BMC FUND, INC.
P. O. Box 500
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.
Disclose the following information for each matter relating to a portfolio security considered at any shareholder meeting held during the period covered by the report and with respect to which the registrant was entitled to vote:
(c) The Council on Uniform Securities Identification Procedures (“CUSIP”) number for the portfolio security;
(i) Whether the registrant cast its vote for or against management.
| Investment Company Report |
| | AMBEV S.A. |
| | Security | | 02319V103 | | | | Meeting Type | Special |
| | Ticker Symbol | | ABEV | | | | Meeting Date | 02-Jan-2014 | |
| | ISIN | | US02319V1035 | | | | Agenda | 933910021 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1 | TO EXAMINE, DISCUSS AND APPROVE ALL
THE TERMS AND CONDITIONS OF THE
PROTOCOL; AND JUSTIFICATION OF
MERGER OF COMPANHIA DE BEBIDAS DAS
AMERICAS - AMBEV WITH AND INTO AMBEV
S.A., ENTERED INTO BY AND AMONG THE
COMPANIES' MANAGERS ("PROTOCOL AND
JUSTIFICATION I" AND "MERGER I",
RESPECTIVELY). | | Management | For | For | | |
| | 2 | TO RATIFY THE RETENTION OF THE
SPECIALIZED FIRM APSIS CONSULTORIA
EMPRESARIAL LTDA. ("APSIS") TO PREPARE
(A) THE VALUATION REPORT OF
COMPANHIA DE BEBIDAS DAS AMERICAS -
AMBEV ("COMPANHIA DE BEBIDAS"), BASED
ON ITS BOOK VALUE, FOR PURPOSES OF
SECTIONS 227 AND 8 OF LAW NO. 6,404/76
("VALUATION REPORT I"); AND (B) THE
VALUATION REPORT OF THE NET EQUITIES
OF THE COMPANY AND COMPANHIA DE
BEBIDAS, AT MARKET VALUE, EVALUATED
UNDER THE SAME CRITERIA AND ON THE
SAME DATE, FOR PURPOSES OF ... (DUE TO
SPACE LIMITS, SEE PROXY STATEMENT FOR
FULL PROPOSAL) | | Management | For | For | | |
| | 3 | TO APPROVE THE VALUATION REPORT I. | | Management | For | For | | |
| | 4 | TO APPROVE THE MERGER I. | | Management | For | For | | |
| | 5 | TO EXAMINE, DISCUSS AND APPROVE ALL
TERMS AND CONDITIONS OF THE
PROTOCOL AND JUSTIFICATION OF
MERGER OF AMBEV BRASIL BEBIDAS S.A.
WITH AND INTO THE COMPANY, ENTERED
INTO BY AND AMONG THE COMPANIES'
MANAGERS ("PROTOCOL AND
JUSTIFICATION II" AND "MERGER II",
RESPECTIVELY). | | Management | For | For | | |
| | 6 | TO RATIFY THE HIRING OF THE
SPECIALIZED FIRM APSIS TO PREPARE (A)
THE VALUATION REPORT OF THE NET
EQUITY OF AMBEV BRASIL BEBIDAS S.A.
("AMBEV BRASIL"), BASED ON ITS BOOK
VALUE, FOR PURPOSES OF SECTIONS 227
AND 8 OF LAW NO. 6,404/76 ("VALUATION
REPORT II"); AND (B) THE VALUATION
REPORT OF THE NET EQUITIES OF THE
COMPANY AND AMBEV BRASIL, AT MARKET
VALUE, EVALUATED UNDER THE SAME
CRITERIA AND ON THE SAME DATE, FOR
PURPOSES OF SECTION 264 OF LAW NO.
6,404/76 ("NET EQUITY VALUATION REPORT
II"). | | Management | For | For | | |
| | 7 | TO APPROVE THE VALUATION REPORT II. | | Management | For | For | | |
| | 8 | TO APPROVE THE MERGER II AND THE
COMPANY'S CAPITAL INCREASE, UPON THE
ISSUANCE OF COMMON SHARES TO BE
SUBSCRIBED AND PAID IN BY THE
MANAGERS OF AMBEV BRASIL, FOR THE
BENEFIT OF ITS SHAREHOLDERS, WITH THE
CONSEQUENT AMENDMENT OF THE FIRST
PART OF ARTICLE 5 OF THE COMPANY'S BY-
LAWS IN ORDER TO REFLECT THE
REFERRED CAPITAL INCREASE. | | Management | For | For | | |
| | 9 | TO AMEND, AGAIN, THE FIRST PART OF
ARTICLE 5 OF THE COMPANY'S BY-LAWS IN
ORDER TO REFLECT POSSIBLE CAPITAL
INCREASES APPROVED WITHIN THE LIMIT
OF THE AUTHORIZED CAPITAL AND
CONFIRMED BY THE MEMBERS OF THE
COMPANY'S BOARD OF DIRECTORS UNTIL
THE DATE OF EGM. | | Management | For | For | | |
| | 10 | TO AMEND ARTICLE 3 OF THE COMPANY'S
BY-LAWS IN ORDER TO (I) INCLUDE THE
ACTIVITY OF PRINTING, SERVICES OF
PREPRINTING AND GRAPHIC FINISHING AND
REPRODUCTION OF RECORDED MATERIALS
IN ANY BASE; AND (II) ADJUST THE ACTIVITY
OF TRADE OF BYPRODUCTS, AS PER ITEM
"G" THEREOF, TO MENTION, INCLUDING, BUT
NOT LIMITED TO, BYPRODUCTS FOR ANIMAL
FEEDING. | | Management | For | For | | |
| | 11 | TO AUTHORIZE THE COMPANY'S EXECUTIVE
COMMITTEE TO PERFORM ALL ACTS
NECESSARY FOR THE CONSUMMATION OF
THE MERGER. | | Management | For | For | | |
| | 12A | ELECTION OF DIRECTOR: VICTORIO CARLOS
DE MARCHI | | Management | For | For | | |
| | 12B | ELECTION OF DIRECTOR: CARLOS ALVES
DE BRITO | | Management | For | For | | |
| | 12C | ELECTION OF DIRECTOR: MARCEL
HERRMANN TELLES | | Management | For | For | | |
| | 12D | ELECTION OF DIRECTOR: JOSE HEITOR
ATTILIO GRACIOSO | | Management | For | For | | |
| | 12E | ELECTION OF DIRECTOR: VICENTE FALCONI
CAMPOS | | Management | For | For | | |
| | 12F | ELECTION OF DIRECTOR: LUIS FELIPE
PEDREIRA DUTRA LEITE | | Management | For | For | | |
| | 12G | ELECTION OF DIRECTOR: ROBERTO MOSES
THOMPSON MOTTA | | Management | For | For | | |
| | 12H | ELECTION OF DIRECTOR: ALVARO ANTONIO
CARDOSO DE SOUZA | | Management | For | For | | |
| | 12I | ELECTION OF DIRECTOR: PAULO ALBERTO
LEMMAN | | Management | For | For | | |
| | 12J | ELECTION OF DIRECTOR: ANTONIO CARLOS
AUGUSTO RIBEIRO BONCHRISTIANO | | Management | For | For | | |
| | 12K | ELECTION OF DIRECTOR: MARCOS DE
BARROS LISBOA | | Management | For | For | | |
| | 12L | ELECTION OF ALTERNATE DIRECTOR: LUIZ
FERNANDO ZIEGLER DE SAINT EDMOND | | Management | For | For | | |
| | 13 | TO AMEND AND RESTATE THE COMPANY'S
BY-LAWS, IN ACCORDANCE WITH
COMPANY'S MANAGEMENT PROPOSAL. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 25,000 | 0 | 23-Dec-2013 | 23-Dec-2013 |
| | AMBEV S.A. |
| | Security | | 02319V103 | | | | Meeting Type | Special |
| | Ticker Symbol | | ABEV | | | | Meeting Date | 28-Apr-2014 | |
| | ISIN | | US02319V1035 | | | | Agenda | 933986791 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | O1A | ANALYSIS OF THE MANAGEMENT
ACCOUNTS, WITH EXAMINATION,
DISCUSSION AND VOTING ON THE
FINANCIAL STATEMENTS RELATED TO THE
FISCAL YEAR ENDED DECEMBER 31, 2013. | | Management | For | For | | |
| | O1B | ALLOCATION OF THE NET PROFITS FOR THE
FISCAL YEAR ENDED DECEMBER 31, 2013
AND RATIFICATION OF THE PAYMENT OF
INTEREST ON OWN CAPITAL AND
DISTRIBUTION OF DIVIDENDS, RELATED TO
THE FISCAL YEAR ENDED ON DECEMBER 31,
2013, APPROVED BY THE BOARD OF
DIRECTORS AT MEETINGS HELD ON
AUGUST 30, 2013, JANUARY 6, 2014, AND
MARCH 25, 2014. | | Management | For | For | | |
| | O1C | ELECTION OF THE MEMBERS OF THE
COMPANY'S FISCAL COUNCIL AND THEIR
RESPECTIVE ALTERNATES FOR A TERM IN
OFFICE UNTIL THE ORDINARY GENERAL
MEETING TO BE HELD IN 2015. | | Management | For | For | | |
| | O1D | RATIFICATION OF THE AMOUNTS PAID OUT
AS COMPENSATION TO THE MANAGEMENT
AND TO THE MEMBERS OF THE FISCAL
COUNCIL OF THE COMPANY DURING THE
FISCAL YEAR ENDED DECEMBER 31, 2013
AND ESTABLISHING THE OVERALL
COMPENSATION OF THE MANAGEMENT AND
OF THE MEMBERS OF THE FISCAL COUNCIL
FOR THE FISCAL YEAR TO BE ENDED
DECEMBER 31, 2014. | | Management | For | For | | |
| | E2A | WITH THE PURPOSE OF CARRYING OUT THE
PARTIAL CAPITALIZATION OF THE TAX
BENEFIT EARNED BY THE COMPANY WITH
THE PARTIAL AMORTIZATION OF THE
SPECIAL PREMIUM RESERVE - IN 319/99 FOR
THE 2013 FISCAL YEAR, PURSUANT TO THE
ARTICLE 7 OF CVM RULING N. 319/99, A
CAPITAL INCREASE IN THE MINIMUM
AMOUNT OF R$ 218,277,229.62, UPON
ISSUANCE OF 13,566,018 SHARES AND THE
MAXIMUM AMOUNT OF R$ 352,684,594.10,
UPON ISSUANCE OF UP TO 21,919,490
SHARES, AT THE ISSUANCE PRICE OF
R$16.09 PER SHARE, ...(DUE TO SPACE
LIMITS, SEE PROXY STATEMENT FOR FULL
PROPOSAL) | | Management | For | For | | |
| | E2B | NEW CAPITAL INCREASE IN THE AMOUNT
OF R$ 93,547,390.11, CORRESPONDING TO
THE CAPITALIZATION OF 30% OF THE TAX
BENEFIT EARNED WITH THE PARTIAL
AMORTIZATION OF THE SPECIAL PREMIUM
RESERVE IN THE FISCAL YEAR OF 2013,
PURSUANT TO ARTICLE 7 OF THE CVM
RULING N. 319/99, WITHOUT THE ISSUANCE
OF NEW SHARES. | | Management | For | For | | |
| | E2C | BY VIRTUE OF THE RESOLUTION
MENTIONED IN (2B.) ABOVE, AS WELL AS
THE CAPITAL INCREASES APPROVED BY
THE COMPANY'S BOARD OF DIRECTORS
WITHIN THE LIMIT OF THE AUTHORIZED
CAPITAL, AND RATIFIED UNTIL THE DATE OF
THE ORDINARY AND EXTRAORDINARY
GENERAL MEETINGS, TO AMEND CAPUT OF
ARTICLE 5 OF THE COMPANY'S BY-LAWS
AND TO RESTATE SUCH BY-LAWS. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 25,000 | 0 | 17-Apr-2014 | 17-Apr-2014 |
| | AMERICA MOVIL, S.A.B. DE C.V. |
| | Security | | 02364W105 | | | | Meeting Type | Annual |
| | Ticker Symbol | | AMX | | | | Meeting Date | 28-Apr-2014 | |
| | ISIN | | US02364W1053 | | | | Agenda | 933981777 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | APPOINTMENT OR, AS THE CASE MAY BE,
REELECTION OF THE MEMBERS OF THE
BOARD OF DIRECTORS OF THE COMPANY
THAT THE HOLDERS OF THE SERIES "L"
SHARES ARE ENTITLED TO APPOINT.
ADOPTION OF RESOLUTIONS THEREON. | | Management | For | | | |
| | 2. | APPOINTMENT OF DELEGATES TO EXECUTE
AND, IF APPLICABLE, FORMALIZE THE
RESOLUTIONS ADOPTED BY THE MEETING.
ADOPTION OF RESOLUTIONS THEREON. | | Management | For | | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 2,000 | 0 | 17-Apr-2014 | 17-Apr-2014 |
| | AMERICAN ELECTRIC POWER COMPANY, INC. |
| | Security | | 025537101 | | | | Meeting Type | Annual |
| | Ticker Symbol | | AEP | | | | Meeting Date | 22-Apr-2014 | |
| | ISIN | | US0255371017 | | | | Agenda | 933929537 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: NICHOLAS K.
AKINS | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: DAVID J.
ANDERSON | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: J. BARNIE
BEASLEY, JR. | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: RALPH D.
CROSBY, JR. | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: LINDA A.
GOODSPEED | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: THOMAS E.
HOAGLIN | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: SANDRA BEACH
LIN | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: RICHARD C.
NOTEBAERT | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: LIONEL L. NOWELL
III | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: STEPHEN S.
RASMUSSEN | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: OLIVER G.
RICHARD III | | Management | For | For | | |
| | 1L. | ELECTION OF DIRECTOR: SARA MARTINEZ
TUCKER | | Management | For | For | | |
| | 2. | RATIFICATION OF THE APPOINTMENT OF
DELOITTE & TOUCHE LLP AS THE
COMPANY'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING DECEMBER 31, 2014. | | Management | For | For | | |
| | 3. | ADVISORY APPROVAL OF THE COMPANY'S
EXECUTIVE COMPENSATION. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 2,000 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | AMERICAN EXPRESS COMPANY |
| | Security | | 025816109 | | | | Meeting Type | Annual |
| | Ticker Symbol | | AXP | | | | Meeting Date | 12-May-2014 | |
| | ISIN | | US0258161092 | | | | Agenda | 933945872 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: CHARLENE
BARSHEFSKY | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: URSULA BURNS | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: KENNETH
CHENAULT | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: PETER CHERNIN | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: ANNE
LAUVERGEON | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: THEODORE
LEONSIS | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: RICHARD LEVIN | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: RICHARD MCGINN | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: SAMUEL
PALMISANO | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: STEVEN
REINEMUND | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: DANIEL VASELLA | | Management | For | For | | |
| | 1L. | ELECTION OF DIRECTOR: ROBERT WALTER | | Management | For | For | | |
| | 1M. | ELECTION OF DIRECTOR: RONALD WILLIAMS | | Management | For | For | | |
| | 2. | RATIFICATION OF APPOINTMENT OF
PRICEWATERHOUSECOOPERS LLP AS OUR
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR 2014. | | Management | For | For | | |
| | 3. | ADVISORY RESOLUTION TO APPROVE
EXECUTIVE COMPENSATION. | | Management | For | For | | |
| | 4. | SHAREHOLDER PROPOSAL RELATING TO
ANNUAL DISCLOSURE OF EEO-1 DATA. | | Shareholder | Against | For | | |
| | 5. | SHAREHOLDER PROPOSAL RELATING TO
REPORT ON PRIVACY, DATA SECURITY AND
GOVERNMENT REQUESTS. | | Shareholder | Against | For | | |
| | 6. | SHAREHOLDER PROPOSAL RELATING TO
ACTION BY WRITTEN CONSENT. | | Shareholder | Against | For | | |
| | 7. | SHAREHOLDER PROPOSAL FOR
EXECUTIVES TO RETAIN SIGNIFICANT
STOCK. | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 800 | 0 | 08-May-2014 | 08-May-2014 |
| | AMERICAN RAILCAR INDUSTRIES, INC. |
| | Security | | 02916P103 | | | | Meeting Type | Annual |
| | Ticker Symbol | | ARII | | | | Meeting Date | 03-Jun-2014 | |
| | ISIN | | US02916P1030 | | | | Agenda | 934029883 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1.1 | ELECTION OF DIRECTOR: CARL C. ICAHN | | Management | For | For | | |
| | 1.2 | ELECTION OF DIRECTOR: JAMES C.
PONTIOUS | | Management | For | For | | |
| | 1.3 | ELECTION OF DIRECTOR: J. MIKE LAISURE | | Management | For | For | | |
| | 1.4 | ELECTION OF DIRECTOR: HAROLD FIRST | | Management | For | For | | |
| | 1.5 | ELECTION OF DIRECTOR: HUNTER GARY | | Management | For | For | | |
| | 1.6 | ELECTION OF DIRECTOR: SUNGHWAN CHO | | Management | For | For | | |
| | 1.7 | ELECTION OF DIRECTOR: ANDREW
ROBERTO | | Management | For | For | | |
| | 2. | TO APPROVE THE ADVISORY VOTE
REGARDING EXECUTIVE COMPENSATION. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,500 | 0 | 30-May-2014 | 30-May-2014 |
| | AMERISOURCEBERGEN CORPORATION |
| | Security | | 03073E105 | | | | Meeting Type | Annual |
| | Ticker Symbol | | ABC | | | | Meeting Date | 06-Mar-2014 | |
| | ISIN | | US03073E1055 | | | | Agenda | 933915449 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: STEVEN H. COLLIS | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: DOUGLAS R.
CONANT | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: RICHARD W.
GOCHNAUER | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: RICHARD C.
GOZON | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: LON R.
GREENBERG | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: EDWARD E.
HAGENLOCKER | | 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 2014. | | Management | For | For | | |
| | 3. | ADVISORY VOTE TO APPROVE NAMED
EXECUTIVE OFFICER COMPENSATION. | | Management | For | For | | |
| | 4. | APPROVAL OF THE AMERISOURCEBERGEN
CORPORATION OMNIBUS INCENTIVE PLAN. | | Management | For | For | | |
| | 5. | APPROVAL OF THE AMENDMENT OF
AMERISOURCEBERGEN'S AMENDED AND
RESTATED CERTIFICATE OF
INCORPORATION. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 2,000 | 0 | 30-Jan-2014 | 30-Jan-2014 |
| | ANNALY CAPITAL MANAGEMENT, INC. |
| | Security | | 035710409 | | | | Meeting Type | Annual |
| | Ticker Symbol | | NLY | | | | Meeting Date | 22-May-2014 | |
| | ISIN | | US0357104092 | | | | Agenda | 933971310 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: JONATHAN D.
GREEN | | Management | Against | Against | | |
| | 1B. | ELECTION OF DIRECTOR: JOHN H.
SCHAEFER | | Management | Against | Against | | |
| | 1C. | ELECTION OF DIRECTOR: FRANCINE J.
BOVICH | | Management | Against | Against | | |
| | 2. | THE PROPOSAL TO APPROVE A NON-
BINDING ADVISORY RESOLUTION ON
EXECUTIVE COMPENSATION. | | Management | For | For | | |
| | 3. | RATIFICATION OF THE APPOINTMENT OF
ERNST & YOUNG LLP AS INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE COMPANY FOR THE 2014 FISCAL
YEAR. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 5,000 | 0 | 19-May-2014 | 19-May-2014 |
| | AON PLC |
| | Security | | G0408V102 | | | | Meeting Type | Annual |
| | Ticker Symbol | | AON | | | | Meeting Date | 24-Jun-2014 | |
| | ISIN | | GB00B5BT0K07 | | | | Agenda | 934007445 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: LESTER B. KNIGHT | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: GREGORY C.
CASE | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: FULVIO CONTI | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: CHERYL A.
FRANCIS | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: EDGAR D.
JANNOTTA | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: JAMES W. LENG | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: J. MICHAEL LOSH | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: ROBERT S.
MORRISON | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: RICHARD B.
MYERS | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: RICHARD C.
NOTEBAERT | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: GLORIA SANTONA | | Management | For | For | | |
| | 1L. | ELECTION OF DIRECTOR: CAROLYN Y. WOO | | Management | For | For | | |
| | 2. | RECEIPT OF AON'S ANNUAL REPORT AND
ACCOUNTS, TOGETHER WITH THE REPORTS
OF THE DIRECTORS AND AUDITORS FOR
THE YEAR ENDED DECEMBER 31, 2013. | | Management | For | For | | |
| | 3. | RATIFICATION OF THE APPOINTMENT OF
ERNST & YOUNG LLP AS AON'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM. | | Management | For | For | | |
| | 4. | RE-APPOINTMENT OF ERNST & YOUNG LLP
AS AON'S U.K. STATUTORY AUDITOR UNDER
THE COMPANIES ACT 2006. | | Management | For | For | | |
| | 5. | AUTHORIZATION OF THE BOARD OF
DIRECTORS TO DETERMINE THE
REMUNERATION OF ERNST & YOUNG LLP. | | Management | For | For | | |
| | 6. | ADVISORY VOTE TO APPROVE EXECUTIVE
COMPENSATION. | | Management | For | For | | |
| | 7. | APPROVAL OF DIRECTORS' REMUNERATION
POLICY. | | Management | For | For | | |
| | 8. | ADVISORY VOTE TO APPROVE THE
DIRECTORS' REMUNERATION REPORT
(OTHER THAN THE DIRECTORS'
REMUNERATION POLICY). | | Management | For | For | | |
| | 9. | APPROVAL OF THE AON PLC 2011
INCENTIVE COMPENSATION PLAN. | | Management | For | For | | |
| | 10 | APPROVAL OF FORMS OF SHARE
REPURCHASE CONTRACT AND
REPURCHASE COUNTERPARTIES. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,500 | 0 | 30-May-2014 | 30-May-2014 |
| | APPLE INC. |
| | Security | | 037833100 | | | | Meeting Type | Annual |
| | Ticker Symbol | | AAPL | | | | Meeting Date | 28-Feb-2014 | |
| | ISIN | | US0378331005 | | | | Agenda | 933915564 - 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. | THE AMENDMENT OF THE COMPANY'S
RESTATED ARTICLES OF INCORPORATION
(THE "ARTICLES") TO FACILITATE THE
IMPLEMENTATION OF MAJORITY VOTING
FOR THE ELECTION OF DIRECTORS IN AN
UNCONTESTED ELECTION BY ELIMINATING
ARTICLE VII, WHICH RELATES TO THE TERM
OF DIRECTORS AND THE TRANSITION FROM
A CLASSIFIED BOARD OF DIRECTORS TO A
DECLASSIFIED STRUCTURE | | Management | For | For | | |
| | 3. | THE AMENDMENT OF THE ARTICLES TO
ELIMINATE THE "BLANK CHECK" AUTHORITY
OF THE BOARD TO ISSUE PREFERRED
STOCK | | Management | For | For | | |
| | 4. | THE AMENDMENT OF THE ARTICLES TO
ESTABLISH A PAR VALUE FOR THE
COMPANY'S COMMON STOCK OF $0.00001
PER SHARE | | Management | For | For | | |
| | 5. | RATIFICATION OF THE APPOINTMENT OF
ERNST & YOUNG LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR 2014 | | Management | For | For | | |
| | 6. | A NON-BINDING ADVISORY RESOLUTION TO
APPROVE EXECUTIVE COMPENSATION | | Management | For | For | | |
| | 7. | THE APPROVAL OF THE APPLE INC. 2014
EMPLOYEE STOCK PLAN | | Management | For | For | | |
| | 8. | A SHAREHOLDER PROPOSAL BY JOHN
HARRINGTON AND NORTHSTAR ASSET
MANAGEMENT INC. ENTITLED "BOARD
COMMITTEE ON HUMAN RIGHTS" TO AMEND
THE COMPANY'S BYLAWS | | Shareholder | Against | For | | |
| | 9. | A SHAREHOLDER PROPOSAL BY THE
NATIONAL CENTER FOR PUBLIC POLICY
RESEARCH OF A NON-BINDING ADVISORY
RESOLUTION ENTITLED "REPORT ON
COMPANY MEMBERSHIP AND INVOLVEMENT
WITH CERTAIN TRADE ASSOCIATIONS AND
BUSINESS ORGANIZATIONS" | | Shareholder | Against | For | | |
| | 10. | A SHAREHOLDER PROPOSAL BY CARL
ICAHN OF A NON-BINDING ADVISORY
RESOLUTION THAT THE COMPANY COMMIT
TO COMPLETING NOT LESS THAN $50
BILLION OF SHARE REPURCHASES DURING
ITS 2014 FISCAL YEAR (AND INCREASE THE
AUTHORIZATION UNDER ITS CAPITAL
RETURN PROGRAM ACCORDINGLY) | | Shareholder | Against | For | | |
| | 11. | A SHAREHOLDER PROPOSAL BY JAMES
MCRITCHIE OF A NON-BINDING ADVISORY
RESOLUTION ENTITLED "PROXY ACCESS
FOR SHAREHOLDERS" | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 2,000 | 0 | 14-Jan-2014 | 14-Jan-2014 |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 500 | 0 | 14-Jan-2014 | 14-Jan-2014 |
| | ARES CAPITAL CORPORATION |
| | Security | | 04010L103 | | | | Meeting Type | Annual |
| | Ticker Symbol | | ARCC | | | | Meeting Date | 02-Jun-2014 | |
| | ISIN | | US04010L1035 | | | | Agenda | 933989634 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1.1 | ELECTION OF DIRECTOR: MICHAEL J.
AROUGHETI | | Management | Abstain | Against | | |
| | 1.2 | ELECTION OF DIRECTOR: ANN TORRE
BATES | | Management | Abstain | Against | | |
| | 1.3 | ELECTION OF DIRECTOR: STEVEN B.
MCKEEVER | | Management | Abstain | Against | | |
| | 2. | TO RATIFY THE SELECTION OF KPMG LLP
AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE YEAR ENDING DECEMBER 31, 2014. | | Management | For | For | | |
| | 3. | TO AUTHORIZE THE COMPANY, WITH THE
APPROVAL OF ITS BOARD OF DIRECTORS,
TO SELL OR OTHERWISE ISSUE SHARES OF
ITS COMMON STOCK AT A PRICE BELOW ITS
THEN CURRENT NET ASSET VALUE PER
SHARE SUBJECT TO THE LIMITATIONS SET
FORTH IN THE PROXY STATEMENT FOR THE
2014 ANNUAL MEETING OF STOCKHOLDERS
(INCLUDING, WITHOUT LIMITATION, THAT
THE NUMBER OF SHARES ISSUED DOES
NOT EXCEED 25% OF THE COMPANY'S THEN
OUTSTANDING COMMON STOCK). | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 20,483 | 0 | 30-May-2014 | 30-May-2014 |
| | ASTRAZENECA PLC |
| | Security | | 046353108 | | | | Meeting Type | Annual |
| | Ticker Symbol | | AZN | | | | Meeting Date | 24-Apr-2014 | |
| | ISIN | | US0463531089 | | | | Agenda | 933945264 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | TO RECEIVE THE COMPANY'S ACCOUNTS
AND THE REPORTS OF THE DIRECTORS
AND AUDITOR FOR THE YEAR ENDED 31
DECEMBER 2013 | | Management | For | For | | |
| | 2. | TO CONFIRM DIVIDENDS | | Management | For | For | | |
| | 3. | TO APPOINT KPMG LLP, LONDON AS
AUDITOR | | Management | For | For | | |
| | 4. | TO AUTHORISE THE DIRECTORS TO AGREE
TO THE REMUNERATION OF THE AUDITOR | | Management | For | For | | |
| | 5A. | ELECTION OF DIRECTOR: LEIF JOHANSSON | | Management | For | For | | |
| | 5B. | ELECTION OF DIRECTOR: PASCAL SORIOT | | Management | For | For | | |
| | 5C. | ELECTION OF DIRECTOR: MARC DUNOYER | | Management | For | For | | |
| | 5D. | ELECTION OF DIRECTOR: GENEVIEVE
BERGER | | Management | For | For | | |
| | 5E. | ELECTION OF DIRECTOR: BRUCE
BURLINGTON | | Management | For | For | | |
| | 5F. | ELECTION OF DIRECTOR: ANN CAIRNS | | Management | For | For | | |
| | 5G. | ELECTION OF DIRECTOR: GRAHAM
CHIPCHASE | | Management | For | For | | |
| | 5H. | ELECTION OF DIRECTOR: JEAN-PHILIPPE
COURTOIS | | Management | For | For | | |
| | 5I. | ELECTION OF DIRECTOR: RUDY MARKHAM | | Management | For | For | | |
| | 5J. | ELECTION OF DIRECTOR: NANCY
ROTHWELL | | Management | For | For | | |
| | 5K. | ELECTION OF DIRECTOR: SHRITI VADERA | | Management | For | For | | |
| | 5L. | ELECTION OF DIRECTOR: JOHN VARLEY | | Management | For | For | | |
| | 5M. | ELECTION OF DIRECTOR: MARCUS
WALLENBERG | | Management | For | For | | |
| | 6. | TO APPROVE THE ANNUAL REPORT ON
REMUNERATION FOR THE YEAR ENDED 31
DECEMBER 2013 | | Management | For | For | | |
| | 7. | TO APPROVE THE DIRECTORS'
REMUNERATION POLICY | | Management | For | For | | |
| | 8. | TO AUTHORISE LIMITED EU POLITICAL
DONATIONS | | Management | For | For | | |
| | 9. | TO AUTHORISE THE DIRECTORS TO ALLOT
SHARES | | Management | For | For | | |
| | 10. | TO AUTHORISE THE DIRECTORS TO
DISAPPLY PRE-EMPTION RIGHTS | | Management | For | For | | |
| | 11. | TO AUTHORISE THE COMPANY TO
PURCHASE ITS OWN SHARES | | Management | For | For | | |
| | 12. | TO REDUCE THE NOTICE PERIOD FOR
GENERAL MEETINGS | | Management | For | For | | |
| | 13. | TO APPROVE THE ASTRAZENECA 2014
PERFORMANCE SHARE PLAN | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 5,000 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | AT&T INC. |
| | Security | | 00206R102 | | | | Meeting Type | Annual |
| | Ticker Symbol | | T | | | | Meeting Date | 25-Apr-2014 | |
| | ISIN | | US00206R1023 | | | | Agenda | 933930807 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: RANDALL L.
STEPHENSON | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: REUBEN V.
