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: 811-03074
Northeast Investors Growth Fund
(Exact name of registrant as specified in charter)
100 High Street
Boston, MA 02110
(Address of principal executive offices) (Zip code)
Robert Kane
100 High Street
Boston, MA 02110
(Name and address of agent for service)
Registrant’s Telephone Number, including Area Code: (617) 523-3588
Date of fiscal year end: December 31
Date of reporting period: July 1, 2012 – June 30, 2013
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant’s proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form
N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
Item 1. Proxy Voting Record
Investment Company Report
THE COCA-COLA COMPANY | ||||||||
Security | 191216100 | Meeting Type | Special | |||||
Ticker Symbol | KO | Meeting Date | 10-Jul-2012 | |||||
ISIN | US1912161007 | Agenda | 933646385 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
01 | TO AMEND ARTICLE FOURTH OF THE COMPANY’S RESTATED CERTIFICATE OF INCORPORATION, AS AMENDED, TO INCREASE THE AUTHORIZED COMMON STOCK OF THE COMPANY FROM 5,600,000,000 SHARES, PAR VALUE $.25 PER SHARE, TO 11,200,000,000 SHARES, PAR VALUE $.25 PER SHARE, AND TO EFFECT A SPLIT OF THE ISSUED COMMON STOCK OF THE COMPANY BY CHANGING EACH ISSUED SHARE OF COMMON STOCK INTO TWO SHARES OF COMMON STOCK. | Management | For | For |
ASML HOLDINGS N.V. | ||||||||
Security | N07059186 | Meeting Type | Special | |||||
Ticker Symbol | ASML | Meeting Date | 07-Sep-2012 | |||||
ISIN | USN070591862 | Agenda | 933678382 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
3A. | PROPOSAL TO RESOLVE TO AUTHORIZE THE BOARD OF MANAGEMENT TO ISSUE SHARES OR RIGHTS TO SUBSCRIBE FOR SHARES IN THE CAPITAL OF THE COMPANY IN CONNECTION WITH THE CUSTOMER CO-INVESTMENT PROGRAM, SUBJECT TO SUPERVISORY BOARD APPROVAL, UP TO 25% OF THE ISSUED SHARE CAPITAL OF THE COMPANY AT THE ANNUAL GENERAL MEETING OF SHAREHOLDERS (THE “AGM”) HELD ON 25 APRIL 2012, FROM 7 SEPTEMBER 2012 THROUGH 31 JULY 2013. | Management | For | For | ||||||||
3B. | PROPOSAL TO RESOLVE TO AUTHORIZE THE BOARD OF MANAGEMENT TO RESTRICT OR EXCLUDE, SUBJECT TO SUPERVISORY BOARD APPROVAL, THE PRE-EMPTION RIGHTS ACCRUING TO SHAREHOLDERS IN CONNECTION WITH THE ISSUE OF SHARES OR RIGHTS TO SUBSCRIBE FOR SHARES AS DESCRIBED UNDER (A) FROM 7 SEPTEMBER 2012 THROUGH 31 JULY 2013. | Management | For | For | ||||||||
4A. | PROPOSAL TO RESOLVE TO AMEND THE ARTICLES OF ASSOCIATION OF THE COMPANY IN ACCORDANCE WITH THE DRAFT DEED OF AMENDMENT TO THE ARTICLES OF ASSOCIATION (PART I) TO CREATE A SPECIFIC SHARE CLASS (ORDINARY SHARES M) FOR THE PARTICIPANTS TO THE CUSTOMER CO-INVESTMENT PROGRAM. UPON THE FIRST AMENDMENT OF THE ARTICLES OF ASSOCIATION OF THE COMPANY THE ORDINARY SHARES TO BE HELD FOR THE BENEFIT OF THE PARTICIPANTS TO THE CUSTOMER CO-INVESTMENT PROGRAM WILL BE CONVERTED INTO ORDINARY SHARES M AND ALL OTHER ORDINARY SHARES WILL BE CONVERTED INTO ORDINARY SHARES A. | Management | For | For | ||||||||
4B. | PROPOSAL TO RESOLVE TO AMEND THE ARTICLES OF ASSOCIATION OF THE COMPANY IN ACCORDANCE WITH THE DRAFT DEED OF AMENDMENT TO THE ARTICLES OF ASSOCIATION (PART II) TO INCREASE THE PAR VALUE PER ORDINARY SHARE A BY AN AMOUNT TO BE DETERMINED BY THE BOARD OF MANAGEMENT OF AT LEAST EUR 5.97 PER SHARE AND AT MOST EUR 12 PER SHARE AT THE EXPENSE OF THE SHARE PREMIUM RESERVE. | Management | For | For | ||||||||
4C. | PROPOSAL TO RESOLVE TO REDUCE THE ISSUED CAPITAL BY AN AMOUNT AT LEAST EQUAL TO THE AGGREGATE AMOUNT TO BE PAID BY THE PARTICIPANTS TO THE CUSTOMER CO-INVESTMENT PROGRAM FOR THEIR SHARES, BEING AN AMOUNT NO LESS THAN EUR 2,513,447,071.07 AND NO MORE THAN EUR 5,000,000,000 BY DECREASING THE NOMINAL VALUE OF THE ORDINARY SHARES A BY AN AMOUNT TO BE DETERMINED BY THE BOARD OF MANAGEMENT OF AT LEAST EUR 5.99 PER SHARE AND AT MOST EUR 12 PER SHARE, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. | Management | For | For | ||||||||
4D. | PROPOSAL TO RESOLVE TO AMEND THE ARTICLES OF ASSOCIATION OF THE COMPANY IN ACCORDANCE WITH THE DRAFT DEED OF AMENDMENT TO THE ARTICLES OF ASSOCIATION (PART IV) TO CONSOLIDATE THE ORDINARY SHARES A AT AN EXCHANGE RATIO TO BE DETERMINED BY THE BOARD OF MANAGEMENT. THE EXCHANGE RATIO WILL DEPEND ON THE PERCENTAGE OF NEW SHARES TO BE ISSUED TO THE PARTICIPANTS TO THE CUSTOMER CO-INVESTMENT PROGRAM, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. | Management | For | For | ||||||||
4E. | PROPOSAL TO RESOLVE TO AMEND THE ARTICLES OF ASSOCIATION IN ACCORDANCE WITH THE DRAFT DEED OF AMENDMENT TO THE ARTICLES OF ASSOCIATION (PART V) TO DELETE THE SHARE CLASS M FOR PARTICIPANTS TO THE CUSTOMER CO-INVESTMENT PROGRAM AND SHARE CLASS A FOR THE OTHER SHAREHOLDERS. THE ORDINARY SHARES M AND ORDINARY SHARES A SHALL BE CONVERTED INTO ORDINARY SHARES WITHOUT A SPECIFIC LETTER MARK ATTACHED TO IT. | Management | For | For | ||||||||
5. | AUTHORIZATION TO EXECUTE THE DEEDS OF AMENDMENT PROPOSAL TO RESOLVE TO AUTHORIZE EACH DIRECTOR OF THE COMPANY AS WELL AS ANY AND ALL LAWYERS AND PARALEGALS PRACTICING WITH DE BRAUW BLACKSTONE WESTBROEK N.V. TO EXECUTE THE NOTARIAL DEEDS OF AMENDMENT TO THE ARTICLES OF ASSOCIATION. | Management | For | For | ||||||||
6A. | PROPOSAL TO RESOLVE TO AUTHORIZE THE BOARD OF MANAGEMENT TO ISSUE SHARES OR RIGHTS TO SUBSCRIBE FOR SHARES IN THE CAPITAL OF THE COMPANY, SUBJECT TO SUPERVISORY BOARD APPROVAL, LIMITED TO 5% OF THE ISSUED SHARE CAPITAL AT 25 APRIL 2012 FROM 7 SEPTEMBER 2012 THROUGH 25 OCTOBER 2013. PROVIDED THAT THE GENERAL MEETING OF SHAREHOLDERS GRANTS THIS NEW AUTHORIZATION, THE CORRESPONDING AUTHORIZATION GRANTED AT THE AGM HELD ON 25 APRIL 2012 WILL CEASE TO APPLY TO THE EXTENT NOT ALREADY USED. | Management | For | For | ||||||||
6B. | PROPOSAL TO RESOLVE TO AUTHORIZE THE BOARD OF MANAGEMENT TO RESTRICT OR EXCLUDE THE PRE-EMPTION RIGHTS ACCRUING TO SHAREHOLDERS IN CONNECTION WITH THE ISSUE OF SHARES OR RIGHTS TO SUBSCRIBE FOR SHARES AS DESCRIBED UNDER (A), SUBJECT TO APPROVAL OF THE SUPERVISORY BOARD, FOR A PERIOD FROM 7 SEPTEMBER 2012 THROUGH 25 OCTOBER 2013. PROVIDED THAT THE GENERAL MEETING OF SHAREHOLDERS GRANTS THIS NEW AUTHORIZATION, THE CORRESPONDING AUTHORIZATION GRANTED AT THE AGM HELD ON 25 APRIL 2012 WILL CEASE TO APPLY TO THE EXTENT NOT ALREADY USED. | Management | For | For | ||||||||
6C. | PROPOSAL TO RESOLVE TO AUTHORIZE THE BOARD OF MANAGEMENT TO ISSUE SHARES OR RIGHTS TO SUBSCRIBE FOR SHARES IN THE CAPITAL OF THE COMPANY, SUBJECT TO SUPERVISORY BOARD APPROVAL, LIMITED TO 5% OF THE ISSUED SHARE CAPITAL AT 25 APRIL 2012, WHICH 5% CAN ONLY BE USED IN CONNECTION WITH OR ON THE OCCASION OF MERGERS, ACQUISITIONS AND/OR (STRATEGIC) ALLIANCES, FOR A PERIOD FROM 7 SEPTEMBER 2012 THROUGH 25 OCTOBER 2013, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. | Management | For | For | ||||||||
6D. | PROPOSAL TO RESOLVE TO AUTHORIZE THE BOARD OF MANAGEMENT TO RESTRICT OR EXCLUDE THE PRE-EMPTION RIGHTS ACCRUING TO SHAREHOLDERS IN CONNECTION WITH THE ISSUE OF SHARES OR RIGHTS TO SUBSCRIBE FOR SHARES AS DESCRIBED UNDER (C), SUBJECT TO APPROVAL OF THE SUPERVISORY BOARD, FOR A PERIOD FROM 7 SEPTEMBER 2012 THROUGH 25 OCTOBER 2013. PROVIDED THAT THE GENERAL MEETING OF SHAREHOLDERS GRANTS THIS NEW AUTHORIZATION, THE CORRESPONDING AUTHORIZATION GRANTED AT THE AGM HELD ON 25 APRIL 2012 WILL CEASE TO APPLY TO THE EXTENT NOT ALREADY USED. | Management | For | For |
NIKE, INC. | ||||||||
Security | 654106103 | Meeting Type | Annual | |||||
Ticker Symbol | NKE | Meeting Date | 20-Sep-2012 | |||||
ISIN | US6541061031 | Agenda | 933673471 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1. | DIRECTOR | Management | ||||||||||
1 ALAN B. GRAF, JR. | Did not vote on loan | |||||||||||
2 JOHN C. LECHLEITER | Did not vote on loan | |||||||||||
3 PHYLLIS M. WISE | Did not vote on loan | |||||||||||
2. | TO HOLD AN ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Management | Did not vote on loan | |||||||||
3. | TO AMEND THE ARTICLES OF INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF COMMON STOCK. | Management | Did not vote on loan | |||||||||
4. | TO RE-APPROVE AND AMEND THE NIKE, INC. LONG-TERM INCENTIVE PLAN. | Management | Did not vote on loan | |||||||||
5. | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | Did not vote on loan | |||||||||
6. | TO CONSIDER A SHAREHOLDER PROPOSAL REGARDING POLITICAL CONTRIBUTIONS DISCLOSURE. | Shareholder | Did not vote on loan |
DIAGEO PLC | ||||||||
Security | 25243Q205 | Meeting Type | Annual | |||||
Ticker Symbol | DEO | Meeting Date | 17-Oct-2012 | |||||
ISIN | US25243Q2057 | Agenda | 933687418 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1. | REPORT AND ACCOUNTS 2012. | Management | For | For | ||||||||
2. | DIRECTORS’ REMUNERATION REPORT 2012. | Management | For | For | ||||||||
3. | DECLARATION OF FINAL DIVIDEND. | Management | For | For | ||||||||
4. | RE-ELECTION OF PB BRUZELIUS AS A DIRECTOR. (AUDIT, NOMINATION & REMUNERATION COMMITTEE) | Management | For | For | ||||||||
5. | RE-ELECTION OF LM DANON AS A DIRECTOR. (AUDIT, NOMINATION & REMUNERATION COMMITTEE) | Management | For | For | ||||||||
6. | RE-ELECTION OF LORD DAVIES AS A DIRECTOR. (AUDIT, NOMINATION, REMUNERATION(CHAIRMAN OF THE COMMITTEE)) | Management | For | For | ||||||||
7. | RE-ELECTION OF BD HOLDEN AS A DIRECTOR. (AUDIT, NOMINATION & REMUNERATION COMMITTEE) | Management | For | For | ||||||||
8. | RE-ELECTION OF DR FB HUMER AS A DIRECTOR. (NOMINATION COMMITTEE (CHAIRMAN OF THE COMMITTEE)) | Management | For | For | ||||||||
9. | RE-ELECTION OF D MAHLAN AS A DIRECTOR. (EXECUTIVE COMMITTEE) | Management | For | For | ||||||||
10. | RE-ELECTION OF PG SCOTT AS A DIRECTOR. (AUDIT(CHAIRMAN OF THE COMMITTEE), NOMINATION, REMUNERATION COMMITTEE) | Management | For | For | ||||||||
11. | RE-ELECTION OF HT STITZER AS A DIRECTOR. (AUDIT, NOMINATION & REMUNERATION COMMITTEE) | Management | For | For | ||||||||
12. | RE-ELECTION OF PS WALSH AS A DIRECTOR. (EXECUTIVE COMMITTEE(CHAIRMAN OF THE COMMITTEE)) | Management | For | For | ||||||||
13. | ELECTION OF HO KWONPING AS A DIRECTOR. (AUDIT, NOMINATION & REMUNERATION COMMITTEE) | Management | For | For | ||||||||
14. | ELECTION OF IM MENEZES AS A DIRECTOR. (EXECUTIVE COMMITTEE) | Management | For | For | ||||||||
