UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811-03287
New Alternatives Fund, Inc.
(Exact name of registrant as specified in charter)
150 Broadhollow Road, Suite PH2
Melville, New York 11747
(Address of principal executive offices) (Zip code)
David J. Schoenwald, President
New Alternatives Fund, Inc.
150 Broadhollow Road, Suite PH2
Melville, New York 11747
(Name and address of agent for service)
Registrant’s telephone number, including area code: 631-423-7373
Date of fiscal year end: December 31
Date of reporting period: July 1, 2013 – June 30, 2014
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, 100 F Street, NE, Washington, DC 20549. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
PROXY VOTING RECORD
FOR PERIOD JULY 1, 2013 TO JUNE 30, 2014
Proxy Voting Record
Meeting Date Range: 01-Jul-2013 To 30-Jun-2014
All Accounts
TRUSTPOWER LTD
| ||||||||
Security: | Q9239W105 | Meeting Type: | Annual General Meeting | |||||
Ticker: | Meeting Date: | 26-Jul-2013 | ||||||
ISIN | NZTPWE0001S7 | Vote Deadline Date: | 19-Jul-2013 | |||||
Agenda | 704625245 | Management | Total Ballot Shares: | 500000 | ||||
Last Vote Date: | 25-Jun-2013 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | Authorize the Board to Fix Remuneration of the Auditors | For | None | 500000 | 0 | 0 | 0 | |||||||||||||
2 | Elect M Bogoievski as a Director | For | None | 500000 | 0 | 0 | 0 | |||||||||||||
3 | Elect GJC Swier as a Director | For | None | 500000 | 0 | 0 | 0 | |||||||||||||
4 | Approve the Increase in Maximum Aggregate Remuneration of Non-Executive Directors | For | None | 500000 | 0 | 0 | 0 |
Page 1 of 47 |
Wednesday, July 02, 2014 |
Proxy Voting Record
NEW JERSEY RESOURCES CORPORATION
| ||||||||
Security: | 646025106 | Meeting Type: | Annual | |||||
Ticker: | NJR | Meeting Date: | 22-Jan-2014 | |||||
ISIN | US6460251068 | Vote Deadline Date: | 21-Jan-2014 | |||||
Agenda | 933905563 | Management | Total Ballot Shares: | 150000 | ||||
Last Vote Date: | 18-Dec-2013 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | DIRECTOR | For | None | |||||||||||||||||
1 JANE M. KENNY | 150000 | 0 | 0 | 0 | ||||||||||||||||
2 SHARON C. TAYLOR | 150000 | 0 | 0 | 0 | ||||||||||||||||
3 DAVID A. TRICE | 150000 | 0 | 0 | 0 | ||||||||||||||||
2 | TO APPROVE A NON-BINDING ADVISORY RESOLUTION APPROVING THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | For | None | 150000 | 0 | 0 | 0 | |||||||||||||
3 | TO APPROVE THE AMENDMENT OF OUR RESTATED CERTIFICATE OF INCORPORATION TO MAKE THE PROVISIONS OF SECTION 14A:3-6.1 TO 14A:3-6.9 OF THE NEW JERSEY BUSINESS CORPORATION ACT APPLICABLE TO NEW JERSEY RESOURCES CORPORATION. | For | None | 150000 | 0 | 0 | 0 | |||||||||||||
4 | TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2014. | For | None | 150000 | 0 | 0 | 0 |
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Proxy Voting Record
JOHNSON CONTROLS, INC.
| ||||||||
Security: | 478366107 | Meeting Type: | Annual | |||||
Ticker: | JCI | Meeting Date: | 29-Jan-2014 | |||||
ISIN | US4783661071 | Vote Deadline Date: | 28-Jan-2014 | |||||
Agenda | 933907000 | Management | Total Ballot Shares: | 150000 | ||||
Last Vote Date: | 12-Dec-2013 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | DIRECTOR | For | None | |||||||||||||||||
1 NATALIE A. BLACK | 150000 | 0 | 0 | 0 | ||||||||||||||||
2 RAYMOND L. CONNER | 150000 | 0 | 0 | 0 | ||||||||||||||||
3 WILLIAM H. LACY | 150000 | 0 | 0 | 0 | ||||||||||||||||
4 ALEX A. MOLINAROLI | 150000 | 0 | 0 | 0 | ||||||||||||||||
2 | RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT AUDITORS FOR 2014. | For | None | 150000 | 0 | 0 | 0 | |||||||||||||
3 | APPROVE ON AN ADVISORY BASIS NAMED EXECUTIVE OFFICER COMPENSATION. | For | None | 150000 | 0 | 0 | 0 |
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Proxy Voting Record
WGL HOLDINGS, INC.
