Shareholder | Against | For | ||||||||||||
8. | ADVISORY VOTE ON A SHAREHOLDER PROPOSAL REQUESTING AN ANNUAL CONGRUENCY ANALYSIS BETWEEN CORPORATE VALUES AND POLITICAL CONTRIBUTIONS, IF PRESENTED. | Shareholder | Against | For | ||||||||||||
9. | ADVISORY VOTE ON A SHAREHOLDER PROPOSAL REQUESTING AN ANNUAL CONGRUENCY ANALYSIS OF COMPANY VALUES AND POLICY ACTIVITIES, IF PRESENTED | Shareholder | Against | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 7,255 | 0 | 16-Apr-2016 | 27-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 7,821 | 0 | 16-Apr-2016 | 27-May-2016 | |||||||||
MICRON TECHNOLOGY, INC. | ||||||||||||||||
Security | 595112103 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | MU | Meeting Date | 28-Jan-2016 | |||||||||||||
ISIN | US5951121038 | Agenda | 934310765 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1.1 | ELECTION OF DIRECTOR: ROBERT L. BAILEY | Management | For | For | ||||||||||||
1.2 | ELECTION OF DIRECTOR: RICHARD M. BEYER | Management | For | For | ||||||||||||
1.3 | ELECTION OF DIRECTOR: PATRICK J. BYRNE | Management | For | For | ||||||||||||
1.4 | ELECTION OF DIRECTOR: D. MARK DURCAN | Management | For | For | ||||||||||||
1.5 | ELECTION OF DIRECTOR: MERCEDES JOHNSON | Management | For | For | ||||||||||||
1.6 | ELECTION OF DIRECTOR: LAWRENCE N. MONDRY | Management | For | For | ||||||||||||
1.7 | ELECTION OF DIRECTOR: ROBERT E. SWITZ | Management | For | For | ||||||||||||
2. | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING SEPTEMBER 1, 2016. | Management | For | For | ||||||||||||
3. | TO APPROVE A NON-BINDING RESOLUTION TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS AS DESCRIBED IN THE PROXY STATEMENT. | Management | For | For | ||||||||||||
4. | TO TRANSACT SUCH OTHER BUSINESS AS MAY PROPERLY COME BEFORE THE MEETING OR ANY ADJOURNMENT THEREOF. | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 2,491 | 0 | 16-Dec-2015 | 29-Jan-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 3,267 | 0 | 16-Dec-2015 | 29-Jan-2016 | |||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 295 | 0 | 16-Dec-2015 | 29-Jan-2016 | |||||||||
MOODY'S CORPORATION | ||||||||||||||||
Security | 615369105 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | MCO | Meeting Date | 12-Apr-2016 | |||||||||||||
ISIN | US6153691059 | Agenda | 934332482 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: BASIL L. ANDERSON | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: JORGE A. BERMUDEZ | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: DARRELL DUFFIE, PH.D | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: KATHRYN M. HILL | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: EWALD KIST | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: RAYMOND W. MCDANIEL, JR. | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: HENRY A. MCKINNELL, JR., PH.D | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: LESLIE F. SEIDMAN | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: BRUCE VAN SAUN | Management | For | For | ||||||||||||
2. | RATIFICATION OF THE APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF THE COMPANY FOR 2016. | Management | For | For | ||||||||||||
3. | ADVISORY RESOLUTION APPROVING EXECUTIVE COMPENSATION. | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 7,287 | 0 | 03-Mar-2016 | 13-Apr-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 6,115 | 0 | 03-Mar-2016 | 13-Apr-2016 | |||||||||
NETAPP, INC | ||||||||||||||||
Security | 64110D104 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | NTAP | Meeting Date | 11-Sep-2015 | |||||||||||||
ISIN | US64110D1046 | Agenda | 934264653 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: T. MICHAEL NEVENS | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: JEFFRY R. ALLEN | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: TOR R. BRAHAM | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: ALAN L. EARHART | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: GERALD HELD | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: KATHRYN M. HILL | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: GEORGE KURIAN | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: GEORGE T. SHAHEEN | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: ROBERT T. WALL | Management | For | For | ||||||||||||
1J. | ELECTION OF DIRECTOR: RICHARD P. WALLACE | Management | For | For | ||||||||||||
2. | TO APPROVE AN AMENDMENT TO NETAPP'S AMENDED AND RESTATED 1999 STOCK OPTION PLAN TO INCREASE THE SHARE RESERVE BY AN ADDITIONAL 15,500,000 SHARES OF COMMON STOCK. | Management | For | For | ||||||||||||
3. | TO APPROVE AN AMENDMENT TO NETAPP'S EMPLOYEE STOCK PURCHASE PLAN TO INCREASE THE SHARE RESERVE BY AN ADDITIONAL 5,000,000 SHARES OF COMMON STOCK. | Management | For | For | ||||||||||||
4. | TO CONDUCT AN ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | ||||||||||||
5. | TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS NETAPP'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING APRIL 29, 2016. | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 1,655 | 0 | 29-Jul-2015 | 14-Sep-2015 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 1,267 | 0 | 29-Jul-2015 | 14-Sep-2015 | |||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 136 | 0 | 29-Jul-2015 | 14-Sep-2015 | |||||||||
NISOURCE INC. | ||||||||||||||||
Security | 65473P105 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | NI | Meeting Date | 11-May-2016 | |||||||||||||
ISIN | US65473P1057 | Agenda | 934368425 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: RICHARD A. ABDOO | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: ARISTIDES S. CANDRIS | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: WAYNE S. DEVEYDT | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: JOSEPH HAMROCK | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: DEBORAH A. HENRETTA | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: MICHAEL E. JESANIS | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: KEVIN T. KABAT | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: RICHARD L. THOMPSON | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: CAROLYN Y. WOO | Management | For | For | ||||||||||||
2. | TO APPROVE EXECUTIVE COMPENSATION ON AN ADVISORY BASIS. | Management | For | For | ||||||||||||
3. | TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS. | Management | For | For | ||||||||||||
4. | TO CONSIDER A STOCKHOLDER PROPOSAL REGARDING REPORTS ON POLITICAL CONTRIBUTIONS. | Shareholder | Against | For | ||||||||||||
5. | TO CONSIDER A STOCKHOLDER PROPOSAL REGARDING A SENIOR EXECUTIVE EQUITY RETENTION POLICY. | Shareholder | Against | For | ||||||||||||
6. | TO CONSIDER A STOCKHOLDER PROPOSAL REGARDING ACCELERATED VESTING OF EQUITY AWARDS OF SENIOR EXECUTIVES UPON A CHANGE IN CONTROL. | Shareholder | Against | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 8,233 | 0 | 02-Apr-2016 | 12-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 8,923 | 0 | 02-Apr-2016 | 12-May-2016 | |||||||||
NORDSTROM, INC. | ||||||||||||||||
Security | 655664100 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | JWN | Meeting Date | 19-May-2016 | |||||||||||||
ISIN | US6556641008 | Agenda | 934366445 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: SHELLYE L. ARCHAMBEAU | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: TANYA L. DOMIER | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: ENRIQUE HERNANDEZ, JR. | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: BLAKE W. NORDSTROM | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: ERIK B. NORDSTROM | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: PETER E. NORDSTROM | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: PHILIP G. SATRE | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: BRAD D. SMITH | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: GORDON A. SMITH | Management | For | For | ||||||||||||
1J. | ELECTION OF DIRECTOR: BRADLEY D. TILDEN | Management | For | For | ||||||||||||
1K. | ELECTION OF DIRECTOR: B. KEVIN TURNER | Management | For | For | ||||||||||||
1L. | ELECTION OF DIRECTOR: ROBERT D. WALTER | Management | For | For | ||||||||||||
2. | RATIFICATION OF THE APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||||||
3. | ADVISORY VOTE REGARDING EXECUTIVE COMPENSATION. | Management | For | For | ||||||||||||
4. | APPROVAL OF THE AMENDED AND RESTATED NORDSTROM, INC. EXECUTIVE MANAGEMENT BONUS PLAN. | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 3,447 | 0 | 09-Apr-2016 | 20-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 3,734 | 0 | 09-Apr-2016 | 20-May-2016 | |||||||||
ORACLE CORPORATION | ||||||||||||||||
Security | 68389X105 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | ORCL | Meeting Date | 18-Nov-2015 | |||||||||||||
ISIN | US68389X1054 | Agenda | 934283083 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1. | DIRECTOR | Management | ||||||||||||||
1 | JEFFREY S. BERG | For | For | |||||||||||||
2 | H. RAYMOND BINGHAM | For | For | |||||||||||||
3 | MICHAEL J. BOSKIN | For | For | |||||||||||||
4 | SAFRA A. CATZ | For | For | |||||||||||||
5 | BRUCE R. CHIZEN | For | For | |||||||||||||
6 | GEORGE H. CONRADES | For | For | |||||||||||||
7 | LAWRENCE J. ELLISON | For | For | |||||||||||||
8 | HECTOR GARCIA-MOLINA | For | For | |||||||||||||
9 | JEFFREY O. HENLEY | For | For | |||||||||||||
10 | MARK V. HURD | For | For | |||||||||||||
11 | LEON E. PANETTA | For | For | |||||||||||||
12 | NAOMI O. SELIGMAN | For | For | |||||||||||||
2. | RE-APPROVAL OF THE ORACLE CORPORATION EXECUTIVE BONUS PLAN. | Management | For | For | ||||||||||||
3. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Management | For | For | ||||||||||||
4. | RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2016. | Management | For | For | ||||||||||||
5. | STOCKHOLDER PROPOSAL REGARDING RENEWABLE ENERGY TARGETS. | Shareholder | Against | For | ||||||||||||
6. | STOCKHOLDER PROPOSAL REGARDING PROXY ACCESS. | Shareholder | Against | For | ||||||||||||
7. | STOCKHOLDER PROPOSAL REGARDING QUANTIFIABLE PERFORMANCE METRICS. | Shareholder | Against | For | ||||||||||||
8. | STOCKHOLDER PROPOSAL REGARDING AMENDMENT OF THE GOVERNANCE GUIDELINES. | Shareholder | Against | For | ||||||||||||
9. | STOCKHOLDER PROPOSAL REGARDING VOTE TABULATION. | Shareholder | Against | For | ||||||||||||
10. | STOCKHOLDER PROPOSAL REGARDING LOBBYING REPORT. | Shareholder | Against | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 8,307 | 0 | 26-Sep-2015 | 19-Nov-2015 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 10,661 | 0 | 26-Sep-2015 | 19-Nov-2015 | |||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 852 | 0 | 26-Sep-2015 | 19-Nov-2015 | |||||||||
PHILIP MORRIS INTERNATIONAL INC. | ||||||||||||||||
Security | 718172109 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | PM | Meeting Date | 04-May-2016 | |||||||||||||
ISIN | US7181721090 | Agenda | 934347370 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: HAROLD BROWN | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: ANDRE CALANTZOPOULOS | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: LOUIS C. CAMILLERI | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: WERNER GEISSLER | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: JENNIFER LI | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: JUN MAKIHARA | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: SERGIO MARCHIONNE | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: KALPANA MORPARIA | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: LUCIO A. NOTO | Management | For | For | ||||||||||||
1J. | ELECTION OF DIRECTOR: FREDERIK PAULSEN | Management | For | For | ||||||||||||
1K. | ELECTION OF DIRECTOR: ROBERT B. POLET | Management | For | For | ||||||||||||
1L. | ELECTION OF DIRECTOR: STEPHEN M. WOLF | Management | For | For | ||||||||||||
2. | RATIFICATION OF THE SELECTION OF INDEPENDENT AUDITORS | Management | For | For | ||||||||||||
3. | ADVISORY VOTE APPROVING EXECUTIVE COMPENSATION | Management | For | For | ||||||||||||
4. | SHAREHOLDER PROPOSAL 1 - HUMAN RIGHTS POLICY | Shareholder | Against | For | ||||||||||||
5. | SHAREHOLDER PROPOSAL 2 - MEDIATION OF ALLEGED HUMAN RIGHTS VIOLATIONS | Shareholder | Against | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 17,521 | 0 | 25-Mar-2016 | 05-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 18,993 | 0 | 25-Mar-2016 | 05-May-2016 | |||||||||
ROBERT HALF INTERNATIONAL INC. | ||||||||||||||||
Security | 770323103 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | RHI | Meeting Date | 16-May-2016 | |||||||||||||
ISIN | US7703231032 | Agenda | 934389190 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1. | DIRECTOR | Management | ||||||||||||||
1 | ANDREW S. BERWICK, JR. | For | For | |||||||||||||
2 | HAROLD M. MESSMER, JR. | For | For | |||||||||||||
3 | MARC H. MORIAL | For | For | |||||||||||||
4 | BARBARA J. NOVOGRADAC | For | For | |||||||||||||
5 | ROBERT J. PACE | For | For | |||||||||||||
6 | FREDERICK A. RICHMAN | For | For | |||||||||||||
7 | M. KEITH WADDELL | For | For | |||||||||||||
2. | RATIFICATION OF APPOINTMENT OF AUDITOR. | Management | For | For | ||||||||||||
3. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 20,016 | 0 | 14-Apr-2016 | 17-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 21,698 | 0 | 14-Apr-2016 | 17-May-2016 | |||||||||
SEAGATE TECHNOLOGY PLC | ||||||||||||||||
Security | G7945M107 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | STX | Meeting Date | 21-Oct-2015 | |||||||||||||
ISIN | IE00B58JVZ52 | Agenda | 934277383 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: STEPHEN J. LUCZO | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: FRANK J. BIONDI, JR. | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: MICHAEL R. CANNON | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: MEI-WEI CHENG | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: WILLIAM T. COLEMAN | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: JAY L. GELDMACHER | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: DR. DAMBISA F. MOYO | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: KRISTEN M. ONKEN | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: DR. CHONG SUP PARK | Management | For | For | ||||||||||||
1J. | ELECTION OF DIRECTOR: STEPHANIE TILENIUS | Management | For | For | ||||||||||||
1K. | ELECTION OF DIRECTOR: EDWARD J. ZANDER | Management | For | For | ||||||||||||
2. | TO DETERMINE THE PRICE RANGE AT WHICH THE COMPANY CAN RE-ISSUE SHARES THAT IT HOLDS AS TREASURY SHARES. (SPECIAL RESOLUTION). | Management | For | For | ||||||||||||
3. | TO APPROVE, IN AN ADVISORY, NON-BINDING VOTE, THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||||||
4. | TO RATIFY, IN AN ADVISORY, NON-BINDING VOTE, THE APPOINTMENT OF ERNST & YOUNG LLP AS THE INDEPENDENT AUDITORS OF THE COMPANY ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 1,095 | 0 | 05-Sep-2015 | 22-Oct-2015 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 794 | 0 | 05-Sep-2015 | 22-Oct-2015 | |||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 82 | 0 | 05-Sep-2015 | 22-Oct-2015 | |||||||||
SOUTHWESTERN ENERGY COMPANY | ||||||||||||||||
Security | 845467109 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | SWN | Meeting Date | 17-May-2016 | |||||||||||||
ISIN | US8454671095 | Agenda | 934369390 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: JOHN D. GASS | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: CATHERINE A. KEHR | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: GREG D. KERLEY | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: KENNETH R. MOURTON | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: ELLIOTT PEW | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: TERRY W. RATHERT | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: ALAN H. STEVENS | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: WILLIAM J. WAY | Management | For | For | ||||||||||||
2. | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | ||||||||||||
3. | PROPOSAL TO APPROVE THE AMENDED SOUTHWESTERN ENERGY COMPANY 2013 INCENTIVE PLAN, PRIMARILY TO INCREASE THE NUMBER OF SHARES AVAILABLE FOR ISSUANCE. | Management | For | For | ||||||||||||
4. | PROPOSAL TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP TO SERVE AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2016. | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 31,825 | 0 | 08-Apr-2016 | 18-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 34,500 | 0 | 08-Apr-2016 | 18-May-2016 | |||||||||
TESORO CORPORATION | ||||||||||||||||
Security | 881609101 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | TSO | Meeting Date | 03-May-2016 | |||||||||||||
ISIN | US8816091016 | Agenda | 934349069 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: RODNEY F. CHASE | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: EDWARD G. GALANTE | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: GREGORY J. GOFF | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: ROBERT W. GOLDMAN | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: DAVID LILLEY | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: MARY PAT MCCARTHY | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: J.W. NOKES | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: SUSAN TOMASKY | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: MICHAEL E. WILEY | Management | For | For | ||||||||||||
1J. | ELECTION OF DIRECTOR: PATRICK Y. YANG | Management | For | For | ||||||||||||
2. | TO APPROVE OUR NAMED EXECUTIVE OFFICERS' COMPENSATION IN AN ADVISORY VOTE. | Management | For | For | ||||||||||||
3. | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2016. | Management | For | For | ||||||||||||
4. | ON THE STOCKHOLDER PROPOSAL SET FORTH IN THE PROXY STATEMENT, IF PROPERLY PRESENTED AT THE ANNUAL MEETING. | Shareholder | Against | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 2,232 | 0 | 23-Mar-2016 | 04-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 2,417 | 0 | 23-Mar-2016 | 04-May-2016 | |||||||||
THE ADT CORPORATION | ||||||||||||||||
Security | 00101J106 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | ADT | Meeting Date | 15-Mar-2016 | |||||||||||||
ISIN | US00101J1060 | Agenda | 934323104 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR FOR TERMS EXPIRING IN 2017: THOMAS COLLIGAN | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR FOR TERMS EXPIRING IN 2017: RICHARD DALY | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR FOR TERMS EXPIRING IN 2017: TIMOTHY DONAHUE | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR FOR TERMS EXPIRING IN 2017: ROBERT DUTKOWSKY | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR FOR TERMS EXPIRING IN 2017: BRUCE GORDON | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR FOR TERMS EXPIRING IN 2017: NAREN GURSAHANEY | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR FOR TERMS EXPIRING IN 2017: BRIDGETTE HELLER | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR FOR TERMS EXPIRING IN 2017: KATHLEEN HYLE | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR FOR TERMS EXPIRING IN 2017: CHRISTOPHER HYLEN | Management | For | For | ||||||||||||
2. | TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS ADT'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2016. | Management | For | For | ||||||||||||
3. | TO APPROVE, IN A NON-BINDING VOTE, THE COMPENSATION OF ADT'S NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 2,591 | 0 | 23-Jan-2016 | 16-Mar-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 2,528 | 0 | 23-Jan-2016 | 16-Mar-2016 | |||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 198 | 0 | 23-Jan-2016 | 16-Mar-2016 | |||||||||
THE CLOROX COMPANY | ||||||||||||||||
Security | 189054109 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | CLX | Meeting Date | 18-Nov-2015 | |||||||||||||
ISIN | US1890541097 | Agenda | 934283209 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: RICHARD H. CARMONA | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: BENNO DORER | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: SPENCER C. FLEISCHER | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: GEORGE J. HARAD | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: ESTHER LEE | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: ROBERT W. MATSCHULLAT | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: JEFFREY NODDLE | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: ROGELIO REBOLLEDO | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: PAMELA THOMAS- GRAHAM | Management | For | For | ||||||||||||
1J. | ELECTION OF DIRECTOR: CAROLYN M. TICKNOR | Management | For | For | ||||||||||||
1K. | ELECTION OF DIRECTOR: CHRISTOPHER J. WILLIAMS | Management | For | For | ||||||||||||
2. | ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Management | For | For | ||||||||||||
3. | RATIFICATION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||||||
4. | APPROVAL OF THE MATERIAL TERMS OF THE PERFORMANCE GOALS UNDER THE COMPANY'S EXECUTIVE INCENTIVE COMPENSATION PLAN. | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 3,304 | 0 | 26-Sep-2015 | 19-Nov-2015 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 4,242 | 0 | 26-Sep-2015 | 19-Nov-2015 | |||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 340 | 0 | 26-Sep-2015 | 19-Nov-2015 | |||||||||
THE DUN & BRADSTREET CORPORATION | ||||||||||||||||
Security | 26483E100 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | DNB | Meeting Date | 04-May-2016 | |||||||||||||
ISIN | US26483E1001 | Agenda | 934348663 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: ROBERT P. CARRIGAN | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: CINDY CHRISTY | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: CHRISTOPHER J. COUGHLIN | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: L. GORDON CROVITZ | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: JAMES N. FERNANDEZ | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: PAUL R. GARCIA | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: ANASTASSIA LAUTERBACH | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: THOMAS J. MANNING | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: RANDALL D. MOTT | Management | For | For | ||||||||||||
1J. | ELECTION OF DIRECTOR: JUDITH A. REINSDORF | Management | For | For | ||||||||||||
2. | RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2016. | Management | For | For | ||||||||||||
3. | ADVISORY APPROVAL OF THE COMPANY'S EXECUTIVE COMPENSATION (SAY ON PAY). | Management | For | For | ||||||||||||
4. | RE-APPROVAL OF THE COMPANY'S COVERED EMPLOYEE INCENTIVE PLAN, AS AMENDED AND RESTATED. | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 16,381 | 0 | 23-Mar-2016 | 05-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 17,759 | 0 | 23-Mar-2016 | 05-May-2016 | |||||||||
TRANSOCEAN, LTD. | ||||||||||||||||
Security | H8817H100 | Meeting Type | Special | |||||||||||||
Ticker Symbol | RIG | Meeting Date | 29-Oct-2015 | |||||||||||||
ISIN | CH0048265513 | Agenda | 934285190 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1. | PAR VALUE REDUCTION | Management | For | For | ||||||||||||
2. | CANCELLATION OF SHARES REPURCHASED UNDER 2009 SHARE REPURCHASE PROGRAM | Management | For | For | ||||||||||||
3. | CANCELLATION OF THIRD AND FOURTH DIVIDEND INSTALLMENTS | Management | For | For | ||||||||||||
4. | ELECTION OF ONE NEW DIRECTOR, JEREMY D. THIGPEN, FOR A TERM EXTENDING UNTIL COMPLETION OF THE NEXT ANNUAL GENERAL MEETING | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 1,173 | 0 | 02-Oct-2015 | 30-Oct-2015 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 1,582 | 0 | 02-Oct-2015 | 30-Oct-2015 | |||||||||
TRANSOCEAN, LTD. | ||||||||||||||||
Security | H8817H100 | Meeting Type | Special | |||||||||||||
Ticker Symbol | RIG | Meeting Date | 29-Oct-2015 | |||||||||||||
ISIN | CH0048265513 | Agenda | 934290127 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1. | PAR VALUE REDUCTION | Management | For | For | ||||||||||||
2. | CANCELLATION OF SHARES REPURCHASED UNDER 2009 SHARE REPURCHASE PROGRAM | Management | For | For | ||||||||||||
3. | CANCELLATION OF THIRD AND FOURTH DIVIDEND INSTALLMENTS | Management | For | For | ||||||||||||
4. | ELECTION OF ONE NEW DIRECTOR, JEREMY D. THIGPEN, FOR A TERM EXTENDING UNTIL COMPLETION OF THE NEXT ANNUAL GENERAL MEETING | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 1,334 | 0 | 16-Oct-2015 | 30-Oct-2015 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 1,750 | 0 | 16-Oct-2015 | 30-Oct-2015 | |||||||||
TRANSOCEAN, LTD. | ||||||||||||||||
Security | H8817H100 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | RIG | Meeting Date | 12-May-2016 | |||||||||||||
ISIN | CH0048265513 | Agenda | 934362562 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1. | APPROVAL OF THE 2015 ANNUAL REPORT, INCLUDING AUDITED CONSOLIDATED FINANCIAL STATEMENTS AND AUDITED STATUTORY FINANCIAL STATEMENTS OF TRANSOCEAN LTD. FOR FISCAL YEAR 2015 | Management | For | For | ||||||||||||
2. | DISCHARGE OF BOARD OF DIRECTORS AND EXECUTIVE MANAGEMENT TEAM FROM LIABILITY FOR ACTIVITIES DURING FISCAL YEAR 2015 | Management | For | For | ||||||||||||
3. | APPROPRIATION OF ACCUMULATED LOSS FOR FISCAL YEAR 2015 | Management | For | For | ||||||||||||
4. | RENEWAL OF AUTHORIZED SHARE CAPITAL | Management | For | For | ||||||||||||
5A. | REELECTION OF DIRECTOR: GLYN A. BARKER | Management | For | For | ||||||||||||
5B. | REELECTION OF DIRECTOR: VANESSA C.L. CHANG | Management | For | For | ||||||||||||
5C. | REELECTION OF DIRECTOR: FREDERICO F. CURADO | Management | For | For | ||||||||||||
5D. | REELECTION OF DIRECTOR: CHADWICK C. DEATON | Management | For | For | ||||||||||||
5E. | REELECTION OF DIRECTOR: VINCENT J. INTRIERI | Management | For | For | ||||||||||||
5F. | REELECTION OF DIRECTOR: MARTIN B. MCNAMARA | Management | For | For | ||||||||||||
5G. | REELECTION OF DIRECTOR: SAMUEL J. MERKSAMER | Management | For | For | ||||||||||||
5H. | REELECTION OF DIRECTOR: MERRILL A. "PETE" MILLER, JR. | Management | For | For | ||||||||||||
5I. | REELECTION OF DIRECTOR: EDWARD R. MULLER | Management | For | For | ||||||||||||
5J. | REELECTION OF DIRECTOR: TAN EK KIA | Management | For | For | ||||||||||||
5K. | REELECTION OF DIRECTOR: JEREMY D. THIGPEN | Management | For | For | ||||||||||||
6. | ELECTION OF MERRILL A. "PETE" MILLER, JR. AS THE CHAIRMAN OF THE BOARD OF DIRECTORS FOR A TERM EXTENDING UNTIL COMPLETION OF THE NEXT ANNUAL GENERAL MEETING | Management | For | For | ||||||||||||
7A. | ELECTION OF THE MEMBER OF THE COMPENSATION COMMITTEE: FREDERICO F. CURADO | Management | For | For | ||||||||||||
7B. | ELECTION OF THE MEMBER OF THE COMPENSATION COMMITTEE: VINCENT J. INTRIERI | Management | For | For | ||||||||||||
7C. | ELECTION OF THE MEMBER OF THE COMPENSATION COMMITTEE: MARTIN B. MCNAMARA | Management | For | For | ||||||||||||
7D. | ELECTION OF THE MEMBER OF THE COMPENSATION COMMITTEE: TAN EK KIA | Management | For | For | ||||||||||||
8. | REELECTION OF SCHWEIGER ADVOKATUR / NOTARIAT AS THE INDEPENDENT PROXY FOR A TERM EXTENDING UNTIL COMPLETION OF THE NEXT ANNUAL GENERAL MEETING | Management | For | For | ||||||||||||
9. | APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2016 AND REELECTION OF ERNST & YOUNG LTD, ZURICH, AS THE COMPANY'S AUDITOR FOR A FURTHER ONE- YEAR TERM | Management | For | For | ||||||||||||
10. | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION | Management | For | For | ||||||||||||
11A | RATIFICATION OF AN AMOUNT OF US $4,121,000 AS THE MAXIMUM AGGREGATE AMOUNT OF COMPENSATION OF THE BOARD OF DIRECTORS FOR THE PERIOD BETWEEN THE 2016 AND 2017 ANNUAL GENERAL MEETINGS | Management | For | For | ||||||||||||
11B | RATIFICATION OF AN AMOUNT OF US $29,617,000 AS THE MAXIMUM AGGREGATE AMOUNT OF COMPENSATION OF THE EXECUTIVE MANAGEMENT TEAM FOR FISCAL YEAR 2017 | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 20,884 | 0 | 30-Mar-2016 | 13-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 22,638 | 0 | 30-Mar-2016 | 13-May-2016 | |||||||||
TRANSOCEAN, LTD. | ||||||||||||||||
Security | H8817H100 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | RIG | Meeting Date | 12-May-2016 | |||||||||||||
ISIN | CH0048265513 | Agenda | 934409788 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1. | APPROVAL OF THE 2015 ANNUAL REPORT, INCLUDING AUDITED CONSOLIDATED FINANCIAL STATEMENTS AND AUDITED STATUTORY FINANCIAL STATEMENTS OF TRANSOCEAN LTD. FOR FISCAL YEAR 2015 | Management | For | For | ||||||||||||
2. | DISCHARGE OF BOARD OF DIRECTORS AND EXECUTIVE MANAGEMENT TEAM FROM LIABILITY FOR ACTIVITIES DURING FISCAL YEAR 2015 | Management | For | For | ||||||||||||
3. | APPROPRIATION OF ACCUMULATED LOSS FOR FISCAL YEAR 2015 | Management | For | For | ||||||||||||
4. | RENEWAL OF AUTHORIZED SHARE CAPITAL | Management | For | For | ||||||||||||
5A. | REELECTION OF DIRECTOR: GLYN A. BARKER | Management | For | For | ||||||||||||
5B. | REELECTION OF DIRECTOR: VANESSA C.L. CHANG | Management | For | For | ||||||||||||
5C. | REELECTION OF DIRECTOR: FREDERICO F. CURADO | Management | For | For | ||||||||||||
5D. | REELECTION OF DIRECTOR: CHADWICK C. DEATON | Management | For | For | ||||||||||||
5E. | REELECTION OF DIRECTOR: VINCENT J. INTRIERI | Management | For | For | ||||||||||||
5F. | REELECTION OF DIRECTOR: MARTIN B. MCNAMARA | Management | For | For | ||||||||||||
5G. | REELECTION OF DIRECTOR: SAMUEL J. MERKSAMER | Management | For | For | ||||||||||||
5H. | REELECTION OF DIRECTOR: MERRILL A. "PETE" MILLER, JR. | Management | For | For | ||||||||||||
5I. | REELECTION OF DIRECTOR: EDWARD R. MULLER | Management | For | For | ||||||||||||
5J. | REELECTION OF DIRECTOR: TAN EK KIA | Management | For | For | ||||||||||||
5K. | REELECTION OF DIRECTOR: JEREMY D. THIGPEN | Management | For | For | ||||||||||||
6. | ELECTION OF MERRILL A. "PETE" MILLER, JR. AS THE CHAIRMAN OF THE BOARD OF DIRECTORS FOR A TERM EXTENDING UNTIL COMPLETION OF THE NEXT ANNUAL GENERAL MEETING | Management | For | For | ||||||||||||
7A. | ELECTION OF THE MEMBER OF THE COMPENSATION COMMITTEE: FREDERICO F. CURADO | Management | For | For | ||||||||||||
7B. | ELECTION OF THE MEMBER OF THE COMPENSATION COMMITTEE: VINCENT J. INTRIERI | Management | For | For | ||||||||||||
7C. | ELECTION OF THE MEMBER OF THE COMPENSATION COMMITTEE: MARTIN B. MCNAMARA | Management | For | For | ||||||||||||
7D. | ELECTION OF THE MEMBER OF THE COMPENSATION COMMITTEE: TAN EK KIA | Management | For | For | ||||||||||||
8. | REELECTION OF SCHWEIGER ADVOKATUR / NOTARIAT AS THE INDEPENDENT PROXY FOR A TERM EXTENDING UNTIL COMPLETION OF THE NEXT ANNUAL GENERAL MEETING | Management | For | For | ||||||||||||
9. | APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2016 AND REELECTION OF ERNST & YOUNG LTD, ZURICH, AS THE COMPANY'S AUDITOR FOR A FURTHER ONE- YEAR TERM | Management | For | For | ||||||||||||
10. | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION | Management | For | For | ||||||||||||
11A | RATIFICATION OF AN AMOUNT OF US $4,121,000 AS THE MAXIMUM AGGREGATE AMOUNT OF COMPENSATION OF THE BOARD OF DIRECTORS FOR THE PERIOD BETWEEN THE 2016 AND 2017 ANNUAL GENERAL MEETINGS | Management | For | For | ||||||||||||
11B | RATIFICATION OF AN AMOUNT OF US $29,617,000 AS THE MAXIMUM AGGREGATE AMOUNT OF COMPENSATION OF THE EXECUTIVE MANAGEMENT TEAM FOR FISCAL YEAR 2017 | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 32,283 | 0 | 29-Apr-2016 | 13-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 31,151 | 0 | 29-Apr-2016 | 13-May-2016 | |||||||||