ANDERSON | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: JAIME CHICO
PARDO | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: SCOTT T. FORD | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: JAMES P. KELLY | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: JON C. MADONNA | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: MICHAEL B.
MCCALLISTER | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: JOHN B. MCCOY | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: BETH E. MOONEY | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: JOYCE M. ROCHE | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: MATTHEW K.
ROSE | | Management | For | For | | |
| | 1L. | ELECTION OF DIRECTOR: CYNTHIA B.
TAYLOR | | Management | For | For | | |
| | 1M. | ELECTION OF DIRECTOR: LAURA D'ANDREA
TYSON | | Management | For | For | | |
| | 2. | RATIFICATION OF APPOINTMENT OF
INDEPENDENT AUDITORS. | | Management | For | For | | |
| | 3. | ADVISORY APPROVAL OF EXECUTIVE
COMPENSATION. | | Management | For | For | | |
| | 4. | APPROVE SEVERANCE POLICY. | | Management | For | For | | |
| | 5. | POLITICAL REPORT. | | Shareholder | Against | For | | |
| | 6. | LOBBYING REPORT. | | Shareholder | Against | For | | |
| | 7. | WRITTEN CONSENT. | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698968 | DIVIDEND
PORTFOLIO | 2698968 | NORTHERN
TRUST
COMPANY | 14,000 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 3,000 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | AVENUE INCOME CREDIT STRATEGIES FUND |
| | Security | | 05358E106 | | | | Meeting Type | Annual |
| | Ticker Symbol | | ACP | | | | Meeting Date | 15-May-2014 | |
| | ISIN | | US05358E1064 | | | | Agenda | 933981222 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | JOEL TOMAS CITRON | | | Withheld | Against | | |
| | | 2 | RANDOLPH TAKIAN | | | Withheld | Against | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698969 | BMC-FIX | 2698969 | NORTHERN
TRUST
COMPANY | 34,329 | 0 | 09-May-2014 | 09-May-2014 |
| | BANK OF AMERICA CORPORATION |
| | Security | | 060505104 | | | | Meeting Type | Annual |
| | Ticker Symbol | | BAC | | | | Meeting Date | 07-May-2014 | |
| | ISIN | | US0605051046 | | | | Agenda | 933948070 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: SHARON L. ALLEN | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: SUSAN S. BIES | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: JACK O.
BOVENDER, JR. | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: FRANK P.
BRAMBLE, SR. | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: PIERRE J.P. DE
WECK | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: ARNOLD W.
DONALD | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: CHARLES K.
GIFFORD | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: CHARLES O.
HOLLIDAY, JR. | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: LINDA P. HUDSON | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: MONICA C.
LOZANO | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: THOMAS J. MAY | | Management | For | For | | |
| | 1L. | ELECTION OF DIRECTOR: BRIAN T.
MOYNIHAN | | Management | For | For | | |
| | 1M. | ELECTION OF DIRECTOR: LIONEL L.
NOWELL, III | | Management | For | For | | |
| | 1N. | ELECTION OF DIRECTOR: CLAYTON S. ROSE | | Management | For | For | | |
| | 1O. | ELECTION OF DIRECTOR: R. DAVID YOST | | Management | For | For | | |
| | 2. | AN ADVISORY (NON-BINDING) RESOLUTION
TO APPROVE EXECUTIVE COMPENSATION
(SAY ON PAY). | | Management | For | For | | |
| | 3. | RATIFICATION OF THE APPOINTMENT OF
OUR REGISTERED INDEPENDENT PUBLIC
ACCOUNTING FIRM FOR 2014. | | Management | For | For | | |
| | 4. | APPROVAL OF AMENDMENT TO THE SERIES
T PREFERRED STOCK. | | Management | For | For | | |
| | 5. | STOCKHOLDER PROPOSAL - CUMULATIVE
VOTING IN DIRECTOR ELECTIONS. | | Shareholder | Against | For | | |
| | 6. | STOCKHOLDER PROPOSAL - PROXY
ACCESS. | | Shareholder | Against | For | | |
| | 7. | STOCKHOLDER PROPOSAL - CLIMATE
CHANGE REPORT. | | Shareholder | Against | For | | |
| | 8. | STOCKHOLDER PROPOSAL - LOBBYING
REPORT. | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 3,000 | 0 | 25-Apr-2014 | 25-Apr-2014 |
| | BCE INC. |
| | Security | | 05534B760 | | | | Meeting Type | Annual |
| | Ticker Symbol | | BCE | | | | Meeting Date | 06-May-2014 | |
| | ISIN | | CA05534B7604 | | | | Agenda | 933948361 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 01 | DIRECTOR | | Management | | | | | | | |
| | | 1 | B.K. ALLEN | | | For | For | | |
| | | 2 | A. BÉRARD | | | For | For | | |
| | | 3 | R.A. BRENNEMAN | | | For | For | | |
| | | 4 | S. BROCHU | | | For | For | | |
| | | 5 | R.E. BROWN | | | For | For | | |
| | | 6 | G.A. COPE | | | For | For | | |
| | | 7 | D.F. DENISON | | | For | For | | |
| | | 8 | I. GREENBERG | | | For | For | | |
| | | 9 | T.C. O'NEILL | | | For | For | | |
| | | 10 | J. PRENTICE | | | For | For | | |
| | �� | 11 | R.C. SIMMONDS | | | For | For | | |
| | | 12 | C. TAYLOR | | | For | For | | |
| | | 13 | P.R. WEISS | | | For | For | | |
| | 02 | APPOINTMENT OF DELOITTE LLP AS
AUDITORS. | | Management | For | For | | |
| | 03 | RESOLVED, ON AN ADVISORY BASIS AND
NOT TO DIMINISH THE ROLE AND
RESPONSIBILITIES OF THE BOARD OF
DIRECTORS, THAT THE SHAREHOLDERS
ACCEPT THE APPROACH TO EXECUTIVE
COMPENSATION DISCLOSED IN THE 2014
MANAGEMENT PROXY CIRCULAR DATED
MARCH 6, 2014 DELIVERED IN ADVANCE OF
THE 2014 ANNUAL GENERAL MEETING OF
SHAREHOLDERS OF BCE. | | Management | For | For | | |
| | 4A | PROPOSAL NO. 1 RISK MANAGEMENT
COMMITTEE. | | Shareholder | Against | For | | |
| | 4B | PROPOSAL NO. 2 TOTAL EXECUTIVE
COMPENSATION GROSS PAY CAP AT
$5,000,000. | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 4,500 | 0 | 25-Apr-2014 | 25-Apr-2014 |
| | BERKSHIRE HATHAWAY INC. |
| | Security | | 084670702 | | | | Meeting Type | Annual |
| | Ticker Symbol | | BRKB | | | | Meeting Date | 03-May-2014 | |
| | ISIN | | US0846707026 | | | | Agenda | 933937320 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | WARREN E. BUFFETT | | | For | For | | |
| | | 2 | CHARLES T. MUNGER | | | For | For | | |
| | | 3 | HOWARD G. BUFFETT | | | For | For | | |
| | | 4 | STEPHEN B. BURKE | | | For | For | | |
| | | 5 | SUSAN L. DECKER | | | For | For | | |
| | | 6 | WILLIAM H. GATES III | | | For | For | | |
| | | 7 | DAVID S. GOTTESMAN | | | For | For | | |
| | | 8 | CHARLOTTE GUYMAN | | | For | For | | |
| | | 9 | DONALD R. KEOUGH | | | For | For | | |
| | | 10 | THOMAS S. MURPHY | | | For | For | | |
| | | 11 | RONALD L. OLSON | | | For | For | | |
| | | 12 | WALTER SCOTT, JR. | | | For | For | | |
| | | 13 | MERYL B. WITMER | | | For | For | | |
| | 2 | NON-BINDING RESOLUTION TO APPROVE
THE COMPENSATION OF THE COMPANY'S
NAMED EXECUTIVE OFFICERS, AS
DESCRIBED IN THE 2014 PROXY
STATEMENT. | | Management | For | For | | |
| | 3 | NON-BINDING RESOLUTION TO DETERMINE
THE FREQUENCY (WHETHER ANNUAL,
BIENNIAL OR TRIENNIAL) WITH WHICH
SHAREHOLDERS OF THE COMPANY SHALL
BE ENTITLED TO HAVE AN ADVISORY VOTE
ON EXECUTIVE COMPENSATION. | | Management | 3 Years | For | | |
| | 4 | SHAREHOLDER PROPOSAL REGARDING
GREENHOUSE GAS AND OTHER AIR
EMISSIONS. | | Shareholder | Against | For | | |
| | 5 | SHAREHOLDER PROPOSAL REGARDING
DIVIDENDS. | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 2,500 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | BLACKROCK KELSO CAPITAL CORP. |
| | Security | | 092533108 | | | | Meeting Type | Annual |
| | Ticker Symbol | | BKCC | | | | Meeting Date | 09-May-2014 | |
| | ISIN | | US0925331086 | | | | Agenda | 933950380 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | JOHN R. BARON | | | Withheld | Against | | |
| | | 2 | JERROLD B. HARRIS | | | Withheld | Against | | |
| | | 3 | MICHAEL B. LAZAR | | | Withheld | Against | | |
| | 2. | TO RATIFY THE SELECTION OF DELOITTE &
TOUCHE LLP TO SERVE AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE YEAR ENDING
DECEMBER 31, 2014. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698968 | DIVIDEND
PORTFOLIO | 2698968 | NORTHERN
TRUST
COMPANY | 10,000 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | BLACKROCK KELSO CAPITAL CORP. |
| �� | Security | | 092533108 | | | | Meeting Type | Special |
| | Ticker Symbol | | BKCC | | | | Meeting Date | 09-May-2014 | |
| | ISIN | | US0925331086 | | | | Agenda | 933953425 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 01 | TO AUTHORIZE FLEXIBILITY FOR THE
COMPANY, WITH APPROVAL OF ITS BOARD
OF DIRECTORS, TO SELL OR OTHERWISE
ISSUE SHARES OF ITS COMMON STOCK
(DURING THE NEXT 12 MONTHS) AT A PRICE
BELOW THE COMPANY'S THEN CURRENT
NET ASSET VALUE PER SHARE IN ONE OR
MORE OFFERINGS, SUBJECT TO CERTAIN
LIMITATIONS SET FORTH IN THE PROXY
STATEMENT. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698968 | DIVIDEND
PORTFOLIO | 2698968 | NORTHERN
TRUST
COMPANY | 10,000 | 0 | 07-May-2014 | 07-May-2014 |
| | BLUEHARBOR BANK |
| | Security | | 095613105 | | | | Meeting Type | Annual |
| | Ticker Symbol | | BLHK | | | | Meeting Date | 27-May-2014 | |
| | ISIN | | US0956131058 | | | | Agenda | 934001518 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | DANIEL K. CERMINARA | | | For | For | | |
| | | 2 | ABIGAIL M. JENNINGS | | | For | For | | |
| | | 3 | JOE I. MARSHALL, JR. | | | For | For | | |
| | | 4 | WILLIAM B. MARSHALL | | | For | For | | |
| | | 5 | KELLEY E. MILLER | | | For | For | | |
| | | 6 | CLARENCE E. PICKARD, JR | | | For | For | | |
| | | 7 | WILLIAM P. POPE | | | For | For | | |
| | | 8 | RILEY B. SLOAN, JR. | | | For | For | | |
| | | 9 | LOUIS G. STANFIELD, JR. | | | For | For | | |
| | | 10 | JAMES R. TEAGUE | | | For | For | | |
| | 2 | RATIFICATION OF THE APPOINTMENT OF
ELLIOTT DAVIS, PLLC, AS THE
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING DECEMBER 31, 2014. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 10,000 | 0 | 19-May-2014 | 19-May-2014 |
| | BUCKEYE PARTNERS, L.P. |
| | Security | | 118230101 | | | | Meeting Type | Annual |
| | Ticker Symbol | | BPL | | | | Meeting Date | 03-Jun-2014 | |
| | ISIN | | US1182301010 | | | | Agenda | 933992580 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | FORREST E. WYLIE | | | Withheld | Against | | |
| | | 2 | BARBARA J. DUGANIER | | | Withheld | Against | | |
| | | 3 | JOSEPH A. LASALA, JR. | | | Withheld | Against | | |
| | | 4 | MARTIN A. WHITE | | | Withheld | Against | | |
| | 2. | THE RATIFICATION OF THE SELECTION OF
DELOITTE & TOUCHE LLP AS BUCKEYE
PARTNERS, L.P.'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTANTS FOR
2014. | | Management | For | For | | |
| | 3. | THE APPROVAL, IN AN ADVISORY VOTE, OF
THE COMPENSATION OF BUCKEYE'S NAMED
EXECUTIVE OFFICERS AS DESCRIBED IN
OUR PROXY STATEMENT PURSUANT TO
ITEM 402 OF REGULATION S-K. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 2,000 | 0 | 30-May-2014 | 30-May-2014 |
| | CAPITALA FINANCE CORP |
| | Security | | 14054R106 | | | | Meeting Type | Annual |
| | Ticker Symbol | | CPTA | | | | Meeting Date | 08-May-2014 | |
| | ISIN | | US14054R1068 | | | | Agenda | 933965379 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | R. CHARLES MOYER | | | Withheld | Against | | |
| | 2. | THE RATIFICATION OF THE SELECTION OF
ERNST & YOUNG LLP AS THE INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR CAPITALA FINANCE CORP. FOR THE
FISCAL YEAR ENDING DECEMBER 31, 2014. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 15,000 | 0 | 07-May-2014 | 07-May-2014 |
| | CEDAR FAIR, L.P. |
| | Security | | 150185106 | | | | Meeting Type | Annual |
| | Ticker Symbol | | FUN | | | | Meeting Date | 04-Jun-2014 | |
| | ISIN | | US1501851067 | | | | Agenda | 933999712 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | GINA D. FRANCE | | | Withheld | Against | | |
| | | 2 | MATTHEW A. OUIMET | | | Withheld | Against | | |
| | | 3 | TOM KLEIN | | | Withheld | Against | | |
| | 2. | TO CONFIRM THE APPOINTMENT OF
DELOITTE & TOUCHE LLP AS OUR
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM. | | Management | For | For | | |
| | 3. | TO APPROVE, ON AN ADVISORY BASIS, THE
COMPENSATION OF OUR NAMED
EXECUTIVE OFFICERS. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 15,000 | 0 | 30-May-2014 | 30-May-2014 |
| | CHEVRON CORPORATION |
| | Security | | 166764100 | | | | Meeting Type | Annual |
| | Ticker Symbol | | CVX | | | | Meeting Date | 28-May-2014 | |
| | ISIN | | US1667641005 | | | | Agenda | 933978011 - 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,
JR. | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: J.M. HUNTSMAN,
JR. | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: G.L. KIRKLAND | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: C.W. MOORMAN | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: K.W. SHARER | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: J.G. STUMPF | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: R.D. SUGAR | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: C. WARE | | Management | For | For | | |
| | 1L. | 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. | CHARITABLE CONTRIBUTIONS DISCLOSURE | | Shareholder | Against | For | | |
| | 5. | LOBBYING DISCLOSURE | | Shareholder | Against | For | | |
| | 6. | SHALE ENERGY OPERATIONS | | Shareholder | Against | For | | |
| | 7. | INDEPENDENT CHAIRMAN | | Shareholder | Against | For | | |
| | 8. | SPECIAL MEETINGS | | Shareholder | Against | For | | |
| | 9. | INDEPENDENT DIRECTOR WITH
ENVIRONMENTAL EXPERTISE | | Shareholder | Against | For | | |
| | 10. | COUNTRY SELECTION GUIDELINES | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 23-May-2014 | 23-May-2014 |
| | CISCO SYSTEMS, INC. |
| | Security | | 17275R102 | | | | Meeting Type | Annual |
| | Ticker Symbol | | CSCO | | | | Meeting Date | 19-Nov-2013 | |
| | ISIN | | US17275R1023 | | | | Agenda | 933882157 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: CAROL A. BARTZ | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: MARC BENIOFF | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: GREGORY Q.
BROWN | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: M. MICHELE
BURNS | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: MICHAEL D.
CAPELLAS | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: JOHN T.
CHAMBERS | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: BRIAN L. HALLA | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: DR. JOHN L.
HENNESSY | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: DR. KRISTINA M.
JOHNSON | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: RODERICK C.
MCGEARY | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: ARUN SARIN | | Management | For | For | | |
| | 1L. | ELECTION OF DIRECTOR: STEVEN M. WEST | | Management | For | For | | |
| | 2. | APPROVAL OF AMENDMENT AND
RESTATEMENT OF THE 2005 STOCK
INCENTIVE PLAN. | | Management | For | For | | |
| | 3. | APPROVAL, ON AN ADVISORY BASIS, OF
EXECUTIVE COMPENSATION. | | Management | For | For | | |
| | 4. | RATIFICATION OF
PRICEWATERHOUSECOOPERS LLP AS
CISCO'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR FISCAL
2014. | | Management | For | For | | |
| | 5. | APPROVAL TO HAVE CISCO HOLD A
COMPETITION FOR GIVING PUBLIC ADVICE
ON THE VOTING ITEMS IN THE PROXY
FILING FOR CISCO'S 2014 ANNUAL
SHAREOWNERS MEETING. | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 5,700 | 0 | 14-Oct-2013 | 14-Oct-2013 |
| | CME GROUP INC. |
| | Security | | 12572Q105 | | | | Meeting Type | Annual |
| | Ticker Symbol | | CME | | | | Meeting Date | 21-May-2014 | |
| | ISIN | | US12572Q1058 | | | | Agenda | 933975673 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: TERRENCE A.
DUFFY | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: PHUPINDER S.
GILL | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: TIMOTHY S.
BITSBERGER | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: CHARLES P.
CAREY | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: DENNIS H.
CHOOKASZIAN | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: MARTIN J.
GEPSMAN | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: LARRY G. GERDES | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: DANIEL R.
GLICKMAN | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: J. DENNIS
HASTERT | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: LEO MELAMED | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: WILLIAM P. MILLER
II | | Management | For | For | | |
| | 1L. | ELECTION OF DIRECTOR: JAMES E. OLIFF | | Management | For | For | | |
| | 1M. | ELECTION OF DIRECTOR: EDEMIR PINTO | | Management | For | For | | |
| | 1N. | ELECTION OF DIRECTOR: ALEX J. POLLOCK | | Management | For | For | | |
| | 1O. | ELECTION OF DIRECTOR: JOHN F. SANDNER | | Management | For | For | | |
| | 1P. | ELECTION OF DIRECTOR: TERRY L. SAVAGE | | Management | For | For | | |
| | 1Q. | ELECTION OF DIRECTOR: WILLIAM R.
SHEPARD | | Management | For | For | | |
| | 1R. | ELECTION OF DIRECTOR: DENNIS A.
SUSKIND | | Management | For | For | | |
| | 2. | RATIFICATION OF THE APPOINTMENT OF
ERNST & YOUNG AS OUR INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR 2014. | | Management | For | For | | |
| | 3. | ADVISORY VOTE ON THE COMPENSATION
OF OUR NAMED EXECUTIVE OFFICERS. | | Management | For | For | | |
| | 4. | APPROVAL OF AN AMENDMENT TO THE CME
GROUP INC. DIRECTOR STOCK PLAN. | | Management | For | For | | |
| | 5. | APPROVAL OF AN AMENDMENT TO THE CME
GROUP INC. INCENTIVE PLAN FOR OUR
NAMED EXECUTIVE OFFICERS. | | Management | For | For | | |
| | 6. | APPROVAL OF AN AMENDMENT TO THE CME
GROUP INC. CERTIFICATE OF
INCORPORATION TO MODIFY THE
DIRECTOR ELECTION RIGHTS OF CERTAIN
CLASS B SHAREHOLDERS RESULTING IN A
REDUCTION IN THE NUMBER OF "CLASS B
DIRECTORS" FROM SIX TO THREE. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,300 | 0 | 19-May-2014 | 19-May-2014 |
| | COACH, INC. |
| | Security | | 189754104 | | | | Meeting Type | Annual |
| | Ticker Symbol | | COH | | | | Meeting Date | 07-Nov-2013 | |
| | ISIN | | US1897541041 | | | | Agenda | 933881446 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | LEW FRANKFORT | | | For | For | | |
| | | 2 | SUSAN KROPF | | | For | For | | |
| | | 3 | GARY LOVEMAN | | | For | For | | |
| | | 4 | VICTOR LUIS | | | For | For | | |
| | | 5 | IVAN MENEZES | | | For | For | | |
| | | 6 | IRENE MILLER | | | For | For | | |
| | | 7 | MICHAEL MURPHY | | | For | For | | |
| | | 8 | STEPHANIE TILENIUS | | | For | For | | |
| | | 9 | JIDE ZEITLIN | | | For | For | | |
| | 2. | RATIFICATION OF THE APPOINTMENT OF
DELOITTE & TOUCHE LLP AS THE
COMPANY'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR FISCAL
YEAR 2014 | | 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 2013 ANNUAL
MEETING | | Management | For | For | | |
| | 4. | APPROVAL OF THE COACH, INC. 2013
PERFORMANCE-BASED ANNUAL INCENTIVE
PLAN | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 5,000 | 0 | 30-Sep-2013 | 30-Sep-2013 |
| | COMPANHIA DE BEBIDAS DAS AMERICAS-AMBEV |
| | Security | | 20441W203 | | | | Meeting Type | Special |
| | Ticker Symbol | | ABV | | | | Meeting Date | 30-Jul-2013 | |
| | ISIN | | US20441W2035 | | | | Agenda | 933857700 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | I | TO REVIEW, DISCUSS & APPROVE
PROTOCOL & JUSTIFICATION OF MERGER
INTO ASSET BASE OF AMBEV S.A. OF ALL
SHARES ISSUED BY COMPANY & NOT HELD
BY AMBEV S.A. ("STOCK SWAP MERGER") &
TO AUTHORIZE EXECUTIVE COMMITTEE TO
SUBSCRIBE, ON BEHALF OF
SHAREHOLDERS, THE CONSEQUENT
CAPITAL INCREASE OF AMBEV S.A. & TO
PERFORM ALL OTHER ACTS NECESSARY TO
IMPLEMENTATION OF STOCK SWAP
MERGER. | | Management | For | For | | |
| | II | TO AMEND THE HEAD OF SECTION 5 OF THE
COMPANY'S BYLAWS IN ORDER TO
REFLECT ANY CAPITAL INCREASES
APPROVED WITHIN THE LIMITS OF THE
AUTHORIZED CAPITAL AND RATIFIED BY
THE BOARD OF DIRECTORS UP TO THE
DATE OF THE EXTRAORDINARY GENERAL
MEETING. | | Management | For | For | | |
| | III | IF THE STOCK SWAP MERGER IS
APPROVED, TO CANCEL ALL SHARES
ISSUED BY THE COMPANY AND HELD IN
TREASURY ON THE DATE OF THE
EXTRAORDINARY GENERAL
SHAREHOLDERS' MEETING, WITHOUT
REDUCING THE VALUE OF THE CAPITAL
STOCK OF THE COMPANY, AMENDING THE
HEAD OF SECTION 5 OF THE BYLAWS. | | Management | For | For | | |
| | IV | IN ORDER TO REFLECT THE AMENDMENTS
PROPOSED IN ITEMS (II) AND (III) ABOVE, TO
RESTATE THE BYLAWS OF THE COMPANY
ACCORDING TO THE MANAGEMENT
PROPOSAL. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 5,000 | 0 | 15-Jul-2013 | 15-Jul-2013 |
| | CONSOLIDATED COMMUNICATIONS HLDGS, INC. |
| | Security | | 209034107 | | | | Meeting Type | Annual |
| | Ticker Symbol | | CNSL | | | | Meeting Date | 29-Apr-2014 | |
| | ISIN | | US2090341072 | | | | Agenda | 933956356 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | ROBERT J. CURREY | | | Withheld | Against | | |
| | | 2 | C. ROBERT UDELL, JR. | | | Withheld | Against | | |
| | | 3 | MARIBETH S. RAHE | | | Withheld | Against | | |
| | 2. | APPROVAL OF ERNST & YOUNG, LLP, AS
THE INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM. | | Management | For | For | | |
| | 3. | EXECUTIVE COMPENSATION - AN ADVISORY
VOTE ON THE APPROVAL OF
COMPENSATION OF OUR NAMED
EXECUTIVE OFFICERS. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 5,500 | 0 | 17-Apr-2014 | 17-Apr-2014 |
| | CPFL ENERGIA S.A. |
| | Security | | 126153105 | | | | Meeting Type | Annual |
| | Ticker Symbol | | CPL | | | | Meeting Date | 29-Apr-2014 | |
| | ISIN | | US1261531057 | | | | Agenda | 933966662 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | A) | TO TAKE COGNIZANCE OF THE
MANAGEMENT ACCOUNTS, EXAMINE,
DISCUSS AND VOTE ON THE COMPANY'S
FINANCIAL STATEMENTS, THE REPORT OF
THE INDEPENDENT AUDITORS AND THE
OPINION OF THE FISCAL COUNCIL FOR THE
FISCAL YEAR ENDING DECEMBER 31, 2013 | | Management | For | | | |
| | B) | TO APPROVE THE PROPOSAL FOR
ALLOCATION OF THE NET INCOME FOR THE
FISCAL YEAR 2013 AND THE DISTRIBUTION
OF DIVIDENDS | | Management | For | | | |
| | C) | TO APPROVE THE NUMBER OF MEMBERS
TO SIT ON THE BOARD OF DIRECTORS
PURSUANT TO THE PROVISION IN ARTICLE
15, CAPTION SENTENCE OF THE
CORPORATE BYLAWS | | Management | For | | | |
| | D) | TO ELECT THE EFFECTIVE MEMBERS AND
THEIR ALTERNATES TO SIT ON THE BOARD
OF DIRECTORS | | Management | For | | | |
| | E) | TO ELECT THE EFFECTIVE MEMBERS AND
ALTERNATES TO THE FISCAL COUNCIL | | Management | For | | | |
| | F) | TO ESTABLISH THE COMPENSATION OF THE
COMPANY'S MANAGEMENT | | Management | For | | | |
| | G) | TO ESTABLISH THE FEES OF THE MEMBERS
OF THE FISCAL COUNCIL | | Management | For | | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 4,500 | 0 | 17-Apr-2014 | 17-Apr-2014 |
| | CUBIST PHARMACEUTICALS, INC. |
| | Security | | 229678107 | | | | Meeting Type | Annual |
| | Ticker Symbol | | CBST | | | | Meeting Date | 03-Jun-2014 | |
| | ISIN | | US2296781071 | | | | Agenda | 933980268 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1.1 | ELECTION OF DIRECTOR: MICHAEL BONNEY | | Management | Against | Against | | |
| | 1.2 | ELECTION OF DIRECTOR: JANE HENNEY,
M.D. | | Management | Against | Against | | |
| | 1.3 | ELECTION OF DIRECTOR: LEON MOULDER,
JR. | | Management | Against | Against | | |
| | 2. | ADVISORY VOTE TO APPROVE THE
COMPENSATION PAID TO OUR NAMED
EXECUTIVE OFFICERS. | | Management | For | For | | |
| | 3. | APPROVAL OF THE AMENDMENT TO OUR
RESTATED CERTIFICATE OF
INCORPORATION TO INCREASE THE
NUMBER OF AUTHORIZED SHARES OF
COMMON STOCK FROM 150,000,000 TO
300,000,000. | | Management | For | For | | |
| | 4. | APPROVAL OF OUR 2014 EMPLOYEE STOCK
PURCHASE PLAN. | | Management | For | For | | |
| | 5. | APPROVAL OF OUR 2014 OMNIBUS
INCENTIVE PLAN. | | Management | For | For | | |
| | 6. | RATIFICATION OF OUR SELECTION OF
PRICEWATERHOUSECOOPERS LLP AS OUR
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING DECEMBER 31, 2014. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 2,000 | 0 | 30-May-2014 | 30-May-2014 |
| | DAVITA HEALTHCARE PARTNERS, INC. |
| | Security | | 23918K108 | | | | Meeting Type | Annual |
| | Ticker Symbol | | DVA | | | | Meeting Date | 17-Jun-2014 | |
| | ISIN | | US23918K1088 | | | | Agenda | 934006671 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | 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: PAUL J. DIAZ | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: PETER T. GRAUER | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: ROBERT J.
MARGOLIS | | 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 2014. | | Management | For | For | | |
| | 3. | TO HOLD AN ADVISORY VOTE ON
EXECUTIVE COMPENSATION. | | Management | For | For | | |
| | 4. | TO ADOPT AND APPROVE AN AMENDMENT
AND RESTATEMENT OF OUR 2011
INCENTIVE AWARD PLAN. | | Management | For | For | | |
| | 5. | TO CONSIDER AND VOTE UPON A
STOCKHOLDER PROPOSAL, IF PROPERLY
PRESENTED AT THE ANNUAL MEETING
REGARDING THE BOARD CHAIRMANSHIP. | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 5,000 | 0 | 30-May-2014 | 30-May-2014 |
| | DEVON ENERGY CORPORATION |
| | Security | | 25179M103 | | | | Meeting Type | Annual |
| | Ticker Symbol | | DVN | | | | Meeting Date | 04-Jun-2014 | |
| | ISIN | | US25179M1036 | | | | Agenda | 933987375 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | BARBARA M. BAUMANN | | | For | For | | |
| | | 2 | JOHN E. BETHANCOURT | | | For | For | | |
| | | 3 | ROBERT H. HENRY | | | For | For | | |
| | | 4 | JOHN A. HILL | | | For | For | | |
| | | 5 | MICHAEL M. KANOVSKY | | | For | For | | |
| | | 6 | ROBERT A. MOSBACHER, JR | | | For | For | | |
| | | 7 | J. LARRY NICHOLS | | | For | For | | |
| | | 8 | DUANE C. RADTKE | | | For | For | | |
| | | 9 | MARY P. RICCIARDELLO | | | For | For | | |
| | | 10 | 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
2014. | | Management | For | For | | |
| | 4. | REPORT ON PLANS TO ADDRESS CLIMATE
CHANGE. | | Shareholder | Against | For | | |
| | 5. | REPORT DISCLOSING LOBBYING POLICY
AND ACTIVITY. | | Shareholder | Against | For | | |
| | 6. | REPORT ON LOBBYING ACTIVITIES RELATED
TO ENERGY POLICY AND CLIMATE CHANGE. | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 750 | 0 | 30-May-2014 | 30-May-2014 |
| | DOMINION RESOURCES, INC. |
| | Security | | 25746U109 | | | | Meeting Type | Annual |
| | Ticker Symbol | | D | | | | Meeting Date | 07-May-2014 | |
| | ISIN | | US25746U1097 | | | | Agenda | 933952055 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: WILLIAM P. BARR | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: PETER W. BROWN,
M.D. | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: HELEN E. DRAGAS | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: JAMES O. ELLIS,
JR. | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: THOMAS F.