15. | RE-APPOINTMENT OF AUDITOR. | Management | For | For | ||||||||
16. | REMUNERATION OF AUDITOR. | Management | For | For | ||||||||
17. | AUTHORITY TO ALLOT SHARES. | Management | For | For | ||||||||
18. | DISAPPLICATION OF PRE-EMPTION RIGHTS. | Management | For | For | ||||||||
19. | AUTHORITY TO PURCHASE OWN ORDINARY SHARES. | Management | For | For | ||||||||
20. | AUTHORITY TO MAKE POLITICAL DONATIONS AND/OR TO INCUR POLITICAL EXPENDITURE IN THE EU. | Management | For | For | ||||||||
21. | REDUCED NOTICE OF A GENERAL MEETING OTHER THAN AN ANNUAL GENERAL MEETING. | Management | For | For |
PERRIGO COMPANY | ||||||||
Security | 714290103 | Meeting Type | Annual | |||||
Ticker Symbol | PRGO | Meeting Date | 06-Nov-2012 | |||||
ISIN | US7142901039 | Agenda | 933695174 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1. | DIRECTOR | Management | ||||||||||
1 GARY M. COHEN | Did not vote on loan | |||||||||||
2 DAVID T. GIBBONS | Did not vote on loan | |||||||||||
3 RAN GOTTFRIED | Did not vote on loan | |||||||||||
4 ELLEN R. HOFFING | Did not vote on loan | |||||||||||
2. | AN ADVISORY VOTE TO APPROVE THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS. | Management | Did not vote on loan | |||||||||
3. | RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013. | Management | Did not vote on loan |
COACH, INC. | ||||||||
Security | 189754104 | Meeting Type | Annual | |||||
Ticker Symbol | COH | Meeting Date | 07-Nov-2012 | |||||
ISIN | US1897541041 | Agenda | 933690287 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1. | DIRECTOR | Management | ||||||||||
1 LEW FRANKFORT | Did not vote on loan | |||||||||||
2 SUSAN KROPF | Did not vote on loan | |||||||||||
3 GARY LOVEMAN | Did not vote on loan | |||||||||||
4 IVAN MENEZES | Did not vote on loan | |||||||||||
5 IRENE MILLER | Did not vote on loan | �� | ||||||||||
6 MICHAEL MURPHY | Did not vote on loan | |||||||||||
7 STEPHANIE TILENIUS | Did not vote on loan | |||||||||||
8 JIDE ZEITLIN | Did not vote on loan | |||||||||||
2. | TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013 | Management | Did not vote on loan | |||||||||
3. | TO APPROVE, ON A NON-BINDING ADVISORY BASIS, THE COMPANY’S EXECUTIVE COMPENSATION | Management | Did not vote on loan |
ORACLE CORPORATION | ||||||||
Security | 68389X105 | Meeting Type | Annual | |||||
Ticker Symbol | ORCL | Meeting Date | 07-Nov-2012 | |||||
ISIN | US68389X1054 | Agenda | 933690302 - Management |
Item | Proposal | Type | 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 DONALD L. LUCAS | For | For | ||||||||||
12 NAOMI O. SELIGMAN | For | For | ||||||||||
2 | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
3 | APPROVAL OF INCREASE IN SHARES UNDER THE DIRECTORS’ STOCK PLAN. | Management | For | For | ||||||||
4 | RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013. | Management | For | For | ||||||||
5 | STOCKHOLDER PROPOSAL REGARDING MULTIPLE PERFORMANCE METRICS. | Shareholder | Against | For | ||||||||
6 | STOCKHOLDER PROPOSAL REGARDING INDEPENDENT BOARD CHAIRMAN. | Shareholder | Against | For | ||||||||
7 | STOCKHOLDER PROPOSAL REGARDING EQUITY RETENTION POLICY. | Shareholder | Against | For | ||||||||
8 | STOCKHOLDER PROPOSAL REGARDING EQUITY ACCELERATION UPON A CHANGE IN CONTROL OF ORACLE. | Shareholder | Against | For |
VISA INC. | ||||||||
Security | 92826C839 | Meeting Type | Annual | |||||
Ticker Symbol | V | Meeting Date | 30-Jan-2013 | |||||
ISIN | US92826C8394 | Agenda | 933718895 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A. | ELECTION OF DIRECTOR: GARY P. COUGHLAN | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: MARY B. CRANSTON | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: FRANCISCO JAVIER FERNANDEZ-CARBAJAL | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: ROBERT W. MATSCHULLAT | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: CATHY E. MINEHAN | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: SUZANNE NORA JOHNSON | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: DAVID J. PANG | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: JOSEPH W. SAUNDERS | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: CHARLES W. SCHARF | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: WILLIAM S. SHANAHAN | Management | For | For | ||||||||
1K. | ELECTION OF DIRECTOR: JOHN A. SWAINSON | Management | For | For | ||||||||
2. | APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
3. | RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013. | Management | For | For | ||||||||
4. | STOCKHOLDER PROPOSAL ON LOBBYING PRACTICES AND EXPENDITURES, IF PROPERLY PRESENTED. | Shareholder | Against | For |
NOVARTIS AG | ||||||||
Security | 66987V109 | Meeting Type | Annual | |||||
Ticker Symbol | NVS | Meeting Date | 22-Feb-2013 | |||||
ISIN | US66987V1098 | Agenda | 933730081 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1 | APPROVAL OF THE ANNUAL REPORT, THE FINANCIAL STATEMENTS AND THE CONSOLIDATED FINANCIAL STATEMENTS FOR THE BUSINESS YEAR 2012 | Management | Did not vote on loan | |||||||||
2 | DISCHARGE FROM LIABILITY OF THE MEMBERS OF THE BOARD OF DIRECTORS AND THE EXECUTIVE COMMITTEE | Management | Did not vote on loan | |||||||||
3 | APPROPRIATION OF AVAILABLE EARNINGS OF NOVARTIS AG AND DECLARATION OF DIVIDEND | Management | Did not vote on loan | |||||||||
4 | CONSULTATIVE VOTE ON THE COMPENSATION SYSTEM | Management | Did not vote on loan | |||||||||
5.1 | ELECTION OF VERENA A. BRINER, M.D., FOR A THREE-YEAR TERM | Management | Did not vote on loan | |||||||||
5.2 | ELECTION OF JOERG REINHARDT, PH.D., FOR A TERM OF OFFICE BEGINNING ON AUGUST 1, 2013 AND ENDING ON THE DAY OF AGM IN 2016 | Management | Did not vote on loan | |||||||||
5.3 | ELECTION OF CHARLES L. SAWYERS, M.D., FOR A THREE-YEAR TERM | Management | Did not vote on loan | |||||||||
5.4 | ELECTION OF WILLIAM T. WINTERS FOR A THREE-YEAR TERM | Management | Did not vote on loan | |||||||||
6 | APPOINTMENT OF THE AUDITOR | Management | Did not vote on loan | |||||||||
7 | ADDITIONAL AND/OR COUNTER-PROPOSALS PRESENTED AT THE MEETING | Management | Did not vote on loan |
APPLE INC. | ||||||||
Security | 037833100 | Meeting Type | Annual | |||||
Ticker Symbol | AAPL | Meeting Date | 27-Feb-2013 | |||||
ISIN | US0378331005 | Agenda | 933725042 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1. | DIRECTOR | Management | ||||||||||
1 WILLIAM CAMPBELL | For | For | ||||||||||
2 TIMOTHY COOK | For | For | ||||||||||
3 MILLARD DREXLER | For | For | ||||||||||
4 AL GORE | For | For | ||||||||||
5 ROBERT IGER | For | For | ||||||||||
6 ANDREA JUNG | For | For | ||||||||||
7 ARTHUR LEVINSON | For | For | ||||||||||
8 RONALD SUGAR | For | For | ||||||||||
2. | AMENDMENT OF APPLE’S RESTATED ARTICLES OF INCORPORATION TO (I) ELIMINATE CERTAIN LANGUAGE RELATING TO TERM OF OFFICE OF DIRECTORS IN ORDER TO FACILITATE THE ADOPTION OF MAJORITY VOTING FOR ELECTION OF DIRECTORS, (II) ELIMINATE “BLANK CHECK” PREFERRED STOCK, (III) ESTABLISH A PAR VALUE FOR COMPANY’S COMMON STOCK OF $0.00001 PER SHARE AND (IV) MAKE OTHER CHANGES. | Management | For | For | ||||||||
3. | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
4. | A NON-BINDING ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
5. | A SHAREHOLDER PROPOSAL ENTITLED “EXECUTIVES TO RETAIN SIGNIFICANT STOCK.” | Shareholder | Against | For | ||||||||
6. | A SHAREHOLDER PROPOSAL ENTITLED “BOARD COMMITTEE ON HUMAN RIGHTS.” | Shareholder | Against | For |
DEERE & COMPANY | ||||||||
Security | 244199105 | Meeting Type | Annual | |||||
Ticker Symbol | DE | Meeting Date | 27-Feb-2013 | |||||
ISIN | US2441991054 | Agenda | 933725270 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A. | ELECTION OF DIRECTOR: SAMUEL R. ALLEN | Management | Did not vote on loan | |||||||||
1B. | ELECTION OF DIRECTOR: CRANDALL C. BOWLES | Management | Did not vote on loan | |||||||||
1C. | ELECTION OF DIRECTOR: VANCE D. COFFMAN | Management | Did not vote on loan | |||||||||
1D. | ELECTION OF DIRECTOR: CHARLES O. HOLLIDAY, JR. | Management | Did not vote on loan | |||||||||
1E. | ELECTION OF DIRECTOR: DIPAK C. JAIN | Management | Did not vote on loan | |||||||||
1F. | ELECTION OF DIRECTOR: CLAYTON M. JONES | Management | Did not vote on loan | |||||||||
1G. | ELECTION OF DIRECTOR: JOACHIM MILBERG | Management | Did not vote on loan | |||||||||
1H. | ELECTION OF DIRECTOR: RICHARD B. MYERS | Management | Did not vote on loan | |||||||||
1I. | ELECTION OF DIRECTOR: THOMAS H. PATRICK | Management | Did not vote on loan | |||||||||
1J. | ELECTION OF DIRECTOR: AULANA L. PETERS | Management | Did not vote on loan | |||||||||
1K. | ELECTION OF DIRECTOR: SHERRY M. SMITH | Management | Did not vote on loan | |||||||||
2. | ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Management | Did not vote on loan | |||||||||
3. | RE-APPROVAL OF THE JOHN DEERE MID- TERM INCENTIVE PLAN. | Management | Did not vote on loan | |||||||||
4. | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS DEERE’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | Did not vote on loan |
QUALCOMM INCORPORATED | ||||||||
Security | 747525103 | Meeting Type | Annual | |||||
Ticker Symbol | QCOM | Meeting Date | 05-Mar-2013 | |||||
ISIN | US7475251036 | Agenda | 933726397 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A | ELECTION OF DIRECTOR: BARBARA T. ALEXANDER | Management | For | For | ||||||||
1B | ELECTION OF DIRECTOR: DONALD G. CRUICKSHANK | Management | For | For | ||||||||
1C | ELECTION OF DIRECTOR: RAYMOND V. DITTAMORE | Management | For | For | ||||||||
1D | ELECTION OF DIRECTOR: SUSAN HOCKFIELD | Management | For | For | ||||||||
1E | ELECTION OF DIRECTOR: THOMAS W. HORTON | Management | For | For | ||||||||
1F | ELECTION OF DIRECTOR: PAUL E. JACOBS | Management | For | For | ||||||||
1G | ELECTION OF DIRECTOR: SHERRY LANSING | Management | For | For | ||||||||
1H | ELECTION OF DIRECTOR: DUANE A. NELLES | Management | For | For | ||||||||
1I | ELECTION OF DIRECTOR: FRANCISCO ROS | Management | For | For | ||||||||
1J | ELECTION OF DIRECTOR: BRENT SCOWCROFT | Management | For | For | ||||||||
1K | ELECTION OF DIRECTOR: MARC I. STERN | Management | For | For | ||||||||
02 | TO APPROVE THE 2006 LONG-TERM INCENTIVE PLAN, AS AMENDED, WHICH INCLUDES AN INCREASE IN THE SHARE RESERVE BY 90,000,000 SHARES. | Management | Against | Against | ||||||||