| ||||||||
Security: | 92924F106 | Meeting Type: | Annual | |||||
Ticker: | WGL | Meeting Date: | 06-Mar-2014 | |||||
ISIN | US92924F1066 | Vote Deadline Date: | 05-Mar-2014 | |||||
Agenda | 933916112 | Management | Total Ballot Shares: | 185000 | ||||
Last Vote Date: | 24-Jan-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | DIRECTOR | For | None | |||||||||||||||||
1 MICHAEL D. BARNES | 185000 | 0 | 0 | 0 | ||||||||||||||||
2 GEORGE P. CLANCY, JR. | 185000 | 0 | 0 | 0 | ||||||||||||||||
3 JAMES W. DYKE, JR. | 185000 | 0 | 0 | 0 | ||||||||||||||||
4 MELVYN J. ESTRIN | 185000 | 0 | 0 | 0 | ||||||||||||||||
5 NANCY C. FLOYD | 185000 | 0 | 0 | 0 | ||||||||||||||||
6 LINDA R. GOODEN | 185000 | 0 | 0 | 0 | ||||||||||||||||
7 JAMES F. LAFOND | 185000 | 0 | 0 | 0 | ||||||||||||||||
8 DEBRA L. LEE | 185000 | 0 | 0 | 0 | ||||||||||||||||
9 TERRY D. MCCALLISTER | 185000 | 0 | 0 | 0 | ||||||||||||||||
2 | PROPOSAL TO APPROVE, BY NON-BINDING VOTE, COMPENSATION PAID TO CERTAIN EXECUTIVE OFFICERS. | For | None | 185000 | 0 | 0 | 0 | |||||||||||||
3 | PROPOSAL TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS INDEPENDENT PUBLIC ACCOUNTANTS FOR FISCAL YEAR 2014. | For | None | 185000 | 0 | 0 | 0 |
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Proxy Voting Record
VESTAS WIND SYSTEMS A/S, RANDERS
| ||||||||
Security: | K9773J128 | Meeting Type: | Annual General Meeting | |||||
Ticker: | Meeting Date: | 24-Mar-2014 | ||||||
ISIN | DK0010268606 | Vote Deadline Date: | 13-Mar-2014 | |||||
Agenda | 704985641 | Management | Total Ballot Shares: | 235000 | ||||
Last Vote Date: | 05-Mar-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | None | None | Non Voting | ||||||||||||||||
2 | IN THE MAJORITY OF MEETINGS THE VOTES ARE CAST WITH THE REGISTRAR WHO WILL FOLLOW CLIENT INSTRUCTIONS. IN A SMALL PERCENTAGE OF MEETINGS THERE IS NO REGISTRAR AND CLIENTS VOTES MAY BE CAST BY THE CHAIRMAN OF THE BOARD OR A BOARD MEMBER AS PROXY. CLIENTS CAN ONLY EXPECT THEM TO ACCEPT PRO-MANAGEMENT VOTES. THE ONLY WAY TO GUARANTEE THAT ABSTAIN AND/OR AGAINST VOTES ARE REPRESENTED AT THE MEETING IS TO SEND YOUR OWN REPRESENTATIVE OR ATTEND THE MEETING IN PERSON. THE SUB CUSTODIAN BANKS OFFER REPRESENTATION SERVICES FOR AN ADDED FEE IF REQUESTED. THANK YOU | None | None | Non Voting | ||||||||||||||||
3 | PLEASE BE ADVISED THAT SPLIT AND PARTIAL VOTING IS NOT AUTHORISED FOR A BENEFICIAL OWNER IN THE DANISH MARKET. PLEASE CONTACT YOUR GLOBAL CUSTODIAN FOR FURTHER INFORMATION. | None | None | Non Voting | ||||||||||||||||
4 | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘ABSTAIN’ ONLY FOR RESOLUTION NUMBERS “4.a TO 4.h AND 6”. THANK YOU. | None | None | Non Voting | ||||||||||||||||
5 | The Board of Directors’ report | None | None | Non Voting | ||||||||||||||||
6 | Presentation and adoption of the annual report | For | None | 235000 | 0 | 0 | 0 |
Page 5 of 47 |
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Proxy Voting Record
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
7 | Resolution for the allocation of the result of the year | For | None | 235000 | 0 | 0 | 0 | |||||||||||||
8 | Election of member to the Board of Director: Re-election of Bert Nordberg | For | None | 235000 | 0 | 0 | 0 | |||||||||||||
9 | Election of member to the Board of Director: Re-election of Carsten Bjerg | For | None | 235000 | 0 | 0 | 0 | |||||||||||||
10 | Election of member to the Board of Director: Re-election of Eija Pitkanen | For | None | 235000 | 0 | 0 | 0 | |||||||||||||
11 | Election of member to the Board of Director: Re-election of Henrik Andersen | For | None | 235000 | 0 | 0 | 0 | |||||||||||||
12 | Election of member to the Board of Director: Re-election of Henry Stenson | For | None | 235000 | 0 | 0 | 0 | |||||||||||||
13 | Election of member to the Board of Director: Re-election of Jorn Ankaer Thomsen | For | None | 235000 | 0 | 0 | 0 | |||||||||||||
14 | Election of member to the Board of Director: Re-election of Lars Josefsson | For | None | 235000 | 0 | 0 | 0 | |||||||||||||
15 | Election of member to the Board of Director: Election of Lykke Friis | For | None | 235000 | 0 | 0 | 0 | |||||||||||||
16 | Adoption of the remuneration of the Board of Director: Final approval of the remuneration of the Board of Directors for 2013 | For | None | 235000 | 0 | 0 | 0 | |||||||||||||
17 | Adoption of the remuneration of the Board of Director: Approval of the level of remuneration of the Board of Directors for 2014 | For | None | 235000 | 0 | 0 | 0 | |||||||||||||
18 | Re-appointment of PricewaterhouseCoopers Statsautoriseret Revisionspartnerselskab as the company’s auditor | For | None | 235000 | 0 | 0 | 0 | |||||||||||||
19 | Articles of association article 6(2-3) and article 11 (rewording/amendment as a consequence of the changes to the Danish Companies Act) | For | None | 235000 | 0 | 0 | 0 | |||||||||||||
20 | Articles of association, new article 5(4) and amendment to article 5(3) (annual report in English) | For | None | 235000 | 0 | 0 | 0 | |||||||||||||
21 | Articles of association article 3 (renewal of the authorisations to increase the company’s share capital) | For | None | 235000 | 0 | 0 | 0 | |||||||||||||
22 | Authorisation to acquire treasury shares | For | None | 235000 | 0 | 0 | 0 |
Page 6 of 47 |
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Proxy Voting Record
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
23 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: Articles of association, new article 5(3) (accounting details in the notice convening annual general meetings) | Against | None | 0 | 235000 | 0 | 0 | |||||||||||||
24 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: The company’s financial reports and company announcements must be available in Danish on the company’s website for at least five years | Against | None | 0 | 235000 | 0 | 0 | |||||||||||||
25 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: No more than two or three menu items must be required on the website to view the company’s financial reports. The Investor website must be easily accessible and in Danish | Against | None | 0 | 235000 | 0 | 0 | |||||||||||||
26 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: Refreshments provided in connection with annual general meetings must reasonably match the outlook for the coming year | Against | None | 0 | 235000 | 0 | 0 | |||||||||||||
27 | Authorisation of the chairman of the general meeting | For | None | 235000 | 0 | 0 | 0 |
Page 7 of 47 |
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Proxy Voting Record
FUELCELL ENERGY, INC.