FARRELL II | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: JOHN W. HARRIS | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: MARK J. KINGTON | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: PAMELA J. ROYAL,
M.D. | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: ROBERT H.
SPILMAN, JR. | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: MICHAEL E.
SZYMANCZYK | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: DAVID A.
WOLLARD | | Management | For | For | | |
| | 2. | RATIFICATION OF APPOINTMENT OF THE
INDEPENDENT AUDITORS FOR 2014 | | Management | For | For | | |
| | 3. | ADVISORY VOTE ON APPROVAL OF
EXECUTIVE COMPENSATION (SAY ON PAY) | | Management | For | For | | |
| | 4. | APPROVAL OF THE 2014 INCENTIVE
COMPENSATION PLAN | | Management | For | For | | |
| | 5. | EXECUTIVES TO RETAIN SIGNIFICANT
STOCK | | Shareholder | Against | For | | |
| | 6. | REPORT ON FINANCIAL RISKS TO DOMINION
POSED BY CLIMATE CHANGE | | Shareholder | Against | For | | |
| | 7. | REPORT ON METHANE EMISSIONS | | Shareholder | Against | For | | |
| | 8. | REPORT ON LOBBYING | | Shareholder | Against | For | | |
| | 9. | REPORT ON ENVIRONMENTAL AND CLIMATE
CHANGE IMPACTS OF BIOMASS | | Shareholder | Against | For | | |
| | 10. | ADOPT QUANTITATIVE GOALS FOR
REDUCING GREENHOUSE GAS EMISSIONS | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698968 | DIVIDEND
PORTFOLIO | 2698968 | NORTHERN
TRUST
COMPANY | 4,000 | 0 | 25-Apr-2014 | 25-Apr-2014 |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 2,500 | 0 | 25-Apr-2014 | 25-Apr-2014 |
| | DUKE ENERGY CORPORATION |
| | Security | | 26441C204 | | | | Meeting Type | Annual |
| | Ticker Symbol | | DUK | | | | Meeting Date | 01-May-2014 | |
| | ISIN | | US26441C2044 | | | | Agenda | 933932926 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | G. ALEX BERNHARDT, SR. | | | For | For | | |
| | | 2 | MICHAEL G. BROWNING | | | For | For | | |
| | | 3 | HARRIS E. DELOACH, JR. | | | For | For | | |
| | | 4 | DANIEL R. DIMICCO | | | For | For | | |
| | | 5 | JOHN H. FORSGREN | | | For | For | | |
| | | 6 | LYNN J. GOOD | | | For | For | | |
| | | 7 | ANN M. GRAY | | | For | For | | |
| | | 8 | JAMES H. HANCE, JR. | | | For | For | | |
| | | 9 | JOHN T. HERRON | | | For | For | | |
| | | 10 | JAMES B. HYLER, JR. | | | For | For | | |
| | | 11 | WILLIAM E. KENNARD | | | For | For | | |
| | | 12 | E. MARIE MCKEE | | | For | For | | |
| | | 13 | E. JAMES REINSCH | | | For | For | | |
| | | 14 | JAMES T. RHODES | | | For | For | | |
| | | 15 | CARLOS A. SALADRIGAS | | | For | For | | |
| | 2. | RATIFICATION OF DELOITTE & TOUCHE LLP
AS DUKE ENERGY CORPORATION'S
INDEPENDENT PUBLIC ACCOUNTANT FOR
2014 | | Management | For | For | | |
| | 3. | ADVISORY VOTE TO APPROVE NAMED
EXECUTIVE OFFICER COMPENSATION | | Management | For | For | | |
| | 4. | APPROVAL OF THE AMENDMENT TO DUKE
ENERGY CORPORATION'S AMENDED AND
RESTATED CERTIFICATE OF
INCORPORATION TO AUTHORIZE
SHAREHOLDER ACTION BY LESS THAN
UNANIMOUS WRITTEN CONSENT | | Management | For | For | | |
| | 5. | SHAREHOLDER PROPOSAL REGARDING
SHAREHOLDER RIGHT TO CALL A SPECIAL
SHAREHOLDER MEETING | | Shareholder | Against | For | | |
| | 6. | SHAREHOLDER PROPOSAL REGARDING
POLITICAL CONTRIBUTION DISCLOSURE | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698968 | DIVIDEND
PORTFOLIO | 2698968 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 9,187 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | EATON VANCE MUTUAL FUNDS TRUST |
| | Security | | 277911129 | | | | Meeting Type | Special |
| | Ticker Symbol | | EVBLX | | | | Meeting Date | 29-May-2014 | |
| | ISIN | | US2779111291 | | | | Agenda | 933979568 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | SCOTT E. ESTON | | | Withheld | Against | | |
| | | 2 | CYNTHIA E. FROST | | | Withheld | Against | | |
| | | 3 | GEORGE J. GORMAN | | | Withheld | Against | | |
| | | 4 | VALERIE A. MOSLEY | | | Withheld | Against | | |
| | | 5 | HARRIETT TEE TAGGART | | | Withheld | Against | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698969 | BMC-FIX | 2698969 | NORTHERN
TRUST
COMPANY | 26,315 | 0 | 23-May-2014 | 23-May-2014 |
| | ECOLAB INC. |
| | Security | | 278865100 | | | | Meeting Type | Annual |
| | Ticker Symbol | | ECL | | | | Meeting Date | 08-May-2014 | |
| | ISIN | | US2788651006 | | | | Agenda | 933946088 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: DOUGLAS M.
BAKER, JR. | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: BARBARA J. BECK | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: LESLIE S. BILLER | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: CARL M. CASALE | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: STEPHEN I.
CHAZEN | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: JERRY A.
GRUNDHOFER | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: ARTHUR J.
HIGGINS | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: JOEL W. JOHNSON | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: MICHAEL LARSON | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: JERRY W. LEVIN | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: ROBERT L.
LUMPKINS | | Management | For | For | | |
| | 1L. | ELECTION OF DIRECTOR: VICTORIA J. REICH | | Management | For | For | | |
| | 1M. | ELECTION OF DIRECTOR: SUZANNE M.
VAUTRINOT | | Management | For | For | | |
| | 1N. | ELECTION OF DIRECTOR: JOHN J. ZILLMER | | Management | For | For | | |
| | 2. | RATIFY THE APPOINTMENT OF
PRICEWATERHOUSECOOPERS LLP AS
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE CURRENT
YEAR ENDING DECEMBER 31, 2014. | | Management | For | For | | |
| | 3. | RE-APPROVE THE ECOLAB INC.
MANAGEMENT PERFORMANCE INCENTIVE
PLAN, AS AMENDED. | | Management | For | For | | |
| | 4. | ADVISORY VOTE TO APPROVE THE
COMPENSATION OF EXECUTIVES
DISCLOSED IN THE PROXY STATEMENT. | | Management | For | For | | |
| | 5. | STOCKHOLDER PROPOSAL REQUESTING AN
INDEPENDENT BOARD CHAIR. | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | ELI LILLY AND COMPANY |
| | Security | | 532457108 | | | | Meeting Type | Annual |
| | Ticker Symbol | | LLY | | | | Meeting Date | 05-May-2014 | |
| | ISIN | | US5324571083 | | | | Agenda | 933931227 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: M. L. ESKEW | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: K. N. HORN | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: W. G. KAELIN | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: J. C. LECHLEITER | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: M. S. RUNGE | | Management | For | For | | |
| | 2. | RATIFICATION OF THE APPOINTMENT BY
THE AUDIT COMMITTEE OF THE BOARD OF
DIRECTORS OF ERNST & YOUNG LLP AS
PRINCIPAL INDEPENDENT AUDITOR FOR
2014. | | Management | For | For | | |
| | 3. | APPROVE, BY NON-BINDING VOTE,
COMPENSATION PAID TO THE COMPANY'S
NAMED EXECUTIVE OFFICERS. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698968 | DIVIDEND
PORTFOLIO | 2698968 | NORTHERN
TRUST
COMPANY | 3,000 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | EMC CORPORATION |
| | Security | | 268648102 | | | | Meeting Type | Annual |
| | Ticker Symbol | | EMC | | | | Meeting Date | 30-Apr-2014 | |
| | ISIN | | US2686481027 | | | | Agenda | 933944159 - 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: WILLIAM D. GREEN | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: EDMUND F. KELLY | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: JAMI MISCIK | | 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. | | Management | For | For | | |
| | 3. | ADVISORY APPROVAL OF OUR EXECUTIVE
COMPENSATION, AS DESCRIBED IN EMC'S
PROXY STATEMENT. | | Management | For | For | | |
| | 4. | TO ACT UPON A SHAREHOLDER PROPOSAL
RELATING TO AN INDEPENDENT BOARD
CHAIRMAN, AS DESCRIBED IN EMC'S PROXY
STATEMENT. | | Shareholder | Against | For | | |
| | 5. | TO ACT UPON A SHAREHOLDER PROPOSAL
RELATING TO POLITICAL CONTRIBUTIONS,
AS DESCRIBED IN EMC'S PROXY
STATEMENT. | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 5,000 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | ENCANA CORPORATION |
| | Security | | 292505104 | | | | Meeting Type | Annual |
| | Ticker Symbol | | ECA | | | | Meeting Date | 13-May-2014 | |
| | ISIN | | CA2925051047 | | | | Agenda | 933986551 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 01 | DIRECTOR | | Management | | | | | | | |
| | | 1 | PETER A. DEA | | | For | For | | |
| | | 2 | CLAIRE S. FARLEY | | | For | For | | |
| | | 3 | FRED J. FOWLER | | | For | For | | |
| | | 4 | SUZANNE P. NIMOCKS | | | For | For | | |
| | | 5 | JANE L. PEVERETT | | | For | For | | |
| | | 6 | BRIAN G. SHAW | | | For | For | | |
| | | 7 | DOUGLAS J. SUTTLES | | | For | For | | |
| | | 8 | BRUCE G. WATERMAN | | | For | For | | |
| | | 9 | CLAYTON H. WOITAS | | | For | For | | |
| | 02 | APPOINTMENT OF AUDITOR -
PRICEWATERHOUSECOOPERS LLP AT A
REMUNERATION TO BE FIXED BY THE
BOARD OF DIRECTORS | | Management | For | For | | |
| | 03 | ADVISORY VOTE APPROVING THE
CORPORATION'S APPROACH TO EXECUTIVE
COMPENSATION | | Management | For | For | | |
| | 04 | CONFIRMATION OF AMENDMENTS TO
CORPORATION'S BY-LAW NO. 1 | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 250 | 0 | 07-May-2014 | 07-May-2014 |
| | ENERSIS S.A. |
| | Security | | 29274F104 | | | | Meeting Type | Annual |
| | Ticker Symbol | | ENI | | | | Meeting Date | 23-Apr-2014 | |
| | ISIN | | US29274F1049 | | | | Agenda | 933957310 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | APPROVAL OF ANNUAL REPORT, FINANCIAL
STATEMENTS, REPORT OF THE EXTERNAL
AUDITORS AND ACCOUNT INSPECTORS FOR
THE FISCAL YEAR ENDED ON DECEMBER 31,
2013. | | Management | For | | | |
| | 2. | APPROVAL OF PROFITS AND DIVIDENDS
DISTRIBUTION. | | Management | For | | | |
| | 3. | SETTING THE COMPENSATION FOR THE
BOARD OF DIRECTORS. | | Management | For | | | |
| | 4. | SETTING THE COMPENSATION FOR THE
DIRECTORS' COMMITTEE AND APPROVAL
OF THEIR 2014 BUDGET. | | Management | For | | | |
| | 6. | APPOINTMENT OF AN EXTERNAL AUDITING
FIRM GOVERNED BY TITLE XXVIII OF THE
SECURITIES MARKET LAW 18,045. | | Management | For | | | |
| | 7. | ELECTION OF TWO ACCOUNT INSPECTORS
AND THEIR ALTERNATES, AS WELL AS
THEIR COMPENSATION. | | Management | For | | | |
| | 8. | APPOINTMENT OF RISK RATING AGENCIES. | | Management | For | | | |
| | 9. | APPROVAL OF THE INVESTMENT AND
FINANCING POLICY. | | Management | For | | | |
| | 13. | OTHER MATTERS OF INTEREST AND
COMPETENCE OF THE ORDINARY
SHAREHOLDERS' MEETING. | | Management | For | | | |
| | 14. | OTHER NECESSARY RESOLUTIONS FOR
THE PROPER IMPLEMENTATION OF THE
ABOVE MENTIONED AGREEMENTS. | | Management | For | | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 2,500 | 0 | 17-Apr-2014 | 17-Apr-2014 |
| | ENSCO PLC |
| | Security | | G3157S106 | | | | Meeting Type | Annual |
| | Ticker Symbol | | ESV | | | | Meeting Date | 19-May-2014 | |
| | ISIN | | GB00B4VLR192 | | | | Agenda | 933971017 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | RE-ELECTION OF DIRECTOR: J. RODERICK
CLARK | | Management | For | For | | |
| | 1B. | RE-ELECTION OF DIRECTOR: ROXANNE J.
DECYK | | Management | For | For | | |
| | 1C. | RE-ELECTION OF DIRECTOR: MARY E.
FRANCIS CBE | | Management | For | For | | |
| | 1D. | RE-ELECTION OF DIRECTOR: C.
CHRISTOPHER GAUT | | Management | For | For | | |
| | 1E. | RE-ELECTION OF DIRECTOR: GERALD W.
HADDOCK | | Management | For | For | | |
| | 1F. | RE-ELECTION OF DIRECTOR: FRANCIS S.
KALMAN | | Management | For | For | | |
| | 1G. | RE-ELECTION OF DIRECTOR: DANIEL W.
RABUN | | Management | For | For | | |
| | 1H. | RE-ELECTION OF DIRECTOR: KEITH O.
RATTIE | | Management | For | For | | |
| | 1I. | RE-ELECTION OF DIRECTOR: PAUL E.
ROWSEY, III | | 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 AS OUR U.S.
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE YEAR ENDED
31 DECEMBER 2014. | | Management | For | For | | |
| | 4. | TO RE-APPOINT KPMG AUDIT PLC 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 THE DIRECTORS'
REMUNERATION POLICY. | | Management | For | For | | |
| | 7. | A NON-BINDING ADVISORY VOTE TO
APPROVE THE DIRECTORS' REMUNERATION
REPORT FOR THE YEAR ENDED 31
DECEMBER 2013. | | 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 2013 (IN
ACCORDANCE WITH LEGAL REQUIREMENTS
APPLICABLE TO U.K. COMPANIES). | | Management | For | For | | |
| | 10. | TO APPROVE A CAPITAL REORGANISATION. | | Management | For | For | | |
| | 11. | 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 |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 14-May-2014 | 14-May-2014 |
| | ENTERGY CORPORATION |
| | Security | | 29364G103 | | | | Meeting Type | Annual |
| | Ticker Symbol | | ETR | | | | Meeting Date | 02-May-2014 | |
| | ISIN | | US29364G1031 | | | | Agenda | 933938358 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: M.S. BATEMAN | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: L.P. DENAULT | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: K.H. DONALD | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: G.W. EDWARDS | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: A.M. HERMAN | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: D.C. HINTZ | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: S.L. LEVENICK | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: B.L. LINCOLN | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: S.C. MYERS | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: W.J. TAUZIN | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: S.V. WILKINSON | | Management | For | For | | |
| | 2. | RATIFICATION OF APPOINTMENT OF
DELOITTE & TOUCHE LLP AS INDEPENDENT
REGISTERED PUBLIC ACCOUNTANTS FOR
2014. | | Management | For | For | | |
| | 3. | ADVISORY VOTE TO APPROVE NAMED
EXECUTIVE OFFICER COMPENSATION. | | Management | For | For | | |
| | 4. | SHAREHOLDER PROPOSAL REGARDING
DECOMMISSIONING OF INDIAN POINT
NUCLEAR REACTORS. | | Shareholder | Against | For | | |
| | 5. | SHAREHOLDER PROPOSAL REGARDING
REPORTING ON NUCLEAR SAFETY. | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | ENTERPRISE PRODUCTS PARTNERS L.P. |
| | Security | | 293792107 | | | | Meeting Type | Special |
| | Ticker Symbol | | EPD | | | | Meeting Date | 30-Sep-2013 | |
| | ISIN | | US2937921078 | | | | Agenda | 933872714 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | PROPOSAL TO APPROVE THE AMENDMENT
AND RESTATEMENT OF THE 2008
ENTERPRISE PRODUCTS LONG-TERM
INCENTIVE PLAN. | | Management | For | For | | |
| | 2. | PROPOSAL TO APPROVE THE AMENDMENT
AND RESTATEMENT OF THE EPD UNIT
PURCHASE PLAN. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698968 | DIVIDEND
PORTFOLIO | 2698968 | NORTHERN
TRUST
COMPANY | 17,440 | 0 | 03-Sep-2013 | 03-Sep-2013 |
| | EXXON MOBIL CORPORATION |
| | Security | | 30231G102 | | | | Meeting Type | Annual |
| | Ticker Symbol | | XOM | | | | Meeting Date | 28-May-2014 | |
| | ISIN | | US30231G1022 | | | | Agenda | 933975154 - 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 | | |
| | 2. | RATIFICATION OF INDEPENDENT AUDITORS | | Management | For | For | | |
| | 3. | ADVISORY VOTE TO APPROVE EXECUTIVE
COMPENSATION | | Management | For | For | | |
| | 4. | MAJORITY VOTE FOR DIRECTORS | | Shareholder | Against | For | | |
| | 5. | LIMIT DIRECTORSHIPS | | Shareholder | Against | For | | |
| | 6. | AMENDMENT OF EEO POLICY | | Shareholder | Against | For | | |
| | 7. | REPORT ON LOBBYING | | Shareholder | Against | For | | |
| | 8. | GREENHOUSE GAS EMISSIONS GOALS | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 2,004 | 0 | 23-May-2014 | 23-May-2014 |
| | FLAHERTY & CRUMRINE PREFERRED INCOME FD |
| | Security | | 338480A00 | | | | Meeting Type | Annual |
| | Ticker Symbol | | | | | | Meeting Date | 17-Apr-2014 | |
| | ISIN | | | | | | Agenda | 933951142 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | DAVID GALE | | | Withheld | Against | | |
| | | 2 | KAREN H. HOGAN | | | Withheld | Against | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698969 | BMC-FIX | 2698969 | NORTHERN
TRUST
COMPANY | 11,833 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | FLAHERTY & CRUMRINE PREFERRED INCOME FD |
| | Security | | 338480106 | | | | Meeting Type | Annual |
| | Ticker Symbol | | PFD | | | | Meeting Date | 17-Apr-2014 | |
| | ISIN | | US3384801060 | | | | Agenda | 933951180 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | APPROVE A CHANGE TO THE
FUNDAMENTAL INVESTMENT POLICY
REGARDING INVESTMENTS IN
COMMODITIES. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698969 | BMC-FIX | 2698969 | NORTHERN
TRUST
COMPANY | 11,833 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | GENERAL MILLS, INC. |
| | Security | | 370334104 | | | | Meeting Type | Annual |
| | Ticker Symbol | | GIS | | | | Meeting Date | 24-Sep-2013 | |
| | ISIN | | US3703341046 | | | | Agenda | 933866103 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | 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: PAUL DANOS | | Management | For | For | | |
| | 1D) | ELECTION OF DIRECTOR: WILLIAM T. ESREY | | Management | For | For | | |
| | 1E) | ELECTION OF DIRECTOR: RAYMOND V.
GILMARTIN | | Management | For | For | | |
| | 1F) | ELECTION OF DIRECTOR: JUDITH RICHARDS
HOPE | | Management | For | For | | |
| | 1G) | ELECTION OF DIRECTOR: HEIDI G. MILLER | | Management | For | For | | |
| | 1H) | ELECTION OF DIRECTOR: HILDA OCHOA-
BRILLEMBOURG | | Management | For | For | | |
| | 1I) | ELECTION OF DIRECTOR: STEVE ODLAND | | Management | For | For | | |
| | 1J) | ELECTION OF DIRECTOR: KENDALL J.
POWELL | | Management | For | For | | |
| | 1K) | ELECTION OF DIRECTOR: MICHAEL D. ROSE | | Management | For | For | | |
| | 1L) | ELECTION OF DIRECTOR: ROBERT L. RYAN | | Management | For | For | | |
| | 1M) | 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 | | |
| | 4) | STOCKHOLDER PROPOSAL FOR REPORT
ON RESPONSIBILITY FOR POST-CONSUMER
PACKAGING. | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 3,500 | 0 | 13-Aug-2013 | 13-Aug-2013 |
| | GENERAL MOTORS COMPANY |
| | Security | | 37045V100 | | | | Meeting Type | Annual |
| | Ticker Symbol | | GM | | | | Meeting Date | 10-Jun-2014 | |
| | ISIN | | US37045V1008 | | | | Agenda | 934003409 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: JOSEPH J.
ASHTON | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: MARY T. BARRA | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: ERROLL B. DAVIS,
JR. | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: STEPHEN J.
GIRSKY | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: E. NEVILLE ISDELL | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: KATHRYN V.
MARINELLO | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: MICHAEL G.
MULLEN | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: JAMES J. MULVA | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: PATRICIA F.
RUSSO | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: THOMAS M.
SCHOEWE | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: THEODORE M.
SOLSO | | Management | For | For | | |
| | 1L. | ELECTION OF DIRECTOR: CAROL M.
STEPHENSON | | Management | For | For | | |
| | 2. | RATIFICATION OF THE SELECTION OF
DELOITTE & TOUCHE LLP AS GM'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR 2014 | | Management | For | For | | |
| | 3. | ADVISORY VOTE TO APPROVE EXECUTIVE
COMPENSATION | | Management | For | For | | |
| | 4. | ADVISORY VOTE TO APPROVE THE
FREQUENCY OF A STOCKHOLDER
ADVISORY VOTE ON EXECUTIVE
COMPENSATION | | Management | 1 Year | For | | |
| | 5. | APPROVAL OF THE GENERAL MOTORS
COMPANY 2014 SHORT-TERM INCENTIVE
PLAN | | Management | For | For | | |
| | 6. | APPROVAL OF THE GENERAL MOTORS
COMPANY 2014 LONG-TERM INCENTIVE
PLAN | | Management | For | For | | |
| | 7. | CUMULATIVE VOTING | | Shareholder | Against | For | | |
| | 8. | INDEPENDENT BOARD CHAIRMAN | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 15,000 | 0 | 30-May-2014 | 30-May-2014 |
| | GOLUB CAPITAL BDC, INC. |
| | Security | | 38173M102 | | | | Meeting Type | Annual |
| | Ticker Symbol | | GBDC | | | | Meeting Date | 04-Feb-2014 | |
| | ISIN | | US38173M1027 | | | | Agenda | 933910689 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A) | ELECTION OF DIRECTOR: DAVID B. GOLUB | | Management | Abstain | Against | | |
| | 1B) | ELECTION OF DIRECTOR: ANITA R.
ROSENBERG | | Management | Abstain | Against | | |
| | 2) | TO RATIFY THE SELECTION OF MCGLADREY
LLP TO SERVE AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING SEPTEMBER 30, 2014. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 15,000 | 0 | 23-Dec-2013 | 23-Dec-2013 |
| | HERTZ GLOBAL HOLDINGS, INC. |
| | Security | | 42805T105 | | | | Meeting Type | Annual |
| | Ticker Symbol | | HTZ | | | | Meeting Date | 14-May-2014 | |
| | ISIN | | US42805T1051 | | | | Agenda | 933992655 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1.1 | ELECTION OF DIRECTOR: MICHAEL J.
DURHAM | | Management | Against | Against | | |
| | 1.2 | ELECTION OF DIRECTOR: MARK P.
FRISSORA | | Management | Against | Against | | |
| | 1.3 | ELECTION OF DIRECTOR: HENRY C. WOLF | | Management | Against | Against | | |
| | 2. | APPROVAL, BY A NON-BINDING ADVISORY
VOTE, OF THE NAMED EXECUTIVE
OFFICERS' COMPENSATION | | Management | For | For | | |
| | 3. | APPROVAL OF AN AMENDMENT TO OUR
AMENDED AND RESTATED CERTIFICATE OF
INCORPORATION TO PROVIDE FOR THE
ANNUAL ELECTION OF DIRECTORS | | Management | For | For | | |
| | 4. | APPROVAL OF A POTENTIAL AMENDMENT
TO OUR AMENDED AND RESTATED
CERTIFICATE OF INCORPORATION TO
EFFECT A REVERSE STOCK SPLIT AND
AUTHORIZE OUR BOARD OF DIRECTORS TO
SELECT THE RATIO OF THE REVERSE
STOCK SPLIT AS SET FORTH IN THE
AMENDMENT | | Management | For | For | | |
| | 5. | RATIFICATION OF THE SELECTION OF
PRICEWATERHOUSECOOPERS LLP AS THE
CORPORATION'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE YEAR 2014 | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 15,000 | 0 | 09-May-2014 | 09-May-2014 |
| | HOSPIRA, INC. |
| | Security | | 441060100 | | | | Meeting Type | Annual |
| | Ticker Symbol | | HSP | | | | Meeting Date | 07-May-2014 | |
| | ISIN | | US4410601003 | | | | Agenda | 933945911 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: IRVING W. BAILEY,
II | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: F. MICHAEL BALL | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: CONNIE R.
CURRAN | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: WILLIAM G.
DEMPSEY | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: DENNIS M.
FENTON | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: HEINO VON
PRONDZYNSKI | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: JACQUE J.
SOKOLOV | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: MARK F.
WHEELER | | Management | For | For | | |
| | 2. | ADVISORY RESOLUTION TO APPROVE
EXECUTIVE COMPENSATION. | | Management | For | For | | |
| | 3. | TO RATIFY THE APPOINTMENT OF DELOITTE
& TOUCHE LLP AS AUDITORS FOR HOSPIRA
FOR 2014. | | Management | For | For | | |
| | 4. | TO APPROVE THE AMENDMENTS TO THE
2004 LONG-TERM STOCK INCENTIVE PLAN. | | Management | For | For | | |
| | 5. | SHAREHOLDER PROPOSAL - WRITTEN
CONSENT. | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 5,000 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | IMMUNOGEN, INC. |
| | Security | | 45253H101 | | | | Meeting Type | Annual |
| | Ticker Symbol | | IMGN | | | | Meeting Date | 12-Nov-2013 | |
| | ISIN | | US45253H1014 | | | | Agenda | 933881422 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | TO FIX THE NUMBER OF MEMBERS OF THE
BOARD OF DIRECTORS AT NINE (9). | | Management | For | For | | |
| | 2. | DIRECTOR | | Management | | | | | | | |
| | | 1 | J.J. VILLAFRANCA, PH.D. | | | For | For | | |
| | | 2 | NICOLE ONETTO, MD | | | For | For | | |
| | | 3 | STEPHEN C. MCCLUSKI | | | For | For | | |
| | | 4 | RICHARD J. WALLACE | | | For | For | | |
| | | 5 | DANIEL M. JUNIUS | | | For | For | | |
| | | 6 | HOWARD H. PIEN | | | For | For | | |
| | | 7 | MARK GOLDBERG, MD | | | For | For | | |
| | | 8 | DEAN J. MITCHELL | | | For | For | | |
| | | 9 | KRISTINE PETERSON | | | For | For | | |
| | 3. | TO APPROVE, ON AN ADVISORY BASIS, THE
COMPENSATION PAID TO OUR NAMED
EXECUTIVE OFFICERS, AS DISCLOSED IN
OUR PROXY STATEMENT. | | Management | For | For | | |
| | 4. | TO RATIFY THE APPOINTMENT OF ERNST &
YOUNG LLP AS IMMUNOGEN'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING JUNE 30, 2014. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 500 | 0 | 14-Oct-2013 | 14-Oct-2013 |
| | INTEGRYS ENERGY GROUP, INC. |
| | Security | | 45822P105 | | | | Meeting Type | Annual |
| | Ticker Symbol | | TEG | | | | Meeting Date | 15-May-2014 | |
| | ISIN | | US45822P1057 | | | | Agenda | 933937421 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | WILLIAM J. BRODSKY | | | For | For | | |
| | | 2 | ALBERT J. BUDNEY, JR. | | | For | For | | |
| | | 3 | ELLEN CARNAHAN | | | For | For | | |
| | | 4 | MICHELLE L. COLLINS | | | For | For | | |
| | | 5 | K.M. HASSELBLAD-PASCALE | | | For | For | | |
| | | 6 | JOHN W. HIGGINS | | | For | For | | |
| | | 7 | PAUL W. JONES | | | For | For | | |
| | | 8 | HOLLY KELLER KOEPPEL | | | For | For | | |
| | | 9 | MICHAEL E. LAVIN | | | For | For | | |
| | | 10 | WILLIAM F. PROTZ, JR. | | | For | For | | |
| | | 11 | CHARLES A. SCHROCK | | | For | For | | |
| | 2. | THE APPROVAL OF A NON-BINDING
ADVISORY RESOLUTION TO APPROVE THE
COMPENSATION OF OUR NAMED
EXECUTIVE OFFICERS. | | Management | For | For | | |
| | 3. | THE APPROVAL OF THE INTEGRYS ENERGY
GROUP 2014 OMNIBUS INCENTIVE
COMPENSATION PLAN. | | Management | For | For | | |
| | 4. | THE RATIFICATION OF THE SELECTION OF
DELOITTE & TOUCHE LLP AS THE
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR INTEGRYS ENERGY
GROUP AND ITS SUBSIDIARIES FOR 2014. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 2,000 | 0 | 14-May-2014 | 14-May-2014 |
| | INTEL CORPORATION |
| | Security | | 458140100 | | | | Meeting Type | Annual |
| | Ticker Symbol | | INTC | | | | Meeting Date | 22-May-2014 | |
| | ISIN | | US4581401001 | | | | Agenda | 933962854 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: CHARLENE
BARSHEFSKY | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: ANDY D. BRYANT | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: SUSAN L. DECKER | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: JOHN J. DONAHOE | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: REED E. HUNDT | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: BRIAN M.
KRZANICH | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: JAMES D.
PLUMMER | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: DAVID S.