03 | TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT PUBLIC ACCOUNTANTS FOR OUR FISCAL YEAR ENDING SEPTEMBER 29, 2013. | Management | For | For | ||||||||
04 | ADVISORY APPROVAL OF THE COMPANY’S EXECUTIVE COMPENSATION. | Management | For | For |
THE WALT DISNEY COMPANY |
Security | 254687106 | Meeting Type | Annual | |||||
Ticker Symbol | DIS | Meeting Date | 06-Mar-2013 | |||||
ISIN | US2546871060 | Agenda | 933727109 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A. | ELECTION OF DIRECTOR: SUSAN E. ARNOLD | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: JOHN S. CHEN | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: JUDITH L. ESTRIN | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: ROBERT A. IGER | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: FRED H. LANGHAMMER | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: AYLWIN B. LEWIS | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: MONICA C. LOZANO | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: ROBERT W. MATSCHULLAT | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: SHERYL K. SANDBERG | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: ORIN C. SMITH | Management | For | For | ||||||||
2. | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S REGISTERED PUBLIC ACCOUNTANTS FOR 2013. | Management | For | For | ||||||||
3. | TO APPROVE THE TERMS OF THE COMPANY’S AMENDED AND RESTATED 2002 EXECUTIVE PERFORMANCE PLAN, AS AMENDED. | Management | Against | Against | ||||||||
4. | TO APPROVE THE ADVISORY RESOLUTION ON EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
5. | TO APPROVE THE SHAREHOLDER PROPOSAL RELATING TO PROXY ACCESS. | Shareholder | Against | For | ||||||||
6. | TO APPROVE THE SHAREHOLDER PROPOSAL RELATING TO FUTURE SEPARATION OF CHAIRMAN AND CHIEF EXECUTIVE OFFICER. | Shareholder | Against | For |
COVIDIEN PLC |
Security | G2554F113 | Meeting Type | Annual | |||||
Ticker Symbol | COV | Meeting Date | 20-Mar-2013 | |||||
ISIN | IE00B68SQD29 | Agenda | 933727779 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A) | ELECTION OF DIRECTOR: JOSE E. ALMEIDA | Management | For | For | ||||||||
1B) | ELECTION OF DIRECTOR: JOY A. AMUNDSON | Management | For | For | ||||||||
1C) | ELECTION OF DIRECTOR: CRAIG ARNOLD | Management | For | For | ||||||||
1D) | ELECTION OF DIRECTOR: ROBERT H. BRUST | Management | For | For | ||||||||
1E) | ELECTION OF DIRECTOR: JOHN M. CONNORS, JR. | Management | For | For | ||||||||
1F) | ELECTION OF DIRECTOR: CHRISTOPHER J. COUGHLIN | Management | For | For | ||||||||
1G) | ELECTION OF DIRECTOR: RANDALL J. HOGAN, III | Management | For | For | ||||||||
1H) | ELECTION OF DIRECTOR: MARTIN D. MADAUS | Management | For | For | ||||||||
1I) | ELECTION OF DIRECTOR: DENNIS H. REILLEY | Management | For | For | ||||||||
1J) | ELECTION OF DIRECTOR: JOSEPH A. ZACCAGNINO | Management | For | For | ||||||||
2 | APPOINT THE INDEPENDENT AUDITORS AND AUTHORIZE THE AUDIT COMMITTEE TO SET THE AUDITORS’ REMUNERATION. | Management | For | For | ||||||||
3 | ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
4 | APPROVE THE AMENDED AND RESTATED COVIDIEN STOCK AND INCENTIVE PLAN. | Management | For | For | ||||||||
5 | AUTHORIZE THE COMPANY AND/OR ANY SUBSIDIARY TO MAKE MARKET PURCHASES OF COMPANY SHARES. | Management | For | For | ||||||||
S6 | AUTHORIZE THE PRICE RANGE AT WHICH THE COMPANY CAN REISSUE SHARES IT HOLDS AS TREASURY SHARES. | Management | For | For | ||||||||
S7 | AMEND ARTICLES OF ASSOCIATION TO EXPAND THE AUTHORITY TO EXECUTE INSTRUMENTS OF TRANSFER. | Management | For | For | ||||||||
8 | ADVISORY VOTE ON THE CREATION OF MALLINCKRODT DISTRIBUTABLE RESERVES. | Management | For | For |
SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.) |
Security | 806857108 | Meeting Type | Annual | |||||
Ticker Symbol | SLB | Meeting Date | 10-Apr-2013 | |||||
ISIN | AN8068571086 | Agenda | 933739382 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A. | ELECTION OF DIRECTOR: PETER L.S. CURRIE | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: TONY ISAAC | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: K. VAMAN KAMATH | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: PAAL KIBSGAARD | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: NIKOLAY KUDRYAVTSEV | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: ADRIAN LAJOUS | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: MICHAEL E. MARKS | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: LUBNA S. OLAYAN | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: L. RAFAEL REIF | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: TORE I. SANDVOLD | Management | For | For | ||||||||
1K. | ELECTION OF DIRECTOR: HENRI SEYDOUX | Management | For | For | ||||||||
2. | TO APPROVE, ON AN ADVISORY BASIS, THE COMPANY’S EXECUTIVE COMPENSATION. | Management | For | For |
3. | TO APPROVE THE COMPANY’S 2012 FINANCIAL STATEMENTS AND DECLARATIONS OF DIVIDENDS. | Management | For | For | ||||||||
4. | TO APPROVE THE APPOINTMENT OF THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||
5. | TO APPROVE THE ADOPTION OF THE 2013 SCHLUMBERGER OMNIBUS INCENTIVE PLAN. | Management | For | For | ||||||||
6. | TO APPROVE THE ADOPTION OF AN AMENDMENT AND RESTATEMENT OF THE SCHLUMBERGER DISCOUNT STOCK PURCHASE PLAN. | Management | For | For |
WEYERHAEUSER COMPANY |
Security | 962166104 | Meeting Type | Annual | |||||
Ticker Symbol | WY | Meeting Date | 11-Apr-2013 | |||||
ISIN | US9621661043 | Agenda | 933743773 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A. | ELECTION OF DIRECTOR: DEBRA A. CAFARO | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: MARK A. EMMERT | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: DANIEL S. FULTON | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: JOHN I. KIECKHEFER | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: WAYNE W. MURDY | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: NICOLE W. PIASECKI | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: DOYLE R. SIMONS | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: RICHARD H. SINKFIELD | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: D. MICHAEL STEUERT | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: KIM WILLIAMS | Management | For | For | ||||||||
1K. | ELECTION OF DIRECTOR: CHARLES R. WILLIAMSON | Management | For | For | ||||||||
2. | PROPOSAL TO APPROVE THE WEYERHAEUSER COMPANY 2013 LONG- TERM INCENTIVE PLAN | Management | Against | Against | ||||||||
3. | APPROVAL, ON AN ADVISORY BASIS, OF EXECUTIVE COMPENSATION | Management | For | For | ||||||||
4. | APPROVAL, ON AN ADVISORY BASIS, OF THE APPOINTMENT OF AUDITORS | Management | For | For |
NESTLE S.A. |
Security | 641069406 | Meeting Type | Annual | |||||
Ticker Symbol | NSRGY | Meeting Date | 11-Apr-2013 | |||||
ISIN | US6410694060 | Agenda | 933753154 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A | APPROVAL OF THE ANNUAL REPORT, THE FINANCIAL STATEMENTS OF NESTLE S.A. AND THE CONSOLIDATED FINANCIAL STATEMENTS OF THE NESTLE GROUP FOR 2012 | Management | For | For | ||||||||
1B | ACCEPTANCE OF THE COMPENSATION REPORT 2012 (ADVISORY VOTE) | Management | For | For | ||||||||
2 | RELEASE OF THE MEMBERS OF THE BOARD OF DIRECTORS AND OF THE MANAGEMENT | Management | For | For | ||||||||
3 | APPROPRIATION OF PROFITS RESULTING FROM THE BALANCE SHEET OF NESTLE S.A. (PROPOSED DIVIDEND) FOR THE FINANCIAL YEAR 2012 | Management | For | For | ||||||||
4A1 | RE-ELECTION TO THE BOARD OF DIRECTOR: MR PETER BRABECK-LETMATHE | Management | For | For | ||||||||
4A2 | RE-ELECTION TO THE BOARD OF DIRECTOR: MR STEVEN G. HOCH | Management | For | For | ||||||||
4A3 | RE-ELECTION TO THE BOARD OF DIRECTOR: MS TITIA DE LANGE | Management | For | For | ||||||||
4A4 | RE-ELECTION TO THE BOARD OF DIRECTOR: MR JEAN-PIERRE ROTH | Management | For | For | ||||||||
4B | ELECTION TO THE BOARD OF DIRECTORS: MS EVA CHENG | Management | For | For | ||||||||
4C | RE-ELECTION OF THE STATUTORY AUDITORS: KPMG SA, GENEVA BRANCH | Management | For | For | ||||||||
5 | IN THE EVENT OF A NEW OR MODIFIED PROPOSAL BY A SHAREHOLDER DURING THE GENERAL MEETING, I INSTRUCT THE INDEPENDENT REPRESENTATIVE TO VOTE ACCORDING TO THE FOLLOWING INSTRUCTION: “FOR” = VOTE IN ACCORDANCE WITH THE PROPOSAL OF THE BOARD OF DIRECTORS “AGAINST” = VOTE AGAINST THE PROPOSAL OF THE BOARD OF DIRECTORS “ABSTAIN” = ABSTAIN | Management | For | For | ||||||||
6 | MARK THE BOX AT THE RIGHT IF YOU WISH TO GIVE A PROXY TO THE INDEPENDENT REPRESENTATIVE, MR. JEAN-LUDOVIC HARTMANN (AS FURTHER DISCUSSED IN THE COMPANY’S INVITATION) | Management | For | For |
HONEYWELL INTERNATIONAL INC. |
Security | 438516106 | Meeting Type | Annual | |||||
Ticker Symbol | HON | Meeting Date | 22-Apr-2013 | |||||
ISIN | US4385161066 | Agenda | 933739368 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A. | ELECTION OF DIRECTOR: GORDON M. BETHUNE | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: KEVIN BURKE | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: JAIME CHICO PARDO | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: DAVID M. COTE | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: D. SCOTT DAVIS | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: LINNET F. DEILY | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: JUDD GREGG | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: CLIVE HOLLICK | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: GRACE D. LIEBLEIN | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: GEORGE PAZ | Management | For | For | ||||||||
1K. | ELECTION OF DIRECTOR: BRADLEY T. SHEARES | Management | For | For | ||||||||
1L. | ELECTION OF DIRECTOR: ROBIN L. WASHINGTON | Management | For | For | ||||||||
2. | APPROVAL OF INDEPENDENT ACCOUNTANTS. | Management | For | For | ||||||||
3. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
4. | INDEPENDENT BOARD CHAIRMAN. | Shareholder | Against | For | ||||||||
5. | RIGHT TO ACT BY WRITTEN CONSENT. | Shareholder | Against | For | ||||||||
6. | ELIMINATE ACCELERATED VESTING IN A CHANGE IN CONTROL. | Shareholder | Against | For |
WELLS FARGO & COMPANY |
Security | 949746101 | Meeting Type | Annual | |||||
Ticker Symbol | WFC | Meeting Date | 23-Apr-2013 | |||||