UNITED CONTINENTAL HLDGS INC | ||||||||||||||||
Security | 910047109 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | UAL | Meeting Date | 08-Jun-2016 | |||||||||||||
ISIN | US9100471096 | Agenda | 934410515 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: CAROLYN CORVI | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: JANE C. GARVEY | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: BARNABY M. HARFORD | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: WALTER ISAACSON | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: JAMES A.C. KENNEDY | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: ROBERT A. MILTON | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: OSCAR MUNOZ | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: WILLIAM R. NUTI | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: EDWARD L. SHAPIRO | Management | For | For | ||||||||||||
1J. | ELECTION OF DIRECTOR: LAURENCE E. SIMMONS | Management | For | For | ||||||||||||
1K. | ELECTION OF DIRECTOR: DAVID J. VITALE | Management | For | For | ||||||||||||
1L. | ELECTION OF DIRECTOR: JAMES M. WHITEHURST | Management | For | For | ||||||||||||
2. | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2016 | Management | For | For | ||||||||||||
3. | ADVISORY VOTE TO APPROVE THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 4,903 | 0 | 30-Apr-2016 | 09-Jun-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 4,732 | 0 | 30-Apr-2016 | 09-Jun-2016 | |||||||||
UNITED PARCEL SERVICE, INC. | ||||||||||||||||
Security | 911312106 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | UPS | Meeting Date | 05-May-2016 | |||||||||||||
ISIN | US9113121068 | Agenda | 934340314 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR TO SERVE UNTIL THE 2017 ANNUAL MEETING: DAVID P. ABNEY | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR TO SERVE UNTIL THE 2017 ANNUAL MEETING: RODNEY C. ADKINS | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR TO SERVE UNTIL THE 2017 ANNUAL MEETING: MICHAEL J. BURNS | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR TO SERVE UNTIL THE 2017 ANNUAL MEETING: WILLIAM R. JOHNSON | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR TO SERVE UNTIL THE 2017 ANNUAL MEETING: CANDACE KENDLE | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR TO SERVE UNTIL THE 2017 ANNUAL MEETING: ANN M. LIVERMORE | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR TO SERVE UNTIL THE 2017 ANNUAL MEETING: RUDY H.P. MARKHAM | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR TO SERVE UNTIL THE 2017 ANNUAL MEETING: CLARK T. RANDT, JR. | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR TO SERVE UNTIL THE 2017 ANNUAL MEETING: JOHN T. STANKEY | Management | For | For | ||||||||||||
1J. | ELECTION OF DIRECTOR TO SERVE UNTIL THE 2017 ANNUAL MEETING: CAROL B. TOME | Management | For | For | ||||||||||||
1K. | ELECTION OF DIRECTOR TO SERVE UNTIL THE 2017 ANNUAL MEETING: KEVIN M. WARSH | Management | For | For | ||||||||||||
2. | TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS UPS'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2016. | Management | For | For | ||||||||||||
3. | SHAREOWNER PROPOSAL TO PREPARE AN ANNUAL REPORT ON LOBBYING ACTIVITIES. | Shareholder | Against | For | ||||||||||||
4. | SHAREOWNER PROPOSAL TO REDUCE THE VOTING POWER OF CLASS A STOCK FROM 10 VOTES PER SHARE TO ONE VOTE PER SHARE. | Shareholder | Against | For | ||||||||||||
5. | SHAREOWNER PROPOSAL TO ADOPT HOLY LAND PRINCIPLES. | Shareholder | Against | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 18,233 | 0 | 16-Mar-2016 | 06-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 15,990 | 0 | 16-Mar-2016 | 06-May-2016 | |||||||||
UNITED RENTALS, INC. | ||||||||||||||||
Security | 911363109 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | URI | Meeting Date | 03-May-2016 | |||||||||||||
ISIN | US9113631090 | Agenda | 934345794 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: JENNE K. BRITELL | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: JOSE B. ALVAREZ | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: BOBBY J. GRIFFIN | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: MICHAEL J. KNEELAND | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: SINGLETON B. MCALLISTER | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: BRIAN D. MCAULEY | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: JOHN S. MCKINNEY | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: JASON D. PAPASTAVROU | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: FILIPPO PASSERINI | Management | For | For | ||||||||||||
1J. | ELECTION OF DIRECTOR: DONALD C. ROOF | Management | For | For | ||||||||||||
1K. | ELECTION OF DIRECTOR: KEITH WIMBUSH | Management | For | For | ||||||||||||
2. | RATIFICATION OF APPOINTMENT OF PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||||||
3. | ADVISORY APPROVAL OF EXECUTIVE COMPENSATION | Management | For | For | ||||||||||||
4. | STOCKHOLDER PROPOSAL TO ADOPT SIMPLE MAJORITY VOTE | Shareholder | Against | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 3,906 | 0 | 22-Mar-2016 | 04-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 3,425 | 0 | 22-Mar-2016 | 04-May-2016 | |||||||||
VALERO ENERGY CORPORATION | ||||||||||||||||
Security | 91913Y100 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | VLO | Meeting Date | 12-May-2016 | |||||||||||||
ISIN | US91913Y1001 | Agenda | 934355860 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1A. | ELECTION OF DIRECTOR: JOSEPH W. GORDER | Management | For | For | ||||||||||||
1B. | ELECTION OF DIRECTOR: DEBORAH P. MAJORAS | Management | For | For | ||||||||||||
1C. | ELECTION OF DIRECTOR: DONALD L. NICKLES | Management | For | For | ||||||||||||
1D. | ELECTION OF DIRECTOR: PHILIP J. PFEIFFER | Management | For | For | ||||||||||||
1E. | ELECTION OF DIRECTOR: ROBERT A. PROFUSEK | Management | For | For | ||||||||||||
1F. | ELECTION OF DIRECTOR: SUSAN KAUFMAN PURCELL | Management | For | For | ||||||||||||
1G. | ELECTION OF DIRECTOR: STEPHEN M. WATERS | Management | For | For | ||||||||||||
1H. | ELECTION OF DIRECTOR: RANDALL J. WEISENBURGER | Management | For | For | ||||||||||||
1I. | ELECTION OF DIRECTOR: RAYFORD WILKINS, JR. | Management | For | For | ||||||||||||
2. | RATIFY THE APPOINTMENT OF KPMG LLP AS VALERO'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2016. | Management | For | For | ||||||||||||
3. | APPROVE, BY NON-BINDING VOTE, THE 2015 COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||||||
4. | AMEND VALERO'S RESTATED CERTIFICATE OF INCORPORATION TO DELETE ITS RESTRICTION ON STOCKHOLDERS' ABILITY TO REMOVE DIRECTORS WITHOUT CAUSE. | Management | For | For | ||||||||||||
5. | REAPPROVE THE 2011 OMNIBUS STOCK INCENTIVE PLAN. | Management | For | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 2,978 | 0 | 01-Apr-2016 | 13-May-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 3,226 | 0 | 01-Apr-2016 | 13-May-2016 | |||||||||
VERISIGN, INC. | ||||||||||||||||
Security | 92343E102 | Meeting Type | Annual | |||||||||||||
Ticker Symbol | VRSN | Meeting Date | 09-Jun-2016 | |||||||||||||
ISIN | US92343E1029 | Agenda | 934402809 - Management | |||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
1. | DIRECTOR | Management | ||||||||||||||
1 | D. JAMES BIDZOS | For | For | |||||||||||||
2 | KATHLEEN A. COTE | For | For | |||||||||||||
3 | THOMAS F. FRIST III | For | For | |||||||||||||
4 | JAMIE S. GORELICK | For | For | |||||||||||||
5 | ROGER H. MOORE | For | For | |||||||||||||
6 | LOUIS A. SIMPSON | For | For | |||||||||||||
7 | TIMOTHY TOMLINSON | For | For | |||||||||||||
2. | TO APPROVE, ON A NON-BINDING, ADVISORY BASIS, VERISIGN, INC.'S EXECUTIVE COMPENSATION. | Management | For | For | ||||||||||||
3. | TO APPROVE THE AMENDED AND RESTATED VERISIGN, INC. 2006 EQUITY INCENTIVE PLAN. | Management | For | For | ||||||||||||
4. | TO APPROVE AN AMENDMENT TO VERISIGN, INC.'S FIFTH AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO PERMIT THE BOARD TO AMEND THE BYLAWS. | Management | For | For | ||||||||||||
5. | TO RATIFY THE SELECTION OF KPMG LLP AS VERISIGN, INC.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2016. | Management | For | For | ||||||||||||
6. | TO VOTE ON A STOCKHOLDER PROPOSAL, IF PROPERLY PRESENTED AT THE MEETING, REQUESTING THAT THE BOARD TAKE STEPS TO ADOPT PROXY ACCESS. | Shareholder | Against | For | ||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 28,720 | 0 | 30-Apr-2016 | 10-Jun-2016 | |||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 27,712 | 0 | 30-Apr-2016 | 10-Jun-2016 |
Crystal Strategy Absolute Income Fund
Crystal Strategy Absolute Return Fund
Crystal Strategy Absolute Return Plus Fund
Custodian Account Number | Company Name | Ticker | Provider Security ID | Meeting Type | Meeting Date | Record Date | Proponent | Proposal Number | Proposal Text | Management Recommendation | Vote Instruction | Voted | Vote Against Management |
Crystal Strategy Absolute Income Fund | Hercules Technology Growth Capital, Inc. | HTGC | 427096508 | Annual | 07-Jul-15 | 15-Apr-15 | Management | 1.1 | Elect Director Allyn C. Woodward, Jr. | For | For | Yes | No |
Crystal Strategy Absolute Income Fund | Hercules Technology Growth Capital, Inc. | HTGC | 427096508 | Annual | 07-Jul-15 | 15-Apr-15 | Management | 1.2 | Elect Director Thomas J. Fallon | For | For | Yes | No |
Crystal Strategy Absolute Income Fund | Hercules Technology Growth Capital, Inc. | HTGC | 427096508 | Annual | 07-Jul-15 | 15-Apr-15 | Management | 1.3 | Elect Director Joseph F. Hoffman | For | For | Yes | No |
Crystal Strategy Absolute Income Fund | Hercules Technology Growth Capital, Inc. | HTGC | 427096508 | Annual | 07-Jul-15 | 15-Apr-15 | Management | 1.4 | Elect Director Susanne D. Lyons | For | For | Yes | No |
Crystal Strategy Absolute Income Fund | Hercules Technology Growth Capital, Inc. | HTGC | 427096508 | Annual | 07-Jul-15 | 15-Apr-15 | Management | 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | For | Against | Yes | Yes |
Crystal Strategy Absolute Income Fund | Hercules Technology Growth Capital, Inc. | HTGC | 427096508 | Annual | 07-Jul-15 | 15-Apr-15 | Management | 3 | Amend Omnibus Stock Plan | For | For | Yes | No |
Crystal Strategy Absolute Income Fund | Hercules Technology Growth Capital, Inc. | HTGC | 427096508 | Annual | 07-Jul-15 | 15-Apr-15 | Management | 4 | Approve Issuance of Shares Below Net Asset Value (NAV) | For | For | Yes | No |
Crystal Strategy Absolute Income Fund | DoubleLine Income Solutions Fund | DSL | 258622109 | Annual | 26-Feb-16 | 18-Dec-15 | Management | 1 | Elect Director Joseph J. Ciprari | For | For | Yes | No |
Crystal Strategy Absolute Income Fund | DoubleLine Income Solutions Fund | DSL | 258622109 | Annual | 26-Feb-16 | 18-Dec-15 | Management | 1 | Elect Director Joseph J. Ciprari | For | For | Yes | No |
Crystal Strategy Absolute Income Fund | AllianceBernstein Income Fund, Inc. | ACG | 01881E101 | Special | 01-Mar-16 | 04-Nov-15 | Management | 1 | Approve Reorganization of Funds | For | For | Yes | No |
Crystal Strategy Absolute Return | DoubleLine Income Solutions Fund | DSL | 258622109 | Annual | 26-Feb-16 | 18-Dec-15 | Management | 1 | Elect Director Joseph J. Ciprari | For | For | Yes | No |
Crystal Strategy Absolute Return | DoubleLine Income Solutions Fund | DSL | 258622109 | Annual | 26-Feb-16 | 18-Dec-15 | Management | 1 | Elect Director Joseph J. Ciprari | For | For | Yes | No |
Crystal Strategy Absolute Return | Barclays Bank plc | BCS.PD | 06739H297 | Written Consent | 29-Feb-16 | 28-Oct-15 | Management | 1 | Approve Amendment to the Indenture | For | For | Yes | No |
Crystal Strategy Absolute Return | AllianceBernstein Income Fund, Inc. | ACG | 01881E101 | Special | 01-Mar-16 | 04-Nov-15 | Management | 1 | Approve Reorganization of Funds | For | For | Yes | No |
Crystal Strategy Absolute Return | MainStay Funds Trust - MainStay U.S. Small Cap Fund | 56064B852 | Special | 01-Mar-16 | 10-Dec-15 | Management | 1 | Approve Reorganization of Funds | For | For | Yes | No | |
Crystal Strategy Absolute Return Plus | DoubleLine Income Solutions Fund | DSL | 258622109 | Annual | 26-Feb-16 | 18-Dec-15 | Management | 1 | Elect Director Joseph J. Ciprari | For | For | Yes | No |
Crystal Strategy Absolute Return Plus | DoubleLine Income Solutions Fund | DSL | 258622109 | Annual | 26-Feb-16 | 18-Dec-15 | Management | 1 | Elect Director Joseph J. Ciprari | For | For | Yes | No |
Crystal Strategy Absolute Return Plus | AllianceBernstein Income Fund, Inc. | ACG | 01881E101 | Special | 01-Mar-16 | 04-Nov-15 | Management | 1 | Approve Reorganization of Funds | For | For | Yes | No |
Crystal Strategy Absolute Return Plus | MainStay Funds Trust - MainStay U.S. Small Cap Fund | 56064B852 | Special | 01-Mar-16 | 10-Dec-15 | Management | 1 | Approve Reorganization of Funds | For | For | Yes | No |
Cupps All Cap Growth Fund
******************************* FORM N-Px REPORT *******************************
ICA File Number: 811-22747
Reporting Period: 07/01/2015 - 06/30/2016
ALPS Series Trust
========================== Cupps All Cap Growth Fund ===========================
ABIOMED, INC.
Ticker: ABMD Security ID: 003654100
Meeting Date: AUG 12, 2015 Meeting Type: Annual
Record Date: JUN 26, 2015
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Eric A. Rose For For Management
1.2 Elect Director Henri A. Termeer For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Approve Omnibus Stock Plan For For Management
4 Ratify Deloitte & Touche LLP as For For Management
Auditors
--------------------------------------------------------------------------------
ACADIA HEALTHCARE COMPANY, INC.
Ticker: ACHC Security ID: 00404A109
Meeting Date: MAR 03, 2016 Meeting Type: Special
Record Date: JAN 25, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1 Increase Authorized Common Stock For For Management
2 Adjourn Meeting For For Management
--------------------------------------------------------------------------------
ACADIA HEALTHCARE COMPANY, INC.
Ticker: ACHC Security ID: 00404A109
Meeting Date: MAY 19, 2016 Meeting Type: Annual
Record Date: MAR 24, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director William F. Grieco For For Management
1.2 Elect Director Joey A. Jacobs For For Management
1.3 Elect Director Reeve B. Waud For For Management
2 Amend Omnibus Stock Plan For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Ratify Ernst & Young LLP as Auditors For For Management
5 Require a Majority Vote for the Against For Shareholder
Election of Directors
6 Report on Sustainability Against For Shareholder
--------------------------------------------------------------------------------
ALBEMARLE CORPORATION
Ticker: ALB Security ID: 012653101
Meeting Date: MAY 10, 2016 Meeting Type: Annual
Record Date: MAR 11, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
2.1 Elect Director Jim W. Nokes For For Management
2.2 Elect Director William H. Hernandez For For Management
2.3 Elect Director Luther C. Kissam, IV For For Management
2.4 Elect Director Douglas L. Maine For For Management
2.5 Elect Director J. Kent Masters For For Management
2.6 Elect Director James J. O' Brien For For Management
2.7 Elect Director Barry W. Perry For For Management
2.8 Elect Director John Sherman, Jr. For For Management
2.9 Elect Director Gerald A. Steiner For For Management
2.10 Elect Director Harriett Tee Taggart For For Management
2.11 Elect Director Alejandro Wolff For For Management
3 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
--------------------------------------------------------------------------------
ALEXION PHARMACEUTICALS, INC.