POTTRUCK | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: FRANK D. YEARY | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: DAVID B. YOFFIE | | Management | For | For | | |
| | 2. | RATIFICATION OF SELECTION OF ERNST &
YOUNG LLP AS OUR INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE CURRENT YEAR | | 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 |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 3,500 | 0 | 19-May-2014 | 19-May-2014 |
| | IRSA INVERSIONES Y REPRESENTACIONES S.A. |
| | Security | | 450047204 | | | | Meeting Type | Annual |
| | Ticker Symbol | | IRS | | | | Meeting Date | 19-Jun-2014 | |
| | ISIN | | US4500472042 | | | | Agenda | 934043605 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | APPOINTMENT OF TWO SHAREHOLDERS TO
SIGN THE MINUTES OF THE MEETING. | | Management | For | | | |
| | 2. | PARTIAL REVERSAL OF THE BALANCE OF
THE ACCOUNT "RESERVES FOR NEW
PROJECTS" UP TO THE AMOUNT OF
$56,625,000 - ACCORDING TO BALANCE
SHEET DATED JUNE 30TH, 2013. | | Management | For | | | |
| | 3. | CONSIDERATION OF PAYMENT OF A CASH
DIVIDEND CHARGED TO FISCAL YEAR
ENDED JUNE 30TH, 2013 ACCORDING TO
THE PROVISION APPROVED IN THE
PARAGRAPH ABOVE UP TO THE AMOUNT OF
$56,625,000- AUTHORIZATIONS. | | Management | For | | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 7,000 | 0 | 13-Jun-2014 | 13-Jun-2014 |
| | KENNEDY-WILSON HOLDINGS, INC. |
| | Security | | 489398107 | | | | Meeting Type | Annual |
| | Ticker Symbol | | KW | | | | Meeting Date | 19-Jun-2014 | |
| | ISIN | | US4893981070 | | | | Agenda | 934017131 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | JERRY SOLOMON | | | Withheld | Against | | |
| | | 2 | DAVID A. MINELLA | | | Withheld | Against | | |
| | 2. | TO APPROVE THE AMENDMENT OF THE
COMPANY'S SECOND AND AMENDED
RESTATED CERTIFICATE OF
INCORPORATION TO INCREASE THE
NUMBERS OF SHARES OF COMMON STOCK
WHICH THE COMPANY IS AUTHORIZED TO
ISSUE FROM 125,000,000 SHARES TO
200,000,000 SHARES. | | Management | For | For | | |
| | 3. | TO APPROVE AN AMENDMENT TO THE
COMPANY'S AMENDED AND RESTATED 2009
EQUITY PARTICIPATION PLAN TO INCREASE
THE NUMBER OF SHARES OF THE
COMPANY'S COMMON STOCK AVAILABLE
FOR AWARDS THEREUNDER BY AN
ADDITIONAL 6,000,000 SHARES. | | Management | For | For | | |
| | 4. | TO RATIFY THE APPOINTMENT OF KPMG LLP
AS THE COMPANY'S INDEPENDENT
REGISTERED ACCOUNTING FIRM FOR THE
2014 FISCAL YEAR. | | Management | For | For | | |
| | 5. | TO VOTE ON AN ADVISORY (NON-BINDING)
PROPOSAL 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 |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 5,000 | 0 | 30-May-2014 | 30-May-2014 |
| | KIMBERLY-CLARK CORPORATION |
| | Security | | 494368103 | | | | Meeting Type | Annual |
| | Ticker Symbol | | KMB | | | | Meeting Date | 01-May-2014 | |
| | ISIN | | US4943681035 | | | | Agenda | 933931253 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: JOHN R. ALM | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: JOHN F.
BERGSTROM | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: ABELARDO E. BRU | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: ROBERT W.
DECHERD | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: THOMAS J. FALK | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: FABIAN T. GARCIA | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: MAE C. JEMISON,
M.D. | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: JAMES M.
JENNESS | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: NANCY J. KARCH | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: IAN C. READ | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: LINDA JOHNSON
RICE | | Management | For | For | | |
| | 1L. | ELECTION OF DIRECTOR: MARC J. SHAPIRO | | Management | For | For | | |
| | 2. | RATIFICATION OF AUDITORS | | Management | For | For | | |
| | 3. | ADVISORY VOTE TO APPROVE NAMED
EXECUTIVE OFFICER COMPENSATION | | Management | For | For | | |
| | 4. | STOCKHOLDER PROPOSAL REGARDING
THE RIGHT TO ACT BY WRITTEN CONSENT | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | KINDER MORGAN, INC. |
| | Security | | 49456B101 | | | | Meeting Type | Annual |
| | Ticker Symbol | | KMI | | | | Meeting Date | 19-May-2014 | |
| | ISIN | | US49456B1017 | | | | Agenda | 933968793 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | RICHARD D. KINDER | | | For | For | | |
| | | 2 | STEVEN J. KEAN | | | For | For | | |
| | | 3 | ANTHONY W. HALL, JR. | | | For | For | | |
| | | 4 | DEBORAH A. MACDONALD | | | For | For | | |
| | | 5 | MICHAEL J. MILLER | | | For | For | | |
| | | 6 | MICHAEL C. MORGAN | | | For | For | | |
| | | 7 | FAYEZ SAROFIM | | | For | For | | |
| | | 8 | C. PARK SHAPER | | | For | For | | |
| | | 9 | JOEL V. STAFF | | | For | For | | |
| | | 10 | JOHN M. STOKES | | | For | For | | |
| | | 11 | ROBERT F. VAGT | | | For | For | | |
| | 2. | RATIFICATION OF THE SELECTION OF
PRICEWATERHOUSECOOPERS LLP AS OUR
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR 2014. | | Management | For | For | | |
| | 3. | STOCKHOLDER PROPOSAL RELATING TO A
REPORT ON OUR COMPANY'S RESPONSE
TO CLIMATE CHANGE. | | Shareholder | Against | For | | |
| | 4. | STOCKHOLDER PROPOSAL RELATING TO A
REPORT ON METHANE EMISSIONS AND
PIPELINE MAINTENANCE. | | Shareholder | Against | For | | |
| | 5. | STOCKHOLDER PROPOSAL RELATING TO
AN ANNUAL SUSTAINABILITY REPORT. | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698968 | DIVIDEND
PORTFOLIO | 2698968 | NORTHERN
TRUST
COMPANY | 5,000 | 0 | 14-May-2014 | 14-May-2014 |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 25,000 | 0 | 14-May-2014 | 14-May-2014 |
| | KLA-TENCOR CORPORATION |
| | Security | | 482480100 | | | | Meeting Type | Annual |
| | Ticker Symbol | | KLAC | | | | Meeting Date | 06-Nov-2013 | |
| | ISIN | | US4824801009 | | | | Agenda | 933880329 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1 | DIRECTOR | | Management | | | | | | | |
| | | 1 | EDWARD W. BARNHOLT | | | For | For | | |
| | | 2 | EMIKO HIGASHI | | | For | For | | |
| | | 3 | STEPHEN P. KAUFMAN | | | For | For | | |
| | | 4 | RICHARD P. WALLACE | | | For | For | | |
| | 2 | RATIFICATION OF THE APPOINTMENT OF
PRICEWATERHOUSECOOPERS LLP AS THE
COMPANY'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING JUNE 30, 2014. | | Management | For | For | | |
| | 3 | ADVISORY APPROVAL OF THE COMPANY'S
EXECUTIVE COMPENSATION. | | Management | For | For | | |
| | 4 | APPROVAL OF AN AMENDMENT AND
RESTATEMENT OF THE COMPANY'S 2004
EQUITY INCENTIVE PLAN TO, AMONG
OTHER THINGS, EXTEND THE PLAN'S
EXPIRATION DATE, INCREASE THE NUMBER
OF SHARES RESERVED FOR ISSUANCE
UNDER THE PLAN BY 2,900,000 SHARES AND
REAPPROVE THE MATERIAL TERMS OF THE
PLAN FOR PURPOSES OF SECTION 162(M)
OF THE INTERNAL REVENUE CODE OF 1986
(SECTION 162(M)). | | Management | For | For | | |
| | 5 | REAPPROVAL OF THE MATERIAL TERMS OF
THE COMPANY'S PERFORMANCE BONUS
PLAN FOR PURPOSES OF SECTION 162(M). | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698968 | DIVIDEND
PORTFOLIO | 2698968 | NORTHERN
TRUST
COMPANY | 2,000 | 0 | 30-Sep-2013 | 30-Sep-2013 |
| | KOHL'S CORPORATION |
| | Security | | 500255104 | | | | Meeting Type | Annual |
| | Ticker Symbol | | KSS | | | | Meeting Date | 15-May-2014 | |
| | ISIN | | US5002551043 | | | | Agenda | 933948195 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: PETER
BONEPARTH | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: STEVEN A. BURD | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: DALE E. JONES | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: KEVIN MANSELL | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: JOHN E.
SCHLIFSKE | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: FRANK V. SICA | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: PETER M.
SOMMERHAUSER | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: STEPHANIE A.
STREETER | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: NINA G. VACA | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: STEPHEN E.
WATSON | | Management | For | For | | |
| | 2. | RATIFY APPOINTMENT OF ERNST & YOUNG
LLP AS INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM. | | Management | For | For | | |
| | 3. | ADVISORY VOTE ON APPROVAL OF NAMED
EXECUTIVE OFFICER COMPENSATION. | | Management | For | For | | |
| | 4. | SHAREHOLDER PROPOSAL: EXECUTIVES TO
RETAIN SIGNIFICANT STOCK. | | Shareholder | Against | For | | |
| | 5. | SHAREHOLDER PROPOSAL: ANNUAL
REPORT ON THE COSTS, BENEFITS AND
SCIENTIFIC SUPPORT FOR SUSTAINABILITY
INITIATIVES. | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 2,500 | 0 | 14-May-2014 | 14-May-2014 |
| | LABORATORY CORP. OF AMERICA HOLDINGS |
| | Security | | 50540R409 | | | | Meeting Type | Annual |
| | Ticker Symbol | | LH | | | | Meeting Date | 14-May-2014 | |
| | ISIN | | US50540R4092 | | | | Agenda | 933960494 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: KERRII B.
ANDERSON | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: JEAN-LUC
BELINGARD | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: D. GARY
GILLILAND, M.D., PH.D. | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: DAVID P. KING | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: GARHENG KONG,
M.D., PH.D. | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: ROBERT E.
MITTELSTAEDT, JR. | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: PETER M.
NEUPERT | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: ADAM H.
SCHECHTER | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: R. SANDERS
WILLIAMS, M.D. | | Management | For | For | | |
| | 2. | TO APPROVE, BY NON-BINDING VOTE,
EXECUTIVE COMPENSATION. | | Management | For | For | | |
| | 3. | RATIFICATION OF THE APPOINTMENT OF
PRICEWATERHOUSECOOPERS LLP AS
LABORATORY CORPORATION OF AMERICA
HOLDINGS' INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR 2014. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 5,000 | 0 | 09-May-2014 | 09-May-2014 |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 50 | 0 | 09-May-2014 | 09-May-2014 |
| | LULULEMON ATHLETICA INC. |
| | Security | | 550021109 | | | | Meeting Type | Annual |
| | Ticker Symbol | | LULU | | | | Meeting Date | 11-Jun-2014 | |
| | ISIN | | US5500211090 | | | | Agenda | 934005869 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1 | DIRECTOR | | Management | | | | | | | |
| | | 1 | MICHAEL CASEY | | | Withheld | Against | | |
| | | 2 | ROANN COSTIN | | | Withheld | Against | | |
| | | 3 | LAURENT POTDEVIN | | | Withheld | Against | | |
| | 2. | TO RATIFY THE APPOINTMENT OF
PRICEWATERHOUSECOOPERS LLP AS THE
COMPANY'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING FEBRUARY 1, 2015. | | Management | For | For | | |
| | 3. | TO ADOPT A NON-BINDING RESOLUTION TO
APPROVE THE COMPENSATION OF THE
COMPANY'S EXECUTIVE OFFICERS. | | Management | For | For | | |
| | 4. | TO APPROVE THE ADOPTION OF THE
LULULEMON ATHLETICA INC. 2014 EQUITY
INCENTIVE PLAN. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 30-May-2014 | 30-May-2014 |
| | MARKWEST ENERGY PARTNERS LP |
| | Security | | 570759100 | | | | Meeting Type | Annual |
| | Ticker Symbol | | MWE | | | | Meeting Date | 06-Jun-2014 | |
| | ISIN | | US5707591005 | | | | Agenda | 934004906 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | FRANK M. SEMPLE | | | For | For | | |
| | | 2 | DONALD D. WOLF | | | For | For | | |
| | | 3 | W.A. BRUCKMANN III | | | For | For | | |
| | | 4 | MICHAEL L. BEATTY | | | For | For | | |
| | | 5 | CHARLES K. DEMPSTER | | | For | For | | |
| | | 6 | DONALD C. HEPPERMANN | | | For | For | | |
| | | 7 | RANDALL J. LARSON | | | For | For | | |
| | | 8 | ANNE E. FOX MOUNSEY | | | For | For | | |
| | | 9 | WILLIAM P. NICOLETTI | | | For | For | | |
| | 2 | TO APPROVE, ON AN ADVISORY BASIS, THE
COMPENSATION OF THE PARTNERSHIP'S
NAMED EXECUTIVE OFFICERS AS
DESCRIBED IN THE PARTNERSHIP'S PROXY
STATEMENT FOR THE 2014 ANNUAL
MEETING OF COMMON UNITHOLDERS. | | Management | For | For | | |
| | 3 | RATIFICATION OF DELOITTE & TOUCHE LLP
AS THE PARTNERSHIP'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTANTS FOR
THE FISCAL YEAR ENDING DECEMBER 31,
2014. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698968 | DIVIDEND
PORTFOLIO | 2698968 | NORTHERN
TRUST
COMPANY | 8,500 | 0 | 30-May-2014 | 30-May-2014 |
| | MCDONALD'S CORPORATION |
| | Security | | 580135101 | | | | Meeting Type | Annual |
| | Ticker Symbol | | MCD | | | | Meeting Date | 22-May-2014 | |
| | ISIN | | US5801351017 | | | | Agenda | 933967854 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: SUSAN E. ARNOLD | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: RICHARD H.
LENNY | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: WALTER E.
MASSEY | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: CARY D.
MCMILLAN | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: SHEILA A.
PENROSE | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: JOHN W. ROGERS,
JR. | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: ROGER W. STONE | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: MILES D. WHITE | | Management | For | For | | |
| | 2. | ADVISORY VOTE TO APPROVE EXECUTIVE
COMPENSATION. | | Management | For | For | | |
| | 3. | APPROVAL OF PERFORMANCE GOALS FOR
AWARDS UNDER THE MCDONALD'S
CORPORATION 2009 CASH INCENTIVE PLAN. | | Management | For | For | | |
| | 4. | ADVISORY VOTE TO APPROVE THE
APPOINTMENT OF ERNST & YOUNG LLP AS
INDEPENDENT AUDITOR FOR 2014. | | Management | For | For | | |
| | 5. | ADVISORY VOTE REQUESTING THE ABILITY
FOR SHAREHOLDERS TO ACT BY WRITTEN
CONSENT, IF PRESENTED. | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 19-May-2014 | 19-May-2014 |
| | MEDALLION FINANCIAL CORP. |
| | Security | | 583928106 | | | | Meeting Type | Annual |
| | Ticker Symbol | | TAXI | | | | Meeting Date | 06-Jun-2014 | |
| | ISIN | | US5839281061 | | | | Agenda | 934006974 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | HENRY L. AARON | | | Withheld | Against | | |
| | | 2 | HENRY D. JACKSON | | | Withheld | Against | | |
| | | 3 | ALVIN MURSTEIN | | | Withheld | Against | | |
| | 2. | PROPOSAL TO RATIFY THE APPOINTMENT
OF WEISERMAZARS LLP AS MEDALLION
FINANCIAL CORP.'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM | | Management | For | For | | |
| | 3. | PROPOSAL TO APPROVE A NON-BINDING
ADVISORY RESOLUTION TO APPROVE
EXECUTIVE COMPENSATION | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 2,000 | 0 | 30-May-2014 | 30-May-2014 |
| | MEDICAL PROPERTIES TRUST, INC. |
| | Security | | 58463J304 | | | | Meeting Type | Annual |
| | Ticker Symbol | | MPW | | | | Meeting Date | 15-May-2014 | |
| | ISIN | | US58463J3041 | | | | Agenda | 934005023 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | EDWARD K. ALDAG, JR. | | | For | For | | |
| | | 2 | G. STEVEN DAWSON | | | For | For | | |
| | | 3 | R. STEVEN HAMNER | | | For | For | | |
| | | 4 | ROBERT E. HOLMES, PH.D. | | | For | For | | |
| | | 5 | SHERRY A. KELLETT | | | For | For | | |
| | | 6 | WILLIAM G. MCKENZIE | | | For | For | | |
| | | 7 | L. GLENN ORR, JR. | | | For | For | | |
| | 2. | TO RATIFY THE APPOINTMENT OF
PRICEWATERHOUSECOOPERS LLP AS
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING DECEMBER 31, 2014. | | Management | For | For | | |
| | 3. | ADVISORY APPROVAL OF THE COMPANY'S
EXECUTIVE COMPENSATION. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698968 | DIVIDEND
PORTFOLIO | 2698968 | NORTHERN
TRUST
COMPANY | 35,000 | 0 | 09-May-2014 | 09-May-2014 |
| | METLIFE, INC. |
| | Security | | 59156R108 | | | | Meeting Type | Annual |
| | Ticker Symbol | | MET | | | | Meeting Date | 22-Apr-2014 | |
| | ISIN | | US59156R1086 | | | | Agenda | 933951471 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: CHERYL W. GRISE | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: CARLOS M.
GUTIERREZ | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: R. GLENN
HUBBARD | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: STEVEN A.
KANDARIAN | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: JOHN M. KEANE | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: ALFRED F. KELLY,
JR. | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: WILLIAM E.
KENNARD | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: JAMES M. KILTS | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: CATHERINE R.
KINNEY | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: DENISE M.
MORRISON | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: KENTON J.
SICCHITANO | | Management | For | For | | |
| | 1L. | ELECTION OF DIRECTOR: LULU C. WANG | | Management | For | For | | |
| | 2. | RATIFICATION OF THE APPOINTMENT OF
DELOITTE & TOUCHE LLP AS INDEPENDENT
AUDITOR FOR 2014. | | Management | For | For | | |
| | 3. | ADVISORY VOTE TO APPROVE THE
COMPENSATION PAID TO THE COMPANY'S
NAMED EXECUTIVE OFFICERS. | | Management | For | For | | |
| | 4. | APPROVAL OF THE METLIFE, INC. 2015
STOCK AND INCENTIVE COMPENSATION
PLAN. | | Management | For | For | | |
| | 5. | APPROVAL OF THE METLIFE, INC. 2015 NON-
MANAGEMENT DIRECTOR STOCK
COMPENSATION PLAN. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 11-Apr-2014 | 11-Apr-2014 |
| | MICROSOFT CORPORATION |
| | Security | | 594918104 | | | | Meeting Type | Annual |
| | Ticker Symbol | | MSFT | | | | Meeting Date | 19-Nov-2013 | |
| | ISIN | | US5949181045 | | | | Agenda | 933883185 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | ELECTION OF DIRECTOR: STEVEN A.
BALLMER | | Management | For | For | | |
| | 2. | ELECTION OF DIRECTOR: DINA DUBLON | | Management | For | For | | |
| | 3. | ELECTION OF DIRECTOR: WILLIAM H. GATES
III | | Management | For | For | | |
| | 4. | ELECTION OF DIRECTOR: MARIA M. KLAWE | | Management | For | For | | |
| | 5. | ELECTION OF DIRECTOR: STEPHEN J.
LUCZO | | Management | For | For | | |
| | 6. | ELECTION OF DIRECTOR: DAVID F.
MARQUARDT | | Management | For | For | | |
| | 7. | ELECTION OF DIRECTOR: CHARLES H.
NOSKI | | Management | For | For | | |
| | 8. | ELECTION OF DIRECTOR: HELMUT PANKE | | Management | For | For | | |
| | 9. | ELECTION OF DIRECTOR: JOHN W.
THOMPSON | | Management | For | For | | |
| | 10. | APPROVE MATERIAL TERMS OF THE
PERFORMANCE CRITERIA UNDER THE
EXECUTIVE OFFICER INCENTIVE PLAN | | Management | For | For | | |
| | 11. | ADVISORY VOTE ON EXECUTIVE
COMPENSATION | | Management | For | For | | |
| | 12. | RATIFICATION OF DELOITTE & TOUCHE LLP
AS OUR INDEPENDENT AUDITOR FOR
FISCAL YEAR 2014 | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 14-Oct-2013 | 14-Oct-2013 |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 3,500 | 0 | 14-Oct-2013 | 14-Oct-2013 |
| | NATIONAL GRID PLC |
| | Security | | 636274300 | | | | Meeting Type | Annual |
| | Ticker Symbol | | NGG | | | | Meeting Date | 28-Jul-2014 | |
| | ISIN | | US6362743006 | | | | Agenda | 934049861 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1 | TO RECEIVE THE ANNUAL REPORT AND
ACCOUNTS | | Management | For | For | | |
| | 2 | TO DECLARE A FINAL DIVIDEND | | Management | For | For | | |
| | 3 | TO RE-ELECT SIR PETER GERSHON | | Management | For | For | | |
| | 4 | TO RE-ELECT STEVE HOLLIDAY | | Management | For | For | | |
| | 5 | TO RE-ELECT ANDREW BONFIELD | | Management | For | For | | |
| | 6 | TO RE-ELECT TOM KING | | Management | For | For | | |
| | 7 | TO ELECT JOHN PETTIGREW | | Management | For | For | | |
| | 8 | TO RE-ELECT PHILIP AIKEN | | Management | For | For | | |
| | 9 | TO RE-ELECT NORA MEAD BROWNELL | | Management | For | For | | |
| | 10 | TO RE-ELECT JONATHAN DAWSON | | Management | For | For | | |
| | 11 | TO ELECT THERESE ESPERDY | | Management | For | For | | |
| | 12 | TO RE-ELECT PAUL GOLBY | | Management | For | For | | |
| | 13 | TO RE-ELECT RUTH KELLY | | Management | For | For | | |
| | 14 | TO RE-ELECT MARK WILLIAMSON | | Management | For | For | | |
| | 15 | TO REAPPOINT THE AUDITORS
PRICEWATERHOUSECOOPERS LLP | | Management | For | For | | |
| | 16 | TO AUTHORISE THE DIRECTORS TO SET
THE AUDITORS' REMUNERATION | | Management | For | For | | |
| | 17 | TO APPROVE THE DIRECTORS'
REMUNERATION POLICY | | Management | For | For | | |
| | 18 | TO APPROVE THE DIRECTORS'
REMUNERATION REPORT OTHER THAN THE
REMUNERATION POLICY | | Management | For | For | | |
| | 19 | TO APPROVE CHANGES TO THE NATIONAL
GRID PLC LONG TERM PERFORMANCE PLAN | | Management | For | For | | |
| | 20 | TO AUTHORISE THE DIRECTORS TO ALLOT
ORDINARY SHARES | | Management | For | For | | |
| | 21 | TO AUTHORISE THE DIRECTORS TO
OPERATE A SCRIP DIVIDEND SCHEME | | Management | For | For | | |
| | 22 | TO AUTHORISE CAPITALISING RESERVES
FOR THE SCRIP DIVIDEND SCHEME | | Management | For | For | | |
| | S23 | TO DISAPPLY PRE-EMPTION RIGHTS | | Management | For | For | | |
| | S24 | TO AUTHORISE THE COMPANY TO
PURCHASE ITS OWN ORDINARY SHARES | | Management | For | For | | |
| | S25 | TO AUTHORISE THE DIRECTORS TO HOLD
GENERAL MEETINGS ON 14 CLEAR DAYS'
NOTICE | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698968 | DIVIDEND
PORTFOLIO | 2698968 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 26-Jun-2014 | 26-Jun-2014 |
| | NATIONSTAR MORTGAGE HOLDINGS INC |
| | Security | | 63861C109 | | | | Meeting Type | Annual |
| | Ticker Symbol | | NSM | | | | Meeting Date | 21-May-2014 | |
| | ISIN | | US63861C1099 | | | | Agenda | 933980585 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | ROBERT H. GIDEL | | | Withheld | Against | | |
| | | 2 | BRETT HAWKINS | | | Withheld | Against | | |
| | 2. | THE RATIFICATION OF ERNST & YOUNG LLP
AS NATIONSTAR'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE YEAR ENDING DECEMBER 31, 2014. | | Management | For | For | | |
| | 3. | ADVISORY VOTE TO APPROVE EXECUTIVE
COMPENSATION. | | Management | For | For | | |
| | 4. | ADVISORY VOTE ON THE FREQUENCY TO
HOLD AN ADVISORY VOTE ON EXECUTIVE
COMPENSATION. | | Management | 3 Years | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,500 | 0 | 14-May-2014 | 14-May-2014 |
| | NESTLE S.A. |
| | Security | | 641069406 | | | | Meeting Type | Annual |
| | Ticker Symbol | | NSRGY | | | | Meeting Date | 10-Apr-2014 | |
| | ISIN | | US6410694060 | | | | Agenda | 933940365 - 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
2013 | | Management | For | For | | |
| | 1B. | ACCEPTANCE OF THE COMPENSATION
REPORT 2013 (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 2013 | | Management | For | For | | |
| | 4. | REVISION OF THE ARTICLES OF
ASSOCIATION ADAPTATION TO NEW SWISS
COMPANY LAW | | Management | For | For | | |
| | 5AA | RE-ELECTIONS TO THE BOARD OF
DIRECTORS: MR. PETER BRABECK-
LETMATHE | | Management | For | For | | |
| | 5AB | RE-ELECTIONS TO THE BOARD OF
DIRECTORS: MR. PAUL BULCKE | | Management | For | For | | |
| | 5AC | RE-ELECTIONS TO THE BOARD OF
DIRECTORS: MR. ANDREAS KOOPMANN | | Management | For | For | | |
| | 5AD | RE-ELECTIONS TO THE BOARD OF
DIRECTORS: MR. ROLF HANGGI | | Management | For | For | | |
| | 5AE | RE-ELECTIONS TO THE BOARD OF
DIRECTORS: MR. BEAT HESS | | Management | For | For | | |
| | 5AF | RE-ELECTIONS TO THE BOARD OF
DIRECTORS: MR. DANIEL BOREL | | Management | For | For | | |
| | 5AG | RE-ELECTIONS TO THE BOARD OF
DIRECTORS: MR. STEVEN G. HOCH | | Management | For | For | | |
| | 5AH | RE-ELECTIONS TO THE BOARD OF
DIRECTORS: MS. NAINA LAL KIDWAI | | Management | For | For | | |
| | 5AI | RE-ELECTIONS TO THE BOARD OF
DIRECTORS: MS. TITIA DE LANGE | | Management | For | For | | |
| | 5AJ | RE-ELECTIONS TO THE BOARD OF
DIRECTORS: MR. JEAN-PIERRE ROTH | | Management | For | For | | |
| | 5AK | RE-ELECTIONS TO THE BOARD OF
DIRECTORS: MS. ANN M. VENEMAN | | Management | For | For | | |
| | 5AL | RE-ELECTIONS TO THE BOARD OF
DIRECTORS: MR. HENRI DE CASTRIES | | Management | For | For | | |
| | 5AM | RE-ELECTIONS TO THE BOARD OF
DIRECTORS: MS. EVA CHENG | | Management | For | For | | |
| | 5B. | ELECTION OF THE CHAIRMAN OF THE
BOARD OF DIRECTORS MR. PETER
BRABECK-LETMATHE | | Management | For | For | | |
| | 5CA | ELECTION OF THE MEMBERS OF THE
COMPENSATION COMMITTEE: MR. BEAT
HESS | | Management | For | For | | |
| | 5CB | ELECTION OF THE MEMBERS OF THE
COMPENSATION COMMITTEE: MR. DANIEL
BOREL | | Management | For | For | | |
| | 5CC | ELECTION OF THE MEMBERS OF THE
COMPENSATION COMMITTEE: MR. ANDREAS
KOOPMANN | | Management | For | For | | |
| | 5CD | ELECTION OF THE MEMBERS OF THE
COMPENSATION COMMITTEE: MR. JEAN-
PIERRE ROTH | | Management | For | For | | |
| | 5D. | RE-ELECTION OF THE STATUTORY
AUDITORS KPMG SA, GENEVA BRANCH | | Management | For | For | | |
| | 5E. | ELECTION OF THE INDEPENDENT
REPRESENTATIVE HARTMANN DREYER,
ATTORNEYS-AT-LAW | | Management | For | For | | |
| | 6. | 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 | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 10,000 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | NIPPON TELEGRAPH & TELEPHONE CORPORATION |
| | Security | | 654624105 | | | | Meeting Type | Annual |
| | Ticker Symbol | | NTT | | | | Meeting Date | 26-Jun-2014 | |
| | ISIN | | US6546241059 | | | | Agenda | 934043996 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | APPROPRIATION OF EARNED SURPLUS: I)
MATTERS RELATING TO YEAR-END
DIVIDENDS: 90 JPY PER SHARE OF COMMON
STOCK; II) MATTERS RELATING TO OTHER
APPROPRIATION OF EARNED SURPLUS:
VALUE OF INCREASE IN ITEMS UNDER
EARNED SURPLUS. ACCUMULATED EARNED
SURPLUS: 531 BILLION YEN; VALUE OF
DECREASE IN ITEMS UNDER EARNED
SURPLUS OTHER RESERVES: 531 BILLION
YEN. | | Management | For | For | | |
| | 2A. | ELECTION OF BOARD MEMBER: SATOSHI
MIURA (CURRENT POSITION: CHAIRMAN OF
THE BOARD OF THE COMPANY) | | Management | For | For | | |
| | 2B. | ELECTION OF BOARD MEMBER: HIROO
UNOURA (CURRENT POSITION:
REPRESENTATIVE MEMBER OF THE BOARD
AND PRESIDENT AND CHIEF EXECUTIVE
OFFICER OF THE COMPANY) | | Management | For | For | | |
| | 2C. | ELECTION OF BOARD MEMBER: HIROMICHI
SHINOHARA (CURRENT POSITION: MEMBER
OF THE BOARD AND EXECUTIVE VICE
PRESIDENT OF THE COMPANY) | | Management | For | For | | |
| | 2D. | ELECTION OF BOARD MEMBER: JUN
SAWADA (CANDIDATE TO BE APPOINTED) | | Management | For | For | | |
| | 2E. | ELECTION OF BOARD MEMBER: MITSUYOSHI
KOBAYASHI (CURRENT POSITION: MEMBER
OF THE BOARD OF THE COMPANY) | | Management | For | For | | |
| | 2F. | ELECTION OF BOARD MEMBER: AKIRA
SHIMADA (CURRENT POSITION: MEMBER OF
THE BOARD OF THE COMPANY) | | Management | For | For | | |
| | 2G. | ELECTION OF BOARD MEMBER: HIROSHI
TSUJIGAMI (CURRENT POSITION: MEMBER
OF THE BOARD OF THE COMPANY) | | Management | For | For | | |
| | 2H. | ELECTION OF BOARD MEMBER: TSUNEHISA
OKUNO (CURRENT POSITION: MEMBER OF
THE BOARD OF THE COMPANY) | | Management | For | For | | |
| | 2I. | ELECTION OF BOARD MEMBER: HIROKI
KURIYAMA (CANDIDATE TO BE APPOINTED) | | Management | For | For | | |
| | 2J. | ELECTION OF BOARD MEMBER: KATSUHIKO
SHIRAI (CURRENT POSITION: MEMBER OF
THE BOARD OF THE COMPANY) | | Management | For | For | | |
| | 2K. | ELECTION OF BOARD MEMBER: SADAYUKI
SAKAKIBARA (CURRENT POSITION: MEMBER
OF THE BOARD OF THE COMPANY) | | Management | For | For | | |
| | 3A. | ELECTION OF AUDIT & SUPERVISORY
BOARD MEMBER: AKIKO IDE (CANDIDATE TO
BE APPOINTED) | | Management | For | For | | |
| | 3B. | ELECTION OF AUDIT & SUPERVISORY
BOARD MEMBER: TAKASHI IIDA (CANDIDATE
TO BE APPOINTED) | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698968 | DIVIDEND
PORTFOLIO | 2698968 | NORTHERN
TRUST
COMPANY | 10,000 | 0 | 13-Jun-2014 | 13-Jun-2014 |
| | NORFOLK SOUTHERN CORPORATION |
| | Security | | 655844108 | | | | Meeting Type | Annual |
| | Ticker Symbol | | NSC | | | | Meeting Date | 08-May-2014 | |
| | ISIN | | US6558441084 | | | | Agenda | 933946127 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: THOMAS D. BELL,
JR. | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: ERSKINE B.