ISIN | US9497461015 | Agenda | 933743696 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A) | ELECTION OF DIRECTOR: JOHN D. BAKER II | Management | For | For | ||||||||
1B) | ELECTION OF DIRECTOR: ELAINE L. CHAO | Management | For | For | ||||||||
1C) | ELECTION OF DIRECTOR: JOHN S. CHEN | Management | For | For | ||||||||
1D) | ELECTION OF DIRECTOR: LLOYD H. DEAN | Management | For | For | ||||||||
1E) | ELECTION OF DIRECTOR: SUSAN E. ENGEL | Management | For | For | ||||||||
1F) | ELECTION OF DIRECTOR: ENRIQUE HERNANDEZ, JR. | Management | For | For | ||||||||
1G) | ELECTION OF DIRECTOR: DONALD M. JAMES | Management | For | For | ||||||||
1H) | ELECTION OF DIRECTOR: CYNTHIA H. MILLIGAN | Management | For | For | ||||||||
1I) | ELECTION OF DIRECTOR: FEDERICO F. PENA | Management | For | For |
1J) | ELECTION OF DIRECTOR: HOWARD V. RICHARDSON | Management | For | For | ||||||||
1K) | ELECTION OF DIRECTOR: JUDITH M. RUNSTAD | Management | For | For | ||||||||
1L) | ELECTION OF DIRECTOR: STEPHEN W. SANGER | Management | For | For | ||||||||
1M) | ELECTION OF DIRECTOR: JOHN G. STUMPF | Management | For | For | ||||||||
1N) | ELECTION OF DIRECTOR: SUSAN G. SWENSON | Management | For | For | ||||||||
2. | ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
3. | PROPOSAL TO APPROVE THE COMPANY’S AMENDED AND RESTATED LONG-TERM INCENTIVE COMPENSATION PLAN. | Management | For | For | ||||||||
4. | PROPOSAL TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
5. | STOCKHOLDER PROPOSAL TO ADOPT A POLICY REQUIRING AN INDEPENDENT CHAIRMAN. | Shareholder | Against | For | ||||||||
6. | STOCKHOLDER PROPOSAL TO PROVIDE A REPORT ON THE COMPANY’S LOBBYING POLICIES AND PRACTICES. | Shareholder | Against | For | ||||||||
7. | STOCKHOLDER PROPOSAL TO REVIEW AND REPORT ON INTERNAL CONTROLS OVER THE COMPANY’S MORTGAGE SERVICING AND FORECLOSURE PRACTICES. | Shareholder | Against | For |
T. ROWE PRICE GROUP, INC. | ||||||||
Security | 74144T108 | Meeting Type | Annual | |||||
Ticker Symbol | TROW | Meeting Date | 23-Apr-2013 | |||||
ISIN | US74144T1088 | Agenda | 933743761 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A. | ELECTION OF DIRECTOR: EDWARD C. BERNARD | Management | Did not vote on loan | |||||||||
1B. | ELECTION OF DIRECTOR: JAMES T. BRADY | Management | Did not vote on loan | |||||||||
1C. | ELECTION OF DIRECTOR: MARY K. BUSH | Management | Did not vote on loan | |||||||||
1D. | ELECTION OF DIRECTOR: DONALD B. HEBB, JR. | Management | Did not vote on loan | |||||||||
1E. | ELECTION OF DIRECTOR: DR. FREEMAN A. HRABOWSKI, III | Management | Did not vote on loan | |||||||||
1F. | ELECTION OF DIRECTOR: JAMES A.C. KENNEDY | Management | Did not vote on loan | |||||||||
1G. | ELECTION OF DIRECTOR: ROBERT F. MACLELLAN | Management | Did not vote on loan | |||||||||
1H. | ELECTION OF DIRECTOR: BRIAN C. ROGERS | Management | Did not vote on loan | |||||||||
1I. | ELECTION OF DIRECTOR: DR. ALFRED SOMMER | Management | Did not vote on loan | |||||||||
1J. | ELECTION OF DIRECTOR: DWIGHT S. TAYLOR | Management | Did not vote on loan | |||||||||
1K. | ELECTION OF DIRECTOR: ANNE MARIE WHITTEMORE | Management | Did not vote on loan | |||||||||
2. | TO APPROVE, BY A NON-BINDING ADVISORY VOTE, THE COMPENSATION PAID BY THE COMPANY TO ITS NAMED EXECUTIVE OFFICERS. | Management | Did not vote on loan | |||||||||
3. | TO RATIFY THE APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013. | Management | Did not vote on loan |
VF CORPORATION | ||||||||
Security | 918204108 | Meeting Type | Annual | |||||
Ticker Symbol | VFC | Meeting Date | 23-Apr-2013 | |||||
ISIN | US9182041080 | Agenda | 933758813 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1. | DIRECTOR | Management | ||||||||||
1 RICHARD T. CARUCCI | Did not vote on loan | |||||||||||
2 JULIANA L. CHUGG | Did not vote on loan | |||||||||||
3 GEORGE FELLOWS | Did not vote on loan | |||||||||||
4 CLARENCE OTIS, JR. | Did not vote on loan | |||||||||||
5 MATTHEW J. SHATTOCK | Did not vote on loan | |||||||||||
2. | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Management | Did not vote on loan | |||||||||
3. | APPROVAL OF VF’S AMENDED AND RESTATED EXECUTIVE INCENTIVE COMPENSATION PLAN (THE “EIC PLAN PROPOSAL”). | Management | Did not vote on loan | |||||||||
4. | RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS VF’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE 2013 FISCAL YEAR. | Management | Did not vote on loan |
CITIGROUP INC. | ||||||||
Security | 172967424 | Meeting Type | Annual | |||||
Ticker Symbol | C | Meeting Date | 24-Apr-2013 | |||||
ISIN | US1729674242 | Agenda | 933746375 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A. | ELECTION OF DIRECTOR: MICHAEL L. CORBAT | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: FRANZ B. HUMER | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: ROBERT L. JOSS | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: MICHAEL E. O’NEILL | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: JUDITH RODIN | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: ROBERT L. RYAN | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: ANTHONY M. SANTOMERO | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: JOAN E. SPERO | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: DIANA L. TAYLOR | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: WILLIAM S. THOMPSON, JR. | Management | For | For | ||||||||
1K. | ELECTION OF DIRECTOR: ERNESTO ZEDILLO PONCE DE LEON | Management | For | For | ||||||||
2. | PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP AS CITI’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
3. | ADVISORY APPROVAL OF CITI’S 2012 EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
4. | AMENDMENT TO THE CITIGROUP 2009 STOCK INCENTIVE PLAN (RELATING TO DIVIDEND EQUIVALENTS). | Management | For | For | ||||||||
5. | STOCKHOLDER PROPOSAL REQUESTING THAT EXECUTIVES RETAIN A SIGNIFICANT PORTION OF THEIR STOCK UNTIL REACHING NORMAL RETIREMENT AGE. | Shareholder | Against | For | ||||||||
6. | STOCKHOLDER PROPOSAL REQUESTING A REPORT ON LOBBYING AND GRASSROOTS LOBBYING CONTRIBUTIONS. | Shareholder | Against | For | ||||||||
7. | STOCKHOLDER PROPOSAL REQUESTING THAT THE BOARD INSTITUTE A POLICY TO MAKE IT MORE PRACTICAL TO DENY INDEMNIFICATION FOR DIRECTORS. | Shareholder | Against | For |
GENERAL ELECTRIC COMPANY | ||||||||
Security | 369604103 | Meeting Type | Annual | |||||
Ticker Symbol | GE | Meeting Date | 24-Apr-2013 | |||||
ISIN | US3696041033 | Agenda | 933750196 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
A1 | ELECTION OF DIRECTOR: W. GEOFFREY BEATTIE | Management | For | For | ||||||||
A2 | ELECTION OF DIRECTOR: JOHN J. BRENNAN | Management | For | For | ||||||||
A3 | ELECTION OF DIRECTOR: JAMES I. CASH, JR. | Management | For | For | ||||||||
A4 | ELECTION OF DIRECTOR: FRANCISCO D’SOUZA | Management | For | For | ||||||||
A5 | ELECTION OF DIRECTOR: MARIJN E. DEKKERS | Management | For | For | ||||||||
A6 | ELECTION OF DIRECTOR: ANN M. FUDGE | Management | For | For | ||||||||
A7 | ELECTION OF DIRECTOR: SUSAN HOCKFIELD | Management | For | For | ||||||||
A8 | ELECTION OF DIRECTOR: JEFFREY R. IMMELT | Management | For | For | ||||||||
A9 | ELECTION OF DIRECTOR: ANDREA JUNG | Management | For | For | ||||||||
A10 | ELECTION OF DIRECTOR: ROBERT W. LANE | Management | For | For | ||||||||
A11 | ELECTION OF DIRECTOR: RALPH S. LARSEN | Management | For | For | ||||||||
A12 | ELECTION OF DIRECTOR: ROCHELLE B. LAZARUS | Management | For | For | ||||||||
A13 | ELECTION OF DIRECTOR: JAMES J. MULVA | Management | For | For | ||||||||
A14 | ELECTION OF DIRECTOR: MARY L. SCHAPIRO | Management | For | For | ||||||||
A15 | ELECTION OF DIRECTOR: ROBERT J. SWIERINGA | Management | For | For | ||||||||
A16 | ELECTION OF DIRECTOR: JAMES S. TISCH | Management | For | For | ||||||||
A17 | ELECTION OF DIRECTOR: DOUGLAS A. WARNER III | Management | For | For | ||||||||
B1 | ADVISORY APPROVAL OF OUR NAMED EXECUTIVES’ COMPENSATION | Management | For | For | ||||||||
B2 | RATIFICATION OF SELECTION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||
C1 | CESSATION OF ALL STOCK OPTIONS AND BONUSES | Shareholder | Against | For | ||||||||
C2 | DIRECTOR TERM LIMITS | Shareholder | Against | For | ||||||||
C3 | INDEPENDENT CHAIRMAN | Shareholder | Against | For | ||||||||
C4 | RIGHT TO ACT BY WRITTEN CONSENT | Shareholder | Against | For | ||||||||
C5 | EXECUTIVES TO RETAIN SIGNIFICANT STOCK | Shareholder | Against | For | ||||||||
C6 | MULTIPLE CANDIDATE ELECTIONS | Shareholder | Against | For |
ASML HOLDINGS N.V. | ||||||||
Security | N07059210 | Meeting Type | Annual | |||||
Ticker Symbol | ASML | Meeting Date | 24-Apr-2013 | |||||
ISIN | USN070592100 | Agenda | 933751504 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
3 | DISCUSSION OF THE 2012 ANNUAL REPORT, INCL. ASML’S CORPORATE GOVERNANCE CHAPTER, AND THE 2012 REMUNERATION REPORT, AND PROPOSAL TO ADOPT THE FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR (“FY”) 2012, AS PREPARED IN ACCORDANCE WITH DUTCH LAW. | Management | For | For | ||||||||
4 | PROPOSAL TO DISCHARGE THE MEMBERS OF THE BOARD OF MANAGEMENT FROM LIABILITY FOR THEIR RESPONSIBILITIES IN THE FY 2012. | Management | For | For | ||||||||
5 | PROPOSAL TO DISCHARGE THE MEMBERS OF THE SUPERVISORY BOARD FROM LIABILITY FOR THEIR RESPONSIBILITIES IN THE FY 2012. | Management | For | For | ||||||||
7 | PROPOSAL TO ADOPT A DIVIDEND OF EUR 0.53 PER ORDINARY SHARE OF EUR 0.09. | Management | For | For | ||||||||
8 | PROPOSAL TO ADOPT THE REVISED REMUNERATION POLICY FOR THE BOARD OF MANAGEMENT ASML HOLDING N.V. (VERSION 2014). | Management | For | For | ||||||||
9A | PROPOSAL TO APPROVE THE NUMBER OF PERFORMANCE SHARES FOR THE BOARD OF MANAGEMENT, IN ACCORDANCE WITH THE REMUNERATION POLICY FOR THE BOARD OF MANAGEMENT ASML HOLDING N.V. (VERSION 2010) OVER THE FINANCIAL YEAR 2013 AND AUTHORIZATION OF THE BOARD OF MANAGEMENT TO ISSUE THESE PERFORMANCE SHARES. | Management | For | For | ||||||||
9B | PROPOSAL TO APPROVE THE PERFORMANCE SHARE ARRANGEMENT, IN ACCORDANCE WITH THE REMUNERATION POLICY FOR THE BOARD OF MANAGEMENT OF ASML HOLDING N.V. (VERSION 2014) (THE “POLICY”), INCLUDING THE NUMBER OF PERFORMANCE SHARES FOR THE BOARD OF MANAGEMENT TO BE DETERMINED BY THE CALCULATION METHOD AS DESCRIBED IN THE POLICY, AND AUTHORIZATION OF THE BOARD OF MANAGEMENT TO ISSUE THE PERFORMANCE SHARES FOR THE FINANCIAL YEAR 2014 AND SUBSEQUENT YEARS. (THE BOARD OF MANAGEMENT WILL ONLY PROPOSE ITEM 9B IF ITEM 8 IS ADOPTED.). | Management | For | For | ||||||||