| ||||||||
Security: | 35952H106 | Meeting Type: | Annual | |||||
Ticker: | FCEL | Meeting Date: | 27-Mar-2014 | |||||
ISIN | US35952H1068 | Vote Deadline Date: | 26-Mar-2014 | |||||
Agenda | 933923030 | Management | Total Ballot Shares: | 600000 | ||||
Last Vote Date: | 18-Feb-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | DIRECTOR | For | None | |||||||||||||||||
1 ARTHUR A. BOTTONE | 600000 | 0 | 0 | 0 | ||||||||||||||||
2 RICHARD A. BROMLEY | 600000 | 0 | 0 | 0 | ||||||||||||||||
3 J H ENGLAND | 600000 | 0 | 0 | 0 | ||||||||||||||||
4 JAMES D. GERSON | 600000 | 0 | 0 | 0 | ||||||||||||||||
5 WILLIAM A. LAWSON | 600000 | 0 | 0 | 0 | ||||||||||||||||
6 JOHN A. ROLLS | 600000 | 0 | 0 | 0 | ||||||||||||||||
7 TOGO DENNIS WEST, JR | 600000 | 0 | 0 | 0 | ||||||||||||||||
2 | TO RATIFY THE SELECTION OF THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL 2014. | For | None | 600000 | 0 | 0 | 0 | |||||||||||||
3 | TO AMEND THE FUELCELL ENERGY, INC. AMENDED AND RESTATED 2010 EQUITY INCENTIVE PLAN. | For | None | 0 | 0 | 600000 | 0 | |||||||||||||
4 | TO AMEND THE FUELCELL ENERGY, INC. ARTICLES OF INCORPORATION INCREASING ITS AUTHORIZED COMMON STOCK FROM 275,000,000 TO 400,000,000 SHARES. | For | None | 0 | 600000 | 0 | 0 | |||||||||||||
5 | TO VOTE, ON AN ADVISORY BASIS, ON THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS AS SET FORTH IN THE EXECUTIVE COMPENSATION SECTION OF THIS PROXY STATEMENT. | For | None | 600000 | 0 | 0 | 0 |
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Proxy Voting Record
ABENGOA SA, SEVILLA
| ||||||||
Security: | E0002V203 | Meeting Type: | Ordinary General Meeting | |||||
Ticker: | Meeting Date: | 05-Apr-2014 | ||||||
ISIN | ES0105200002 | Vote Deadline Date: | 01-Apr-2014 | |||||
Agenda | 705014253 | Management | Total Ballot Shares: | 1900000 | ||||
Last Vote Date: | 12-Mar-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM, THERE WILL BE A SECOND CALL ON 06 APR 2014. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU. | None | None | Non Voting | ||||||||||||||||
2 | Approve financial statements and management reports approve discharge and remuneration of directors | For | None | 1900000 | 0 | 0 | 0 | |||||||||||||
3 | Approve allocation of income and dividends | For | None | 1900000 | 0 | 0 | 0 | |||||||||||||
4 | Authorize capitalization of reserves for scrip dividends | For | None | 1900000 | 0 | 0 | 0 | |||||||||||||
5 | Re-elect Ms. Mercedes Gracia Diez as director | For | None | 1900000 | 0 | 0 | 0 | |||||||||||||
6 | Advisory vote on remuneration policy report | For | None | 1900000 | 0 | 0 | 0 | |||||||||||||
7 | Authorize increase in capital up to 50 percent via issuance of equity or equity-linked securities without pre-emptive rights | For | None | 0 | 0 | 1900000 | 0 | |||||||||||||
8 | Authorize issuance of convertible and non-convertible debt securities without pre-emptive rights up to EUR 5 billion | For | None | 0 | 0 | 1900000 | 0 | |||||||||||||
9 | Authorize share repurchase program | For | None | 1900000 | 0 | 0 | 0 | |||||||||||||
10 | Authorize board to ratify and execute approved resolutions | For | None | 1900000 | 0 | 0 | 0 | |||||||||||||
11 | Approve minutes of meeting | For | None | 1900000 | 0 | 0 | 0 | |||||||||||||
12 | SHAREHOLDERS MAY ONLY ATTEND IN THE SHAREHOLDERS MEETING IF THEY HOLD VOTING RIGHTS OF A MINIMUM OF 375 SHARES | None | None | Non Voting |
Page 9 of 47 |
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Proxy Voting Record
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||
13 | 01 APR 2014: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN TEXT OF RESOLUTION 4 AND MEETING TYPE TO OGM. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS PROXY FORM UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | None | None | Non Voting |
Page 10 of 47 |
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Proxy Voting Record
EDP RENOVAVEIS, SA, OVIEDO
| ||||||||
Security: | E3847K101 | Meeting Type: | Ordinary General Meeting | |||||
Ticker: | Meeting Date: | 08-Apr-2014 | ||||||
ISIN | ES0127797019 | Vote Deadline Date: | 27-Mar-2014 | |||||
Agenda | 705010293 | Management | Total Ballot Shares: | 1400000 | ||||