BOWLES | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: ROBERT A.
BRADWAY | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: WESLEY G. BUSH | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: DANIEL A. CARP | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: KAREN N. HORN | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: STEVEN F. LEER | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: MICHAEL D.
LOCKHART | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: AMY E. MILES | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: CHARLES W.
MOORMAN | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: MARTIN H.
NESBITT | | Management | For | For | | |
| | 1L. | ELECTION OF DIRECTOR: JAMES A.
SQUIRES | | Management | For | For | | |
| | 1M. | ELECTION OF DIRECTOR: JOHN R.
THOMPSON | | Management | For | For | | |
| | 2. | THE RATIFICATION OF THE APPOINTMENT
OF KPMG LLP, INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM, AS NORFOLK
SOUTHERN'S INDEPENDENT AUDITORS FOR
THE YEAR ENDING DECEMBER 31, 2014. | | Management | For | For | | |
| | 3. | APPROVAL OF EXECUTIVE COMPENSATION
AS DISCLOSED IN THE PROXY STATEMENT
FOR THE 2014 ANNUAL MEETING OF
STOCKHOLDERS. | | Management | For | For | | |
| | 4. | STOCKHOLDER PROPOSAL CONCERNING
AN INDEPENDENT CHAIRMAN OF THE
BOARD OF DIRECTORS. | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | NORTHERN FUNDS |
| | Security | | 665279808 | | | | Meeting Type | Special |
| | Ticker Symbol | | NITXX | | | | Meeting Date | 31-Jul-2014 | |
| | ISIN | | US6652798082 | | | | Agenda | 933982375 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | WILLIAM L. BAX | | | For | For | | |
| | | 2 | EDWARD J. CONDON, JR. | | | For | For | | |
| | | 3 | MARK G. DOLL | | | For | For | | |
| | | 4 | SANDRA POLK GUTHMAN | | | For | For | | |
| | | 5 | STEPHEN N. POTTER | | | For | For | | |
| | | 6 | MARY JACOBS SKINNER | | | For | For | | |
| | | 7 | RICHARD P. STRUBEL | | | For | For | | |
| | | 8 | CASEY J. SYLLA | | | For | For | | |
| | | 9 | CYNTHIA R. PLOUCHE | | | For | For | | |
| | 2. | APPROVAL OF PROPOSED MANAGEMENT
AGREEMENT. | | Management | For | For | | |
| | 3. | APPROVAL TO CHANGE THE INVESTMENT
OBJECTIVE FOR THE TREASURY
PORTFOLIO OF NORTHERN INSTITUTIONAL
FUNDS. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698968 | DIVIDEND
PORTFOLIO | 2698968 | NORTHERN
TRUST
COMPANY | 1,076,519 | 0 | 14-May-2014 | 14-May-2014 |
| | 2698969 | BMC-FIX | 2698969 | NORTHERN
TRUST
COMPANY | 4,697,780 | 0 | 14-May-2014 | 14-May-2014 |
| | 2698971 | 2698971 | 2698971 | NORTHERN
TRUST
COMPANY | 714,863 | 0 | 14-May-2014 | 14-May-2014 |
| | 2698972 | RISK
MANAGEMENT | 2698972 | NORTHERN
TRUST
COMPANY | 2,907,535 | 0 | 14-May-2014 | 14-May-2014 |
| | 2698973 | STOCK MUTUAL
FUNDS | 2698973 | NORTHERN
TRUST
COMPANY | 1,472,528 | 0 | 14-May-2014 | 14-May-2014 |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 738,420 | 0 | 14-May-2014 | 14-May-2014 |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 663,747 | 0 | 14-May-2014 | 14-May-2014 |
| | NUVEEN INVESTMENTS |
| | Security | | 67074U103 | | | | Meeting Type | Annual |
| | Ticker Symbol | | JMF | | | | Meeting Date | 05-Aug-2014 | |
| | ISIN | | US67074U1034 | | | | Agenda | 934050319 - Opposition |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | TO APPROVE A NEW INVESTMENT
MANAGEMENT AGREEMENT BETWEEN THE
FUND AND NUVEEN FUND ADVISORS, LLC
("NUVEEN FUND ADVISORS"), THE FUND'S
INVESTMENT ADVISER. | | Management | For | For | | |
| | 2F. | TO APPROVE A NEW SUB-ADVISORY
AGREEMENT BETWEEN NUVEEN FUND
ADVISORS AND ADVISORY RESEARCH, INC. | | Management | For | For | | |
| | 3. | DIRECTOR | | Management | | | | | | | |
| | | 1 | WILLIAM ADAMS IV | | | Withheld | Against | | |
| | | 2 | DAVID J. KUNDERT | | | Withheld | Against | | |
| | | 3 | JOHN K. NELSON | | | Withheld | Against | | |
| | | 4 | TERENCE J. TOTH | | | Withheld | Against | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698968 | DIVIDEND
PORTFOLIO | 2698968 | NORTHERN
TRUST
COMPANY | 10,295 | 0 | 26-Jun-2014 | 26-Jun-2014 |
| | OCCIDENTAL PETROLEUM CORPORATION |
| | Security | | 674599105 | | | | Meeting Type | Annual |
| | Ticker Symbol | | OXY | | | | Meeting Date | 02-May-2014 | |
| | ISIN | | US6745991058 | | | | Agenda | 933956724 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: SPENCER
ABRAHAM | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: HOWARD I.
ATKINS | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: EUGENE L.
BATCHELDER | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: STEPHEN I.
CHAZEN | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: EDWARD P.
DJEREJIAN | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: JOHN E. FEICK | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: MARGARET M.
FORAN | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: CARLOS M.
GUTIERREZ | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: WILLIAM R.
KLESSE | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: AVEDICK B.
POLADIAN | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: ELISSE B. WALTER | | Management | For | For | | |
| | 2. | ONE-YEAR WAIVER OF DIRECTOR AGE
RESTRICTION FOR EDWARD P.DJEREJIAN,
AN INDEPENDENT DIRECTOR. | | Management | For | For | | |
| | 3. | ADVISORY VOTE APPROVING EXECUTIVE
COMPENSATION. | | Management | For | For | | |
| | 4. | ABILITY OF STOCKHOLDERS TO ACT BY
WRITTEN CONSENT. | | Management | For | For | | |
| | 5. | SEPARATION OF THE ROLES OF THE
CHAIRMAN OF THE BOARD AND THE CHIEF
EXECUTIVE OFFICER. | | Management | For | For | | |
| | 6. | RATIFICATION OF INDEPENDENT AUDITORS. | | Management | For | For | | |
| | 7. | EXECUTIVES TO RETAIN SIGNIFICANT
STOCK. | | Shareholder | Against | For | | |
| | 8. | REVIEW LOBBYING AT FEDERAL, STATE,
LOCAL LEVELS. | | Shareholder | Against | For | | |
| | 9. | QUANTITATIVE RISK MANAGEMENT
REPORTING FOR HYDRAULIC FRACTURING
OPERATIONS. | | Shareholder | Against | For | | |
| | 10. | FUGITIVE METHANE EMISSIONS AND
FLARING REPORT. | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 25-Apr-2014 | 25-Apr-2014 |
| | OMEGA HEALTHCARE INVESTORS, INC. |
| | Security | | 681936100 | | | | Meeting Type | Annual |
| | Ticker Symbol | | OHI | | | | Meeting Date | 12-Jun-2014 | |
| | ISIN | | US6819361006 | | | | Agenda | 934005895 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | BARBARA B. HILL | | | Withheld | Against | | |
| | | 2 | HAROLD J. KLOOSTERMAN | | | Withheld | Against | | |
| | | 3 | C. TAYLOR PICKETT | | | Withheld | Against | | |
| | 2 | RATIFICATION OF INDEPENDENT AUDITORS
ERNST & YOUNG LLP. | | Management | For | For | | |
| | 3 | APPROVAL, ON AN ADVISORY BASIS, OF
EXECUTIVE COMPENSATION. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 3,000 | 0 | 30-May-2014 | 30-May-2014 |
| | ONEOK, INC. |
| | Security | | 682680103 | | | | Meeting Type | Annual |
| | Ticker Symbol | | OKE | | | | Meeting Date | 21-May-2014 | |
| | ISIN | | US6826801036 | | | | Agenda | 933966078 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: JAMES C. DAY | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: JULIE H.
EDWARDS | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: WILLIAM L. FORD | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: JOHN W. GIBSON | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: BERT H. MACKIE | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: STEVEN J.
MALCOLM | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: JIM W. MOGG | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: PATTYE L. MOORE | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: GARY D. PARKER | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: EDUARDO A.
RODRIGUEZ | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: TERRY K.
SPENCER | | Management | For | For | | |
| | 2. | RATIFICATION OF THE SELECTION OF
PRICEWATERHOUSECOOPERS LLP AS THE
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM OF ONEOK, INC. | | Management | For | For | | |
| | 3. | AN ADVISORY VOTE TO APPROVE THE
COMPANY'S EXECUTIVE COMPENSATION. | | Management | For | For | | |
| | 4. | A SHAREHOLDER PROPOSAL REGARDING
PUBLICATION OF A REPORT ON METHANE
EMISSIONS. | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698968 | DIVIDEND
PORTFOLIO | 2698968 | NORTHERN
TRUST
COMPANY | 5,000 | 0 | 19-May-2014 | 19-May-2014 |
| | ORACLE CORPORATION |
| | Security | | 68389X105 | | | | Meeting Type | Annual |
| | Ticker Symbol | | ORCL | | | | Meeting Date | 31-Oct-2013 | |
| | ISIN | | US68389X1054 | | | | Agenda | 933878300 - 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 | NAOMI O. SELIGMAN | | | For | For | | |
| | 2 | ADVISORY VOTE TO APPROVE EXECUTIVE
COMPENSATION. ` | | Management | For | For | | |
| | 3 | APPROVAL OF AMENDMENT TO THE LONG-
TERM EQUITY INCENTIVE PLAN. | | Management | For | For | | |
| | 4 | RATIFICATION OF THE SELECTION OF
ERNST & YOUNG LLP AS INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR FISCAL YEAR 2014. | | Management | For | For | | |
| | 5 | STOCKHOLDER PROPOSAL REGARDING
ESTABLISHING A BOARD COMMITTEE ON
HUMAN RIGHTS. | | Shareholder | Against | For | | |
| | 6 | STOCKHOLDER PROPOSAL REGARDING
INDEPENDENT BOARD CHAIRMAN. | | Shareholder | Against | For | | |
| | 7 | STOCKHOLDER PROPOSAL REGARDING
VOTE TABULATION. | | Shareholder | Against | For | | |
| | 8 | STOCKHOLDER PROPOSAL REGARDING
MULTIPLE PERFORMANCE METRICS. | | Shareholder | Against | For | | |
| | 9 | STOCKHOLDER PROPOSAL REGARDING
QUANTIFIABLE PERFORMANCE METRICS. | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 4,000 | 0 | 30-Sep-2013 | 30-Sep-2013 |
| | PANERA BREAD COMPANY |
| | Security | | 69840W108 | | | | Meeting Type | Annual |
| | Ticker Symbol | | PNRA | | | | Meeting Date | 05-Jun-2014 | |
| | ISIN | | US69840W1080 | | | | Agenda | 933999495 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | FRED K. FOULKES | | | Withheld | Against | | |
| | | 2 | RONALD M. SHAICH | | | Withheld | Against | | |
| | 2. | TO APPROVE, IN AN ADVISORY "SAY-ON-
PAY" VOTE, THE COMPENSATION OF THE
NAMED EXECUTIVE OFFICERS OF PANERA
BREAD COMPANY. | | Management | For | For | | |
| | 3. | TO APPROVE AN AMENDMENT TO THE 1992
EMPLOYEE STOCK PURCHASE PLAN TO
INCREASE THE NUMBER OF SHARES OF
CLASS A COMMON STOCK AUTHORIZED
FOR ISSUANCE PURSUANT TO SUCH PLAN
FROM 950,000 SHARES TO 1,050,000
SHARES. | | Management | For | For | | |
| | 4. | TO RATIFY THE APPOINTMENT OF
PRICEWATERHOUSECOOPERS LLP AS
PANERA BREAD COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE FISCAL YEAR ENDING DECEMBER
30, 2014. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 30-May-2014 | 30-May-2014 |
| | PEABODY ENERGY CORPORATION |
| | Security | | 704549104 | | | | Meeting Type | Annual |
| | Ticker Symbol | | BTU | | | | Meeting Date | 08-May-2014 | |
| | ISIN | | US7045491047 | | | | Agenda | 933949363 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | GREGORY H. BOYCE | | | For | For | | |
| | | 2 | WILLIAM A. COLEY | | | For | For | | |
| | | 3 | WILLIAM E. JAMES | | | For | For | | |
| | | 4 | ROBERT B. KARN III | | | For | For | | |
| | | 5 | HENRY E. LENTZ | | | For | For | | |
| | | 6 | ROBERT A. MALONE | | | For | For | | |
| | | 7 | WILLIAM C. RUSNACK | | | For | For | | |
| | | 8 | MICHAEL W. SUTHERLIN | | | For | For | | |
| | | 9 | JOHN F. TURNER | | | For | For | | |
| | | 10 | SANDRA A. VAN TREASE | | | For | For | | |
| | | 11 | ALAN H. WASHKOWITZ | | | For | For | | |
| | | 12 | HEATHER A. WILSON | | | For | For | | |
| | 2. | RATIFICATION OF APPOINTMENT OF
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM. | | Management | For | For | | |
| | 3. | ADVISORY RESOLUTION TO APPROVE
NAMED EXECUTIVE OFFICER
COMPENSATION. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 750 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | PENN WEST PETROLEUM LTD. |
| | Security | | 707887105 | | | | Meeting Type | Annual |
| | Ticker Symbol | | PWE | | | | Meeting Date | 04-Jun-2014 | |
| | ISIN | | CA7078871059 | | | | Agenda | 934018525 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 01 | AN ORDINARY RESOLUTION TO APPOINT
KPMG LLP, CHARTERED ACCOUNTANTS,
CALGARY, ALBERTA, AS AUDITOR OF PENN
WEST FOR THE ENSUING YEAR. | | Management | For | For | | |
| | 02 | DIRECTOR | | Management | | | | | | | |
| | | 1 | JAMES E. ALLARD | | | For | For | | |
| | | 2 | GEORGE H. BROOKMAN | | | For | For | | |
| | | 3 | JOHN BRYDSON | | | For | For | | |
| | | 4 | GILLIAN H. DENHAM | | | For | For | | |
| | | 5 | RICHARD L. GEORGE | | | For | For | | |
| | | 6 | DAVID E. ROBERTS | | | For | For | | |
| | | 7 | JAMES C. SMITH | | | For | For | | |
| | | 8 | JAY W. THORNTON | | | For | For | | |
| | 03 | ADVISORY VOTE APPROVING PENN WEST'S
APPROACH TO EXECUTIVE COMPENSATION. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 2,500 | 0 | 30-May-2014 | 30-May-2014 |
| | PFIZER INC. |
| | Security | | 717081103 | | | | Meeting Type | Annual |
| | Ticker Symbol | | PFE | | | | Meeting Date | 24-Apr-2014 | |
| | ISIN | | US7170811035 | | | | Agenda | 933933738 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: DENNIS A.
AUSIELLO | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: W. DON
CORNWELL | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: FRANCES D.
FERGUSSON | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: HELEN H. HOBBS | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: CONSTANCE J.
HORNER | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: JAMES M. KILTS | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: GEORGE A.
LORCH | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: SHANTANU
NARAYEN | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: SUZANNE NORA
JOHNSON | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: IAN C. READ | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: STEPHEN W.
SANGER | | Management | For | For | | |
| | 1L. | ELECTION OF DIRECTOR: MARC TESSIER-
LAVIGNE | | Management | For | For | | |
| | 2. | RATIFY THE SELECTION OF KPMG LLP AS
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR 2014 | | Management | For | For | | |
| | 3. | ADVISORY APPROVAL OF EXECUTIVE
COMPENSATION | | Management | For | For | | |
| | 4. | APPROVAL OF PFIZER INC. 2014 STOCK
PLAN | | Management | For | For | | |
| | 5. | SHAREHOLDER PROPOSAL REGARDING
APPROVAL OF POLITICAL CONTRIBUTIONS
POLICY | | Shareholder | Against | For | | |
| | 6. | SHAREHOLDER PROPOSAL REGARDING
LOBBYING ACTIVITIES | | Shareholder | Against | For | | |
| | 7. | SHAREHOLDER PROPOSAL REGARDING
ACTION BY WRITTEN CONSENT | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 25,000 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,500 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | PHILIP MORRIS INTERNATIONAL INC. |
| | Security | | 718172109 | | | | Meeting Type | Annual |
| | Ticker Symbol | | PM | | | | Meeting Date | 07-May-2014 | |
| | ISIN | | US7181721090 | | | | Agenda | 933946444 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | 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: JENNIFER LI | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: SERGIO
MARCHIONNE | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: KALPANA
MORPARIA | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: LUCIO A. NOTO | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: ROBERT B. POLET | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: CARLOS SLIM
HELU | | Management | For | For | | |
| | 1J. | 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 - LOBBYING | | Shareholder | Against | For | | |
| | 5. | SHAREHOLDER PROPOSAL 2 - ANIMAL
TESTING | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 7,500 | 0 | 25-Apr-2014 | 25-Apr-2014 |
| | PIMCO |
| | Security | | 72202D106 | | | | Meeting Type | Annual |
| | Ticker Symbol | | PCI | | | | Meeting Date | 30-Apr-2014 | |
| | ISIN | | US72202D1063 | | | | Agenda | 933934398 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | HANS W. KERTESS | | | Withheld | Against | | |
| | | 2 | WILLIAM B. OGDEN, IV | | | Withheld | Against | | |
| | | 3 | ALAN RAPPAPORT | | | Withheld | Against | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698969 | BMC-FIX | 2698969 | NORTHERN
TRUST
COMPANY | 25,000 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | PIMCO |
| | Security | | 72202D106 | | | | Meeting Type | Special |
| | Ticker Symbol | | PCI | | | | Meeting Date | 31-Jul-2014 | |
| | ISIN | | US72202D1063 | | | | Agenda | 933998265 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | TO APPROVE AN INVESTMENT
MANAGEMENT AGREEMENT BETWEEN THE
FUND AND PACIFIC INVESTMENT
MANAGEMENT COMPANY LLC. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698969 | BMC-FIX | 2698969 | NORTHERN
TRUST
COMPANY | 25,000 | 0 | 30-May-2014 | 30-May-2014 |
| | PIMCO DYNAMIC INCOME FUND |
| | Security | | 72201Y101 | | | | Meeting Type | Annual |
| | Ticker Symbol | | PDI | | | | Meeting Date | 18-Dec-2013 | |
| | ISIN | | US72201Y1010 | | | | Agenda | 933894087 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | ALAN RAPPAPORT | | | Withheld | Against | | |
| | | 2 | HANS W. KERTESS | | | Withheld | Against | | |
| | | 3 | WILLIAM B. OGDEN, IV | | | Withheld | Against | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698969 | BMC-FIX | 2698969 | NORTHERN
TRUST
COMPANY | 25,000 | 0 | 18-Nov-2013 | 18-Nov-2013 |
| | PIMCO DYNAMIC INCOME FUND |
| | Security | | 72201Y101 | | | | Meeting Type | Special |
| | Ticker Symbol | | PDI | | | | Meeting Date | 31-Jul-2014 | |
| | ISIN | | US72201Y1010 | | | | Agenda | 933998265 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | TO APPROVE AN INVESTMENT
MANAGEMENT AGREEMENT BETWEEN THE
FUND AND PACIFIC INVESTMENT
MANAGEMENT COMPANY LLC. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698969 | BMC-FIX | 2698969 | NORTHERN
TRUST
COMPANY | 25,000 | 0 | 30-May-2014 | 30-May-2014 |
| | PLAINS ALL AMERICAN PIPELINE, L.P. |
| | Security | | 726503105 | | | | Meeting Type | Special |
| | Ticker Symbol | | PAA | | | | Meeting Date | 19-Nov-2013 | |
| | ISIN | | US7265031051 | | | | Agenda | 933884783 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | PROPOSAL TO APPROVE THE PLAINS ALL
AMERICAN 2013 LONG-TERM INCENTIVE
PLAN. | | Management | For | For | | |
| | 2. | PROPOSAL TO APPROVE THE
ADJOURNMENT OF THE SPECIAL MEETING
TO A LATER DATE OR DATES, IF DEEMED
NECESSARY OR APPROPRIATE BY OUR
GENERAL PARTNER, TO SOLICIT
ADDITIONAL PROXIES. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698968 | DIVIDEND
PORTFOLIO | 2698968 | NORTHERN
TRUST
COMPANY | 10,000 | 0 | 14-Oct-2013 | 14-Oct-2013 |
| | POTASH CORPORATION OF SASKATCHEWAN INC. |
| | Security | | 73755L107 | | | | Meeting Type | Annual and Special Meeting |
| | Ticker Symbol | | POT | | | | Meeting Date | 15-May-2014 | |
| | ISIN | | CA73755L1076 | | | | Agenda | 933945377 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 01 | DIRECTOR | | Management | | | | | | | |
| | | 1 | C.M. BURLEY | | | For | For | | |
| | | 2 | D.G. CHYNOWETH | | | For | For | | |
| | | 3 | W.J. DOYLE | | | For | For | | |
| | | 4 | J.W. ESTEY | | | For | For | | |
| | | 5 | G.W. GRANDEY | | | For | For | | |
| | | 6 | C.S. HOFFMAN | | | For | For | | |
| | | 7 | D.J. HOWE | | | For | For | | |
| | | 8 | A.D. LABERGE | | | For | For | | |
| | | 9 | C.E. MADERE | | | For | For | | |
| | | 10 | K.G. MARTELL | | | For | For | | |
| | | 11 | J.J. MCCAIG | | | For | For | | |
| | | 12 | M. MOGFORD | | | For | For | | |
| | | 13 | E. VIYELLA DE PALIZA | | | For | For | | |
| | 02 | THE APPOINTMENT OF DELOITTE LLP AS
AUDITORS OF THE CORPORATION. | | Management | For | For | | |
| | 03 | THE RESOLUTION (ATTACHED AS APPENDIX
B TO THE ACCOMPANYING MANAGEMENT
PROXY CIRCULAR) APPROVING THE
ADOPTION OF A NEW PERFORMANCE
OPTION PLAN, THE FULL TEXT OF WHICH IS
ATTACHED AS APPENDIX C TO THE
ACCOMPANYING MANAGEMENT PROXY
CIRCULAR. | | Management | For | For | | |
| | 04 | THE ADVISORY RESOLUTION ACCEPTING
THE CORPORATION'S APPROACH TO
EXECUTIVE COMPENSATION DISCLOSED IN
THE ACCOMPANYING MANAGEMENT PROXY
CIRCULAR. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | PUTNAM HIGH INCOME SECURITIES FUND |
| | Security | | 746779107 | | | | Meeting Type | Special |
| | Ticker Symbol | | PCF | | | | Meeting Date | 27-Mar-2014 | |
| | ISIN | | US7467791072 | | | | Agenda | 933910425 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | APPROVING A NEW MANAGEMENT
CONTRACT FOR YOUR FUND | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 5,000 | 0 | 23-Dec-2013 | 23-Dec-2013 |
| | PUTNAM HIGH INCOME SECURITIES FUND |
| | Security | | 746779107 | | | | Meeting Type | Special |
| | Ticker Symbol | | PCF | | | | Meeting Date | 24-Jun-2014 | |
| | ISIN | | US7467791072 | | | | Agenda | 933957409 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | FIXING THE NUMBER OF TRUSTEES AT 14. | | Management | For | For | | |
| | 1B. | DIRECTOR | | Management | | | | | | | |
| | | 1 | LIAQUAT AHAMED | | | For | For | | |
| | | 2 | RAVI AKHOURY | | | For | For | | |
| | | 3 | BARBARA M. BAUMANN | | | For | For | | |
| | | 4 | JAMESON A. BAXTER | | | For | For | | |
| | | 5 | CHARLES B. CURTIS | | | For | For | | |
| | | 6 | ROBERT J. DARRETTA | | | For | For | | |
| | | 7 | KATINKA DOMOTORFFY | | | For | For | | |
| | | 8 | JOHN A. HILL | | | For | For | | |
| | | 9 | PAUL L. JOSKOW | | | For | For | | |
| | | 10 | KENNETH R. LEIBLER | | | For | For | | |
| | | 11 | ROBERT E. PATTERSON | | | For | For | | |
| | | 12 | GEORGE PUTNAM, III | | | For | For | | |
| | | 13 | ROBERT L. REYNOLDS | | | For | For | | |
| | | 14 | W. THOMAS STEPHENS | | | For | For | | |
| | 2. | APPROVING CONVERSION TO AN OPEN-END
INVESTMENT COMPANY. | | Management | Against | For | | |
| | 3A. | APPROVING AN AMENDED AND RESTATED
DECLARATION OF TRUST FOR YOUR FUND:
QUORUM REQUIREMENT FOR
SHAREHOLDER MEETINGS. | | Management | For | For | | |
| | 3B. | APPROVING AN AMENDED AND RESTATED
DECLARATION OF TRUST FOR YOUR FUND:
OTHER CHANGES. | | Management | For | For | | |
| | 4. | APPROVING AN AMENDMENT TO YOUR
FUND'S DECLARATION OF TRUST -
ELIMINATING MANDATORY SHAREHOLDER
VOTES FOR CONVERSION TO AN OPEN-END
INVESTMENT COMPANY. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 5,000 | 0 | 17-Apr-2014 | 17-Apr-2014 |
| | QUALCOMM INCORPORATED |
| | Security | | 747525103 | | | | Meeting Type | Annual |
| | Ticker Symbol | | QCOM | | | | Meeting Date | 04-Mar-2014 | |
| | ISIN | | US7475251036 | | | | Agenda | 933916150 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 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: STEVEN M.
MOLLENKOPF | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: DUANE A. NELLES | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: CLARK T. RANDT,
JR. | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: FRANCISCO ROS | | Management | For | For | | |
| | 1L. | ELECTION OF DIRECTOR: JONATHAN J.
RUBINSTEIN | | Management | For | For | | |
| | 1M. | ELECTION OF DIRECTOR: BRENT
SCOWCROFT | | Management | For | For | | |
| | 1N. | ELECTION OF DIRECTOR: MARC I. STERN | | Management | For | For | | |
| | 2. | TO RATIFY THE SELECTION OF
PRICEWATERHOUSECOOPERS LLP AS OUR
INDEPENDENT PUBLIC ACCOUNTANTS FOR
OUR FISCAL YEAR ENDING SEPTEMBER 28,
2014. | | Management | For | For | | |
| | 3. | ADVISORY VOTE TO APPROVE OUR
EXECUTIVE COMPENSATION. | | Management | For | For | | |
| | 4. | ADVISORY VOTE ON THE FREQUENCY OF
FUTURE ADVISORY VOTES ON EXECUTIVE
COMPENSATION. | | Management | 1 Year | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,500 | 0 | 21-Jan-2014 | 21-Jan-2014 |
| | QUEST DIAGNOSTICS INCORPORATED |
| | Security | | 74834L100 | | | | Meeting Type | Annual |
| | Ticker Symbol | | DGX | | | | Meeting Date | 21-May-2014 | |
| | ISIN | | US74834L1008 | | | | Agenda | 933961167 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1.1 | ELECTION OF DIRECTOR: TIMOTHY L. MAIN | | Management | Against | Against | | |
| | 1.2 | ELECTION OF DIRECTOR: TIMOTHY M. RING | | Management | Against | Against | | |
| | 1.3 | ELECTION OF DIRECTOR: DANIEL C.