10 | PROPOSAL TO APPROVE THE NUMBER OF STOCK OPTIONS, RESPECTIVELY SHARES, FOR EMPLOYEES AND AUTHORIZATION OF THE BOARD OF MANAGEMENT TO ISSUE THE STOCK OPTIONS, RESPECTIVELY SHARES. | Management | For | For | ||||||||
12A | PROPOSAL TO REAPPOINT MS. H.C.J. VAN DEN BURG AS MEMBER OF THE SUPERVISORY BOARD, EFFECTIVE APRIL 24, 2013. | Management | For | For | ||||||||
12B | PROPOSAL TO REAPPOINT MS. P.F.M. VAN DER MEER MOHR AS MEMBER OF THE SUPERVISORY BOARD, EFFECTIVE APRIL 24, 2013. | Management | For | For | ||||||||
12C | PROPOSAL TO REAPPOINT MR. W.H. ZIEBART AS MEMBER OF THE SUPERVISORY BOARD, EFFECTIVE APRIL 24, 2013. | Management | For | For | ||||||||
12D | PROPOSAL TO APPOINT MR. D.A. GROSE AS MEMBER OF THE SUPERVISORY BOARD, EFFECTIVE APRIL 24, 2013. | Management | For | For | ||||||||
12E | PROPOSAL TO APPOINT MS. C.M.S. SMITS- NUSTELING AS MEMBER OF THE SUPERVISORY BOARD, EFFECTIVE APRIL 24, 2013. | Management | For | For | ||||||||
14 | PROPOSAL TO REAPPOINT THE EXTERNAL AUDITOR FOR THE REPORTING YEAR 2014. | Management | For | For | ||||||||
15A | PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO ISSUE (RIGHTS TO SUBSCRIBE FOR) SHARES, WHICH AUTHORIZATION IS LIMITED TO 5% OF THE ISSUED CAPITAL. | Management | For | For | ||||||||
15B | PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO RESTRICT OR EXCLUDE THE PRE-EMPTION RIGHTS ACCRUING TO SHAREHOLDERS IN CONNECTION WITH AGENDA ITEM 15A. | Management | For | For | ||||||||
15C | PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO ISSUE (RIGHTS TO SUBSCRIBE FOR) SHARES, FOR AN ADDITIONAL 5% OF THE ISSUED CAPITAL, ONLY TO BE USED IN CONNECTION WITH MERGERS, ACQUISITIONS AND / OR (STRATEGIC) ALLIANCES. | Management | For | For | ||||||||
15D | PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO RESTRICT OR EXCLUDE THE PRE-EMPTION RIGHTS ACCRUING TO SHAREHOLDERS IN CONNECTION WITH AGENDA ITEM 15C. | Management | For | For | ||||||||
16A | PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO ACQUIRE SHARES IN THE COMPANY’S CAPITAL. | Management | For | For | ||||||||
16B | PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO ACQUIRE ADDITIONAL SHARES IN THE COMPANY’S CAPITAL. | Management | For | For | ||||||||
17 | PROPOSAL TO CANCEL ORDINARY SHARES (TO BE) REPURCHASED BY THE COMPANY. | Management | For | For |
ASML HOLDINGS N.V. | ||||||||
Security | N07059210 | Meeting Type | Annual | |||||
Ticker Symbol | ASML | Meeting Date | 24-Apr-2013 | |||||
ISIN | USN070592100 | Agenda | 933771885 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
3 | DISCUSSION OF THE 2012 ANNUAL REPORT, INCL. ASML’S CORPORATE GOVERNANCE CHAPTER, AND THE 2012 REMUNERATION REPORT, AND PROPOSAL TO ADOPT THE FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR (“FY”) 2012, AS PREPARED IN ACCORDANCE WITH DUTCH LAW. | Management | For | For | ||||||||
4 | PROPOSAL TO DISCHARGE THE MEMBERS OF THE BOARD OF MANAGEMENT FROM LIABILITY FOR THEIR RESPONSIBILITIES IN THE FY 2012. | Management | For | For | ||||||||
5 | PROPOSAL TO DISCHARGE THE MEMBERS OF THE SUPERVISORY BOARD FROM LIABILITY FOR THEIR RESPONSIBILITIES IN THE FY 2012. | Management | For | For | ||||||||
7 | PROPOSAL TO ADOPT A DIVIDEND OF EUR 0.53 PER ORDINARY SHARE OF EUR 0.09. | Management | For | For | ||||||||
8 | PROPOSAL TO ADOPT THE REVISED REMUNERATION POLICY FOR THE BOARD OF MANAGEMENT ASML HOLDING N.V. (VERSION 2014). | Management | For | For | ||||||||
9A | PROPOSAL TO APPROVE THE NUMBER OF PERFORMANCE SHARES FOR THE BOARD OF MANAGEMENT, IN ACCORDANCE WITH THE REMUNERATION POLICY FOR THE BOARD OF MANAGEMENT ASML HOLDING N.V. (VERSION 2010) OVER THE FINANCIAL YEAR 2013 AND AUTHORIZATION OF THE BOARD OF MANAGEMENT TO ISSUE THESE PERFORMANCE SHARES. | Management | For | For | ||||||||
9B | PROPOSAL TO APPROVE THE PERFORMANCE SHARE ARRANGEMENT, IN ACCORDANCE WITH THE REMUNERATION POLICY FOR THE BOARD OF MANAGEMENT OF ASML HOLDING N.V. (VERSION 2014) (THE “POLICY”), INCLUDING THE NUMBER OF PERFORMANCE SHARES FOR THE BOARD OF MANAGEMENT TO BE DETERMINED BY THE CALCULATION METHOD AS DESCRIBED IN THE POLICY, AND AUTHORIZATION OF THE BOARD OF MANAGEMENT TO ISSUE THE PERFORMANCE SHARES FOR THE FINANCIAL YEAR 2014 AND SUBSEQUENT YEARS. (THE BOARD OF MANAGEMENT WILL ONLY PROPOSE ITEM 9B IF ITEM 8 IS ADOPTED.). | Management | For | For | ||||||||
10 | PROPOSAL TO APPROVE THE NUMBER OF STOCK OPTIONS, RESPECTIVELY SHARES, FOR EMPLOYEES AND AUTHORIZATION OF THE BOARD OF MANAGEMENT TO ISSUE THE STOCK OPTIONS, RESPECTIVELY SHARES. | Management | For | For | ||||||||
12A | PROPOSAL TO REAPPOINT MS. H.C.J. VAN DEN BURG AS MEMBER OF THE SUPERVISORY BOARD, EFFECTIVE APRIL 24, 2013. | Management | For | For | ||||||||
12B | PROPOSAL TO REAPPOINT MS. P.F.M. VAN DER MEER MOHR AS MEMBER OF THE SUPERVISORY BOARD, EFFECTIVE APRIL 24, 2013. | Management | For | For | ||||||||
12C | PROPOSAL TO REAPPOINT MR. W.H. ZIEBART AS MEMBER OF THE SUPERVISORY BOARD, EFFECTIVE APRIL 24, 2013. | Management | For | For | ||||||||
12D | PROPOSAL TO APPOINT MR. D.A. GROSE AS MEMBER OF THE SUPERVISORY BOARD, EFFECTIVE APRIL 24, 2013. | Management | For | For | ||||||||
12E | PROPOSAL TO APPOINT MS. C.M.S. SMITS- NUSTELING AS MEMBER OF THE SUPERVISORY BOARD, EFFECTIVE APRIL 24, 2013. | Management | For | For | ||||||||
14 | PROPOSAL TO REAPPOINT THE EXTERNAL AUDITOR FOR THE REPORTING YEAR 2014. | Management | For | For | ||||||||
15A | PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO ISSUE (RIGHTS TO SUBSCRIBE FOR) SHARES, WHICH AUTHORIZATION IS LIMITED TO 5% OF THE ISSUED CAPITAL. | Management | For | For | ||||||||
15B | PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO RESTRICT OR EXCLUDE THE PRE-EMPTION RIGHTS ACCRUING TO SHAREHOLDERS IN CONNECTION WITH AGENDA ITEM 15A. | Management | For | For |
15C | PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO ISSUE (RIGHTS TO SUBSCRIBE FOR) SHARES, FOR AN ADDITIONAL 5% OF THE ISSUED CAPITAL, ONLY TO BE USED IN CONNECTION WITH MERGERS, ACQUISITIONS AND / OR (STRATEGIC) ALLIANCES. | Management | For | For | ||||||||
15D | PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO RESTRICT OR EXCLUDE THE PRE-EMPTION RIGHTS ACCRUING TO SHAREHOLDERS IN CONNECTION WITH AGENDA ITEM 15C. | Management | For | For | ||||||||
16A | PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO ACQUIRE SHARES IN THE COMPANY’S CAPITAL. | Management | For | For | ||||||||
16B | PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO ACQUIRE ADDITIONAL SHARES IN THE COMPANY’S CAPITAL. | Management | For | For | ||||||||
17 | PROPOSAL TO CANCEL ORDINARY SHARES (TO BE) REPURCHASED BY THE COMPANY. | Management | For | For |
INTUITIVE SURGICAL, INC. | ||||||||
Security | 46120E602 | Meeting Type | Annual | |||||
Ticker Symbol | ISRG | Meeting Date | 25-Apr-2013 | |||||
ISIN | US46120E6023 | Agenda | 933742125 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1.1 | ELECTION OF DIRECTOR: AMAL M. JOHNSON | Management | For | For | ||||||||
1.2 | ELECTION OF DIRECTOR: ERIC H. HALVORSON | Management | For | For | ||||||||
1.3 | ELECTION OF DIRECTOR: ALAN J. LEVY, PH.D. | Management | For | For | ||||||||
2. | TO APPROVE THE AMENDMENT AND RESTATEMENT OF THE COMPANY’S 2010 INCENTIVE AWARD PLAN | Management | For | For | ||||||||
3. | TO APPROVE, BY ADVISORY VOTE, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS | Management | For | For | ||||||||
4. | THE RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013 | Management | For | For |
ABBOTT LABORATORIES | ||||||||
Security | 002824100 | Meeting Type | Annual | |||||
Ticker Symbol | ABT | Meeting Date | 26-Apr-2013 | |||||
ISIN | US0028241000 | Agenda | 933743672 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1. | DIRECTOR | Management | ||||||||||
1 R.J. ALPERN | For | For | ||||||||||
2 R.S. AUSTIN | For | For | ||||||||||
3 S.E. BLOUNT | For | For | ||||||||||
4 W.J. FARRELL | For | For | ||||||||||
5 E.M. LIDDY | For | For | ||||||||||
6 N. MCKINSTRY | For | For | ||||||||||
7 P.N. NOVAKOVIC | For | For | ||||||||||
8 W.A. OSBORN | For | For | ||||||||||
9 S.C. SCOTT III | For | For | ||||||||||
10 G.F. TILTON | For | For | ||||||||||
11 M.D. WHITE | For | For | ||||||||||
2. | RATIFICATION OF DELOITTE & TOUCHE LLP AS AUDITORS | Management | For | For | ||||||||
3. | SAY ON PAY - AN ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION | Management | For | For | ||||||||
4. | SHAREHOLDER PROPOSAL - GENETICALLY MODIFIED INGREDIENTS | Shareholder | Against | For | ||||||||
5. | SHAREHOLDER PROPOSAL - LOBBYING DISCLOSURE | Shareholder | Against | For | ||||||||
6. | SHAREHOLDER PROPOSAL - INDEPENDENT BOARD CHAIR | Shareholder | Against | For | ||||||||
7. | SHAREHOLDER PROPOSAL - EQUITY RETENTION AND HEDGING | Shareholder | Against | For | ||||||||
8. | SHAREHOLDER PROPOSAL - INCENTIVE COMPENSATION | Shareholder | Against | For | ||||||||
9. | SHAREHOLDER PROPOSAL - ACCELERATED VESTING OF AWARDS UPON CHANGE IN CONTROL | Shareholder | Against | For |
NOBLE CORPORATION | ||||||||
Security | H5833N103 | Meeting Type | Annual | |||||
Ticker Symbol | NE | Meeting Date | 26-Apr-2013 | |||||
ISIN | CH0033347318 | Agenda | 933745246 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1. | DIRECTOR | Management | ||||||||||
1 MICHAEL A. CAWLEY | For | For | ||||||||||
2 GORDON T. HALL | For | For | ||||||||||
3 ASHLEY ALMANZA | For | For | ||||||||||
2. | APPROVAL OF THE 2012 ANNUAL REPORT, THE CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY FOR FISCAL YEAR 2012 AND THE STATUTORY FINANCIAL STATEMENTS OF THE COMPANY FOR FISCAL YEAR 2012 | Management | For | For | ||||||||
3. | APPROVAL OF DIVIDEND PAYMENT FUNDED FROM CAPITAL CONTRIBUTION RESERVE IN THE AMOUNT OF USD $1.00 PER SHARE | Management | For | For | ||||||||
4. | RATIFICATION OF APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013 AND THE ELECTION OF PRICEWATERHOUSECOOPERS AG AS STATUTORY AUDITOR FOR A ONE-YEAR TERM | Management | For | For | ||||||||