Ticker: ALXN Security ID: 015351109
Meeting Date: MAY 11, 2016 Meeting Type: Annual
Record Date: MAR 15, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Leonard Bell For For Management
1.2 Elect Director Felix J. Baker For For Management
1.3 Elect Director David R. Brennan For For Management
1.4 Elect Director M. Michele Burns For For Management
1.5 Elect Director Christopher J. Coughlin For For Management
1.6 Elect Director David L. Hallal For For Management
1.7 Elect Director John T. Mollen For For Management
1.8 Elect Director R. Douglas Norby For For Management
1.9 Elect Director Alvin S. Parven For For Management
1.10 Elect Director Andreas Rummelt For For Management
1.11 Elect Director Ann M. Veneman For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
4 Reduce Ownership Threshold for Against For Shareholder
Shareholders to Call Special Meeting
--------------------------------------------------------------------------------
ALPHABET INC.
Ticker: GOOGL Security ID: 02079K305
Meeting Date: JUN 08, 2016 Meeting Type: Annual
Record Date: APR 11, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Larry Page For For Management
1.2 Elect Director Sergey Brin For For Management
1.3 Elect Director Eric E. Schmidt For For Management
1.4 Elect Director L. John Doerr For For Management
1.5 Elect Director Diane B. Greene For For Management
1.6 Elect Director John L. Hennessy For Withhold Management
1.7 Elect Director Ann Mather For For Management
1.8 Elect Director Alan R. Mulally For For Management
1.9 Elect Director Paul S. Otellini For Withhold Management
1.10 Elect Director K. Ram Shriram For Withhold Management
1.11 Elect Director Shirley M. Tilghman For For Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Amend Omnibus Stock Plan For Against Management
4 Amended and Restated Certificate of For Against Management
Incorporation of Google Inc.
5 Approve Recapitalization Plan for all Against For Shareholder
Stock to Have One-vote per Share
6 Report on Lobbying Payments and Policy Against For Shareholder
7 Report on Political Contributions Against For Shareholder
8 Require a Majority Vote for the Against For Shareholder
Election of Directors
9 Require Independent Board Chairman Against For Shareholder
10 Report on Gender Pay Gap Against For Shareholder
--------------------------------------------------------------------------------
AMAZON.COM, INC.
Ticker: AMZN Security ID: 023135106
Meeting Date: MAY 17, 2016 Meeting Type: Annual
Record Date: MAR 23, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Jeffrey P. Bezos For For Management
1b Elect Director Tom A. Alberg For For Management
1c Elect Director John Seely Brown For For Management
1d Elect Director William B. Gordon For For Management
1e Elect Director Jamie S. Gorelick For For Management
1f Elect Director Judith A. McGrath For For Management
1g Elect Director Jonathan J. Rubinstein For For Management
1h Elect Director Thomas O. Ryder For For Management
1i Elect Director Patricia Q. Stonesifer For For Management
1j Elect Director Wendell P. Weeks For For Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Report on Sustainability, Including Against For Shareholder
GHG Goals
4 Report on Human Rights Risk Assessment Against For Shareholder
Process
5 Report on Political Contributions Against Against Shareholder
--------------------------------------------------------------------------------
APPLE INC.
Ticker: AAPL Security ID: 037833100
Meeting Date: FEB 26, 2016 Meeting Type: Annual
Record Date: DEC 28, 2015
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director James Bell For For Management
1.2 Elect Director Tim Cook For For Management
1.3 Elect Director Al Gore For For Management
1.4 Elect Director Bob Iger For For Management
1.5 Elect Director Andrea Jung For For Management
1.6 Elect Director Art Levinson For For Management
1.7 Elect Director Ron Sugar For For Management
1.8 Elect Director Sue Wagner For For Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Amend Omnibus Stock Plan For For Management
5 Create Feasibility Plan for Net-Zero Against Against Shareholder
GHG Emissions, Including for Major
Suppliers
6 Adopt Policy to Increase Diversity of Against Against Shareholder
Senior Management and Board of
Directors
7 Report on Guidelines for Country Against Against Shareholder
Selection
8 Adopt Proxy Access Right Against For Shareholder
--------------------------------------------------------------------------------
AVAGO TECHNOLOGIES LIMITED
Ticker: AVGO Security ID: Y0486S104
Meeting Date: NOV 10, 2015 Meeting Type: Court
Record Date: SEP 25, 2015
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Scheme of Arrangement For For Management
2 Approve Allotment and Issuance of For For Management
Ordinary Shares
--------------------------------------------------------------------------------
BOSTON SCIENTIFIC CORPORATION
Ticker: BSX Security ID: 101137107
Meeting Date: MAY 03, 2016 Meeting Type: Annual
Record Date: MAR 16, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Nelda J. Connors For For Management
1b Elect Director Charles J. Dockendorff For For Management
1c Elect Director Donna A. James For For Management
1d Elect Director Kristina M. Johnson For For Management
1e Elect Director Edward J. Ludwig For For Management
1f Elect Director Stephen P. MacMillan For For Management
1g Elect Director Michael F. Mahoney For For Management
1h Elect Director David J. Roux For For Management
1i Elect Director John E. Sununu For For Management
1j Elect Director Ellen M. Zane For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Amend Omnibus Stock Plan For For Management
4 Ratify Ernst & Young LLP as Auditors For For Management
--------------------------------------------------------------------------------
BROADCOM LIMITED
Ticker: AVGO Security ID: Y09827109
Meeting Date: APR 06, 2016 Meeting Type: Annual
Record Date: FEB 12, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Hock E. Tan For For Management
1b Elect Director James V. Diller For For Management
1c Elect Director Lewis C. Eggebrecht For For Management
1d Elect Director Kenneth Y. Hao For For Management
1e Elect Director Eddy W. Hartenstein For For Management
1f Elect Director Justine F. Lien For For Management
1g Elect Director Donald Macleod For For Management
1h Elect Director Peter J. Marks For For Management
1i Elect Director Henry S. Samueli For For Management
1j Elect Director Lucien Y. K. Wong For For Management
2 Approve PricewaterhouseCoopers LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
3 Approve Issuance of Shares with or For For Management
without Preemptive Rights
4 Approve Cash Compensation to Directors For For Management
--------------------------------------------------------------------------------
BURLINGTON STORES, INC.
Ticker: BURL Security ID: 122017106
Meeting Date: MAY 18, 2016 Meeting Type: Annual
Record Date: MAR 24, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Tricia Patrick For For Management
1.2 Elect Director Paul J. Sullivan For For Management
1.3 Elect Director John J. Mahoney For For Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
CAVIUM, INC.
Ticker: CAVM Security ID: 14964U108
Meeting Date: JUN 15, 2016 Meeting Type: Annual
Record Date: APR 21, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Syed B. Ali For For Management
1.2 Elect Director Anthony S. Thornley For For Management
2 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Approve Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
CELGENE CORPORATION
Ticker: CELG Security ID: 151020104
Meeting Date: JUN 15, 2016 Meeting Type: Annual
Record Date: APR 18, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Robert J. Hugin For For Management
1.2 Elect Director Mark J. Alles For For Management
1.3 Elect Director Richard W. Barker For For Management
1.4 Elect Director Michael W. Bonney For For Management
1.5 Elect Director Michael D. Casey For For Management
1.6 Elect Director Carrie S. Cox For For Management
1.7 Elect Director Jacqualyn A. Fouse For For Management
1.8 Elect Director Michael A. Friedman For For Management
1.9 Elect Director Julia A. Haller For For Management
1.10 Elect Director Gilla S. Kaplan For For Management
1.11 Elect Director James J. Loughlin For For Management
1.12 Elect Director Ernest Mario For For Management
2 Ratify KPMG LLP as Auditors For For Management
3 Amend Omnibus Stock Plan For Against Management
4 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
5 Adopt the Jurisdiction of For Against Management
Incorporation as the Exclusive Forum
for Certain Disputes
6 Call Special Meetings Against For Shareholder
7 Proxy Access Against For Shareholder
--------------------------------------------------------------------------------
CHARTER COMMUNICATIONS, INC.
Ticker: CHTR Security ID: 16117M305
Meeting Date: APR 26, 2016 Meeting Type: Annual
Record Date: FEB 29, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1A Elect Director W. Lance Conn For For Management
1B Elect Director Michael P. Huseby For For Management
1C Elect Director Craig A. Jacobson For For Management
1D Elect Director Gregory B. Maffei For Against Management
1E Elect Director John C. Malone For Against Management
1F Elect Director John D. Markley, Jr. For For Management
1G Elect Director David C. Merritt For For Management
1H Elect Director Balan Nair For For Management
1I Elect Director Thomas M. Rutledge For For Management
1J Elect Director Eric L. Zinterhofer For For Management
2 Approve Executive Incentive Bonus Plan For For Management
3 Amend Omnibus Stock Plan For Against Management
4 Ratify KPMG LLP as Auditors For For Management
--------------------------------------------------------------------------------
COSTAR GROUP, INC.
Ticker: CSGP Security ID: 22160N109
Meeting Date: JUN 09, 2016 Meeting Type: Annual
Record Date: APR 11, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Michael R. Klein For For Management
1b Elect Director Andrew C. Florance For For Management
1c Elect Director Michael J. Glosserman For For Management
1d Elect Director Warren H. Haber For For Management
1e Elect Director John W. Hill For For Management
1f Elect Director Laura Cox Kaplan For For Management
1g Elect Director Christopher J. Nassetta For For Management
1h Elect Director David J. Steinberg For For Management
2 Approve Omnibus Stock Plan For For Management
3 Approve Executive Incentive Bonus Plan For For Management
4 Ratify Ernst & Young LLP as Auditors For For Management
5 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
DELPHI AUTOMOTIVE PLC
Ticker: DLPH Security ID: G27823106
Meeting Date: APR 28, 2016 Meeting Type: Annual
Record Date: FEB 26, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1 Re-elect Joseph S. Cantie as Director For For Management
2 Re-elect Kevin P. Clark as Director For For Management
3 Re-elect Gary L. Cowger as Director For For Management
4 Re-elect Nicholas M. Donofrio as For For Management
Director
5 Re-elect Mark P. Frissora as Director For For Management
6 Re-elect Rajiv L. Gupta as Director For For Management
7 Re-elect J. Randall MacDonald as For For Management
Director
8 Re-elect Sean O. Mahoney as Director For For Management
9 Re-elect Timothy M. Manganello as For For Management
Director
10 Re-elect Bethany J. Mayer as Director For For Management
11 Re-elect Thomas W. Sidlik as Director For For Management
12 Re-elect Bernd Wiedemann as Director For For Management
13 Re-elect Lawrence A. Zimmerman as For For Management
Director
14 Ratify Ernst & Young LLP as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
15 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
DELTA AIR LINES, INC.
Ticker: DAL Security ID: 247361702
Meeting Date: JUN 10, 2016 Meeting Type: Annual
Record Date: APR 18, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Richard H. Anderson For For Management
1b Elect Director Edward H. Bastian For For Management
1c Elect Director Francis S. Blake For For Management
1d Elect Director Daniel A. Carp For For Management
1e Elect Director David G. DeWalt For For Management
1f Elect Director Thomas E. Donilon For For Management
1g Elect Director William H. Easter, III For For Management
1h Elect Director Mickey P. Foret For For Management
1i Elect Director Shirley C. Franklin For For Management
1j Elect Director George N. Mattson For For Management
1k Elect Director Douglas R. Ralph For For Management
1l Elect Director Sergio A.L. Rial For For Management
1m Elect Director Kathy N. Waller For For Management
1n Elect Director Kenneth B. Woodrow For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Amend Omnibus Stock Plan For For Management
4 Ratify Ernst & Young LLP as Auditors For For Management
5 Stock Retention Against For Shareholder
--------------------------------------------------------------------------------
DEXCOM, INC.
Ticker: DXCM Security ID: 252131107
Meeting Date: MAY 19, 2016 Meeting Type: Annual
Record Date: MAR 30, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Steven R. Altman For For Management
1b Elect Director Barbara E. Kahn For For Management
1c Elect Director Jay S. Skyler For For Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
DOMINO'S PIZZA, INC.
Ticker: DPZ Security ID: 25754A201
Meeting Date: APR 26, 2016 Meeting Type: Annual
Record Date: MAR 07, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director David A. Brandon For For Management
1.2 Elect Director C. Andrew Ballard For For Management
1.3 Elect Director Andrew B. Balson For For Management
1.4 Elect Director Diana F. Cantor For For Management
1.5 Elect Director J. Patrick Doyle For For Management
1.6 Elect Director Richard L. Federico For For Management
1.7 Elect Director James A. Goldman For For Management
1.8 Elect Director Gregory A. Trojan For For Management
2 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Report on Plan to Address Supply Chain Against For Shareholder
Impacts on Deforestation
--------------------------------------------------------------------------------
E*TRADE FINANCIAL CORPORATION
Ticker: ETFC Security ID: 269246401
Meeting Date: MAY 12, 2016 Meeting Type: Annual
Record Date: MAR 14, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Richard J. Carbone For For Management
1b Elect Director James P. Healy For For Management
1c Elect Director Paul T. Idzik For For Management
1d Elect Director Frederick W. Kanner For For Management
1e Elect Director James Lam For For Management
1f Elect Director Rodger A. Lawson For For Management
1g Elect Director Shelley B. Leibowitz For For Management
1h Elect Director Rebecca Saeger For For Management
1i Elect Director Joseph L. Sclafani For For Management
1j Elect Director Gary H. Stern For For Management
1k Elect Director Donna L. Weaver For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Deloitte & Touche LLP as For For Management
Auditors
--------------------------------------------------------------------------------
EDWARDS LIFESCIENCES CORPORATION
Ticker: EW Security ID: 28176E108
Meeting Date: MAY 12, 2016 Meeting Type: Annual
Record Date: MAR 18, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Michael A. Mussallem For For Management
1b Elect Director John T. Cardis For For Management
1c Elect Director Kieran T. Gallahue For For Management
1d Elect Director William J. Link For For Management
1e Elect Director Steven R. Loranger For For Management
1f Elect Director Martha H. Marsh For For Management
1g Elect Director Wesley W. von Schack For For Management
1h Elect Director Nicholas J. Valeriani For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Amend Omnibus Stock Plan For For Management
4 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
--------------------------------------------------------------------------------
ELECTRONIC ARTS INC.
Ticker: EA Security ID: 285512109
Meeting Date: AUG 14, 2015 Meeting Type: Annual
Record Date: JUN 22, 2015
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Leonard S. Coleman For For Management
1b Elect Director Jay C. Hoag For For Management
1c Elect Director Jeffrey T. Huber For For Management
1d Elect Director Vivek Paul For For Management
1e Elect Director Lawrence F. Probst, III For For Management
1f Elect Director Richard A. Simonson For For Management
1g Elect Director Luis A. Ubinas For For Management
1h Elect Director Denise F. Warren For For Management
1i Elect Director Andrew Wilson For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify KPMG LLP as Auditors For For Management
4 Proxy Access Against For Shareholder
--------------------------------------------------------------------------------
EXACT SCIENCES CORPORATION
Ticker: EXAS Security ID: 30063P105
Meeting Date: JUL 23, 2015 Meeting Type: Annual
Record Date: MAY 29, 2015
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Thomas D. Carey For Withhold Management
1.2 Elect Director Daniel J. Levangie For Withhold Management
1.3 Elect Director Michael S. Wyzga For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Amend Omnibus Stock Plan For For Management
4 Ratify BDO USA, LLP as Auditors For For Management
--------------------------------------------------------------------------------
FACEBOOK, INC.