STANZIONE | | Management | Against | Against | | |
| | 2. | RATIFICATION OF THE APPOINTMENT OF
OUR INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR 2014 | | Management | For | For | | |
| | 3. | AMENDING CERTIFICATE OF
INCORPORATION TO REMOVE SUPER
MAJORITY VOTING REQUIREMENTS | | Management | For | For | | |
| | 4. | AMENDING CERTIFICATE OF
INCORPORATION TO PERMIT
STOCKHOLDERS TO CAUSE THE COMPANY
TO CALL SPECIAL MEETINGS OF
STOCKHOLDERS | | Management | For | For | | |
| | 5. | AN ADVISORY RESOLUTION TO APPROVE
EXECUTIVE COMPENSATION | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 2,000 | 0 | 19-May-2014 | 19-May-2014 |
| | RELM WIRELESS CORPORATION |
| | Security | | 759525108 | | | | Meeting Type | Annual |
| | Ticker Symbol | | RWC | | | | Meeting Date | 21-May-2014 | |
| | ISIN | | US7595251080 | | | | Agenda | 933997554 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | GEORGE N. BENJAMIN, III | | | For | For | | |
| | | 2 | DAVID P. STOREY | | | For | For | | |
| | | 3 | DONALD F.U. GOEBERT | | | For | For | | |
| | | 4 | RANDOLPH K. PIECHOCKI | | | For | For | | |
| | | 5 | TIMOTHY W. O'NEIL | | | For | For | | |
| | | 6 | BENJAMIN ROSENZWEIG | | | For | For | | |
| | | 7 | RYAN LEVENSON | | | For | For | | |
| | | 8 | JAMES R. HENDERSON | | | For | For | | |
| | 2. | RATIFICATION OF APPOINTMENT OF
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM | | Management | For | For | | |
| | 3. | ADVISORY (NON-BINDING) VOTE ON THE
COMPENSATION OF OUR NAMED
EXECUTIVE OFFICERS | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 20,000 | 0 | 19-May-2014 | 19-May-2014 |
| | RENT-A-CENTER, INC. |
| | Security | | 76009N100 | | | | Meeting Type | Annual |
| | Ticker Symbol | | RCII | | | | Meeting Date | 08-May-2014 | |
| | ISIN | | US76009N1000 | | | | Agenda | 933937267 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1.1 | ELECTION OF DIRECTOR: JEFFERY M.
JACKSON | | Management | Against | Against | | |
| | 1.2 | ELECTION OF DIRECTOR: LEONARD H.
ROBERTS | | Management | Against | Against | | |
| | 1.3 | ELECTION OF DIRECTOR: MARK E. SPEESE | | Management | Against | Against | | |
| | 2. | TO RATIFY THE AUDIT COMMITTEE'S
APPOINTMENT OF KPMG LLP, REGISTERED
INDEPENDENT ACCOUNTANTS, AS THE
COMPANY'S INDEPENDENT AUDITORS FOR
THE FISCAL YEAR ENDED DECEMBER 31,
2014, AS SET FORTH IN THE
ACCOMPANYING PROXY STATEMENT. | | Management | For | For | | |
| | 3. | PROPOSAL TO ADOPT THE ADVISORY (NON-
BINDING) RESOLUTION APPROVING
EXECUTIVE COMPENSATION. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,500 | 0 | 25-Apr-2014 | 25-Apr-2014 |
| | REYNOLDS AMERICAN INC. |
| | Security | | 761713106 | | | | Meeting Type | Annual |
| | Ticker Symbol | | RAI | | | | Meeting Date | 08-May-2014 | |
| | ISIN | | US7617131062 | | | | Agenda | 933941759 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF CLASS I DIRECTOR: SUSAN M.
CAMERON | | Management | Against | Against | | |
| | 1B. | ELECTION OF CLASS I DIRECTOR: LUC
JOBIN | | Management | Against | Against | | |
| | 1C. | ELECTION OF CLASS I DIRECTOR: NANA
MENSAH | | Management | Against | Against | | |
| | 1D. | ELECTION OF CLASS I DIRECTOR: RONALD
S. ROLFE | | Management | Against | Against | | |
| | 1E. | ELECTION OF CLASS I DIRECTOR: JOHN J.
ZILLMER | | Management | Against | Against | | |
| | 1F. | ELECTION OF CLASS II DIRECTOR: SIR
NICHOLAS SCHEELE | | Management | Against | Against | | |
| | 2. | APPROVAL OF THE REYNOLDS AMERICAN
INC. AMENDED AND RESTATED 2009
OMNIBUS INCENTIVE COMPENSATION PLAN | | Management | For | For | | |
| | 3. | ADVISORY VOTE TO APPROVE THE
COMPENSATION OF NAMED EXECUTIVE
OFFICERS | | Management | For | For | | |
| | 4. | RATIFICATION OF THE APPOINTMENT OF
KPMG LLP AS INDEPENDENT AUDITORS | | Management | For | For | | |
| | 5. | SHAREHOLDER PROPOSAL ON DISCLOSURE
OF LOBBYING POLICIES AND PRACTICES | | Shareholder | Against | For | | |
| | 6. | SHAREHOLDER PROPOSAL ON ANIMAL
TESTING | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 4,000 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | RICK'S CABARET INTERNATIONAL, INC. |
| | Security | | 765641303 | | | | Meeting Type | Annual |
| | Ticker Symbol | | RICK | | | | Meeting Date | 06-Aug-2014 | |
| | ISIN | | US7656413033 | | | | Agenda | 934051082 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | ERIC S. LANGAN | | | For | For | | |
| | | 2 | ROBERT L. WATTERS | | | For | For | | |
| | | 3 | STEVEN L. JENKINS | | | For | For | | |
| | | 4 | NOUR-DEAN ANAKAR | | | For | For | | |
| | | 5 | TRAVIS REESE | | | For | For | | |
| | | 6 | LUKE LIROT | | | For | For | | |
| | 2 | PROPOSAL TO AMEND THE CERTIFICATE OF
FORMATION TO CHANGE THE NAME OF THE
COMPANY TO RCI HOSPITALITY HOLDINGS,
INC. | | Management | For | For | | |
| | 3 | PROPOSAL TO RATIFY THE SELECTION OF
WHITLEY PENN LLP AS THE COMPANY'S
INDEPENDENT AUDITOR FOR THE FISCAL
YEAR ENDING SEPTEMBER 30, 2014. | | Management | For | For | | |
| | 4 | TO APPROVE THE FOLLOWING NON-
BINDING ADVISORY RESOLUTION:
RESOLVED, THAT THE COMPENSATION PAID
TO RICKS CABARET INTERNATIONAL, INC.'S
NAMED EXECUTIVE OFFICERS, AS
DISCLOSED IN THIS PROXY STATEMENT
PURSUANT TO ITEM 402 OF REGULATION
SK, INCLUDING THE COMPENSATION
DISCUSSION AND ANALYSIS,
COMPENSATION TABLES AND NARRATIVE
DISCUSSION, IS HEREBY APPROVED. | | Management | For | For | | |
| | 5 | IN THEIR DISCRETION, THE PROXIES ARE
AUTHORIZED TO VOTE UPON SUCH OTHER
BUSINESS THAT MAY PROPERLY COME
BEFORE THE ANNUAL MEETING. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 20,000 | 0 | 26-Jun-2014 | 26-Jun-2014 |
| | ROYAL DUTCH SHELL PLC |
| | Security | | 780259206 | | | | Meeting Type | Annual |
| | Ticker Symbol | | RDSA | | | | Meeting Date | 20-May-2014 | |
| | ISIN | | US7802592060 | | | | Agenda | 933990699 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | RECEIPT OF ANNUAL REPORT & ACCOUNTS | | Management | For | For | | |
| | 2. | APPROVAL OF DIRECTORS' REMUNERATION
POLICY | | Management | For | For | | |
| | 3. | APPROVAL OF DIRECTORS' REMUNERATION
REPORT | | Management | For | For | | |
| | 4. | APPOINTMENT OF EULEEN GOH AS A
DIRECTOR OF THE COMPANY | | Management | For | For | | |
| | 5. | APPOINTMENT OF PATRICIA A. WOERTZ AS
A DIRECTOR OF THE COMPANY | | Management | For | For | | |
| | 6. | RE-APPOINTMENT OF DIRECTOR: BEN VAN
BEURDEN | | Management | For | For | | |
| | 7. | RE-APPOINTMENT OF DIRECTOR: GUY
ELLIOTT | | Management | For | For | | |
| | 8. | RE-APPOINTMENT OF DIRECTOR: SIMON
HENRY | | Management | For | For | | |
| | 9. | RE-APPOINTMENT OF DIRECTOR: CHARLES
O. HOLLIDAY | | Management | For | For | | |
| | 10. | RE-APPOINTMENT OF DIRECTOR: GERARD
KLEISTERLEE | | Management | For | For | | |
| | 11. | RE-APPOINTMENT OF DIRECTOR: JORMA
OLLILA | | Management | For | For | | |
| | 12. | RE-APPOINTMENT OF DIRECTOR: SIR NIGEL
SHEINWALD | | Management | For | For | | |
| | 13. | RE-APPOINTMENT OF DIRECTOR: LINDA G.
STUNTZ | | Management | For | For | | |
| | 14. | RE-APPOINTMENT OF DIRECTOR: HANS
WIJERS | | Management | For | For | | |
| | 15. | RE-APPOINTMENT OF DIRECTOR: GERRIT
ZALM | | Management | For | For | | |
| | 16. | RE-APPOINTMENT OF AUDITORS | | Management | For | For | | |
| | 17. | REMUNERATION OF AUDITORS | | Management | For | For | | |
| | 18. | AUTHORITY TO ALLOT SHARES | | Management | For | For | | |
| | 19. | DISAPPLICATION OF PRE-EMPTION RIGHTS | | Management | For | For | | |
| | 20. | AUTHORITY TO PURCHASE OWN SHARES | | Management | For | For | | |
| | 21. | APPROVAL OF LONG-TERM INCENTIVE PLAN | | Management | For | For | | |
| | 22. | APPROVAL OF DEFERRED BONUS PLAN | | Management | For | For | | |
| | 23. | APPROVAL OF RESTRICTED SHARE PLAN | | Management | For | For | | |
| | 24. | AUTHORITY FOR CERTAIN DONATIONS AND
EXPENDITURE | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 3,000 | 0 | 08-May-2014 | 08-May-2014 |
| | RPM INTERNATIONAL INC. |
| | Security | | 749685103 | | | | Meeting Type | Annual |
| | Ticker Symbol | | RPM | | | | Meeting Date | 10-Oct-2013 | |
| | ISIN | | US7496851038 | | | | Agenda | 933871419 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | DAVID A. DABERKO | | | Withheld | Against | | |
| | | 2 | CRAIG S. MORFORD | | | Withheld | Against | | |
| | | 3 | FRANK C. SULLIVAN | | | Withheld | Against | | |
| | | 4 | THOMAS C. SULLIVAN | | | Withheld | Against | | |
| | 2. | APPROVE THE COMPANY'S EXECUTIVE
COMPENSATION. | | Management | For | For | | |
| | 3. | RATIFY THE APPOINTMENT OF ERNST &
YOUNG LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 2,000 | 0 | 16-Sep-2013 | 16-Sep-2013 |
| | SANOFI |
| | Security | | 80105N105 | | | | Meeting Type | Annual |
| | Ticker Symbol | | SNY | | | | Meeting Date | 05-May-2014 | |
| | ISIN | | US80105N1054 | | | | Agenda | 933971500 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | APPROVAL OF THE INDIVIDUAL COMPANY
FINANCIAL STATEMENTS FOR THE YEAR
ENDED DECEMBER 31, 2013 | | Management | For | For | | |
| | 2. | APPROVAL OF THE CONSOLIDATED
FINANCIAL STATEMENTS FOR THE YEAR
ENDED DECEMBER 31, 2013 | | Management | For | For | | |
| | 3. | APPROPRIATION OF PROFITS;
DECLARATION OF DIVIDEND | | Management | For | For | | |
| | 4. | APPROVAL OF THE AGREEMENTS AND
UNDERTAKINGS REFERRED TO IN ARTICLES
L. 225-38 ET SEQ. OF THE FRENCH
COMMERCIAL CODE | | Management | For | For | | |
| | 5. | RENEWAL OF A DIRECTOR (CHRISTOPHER
VIEHBACHER) | | Management | Against | Against | | |
| | 6. | RENEWAL OF A DIRECTOR (ROBERT
CASTAIGNE) | | Management | Against | Against | | |
| | 7. | RENEWAL OF A DIRECTOR (CHRISTIAN
MULLIEZ) | | Management | Against | Against | | |
| | 8. | APPOINTMENT OF A DIRECTOR (PATRICK
KRON) | | Management | Against | Against | | |
| | 9. | ADVISORY VOTE ON THE ELEMENTS OF
COMPENSATION DUE OR GRANTED TO MR.
SERGE WEINBERG, CHAIRMAN OF THE
BOARD OF DIRECTORS | | Management | For | For | | |
| | 10. | ADVISORY VOTE ON THE ELEMENTS OF
COMPENSATION DUE OR GRANTED TO
CHRISTOPHER VIEHBACHER, CHIEF
EXECUTIVE OFFICER | | Management | For | For | | |
| | 11. | AUTHORIZATION TO THE BOARD OF
DIRECTORS TO CARRY OUT TRANSACTIONS
IN SHARES ISSUED BY THE COMPANY | | Management | For | For | | |
| | 12. | POWERS FOR FORMALITIES | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 10,000 | 0 | 17-Apr-2014 | 17-Apr-2014 |
| | SEADRILL LIMITED |
| | Security | | G7945E105 | | | | Meeting Type | Annual |
| | Ticker Symbol | | SDRL | | | | Meeting Date | 20-Sep-2013 | |
| | ISIN | | BMG7945E1057 | | | | Agenda | 933864476 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1 | TO RE-ELECT JOHN FREDRIKSEN AS A
DIRECTOR OF THE COMPANY. | | Management | For | For | | |
| | 2 | TO RE-ELECT TOR OLAV TROIM AS A
DIRECTOR OF THE COMPANY. | | Management | For | For | | |
| | 3 | TO RE-ELECT KATE BLANKENSHIP AS A
DIRECTOR OF THE COMPANY. | | Management | For | For | | |
| | 4 | TO RE-ELECT KATHRINE FREDRIKSEN AS A
DIRECTOR OF THE COMPANY. | | Management | For | For | | |
| | 5 | TO RE-ELECT CARL ERIK STEEN AS A
DIRECTOR OF THE COMPANY. | | Management | For | For | | |
| | 6 | TO RE-ELECT BERT BEKKER AS A DIRECTOR
OF THE COMPANY. | | Management | For | For | | |
| | 7 | TO RE-ELECT PAUL LEAND, JR. AS A
DIRECTOR OF THE COMPANY. | | Management | For | For | | |
| | 8 | TO AMEND THE COMPANY'S BYE-LAWS NOS.
57 (A), 89, 93 (B), 103, 104, 105, 106 (A), 110
AND 111. | | Management | For | For | | |
| | 9 | TO APPOINT PRICEWATERHOUSECOOPERS
LLP, AS AUDITOR AND TO AUTHORIZE THE
DIRECTORS TO DETERMINE THEIR
REMUNERATION. | | Management | For | For | | |
| | 10 | TO APPROVE THE REMUNERATION OF THE
COMPANY'S BOARD OF DIRECTORS OF A
TOTAL AMOUNT OF FEES NOT TO EXCEED
US$1,500,000 FOR THE YEAR ENDED
DECEMBER 31, 2013. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698968 | DIVIDEND
PORTFOLIO | 2698968 | NORTHERN
TRUST
COMPANY | 7,000 | 0 | 13-Aug-2013 | 13-Aug-2013 |
| | SEATTLE GENETICS, INC. |
| | Security | | 812578102 | | | | Meeting Type | Annual |
| | Ticker Symbol | | SGEN | | | | Meeting Date | 16-May-2014 | |
| | ISIN | | US8125781026 | | | | Agenda | 933967525 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | JOHN A. ORWIN | | | Withheld | Against | | |
| | | 2 | SRINIVAS AKKARAJU | | | Withheld | Against | | |
| | | 3 | DAVID W. GRYSKA | | | Withheld | Against | | |
| | | 4 | JOHN P. MCLAUGHLIN | | | Withheld | Against | | |
| | 2. | TO APPROVE THE AMENDMENT AND
RESTATEMENT OF THE SEATTLE GENETICS,
INC. AMENDED AND RESTATED 2007 EQUITY
INCENTIVE PLAN TO INCREASE THE
AGGREGATE NUMBER OF SHARES OF
COMMON STOCK AUTHORIZED FOR
ISSUANCE THEREUNDER BY 4,500,000
SHARES AND TO MAKE CERTAIN OTHER
CHANGES DESCRIBED IN THE
ACCOMPANYING PROXY STATEMENT. | | Management | For | For | | |
| | 3. | TO RATIFY THE APPOINTMENT OF
PRICEWATERHOUSECOOPERS LLP AS THE
COMPANY'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING DECEMBER 31, 2014. | | Management | For | For | | |
| | 4. | ADVISORY VOTE TO APPROVE THE
COMPENSATION OF THE COMPANY'S
NAMED EXECUTIVE OFFICERS AS
DISCLOSED IN THE ACCOMPANYING PROXY
STATEMENT. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 14-May-2014 | 14-May-2014 |
| | SK TELECOM CO., LTD. |
| | Security | | 78440P108 | | | | Meeting Type | Annual |
| | Ticker Symbol | | SKM | | | | Meeting Date | 21-Mar-2014 | |
| | ISIN | | US78440P1084 | | | | Agenda | 933928713 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | APPROVAL OF FINANCIAL STATEMENTS FOR
THE 30TH FISCAL YEAR (FROM JANUARY 1,
2013 TO DECEMBER 31, 2013) AS SET FORTH
IN ITEM 1 OF THE COMPANY'S AGENDA
ENCLOSED HEREWITH. | | Management | For | | | |
| | 2. | APPROVAL OF AMENDMENTS TO THE
ARTICLES OF INCORPORATION AS SET
FORTH IN ITEM 2 OF THE COMPANY'S
AGENDA ENCLOSED HEREWITH. | | Management | For | | | |
| | 3-1 | ELECTION OF AN EXECUTIVE DIRECTOR
(CANDIDATE: HA, SUNG-MIN) | | Management | Against | | | |
| | 3-2 | ELECTION OF AN INDEPENDENT NON-
EXECUTIVE DIRECTOR (CANDIDATE:
CHUNG, JAY-YOUNG) | | Management | Against | | | |
| | 3-3 | ELECTION OF AN INDEPENDENT NON-
EXECUTIVE DIRECTOR (CANDIDATE: LEE,
JAE-HOON) | | Management | Against | | | |
| | 3-4 | ELECTION OF AN INDEPENDENT NON-
EXECUTIVE DIRECTOR (CANDIDATE: AHN,
JAE-HYEON) | | Management | Against | | | |
| | 4. | APPROVAL OF THE ELECTION OF A MEMBER
OF THE AUDIT COMMITTEE AS SET FORTH
IN ITEM 4 OF THE COMPANY'S AGENDA
ENCLOSED HEREWITH (CANDIDATE: AHN,
JAE-HYEON) | | Management | For | | | |
| | 5. | APPROVAL OF THE CEILING AMOUNT OF
THE REMUNERATION FOR DIRECTORS | | Management | For | | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 2,000 | 0 | 05-Mar-2014 | 05-Mar-2014 |
| | STERICYCLE, INC. |
| | Security | | 858912108 | | | | Meeting Type | Annual |
| | Ticker Symbol | | SRCL | | | | Meeting Date | 21-May-2014 | |
| | ISIN | | US8589121081 | | | | Agenda | 933969719 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: MARK C. MILLER | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: JACK W. SCHULER | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: CHARLES A.
ALUTTO | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: THOMAS D.
BROWN | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: THOMAS F. CHEN | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: ROD F.
DAMMEYER | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: WILLIAM K. HALL | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: JOHN PATIENCE | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: MIKE S.
ZAFIROVSKI | | Management | For | For | | |
| | 2. | APPROVAL OF THE COMPANY'S 2014
INCENTIVE STOCK PLAN | | Management | For | For | | |
| | 3. | RATIFICATION OF THE APPOINTMENT OF
ERNST & YOUNG LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR 2014 | | Management | For | For | | |
| | 4. | ADVISORY RESOLUTION APPROVING THE
COMPENSATION PAID TO THE COMPANY'S
EXECUTIVE OFFICERS | | Management | For | For | | |
| | 5. | ADVISORY RESOLUTION ON THE
FREQUENCY OF THE ADVISORY VOTE ON
EXECUTIVE COMPENSATION (CHOOSE ONE
FREQUENCY) | | Management | 1 Year | For | | |
| | 6. | APPROVAL OF AN AMENDMENT TO THE
COMPANY'S CERTIFICATE OF
INCORPORATION TO GIVE STOCKHOLDERS
THE RIGHT TO CALL A SPECIAL MEETING | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 2,000 | 0 | 19-May-2014 | 19-May-2014 |
| | T. ROWE PRICE PERSONAL STRATEGY FDS, INC |
| | Security | | 77957L203 | | | | Meeting Type | Annual |
| | Ticker Symbol | | TRSGX | | | | Meeting Date | 22-Oct-2013 | |
| | ISIN | | US77957L2034 | | | | Agenda | 933863183 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | EDWARD C. BERNARD | | | For | For | | |
| | | 2 | WILLIAM R. BRODY | | | For | For | | |
| | | 3 | ANTHONY W. DEERING | | | For | For | | |
| | | 4 | DONALD W. DICK, JR. | | | For | For | | |
| | | 5 | BRUCE W. DUNCAN | | | For | For | | |
| | | 6 | ROBERT J. GERRARD, JR. | | | For | For | | |
| | | 7 | KAREN N. HORN | | | For | For | | |
| | | 8 | PAUL F. MCBRIDE | | | For | For | | |
| | | 9 | BRIAN C. ROGERS | | | For | For | | |
| | | 10 | CECILIA E. ROUSE | | | For | For | | |
| | | 11 | JOHN G. SCHREIBER | | | For | For | | |
| | | 12 | MARK R. TERCEK | | | For | For | | |
| | 4. | APPROVAL TO CHANGE THE FUNDAMENTAL
POLICY ON COMMODITIES. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698973 | STOCK MUTUAL
FUNDS | 2698973 | NORTHERN
TRUST
COMPANY | 4,370 | 0 | 13-Aug-2013 | 16-Aug-2013 |
| | TELECOM ARGENTINA, S.A. |
| | Security | | 879273209 | | | | Meeting Type | Annual |
| | Ticker Symbol | | TEO | | | | Meeting Date | 29-Apr-2014 | |
| | ISIN | | US8792732096 | | | | Agenda | 933969137 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | APPOINTMENT OF TWO SHAREHOLDERS TO
APPROVE AND SIGN THE MINUTES OF THE
MEETING. | | Management | For | For | | |
| | 2. | REVIEW THE DOCUMENTS PROVIDED FOR
IN SECTION 234, SUBSECTION 1 OF LAW
19,550, THE RULES OF THE ARGENTINE
NATIONAL SECURITIES COMMISSION
(COMISION NACIONAL DE VALORES ("CNV"))
AND THE LISTING REGULATIONS OF THE
BUENOS AIRES STOCK EXCHANGE (BOLSA
DE COMERCIO DE BUENOS AIRES), AND OF
THE ACCOUNTING DOCUMENTS IN ENGLISH
REQUIRED BY THE RULES OF THE U.S.
SECURITIES AND EXCHANGE COMMISSION
FOR THE TWENTY-FIFTH FISCAL YEAR
ENDED DECEMBER 31, 2013 ('FISCAL YEAR
2013'). | | Management | For | For | | |
| | 3. | ANALYSIS OF THE ALLOCATION OF
RETAINED EARNINGS AS OF DECEMBER 31,
2013 (P$ 3,202,462,964.-). THE BOARD OF
DIRECTORS PROPOSES THE ALLOCATION
OF: (I) P$ 9,369,889.- TO THE LEGAL
RESERVE; (II) P$ 1,201,757,911.- TO 'CASH
DIVIDENDS'; (III) P$ 1,991,335,164.- TO
'VOLUNTARY RESERVE FOR FUTURE
CAPITAL OPERATIONS'. DELEGATION OF
POWERS TO THE BOARD OF DIRECTORS TO
DETERMINE THE ALLOCATION OF THE
VOLUNTARY RESERVE FOR FUTURE
CAPITAL OPERATIONS FOR THEIR SPECIFIC
PURPOSES. | | Management | For | For | | |
| | 4. | REVIEW OF THE PERFORMANCE OF THE
MEMBERS OF THE BOARD OF DIRECTORS
AND THE SUPERVISORY COMMITTEE FROM
APRIL 23, 2013 TO THE DATE OF THIS
SHAREHOLDERS' MEETING. | | Management | For | For | | |
| | 5. | REVIEW OF THE COMPENSATION OF THE
BOARD OF DIRECTORS FOR THE SERVICES
RENDERED DURING FISCAL YEAR 2013
(FROM THE SHAREHOLDERS' MEETING OF
APRIL 23, 2013 TO THE DATE OF THIS
MEETING). PROPOSAL TO PAY THE
AGGREGATE AMOUNT OF P$ 13,300,000. -,
WHICH REPRESENTS 0.41% OF
'ACCOUNTABLE EARNINGS', CALCULATED
UNDER SECTION 3 OF CHAPTER III, TITLE II
OF THE RULES OF CNV (N.T. 2013). | | Management | For | For | | |
| | 6. | AUTHORIZE THE BOARD OF DIRECTORS TO
MAKE ADVANCE PAYMENTS OF FEES FOR
UP TO P$ 11,000,000.- TO THOSE
DIRECTORS ACTING DURING FISCAL YEAR
2014 (FROM THE DATE OF THIS
SHAREHOLDERS' MEETING THROUGH THE
DATE OF THE SHAREHOLDERS' MEETING
REVIEWING THE DOCUMENTS OF SUCH
FISCAL YEAR AND CONTINGENT UPON THE
DECISION ADOPTED AT SUCH MEETING). | | Management | For | For | | |
| | 7. | REVIEW OF THE SUPERVISORY
COMMITTEE'S COMPENSATION FOR THE
SERVICES RENDERED DURING FISCAL YEAR
2013 (AS FROM THE SHAREHOLDERS'
MEETING OF APRIL 23, 2013 THROUGH THE
DATE OF THIS MEETING). PROPOSAL TO
PAY THE AGGREGATE AMOUNT OF P$
2,960,000. | | Management | For | For | | |
| | 8. | DETERMINATION OF THE NUMBER OF
MEMBERS AND ALTERNATE MEMBERS OF
THE SUPERVISORY COMMITTEE FOR FISCAL
YEAR 2014. | | Management | For | For | | |
| | 9. | ELECTION OF MEMBERS OF THE
SUPERVISORY COMMITTEE. | | Management | For | For | | |
| | 10. | ELECTION OF ALTERNATE MEMBERS OF
THE SUPERVISORY COMMITTEE. | | Management | For | For | | |
| | 11. | AUTHORIZE THE BOARD OF DIRECTORS TO
MAKE ADVANCE PAYMENTS OF FEES OF UP
TO P$ 2,960,000.-, TO THOSE SUPERVISORY
COMMITTEE MEMBERS ACTING DURING
FISCAL YEAR 2014 (FROM THE DATE OF
THIS SHAREHOLDERS' MEETING THROUGH
THE DATE OF THE SHAREHOLDERS'
MEETING REVIEWING THE DOCUMENTS OF
SUCH FISCAL YEAR AND CONTINGENT
UPON THE DECISION ADOPTED AT SUCH
MEETING). | | Management | For | For | | |
| | 12. | APPOINTMENT OF INDEPENDENT AUDITORS
FOR THE FISCAL YEAR 2014 FINANCIAL
STATEMENTS AND DETERMINATION OF
THEIR COMPENSATION AS WELL AS OF THE
COMPENSATION DUE TO THOSE ACTING IN
FISCAL YEAR 2013. | | Management | For | For | | |
| | 13. | REVIEW OF THE AUDIT COMMITTEE'S
BUDGET FOR FISCAL YEAR 2014. | | Management | For | For | | |
| | 14. | MODIFICATION OF THE PROCEDURE SET BY
THE ORDINARY SHAREHOLDERS' MEETING
OF APRIL 23, 2013 ACCORDING TO WHICH
ALTERNATE DIRECTORS PROPOSED BY THE
SHAREHOLDER FGS-ANSES ARE ABLE TO
REPLACE DIRECTORS PROPOSED BY SUCH
SHAREHOLDER. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 2,000 | 0 | 11-Apr-2014 | 11-Apr-2014 |
| | TELEFONICA, S.A. |
| | Security | | 879382208 | | | | Meeting Type | Annual |
| | Ticker Symbol | | TEF | | | | Meeting Date | 29-May-2014 | |
| | ISIN | | US8793822086 | | | | Agenda | 934020087 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | EXAMINATION AND APPROVAL, IF
APPLICABLE, OF INDIVIDUAL ANNUAL
ACCOUNTS, CONSOLIDATED FINANCIAL
STATEMENTS & MANAGEMENT REPORT OF
TELEFONICA, S.A. AND OF ITS
CONSOLIDATED GROUP OF COMPANIES,
ALL AS MORE FULLY DESCRIBED IN THE
PROXY MATERIAL. | | Management | For | | | |
| | 2. | RE-ELECTION OF THE AUDITOR FOR FISCAL
YEAR 2014. | | Management | For | | | |
| | 3. | SHAREHOLDER COMPENSATION BY MEANS
OF A SCRIP DIVIDEND. INCREASE IN SHARE
CAPITAL BY SUCH AMOUNT AS MAY BE
DETERMINED PURSUANT TO THE TERMS
AND CONDITION OF THE RESOLUTION, ALL
AS MORE FULLY DESCRIBED IN THE PROXY
MATERIAL. | | Management | For | | | |
| | 4. | DELEGATION TO DIRECTORS OF POWER TO
ISSUE DEBENTURES, BONDS, NOTES &
OTHER FIXED-INCOME SECURITIES AND
HYBRID INSTRUMENTS, INCLUDING
PREFERRED SHARES, BE THEY SIMPLE,
EXCHANGEABLE AND/OR CONVERTIBLE,
ALL AS MORE FULLY DESCRIBED IN THE
MATERIAL | | Management | For | | | |
| | 5. | AUTHORIZATION FOR THE ACQUISITION OF
THE COMPANY'S OWN SHARES DIRECTLY
OR THROUGH COMPANIES OF THE GROUP. | | Management | For | | | |
| | 6. | APPROVAL OF A LONG-TERM INCENTIVE
PLAN CONSISTING OF THE DELIVERY OF
SHARES OF TELEFONICA, S.A. FOR THE
EXECUTIVES OF THE TELEFONICA GROUP. | | Management | For | | | |
| | 7. | APPROVAL OF A GLOBAL INCENTIVE
TELEFONICA, S.A. SHARES PURCHASE PLAN
FOR THE EMPLOYEES OF THE TELEFONICA
GROUP. | | Management | For | | | |
| | 8. | DELEGATION OF POWERS TO FORMALIZE,
INTERPRET, CORRECT AND IMPLEMENT THE
RESOLUTIONS ADOPTED BY THE
SHAREHOLDERS. | | Management | For | | | |
| | 9. | CONSULTATIVE VOTE ON THE ANNUAL
REPORT ON THE REMUNERATION OF
DIRECTORS. | | Management | For | | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 6,500 | 0 | 23-May-2014 | 23-May-2014 |
| | TEMPLETON EMERGING MKTS INCOME FUND |
| | Security | | 880192109 | | | | Meeting Type | Annual |
| | Ticker Symbol | | TEI | | | | Meeting Date | 28-Feb-2014 | |
| | ISIN | | US8801921094 | | | | Agenda | 933912366 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | HARRIS J. ASHTON | | | Withheld | Against | | |
| | | 2 | EDITH E. HOLIDAY | | | Withheld | Against | | |
| | | 3 | J. MICHAEL LUTTIG | | | Withheld | Against | | |
| | | 4 | C.D. TSERETOPOULOS | | | Withheld | Against | | |
| | | 5 | RUPERT H. JOHNSON, JR. | | | Withheld | Against | | |
| | 2. | RATIFICATION OF THE SELECTION OF
PRICEWATERHOUSECOOPERS LLP AS THE
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FUND FOR THE
FISCAL YEAR ENDING AUGUST 31, 2014. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698969 | BMC-FIX | 2698969 | NORTHERN
TRUST
COMPANY | 25,000 | 0 | 07-Jan-2014 | 07-Jan-2014 |
| | TEVA PHARMACEUTICAL INDUSTRIES LIMITED |
| | Security | | 881624209 | | | | Meeting Type | Annual |
| | Ticker Symbol | | TEVA | | | | Meeting Date | 27-Aug-2013 | |
| | ISIN | | US8816242098 | | | | Agenda | 933862725 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A | ELECTION OF DIRECTOR: PROF. MOSHE
MANY | | Management | Against | Against | | |
| | 1B | ELECTION OF DIRECTOR: DR. ARIE
BELLDEGRUN | | Management | Against | Against | | |
| | 1C | ELECTION OF DIRECTOR: MR. AMIR ELSTEIN | | Management | Against | Against | | |
| | 1D | ELECTION OF DIRECTOR: PROF. YITZHAK
PETERBURG | | Management | Against | Against | | |
| | 2A | TO APPROVE THE PAYMENT OF A CASH
BONUS TO THE COMPANY'S PRESIDENT
AND CHIEF EXECUTIVE OFFICER IN
RESPECT OF 2012 IN AN AMOUNT OF
$1,203,125. | | Management | For | For | | |
| | 2A1 | DO YOU HAVE A "PERSONAL INTEREST" IN
PROPOSAL 2A? SEE PAGES 1-2 OF THE
PROXY STATEMENT FOR MORE
INFORMATION (MARK FOR = "YES" OR
AGAINST = "NO"). | | Management | Against | | | |
| | 2B | TO APPROVE BONUS OBJECTIVES AND
PAYOUT TERMS FOR THE YEAR 2013 FOR
THE COMPANY'S PRESIDENT AND CHIEF
EXECUTIVE OFFICER. | | Management | For | For | | |
| | 2B1 | DO YOU HAVE A "PERSONAL INTEREST" IN
PROPOSAL 2B? SEE PAGES 1-2 OF THE
PROXY STATEMENT FOR MORE
INFORMATION (MARK FOR = "YES" OR
AGAINST = "NO"). | | Management | Against | | | |
| | 3 | TO APPROVE A COMPENSATION POLICY
WITH RESPECT TO THE TERMS OF OFFICE
AND EMPLOYMENT OF THE COMPANY'S
"OFFICE HOLDERS" (AS SUCH TERM IS
DEFINED IN THE ISRAELI COMPANIES LAW,
5759-1999, AS AMENDED). | | Management | For | For | | |
| | 3A | DO YOU HAVE A "PERSONAL INTEREST" IN
PROPOSAL 3? SEE PAGES 1-2 OF THE
PROXY STATEMENT FOR MORE
INFORMATION (MARK FOR = "YES" OR
AGAINST = "NO"). | | Management | Against | | | |
| | 4 | TO APPROVE THE RESOLUTION OF THE
BOARD OF DIRECTORS TO DECLARE AND
DISTRIBUTE THE CASH DIVIDENDS FOR THE
FIRST AND SECOND QUARTERS OF THE
YEAR ENDED DECEMBER 31, 2012, PAID IN
TWO INSTALLMENTS IN AN AGGREGATE
AMOUNT OF NIS 2.00 (APPROXIMATELY
US$0.51, ACCORDING TO THE APPLICABLE
EXCHANGE RATES) PER ORDINARY SHARE
(OR ADS). | | Management | For | For | | |
| | 5 | TO APPOINT KESSELMAN & KESSELMAN, A
MEMBER OF PRICEWATERHOUSECOOPERS
INTERNATIONAL LTD., AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM UNTIL THE 2014 ANNUAL
MEETING OF SHAREHOLDERS. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 13-Aug-2013 | 13-Aug-2013 |
| | TEVA PHARMACEUTICAL INDUSTRIES LIMITED |
| | Security | | 881624209 | | | | Meeting Type | Special |
| | Ticker Symbol | | TEVA | | | | Meeting Date | 24-Feb-2014 | |
| | ISIN | | US8816242098 | | | | Agenda | 933919740 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | TO APPROVE THE COMPENSATION OF MR.