5. | APPROVAL OF THE DISCHARGE OF THE MEMBERS OF THE BOARD OF DIRECTORS AND THE EXECUTIVE OFFICERS OF THE COMPANY UNDER SWISS LAW FOR FISCAL YEAR 2012 | Management | For | For | ||||||||
6. | APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS | Management | For | For | ||||||||
7. | APPROVAL OF AN EXTENSION OF BOARD AUTHORITY TO ISSUE AUTHORIZED SHARE CAPITAL UNTIL APRIL 25, 2015 | Management | For | For |
NOBLE CORPORATION | ||||||||
Security | H5833N103 | Meeting Type | Annual | |||||
Ticker Symbol | NE | Meeting Date | 26-Apr-2013 | |||||
ISIN | CH0033347318 | Agenda | 933789250 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1. | DIRECTOR | Management | ||||||||||
1 MICHAEL A. CAWLEY | For | For | ||||||||||
2 GORDON T. HALL | For | For | ||||||||||
3 ASHLEY ALMANZA | For | For | ||||||||||
2. | APPROVAL OF THE 2012 ANNUAL REPORT, THE CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY FOR FISCAL YEAR 2012 AND THE STATUTORY FINANCIAL STATEMENTS OF THE COMPANY FOR FISCAL YEAR 2012 | Management | For | For | ||||||||
3. | APPROVAL OF DIVIDEND PAYMENT FUNDED FROM CAPITAL CONTRIBUTION RESERVE IN THE AMOUNT OF USD $1.00 PER SHARE | Management | For | For | ||||||||
4. | RATIFICATION OF APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013 AND THE ELECTION OF PRICEWATERHOUSECOOPERS AG AS STATUTORY AUDITOR FOR A ONE-YEAR TERM | Management | For | For | ||||||||
5. | APPROVAL OF THE DISCHARGE OF THE MEMBERS OF THE BOARD OF DIRECTORS AND THE EXECUTIVE OFFICERS OF THE COMPANY UNDER SWISS LAW FOR FISCAL YEAR 2012 | Management | For | For | ||||||||
6. | APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS | Management | For | For | ||||||||
7. | APPROVAL OF AN EXTENSION OF BOARD AUTHORITY TO ISSUE AUTHORIZED SHARE CAPITAL UNTIL APRIL 25, 2015 | Management | For | For |
EMC CORPORATION | ||||||||
Security | 268648102 | Meeting Type | Annual | |||||
Ticker Symbol | EMC | Meeting Date | 01-May-2013 | |||||
ISIN | US2686481027 | Agenda | 933748747 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A. | ELECTION OF DIRECTOR: MICHAEL W. BROWN | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: RANDOLPH L. COWEN | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: GAIL DEEGAN | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: JAMES S. DISTASIO | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: JOHN R. EGAN | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: EDMUND F. KELLY | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: JAMI MISCIK | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: WINDLE B. PRIEM | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: PAUL SAGAN | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: DAVID N. STROHM | Management | For | For | ||||||||
1K. | 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, 2013, 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 | ||||||||
4. | APPROVAL OF THE EMC CORPORATION AMENDED AND RESTATED 2003 STOCK PLAN, AS DESCRIBED IN EMC’S PROXY STATEMENT. | Management | For | For | ||||||||
5. | APPROVAL OF THE EMC CORPORATION AMENDED AND RESTATED 1989 EMPLOYEE STOCK PURCHASE PLAN, AS DESCRIBED IN EMC’S PROXY STATEMENT. | Management | For | For | ||||||||
6. | APPROVAL OF AMENDMENTS TO EMC’S ARTICLES OF ORGANIZATION AND BYLAWS TO ALLOW SHAREHOLDERS TO ACT BY WRITTEN CONSENT BY LESS THAN UNANIMOUS APPROVAL, AS DESCRIBED IN EMC’S PROXY STATEMENT. | Management | For | For | ||||||||
7. | TO ACT UPON A SHAREHOLDER PROPOSAL RELATING TO POLITICAL CONTRIBUTIONS, AS DESCRIBED IN EMC’S PROXY STATEMENT. | Shareholder | Against | For |
CVS CAREMARK CORPORATION | ||||||||
Security | 126650100 | Meeting Type | Annual | |||||
Ticker Symbol | CVS | Meeting Date | 09-May-2013 | |||||
ISIN | US1266501006 | Agenda | 933763509 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A. | ELECTION OF DIRECTOR: C. DAVID BROWN II | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: DAVID W. DORMAN | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: ANNE M. FINUCANE | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: KRISTEN GIBNEY WILLIAMS | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: LARRY J. MERLO | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: JEAN-PIERRE MILLON | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: RICHARD J. SWIFT | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: WILLIAM C. WELDON | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: TONY L. WHITE | Management | For | For | ||||||||
2. | PROPOSAL TO RATIFY INDEPENDENT PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
3. | SAY ON PAY - AN ADVISORY VOTE ON THE APPROVAL OF EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
4. | AMEND THE COMPANY’S 2007 EMPLOYEE STOCK PURCHASE PLAN TO ADD SHARES TO THE PLAN. | Management | For | For | ||||||||
5. | AMEND THE COMPANY’S CHARTER TO REDUCE VOTING THRESHOLDS IN THE FAIR PRICE PROVISION. | Management | For | For | ||||||||
6. | STOCKHOLDER PROPOSAL REGARDING POLITICAL CONTRIBUTIONS AND EXPENDITURES. | Shareholder | Against | For | ||||||||
7. | STOCKHOLDER PROPOSAL REGARDING POLICY ON ACCELERATED VESTING OF EQUITY AWARDS UPON A CHANGE IN CONTROL. | Shareholder | Against | For | ||||||||
8. | STOCKHOLDER PROPOSAL REGARDING LOBBYING EXPENDITURES. | Shareholder | Against | For |
AKAMAI TECHNOLOGIES, INC. | ||||||||
Security | 00971T101 | Meeting Type | Annual | |||||
Ticker Symbol | AKAM | Meeting Date | 15-May-2013 | |||||
ISIN | US00971T1016 | Agenda | 933770706 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A. | ELECTION OF DIRECTOR: PAMELA J. CRAIG | Management | Did not vote on loan | |||||||||
1B. | ELECTION OF DIRECTOR: F. THOMSON LEIGHTON | Management | Did not vote on loan | |||||||||
1C. | ELECTION OF DIRECTOR: PAUL SAGAN | Management | Did not vote on loan | |||||||||
1D. | ELECTION OF DIRECTOR: NAOMI O. SELIGMAN | Management | Did not vote on loan | |||||||||
2. | TO ADOPT THE AKAMAI TECHNOLOGIES, INC. 2013 STOCK INCENTIVE PLAN. | Management | Did not vote on loan | |||||||||
3A. | TO ADOPT AND APPROVE AMENDMENTS TO OUR CERTIFICATE OF INCORPORATION TO DECLASSIFY OUR BOARD OF DIRECTORS. | Management | Did not vote on loan | |||||||||
3B. | TO ADOPT AND APPROVE AMENDMENTS TO OUR CERTIFICATE OF INCORPORATION TO PROVIDE FOR DIRECTOR REMOVAL WITH OR WITHOUT CAUSE FOLLOWING DECLASSIFICATION OF OUR BOARD OF DIRECTORS. | Management | Did not vote on loan | |||||||||
3C. | TO ADOPT AND APPROVE AMENDMENTS TO OUR CERTIFICATE OF INCORPORATION TO ELIMINATE THE SUPERMAJORITY VOTING REQUIREMENT FOR AMENDING OR REPEALING ARTICLE TENTH OF OUR CERTIFICATE OF INCORPORATION. | Management | Did not vote on loan | |||||||||
4. | TO APPROVE, ON AN ADVISORY BASIS, OUR EXECUTIVE OFFICER COMPENSATION. | Management | Did not vote on loan | |||||||||
5. | TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT AUDITORS OF AKAMAI TECHNOLOGIES, INC. FOR THE FISCAL YEAR ENDING DECEMBER 31. 2013. | Management | Did not vote on loan |
UNION PACIFIC CORPORATION | ||||||||
Security | 907818108 | Meeting Type | Annual | |||||
Ticker Symbol | UNP | Meeting Date | 16-May-2013 | |||||
ISIN | US9078181081 | Agenda | 933779398 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A. | ELECTION OF DIRECTOR: A.H. CARD, JR. | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: E.B. DAVIS, JR. | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: T.J. DONOHUE | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: A.W. DUNHAM | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: J.R. HOPE | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: J.J. KORALESKI | Management | For | For |
1G. | ELECTION OF DIRECTOR: C.C. KRULAK | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: M.R. MCCARTHY | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: M.W. MCCONNELL | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: T.F. MCLARTY III | Management | For | For | ||||||||
1K. | ELECTION OF DIRECTOR: S.R. ROGEL | Management | For | For | ||||||||
1L. | ELECTION OF DIRECTOR: J.H. VILLARREAL | Management | For | For | ||||||||
1M. | ELECTION OF DIRECTOR: J.R. YOUNG | Management | For | For | ||||||||
2. | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||
3. | AN ADVISORY VOTE ON EXECUTIVE COMPENSATION (“SAY ON PAY”). | Management | For | For | ||||||||
4. | ADOPT THE UNION PACIFIC CORPORATION 2013 STOCK INCENTIVE PLAN. | Management | Against | Against | ||||||||
5. | SHAREHOLDER PROPOSAL REGARDING LOBBYING ACTIVITIES IF PROPERLY PRESENTED AT THE ANNUAL MEETING. | Shareholder | Against | For |
MONDELEZ INTL, INC | ||||||||
Security | 609207105 | Meeting Type | Annual | |||||
Ticker Symbol | MDLZ | Meeting Date | 21-May-2013 | |||||
ISIN | US6092071058 | Agenda | 933759625 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A. | ELECTION OF DIRECTOR: STEPHEN F. BOLLENBACH | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: LEWIS W.K. BOOTH | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: LOIS D. JULIBER | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: MARK D. KETCHUM | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: JORGE S. MESQUITA | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: FREDRIC G. REYNOLDS | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: IRENE B. ROSENFELD | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: PATRICK T. SIEWERT | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: RUTH J. SIMMONS | Management | For | For | ||||||||
1J | ELECTION OF DIRECTOR: RATAN N. TATA | Management | For | For | ||||||||
1K | ELECTION OF DIRECTOR: J.F. VAN BOXMEER | Management | For | For | ||||||||
2. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION | Management | For | For | ||||||||
3. | RATIFICATION OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT AUDITORS FOR 2013 | Management | For | For | ||||||||
4. | SHAREHOLDER PROPOSAL: REPORT ON EXTENDED PRODUCER RESPONSIBILITY | Shareholder | Against | For | ||||||||
5 | SHAREHOLDER PROPOSAL: SUSTAINABILITY REPORT ON GENDER EQUALITY IN THE COMPANY’S SUPPLY CHAIN | Shareholder | Against | For |
AMERICAN TOWER CORPORATION | ||||||||
Security | 03027X100 | Meeting Type | Annual | |||||
Ticker Symbol | AMT | Meeting Date | 21-May-2013 | |||||