Ticker: FB Security ID: 30303M102
Meeting Date: JUN 20, 2016 Meeting Type: Annual
Record Date: APR 29, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Marc L. Andreessen For Withhold Management
1.2 Elect Director Erskine B. Bowles For Withhold Management
1.3 Elect Director Susan D. For Withhold Management
Desmond-Hellmann
1.4 Elect Director Reed Hastings For For Management
1.5 Elect Director Jan Koum For Withhold Management
1.6 Elect Director Sheryl K. Sandberg For Withhold Management
1.7 Elect Director Peter A. Thiel For For Management
1.8 Elect Director Mark Zuckerberg For Withhold Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Ratify the Grant of Restricted Stock For Against Management
Units to Non-Employee Directors
5 Ratify the Grant of Restricted Stock For Against Management
Units to Non-Employee Directors
6 Approve Annual Compensation Program For Against Management
for Non-employee Directors
7A Amend Certificate of Incorporation to For Against Management
Establish the Class C Capital Stock
and to Make Certain Clarifying Changes
7B Increase Authorized Common Stock For Against Management
7C Amend Certificate of Incorporation to For For Management
Provide Equal Treatment of Shares of
Class A Common Stock, Class B Common
Stock, and Class C Capital Stock
7D Amend Certificate of Incorporation to For For Management
Provide for Additional Events
8 Amend Omnibus Stock Plan For Against Management
9 Approve Recapitalization Plan for all Against For Shareholder
Stock to Have One-vote per Share
10 Report on Sustainability Against For Shareholder
11 Report on Lobbying Payments and Policy Against For Shareholder
12 Establish International Policy Board Against Against Shareholder
Committee
13 Report on Gender Pay Gap Against For Shareholder
--------------------------------------------------------------------------------
FREESCALE SEMICONDUCTOR, LTD.
Ticker: FSL Security ID: G3727Q101
Meeting Date: JUL 02, 2015 Meeting Type: Special
Record Date: MAY 27, 2015
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Merger Agreement For For Management
2 Advisory Vote on Golden Parachutes For Against Management
3 Adjourn Meeting For For Management
--------------------------------------------------------------------------------
GENPACT LIMITED
Ticker: G Security ID: G3922B107
Meeting Date: MAY 03, 2016 Meeting Type: Annual
Record Date: MAR 04, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect N.V. Tyagarajan as Director For For Management
1.2 Elect Robert Scott as Director For For Management
1.3 Elect Amit Chandra as Director For Against Management
1.4 Elect Laura Conigliaro as Director For For Management
1.5 Elect David Humphrey as Director For For Management
1.6 Elect James Madden as Director For For Management
1.7 Elect Alex Mandl as Director For For Management
1.8 Elect CeCelia Morken as Director For For Management
1.9 Elect Mark Nunnelly as Director For For Management
1.10 Elect Hanspeter Spek as Director For For Management
1.11 Elect Mark Verdi as Director For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify KPMG as Auditors For For Management
--------------------------------------------------------------------------------
GILEAD SCIENCES, INC.
Ticker: GILD Security ID: 375558103
Meeting Date: MAY 11, 2016 Meeting Type: Annual
Record Date: MAR 16, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director John F. Cogan For For Management
1b Elect Director Kevin E. Lofton For For Management
1c Elect Director John W. Madigan For For Management
1d Elect Director John C. Martin For For Management
1e Elect Director John F. Milligan For For Management
1f Elect Director Nicholas G. Moore For For Management
1g Elect Director Richard J. Whitley For For Management
1h Elect Director Gayle E. Wilson For For Management
1i Elect Director Per Wold-Olsen For For Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Amend Executive Incentive Bonus Plan For For Management
4 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
5 Provide Right to Act by Written Consent Against For Shareholder
--------------------------------------------------------------------------------
GODADDY INC.
Ticker: GDDY Security ID: 380237107
Meeting Date: JUN 08, 2016 Meeting Type: Annual
Record Date: APR 11, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Blake J. Irving For Withhold Management
1.2 Elect Director Charles J. Robel For For Management
1.3 Elect Director John I. Park For Withhold Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Advisory Vote on Say on Pay Frequency One Year One Year Management
--------------------------------------------------------------------------------
HANESBRANDS INC.
Ticker: HBI Security ID: 410345102
Meeting Date: APR 25, 2016 Meeting Type: Annual
Record Date: FEB 16, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Bobby J. Griffin For For Management
1b Elect Director James C. Johnson For For Management
1c Elect Director Jessica T. Mathews For For Management
1d Elect Director Franck J. Moison For For Management
1e Elect Director Robert F. Moran For For Management
1f Elect Director Ronald L. Nelson For For Management
1g Elect Director Richard A. Noll For For Management
1h Elect Director Andrew J. Schindler For For Management
1i Elect Director David V. Singer For For Management
1j Elect Director Ann E. Ziegler For For Management
2 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
HOLOGIC, INC.
Ticker: HOLX Security ID: 436440101
Meeting Date: MAR 02, 2016 Meeting Type: Annual
Record Date: JAN 08, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Jonathan Christodoro For For Management
1.2 Elect Director Sally W. Crawford For For Management
1.3 Elect Director Scott T. Garrett For For Management
1.4 Elect Director Nancy L. Leaming For For Management
1.5 Elect Director Lawrence M. Levy For For Management
1.6 Elect Director Stephen P. MacMillan For For Management
1.7 Elect Director Samuel Merksamer For Withhold Management
1.8 Elect Director Christiana Stamoulis For For Management
1.9 Elect Director Elaine S. Ullian For For Management
1.10 Elect Director Christopher J. Coughlin For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Amend Qualified Employee Stock For For Management
Purchase Plan
4 Ratify Ernst & Young LLP as Auditors For For Management
--------------------------------------------------------------------------------
HUNTINGTON INGALLS INDUSTRIES, INC.
Ticker: HII Security ID: 446413106
Meeting Date: APR 29, 2016 Meeting Type: Annual
Record Date: MAR 04, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Thomas B. Fargo For For Management
1.2 Elect Director John K. Welch For For Management
1.3 Elect Director Stephen R. Wilson For For Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
INTREXON CORPORATION
Ticker: XON Security ID: 46122T102
Meeting Date: JUN 09, 2016 Meeting Type: Annual
Record Date: APR 18, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1A Elect Director Randal J. Kirk For For Management
1B Elect Director Cesar L. Alvarez For For Management
1C Elect Director Steven R. Frank For For Management
1D Elect Director Jeffrey B. Kindler For For Management
1E Elect Director Dean J. Mitchell For For Management
1F Elect Director Robert B. Shapiro For For Management
1G Elect Director James S. Turley For For Management
2 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
4 Amend Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
M/A-COM TECHNOLOGY SOLUTIONS HOLDINGS, INC.
Ticker: MTSI Security ID: 55405Y100
Meeting Date: MAR 03, 2016 Meeting Type: Annual
Record Date: JAN 11, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Peter Chung For For Management
1.2 Elect Director Gil Van Lunsen For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Deloitte & Touche LLP as For For Management
Auditors
4 Amend Omnibus Stock Plan For Against Management
--------------------------------------------------------------------------------
MCDONALD'S CORPORATION
Ticker: MCD Security ID: 580135101
Meeting Date: MAY 26, 2016 Meeting Type: Annual
Record Date: MAR 28, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Lloyd Dean For For Management
1b Elect Director Stephen Easterbrook For For Management
1c Elect Director Robert Eckert For For Management
1d Elect Director Margaret Georgiadis For For Management
1e Elect Director Enrique Hernandez, Jr. For For Management
1f Elect Director Jeanne Jackson For For Management
1g Elect Director Richard Lenny For For Management
1h Elect Director Walter Massey For For Management
1i Elect Director John Mulligan For For Management
1j Elect Director Sheila Penrose For For Management
1k Elect Director John Rogers, Jr. For For Management
1l Elect Director Miles White For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Ernst & Young LLP as Auditors For For Management
4 Provide Vote Counting to Exclude Against Against Shareholder
Abstentions
5 Provide Right to Act by Written Consent Against For Shareholder
6 Adopt Holy Land Principles Against Against Shareholder
7 Adopt Policy to Ban Non-Therapeutic Against For Shareholder
Use of Antibiotics in Meat Supply Chain
8 Report on Consistency Between Against Against Shareholder
Corporate Values and Political
Contributions
9 Report on Consistency Between Against Against Shareholder
Corporate Values and Political
Activities
--------------------------------------------------------------------------------
MGM RESORTS INTERNATIONAL
Ticker: MGM Security ID: 552953101
Meeting Date: JUN 01, 2016 Meeting Type: Annual
Record Date: APR 06, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Robert H. Baldwin For For Management
1.2 Elect Director William A. Bible For For Management
1.3 Elect Director Mary Chris Gay For For Management
1.4 Elect Director William W. Grounds For For Management
1.5 Elect Director Alexis M. Herman For For Management
1.6 Elect Director Roland Hernandez For For Management
1.7 Elect Director Anthony Mandekic For For Management
1.8 Elect Director Rose McKinney-James For For Management
1.9 Elect Director James J. Murren For For Management
1.10 Elect Director Gregory M. Spierkel For For Management
1.11 Elect Director Daniel J. Taylor For For Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Amend Executive Incentive Bonus Plan For For Management
--------------------------------------------------------------------------------
NETFLIX, INC.
Ticker: NFLX Security ID: 64110L106
Meeting Date: JUN 09, 2016 Meeting Type: Annual
Record Date: APR 11, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Timothy M. Haley For Withhold Management
1.2 Elect Director Leslie Kilgore For Withhold Management
1.3 Elect Director Ann Mather For Withhold Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Require a Majority Vote for the Against For Shareholder
Election of Directors
5 Proxy Access Against For Shareholder
6 Adopt Simple Majority Vote Against For Shareholder
7 Declassify the Board of Directors Against For Shareholder
--------------------------------------------------------------------------------
NEUROCRINE BIOSCIENCES, INC.
Ticker: NBIX Security ID: 64125C109
Meeting Date: MAY 20, 2016 Meeting Type: Annual
Record Date: APR 12, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Corinne H. Nevinny For For Management
1.2 Elect Director Richard F. Pops For Withhold Management
1.3 Elect Director Stephen A. Sherwin For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Increase Authorized Common Stock For For Management
4 Amend Omnibus Stock Plan For Against Management
5 Ratify Ernst & Young LLP as Auditors For For Management
--------------------------------------------------------------------------------
NEVRO CORP.
Ticker: NVRO Security ID: 64157F103
Meeting Date: MAY 18, 2016 Meeting Type: Annual
Record Date: MAR 23, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Ali Behbahani For Withhold Management
1.2 Elect Director Rami Elghandour For For Management
1.3 Elect Director Wilfred E. Jaeger For Withhold Management
2 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
3 Advisory Vote on Say on Pay Frequency One Year One Year Management
--------------------------------------------------------------------------------
NIELSEN HOLDINGS PLC
Ticker: NLSN Security ID: G6518L108
Meeting Date: JUN 21, 2016 Meeting Type: Annual
Record Date: APR 22, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director James A. Attwood, Jr. For For Management
1b Elect Director Mitch Barns For For Management
1c Elect Director David L. Calhoun For For Management
1d Elect Director Karen M. Hoguet For For Management
1e Elect Director James M. Kilts For For Management
1f Elect Director Harish Manwani For For Management
1g Elect Director Kathryn V. Marinello For For Management
1h Elect Director Robert Pozen For For Management
1i Elect Director Vivek Ranadive For For Management
1j Elect Director Javier G. Teruel For For Management
1k Elect Director Lauren Zalaznick For For Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Appoint Ernst & Young LLP as UK For For Management
Statutory Auditors
4 Authorize the Board to Fix For For Management
Remuneration of the UK Statutory
Auditors
5 Approve Qualified Employee Stock For For Management
Purchase Plan
6 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
7 Advisory Vote to Ratify Directors' For For Management
Compensation Report
8 Approve Remuneration Policy For For Management
--------------------------------------------------------------------------------
NXP SEMICONDUCTORS NV
Ticker: NXPI Security ID: N6596X109
Meeting Date: JUN 02, 2016 Meeting Type: Annual
Record Date: MAY 05, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting None None Management
2a Discussion of the implementation of None None Management
the remuneration policy
2b Discussion on Company's Reserves and None None Management
Dividend Policy
2c Adopt Financial Statements and For For Management
Statutory Reports
2d Approve Discharge of Board Members For For Management
3a Reelect Richard L. Clemmer as For For Management
Executive Director
3b Reelect Peter Bonfield as For For Management
Non-Executive Director
3c Reelect Johannes P. Huth as For For Management
Non-Executive Director
3d Reelect Kenneth A. Goldman as For For Management
Non-Executive Director
3e Reelect Marion Helmes as For For Management
Non-Executive Director
3f Reelect Joseph Kaeser as For For Management
Non-Executive Director
3g Reelect I. Loring as Non-Executive For For Management
Director
3h Reelect Eric Meurice as Non-Executive For For Management
Director
3i Reelect Peter Smitham as Non-Executive For For Management
Director
3j Reelect Julie Southern as For For Management
Non-Executive Director
3k Reelect Gregory Summe as Non-Executive For For Management
Director
3l Reelect Rick Tsai as Director For For Management
4 Approve Remuneration of Audit, For For Management
Nominating and Compensation Committee
5a Grant Board Authority to Issue Shares For For Management
Up To 10 Percent of Issued Capital
Plus Additional 10 Percent in Case of
Takeover/Merger
5b Authorize Board to Exclude Preemptive For For Management
Rights from Issuance Under Item 5a
6 Authorize Repurchase of Shares For For Management
7 Approve Cancellation of Ordinary Shares For For Management
--------------------------------------------------------------------------------
PALO ALTO NETWORKS, INC.
Ticker: PANW Security ID: 697435105
Meeting Date: DEC 11, 2015 Meeting Type: Annual
Record Date: OCT 15, 2015
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director John M. Donovan For Withhold Management
1.2 Elect Director Stanley J. Meresman For Withhold Management
1.3 Elect Director Nir Zuk For Withhold Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
PAYPAL HOLDINGS, INC.
Ticker: PYPL Security ID: 70450Y103
Meeting Date: MAY 25, 2016 Meeting Type: Annual
Record Date: APR 04, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Wences Casares For For Management
1b Elect Director Jonathan Christodoro For For Management
1c Elect Director John J. Donahoe For For Management
1d Elect Director David W. Dorman For For Management
1e Elect Director Gail J. McGovern For For Management
1f Elect Director David M. Moffett For For Management
1g Elect Director Pierre M. Omidyar For For Management
1h Elect Director Daniel H. Schulman For For Management
1i Elect Director Frank D. Yeary For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Advisory Vote on Say on Pay Frequency One Year One Year Management
4 Amend Omnibus Stock Plan For For Management
5 Amend Executive Incentive Bonus Plan For For Management
6 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
--------------------------------------------------------------------------------
POST HOLDINGS, INC.
Ticker: POST Security ID: 737446104
Meeting Date: JAN 28, 2016 Meeting Type: Annual
Record Date: DEC 01, 2015
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Gregory L. Curl For For Management
1.2 Elect Director David P. Skarie For For Management
2 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Approve Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
ROCKWELL COLLINS, INC.
Ticker: COL Security ID: 774341101
Meeting Date: FEB 04, 2016 Meeting Type: Annual
Record Date: DEC 07, 2015
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director John A. Edwardson For For Management
1.2 Elect Director Andrew J. Policano For For Management
1.3 Elect Director Jeffrey L. Turner For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Deloitte & Touche LLP as For For Management
Auditors
--------------------------------------------------------------------------------
ROYAL CARIBBEAN CRUISES LTD.
Ticker: RCL Security ID: V7780T103
Meeting Date: MAY 20, 2016 Meeting Type: Annual
Record Date: MAR 30, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director John F. Brock For For Management
1b Elect Director Richard D. Fain For For Management
1c Elect Director William L. Kimsey For For Management
1d Elect Director Maritza G. Montiel For For Management
1e Elect Director Ann S. Moore For For Management
1f Elect Director Eyal M. Ofer For For Management
1g Elect Director Thomas J. Pritzker For For Management
1h Elect Director William K. Reilly For For Management
1i Elect Director Bernt Reitan For For Management
1j Elect Director Vagn O. Sorensen For For Management
1k Elect Director Donald Thompson For For Management
1l Elect Director Arne Alexander For For Management
Wilhelmsen
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Amend Omnibus Stock Plan For For Management
4 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
5 Proxy Access None For Shareholder
--------------------------------------------------------------------------------
SALESFORCE.COM, INC.