EREZ VIGODMAN, THE COMPANY'S
PRESIDENT AND CHIEF EXECUTIVE
OFFICER-DESIGNATE, AND MATTERS
RELATING THERETO. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 30-Jan-2014 | 30-Jan-2014 |
| | THE ADT CORPORATION |
| | Security | | 00101J106 | | | | Meeting Type | Annual |
| | Ticker Symbol | | ADT | | | | Meeting Date | 13-Mar-2014 | |
| | ISIN | | US00101J1060 | | | | Agenda | 933918142 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: THOMAS
COLLIGAN | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: RICHARD DALY | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: TIMOTHY
DONAHUE | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: ROBERT
DUTKOWSKY | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: BRUCE GORDON | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: NAREN
GURSAHANEY | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: BRIDGETTE
HELLER | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: KATHLEEN HYLE | | Management | For | For | | |
| | 2. | TO RATIFY THE APPOINTMENT OF DELOITTE
& TOUCHE LLP AS ADT'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR FISCAL YEAR 2014. | | Management | For | For | | |
| | 3. | TO APPROVE, BY 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 |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 30-Jan-2014 | 30-Jan-2014 |
| | THE BANK OF NOVA SCOTIA |
| | Security | | 064149107 | | | | Meeting Type | Annual |
| | Ticker Symbol | | BNS | | | | Meeting Date | 08-Apr-2014 | |
| | ISIN | | CA0641491075 | | | | Agenda | 933927660 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 01 | DIRECTOR | | Management | | | | | | | |
| | | 1 | GUILLERMO E. BABATZ | | | For | For | | |
| | | 2 | RONALD A. BRENNEMAN | | | For | For | | |
| | | 3 | C.J. CHEN | | | For | For | | |
| | | 4 | CHARLES H. DALLARA | | | For | For | | |
| | | 5 | DAVID A. DODGE | | | For | For | | |
| | | 6 | N. ASHLEIGH EVERETT | | | For | For | | |
| | | 7 | JOHN C. KERR | | | For | For | | |
| | | 8 | THOMAS C. O'NEILL | | | For | For | | |
| | | 9 | BRIAN J. PORTER | | | For | For | | |
| | | 10 | AARON W. REGENT | | | For | For | | |
| | | 11 | INDIRA V. SAMARASEKERA | | | For | For | | |
| | | 12 | SUSAN L. SEGAL | | | For | For | | |
| | | 13 | PAUL D. SOBEY | | | For | For | | |
| | | 14 | BARBARA S. THOMAS | | | For | For | | |
| | 02 | APPOINTMENT OF KPMG LLP AS AUDITORS. | | Management | For | For | | |
| | 03 | ADVISORY VOTE ON NON-BINDING
RESOLUTION ON EXECUTIVE
COMPENSATION APPROACH. | | Management | For | For | | |
| | 04 | SHAREHOLDER PROPOSAL 1. FILLING
ANTICIPATED VACANCIES. | | Shareholder | Against | For | | |
| | 05 | SHAREHOLDER PROPOSAL 2. PHASING OUT
STOCK OPTIONS AS A FORM OF
COMPENSATION. | | Shareholder | Against | For | | |
| | 06 | SHAREHOLDER PROPOSAL 3. PAY ITS FAIR
SHARE OF TAXES. | | Shareholder | Against | For | | |
| | 07 | SHAREHOLDER PROPOSAL 4. SAY ON PAY
ON EXECUTIVE COMPENSATION:
ADDRESSING DISSATISFACTIONS. | | Shareholder | Against | For | | |
| | 08 | SHAREHOLDER PROPOSAL 5. PENSION
PLANS AND TRANSPARENCY. | | Shareholder | Against | For | | |
| | 09 | SHAREHOLDER PROPOSAL 6. DIRECTOR
SHARE OWNERSHIP. | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698968 | DIVIDEND
PORTFOLIO | 2698968 | NORTHERN
TRUST
COMPANY | 1,300 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | THE COCA-COLA COMPANY |
| | Security | | 191216100 | | | | Meeting Type | Annual |
| | Ticker Symbol | | KO | | | | Meeting Date | 23-Apr-2014 | |
| | ISIN | | US1912161007 | | | | Agenda | 933928256 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: HERBERT A.
ALLEN | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: RONALD W. ALLEN | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: ANA BOTIN | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: HOWARD G.
BUFFETT | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: RICHARD M.
DALEY | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: BARRY DILLER | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: HELENE D. GAYLE | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: EVAN G.
GREENBERG | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: ALEXIS M.
HERMAN | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: MUHTAR KENT | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: ROBERT A.
KOTICK | | Management | For | For | | |
| | 1L. | ELECTION OF DIRECTOR: MARIA ELENA
LAGOMASINO | | Management | For | For | | |
| | 1M. | ELECTION OF DIRECTOR: SAM NUNN | | Management | For | For | | |
| | 1N. | ELECTION OF DIRECTOR: JAMES D.
ROBINSON III | | Management | For | For | | |
| | 1O. | ELECTION OF DIRECTOR: PETER V.
UEBERROTH | | Management | For | For | | |
| | 2. | ADVISORY VOTE TO APPROVE EXECUTIVE
COMPENSATION | | Management | For | For | | |
| | 3. | APPROVAL OF THE COCA-COLA COMPANY
2014 EQUITY PLAN | | Management | For | For | | |
| | 4. | RATIFICATION OF THE APPOINTMENT OF
ERNST & YOUNG LLP AS INDEPENDENT
AUDITORS | | Management | For | For | | |
| | 5. | SHAREOWNER PROPOSAL REGARDING AN
INDEPENDENT BOARD CHAIRMAN | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 10,000 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | THE GEO GROUP, INC. |
| | Security | | 36159R103 | | | | Meeting Type | Annual |
| | Ticker Symbol | | GEO | | | | Meeting Date | 02-May-2014 | |
| | ISIN | | US36159R1032 | | | | Agenda | 933940303 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | CLARENCE E. ANTHONY | | | For | For | | |
| | | 2 | NORMAN A. CARLSON | | | For | For | | |
| | | 3 | ANNE N. FOREMAN | | | For | For | | |
| | | 4 | RICHARD H. GLANTON | | | For | For | | |
| | | 5 | CHRISTOPHER C. WHEELER | | | For | For | | |
| | | 6 | GEORGE C. ZOLEY | | | For | For | | |
| | 2 | TO RATIFY THE APPOINTMENT OF GRANT
THORNTON LLP AS OUR INDEPENDENT
REGISTERED PUBLIC ACCOUNTANTS FOR
THE FISCAL YEAR 2014. | | Management | For | For | | |
| | 3 | TO HOLD AN ADVISORY VOTE TO APPROVE
NAMED EXECUTIVE OFFICER
COMPENSATION. | | Management | For | For | | |
| | 4 | TO APPROVE THE GEO GROUP, INC. 2014
STOCK INCENTIVE PLAN, WHICH WE REFER
TO AS THE 2014 PLAN. | | Management | For | For | | |
| | 5 | TO TRANSACT ANY OTHER BUSINESS AS
MAY PROPERLY COME BEFORE THE
MEETING OR ANY ADJOURNMENTS OR
POSTPONEMENTS THEREOF. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | THE GEO GROUP, INC. |
| | Security | | 36159R103 | | | | Meeting Type | Special |
| | Ticker Symbol | | GEO | | | | Meeting Date | 02-May-2014 | |
| | ISIN | | US36159R1032 | | | | Agenda | 933974734 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1 | PROPOSAL TO APPROVE THE AGREEMENT
AND PLAN OF MERGER, DATED AS OF
MARCH 21, 2014, BETWEEN THE GEO
GROUP, INC., OR GEO, AND THE GEO
GROUP REIT, INC., OR GEO REIT, A WHOLLY-
OWNED SUBSIDIARY OF GEO, WHICH IS
BEING IMPLEMENTED IN CONNECTION WITH
GEO'S CONVERSION TO A REAL ESTATE
INVESTMENT TRUST, OR REIT, EFFECTIVE
JANUARY 1, 2013. | | Management | For | For | | |
| | 2 | PROPOSAL TO APPROVE AN ADJOURNMENT
OF THE GEO SPECIAL MEETING, IF
NECESSARY, TO SOLICIT ADDITIONAL
PROXIES IN FAVOR OF THE FOREGOING
PROPOSAL. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 25-Apr-2014 | 25-Apr-2014 |
| | THE HERSHEY COMPANY |
| | Security | | 427866108 | | | | Meeting Type | Annual |
| | Ticker Symbol | | HSY | | | | Meeting Date | 29-Apr-2014 | |
| | ISIN | | US4278661081 | | | | Agenda | 933934831 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | P.M. ARWAY | | | For | For | | |
| | | 2 | J.P. BILBREY | | | For | For | | |
| | | 3 | R.F. CAVANAUGH | | | For | For | | |
| | | 4 | C.A. DAVIS | | | For | For | | |
| | | 5 | M.K. HABEN | | | For | For | | |
| | | 6 | R.M. MALCOLM | | | For | For | | |
| | | 7 | J.M. MEAD | | | For | For | | |
| | | 8 | J.E. NEVELS | | | For | For | | |
| | | 9 | A.J. PALMER | | | For | For | | |
| | | 10 | T.J. RIDGE | | | For | For | | |
| | | 11 | D.L. SHEDLARZ | | | For | For | | |
| | 2. | RATIFY THE APPOINTMENT OF KPMG LLP AS
INDEPENDENT AUDITORS FOR 2014. | | Management | For | For | | |
| | 3. | APPROVE, ON A NON-BINDING ADVISORY
BASIS, A RESOLUTION APPROVING
EXECUTIVE COMPENSATION. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | THE J. M. SMUCKER COMPANY |
| | Security | | 832696405 | | | | Meeting Type | Annual |
| | Ticker Symbol | | SJM | | | | Meeting Date | 14-Aug-2013 | |
| | ISIN | | US8326964058 | | | | Agenda | 933854273 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: KATHRYN W.
DINDO | | Management | Against | Against | | |
| | | Vote Is Contrary To Policy |
| | 1B. | ELECTION OF DIRECTOR: ROBERT B.
HEISLER, JR. | | Management | Against | Against | | |
| | | Vote Is Contrary To Policy |
| | 1C. | ELECTION OF DIRECTOR: RICHARD K.
SMUCKER | | Management | Against | Against | | |
| | | Vote Is Contrary To Policy |
| | 1D. | ELECTION OF DIRECTOR: PAUL SMUCKER
WAGSTAFF | | Management | Against | Against | | |
| | | Vote Is Contrary To Policy |
| | 2. | RATIFICATION OF APPOINTMENT OF ERNST
& YOUNG LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE 2014 FISCAL
YEAR. | | Management | For | For | | |
| | 3. | ADVISORY APPROVAL OF THE COMPANY'S
EXECUTIVE COMPENSATION. | | Management | For | For | | |
| | 4. | ADOPTION OF AN AMENDMENT TO THE
COMPANY'S AMENDED ARTICLES OF
INCORPORATION TO INCREASE THE
NUMBER OF COMMON SHARES
AUTHORIZED TO BE ISSUED. | | Management | For | For | | |
| | 5. | ADOPTION OF AN AMENDMENT TO THE
COMPANY'S AMENDED REGULATIONS TO
REQUIRE ANNUAL ELECTION OF ALL
DIRECTORS. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 2,000 | 0 | 03-Jul-2013 | 03-Jul-2013 |
| | THE MOSAIC COMPANY |
| | Security | | 61945C103 | | | | Meeting Type | Annual |
| | Ticker Symbol | | MOS | | | | Meeting Date | 03-Oct-2013 | |
| | ISIN | | US61945C1036 | | | | Agenda | 933867749 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: TIMOTHY S.
GITZEL | | Management | Against | Against | | |
| | 1B. | ELECTION OF DIRECTOR: WILLIAM R.
GRABER | | Management | Against | Against | | |
| | 1C. | ELECTION OF DIRECTOR: EMERY N. KOENIG | | Management | Against | Against | | |
| | 1D. | ELECTION OF DIRECTOR: DAVID T. SEATON | | Management | Against | Against | | |
| | 2. | RATIFY THE APPOINTMENT OF KPMG LLP AS
THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM TO
AUDIT ITS FINANCIAL STATEMENTS AS OF
AND FOR THE SEVEN-MONTH PERIOD
ENDING DECEMBER 31, 2013 AND THE
EFFECTIVENESS OF INTERNAL CONTROL
OVER FINANCIAL REPORTING AS OF
DECEMBER 31, 2013. | | Management | For | For | | |
| | 3. | A NON-BINDING ADVISORY VOTE ON
EXECUTIVE COMPENSATION. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 2,000 | 0 | 23-Aug-2013 | 23-Aug-2013 |
| | THE MOSAIC COMPANY |
| | Security | | 61945C103 | | | | Meeting Type | Annual |
| | Ticker Symbol | | MOS | | | | Meeting Date | 15-May-2014 | |
| | ISIN | | US61945C1036 | | | | Agenda | 933958019 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | APPROVAL OF AN AMENDMENT TO
MOSAIC'S RESTATED CERTIFICATE OF
INCORPORATION TO DECLASSIFY THE
BOARD OF DIRECTORS. | | Management | For | For | | |
| | 2A. | ELECTION OF A DIRECTOR FOR A TERM
EXPIRING IN 2015: DENISE C. JOHNSON | | Management | Against | Against | | |
| | 2B. | ELECTION OF A DIRECTOR FOR A TERM
EXPIRING IN 2015: NANCY E. COOPER (TERM
EXPIRES IN 2017 IF PROPOSAL 1 IS
REJECTED) | | Management | Against | Against | | |
| | 2C. | ELECTION OF A DIRECTOR FOR A TERM
EXPIRING IN 2015: JAMES L. POPOWICH
(TERM EXPIRES IN 2017 IF PROPOSAL 1 IS
REJECTED) | | Management | Against | Against | | |
| | 2D. | ELECTION OF A DIRECTOR FOR A TERM
EXPIRING IN 2015: JAMES T. PROKOPANKO
(TERM EXPIRES IN 2017 IF PROPOSAL 1 IS
REJECTED) | | Management | Against | Against | | |
| | 2E. | ELECTION OF A DIRECTOR FOR A TERM
EXPIRING IN 2015: STEVEN M. SEIBERT
(TERM EXPIRES IN 2017 IF PROPOSAL 1 IS
REJECTED) | | Management | Against | Against | | |
| | 3. | APPROVAL OF THE MOSAIC COMPANY 2014
STOCK AND INCENTIVE PLAN, AS
RECOMMENDED BY THE BOARD OF
DIRECTORS. | | Management | For | For | | |
| | 4. | RATIFICATION OF THE APPOINTMENT OF
KPMG LLP AS OUR INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM TO
AUDIT OUR FINANCIAL STATEMENTS AS OF
AND FOR THE YEAR ENDING DECEMBER 31,
2014 AND THE EFFECTIVENESS OF
INTERNAL CONTROL OVER FINANCIAL
REPORTING AS OF DECEMBER 31, 2014. | | Management | For | For | | |
| | 5. | A NON-BINDING ADVISORY VOTE ON
EXECUTIVE COMPENSATION ("SAY-ON-
PAY"). | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 2,000 | 0 | 14-May-2014 | 14-May-2014 |
| | THE PROCTER & GAMBLE COMPANY |
| | Security | | 742718109 | | | | Meeting Type | Annual |
| | Ticker Symbol | | PG | | | | Meeting Date | 08-Oct-2013 | |
| | ISIN | | US7427181091 | | | | Agenda | 933868525 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: ANGELA F. BRALY | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: KENNETH I.
CHENAULT | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: SCOTT D. COOK | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: SUSAN DESMOND-
HELLMANN | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: A.G. LAFLEY | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: TERRY J.
LUNDGREN | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: W. JAMES
MCNERNEY, JR. | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: MARGARET C.
WHITMAN | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: MARY AGNES
WILDEROTTER | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: PATRICIA A.
WOERTZ | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: ERNESTO
ZEDILLO | | Management | For | For | | |
| | 2. | RATIFY APPOINTMENT OF THE
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM | | Management | For | For | | |
| | 3. | AMEND THE COMPANY'S CODE OF
REGULATIONS TO REDUCE CERTAIN
SUPERMAJORITY VOTING REQUIREMENTS | | Management | For | For | | |
| | 4. | APPROVE THE 2013 NON-EMPLOYEE
DIRECTORS' STOCK PLAN | | Management | For | For | | |
| | 5. | ADVISORY VOTE ON EXECUTIVE
COMPENSATION (THE SAY ON PAY VOTE) | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 5,000 | 0 | 03-Sep-2013 | 03-Sep-2013 |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,500 | 0 | 03-Sep-2013 | 03-Sep-2013 |
| | THE SOUTHERN COMPANY |
| | Security | | 842587107 | | | | Meeting Type | Annual |
| | Ticker Symbol | | SO | | | | Meeting Date | 28-May-2014 | |
| | ISIN | | US8425871071 | | | | Agenda | 933980737 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: J.P. BARANCO | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: J.A. BOSCIA | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: H.A. CLARK III | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: T.A. FANNING | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: D.J. GRAIN | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: V.M. HAGEN | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: W.A. HOOD, JR. | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: L.P. HUDSON | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: D.M. JAMES | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: D.E. KLEIN | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: W.G. SMITH, JR. | | Management | For | For | | |
| | 1L. | ELECTION OF DIRECTOR: S.R. SPECKER | | Management | For | For | | |
| | 1M. | ELECTION OF DIRECTOR: E.J. WOOD III | | Management | For | For | | |
| | 2. | RATIFICATION OF THE APPOINTMENT OF
DELOITTE & TOUCHE LLP AS THE
COMPANY'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR 2014 | | Management | For | For | | |
| | 3. | ADVISORY VOTE TO APPROVE NAMED
EXECUTIVE OFFICERS' COMPENSATION | | Management | For | For | | |
| | 4. | STOCKHOLDER PROPOSAL ON AN
INDEPENDENT BOARD CHAIR | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 7,000 | 0 | 23-May-2014 | 23-May-2014 |
| | THE TRAVELERS COMPANIES, INC. |
| | Security | | 89417E109 | | | | Meeting Type | Annual |
| | Ticker Symbol | | TRV | | | | Meeting Date | 27-May-2014 | |
| | ISIN | | US89417E1091 | | | | Agenda | 933978299 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: ALAN L. BELLER | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: JOHN H. DASBURG | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: JANET M. DOLAN | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: KENNETH M.
DUBERSTEIN | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: JAY S. FISHMAN | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: PATRICIA L.
HIGGINS | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: THOMAS R.
HODGSON | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: WILLIAM J. KANE | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: CLEVE L.
KILLINGSWORTH JR. | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: PHILIP T.
RUEGGER III | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: DONALD J.
SHEPARD | | Management | For | For | | |
| | 1L. | ELECTION OF DIRECTOR: LAURIE J.
THOMSEN | | Management | For | For | | |
| | 2. | RATIFICATION OF THE APPOINTMENT OF
KPMG LLP AS TRAVELERS' INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR 2014. | | Management | For | For | | |
| | 3. | NON-BINDING VOTE TO APPROVE
EXECUTIVE COMPENSATION. | | Management | For | For | | |
| | 4. | APPROVE THE TRAVELERS COMPANIES,
INC. 2014 STOCK INCENTIVE PLAN. | | Management | For | For | | |
| | 5. | SHAREHOLDER PROPOSAL RELATING TO
POLITICAL CONTRIBUTIONS AND
EXPENDITURES, IF PRESENTED AT THE
ANNUAL MEETING OF SHAREHOLDERS | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 2,500 | 0 | 19-May-2014 | 19-May-2014 |
| | THE WHITEWAVE FOODS COMPANY |
| | Security | | 966244105 | | | | Meeting Type | Annual |
| | Ticker Symbol | | WWAV | | | | Meeting Date | 15-May-2014 | |
| | ISIN | | US9662441057 | | | | Agenda | 933952459 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1.1 | ELECTION OF DIRECTOR: GREGG L. ENGLES | | Management | Against | Against | | |
| | 1.2 | ELECTION OF DIRECTOR: JOSEPH S.
HARDIN, JR. | | Management | Against | Against | | |
| | 2. | PROPOSAL TO APPROVE AMENDMENTS TO
OUR CHARTER PROMPTED BY THE
CONVERSION OF OUR CLASS B COMMON
STOCK INTO CLASS A COMMON STOCK. | | Management | For | For | | |
| | 3. | PROPOSAL TO APPROVE AMENDMENTS TO
OUR CHARTER PROMPTED BY THE
COMPLETION OF OUR SEPARATION FROM
DEAN FOODS COMPANY. | | Management | For | For | | |
| | 4. | PROPOSAL TO RATIFY THE APPOINTMENT
OF DELOITTE & TOUCHE LLP AS OUR
INDEPENDENT AUDITOR FOR 2014. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 14-May-2014 | 14-May-2014 |
| | THE WILLIAMS COMPANIES, INC. |
| | Security | | 969457100 | | | | Meeting Type | Annual |
| | Ticker Symbol | | WMB | | | | Meeting Date | 22-May-2014 | |
| | ISIN | | US9694571004 | | | | Agenda | 933985294 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: ALAN S.
ARMSTRONG | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: JOSEPH R.
CLEVELAND | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: KATHLEEN B.
COOPER | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: JOHN A. HAGG | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: JUANITA H.
HINSHAW | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: RALPH IZZO | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: FRANK T.
MACINNIS | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: ERIC W.
MANDELBLATT | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: STEVEN W.