ISIN | US03027X1000 | Agenda | 933777457 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A. | ELECTION OF DIRECTOR: RAYMOND P. DOLAN | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: RONALD M. DYKES | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: CAROLYN F. KATZ | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: GUSTAVO LARA CANTU | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: JOANN A. REED | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: PAMELA D.A. REEVE | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: DAVID E. SHARBUTT | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: JAMES D. TAICLET, JR. | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: SAMME L. THOMPSON | Management | For | For | ||||||||
2. | TO RATIFY THE SELECTION OF DELOITTE & TOUCHE LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
3. | TO APPROVE, ON AN ADVISORY BASIS, THE COMPANY’S EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
4. | TO APPROVE AN AMENDMENT TO THE COMPANY’S AMENDED AND RESTATED BY- LAWS TO REDUCE THE OWNERSHIP THRESHOLD REQUIRED TO CALL A SPECIAL MEETING. | Management | For | For |
JPMORGAN CHASE & CO. | ||||||||
Security | 46625H100 | Meeting Type | Annual | |||||
Ticker Symbol | JPM | Meeting Date | 21-May-2013 | |||||
ISIN | US46625H1005 | Agenda | 933779728 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A. | ELECTION OF DIRECTOR: JAMES A. BELL | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: CRANDALL C. BOWLES | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: STEPHEN B. BURKE | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: DAVID M. COTE | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: JAMES S. CROWN | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: JAMES DIMON | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: TIMOTHY P. FLYNN | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: ELLEN V. FUTTER | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: LABAN P. JACKSON, JR. | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: LEE R. RAYMOND | Management | For | For | ||||||||
1K. | ELECTION OF DIRECTOR: WILLIAM C. WELDON | Management | For | For | ||||||||
2. | RATIFICATION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||
3. | ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION | Management | For | For | ||||||||
4. | AMENDMENT TO THE FIRM’S RESTATED CERTIFICATE OF INCORPORATION TO AUTHORIZE SHAREHOLDER ACTION BY WRITTEN CONSENT | Management | For | For | ||||||||
5. | REAPPROVAL OF KEY EXECUTIVE PERFORMANCE PLAN | Management | For | For | ||||||||
6. | REQUIRE SEPARATION OF CHAIRMAN AND CEO | Shareholder | Against | For | ||||||||
7. | REQUIRE EXECUTIVES TO RETAIN SIGNIFICANT STOCK UNTIL REACHING NORMAL RETIREMENT AGE | Shareholder | Against | For | ||||||||
8. | ADOPT PROCEDURES TO AVOID HOLDING OR RECOMMENDING INVESTMENTS THAT CONTRIBUTE TO HUMAN RIGHTS VIOLATIONS | Shareholder | Against | For | ||||||||
9. | DISCLOSE FIRM PAYMENTS USED DIRECTLY OR INDIRECTLY FOR LOBBYING, INCLUDING SPECIFIC AMOUNTS AND RECIPIENTS’ NAMES | Shareholder | Against | For |
NATIONAL OILWELL VARCO, INC. | ||||||||
Security | 637071101 | Meeting Type | Annual | |||||
Ticker Symbol | NOV | Meeting Date | 22-May-2013 | |||||
ISIN | US6370711011 | Agenda | 933784464 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A. | ELECTION OF DIRECTOR: MERRILL A. MILLER, JR. | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: GREG L. ARMSTRONG | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: BEN A. GUILL | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: DAVID D. HARRISON | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: ROGER L. JARVIS | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: ERIC L. MATTSON | Management | For | For | ||||||||
2. | RATIFICATION OF INDEPENDENT AUDITORS. | Management | For | For | ||||||||
3. | APPROVE, BY NON-BINDING VOTE, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
4. | APPROVE AMENDMENTS TO THE NATIONAL OILWELL VARCO, INC. LONG-TERM INCENTIVE PLAN. | Management | Against | Against | ||||||||
5. | APPROVE THE NATIONAL OILWELL VARCO, INC. ANNUAL CASH INCENTIVE PLAN FOR EXECUTIVE OFFICERS. | Management | Against | Against |
THE GOLDMAN SACHS GROUP, INC. | ||||||||
Security | 38141G104 | Meeting Type | Annual | |||||
Ticker Symbol | GS | Meeting Date | 23-May-2013 | |||||
ISIN | US38141G1040 | Agenda | 933779754 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A | ELECTION OF DIRECTOR: LLOYD C. BLANKFEIN | Management | For | For | ||||||||
1B | ELECTION OF DIRECTOR: M. MICHELE BURNS | Management | For | For | ||||||||
1C | ELECTION OF DIRECTOR: GARY D. COHN | Management | For | For | ||||||||
1D | ELECTION OF DIRECTOR: CLAES DAHLBACK | Management | For | For | ||||||||
1E | ELECTION OF DIRECTOR: WILLIAM W. GEORGE | Management | For | For | ||||||||
1F | ELECTION OF DIRECTOR: JAMES A. JOHNSON | Management | For | For | ||||||||
1G | ELECTION OF DIRECTOR: LAKSHMI N. MITTAL | Management | For | For | ||||||||
1H | ELECTION OF DIRECTOR: ADEBAYO O. OGUNLESI | Management | For | For | ||||||||
1I | ELECTION OF DIRECTOR: JAMES J. SCHIRO | Management | For | For | ||||||||
1J | ELECTION OF DIRECTOR: DEBORA L. SPAR | Management | For | For | ||||||||
1K | ELECTION OF DIRECTOR: MARK E. TUCKER | Management | For | For | ||||||||
1L | ELECTION OF DIRECTOR: DAVID A. VINIAR | Management | For | For | ||||||||
02 | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION (SAY ON PAY) | Management | For | For | ||||||||
03 | APPROVAL OF THE GOLDMAN SACHS AMENDED AND RESTATED STOCK INCENTIVE PLAN (2013) | Management | Against | Against | ||||||||
04 | RATIFICATION OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013 | Management | For | For | ||||||||
05 | SHAREHOLDER PROPOSAL REGARDING HUMAN RIGHTS COMMITTEE | Shareholder | Against | For | ||||||||
06 | SHAREHOLDER PROPOSAL REGARDING GOLDMAN SACHS LOBBYING DISCLOSURE | Shareholder | Against | For | ||||||||
07 | SHAREHOLDER PROPOSAL REGARDING PROXY ACCESS FOR SHAREHOLDERS | Shareholder | Against | For | ||||||||
08 | SHAREHOLDER PROPOSAL REGARDING MAXIMIZATION OF VALUE FOR SHAREHOLDERS | Shareholder | Against | For |
MCDONALD’S CORPORATION | ||||||||
Security | 580135101 | Meeting Type | Annual | |||||
Ticker Symbol | MCD | Meeting Date | 23-May-2013 | |||||
ISIN | US5801351017 | Agenda | 933781999 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A. | ELECTION OF DIRECTOR: WALTER E. MASSEY | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: JOHN W. ROGERS, JR. | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: ROGER W. STONE | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: MILES D. 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 2013. | Management | For | For | �� | |||||||
4. | ADVISORY VOTE ON A SHAREHOLDER PROPOSAL REQUESTING AN ANNUAL REPORT ON EXECUTIVE COMPENSATION, IF PRESENTED. | Shareholder | Against | For | ||||||||
5. | ADVISORY VOTE ON A SHAREHOLDER PROPOSAL REQUESTING AN EXECUTIVE STOCK RETENTION POLICY, IF PRESENTED. | Shareholder | Against | For | ||||||||
6. | ADVISORY VOTE ON A SHAREHOLDER PROPOSAL REQUESTING A HUMAN RIGHTS REPORT, IF PRESENTED. | Shareholder | Against | For | ||||||||
7. | ADVISORY VOTE ON A SHAREHOLDER PROPOSAL REQUESTING A NUTRITION REPORT, IF PRESENTED. | Shareholder | Against | For |
AMAZON.COM, INC. | ||||||||
Security | 023135106 | Meeting Type | Annual | |||||
Ticker Symbol | AMZN | Meeting Date | 23-May-2013 | |||||
ISIN | US0231351067 | Agenda | 933782612 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A. | ELECTION OF DIRECTOR: JEFFREY P. BEZOS | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: TOM A. ALBERG | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: JOHN SEELY BROWN | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: WILLIAM B. GORDON | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: JAMIE S. GORELICK | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: ALAIN MONIE | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: JONATHAN J. RUBINSTEIN | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: THOMAS O. RYDER | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: PATRICIA Q. STONESIFER | Management | For | For | ||||||||
2. | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS | Management | For | For | ||||||||
3. | SHAREHOLDER PROPOSAL REGARDING A REPORT CONCERNING CORPORATE POLITICAL CONTRIBUTIONS | Shareholder | Against | For |
CHEVRON CORPORATION | ||||||||
Security | 166764100 | Meeting Type | Annual | |||||
Ticker Symbol | CVX | Meeting Date | 29-May-2013 | |||||
ISIN | US1667641005 | Agenda | 933786874 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A. | ELECTION OF DIRECTOR: L.F. DEILY | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: R.E. DENHAM | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: A.P. GAST | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: E. HERNANDEZ | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: G.L. KIRKLAND | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: C.W. MOORMAN | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: K.W. SHARER | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: J.G. STUMPF | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: R.D. SUGAR | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: C. WARE | Management | For | For | ||||||||
1K. | ELECTION OF DIRECTOR: J.S. WATSON | Management | For | For | ||||||||
2. | RATIFICATION OF APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||
3. | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION | Management | For | For | ||||||||
4. | APPROVAL OF AMENDMENTS TO LONG- TERM INCENTIVE PLAN | Management | Against | Against | ||||||||
5. | SHALE ENERGY OPERATIONS | Shareholder | Against | For | ||||||||
6. | OFFSHORE OIL WELLS | Shareholder | Against | For | ||||||||
7. | CLIMATE RISK | Shareholder | Against | For | ||||||||
8. | LOBBYING DISCLOSURE | Shareholder | Against | For | ||||||||
9. | CESSATION OF USE OF CORPORATE FUNDS FOR POLITICAL PURPOSES | Shareholder | Against | For | ||||||||
10. | CUMULATIVE VOTING | Shareholder | Against | For | ||||||||
11. | SPECIAL MEETINGS | Shareholder | Against | For | ||||||||
12. | INDEPENDENT DIRECTOR WITH ENVIRONMENTAL EXPERTISE | Shareholder | Against | For | ||||||||
13. | COUNTRY SELECTION GUIDELINES | Shareholder | Against | For |
EXXON MOBIL CORPORATION | ||||||||