Last Vote Date: | 11-Mar-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | Elect chairman of meeting | For | None | 1400000 | 0 | 0 | 0 | |||||||||||||
2 | Approve consolidated and standalone financial statements | For | None | 1400000 | 0 | 0 | 0 | |||||||||||||
3 | Approve allocation of income and dividends | For | None | 1400000 | 0 | 0 | 0 | |||||||||||||
4 | Approve individual and consolidated management reports, and corporate governance report | For | None | 1400000 | 0 | 0 | 0 | |||||||||||||
5 | Approve discharge of board | For | None | 1400000 | 0 | 0 | 0 | |||||||||||||
6 | Fix maximum variable compensation ratio | For | None | 1400000 | 0 | 0 | 0 | |||||||||||||
7 | Approve remuneration of directors | For | None | 1400000 | 0 | �� | 0 | 0 | ||||||||||||
8 | Renew appointment of KPMG as auditor | For | None | 1400000 | 0 | 0 | 0 | |||||||||||||
9 | Authorize board to ratify and execute approved resolutions | For | None | 1400000 | 0 | 0 | 0 | |||||||||||||
10 | 12 MAR 2014: PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF QUORUM COMMENT AND CHANGE IN MEETING TYPE FROM AGM TO OGM. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS PROXY FORM UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | None | None | Non Voting | ||||||||||||||||
11 | 12 MAR 2014: PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM, THERE WILL BE A SECOND CALL ON 15 APR 2014. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU. | None | None | Non Voting |
Page 11 of 47 |
Wednesday, July 02, 2014 |
Proxy Voting Record
OWENS CORNING
| ||||||||
Security: | 690742101 | Meeting Type: | Annual | |||||
Ticker: | OC | Meeting Date: | 17-Apr-2014 | |||||
ISIN | US6907421019 | Vote Deadline Date: | 16-Apr-2014 | |||||
Agenda | 933936253 | Management | Total Ballot Shares: | 200000 | ||||
Last Vote Date: | 14-Mar-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | DIRECTOR | For | None | |||||||||||||||||
1 ANN IVERSON | 200000 | 0 | 0 | 0 | ||||||||||||||||
2 EDWARD F. LONERGAN | 200000 | 0 | 0 | 0 | ||||||||||||||||
3 JOHN D. WILLIAMS | 200000 | 0 | 0 | 0 | ||||||||||||||||
2 | TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014. | For | None | 200000 | 0 | 0 | 0 | |||||||||||||
3 | TO APPROVE AMENDMENTS TO THE BYLAWS AND CERTIFICATE OF INCORPORATION OF OWENS CORNING TO DECLASSIFY THE BOARD OF DIRECTORS. | For | None | 200000 | 0 | 0 | 0 | |||||||||||||
4 | TO APPROVE, ON AN ADVISORY BASIS, 2013 NAMED EXECUTIVE OFFICER COMPENSATION. | For | None | 200000 | 0 | 0 | 0 |
Page 12 of 47 |
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Proxy Voting Record
SUNPOWER CORPORATION
| ||||||||
Security: | 867652406 | Meeting Type: | Annual | |||||
Ticker: | SPWR | Meeting Date: | 23-Apr-2014 | |||||
ISIN | US8676524064 | Vote Deadline Date: | 22-Apr-2014 | |||||
Agenda | 933932712 | Management | Total Ballot Shares: | 25000 | ||||
Last Vote Date: | 14-Mar-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | DIRECTOR | For | None | |||||||||||||||||
1 THOMAS R. MCDANIEL | 25000 | 0 | 0 | 0 | ||||||||||||||||
2 HUMBERT DE WENDEL | 25000 | 0 | 0 | 0 | ||||||||||||||||
3 THOMAS H. WERNER | 25000 | 0 | 0 | 0 | ||||||||||||||||
2 | THE PROPOSAL TO APPROVE, IN AN ADVISORY VOTE, OUR NAMED EXECUTIVE OFFICER COMPENSATION. | For | None | 25000 | 0 | 0 | 0 | |||||||||||||
3 | THE RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED ACCOUNTING FIRM FOR FISCAL YEAR 2014. | For | None | 25000 | 0 | 0 | 0 | |||||||||||||
4 | THE APPROVAL OF THE SUNPOWER CORPORATION ANNUAL EXECUTIVE BONUS PLAN. | For | None | 0 | 25000 | 0 | 0 |
Page 13 of 47 |
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Proxy Voting Record
HYFLUX LTD, SINGAPORE
| ||||||||
Security: | Y3817K105 | Meeting Type: | Annual General Meeting | |||||
Ticker: | Meeting Date: | 24-Apr-2014 | ||||||
ISIN | SG1J47889782 | Vote Deadline Date: | 16-Apr-2014 | |||||
Agenda | 705122808 | Management | Total Ballot Shares: | 1000000 | ||||
Last Vote Date: | 11-Apr-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | TO RECEIVE AND ADOPT THE DIRECTORS’ REPORT AND THE AUDITED ACCOUNTS FOR THE YEAR ENDED 31 DECEMBER 2013 TOGETHER WITH THE AUDITORS’ REPORT THEREON | For | None | 1000000 | 0 | 0 | 0 | |||||||||||||