NANCE | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: MURRAY D. SMITH | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: JANICE D. STONEY | | Management | For | For | | |
| | 1L. | ELECTION OF DIRECTOR: LAURA A. SUGG | | Management | For | For | | |
| | 2. | APPROVAL OF THE AMENDMENT TO THE
WILLIAMS COMPANIES, INC. 2007 INCENTIVE
PLAN. | | Management | For | For | | |
| | 3. | APPROVAL OF THE AMENDMENT TO THE
WILLIAMS COMPANIES, INC. 2007 EMPLOYEE
STOCK PURCHASE PLAN. | | Management | For | For | | |
| | 4. | RATIFICATION OF ERNST & YOUNG LLP AS
AUDITORS FOR 2014. | | Management | For | For | | |
| | 5. | APPROVAL, BY NONBINDING ADVISORY
VOTE, OF THE COMPANY'S EXECUTIVE
COMPENSATION. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 3,000 | 0 | 19-May-2014 | 19-May-2014 |
| | TOLL BROTHERS, INC. |
| | Security | | 889478103 | | | | Meeting Type | Annual |
| | Ticker Symbol | | TOL | | | | Meeting Date | 12-Mar-2014 | |
| | ISIN | | US8894781033 | | | | Agenda | 933922519 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | ROBERT I. TOLL | | | For | For | | |
| | | 2 | BRUCE E. TOLL | | | For | For | | |
| | | 3 | DOUGLAS C. YEARLEY, JR. | | | For | For | | |
| | | 4 | ROBERT S. BLANK | | | For | For | | |
| | | 5 | EDWARD G. BOEHNE | | | For | For | | |
| | | 6 | RICHARD J. BRAEMER | | | For | For | | |
| | | 7 | CHRISTINE N. GARVEY | | | For | For | | |
| | | 8 | CARL B. MARBACH | | | For | For | | |
| | | 9 | STEPHEN A. NOVICK | | | For | For | | |
| | | 10 | PAUL E. SHAPIRO | | | For | For | | |
| | 2. | THE RATIFICATION OF THE RE-
APPOINTMENT OF ERNST & YOUNG LLP AS
THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE 2014 FISCAL YEAR. | | Management | For | For | | |
| | 3. | THE APPROVAL, IN AN ADVISORY AND NON-
BINDING VOTE, OF THE COMPENSATION OF
THE COMPANY'S NAMED EXECUTIVE
OFFICERS (SAY ON PAY). | | Management | For | For | | |
| | 4. | THE APPROVAL OF THE TOLL BROTHERS,
INC. STOCK INCENTIVE PLAN FOR
EMPLOYEES (2014). | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 3,000 | 0 | 11-Feb-2014 | 11-Feb-2014 |
| | TRANSOCEAN, LTD. |
| | Security | | H8817H100 | | | | Meeting Type | Annual |
| | Ticker Symbol | | RIG | | | | Meeting Date | 16-May-2014 | |
| | ISIN | | CH0048265513 | | | | Agenda | 933991526 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1 | 2013 ANNUAL REPORT, INCLUDING
CONSOLIDATED FINANCIAL STATEMENTS
AND STATUTORY FINANCIAL STATEMENTS
OF TRANSOCEAN LTD | | Management | For | For | | |
| | 2 | DISCHARGE OF BOARD OF DIRECTORS AND
EXECUTIVE MANAGEMENT FROM LIABILITY
FOR ACTIVITIES DURING FISCAL YEAR 2013 | | Management | For | For | | |
| | 3 | APPROPRIATION OF AVAILABLE EARNINGS | | Management | For | For | | |
| | 4 | DISTRIBUTION OF A DIVIDEND OUT OF
CAPITAL CONTRIBUTION RESERVES OF
US$3.00 PER OUTSTANDING SHARE | | Management | For | For | | |
| | 5 | AUTHORIZED SHARE CAPITAL | | Management | For | For | | |
| | 6 | REDUCTION OF THE MAXIMUM NUMBER OF
MEMBERS OF BOARD OF DIRECTORS TO 11
FROM 14 | | Management | For | For | | |
| | 7A | AMENDMENTS TO ARTICLES OF
ASSOCIATION TO IMPLEMENT THE MINDER
ORDINANCE: AMENDMENTS REGARDING
ELECTIONS AND RELATED MATTERS | | Management | For | For | | |
| | 7B | AMENDMENTS TO ARTICLES OF
ASSOCIATION TO IMPLEMENT THE MINDER
ORDINANCE: BINDING SHAREHOLDER
RATIFICATION OF THE COMPENSATION OF
THE BOARD OF DIRECTORS AND THE
EXECUTIVE MANAGEMENT TEAM | | Management | For | For | | |
| | 7C | AMENDMENTS TO ARTICLES OF
ASSOCIATION TO IMPLEMENT THE MINDER
ORDINANCE: SUPPLEMENTARY AMOUNT
FOR PERSONS ASSUMING AN EXECUTIVE
MANAGEMENT TEAM POSITION DURING A
COMPENSATION PERIOD FOR WHICH
SHAREHOLDER RATIFICATION HAS
ALREADY BEEN GRANTED | | Management | For | For | | |
| | 7D | AMENDMENTS TO ARTICLES OF
ASSOCIATION TO IMPLEMENT THE MINDER
ORDINANCE: GENERAL PRINCIPLES AND
TERMS APPLICABLE TO THE
COMPENSATION OF THE MEMBERS OF THE
BOARD OF DIRECTORS AND THE
EXECUTIVE MANAGEMENT TEAM | | Management | For | For | | |
| | 7E | AMENDMENTS TO ARTICLES OF
ASSOCIATION TO IMPLEMENT THE MINDER
ORDINANCE: MAXIMUM TERM AND
TERMINATION NOTICE PERIOD OF
MEMBERS OF THE BOARD OF DIRECTORS
AND THE EXECUTIVE MANAGEMENT TEAM
AND NON-COMPETITION AGREEMENTS
WITH MEMBERS OF THE EXECUTIVE
MANAGEMENT TEAM | | Management | For | For | | |
| | 7F | AMENDMENTS TO ARTICLES OF
ASSOCIATION TO IMPLEMENT THE MINDER
ORDINANCE: PERMISSIBLE MANDATES OF
MEMBERS OF THE BOARD OF DIRECTORS
AND THE EXECUTIVE MANAGEMENT TEAM | | Management | For | For | | |
| | 7G | AMENDMENTS TO ARTICLES OF
ASSOCIATION TO IMPLEMENT THE MINDER
ORDINANCE: LOANS AND POST-
RETIREMENT BENEFITS BEYOND
OCCUPATIONAL PENSIONS | | Management | For | For | | |
| | 8 | AMENDMENT OF ARTICLES OF
ASSOCIATION REGARDING THE APPLICABLE
VOTE STANDARD FOR ELECTIONS OF
DIRECTORS, THE CHAIRMAN AND THE
MEMBERS OF THE COMPENSATION
COMMITTEE | | Management | For | For | | |
| | 9 | AMENDMENT OF ARTICLES OF
ASSOCIATION REGARDING SHAREHOLDER
AGENDA ITEM REQUESTS PURSUANT TO
SWISS LAW | | Management | For | For | | |
| | 10A | REELECTION OF DIRECTOR: IAN C.
STRACHAN | | Management | For | For | | |
| | 10B | REELECTION OF DIRECTOR: GLYN A.
BARKER | | Management | For | For | | |
| | 10C | REELECTION OF DIRECTOR: VANESSA C.L.
CHANG | | Management | For | For | | |
| | 10D | REELECTION OF DIRECTOR: FREDERICO F.
CURADO | | Management | For | For | | |
| | 10E | REELECTION OF DIRECTOR: CHAD DEATON | | Management | For | For | | |
| | 10F | REELECTION OF DIRECTOR: MARTIN B.
MCNAMARA | | Management | For | For | | |
| | 10G | REELECTION OF DIRECTOR: SAMUEL
MERKSAMER | | Management | For | For | | |
| | 10H | REELECTION OF DIRECTOR: EDWARD R.
MULLER | | Management | For | For | | |
| | 10I | REELECTION OF DIRECTOR: STEVEN L.
NEWMAN | | Management | For | For | | |
| | 10J | REELECTION OF DIRECTOR: TAN EK KIA | | Management | For | For | | |
| | 10K | ELECTION OF DIRECTOR: VINCENT J.
INTRIERI | | Management | For | For | | |
| | 11 | ELECTION OF IAN C. STRACHAN AS THE
CHAIRMAN OF THE BOARD OF DIRECTORS
FOR A TERM EXTENDING UNTIL
COMPLETION OF THE NEXT ANNUAL
GENERAL MEETING | | Management | For | For | | |
| | 12A | ELECTION OF THE MEMBER OF THE
COMPENSATION COMMITTEE: FREDERICO
F. CURADO | | Management | For | For | | |
| | 12B | ELECTION OF THE MEMBER OF THE
COMPENSATION COMMITTEE: MARTIN B.
MCNAMARA | | Management | For | For | | |
| | 12C | ELECTION OF THE MEMBER OF THE
COMPENSATION COMMITTEE: TAN EK KIA | | Management | For | For | | |
| | 12D | ELECTION OF THE MEMBER OF THE
COMPENSATION COMMITTEE: VINCENT J.
INTRIERI | | Management | For | For | | |
| | 13 | ELECTION OF SCHWEIGER ADVOKATUR /
NOTARIAT AS THE INDEPENDENT PROXY
FOR A TERM EXTENDING UNTIL
COMPLETION OF THE NEXT ANNUAL
GENERAL MEETING | | Management | For | For | | |
| | 14 | APPOINTMENT OF ERNST & YOUNG LLP AS
THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR FISCAL YEAR 2014 AND REELECTION
OF ERNST & YOUNG LTD, ZURICH, AS THE
COMPANY'S AUDITOR FOR A FURTHER ONE-
YEAR TERM | | Management | For | For | | |
| | 15 | ADVISORY VOTE TO APPROVE NAMED
EXECUTIVE OFFICER COMPENSATION | | Management | For | For | | |
| | 16 | REAPPROVAL OF THE MATERIAL TERMS OF
THE PERFORMANCE GOALS UNDER THE
LONG-TERM INCENTIVE PLAN OF
TRANSOCEAN LTD. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,500 | 0 | 14-May-2014 | 14-May-2014 |
| | TRANSOCEAN, LTD. |
| | Security | | H8817H100 | | | | Meeting Type | Annual |
| | Ticker Symbol | | RIG | | | | Meeting Date | 16-May-2014 | |
| | ISIN | | CH0048265513 | | | | Agenda | 934010567 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1 | 2013 ANNUAL REPORT, INCLUDING
CONSOLIDATED FINANCIAL STATEMENTS
AND STATUTORY FINANCIAL STATEMENTS
OF TRANSOCEAN LTD | | Management | For | For | | |
| | 2 | DISCHARGE OF BOARD OF DIRECTORS AND
EXECUTIVE MANAGEMENT FROM LIABILITY
FOR ACTIVITIES DURING FISCAL YEAR 2013 | | Management | For | For | | |
| | 3 | APPROPRIATION OF AVAILABLE EARNINGS | | Management | For | For | | |
| | 4 | DISTRIBUTION OF A DIVIDEND OUT OF
CAPITAL CONTRIBUTION RESERVES OF
US$3.00 PER OUTSTANDING SHARE | | Management | For | For | | |
| | 5 | AUTHORIZED SHARE CAPITAL | | Management | For | For | | |
| | 6 | REDUCTION OF THE MAXIMUM NUMBER OF
MEMBERS OF BOARD OF DIRECTORS TO 11
FROM 14 | | Management | For | For | | |
| | 7A | AMENDMENTS TO ARTICLES OF
ASSOCIATION TO IMPLEMENT THE MINDER
ORDINANCE: AMENDMENTS REGARDING
ELECTIONS AND RELATED MATTERS | | Management | For | For | | |
| | 7B | AMENDMENTS TO ARTICLES OF
ASSOCIATION TO IMPLEMENT THE MINDER
ORDINANCE: BINDING SHAREHOLDER
RATIFICATION OF THE COMPENSATION OF
THE BOARD OF DIRECTORS AND THE
EXECUTIVE MANAGEMENT TEAM | | Management | For | For | | |
| | 7C | AMENDMENTS TO ARTICLES OF
ASSOCIATION TO IMPLEMENT THE MINDER
ORDINANCE: SUPPLEMENTARY AMOUNT
FOR PERSONS ASSUMING AN EXECUTIVE
MANAGEMENT TEAM POSITION DURING A
COMPENSATION PERIOD FOR WHICH
SHAREHOLDER RATIFICATION HAS
ALREADY BEEN GRANTED | | Management | For | For | | |
| | 7D | AMENDMENTS TO ARTICLES OF
ASSOCIATION TO IMPLEMENT THE MINDER
ORDINANCE: GENERAL PRINCIPLES AND
TERMS APPLICABLE TO THE
COMPENSATION OF THE MEMBERS OF THE
BOARD OF DIRECTORS AND THE
EXECUTIVE MANAGEMENT TEAM | | Management | For | For | | |
| | 7E | AMENDMENTS TO ARTICLES OF
ASSOCIATION TO IMPLEMENT THE MINDER
ORDINANCE: MAXIMUM TERM AND
TERMINATION NOTICE PERIOD OF
MEMBERS OF THE BOARD OF DIRECTORS
AND THE EXECUTIVE MANAGEMENT TEAM
AND NON-COMPETITION AGREEMENTS
WITH MEMBERS OF THE EXECUTIVE
MANAGEMENT TEAM | | Management | For | For | | |
| | 7F | AMENDMENTS TO ARTICLES OF
ASSOCIATION TO IMPLEMENT THE MINDER
ORDINANCE: PERMISSIBLE MANDATES OF
MEMBERS OF THE BOARD OF DIRECTORS
AND THE EXECUTIVE MANAGEMENT TEAM | | Management | For | For | | |
| | 7G | AMENDMENTS TO ARTICLES OF
ASSOCIATION TO IMPLEMENT THE MINDER
ORDINANCE: LOANS AND POST-
RETIREMENT BENEFITS BEYOND
OCCUPATIONAL PENSIONS | | Management | For | For | | |
| | 8 | AMENDMENT OF ARTICLES OF
ASSOCIATION REGARDING THE APPLICABLE
VOTE STANDARD FOR ELECTIONS OF
DIRECTORS, THE CHAIRMAN AND THE
MEMBERS OF THE COMPENSATION
COMMITTEE | | Management | For | For | | |
| | 9 | AMENDMENT OF ARTICLES OF
ASSOCIATION REGARDING SHAREHOLDER
AGENDA ITEM REQUESTS PURSUANT TO
SWISS LAW | | Management | For | For | | |
| | 10A | REELECTION OF DIRECTOR: IAN C.
STRACHAN | | Management | For | For | | |
| | 10B | REELECTION OF DIRECTOR: GLYN A.
BARKER | | Management | For | For | | |
| | 10C | REELECTION OF DIRECTOR: VANESSA C.L.
CHANG | | Management | For | For | | |
| | 10D | REELECTION OF DIRECTOR: FREDERICO F.
CURADO | | Management | For | For | | |
| | 10E | REELECTION OF DIRECTOR: CHAD DEATON | | Management | For | For | | |
| | 10F | REELECTION OF DIRECTOR: MARTIN B.
MCNAMARA | | Management | For | For | | |
| | 10G | REELECTION OF DIRECTOR: SAMUEL
MERKSAMER | | Management | For | For | | |
| | 10H | REELECTION OF DIRECTOR: EDWARD R.
MULLER | | Management | For | For | | |
| | 10I | REELECTION OF DIRECTOR: STEVEN L.
NEWMAN | | Management | For | For | | |
| | 10J | REELECTION OF DIRECTOR: TAN EK KIA | | Management | For | For | | |
| | 10K | ELECTION OF DIRECTOR: VINCENT J.
INTRIERI | | Management | For | For | | |
| | 11 | ELECTION OF IAN C. STRACHAN AS THE
CHAIRMAN OF THE BOARD OF DIRECTORS
FOR A TERM EXTENDING UNTIL
COMPLETION OF THE NEXT ANNUAL
GENERAL MEETING | | Management | For | For | | |
| | 12A | ELECTION OF THE MEMBER OF THE
COMPENSATION COMMITTEE: FREDERICO
F. CURADO | | Management | For | For | | |
| | 12B | ELECTION OF THE MEMBER OF THE
COMPENSATION COMMITTEE: MARTIN B.
MCNAMARA | | Management | For | For | | |
| | 12C | ELECTION OF THE MEMBER OF THE
COMPENSATION COMMITTEE: TAN EK KIA | | Management | For | For | | |
| | 12D | ELECTION OF THE MEMBER OF THE
COMPENSATION COMMITTEE: VINCENT J.
INTRIERI | | Management | For | For | | |
| | 13 | ELECTION OF SCHWEIGER ADVOKATUR /
NOTARIAT AS THE INDEPENDENT PROXY
FOR A TERM EXTENDING UNTIL
COMPLETION OF THE NEXT ANNUAL
GENERAL MEETING | | Management | For | For | | |
| | 14 | APPOINTMENT OF ERNST & YOUNG LLP AS
THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR FISCAL YEAR 2014 AND REELECTION
OF ERNST & YOUNG LTD, ZURICH, AS THE
COMPANY'S AUDITOR FOR A FURTHER ONE-
YEAR TERM | | Management | For | For | | |
| | 15 | ADVISORY VOTE TO APPROVE NAMED
EXECUTIVE OFFICER COMPENSATION | | Management | For | For | | |
| | 16 | REAPPROVAL OF THE MATERIAL TERMS OF
THE PERFORMANCE GOALS UNDER THE
LONG-TERM INCENTIVE PLAN OF
TRANSOCEAN LTD. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,500 | 0 | 14-May-2014 | 15-May-2014 |
| | US ECOLOGY, INC. |
| | Security | | 91732J102 | | | | Meeting Type | Annual |
| | Ticker Symbol | | ECOL | | | | Meeting Date | 22-May-2014 | |
| | ISIN | | US91732J1025 | | | | Agenda | 933972437 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1.1 | ELECTION OF DIRECTOR: VICTOR J.
BARNHART | | Management | For | For | | |
| | 1.2 | ELECTION OF DIRECTOR: JOE F. COLVIN | | Management | For | For | | |
| | 1.3 | ELECTION OF DIRECTOR: JEFFREY R.
FEELER | | Management | For | For | | |
| | 1.4 | ELECTION OF DIRECTOR: DANIEL FOX | | Management | For | For | | |
| | 1.5 | ELECTION OF DIRECTOR: STEPHEN A.
ROMANO | | Management | For | For | | |
| | 2. | TO RATIFY THE APPOINTMENT OF DELOITTE
& TOUCHE LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE COMPANY'S
FISCAL YEAR ENDING DECEMBER 31, 2014. | | Management | For | For | | |
| | 3. | TO APPROVE, BY NON-BINDING VOTE,
EXECUTIVE COMPENSATION. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 6,000 | 0 | 19-May-2014 | 19-May-2014 |
| | VARIAN MEDICAL SYSTEMS, INC. |
| | Security | | 92220P105 | | | | Meeting Type | Annual |
| | Ticker Symbol | | VAR | | | | Meeting Date | 20-Feb-2014 | |
| | ISIN | | US92220P1057 | | | | Agenda | 933912900 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | SUSAN L. BOSTROM | | | Withheld | Against | | |
| | | 2 | REGINA E. DUGAN | | | Withheld | Against | | |
| | | 3 | VENKATRAMAN THYAGARAJA | | | Withheld | Against | | |
| | | 4 | DOW R. WILSON | | | Withheld | Against | | |
| | 2. | TO APPROVE THE COMPENSATION OF THE
VARIAN MEDICAL SYSTEMS, INC. NAMED
EXECUTIVE OFFICERS AS DESCRIBED IN
THE PROXY STATEMENT. | | Management | For | For | | |
| | 3. | TO APPROVE THE VARIAN MEDICAL
SYSTEMS, INC. MANAGEMENT INCENTIVE
PLAN. | | Management | For | For | | |
| | 4. | TO RATIFY THE APPOINTMENT OF
PRICEWATERHOUSECOOPERS LLP AS
VARIAN MEDICAL SYSTEMS, INC.'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR FISCAL YEAR 2014. | | Management | For | For | | |
| | 5. | TO APPROVE AN AMENDMENT TO THE
VARIAN MEDICAL SYSTEMS, INC.
CERTIFICATE OF INCORPORATION TO
DECLASSIFY THE BOARD OF DIRECTORS, IF
THE ELIMINATION OF CUMULATIVE VOTING
PURSUANT TO PROPOSAL 6 IS APPROVED. | | Management | For | For | | |
| | 6. | TO APPROVE AN AMENDMENT TO THE
VARIAN MEDICAL SYSTEMS, INC.
CERTIFICATE OF INCORPORATION TO
ELIMINATE CUMULATIVE VOTING FOR
DIRECTORS, IF THE ELIMINATION OF THE
CLASSIFIED BOARD PURSUANT TO
PROPOSAL 5 IS APPROVED. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,500 | 0 | 07-Jan-2014 | 07-Jan-2014 |
| | VENTAS, INC. |
| | Security | | 92276F100 | | | | Meeting Type | Annual |
| | Ticker Symbol | | VTR | | | | Meeting Date | 15-May-2014 | |
| | ISIN | | US92276F1003 | | | | Agenda | 933951938 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: DEBRA A. CAFARO | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: DOUGLAS
CROCKER II | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: RONALD G.
GEARY | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: JAY M. GELLERT | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: RICHARD I.
GILCHRIST | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: MATTHEW J.
LUSTIG | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: DOUGLAS M.
PASQUALE | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: ROBERT D. REED | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: GLENN J.
RUFRANO | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: JAMES D.
SHELTON | | Management | For | For | | |
| | 2. | RATIFICATION OF THE SELECTION OF
ERNST & YOUNG LLP AS THE INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR FISCAL YEAR 2014. | | 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 |
| | 2698968 | DIVIDEND
PORTFOLIO | 2698968 | NORTHERN
TRUST
COMPANY | 2,000 | 0 | 09-May-2014 | 09-May-2014 |
| | VERIZON COMMUNICATIONS INC. |
| | Security | | 92343V104 | | | | Meeting Type | Annual |
| | Ticker Symbol | | VZ | | | | Meeting Date | 01-May-2014 | |
| | ISIN | | US92343V1044 | | | | Agenda | 933936607 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: SHELLYE L.
ARCHAMBEAU | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: RICHARD L.
CARRION | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: MELANIE L.
HEALEY | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: M. FRANCES
KEETH | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: ROBERT W. LANE | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: LOWELL C.
MCADAM | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: DONALD T.
NICOLAISEN | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: CLARENCE OTIS,
JR. | | Management | For | For | | |
| | 1I. | ELECTION OF DIRECTOR: RODNEY E.
SLATER | | Management | For | For | | |
| | 1J. | ELECTION OF DIRECTOR: KATHRYN A.
TESIJA | | Management | For | For | | |
| | 1K. | ELECTION OF DIRECTOR: GREGORY D.
WASSON | | Management | For | For | | |
| | 2. | RATIFICATION OF APPOINTMENT OF
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM | | Management | For | For | | |
| | 3. | ADVISORY VOTE TO APPROVE EXECUTIVE
COMPENSATION | | Management | For | For | | |
| | 4. | PROPOSAL TO IMPLEMENT PROXY ACCESS | | Management | For | For | | |
| | 5. | NETWORK NEUTRALITY | | Shareholder | Against | For | | |
| | 6. | LOBBYING ACTIVITIES | | Shareholder | Against | For | | |
| | 7. | SEVERANCE APPROVAL POLICY | | Shareholder | Against | For | | |
| | 8. | SHAREHOLDER RIGHT TO CALL A SPECIAL
MEETING | | Shareholder | Against | For | | |
| | 9. | SHAREHOLDER RIGHT TO ACT BY WRITTEN
CONSENT | | Shareholder | Against | For | | |
| | 10. | PROXY VOTING AUTHORITY | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 2,630 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | VODAFONE GROUP PLC |
| | Security | | 92857W209 | | | | Meeting Type | Special |
| | Ticker Symbol | | VOD | | | | Meeting Date | 28-Jan-2014 | |
| | ISIN | | US92857W2098 | | | | Agenda | 933909701 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | C1 | FOR THE COURT MEETING SCHEME. | | Management | For | For | | |
| | G1 | TO APPROVE THE VERIZON WIRELESS
TRANSACTION AND THE VODAFONE ITALY
TRANSACTION. | | Management | For | For | | |
| | G2 | TO APPROVE THE NEW ARTICLES OF
ASSOCIATION, THE CAPITAL REDUCTIONS,
THE RETURN OF VALUE AND THE SHARE
CONSOLIDATION AND CERTAIN RELATED
MATTERS PURSUANT TO THE SCHEME. | | Management | For | For | | |
| | G3 | TO AUTHORISE THE COMPANY TO
PURCHASE ITS OWN SHARES. | | Management | For | For | | |
| | G4 | TO AUTHORISE THE DIRECTORS TO TAKE
ALL NECESSARY AND APPROPRIATE
ACTIONS IN RELATION TO RESOLUTIONS 1-
3. | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 10,000 | 0 | 23-Dec-2013 | 23-Dec-2013 |
| | VODAFONE GROUP PLC |
| | Security | | 92857W308 | | | | Meeting Type | Annual |
| | Ticker Symbol | | VOD | | | | Meeting Date | 29-Jul-2014 | |
| | ISIN | | US92857W3088 | | | | Agenda | 934046740 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | TO RECEIVE THE COMPANY'S ACCOUNTS,
THE STRATEGIC REPORT AND REPORTS OF
THE DIRECTORS AND THE AUDITOR FOR
THE YEAR ENDED 31 MARCH 2014 | | Management | For | For | | |
| | 2. | TO RE-ELECT GERARD KLEISTERLEE AS A
DIRECTOR | | Management | For | For | | |
| | 3. | TO RE-ELECT VITTORIO COLAO AS A
DIRECTOR | | Management | For | For | | |
| | 4. | TO ELECT NICK READ AS A DIRECTOR | | Management | For | For | | |
| | 5. | TO RE-ELECT STEPHEN PUSEY AS A
DIRECTOR | | Management | For | For | | |
| | 6. | TO ELECT SIR CRISPIN DAVIS AS A
DIRECTOR | | Management | For | For | | |
| | 7. | TO ELECT DAME CLARA FURSE AS A
DIRECTOR, WITH EFFECT FROM 1
SEPTEMBER 2014 | | Management | For | For | | |
| | 8. | TO ELECT VALERIE GOODING AS A
DIRECTOR | | Management | For | For | | |
| | 9. | TO RE-ELECT RENEE JAMES AS A
DIRECTOR | | Management | For | For | | |
| | 10. | TO RE-ELECT SAMUEL JONAH AS A
DIRECTOR | | Management | For | For | | |
| | 11. | TO RE-ELECT OMID KORDESTANI AS A
DIRECTOR | | Management | For | For | | |
| | 12. | TO RE-ELECT NICK LAND AS A DIRECTOR | | Management | For | For | | |
| | 13. | TO RE-ELECT LUC VANDEVELDE AS A
DIRECTOR | | Management | For | For | | |
| | 14. | TO RE-ELECT PHILIP YEA AS A DIRECTOR | | Management | For | For | | |
| | 15. | TO DECLARE A FINAL DIVIDEND OF 7.47
PENCE PER ORDINARY SHARE FOR THE
YEAR ENDED 31 MARCH 2014 | | Management | For | For | | |
| | 16. | TO APPROVE THE DIRECTORS'
REMUNERATION POLICY FOR THE YEAR
ENDED 31 MARCH 2014 | | Management | For | For | | |
| | 17. | TO APPROVE THE REMUNERATION REPORT
OF THE BOARD FOR THE YEAR ENDED 31
MARCH 2014 | | Management | For | For | | |
| | 18. | TO APPROVE THE VODAFONE GLOBAL
INCENTIVE PLAN RULES | | Management | For | For | | |
| | 19. | TO CONFIRM PWC'S APPOINTMENT AS
AUDITOR | | Management | For | For | | |
| | 20. | TO AUTHORISE THE AUDIT AND RISK
COMMITTEE TO DETERMINE THE
REMUNERATION OF THE AUDITOR | | Management | For | For | | |
| | 21. | TO AUTHORISE THE DIRECTORS TO ALLOT
SHARES | | Management | For | For | | |
| | S22 | TO AUTHORISE THE DIRECTORS TO DIS-
APPLY PRE-EMPTION RIGHTS | | Management | For | For | | |
| | S23 | TO AUTHORISE THE COMPANY TO
PURCHASE ITS OWN SHARES | | Management | For | For | | |
| | 24. | TO AUTHORISE POLITICAL DONATIONS AND
EXPENDITURE | | Management | For | For | | |
| | S25 | TO AUTHORISE THE COMPANY TO CALL
GENERAL MEETINGS (OTHER THAN AGMS)
ON 14 CLEAR DAYS' NOTICE | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698975 | BMC #3 | 2698975 | NORTHERN
TRUST
COMPANY | 5,454 | 0 | 13-Jun-2014 | 13-Jun-2014 |
| | WABTEC CORPORATION |
| | Security | | 929740108 | | | | Meeting Type | Annual |
| | Ticker Symbol | | WAB | | | | Meeting Date | 14-May-2014 | |
| | ISIN | | US9297401088 | | | | Agenda | 933952726 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1 | DIRECTOR | | Management | | | | | | | |
| | | 1 | EMILIO A. FERNANDEZ | | | Withheld | Against | | |
| | | 2 | LEE B. FOSTER, II | | | Withheld | Against | | |
| | | 3 | GARY C. VALADE | | | Withheld | Against | | |
| | 2 | APPROVE AN ADVISORY (NON-BINDING)
RESOLUTION RELATING TO THE APPROVAL
OF 2013 NAMED EXECUTIVE OFFICER
COMPENSATION | | Management | For | For | | |
| | 3 | RATIFY THE APPOINTMENT OF ERNST &
YOUNG LLP AS OUR INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE 2014 FISCAL YEAR | | Management | For | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 1,000 | 0 | 09-May-2014 | 09-May-2014 |
| | WASTE MANAGEMENT, INC. |
| | Security | | 94106L109 | | | | Meeting Type | Annual |
| | Ticker Symbol | | WM | | | | Meeting Date | 13-May-2014 | |
| | ISIN | | US94106L1098 | | | | Agenda | 933944476 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: BRADBURY H.
ANDERSON | | Management | For | For | | |
| | 1B. | ELECTION OF DIRECTOR: FRANK M. CLARK,
JR. | | Management | For | For | | |
| | 1C. | ELECTION OF DIRECTOR: PATRICK W.
GROSS | | Management | For | For | | |
| | 1D. | ELECTION OF DIRECTOR: VICTORIA M. HOLT | | Management | For | For | | |
| | 1E. | ELECTION OF DIRECTOR: JOHN C. POPE | | Management | For | For | | |
| | 1F. | ELECTION OF DIRECTOR: W. ROBERT REUM | | Management | For | For | | |
| | 1G. | ELECTION OF DIRECTOR: DAVID P. STEINER | | Management | For | For | | |
| | 1H. | ELECTION OF DIRECTOR: THOMAS H.
WEIDEMEYER | | Management | For | For | | |
| | 2. | RATIFICATION OF THE APPOINTMENT OF
ERNST & YOUNG, LLP AS THE INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR 2014. | | Management | For | For | | |
| | 3. | APPROVAL OF OUR EXECUTIVE
COMPENSATION. | | Management | For | For | | |
| | 4. | APPROVAL OF OUR 2014 STOCK INCENTIVE
PLAN. | | Management | For | For | | |
| | 5. | STOCKHOLDER PROPOSAL REGARDING
DISCLOSURE OF POLITICAL
CONTRIBUTIONS, IF PROPERLY PRESENTED
AT THE MEETING. | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 500 | 0 | 09-May-2014 | 09-May-2014 |
| | WELLS FARGO & COMPANY |
| | Security | | 949746101 | | | | Meeting Type | Annual |
| | Ticker Symbol | | WFC | | | | Meeting Date | 29-Apr-2014 | |
| | ISIN | | US9497461015 | | | | Agenda | 933937089 - 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: JAMES H.
QUIGLEY | | 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. | VOTE ON AN ADVISORY RESOLUTION TO
APPROVE EXECUTIVE COMPENSATION. | | Management | For | For | | |
| | 3. | RATIFY THE APPOINTMENT OF KPMG LLP AS
THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR 2014. | | Management | For | For | | |
| | 4. | ADOPT A POLICY TO REQUIRE AN
INDEPENDENT CHAIRMAN. | | Shareholder | Against | For | | |
| | 5. | REVIEW AND REPORT ON INTERNAL
CONTROLS OVER THE COMPANY'S
MORTGAGE SERVICING AND FORECLOSURE
PRACTICES. | | Shareholder | Against | For | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698976 | BMC #4 | 2698976 | NORTHERN
TRUST
COMPANY | 2,500 | 0 | 26-Mar-2014 | 26-Mar-2014 |
| | WISDOMTREE FUND |
| | Security | | 97717W307 | | | | Meeting Type | Special |
| | Ticker Symbol | | DLN | | | | Meeting Date | 11-Mar-2014 | |
| | ISIN | | US97717W3079 | | | | Agenda | 933920173 - Management |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Type | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | | Management | | | | | | | |
| | | 1 | DAVID G. CHRENCIK | | | Withheld | Against | | |
| | | 2 | JOEL H. GOLDBERG | | | Withheld | Against | | |
| | | 3 | M.A. RASO KIRSTEIN | | | Withheld | Against | | |
| | Account
Number | | Account Name | | Internal
Account | Custodian | Ballot Shares | | Unavailable
Shares | | Vote
Date | Date
Confirmed |
| | 2698973 | STOCK MUTUAL
FUNDS | 2698973 | NORTHERN
TRUST
COMPANY | 1,500 | 0 | 30-Jan-2014 | 30-Jan-2014 |
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.
BMC FUND, INC.