Security | 30231G102 | Meeting Type | Annual | |||||
Ticker Symbol | XOM | Meeting Date | 29-May-2013 | |||||
ISIN | US30231G1022 | Agenda | 933791243 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1. | DIRECTOR | Management | ||||||||||
1 M.J. BOSKIN | For | For | ||||||||||
2 P. BRABECK-LETMATHE | For | For | ||||||||||
3 U.M. BURNS | For | For | ||||||||||
4 L.R. FAULKNER | For | For | ||||||||||
5 J.S. FISHMAN | For | For | ||||||||||
6 H.H. FORE | For | For | ||||||||||
7 K.C. FRAZIER | For | For | ||||||||||
8 W.W. GEORGE | For | For | ||||||||||
9 S.J. PALMISANO | For | For | ||||||||||
10 S.S REINEMUND | For | For | ||||||||||
11 R.W. TILLERSON | For | For | ||||||||||
12 W.C. WELDON | For | For | ||||||||||
13 E.E. WHITACRE, JR. | For | For | ||||||||||
2. | RATIFICATION OF INDEPENDENT AUDITORS (PAGE 60) | Management | For | For | ||||||||
3. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION (PAGE 61) | Management | For | For | ||||||||
4. | INDEPENDENT CHAIRMAN (PAGE 63) | Shareholder | Against | For | ||||||||
5. | MAJORITY VOTE FOR DIRECTORS (PAGE 64) | Shareholder | Against | For | ||||||||
6. | LIMIT DIRECTORSHIPS (PAGE 65) | Shareholder | Against | For | ||||||||
7. | REPORT ON LOBBYING (PAGE 66) | Shareholder | Against | For | ||||||||
8. | POLITICAL CONTRIBUTIONS POLICY (PAGE 67) | Shareholder | Against | For | ||||||||
9. | AMENDMENT OF EEO POLICY (PAGE 69) | Shareholder | Against | For | ||||||||
10. | REPORT ON NATURAL GAS PRODUCTION (PAGE 70) | Shareholder | Against | For | ||||||||
11. | GREENHOUSE GAS EMISSIONS GOALS (PAGE 72) | Shareholder | Against | For |
WILLIAMS-SONOMA, INC. | ||||||||
Security | 969904101 | Meeting Type | Annual | |||||
Ticker Symbol | WSM | Meeting Date | 30-May-2013 | |||||
ISIN | US9699041011 | Agenda | 933791368 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A. | ELECTION OF DIRECTOR: LAURA J. ALBER | Management | Did not vote on loan | |||||||||
1B. | ELECTION OF DIRECTOR: ADRIAN D.P. BELLAMY | Management | Did not vote on loan | |||||||||
1C. | ELECTION OF DIRECTOR: ROSE MARIE BRAVO | Management | Did not vote on loan | |||||||||
1D. | ELECTION OF DIRECTOR: MARY ANN CASATI | Management | Did not vote on loan | |||||||||
1E. | ELECTION OF DIRECTOR: PATRICK J. CONNOLLY | Management | Did not vote on loan | |||||||||
1F. | ELECTION OF DIRECTOR: ADRIAN T. DILLON | Management | Did not vote on loan | |||||||||
1G. | ELECTION OF DIRECTOR: ANTHONY A. GREENER | Management | Did not vote on loan | |||||||||
1H. | ELECTION OF DIRECTOR: TED W. HALL | Management | Did not vote on loan | |||||||||
1I. | ELECTION OF DIRECTOR: MICHAEL R. LYNCH | Management | Did not vote on loan |
1J. | ELECTION OF DIRECTOR: LORRAINE TWOHILL | Management | Did not vote on loan | |||||||||
2. | AN ADVISORY VOTE ON EXECUTIVE COMPENSATION | Management | Did not vote on loan | |||||||||
3. | RATIFICATION OF THE SELECTION OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING FEBRUARY 2, 2014 | Management | Did not vote on loan |
LOWE’S COMPANIES, INC. | ||||||||
Security | 548661107 | Meeting Type | Annual | |||||
Ticker Symbol | LOW | Meeting Date | 31-May-2013 | |||||
ISIN | US5486611073 | Agenda | 933791546 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1. | DIRECTOR | Management | ||||||||||
1 RAUL ALVAREZ | Did not vote on loan | |||||||||||
2 DAVID W. BERNAUER | Did not vote on loan | |||||||||||
3 LEONARD L. BERRY | Did not vote on loan | |||||||||||
4 PETER C. BROWNING | Did not vote on loan | |||||||||||
5 RICHARD W. DREILING | Did not vote on loan | |||||||||||
6 DAWN E. HUDSON | Did not vote on loan | |||||||||||
7 ROBERT L. JOHNSON | Did not vote on loan | |||||||||||
8 MARSHALL O. LARSEN | Did not vote on loan | |||||||||||
9 RICHARD K. LOCHRIDGE | Did not vote on loan | |||||||||||
10 ROBERT A. NIBLOCK | Did not vote on loan | |||||||||||
11 ERIC C. WISEMAN | Did not vote on loan | |||||||||||
2. | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL 2013. | Management | Did not vote on loan | |||||||||
3. | ADVISORY APPROVAL OF THE COMPANY’S EXECUTIVE COMPENSATION. | Management | Did not vote on loan | |||||||||
4. | SHAREHOLDER PROPOSAL REGARDING EXECUTIVE STOCK RETENTION REQUIREMENTS. | Shareholder | Did not vote on loan |
GOOGLE INC. | ||||||||
Security | 38259P508 | Meeting Type | Annual | |||||
Ticker Symbol | GOOG | Meeting Date | 06-Jun-2013 | |||||
ISIN | US38259P5089 | Agenda | 933801905 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1. | DIRECTOR | Management | ||||||||||
1 LARRY PAGE | For | For | ||||||||||
2 SERGEY BRIN | For | For | ||||||||||
3 ERIC E. SCHMIDT | For | For | ||||||||||
4 L. JOHN DOERR | For | For | ||||||||||
5 DIANE B. GREENE | For | For | ||||||||||
6 JOHN L. HENNESSY | For | For | ||||||||||
7 ANN MATHER | For | For | ||||||||||
8 PAUL S. OTELLINI | For | For | ||||||||||
9 K. RAM SHRIRAM | For | For | ||||||||||
10 SHIRLEY M. TILGHMAN | For | For | ||||||||||
2. | THE RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS GOOGLE’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
3. | A STOCKHOLDER PROPOSAL REGARDING A REPORT ON LEAD BATTERIES IN GOOGLE’S SUPPLY CHAIN, IF PROPERLY PRESENTED AT THE MEETING. | Shareholder | Against | For | ||||||||
4. | A STOCKHOLDER PROPOSAL REGARDING EQUAL SHAREHOLDER VOTING, IF PROPERLY PRESENTED AT THE MEETING. | Shareholder | Against | For | ||||||||
5. | A STOCKHOLDER PROPOSAL REGARDING EXECUTIVE STOCK RETENTION, IF PROPERLY PRESENTED AT THE MEETING. | Shareholder | Against | For | ||||||||
6. | A STOCKHOLDER PROPOSAL REGARDING SUCCESSION PLANNING, IF PROPERLY PRESENTED AT THE MEETING. | Shareholder | Against | For |
FACEBOOK INC. | ||||||||
Security | 30303M102 | Meeting Type | Annual | |||||
Ticker Symbol | FB | Meeting Date | 11-Jun-2013 | |||||
ISIN | US30303M1027 | Agenda | 933811538 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1. | DIRECTOR | Management | ||||||||||
1 MARC L. ANDREESSEN | For | For | ||||||||||
2 ERSKINE B. BOWLES | For | For | ||||||||||
3 S.D. DESMOND-HELLMANN | For | For | ||||||||||
4 DONALD E. GRAHAM | For | For | ||||||||||
5 REED HASTINGS | For | For | ||||||||||
6 SHERYL K. SANDBERG | For | For | ||||||||||
7 PETER A. THIEL | For | For | ||||||||||
8 MARK ZUCKERBERG | For | For | ||||||||||
2. | TO APPROVE, ON A NON-BINDING ADVISORY BASIS, THE COMPENSATION OF FACEBOOK, INC.‘S NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
3. | TO VOTE, ON A NON-BINDING ADVISORY BASIS, WHETHER A NON-BINDING ADVISORY VOTE ON THE COMPENSATION PROGRAM FOR FACEBOOK, INC.‘S NAMED EXECUTIVE OFFICERS SHOULD BE HELD EVERY ONE, TWO OR THREE YEARS. | Management | 1 Year | Against | ||||||||
4. | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS FACEBOOK, INC.‘S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. | Management | For | For |
TARGET CORPORATION | ||||||||
Security | 87612E106 | Meeting Type | Annual | |||||
Ticker Symbol | TGT | Meeting Date | 12-Jun-2013 | |||||
ISIN | US87612E1064 | Agenda | 933808163 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1A. | ELECTION OF DIRECTOR: ROXANNE S. AUSTIN | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: DOUGLAS M. BAKER, JR. | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: HENRIQUE DE CASTRO | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: CALVIN DARDEN | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: MARY N. DILLON | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: JAMES A. JOHNSON | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: MARY E. MINNICK | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: ANNE M. MULCAHY | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: DERICA W. RICE | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: GREGG W. STEINHAFEL | Management | For | For | ||||||||
1K. | ELECTION OF DIRECTOR: JOHN G. STUMPF | Management | For | For | ||||||||
1L. | ELECTION OF DIRECTOR: SOLOMON D. TRUJILLO | Management | For | For | ||||||||
2. | COMPANY PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||
3. | COMPANY PROPOSAL TO APPROVE, ON AN ADVISORY BASIS, OUR EXECUTIVE COMPENSATION (“SAY-ON-PAY”). | Management | For | For | ||||||||
4. | SHAREHOLDER PROPOSAL TO ADOPT A POLICY FOR AN INDEPENDENT CHAIRMAN. | Shareholder | Against | For | ||||||||
5. | SHAREHOLDER PROPOSAL ON ELECTRONICS RECYCLING. | Shareholder | Against | For |
CATERPILLAR INC. | ||||||||
Security | 149123101 | Meeting Type | Annual | |||||
Ticker Symbol | CAT | Meeting Date | 12-Jun-2013 | |||||
ISIN | US1491231015 | Agenda | 933809937 - Management |
Item | Proposal | Type | Vote | For/Against Management | ||||||||
1. | DIRECTOR | Management | ||||||||||
1 DAVID L. CALHOUN | For | For | ||||||||||
2 DANIEL M. DICKINSON | For | For | ||||||||||
3 JUAN GALLARDO | For | For | ||||||||||
4 DAVID R. GOODE | For | For | ||||||||||
5 JESSE J. GREENE, JR. | For | For | ||||||||||
6 JON M. HUNTSMAN, JR. | For | For | ||||||||||
7 PETER A. MAGOWAN | For | For | ||||||||||
8 DENNIS A. MUILENBURG | For | For | ||||||||||
9 DOUGLAS R. OBERHELMAN | For | For | ||||||||||
10 WILLIAM A. OSBORN | For | For | ||||||||||
11 CHARLES D. POWELL | For | For | ||||||||||
12 EDWARD B. RUST, JR. | For | For | ||||||||||
13 SUSAN C. SCHWAB | For | For | ||||||||||
14 JOSHUA I. SMITH | For | For | ||||||||||
15 MILES D. WHITE | For | For | ||||||||||
2. | RATIFY THE APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
3. | ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
4. | STOCKHOLDER PROPOSAL - DIRECTOR ELECTION MAJORITY VOTE STANDARD. | Shareholder | Against | For | ||||||||
5. | STOCKHOLDER PROPOSAL - STOCKHOLDER ACTION BY WRITTEN CONSENT. | Shareholder | Against | For | ||||||||
6. | STOCKHOLDER PROPOSAL - EXECUTIVE STOCK RETENTION. | Shareholder | Against | For | ||||||||
7. | STOCKHOLDER PROPOSAL - SUSTAINABILITY MEASURE IN EXECUTIVE COMPENSATION. | Shareholder | Against | For | ||||||||
8. | STOCKHOLDER PROPOSAL - REVIEW OF GLOBAL CORPORATE STANDARDS. | Shareholder | Against | For | ||||||||
9. | STOCKHOLDER PROPOSAL - SALES TO SUDAN. | Shareholder | Against | For |
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.
(Registrant) | Northeast Investors Growth Fund | |
By: | /s/ William A. Oates, Jr. | |
William A. Oates, Jr. | ||
President (Principal Executive Officer) | ||
Date: | August 14, 2013 |