Ticker: CRM Security ID: 79466L302
Meeting Date: JUN 02, 2016 Meeting Type: Annual
Record Date: APR 07, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Marc Benioff For For Management
1b Elect Director Keith Block For For Management
1c Elect Director Craig Conway For For Management
1d Elect Director Alan Hassenfeld For For Management
1e Elect Director Neelie Kroes For For Management
1f Elect Director Colin Powell For For Management
1g Elect Director Sanford Robertson For For Management
1h Elect Director John V. Roos For For Management
1i Elect Director Lawrence Tomlinson For For Management
1j Elect Director Robin Washington For For Management
1k Elect Director Maynard Webb For For Management
1l Elect Director Susan Wojcicki For For Management
2 Provide Directors May Be Removed With For For Management
or Without Cause
3 Ratify Ernst & Young LLP as Auditors For For Management
4 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
5 Pro-rata Vesting of Equity Awards Against For Shareholder
6 Stock Retention/Holding Period Against For Shareholder
--------------------------------------------------------------------------------
SERVICENOW, INC.
Ticker: NOW Security ID: 81762P102
Meeting Date: JUN 08, 2016 Meeting Type: Annual
Record Date: APR 19, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1A Elect Director Paul V. Barber For For Management
1B Elect Director Ronald E.F. Codd For For Management
1C Elect Director Frank Slootman For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
--------------------------------------------------------------------------------
SKECHERS U.S.A., INC.
Ticker: SKX Security ID: 830566105
Meeting Date: SEP 24, 2015 Meeting Type: Special
Record Date: SEP 01, 2015
# Proposal Mgt Rec Vote Cast Sponsor
1 Increase Authorized Class A and Class For For Management
B Common Stock and to Effect Stock
Split of Both Classes
--------------------------------------------------------------------------------
SKYWORKS SOLUTIONS, INC.
Ticker: SWKS Security ID: 83088M102
Meeting Date: MAY 11, 2016 Meeting Type: Annual
Record Date: MAR 17, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director David J. Aldrich For For Management
1.2 Elect Director Kevin L. Beebe For For Management
1.3 Elect Director Timothy R. Furey For For Management
1.4 Elect Director Balakrishnan S. Iyer For For Management
1.5 Elect Director Christine King For For Management
1.6 Elect Director David P. McGlade For For Management
1.7 Elect Director David J. McLachlan For For Management
1.8 Elect Director Robert A. Schriesheim For For Management
2 Ratify KPMG LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Eliminate Supermajority Vote For For Management
Requirement Relating to Amendment of
By-laws
5 Eliminate Supermajority Vote For For Management
Requirement Relating to Merger or
Consolidation
6 Eliminate Supermajority Vote For For Management
Requirement Relating to Business
Combination
7 Eliminate Supermajority Vote For For Management
Requirement Relating to Charter
Provisions Governing Directors
8 Eliminate Supermajority Vote For For Management
Requirement Relating to Charter
Provisions Governing Actions by
Stockholders
--------------------------------------------------------------------------------
STARBUCKS CORPORATION
Ticker: SBUX Security ID: 855244109
Meeting Date: MAR 23, 2016 Meeting Type: Annual
Record Date: JAN 14, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Howard Schultz For For Management
1b Elect Director William W. Bradley For For Management
1c Elect Director Mary N. Dillon For For Management
1d Elect Director Robert M. Gates For For Management
1e Elect Director Mellody Hobson For For Management
1f Elect Director Kevin R. Johnson For For Management
1g Elect Director Joshua Cooper Ramo For For Management
1h Elect Director James G. Shennan, Jr. For For Management
1i Elect Director Clara Shih For For Management
1j Elect Director Javier G. Teruel For For Management
1k Elect Director Myron E. Ullman, III For For Management
1l Elect Director Craig E. Weatherup For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Amend Executive Incentive Bonus Plan For For Management
4 Ratify Deloitte & Touche LLP as For For Management
Auditors
5 Proxy Access Against For Shareholder
6 Amend Policies to Allow Employees to Against Against Shareholder
Participate in Political Process with
No Retribution
--------------------------------------------------------------------------------
TESLA MOTORS, INC.
Ticker: TSLA Security ID: 88160R101
Meeting Date: MAY 31, 2016 Meeting Type: Annual
Record Date: APR 08, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Brad W. Buss For For Management
1.2 Elect Director Ira Ehrenpreis For Against Management
2 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
3 Reduce Supermajority Vote Requirement Against For Shareholder
--------------------------------------------------------------------------------
TEXAS ROADHOUSE, INC.
Ticker: TXRH Security ID: 882681109
Meeting Date: MAY 19, 2016 Meeting Type: Annual
Record Date: MAR 22, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Gregory N. Moore For For Management
1.2 Elect Director James F. Parker For For Management
1.3 Elect Director Kathleen N. Widmer For For Management
2 Ratify KPMG LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Declassify the Board of Directors For For Management
--------------------------------------------------------------------------------
THE ULTIMATE SOFTWARE GROUP, INC.
Ticker: ULTI Security ID: 90385D107
Meeting Date: MAY 16, 2016 Meeting Type: Annual
Record Date: MAR 22, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1A Elect Director Scott Scherr For For Management
1B Elect Director Alois T. Leiter For For Management
2 Ratify KPMG LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
4 Amend Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
THE WHITEWAVE FOODS COMPANY
Ticker: WWAV Security ID: 966244105
Meeting Date: MAY 12, 2016 Meeting Type: Annual
Record Date: MAR 18, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1A Elect Director Michelle P. Goolsby For For Management
1B Elect Director Stephen L. Green For For Management
1C Elect Director Anthony J. Magro For For Management
1D Elect Director W. Anthony Vernon For For Management
1E Elect Director Doreen A. Wright For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Deloitte & Touche LLP as For For Management
Auditors
--------------------------------------------------------------------------------
ULTA SALON, COSMETICS & FRAGRANCE, INC.
Ticker: ULTA Security ID: 90384S303
Meeting Date: JUN 01, 2016 Meeting Type: Annual
Record Date: APR 04, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Mary N. Dillon For For Management
1.2 Elect Director Charles Heilbronn For For Management
1.3 Elect Director Michael R. MacDonald For For Management
1.4 Elect Director George R. Mrkonic For For Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Amend Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
ULTRAGENYX PHARMACEUTICAL INC.
Ticker: RARE Security ID: 90400D108
Meeting Date: JUN 09, 2016 Meeting Type: Annual
Record Date: APR 12, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director William Aliski For For Management
1b Elect Director Lars Ekman For For Management
1c Elect Director Matthew K. Fust For For Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Advisory Vote on Say on Pay Frequency One Year One Year Management
--------------------------------------------------------------------------------
UNDER ARMOUR, INC.
Ticker: UA Security ID: 904311107
Meeting Date: AUG 26, 2015 Meeting Type: Special
Record Date: JUL 13, 2015
# Proposal Mgt Rec Vote Cast Sponsor
1a Amend Charter to Provide the For For Management
Conversion of Each Class B into One
Share of Class A, if Kevin Plank Sells
or Disposes More than 2.5 Million of
the Company's Shares
1b Amend Charter to Provide the For For Management
Conversion of Each Class B into One
Share of Class A, Upon Departure of
Kevin Plank from the Company
1c Amend Charter to Provide Equal For For Management
Treatment Provisions
1d Amend Charter to Enhance Board For For Management
Independence Provisions
1e Amend Charter to Provide that For For Management
Amendments to Equal Treatment
Provisions and Board Indepence
Provisions Require a Supermajority Vote
2 Amend Omnibus Stock Plan For Against Management
3 Approve Nonqualified Employee Stock For For Management
Purchase Plan
--------------------------------------------------------------------------------
VAIL RESORTS, INC.
Ticker: MTN Security ID: 91879Q109
Meeting Date: DEC 04, 2015 Meeting Type: Annual
Record Date: OCT 12, 2015
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Susan L. Decker For For Management
1b Elect Director Roland A. Hernandez For For Management
1c Elect Director Robert A. Katz For For Management
1d Elect Director John T. Redmond For For Management
1e Elect Director Hilary A. Schneider For For Management
1f Elect Director D. Bruce Sewell For For Management
1g Elect Director John F. Sorte For For Management
1h Elect Director Peter A. Vaughn For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Approve Omnibus Stock Plan For For Management
4 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
--------------------------------------------------------------------------------
VISA INC.
Ticker: V Security ID: 92826C839
Meeting Date: FEB 03, 2016 Meeting Type: Annual
Record Date: DEC 07, 2015
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Lloyd A. Carney For For Management
1b Elect Director Mary B. Cranston For For Management
1c Elect Director Francisco Javier For For Management
Fernandez-Carbajal
1d Elect Director Alfred F. Kelly, Jr. For For Management
1e Elect Director Robert W. Matschullat For For Management
1f Elect Director Cathy E. Minehan For For Management
1g Elect Director Suzanne Nora Johnson For For Management
1h Elect Director David J. Pang For For Management
1i Elect Director Charles W. Scharf For For Management
1j Elect Director John A. C. Swainson For For Management
1k Elect Director Maynard G. Webb, Jr. For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Amend Omnibus Stock Plan For For Management
4 Amend Executive Incentive Bonus Plan For For Management
5 Ratify KPMG LLP as Auditors For For Management
--------------------------------------------------------------------------------
VULCAN MATERIALS COMPANY
Ticker: VMC Security ID: 929160109
Meeting Date: MAY 13, 2016 Meeting Type: Annual
Record Date: MAR 14, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1A Elect Director Elaine L. Chao For For Management
1B Elect Director Lee J. Styslinger, III For For Management
1C Elect Director Douglas J. McGregor For For Management
1D Elect Director Vincent J. Trosino For For Management
2 Approve Omnibus Stock Plan For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Ratify Deloitte & Touche LLP as For For Management
Auditors
--------------------------------------------------------------------------------
WAYFAIR INC.
Ticker: W Security ID: 94419L101
Meeting Date: MAY 18, 2016 Meeting Type: Annual
Record Date: MAR 21, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Neeraj Agrawal For For Management
1b Elect Director Julie Bradley For For Management
1c Elect Director Steven Conine For For Management
1d Elect Director Robert Gamgort For For Management
1e Elect Director Michael Kumin For For Management
1f Elect Director Ian Lane For For Management
1g Elect Director Romero Rodrigues For For Management
1h Elect Director Niraj Shah For For Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Advisory Vote on Say on Pay Frequency Three One Year Management
Years
--------------------------------------------------------------------------------
XPO LOGISTICS, INC.
Ticker: XPO Security ID: 983793100
Meeting Date: SEP 08, 2015 Meeting Type: Special
Record Date: JUL 13, 2015
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Conversion of Securities For For Management
2 Increase Authorized Common Stock For For Management
3 Amend Omnibus Stock Plan For For Management
4 Adjourn Meeting For For Management
--------------------------------------------------------------------------------
XPO LOGISTICS, INC.
Ticker: XPO Security ID: 983793100
Meeting Date: MAY 11, 2016 Meeting Type: Annual
Record Date: MAR 24, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Bradley S. Jacobs For For Management
1.2 Elect Director Gena L. Ashe For For Management
1.3 Elect Director Louis DeJoy For For Management
1.4 Elect Director Michael G. Jesselson For For Management
1.5 Elect Director Adrian P. Kingshott For For Management
1.6 Elect Director Jason D. Papastavrou For For Management
1.7 Elect Director Oren G. Shaffer For For Management
2 Ratify KPMG LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
========== END NPX REPORT
Valspresso Green Zone Select™ Tactical Fund
Valspresso Fund - Proxy Voting Record
January 5, 2016
January 5, 2016
Company | Ticker | CUSIP | Meeting Date | A brief identification of the matter voted on | Proposed by | Voted | Vote Cast | With or Against |
Meridian Bioscience | VIVO | 589584101 | 1/27/2015 | Election of directors, executive compensation, and appointment of auditor | Board | Yes | For | With |
Meridian Bioscience | VIVO | 589584101 | 1/27/2015 | Election of directors, executive compensation, and appointment of auditor | Board | Yes | For | With |
Napco Security Technologies | NCCS | 630402105 | 12/9/2015 | Appointment of auditor | Board | No | N/A | N/A |
Village Super Market | VLGEA | 927107409 | 12/11/2015 | Election of directors and appointment of auditor | Board | Yes | For | With |
1-800 Flowers | FLWS | 68243Q106 | 12/7/2015 | Appointment of auditor | Board | Yes | For | With |
Bowl America, Inc | BWL-A | 102565108 | 12/1/2015 | Executive compensation | Board | Yes | For | With |
LSI Industries | LYTS | 50216C108 | 11/19/2015 | Executive compensation, appointment of auditor, and amendment of incentive plan | Board | Yes | For | With |
Twin Disc, Incorporated | TWIN | 901476101 | 10/23/2015 | Executive compensation and appointment of auditor | Board | No | N/A | N/A |
The L.S. Starrett Company | SCX | 855668109 | 10/14/2015 | Appointment of auditor | Board | No | N/A | N/A |
Clarkston Fund
Clarkston Partners Fund
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 1 of 47 |
Clarkston Fund
MASTERCARD INCORPORATED | |||
Security: | 57636Q104 | Agenda Number: | 934417280 |
Ticker: | MA | Meeting Type: | Annual |
ISIN: | US57636Q1040 | Meeting Date: | 28-Jun-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1A. | ELECTION OF DIRECTOR: RICHARD HAYTHORNTHWAITE | Mgmt | For | For |
1B. | ELECTION OF DIRECTOR: AJAY BANGA | Mgmt | For | For |
1C. | ELECTION OF DIRECTOR: SILVIO BARZI | Mgmt | For | For |