2 | TO DECLARE A FINAL DIVIDEND OF 1.6 SINGAPORE CENTS PER ORDINARY SHARE (ONE-TIER TAX EXEMPT) FOR THE YEAR ENDED 31 DECEMBER 2013 (PREVIOUS YEAR: 2.5 SINGAPORE CENTS PER ORDINARY SHARE) | For | None | 1000000 | 0 | 0 | 0 | |||||||||||||
3 | TO RE-ELECT MR. TEO KIANG KOK WHO RETIRES IN ACCORDANCE WITH ARTICLE 89 OF THE COMPANY’S ARTICLES OF ASSOCIATION AND WHO, BEING ELIGIBLE, OFFERS HIMSELF FOR RE-ELECTION | For | None | 1000000 | 0 | 0 | 0 | |||||||||||||
4 | TO RE-ELECT MR. CHRISTOPHER MURUGASU WHO RETIRES IN ACCORDANCE WITH ARTICLE 89 OF THE COMPANY’S ARTICLES OF ASSOCIATION AND WHO, BEING ELIGIBLE, OFFERS HIMSELF FOR RE-ELECTION | For | None | 1000000 | 0 | 0 | 0 | |||||||||||||
5 | TO APPROVE THE PAYMENT OF DIRECTORS’ FEES OF SGD 524,384 FOR THE YEAR ENDED 31 DECEMBER 2013 (PREVIOUS YEAR: SGD 550,000) | For | None | 1000000 | 0 | 0 | 0 | |||||||||||||
6 | TO RE-APPOINT MESSRS KPMG LLP AS EXTERNAL AUDITORS AND TO AUTHORISE THE DIRECTORS TO FIX THEIR REMUNERATION | For | None | 1000000 | 0 | 0 | 0 |
Page 14 of 47 |
Wednesday, July 02, 2014 |
Proxy Voting Record
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
7 | THAT PURSUANT TO SECTION 161 OF THE COMPANIES ACT, CAP. 50 OF SINGAPORE AND RULE 806 OF THE LISTING MANUAL OF THE SINGAPORE EXCHANGE SECURITIES TRADING LIMITED (THE “LISTING MANUAL”), THE DIRECTORS BE AUTHORISED AND EMPOWERED TO: (A) (1) ISSUE ORDINARY SHARES IN THE COMPANY WHETHER BY WAY OF RIGHTS, BONUS OR OTHERWISE; AND/OR (2) MAKE OR GRANT OFFERS, AGREEMENTS OR OPTIONS (COLLECTIVELY, “INSTRUMENTS”) THAT MIGHT OR WOULD REQUIRE SHARES TO BE ISSUED, INCLUDING BUT NOT LIMITED TO THE CREATION AND ISSUE OF (AS WELL AS ADJUSTMENTS TO) OPTIONS, WARRANTS, DEBENTURES OR OTHER INSTRUMENTS CONVERTIBLE INTO ORDINARY SHARES, AT ANY TIME AND UPON SUCH TERMS AND CONDITIONS AND FOR SUCH PURPOSES AND TO SUCH PERSONS AS THE DIRECTORS MAY IN THEIR ABSOLUTE DISCRETION DEEM FIT; AND (B) ISSUE ORDINARY SHARES IN PURSUANCE OF ANY INSTRUMENTS CONTD | For | None | 0 | 1000000 | 0 | 0 | |||||||||||||
8 | CONTD MADE OR GRANTED BY THE DIRECTORS WHILE THIS RESOLUTION WAS IN FORCE (NOTWITHSTANDING THE AUTHORITY CONFERRED BY THIS RESOLUTION MAY HAVE CEASED TO BE IN FORCE), PROVIDED THAT: (1) THE AGGREGATE NUMBER OF ORDINARY SHARES (INCLUDING ORDINARY SHARES TO BE ISSUED IN PURSUANCE OF THE INSTRUMENTS, MADE OR GRANTED PURSUANT TO THIS RESOLUTION) AND INSTRUMENTS TO BE ISSUED PURSUANT TO THIS RESOLUTION SHALL NOT EXCEED FIFTY PER CENT (50%) OF THE ISSUED ORDINARY SHARES IN THE CAPITAL OF THE COMPANY (AS CALCULATED IN ACCORDANCE WITH SUB-PARAGRAPH (2) BELOW), OF WHICH THE AGGREGATE NUMBER OF ORDINARY SHARES AND INSTRUMENTS TO BE ISSUED OTHER THAN ON A PRO RATA BASIS TO EXISTING SHAREHOLDERS OF THE COMPANY SHALL NOT EXCEED TWENTY PER CENT (20%) OF THE ISSUED ORDINARY SHARES CONTD | None | None | Non Voting |
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Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||
9 | CONTD IN THE CAPITAL OF THE COMPANY (AS CALCULATED IN ACCORDANCE WITH SUBPARAGRAPH (2) BELOW); (2) (SUBJECT TO SUCH CALCULATION AS MAY BE PRESCRIBED BY THE SINGAPORE EXCHANGE SECURITIES TRADING LIMITED) FOR THE PURPOSE OF DETERMINING THE AGGREGATE NUMBER OF ORDINARY SHARES AND INSTRUMENTS THAT MAY BE ISSUED UNDER SUB-PARAGRAPH (1) ABOVE, THE PERCENTAGE OF ISSUED ORDINARY SHARES AND INSTRUMENTS SHALL BE BASED ON THE NUMBER OF ISSUED ORDINARY SHARES IN THE CAPITAL OF THE COMPANY (EXCLUDING TREASURY SHARES) AT THE TIME OF THE PASSING OF THIS RESOLUTION, AFTER ADJUSTING FOR: (I) NEW ORDINARY SHARES ARISING FROM THE CONVERSION OR EXERCISE OF THE INSTRUMENTS OR ANY CONVERTIBLE SECURITIES; (II) NEW ORDINARY SHARES ARISING FROM THE EXERCISING OF SHARE OPTIONS OR VESTING OF SHARE AWARDS OUTSTANDING AND CONTD | None | None | Non Voting | ||||||||||||
10 | CONTD SUBSISTING AT THE TIME OF THE PASSING OF THIS RESOLUTION; AND (III) ANY SUBSEQUENT BONUS ISSUE CONSOLIDATION OR SUBDIVISION OF ORDINARY SHARES. (3) IN EXERCISING THE AUTHORITY CONFERRED BY THIS RESOLUTION, THE COMPANY SHALL COMPLY WITH THE PROVISIONS OF THE LISTING MANUAL FOR THE TIME BEING IN FORCE (UNLESS SUCH COMPLIANCE HAS BEEN WAIVED BY THE SINGAPORE EXCHANGE SECURITIES TRADING LIMITED) AND THE ARTICLES OF ASSOCIATION OF THE COMPANY; AND (4) UNLESS REVOKED OR VARIED BY THE COMPANY IN A GENERAL MEETING, SUCH AUTHORITY SHALL CONTINUE IN FORCE (I) UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY OR THE DATE BY WHICH THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY IS REQUIRED BY LAW TO BE HELD, WHICHEVER IS EARLIER OR (II) IN THE CASE OF ORDINARY SHARES CONTD | None | None | Non Voting | ||||||||||||
11 | CONTD TO BE ISSUED IN PURSUANCE OF THE INSTRUMENTS, MADE OR GRANTED PURSUANT TO THIS RESOLUTION, UNTIL THE ISSUANCE OF SUCH ORDINARY SHARES IN ACCORDANCE WITH THE TERMS OF THE INSTRUMENTS | None | None | Non Voting |
Page 16 of 47 |
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Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
12 | THAT: (A) AUTHORITY BE AND IS HEREBY GIVEN TO THE DIRECTORS TO: (1) ALLOT AND ISSUE PREFERENCE SHARES REFERRED TO IN ARTICLES 8C AND 8E OF THE ARTICLES OF ASSOCIATION OF THE COMPANY IN THE CAPITAL OF THE COMPANY WHETHER BY WAY OF RIGHTS, BONUS OR OTHERWISE; AND/OR (2) MAKE OR GRANT OFFERS, AGREEMENTS OR OPTIONS THAT MIGHT OR WOULD REQUIRE PREFERENCE SHARES REFERRED TO IN SUB-PARAGRAPH (1) ABOVE TO BE ISSUED, NOT BEING ORDINARY SHARES TO WHICH THE AUTHORITY REFERRED TO IN RESOLUTION 7 ABOVE RELATES, AT ANY TIME AND UPON SUCH TERMS AND CONDITIONS AND FOR SUCH PURPOSES AND TO SUCH PERSONS AS THE DIRECTORS MAY IN THEIR ABSOLUTE DISCRETION DEEM FIT, AND (NOTWITHSTANDING THE AUTHORITY CONFERRED BY THIS RESOLUTION MAY HAVE CEASED TO BE IN FORCE) ISSUE PREFERENCE SHARES REFERRED TO IN SUB-PARAGRAPH (1) ABOVE IN PURSUANCE OF ANY OFFERS, CONTD | For | None | 1000000 | 0 | 0 | 0 | |||||||||||||
13 | CONTD AGREEMENTS OR OPTIONS MADE OR GRANTED BY THE DIRECTORS WHILE THIS RESOLUTION WAS IN FORCE; AND (B) (UNLESS REVOKED OR VARIED BY THE COMPANY IN A GENERAL MEETING) THE AUTHORITY CONFERRED BY THIS RESOLUTION SHALL CONTINUE IN FORCE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY OR THE DATE BY WHICH THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY IS REQUIRED BY LAW TO BE HELD, WHICHEVER IS EARLIER | None | None | Non Voting | ||||||||||||||||
14 | THAT THE DIRECTORS OF THE COMPANY BE AND ARE HEREBY AUTHORISED TO EXERCISE ALL THE POWERS OF THE COMPANY TO MAKE PURCHASES OF OR OTHERWISE ACQUIRE ISSUED AND FULLY-PAID ORDINARY SHARES IN THE CAPITAL OF THE COMPANY FROM TIME TO TIME (WHETHER BY WAY OF MARKET PURCHASES OR OFF-MARKET PURCHASES ON AN EQUAL | For | None | 1000000 | 0 | 0 | 0 |
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Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||
ACCESS SCHEME) OF UP TO TEN PER CENT (10%) OF THE ISSUED ORDINARY SHARES IN THE CAPITAL OF THE COMPANY (ASCERTAINED AS AT THE DATE OF THE PASSING OF THIS RESOLUTION, UNLESS THE COMPANY HAS EFFECTED A REDUCTION OF THE SHARE CAPITAL OF THE COMPANY IN ACCORDANCE WITH THE APPLICABLE PROVISIONS OF THE COMPANIES ACT, CHAPTER 50 OF SINGAPORE (“COMPANIES ACT”), AT ANY TIME DURING THE RELEVANT PERIOD (AS DEFINED BELOW), IN WHICH EVENT CONTD | ||||||||||||||||
15 | CONTD THE ISSUED ORDINARY SHARE CAPITAL OF THE COMPANY SHALL BE TAKEN TO BE THE AMOUNT OF THE ISSUED ORDINARY SHARE CAPITAL OF THE COMPANY AS ALTERED, BUT EXCLUDING ANY SHARES HELD BY THE COMPANY AS TREASURY SHARES FROM TIME TO TIME) AT THE PRICE OF UP TO BUT NOT EXCEEDING THE MAXIMUM PRICE (AS DEFINED IN APPENDIX 2 TO THIS NOTICE OF ANNUAL GENERAL MEETING (“APPENDIX 2”)) AND IN ACCORDANCE WITH THE GUIDELINES ON SHARE PURCHASE SET OUT IN APPENDIX 2 (READ WITH APPENDIX 1 TO THIS NOTICE OF ANNUAL GENERAL MEETING) AND OTHERWISE IN ACCORDANCE WITH ALL OTHER PROVISIONS OF THE COMPANIES ACT AND THE LISTING MANUAL OF THE SINGAPORE EXCHANGE SECURITIES TRADING LIMITED AS MAY FROM TIME TO TIME BE APPLICABLE, AND THIS MANDATE SHALL, UNLESS REVOKED OR VARIED BY THE COMPANY IN GENERAL MEETING, CONTINUE IN CONTD | None | None | Non Voting | ||||||||||||
16 | CONTD FORCE UNTIL THE DATE ON WHICH THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY IS HELD OR IS REQUIRED BY LAW TO BE HELD (THE “RELEVANT PERIOD”), OR THE DATE ON WHICH THE SHARE PURCHASES ARE CARRIED OUT TO THE FULL EXTENT MANDATED, WHICHEVER IS EARLIER | None | None | Non Voting |
Page 18 of 47 |
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Proxy Voting Record
SOUTH JERSEY INDUSTRIES, INC.