1D. | ELECTION OF DIRECTOR: DAVID R. CARLUCCI | Mgmt | For | For |
1E. | ELECTION OF DIRECTOR: STEVEN J. FREIBERG | Mgmt | For | For |
1F. | ELECTION OF DIRECTOR: JULIUS GENACHOWSKI | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 2 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1G. | ELECTION OF DIRECTOR: MERIT E. JANOW | Mgmt | For | For |
1H. | ELECTION OF DIRECTOR: NANCY J. KARCH | Mgmt | For | For |
1I. | ELECTION OF DIRECTOR: OKI MATSUMOTO | Mgmt | For | For |
1J. | ELECTION OF DIRECTOR: RIMA QURESHI | Mgmt | For | For |
1K. | ELECTION OF DIRECTOR: JOSE OCTAVIO REYES LAGUNES | Mgmt | For | For |
1L. | ELECTION OF DIRECTOR: JACKSON TAI | Mgmt | For | For |
2. | ADVISORY APPROVAL OF MASTERCARD'S EXECUTIVE COMPENSATION | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 3 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
3. | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR MASTERCARD FOR 2016 | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 4 of 47 |
Clarkston Fund
WAL-MART STORES, INC. | |||
Security: | 931142103 | Agenda Number: | 934394785 |
Ticker: | WMT | Meeting Type: | Annual |
ISIN: | US9311421039 | Meeting Date: | 03-Jun-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1A. | ELECTION OF DIRECTOR: JAMES I. CASH, JR. | Mgmt | For | For |
1B. | ELECTION OF DIRECTOR: PAMELA J. CRAIG | Mgmt | For | For |
1C. | ELECTION OF DIRECTOR: TIMOTHY P. FLYNN | Mgmt | For | For |
1D. | ELECTION OF DIRECTOR: THOMAS W. HORTON | Mgmt | For | For |
1E. | ELECTION OF DIRECTOR: MARISSA A. MAYER | Mgmt | Against | Against |
1F. | ELECTION OF DIRECTOR: C. DOUGLAS MCMILLON | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 5 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1G. | ELECTION OF DIRECTOR: GREGORY B. PENNER | Mgmt | For | For |
1H. | ELECTION OF DIRECTOR: STEVEN S REINEMUND | Mgmt | Against | Against |
1I. | ELECTION OF DIRECTOR: KEVIN Y. SYSTROM | Mgmt | Against | Against |
1J. | ELECTION OF DIRECTOR: S. ROBSON WALTON | Mgmt | For | For |
1K. | ELECTION OF DIRECTOR: STEUART L. WALTON | Mgmt | For | For |
1L. | ELECTION OF DIRECTOR: LINDA S. WOLF | Mgmt | Against | Against |
2. | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION | Mgmt | Against | Against |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 6 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
3. | APPROVAL OF THE WAL-MART STORES, INC. 2016 ASSOCIATE STOCK PURCHASE PLAN | Mgmt | Against | Against |
4. | RATIFICATION OF ERNST & YOUNG LLP AS INDEPENDENT ACCOUNTANTS | Mgmt | For | For |
5. | REQUEST TO ADOPT AN INDEPENDENT CHAIRMAN POLICY | Shr | For | Against |
6. | REQUEST FOR ANNUAL REPORT REGARDING INCENTIVE COMPENSATION PLANS | Shr | Against | For |
7. | REQUEST FOR REPORT REGARDING CRITERIA FOR OPERATING IN HIGH- RISK REGIONS | Shr | Against | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 7 of 47 |
Clarkston Fund
WILLIS TOWERS WATSON PUBLIC LIMITED CO. | |||
Security: | G96629103 | Agenda Number: | 934407657 |
Ticker: | WLTW | Meeting Type: | Annual |
ISIN: | Meeting Date: | 10-Jun-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1A. | ELECTION OF DIRECTOR: DOMINIC CASSERLEY | Mgmt | For | For |
1B. | ELECTION OF DIRECTOR: ANNA C. CATALANO | Mgmt | For | For |
1C. | ELECTION OF DIRECTOR: VICTOR F. GANZI | Mgmt | For | For |
1D. | ELECTION OF DIRECTOR: JOHN J. HALEY | Mgmt | For | For |
1E. | ELECTION OF DIRECTOR: WENDY E. LANE | Mgmt | For | For |
1F. | ELECTION OF DIRECTOR: JAMES F. MCCANN | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 8 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1G. | ELECTION OF DIRECTOR: BRENDAN R. O'NEILL | Mgmt | For | For |
1H. | ELECTION OF DIRECTOR: JAYMIN PATEL | Mgmt | For | For |
1I. | ELECTION OF DIRECTOR: LINDA D. RABBITT | Mgmt | For | For |
1J. | ELECTION OF DIRECTOR: PAUL THOMAS | Mgmt | For | For |
1K. | ELECTION OF DIRECTOR: JEFFREY W. UBBEN | Mgmt | For | For |
1L. | ELECTION OF DIRECTOR: WILHELM ZELLER | Mgmt | For | For |
2. | TO RATIFY, ON AN ADVISORY BASIS, THE REAPPOINTMENT OF DELOITTE LLP AS INDEPENDENT AUDITOR UNTIL THE CLOSE OF THE NEXT ANNUAL GENERAL MEETING OF SHAREHOLDERS AND AUTHORIZE IN A BINDING VOTE THE BOARD OF DIRECTORS, ACTING THROUGH THE AUDIT AND RISK COMMITTEE, TO FIX THE AUDITOR'S REMUNERATION. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 9 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
3. | TO APPROVE, ON AN ADVISORY BASIS, THE NAMED EXECUTIVE OFFICER COMPENSATION. | Mgmt | For | For |
4. | TO APPROVE AN AMENDMENT AND RESTATEMENT OF THE WILLIS TOWERS WATSON PUBLIC LIMITED COMPANY 2012 EQUITY INCENTIVE PLAN, INCLUDING TO INCREASE THE NUMBER OF AUTHORIZED SHARES UNDER THE 2012 PLAN AND APPROVE MATERIAL TERMS UNDER CODE SECTION 162(M). | Mgmt | For | For |
5. | TO APPROVE AN AMENDMENT TO THE WILLIS TOWERS WATSON PUBLIC LIMITED COMPANY AMENDED AND RESTATED 2010 NORTH AMERICAN EMPLOYEE STOCK PURCHASE PLAN, INCLUDING TO INCREASE THE NUMBER OF AUTHORIZED SHARES UNDER THE ESPP. | Mgmt | For | For |
6. | TO RENEW THE BOARD'S AUTHORITY TO ISSUE SHARES UNDER IRISH LAW. | Mgmt | For | For |
7. | TO RENEW THE BOARD'S AUTHORITY TO OPT OUT OF STATUTORY PRE-EMPTION RIGHTS UNDER IRISH LAW. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 10 of 47 |
Clarkston Partners Fund
ACTUANT CORPORATION | |||
Security: | 00508X203 | Agenda Number: | 934310284 |
Ticker: | ATU | Meeting Type: | Annual |
ISIN: | US00508X2036 | Meeting Date: | 19-Jan-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | |
1. | DIRECTOR | ||||
1 | ROBERT C. ARZBAECHER | Mgmt | For | For | |
2 | GURMINDER S. BEDI | Mgmt | For | For | |
3 | E. JAMES FERLAND | Mgmt | For | For | |
4 | THOMAS J. FISCHER | Mgmt | For | For | |
5 | R. ALAN HUNTER | Mgmt | For | For | |
6 | ROBERT A. PETERSON | Mgmt | For | For | |
7 | HOLLY A. VAN DEURSEN | Mgmt | For | For | |
8 | DENNIS K. WILLIAMS | Mgmt | For | For | |
2. | ADVISORY VOTE TO APPROVE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Mgmt | Against | Against |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 11 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
3. | RATIFICATION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT AUDITOR. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 12 of 47 |
Clarkston Partners Fund
BROADRIDGE FINANCIAL SOLUTIONS, INC. | |||
Security: | 11133T103 | Agenda Number: | 934284960 |
Ticker: | BR | Meeting Type: | Annual |
ISIN: | US11133T1034 | Meeting Date: | 12-Nov-15 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1A. | ELECTION OF DIRECTOR: LESLIE A. BRUN | Mgmt | For | For |
1B. | ELECTION OF DIRECTOR: RICHARD J. DALY | Mgmt | For | For |
1C. | ELECTION OF DIRECTOR: ROBERT N. DUELKS | Mgmt | For | For |
1D. | ELECTION OF DIRECTOR: RICHARD J. HAVILAND | Mgmt | For | For |
1E. | ELECTION OF DIRECTOR: BRETT A. KELLER | Mgmt | For | For |
1F. | ELECTION OF DIRECTOR: STUART R. LEVINE | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 13 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1G. | ELECTION OF DIRECTOR: MAURA A. MARKUS | Mgmt | For | For |
1H. | ELECTION OF DIRECTOR: THOMAS J. PERNA | Mgmt | For | For |
1I. | ELECTION OF DIRECTOR: ALAN J. WEBER | Mgmt | For | For |
2) | ADVISORY VOTE TO APPROVE THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS (THE SAY ON PAY VOTE). | Mgmt | For | For |
3) | TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR THE FISCAL YEAR ENDING JUNE 30, 2016. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 14 of 47 |
Clarkston Partners Fund
BROWN & BROWN, INC. | |||
Security: | 115236101 | Agenda Number: | 934350214 |
Ticker: | BRO | Meeting Type: | Annual |
ISIN: | US1152361010 | Meeting Date: | 04-May-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | |
1. | DIRECTOR | ||||
1 | J. HYATT BROWN | Mgmt | For | For | |
2 | SAMUEL P. BELL, III | Mgmt | For | For | |
3 | HUGH M. BROWN | Mgmt | For | For | |
4 | J. POWELL BROWN | Mgmt | For | For | |
5 | BRADLEY CURREY, JR. | Mgmt | For | For | |
6 | THEODORE J. HOEPNER | Mgmt | For | For | |
7 | JAMES S. HUNT | Mgmt | For | For | |
8 | TONI JENNINGS | Mgmt | For | For | |
9 | TIMOTHY R.M. MAIN | Mgmt | For | For | |
10 | H. PALMER PROCTOR, JR. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 15 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | |
11 | WENDELL S. REILLY | Mgmt | For | For | |
12 | CHILTON D. VARNER | Mgmt | For | For | |
2. | TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS BROWN & BROWN, INC.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2016. | Mgmt | For | For | |
3. | TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF NAMED EXECUTIVE OFFICERS. | Mgmt | For | For | |
4. | TO REAPPROVE THE MATERIAL TERMS OF THE PERFORMANCE GOALS UNDER BROWN & BROWN, INC.'S 2010 STOCK INCENTIVE PLAN PURSUANT TO INTERNAL REVENUE CODE SECTION 162(M). | Mgmt | For | For | |
5. | TO APPROVE AN AMENDMENT TO BROWN & BROWN, INC.'S 2010 STOCK INCENTIVE PLAN TO INCREASE THE NUMBER OF SHARES AVAILABLE FOR ISSUANCE UNDER THE PLAN. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 16 of 47 |
Clarkston Partners Fund
C.H. ROBINSON WORLDWIDE, INC. | |||
Security: | 12541W209 | Agenda Number: | 934352092 |
Ticker: | CHRW | Meeting Type: | Annual |
ISIN: | US12541W2098 | Meeting Date: | 12-May-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1A. | ELECTION OF DIRECTOR: SCOTT P. ANDERSON | Mgmt | For | For |
1B. | ELECTION OF DIRECTOR: ROBERT EZRILOV | Mgmt | For | For |
1C. | ELECTION OF DIRECTOR: WAYNE M. FORTUN | Mgmt | For | For |
1D. | ELECTION OF DIRECTOR: MARY J. STEELE GUILFOILE | Mgmt | For | For |
1E. | ELECTION OF DIRECTOR: JODEE A. KOZLAK | Mgmt | For | For |
1F. | ELECTION OF DIRECTOR: REBECCA KOENIG ROLOFF | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 17 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1G. | ELECTION OF DIRECTOR: BRIAN P. SHORT | Mgmt | For | For |
1H. | ELECTION OF DIRECTOR: JAMES B. STAKE | Mgmt | For | For |
1I. | ELECTION OF DIRECTOR: JOHN P. WIEHOFF | Mgmt | Against | Against |
2. | TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Mgmt | For | For |
3. | TO APPROVE AMENDMENT TO AND RESTATEMENT OF THE C.H. ROBINSON WORLDWIDE, INC. 2013 EQUITY INCENTIVE PLAN. | Mgmt | For | For |
4. | RATIFICATION OF THE SELECTION OF DELOITTE & TOUCHE LLP AS THE COMPANY'S INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2016. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 18 of 47 |
Clarkston Partners Fund
CABLE ONE, INC. | |||
Security: | 12685J105 | Agenda Number: | 934361724 |
Ticker: | CABO | Meeting Type: | Annual |
ISIN: | US12685J1051 | Meeting Date: | 03-May-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1A. | ELECTION OF DIRECTOR: BRAD D. BRIAN | Mgmt | For | For |
1B. | ELECTION OF DIRECTOR: KATHARINE B. WEYMOUTH | Mgmt | For | For |
2. | RATIFICATION OF APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF THE COMPANY FOR THE FISCAL YEAR ENDING DECEMBER 31, 2016. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 19 of 47 |
Clarkston Partners Fund
EQUIFAX INC. | |||
Security: | 294429105 | Agenda Number: | 934349893 |
Ticker: | EFX | Meeting Type: | Annual |
ISIN: | US2944291051 | Meeting Date: | 05-May-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1A. | ELECTION OF DIRECTOR: JAMES E. COPELAND, JR. | Mgmt | For | For |
1B. | ELECTION OF DIRECTOR: ROBERT D. DALEO | Mgmt | For | For |
1C. | ELECTION OF DIRECTOR: WALTER W. DRIVER, JR. | Mgmt | For | For |
1D. | ELECTION OF DIRECTOR: MARK L. FEIDLER | Mgmt | For | For |
1E. | ELECTION OF DIRECTOR: L. PHILLIP HUMANN | Mgmt | For | For |
1F. | ELECTION OF DIRECTOR: ROBERT D. MARCUS | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 20 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1G. | ELECTION OF DIRECTOR: SIRI S. MARSHALL | Mgmt | For | For |
1H. | ELECTION OF DIRECTOR: JOHN A. MCKINLEY | Mgmt | For | For |
1I. | ELECTION OF DIRECTOR: RICHARD F. SMITH | Mgmt | For | For |
1J. | ELECTION OF DIRECTOR: MARK B. TEMPLETON | Mgmt | For | For |
2. | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Mgmt | For | For |
3. | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2016. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 21 of 47 |
Clarkston Partners Fund
FASTENAL COMPANY | |||
Security: | 311900104 | Agenda Number: | 934332898 |
Ticker: | FAST | Meeting Type: | Annual |
ISIN: | US3119001044 | Meeting Date: | 19-Apr-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1A. | ELECTION OF DIRECTOR: WILLARD D. OBERTON | Mgmt | For | For |
1B. | ELECTION OF DIRECTOR: MICHAEL J. ANCIUS | Mgmt | For | For |
1C. | ELECTION OF DIRECTOR: MICHAEL J. DOLAN | Mgmt | For | For |
1D. | ELECTION OF DIRECTOR: STEPHEN L. EASTMAN | Mgmt | For | For |
1E. | ELECTION OF DIRECTOR: DANIEL L. FLORNESS | Mgmt | For | For |
1F. | ELECTION OF DIRECTOR: RITA J. HEISE | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 22 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1G. | ELECTION OF DIRECTOR: DARREN R. JACKSON | Mgmt | For | For |
1H. | ELECTION OF DIRECTOR: SCOTT A. SATTERLEE | Mgmt | For | For |
1I. | ELECTION OF DIRECTOR: REYNE K. WISECUP | Mgmt | For | For |
2. | RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE 2016 FISCAL YEAR. | Mgmt | For | For |
3. | APPROVAL, BY NON-BINDING VOTE, OF EXECUTIVE COMPENSATION. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 23 of 47 |
Clarkston Partners Fund
GRACO INC. | |||
Security: | 384109104 | Agenda Number: | 934335868 |
Ticker: | GGG | Meeting Type: | Annual |
ISIN: | US3841091040 | Meeting Date: | 22-Apr-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1A. | ELECTION OF DIRECTOR: ERIC P. ETCHART | Mgmt | For | For |
1B. | ELECTION OF DIRECTOR: JODY H. FERAGEN | Mgmt | For | For |
1C. | ELECTION OF DIRECTOR: J. KEVIN GILLIGAN | Mgmt | For | For |
2. | RATIFICATION OF APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE COMPANY'S INDEPENDENT REGISTERED ACCOUNTING FIRM. | Mgmt | For | For |
3. | APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION PAID TO OUR NAMED EXECUTIVE OFFICERS AS DISCLOSED IN THE PROXY STATEMENT. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 24 of 47 |
Clarkston Partners Fund
HILLENBRAND, INC. | |||
Security: | 431571108 | Agenda Number: | 934317721 |
Ticker: | HI | Meeting Type: | Annual |
ISIN: | US4315711089 | Meeting Date: | 24-Feb-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | |
1. | DIRECTOR | ||||
1 | GARY L. COLLAR | Mgmt | For | For | |
2 | MARK C. DELUZIO | Mgmt | For | For | |
3 | JOY M. GREENWAY | Mgmt | For | For | |
4 | F. JOSEPH LOUGHREY | Mgmt | Withheld | Against | |
2. | TO APPROVE, BY A NON-BINDING ADVISORY VOTE, THE COMPENSATION PAID BY THE COMPANY TO ITS NAMED EXECUTIVE OFFICERS. | Mgmt | Against | Against | |
3. | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2016. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 25 of 47 |
Clarkston Partners Fund
IHS INC. | |||
Security: | 451734107 | Agenda Number: | 934331098 |
Ticker: | IHS | Meeting Type: | Annual |
ISIN: | US4517341073 | Meeting Date: | 06-Apr-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1A. | ELECTION OF DIRECTOR: ROGER HOLTBACK | Mgmt | Against | Against |
1B. | ELECTION OF DIRECTOR: JEAN-PAUL MONTUPET | Mgmt | Against | Against |
1C. | ELECTION OF DIRECTOR: DEBORAH DOYLE MCWHINNEY | Mgmt | For | For |
2. | RATIFICATION OF THE APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS | Mgmt | For | For |
3. | APPROVAL OF THE MATERIAL TERMS PROVIDING FOR PERFORMANCE-BASED COMPENSATION UNDER THE AMENDED AND RESTATED IHS INC. 2004 LONG-TERM INCENTIVE PLAN | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 26 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
4. | AN ADVISORY VOTE TO APPROVE THE COMPENSATION OF NAMED EXECUTIVE OFFICERS | Mgmt | Against | Against |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 27 of 47 |
Clarkston Partners Fund
LANDSTAR SYSTEM, INC. | |||
Security: | 515098101 | Agenda Number: | 934370735 |
Ticker: | LSTR | Meeting Type: | Annual |
ISIN: | US5150981018 | Meeting Date: | 17-May-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | |
1. | DIRECTOR | ||||
1 | ANTHONY J. ORLANDO | Mgmt | Withheld | Against | |
2 | HOMAIRA AKBARI | Mgmt | Withheld | Against | |
3 | DIANA M. MURPHY | Mgmt | Withheld | Against | |
4 | LARRY J. THOELE | Mgmt | Withheld | Against | |
2. | RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2016. | Mgmt | For | For | |
3. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Mgmt | Against | Against |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 28 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
4. | APPROVAL OF THE COMPANY'S AMENDED AND RESTATED 2013 DIRECTORS STOCK COMPENSATION PLAN. | Mgmt | For | For |
5. | RE-APPROVAL OF THE MATERIAL TERMS OF PERFORMANCE GOALS UNDER THE COMPANY'S 2011 EQUITY INCENTIVE PLAN. | Mgmt | Against | Against |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 29 of 47 |
Clarkston Partners Fund
LPL FINANCIAL HOLDINGS INC. | |||
Security: | 50212V100 | Agenda Number: | 934364275 |
Ticker: | LPLA | Meeting Type: | Annual |
ISIN: | US50212V1008 | Meeting Date: | 10-May-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1A. | ELECTION OF DIRECTOR: JOHN J. BRENNAN | Mgmt | Against | Against |
1B. | ELECTION OF DIRECTOR: MARK S. CASADY | Mgmt | For | For |
1C. | ELECTION OF DIRECTOR: VIET D. DINH | Mgmt | For | For |
1D. | ELECTION OF DIRECTOR: H. PAULETT EBERHART | Mgmt | For | For |
1E. | ELECTION OF DIRECTOR: MARCO W. HELLMAN | Mgmt | For | For |
1F. | ELECTION OF DIRECTOR: ANNE M. MULCAHY | Mgmt | Against | Against |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 30 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1G. | ELECTION OF DIRECTOR: JAMES S. PUTNAM | Mgmt | For | For |
1H. | ELECTION OF DIRECTOR: JAMES S. RIEPE | Mgmt | Against | Against |
1I. | ELECTION OF DIRECTOR: RICHARD P. SCHIFTER | Mgmt | For | For |
2. | RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP BY THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2016. | Mgmt | For | For |
3. | APPROVE, IN AN ADVISORY VOTE, THE COMPENSATION PAID TO THE COMPANY'S NAMED EXECUTIVE OFFICERS. | Mgmt | Against | Against |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 31 of 47 |
Clarkston Partners Fund
MARKEL CORPORATION | |||
Security: | 570535104 | Agenda Number: | 934344312 |
Ticker: | MKL | Meeting Type: | Annual |
ISIN: | US5705351048 | Meeting Date: | 16-May-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1A. | ELECTION OF DIRECTOR: J. ALFRED BROADDUS, JR. | Mgmt | For | For |
1B. | ELECTION OF DIRECTOR: K. BRUCE CONNELL | Mgmt | For | For |
1C. | ELECTION OF DIRECTOR: DOUGLAS C. EBY | Mgmt | For | For |
1D. | ELECTION OF DIRECTOR: STEWART M. KASEN | Mgmt | For | For |
1E. | ELECTION OF DIRECTOR: ALAN I. KIRSHNER | Mgmt | For | For |
1F. | ELECTION OF DIRECTOR: LEMUEL E. LEWIS | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 32 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1G. | ELECTION OF DIRECTOR: ANTHONY F. MARKEL | Mgmt | For | For |
1H. | ELECTION OF DIRECTOR: STEVEN A. MARKEL | Mgmt | For | For |
1I. | ELECTION OF DIRECTOR: DARRELL D. MARTIN | Mgmt | For | For |
1J. | ELECTION OF DIRECTOR: MICHAEL O'REILLY | Mgmt | For | For |
1K. | ELECTION OF DIRECTOR: MICHAEL J. SCHEWEL | Mgmt | For | For |
1L. | ELECTION OF DIRECTOR: JAY M. WEINBERG | Mgmt | For | For |
1M. | ELECTION OF DIRECTOR: DEBORA J. WILSON | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 33 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
2. | TO APPROVE THE COMPANY'S 2016 EQUITY INCENTIVE COMPENSATION PLAN. | Mgmt | For | For |
3. | TO APPROVE THE COMPANY'S 2016 EMPLOYEE STOCK PURCHASE AND BONUS PLAN. | Mgmt | For | For |
4. | TO RATIFY THE SELECTION OF KPMG LLP BY THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2016. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 34 of 47 |
Clarkston Partners Fund
MATTHEWS INTERNATIONAL CORPORATION | |||
Security: | 577128101 | Agenda Number: | 934322417 |
Ticker: | MATW | Meeting Type: | Annual |
ISIN: | US5771281012 | Meeting Date: | 18-Feb-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | |
1. | DIRECTOR | ||||
1 | DON W. QUIGLEY, JR.* | Mgmt | For | For | |
2 | TERRY L. DUNLAP# | Mgmt | For | For | |
3 | ALVARO GARCIA-TUNON# | Mgmt | For | For | |
4 | JOHN D. TURNER# | Mgmt | For | For | |
5 | JERRY R. WHITAKER# | Mgmt | For | For | |
2. | TO APPROVE THE ADOPTION OF THE 2015 INCENTIVE COMPENSATION PLAN. | Mgmt | Against | Against | |
3. | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2016. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 35 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
4. | TO PROVIDE AN ADVISORY (NON- BINDING) VOTE ON THE EXECUTIVE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 36 of 47 |
Clarkston Partners Fund
NOW INC. | |||
Security: | 67011P100 | Agenda Number: | 934395597 |
Ticker: | DNOW | Meeting Type: | Annual |
ISIN: | US67011P1003 | Meeting Date: | 25-May-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1A. | ELECTION OF DIRECTOR: MICHAEL FRAZIER | Mgmt | For | For |
1B. | ELECTION OF DIRECTOR: J. WAYNE RICHARDS | Mgmt | For | For |
1C. | ELECTION OF DIRECTOR: ROBERT WORKMAN | Mgmt | For | For |
2. | RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS FOR 2016. | Mgmt | For | For |
3. | APPROVAL OF COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 37 of 47 |
Clarkston Partners Fund
POST HOLDINGS, INC. | |||
Security: | 737446104 | Agenda Number: | 934309938 |
Ticker: | POST | Meeting Type: | Annual |
ISIN: | US7374461041 | Meeting Date: | 28-Jan-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | |
1. | DIRECTOR | ||||
1 | GREGORY L. CURL | Mgmt | For | For | |
2 | DAVID P. SKARIE | Mgmt | For | For | |
2. | RATIFICATION OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2016. | Mgmt | For | For | |
3. | ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Mgmt | For | For | |
4. | APPROVAL OF POST HOLDINGS, INC. 2016 LONG-TERM INCENTIVE PLAN. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 38 of 47 |
Clarkston Partners Fund
THE WESTERN UNION COMPANY | |||
Security: | 959802109 | Agenda Number: | 934355810 |
Ticker: | WU | Meeting Type: | Annual |
ISIN: | US9598021098 | Meeting Date: | 12-May-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1A. | ELECTION OF DIRECTOR: MARTIN I. COLE | Mgmt | For | For |
1B. | ELECTION OF DIRECTOR: HIKMET ERSEK | Mgmt | For | For |
1C. | ELECTION OF DIRECTOR: RICHARD A. GOODMAN | Mgmt | For | For |
1D. | ELECTION OF DIRECTOR: JACK M. GREENBERG | Mgmt | For | For |
1E. | ELECTION OF DIRECTOR: BETSY D. HOLDEN | Mgmt | For | For |
1F. | ELECTION OF DIRECTOR: JEFFREY A. JOERRES | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 39 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1G. | ELECTION OF DIRECTOR: ROBERTO G. MENDOZA | Mgmt | For | For |
1H. | ELECTION OF DIRECTOR: MICHAEL A. MILES, JR. | Mgmt | For | For |
1I. | ELECTION OF DIRECTOR: ROBERT W. SELANDER | Mgmt | For | For |
1J. | ELECTION OF DIRECTOR: FRANCES FRAGOS TOWNSEND | Mgmt | For | For |
1K. | ELECTION OF DIRECTOR: SOLOMON D. TRUJILLO | Mgmt | For | For |
2. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION | Mgmt | For | For |
3. | RATIFICATION OF SELECTION OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2016 | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 40 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
4. | STOCKHOLDER PROPOSAL REGARDING POLITICAL CONTRIBUTIONS DISCLOSURE | Shr | Against | For |
5. | STOCKHOLDER PROPOSAL ESTABLISHING NEW BOARD COMMITTEE ON HUMAN RIGHTS | Shr | Against | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 41 of 47 |
Clarkston Partners Fund
WATERS CORPORATION | |||
Security: | 941848103 | Agenda Number: | 934361483 |
Ticker: | WAT | Meeting Type: | Annual |
ISIN: | US9418481035 | Meeting Date: | 11-May-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | |
1. | DIRECTOR | ||||
1 | JOSHUA BEKENSTEIN | Mgmt | For | For | |
2 | MICHAEL J. BERENDT, PHD | Mgmt | For | For | |
3 | DOUGLAS A. BERTHIAUME | Mgmt | For | For | |
4 | EDWARD CONARD | Mgmt | For | For | |
5 | LAURIE H. GLIMCHER, M.D | Mgmt | For | For | |
6 | CHRISTOPHER A. KUEBLER | Mgmt | For | For | |
7 | WILLIAM J. MILLER | Mgmt | For | For | |
8 | CHRISTOPHER J O'CONNELL | Mgmt | For | For | |
9 | JOANN A. REED | Mgmt | For | For | |
10 | THOMAS P. SALICE | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 42 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
2. | TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2016. | Mgmt | For | For |
3. | TO APPROVE, BY NON-BINDING VOTE, EXECUTIVE COMPENSATION. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 43 of 47 |
Clarkston Partners Fund
WILLIS GROUP HOLDINGS PLC | |||
Security: | G96666105 | Agenda Number: | 934290014 |
Ticker: | WSH | Meeting Type: | Special |
ISIN: | IE00B4XGY116 | Meeting Date: | 11-Dec-15 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1. | TO APPROVE THE ISSUANCE OF ORDINARY SHARES OF WILLIS GROUP HOLDINGS PUBLIC LIMITED COMPANY TO STOCKHOLDERS OF TOWERS WATSON & CO. AS THE MERGER CONSIDERATION IN CONNECTION WITH THE MERGER AS CONTEMPLATED BY THE AGREEMENT AND PLAN OF MERGER, DATED JUNE 29, 2015, BY AND AMONG WILLIS GROUP HOLDINGS PUBLIC LIMITED COMPANY, TOWERS WATSON AND CITADEL MERGER SUB, INC. | Mgmt | For | For |
2. | TO APPROVE THE NAME CHANGE OF "WILLIS GROUP HOLDINGS PUBLIC LIMITED COMPANY" TO "WILLIS TOWERS WATSON PUBLIC LIMITED COMPANY," SUBJECT TO, AND IMMEDIATELY AFTER, THE CONSUMMATION OF THE MERGER (THE "WILLIS NAME CHANGE PROPOSAL"). | Mgmt | For | For |
3. | TO APPROVE A CONSOLIDATION (I.E., A REVERSE STOCK SPLIT UNDER IRISH LAW) WHEREBY EVERY 2.6490 WILLIS ORDINARY SHARES WILL BE CONSOLIDATED INTO ONE WILLIS ORDINARY SHARE, $0.000304635 NOMINAL VALUE PER SHARE, SUBJECT TO, AND IMMEDIATELY AFTER, THE CONSUMMATION OF THE MERGER (THE "WILLIS CONSOLIDATION PROPOSAL"). | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 44 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
4. | TO APPROVE AND CONSENT TO THE ADJOURNMENT OF THE WILLIS EGM, OR ANY ADJOURNMENTS THEREOF, TO ANOTHER TIME AND PLACE IF, IN THE DISCRETION OF THE CHAIRMAN, IT IS NECESSARY OR APPROPRIATE TO, AMONG OTHER THINGS, SOLICIT ADDITIONAL PROXIES IF THERE ARE INSUFFICIENT VOTES RECEIVED BY WAY OF PROXY, AT THE TIME OF THE WILLIS EGM TO APPROVE WILLIS PROPOSALS 1, 2, AND/OR 3. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 45 of 47 |
Clarkston Partners Fund
WILLIS TOWERS WATSON PUBLIC LIMITED CO. | |||
Security: | G96629103 | Agenda Number: | 934407657 |
Ticker: | WLTW | Meeting Type: | Annual |
ISIN: | Meeting Date: | 10-Jun-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1A. | ELECTION OF DIRECTOR: DOMINIC CASSERLEY | Mgmt | For | For |
1B. | ELECTION OF DIRECTOR: ANNA C. CATALANO | Mgmt | For | For |
1C. | ELECTION OF DIRECTOR: VICTOR F. GANZI | Mgmt | For | For |
1D. | ELECTION OF DIRECTOR: JOHN J. HALEY | Mgmt | For | For |
1E. | ELECTION OF DIRECTOR: WENDY E. LANE | Mgmt | For | For |
1F. | ELECTION OF DIRECTOR: JAMES F. MCCANN | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 46 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1G. | ELECTION OF DIRECTOR: BRENDAN R. O'NEILL | Mgmt | For | For |
1H. | ELECTION OF DIRECTOR: JAYMIN PATEL | Mgmt | For | For |
1I. | ELECTION OF DIRECTOR: LINDA D. RABBITT | Mgmt | For | For |
1J. | ELECTION OF DIRECTOR: PAUL THOMAS | Mgmt | For | For |
1K. | ELECTION OF DIRECTOR: JEFFREY W. UBBEN | Mgmt | For | For |
1L. | ELECTION OF DIRECTOR: WILHELM ZELLER | Mgmt | For | For |
2. | TO RATIFY, ON AN ADVISORY BASIS, THE REAPPOINTMENT OF DELOITTE LLP AS INDEPENDENT AUDITOR UNTIL THE CLOSE OF THE NEXT ANNUAL GENERAL MEETING OF SHAREHOLDERS AND AUTHORIZE IN A BINDING VOTE THE BOARD OF DIRECTORS, ACTING | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 19-Jul-2016 |
Page 47 of 47 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
THROUGH THE AUDIT AND RISK COMMITTEE, TO FIX THE AUDITOR'S REMUNERATION. | ||||
3. | TO APPROVE, ON AN ADVISORY BASIS, THE NAMED EXECUTIVE OFFICER COMPENSATION. | Mgmt | For | For |
4. | TO APPROVE AN AMENDMENT AND RESTATEMENT OF THE WILLIS TOWERS WATSON PUBLIC LIMITED COMPANY 2012 EQUITY INCENTIVE PLAN, INCLUDING TO INCREASE THE NUMBER OF AUTHORIZED SHARES UNDER THE 2012 PLAN AND APPROVE MATERIAL TERMS UNDER CODE SECTION 162(M). | Mgmt | For | For |
5. | TO APPROVE AN AMENDMENT TO THE WILLIS TOWERS WATSON PUBLIC LIMITED COMPANY AMENDED AND RESTATED 2010 NORTH AMERICAN EMPLOYEE STOCK PURCHASE PLAN, INCLUDING TO INCREASE THE NUMBER OF AUTHORIZED SHARES UNDER THE ESPP. | Mgmt | For | For |
6. | TO RENEW THE BOARD'S AUTHORITY TO ISSUE SHARES UNDER IRISH LAW. | Mgmt | For | For |
7. | TO RENEW THE BOARD'S AUTHORITY TO OPT OUT OF STATUTORY PRE-EMPTION RIGHTS UNDER IRISH LAW. | Mgmt | For | For |
DDJ Opportunistic High Yield Fund
Company | Ticker | CUSIP | Meeting Date | A brief identification of the matter voted on | Proposed by | Voted | Vote Cast | With or Against Management |
Clear Channel Outdoor Holdings, Inc. | CCO | 18451C109 | 5/27/2016 | Election of Directors | Company | Yes | For | With |
Clear Channel Outdoor Holdings, Inc. | CCO | 18451C109 | 5/27/2016 | Ratification of selection of E&Y as independent registered public accounting firm for 12/31/2016 | Company | Yes | For | With |
SIGNATURE
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.
ALPS Series Trust | |||
By: | /s/ Jeremy O. May | ||
Jeremy O. May | |||
President | |||
Date: | August 22, 2016 |