| ||||||||
Security: | 838518108 | Meeting Type: | Annual | |||||
Ticker: | SJI | Meeting Date: | 24-Apr-2014 | |||||
ISIN | US8385181081 | Vote Deadline Date: | 23-Apr-2014 | |||||
Agenda | 933943094 | Management | Total Ballot Shares: | 125000 | ||||
Last Vote Date: | 20-Mar-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | ELECTION OF DIRECTOR: SARAH M. BARPOULIS | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
2 | ELECTION OF DIRECTOR: THOMAS A. BRACKEN | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
3 | ELECTION OF DIRECTOR: KEITH S. CAMPBELL | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
4 | ELECTION OF DIRECTOR: SHEILA HARTNETT-DEVLIN | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
5 | ELECTION OF DIRECTOR: VICTOR A. FORTKIEWICZ | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
6 | ELECTION OF DIRECTOR: EDWARD J. GRAHAM | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
7 | ELECTION OF DIRECTOR: WALTER M. HIGGINS III | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
8 | ELECTION OF DIRECTOR: SUNITA HOLZER | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
9 | ELECTION OF DIRECTOR: JOSEPH H. PETROWSKI | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
10 | ELECTION OF DIRECTOR: MICHAEL J. RENNA | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
11 | ELECTION OF DIRECTOR: FRANK L. SIMS | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
12 | TO HOLD AN ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
13 | TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014. | For | None | 125000 | 0 | 0 | 0 |
Page 19 of 47 |
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Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
14 | TO APPROVE THE AMENDMENT OF THE RESTATED CERTIFICATE OF INCORPORATION TO MAKE THE PROVISIONS OF SECTION 14A:3-6.1 TO 14A:3-6.9 OF THE NEW JERSEY BUSINESS CORPORATION ACT APPLICABLE TO SOUTH JERSEY INDUSTRIES. | For | None | 125000 | 0 | 0 | 0 |
Page 20 of 47 |
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Proxy Voting Record
KONINKLIJKE PHILIPS ELECTRONICS N.V.
| ||||||||
Security: | 500472303 | Meeting Type: | Annual | |||||
Ticker: | PHG | Meeting Date: | 01-May-2014 | |||||
ISIN | US5004723038 | Vote Deadline Date: | 23-Apr-2014 | |||||
Agenda | 933951231 | Management | Total Ballot Shares: | 240000 | ||||
Last Vote Date: | 26-Mar-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | PROPOSAL TO ADOPT THE FINANCIAL STATEMENTS. | For | None | 240000 | 0 | 0 | 0 | |||||||||||||
2 | PROPOSAL TO ADOPT A DIVIDEND OF EUR 0.80 PER COMMON SHARE, IN CASH OR IN SHARES AT THE OPTION OF THE SHAREHOLDER, AGAINST THE NET INCOME FOR 2013. | For | None | 240000 | 0 | 0 | 0 | |||||||||||||
3 | PROPOSAL TO DISCHARGE THE MEMBERS OF THE BOARD OF MANAGEMENT FOR THEIR RESPONSIBILITIES. | For | None | 240000 | 0 | 0 | 0 | |||||||||||||
4 | PROPOSAL TO DISCHARGE THE MEMBERS OF THE SUPERVISORY BOARD FOR THEIR RESPONSIBILITIES. | For | None | 240000 | 0 | 0 | 0 | |||||||||||||
5 | PROPOSAL TO APPOINT MS ORIT GADIESH AS MEMBER OF THE SUPERVISORY BOARD WITH EFFECT FROM MAY 1, 2014. | For | None | 240000 | 0 | 0 | 0 | |||||||||||||
6 | PROPOSAL TO RE-APPOINT KPMG ACCOUNTANTS N.V. AS EXTERNAL AUDITOR OF THE COMPANY FOR AN INTERIM PERIOD OF ONE YEAR. | For | None | 240000 | 0 | 0 | 0 | |||||||||||||
7 | PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT FOR A PERIOD OF 18 MONTHS, EFFECTIVE MAY 1, 2014, AS THE BODY WHICH IS AUTHORIZED, WITH THE APPROVAL OF THE SUPERVISORY BOARD, TO ISSUE SHARES OR GRANT RIGHTS TO ACQUIRE SHARES WITHIN THE LIMITS LAID DOWN IN THE ARTICLES OF ASSOCIATION OF THE COMPANY. | For | None | 240000 | 0 | 0 | 0 |
Page 21 of 47 |
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Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
8 | PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT FOR A PERIOD OF 18 MONTHS, EFFECTIVE MAY 1, 2014, AS THE BODY WHICH IS AUTHORIZED, WITH THE APPROVAL OF THE SUPERVISORY BOARD, TO RESTRICT OR EXCLUDE THE PRE-EMPTION RIGHTS ACCRUING TO SHAREHOLDERS. | For | None | 240000 | 0 | 0 | 0 | |||||||||||||
9 | PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT FOR A PERIOD OF 18 MONTHS, PER MAY 1, 2014, WITHIN THE LIMITS OF THE LAW AND THE ARTICLES OF ASSOCIATION, TO ACQUIRE, WITH THE APPROVAL OF THE SUPERVISORY BOARD, SHARES IN THE COMPANY PURSUANT TO AND SUBJECT TO THE LIMITATIONS SET FORTH IN THE AGENDA ATTACHED HERETO. | For | None | 240000 | 0 | 0 | 0 | |||||||||||||
10 | PROPOSAL TO CANCEL COMMON SHARES IN THE SHARE CAPITAL OF THE COMPANY HELD OR TO BE ACQUIRED BY THE COMPANY. | For | None | 240000 | 0 | 0 | 0 |
Page 22 of 47 |
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Proxy Voting Record
TRANSALTA RENEWABLES INC, CALGARY, AB
| ||||||||
Security: | 893463109 | Meeting Type: | Annual General Meeting | |||||
Ticker: | Meeting Date: | 02-May-2014 | ||||||
ISIN | CA8934631091 | Vote Deadline Date: | 28-Apr-2014 | |||||
Agenda | 705035106 | Management | Total Ballot Shares: | 15000 | ||||
Last Vote Date: | 18-Mar-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘ABSTAIN’ ONLY FOR ALL RESOLUTIONS. THANK YOU. | None | None | Non Voting | ||||||||||||||||
2 | Election of Director: David W. Drinkwater | For | None | 0 | 0 | 15000 | 0 | |||||||||||||
3 | Election of Director: Brett M. Gellner | For | None | 0 | 0 | 15000 | 0 | |||||||||||||
4 | Election of Director: Allen R. Hagerman | For | None | 0 | 0 | 15000 | 0 | |||||||||||||
5 | Election of Director: Cynthia Johnston | For | None | 0 | 0 | 15000 | 0 | |||||||||||||
6 | Election of Director: Kathryn A.B. McQuade | For | None | 0 | 0 | 15000 | 0 | |||||||||||||
7 | Election of Director: Paul H.E. Taylor | For | None | 0 | 0 | 15000 | 0 | |||||||||||||
8 | Appointment of Ernst & Young LLP as Auditors at a remuneration to be fixed by the Board of Directors. Directors and management recommend shareholders vote for the appointment of Ernst & Young LLP | For | None | 15000 | 0 | 0 | 0 |
Page 23 of 47 |
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Proxy Voting Record
NRG YIELD, INC.
| ||||||||
Security: | 62942X108 | Meeting Type: | Annual | |||||
Ticker: | NYLD | Meeting Date: | 06-May-2014 | |||||
ISIN | US62942X1081 | Vote Deadline Date: | 05-May-2014 | |||||
Agenda | 933948309 | Management | Total Ballot Shares: | 180000 | ||||
Last Vote Date: | 28-Mar-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | DIRECTOR | For | None | |||||||||||||||||
1 DAVID CRANE | 180000 | 0 | 0 | 0 | ||||||||||||||||
2 JOHN F. CHLEBOWSKI | 180000 | 0 | 0 | 0 | ||||||||||||||||
3 KIRKLAND B. ANDREWS | 180000 | 0 | 0 | 0 | ||||||||||||||||
4 BRIAN R. FORD | 180000 | 0 | 0 | 0 | ||||||||||||||||
5 MAURICIO GUTIERREZ | 180000 | 0 | 0 | 0 | ||||||||||||||||
6 FERRELL P. MCCLEAN | 180000 | 0 | 0 | 0 | ||||||||||||||||
7 CHRISTOPHER S. SOTOS | 180000 | 0 | 0 | 0 | ||||||||||||||||
2 | TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2014. | For | None | 180000 | 0 | 0 | 0 |
Page 24 of 47 |
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XYLEM INC.
| ||||||||
Security: | 98419M100 | Meeting Type: | Annual | |||||
Ticker: | XYL | Meeting Date: | 06-May-2014 | |||||
ISIN | US98419M1009 | Vote Deadline Date: | 05-May-2014 | |||||
Agenda | 933943981 | Management | Total Ballot Shares: | 100000 | ||||
Last Vote Date: | 25-Mar-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | ELECTION OF DIRECTOR: STEN E. JAKOBSSON | For | None | 100000 | 0 | 0 | 0 | |||||||||||||
2 | ELECTION OF DIRECTOR: STEVEN R. LORANGER | For | None | 100000 | 0 | 0 | 0 | |||||||||||||
3 | ELECTION OF DIRECTOR: EDWARD J. LUDWIG | For | None | 100000 | 0 | 0 | 0 | |||||||||||||
4 | ELECTION OF DIRECTOR: JEROME A. PERIBERE | For | None | 100000 | 0 | 0 | 0 | |||||||||||||
5 | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014. | For | None | 100000 | 0 | 0 | 0 | |||||||||||||
6 | TO APPROVE, IN A NON-BINDING VOTE, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | For | None | 100000 | 0 | 0 | 0 | |||||||||||||
7 | THE APPROVAL OF THE PERFORMANCE-BASED PROVISIONS OF THE 2011 OMNIBUS INCENTIVE PLAN. | For | None | 0 | 100000 | 0 | 0 | |||||||||||||
8 | THE APPROVAL OF THE PERFORMANCE-BASED PROVISIONS OF THE XYLEM ANNUAL INCENTIVE PLAN FOR EXECUTIVE OFFICERS. | For | None | 0 | 100000 | 0 | 0 | |||||||||||||
9 | PROPOSED AMENDMENT TO OUR ARTICLES OF INCORPORATION TO ALLOW SHAREOWNERS TO CALL A SPECIAL MEETING. | For | None | 100000 | 0 | 0 | 0 | |||||||||||||
10 | TO VOTE ON A SHAREOWNER PROPOSAL TITLED “EXECUTIVES TO RETAIN SIGNIFICANT STOCK”. | Against | None | 0 | 100000 | 0 | 0 |
Page 25 of 47 |
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HAFSLUND ASA, OSLO
| ||||||||
Security: | R28315126 | Meeting Type: | Annual General Meeting | |||||
Ticker: | Meeting Date: | 08-May-2014 | ||||||
ISIN | NO0004306408 | Vote Deadline Date: | 01-May-2014 | |||||
Agenda | 705151316 | Management | Total Ballot Shares: | 328074 | ||||
Last Vote Date: | 14-Apr-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | None | None | Non Voting | ||||||||||||||||
2 | MARKET RULES REQUIRE DISCLOSURE OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED | None | None | Non Voting | ||||||||||||||||
3 | SHARES HELD IN AN OMNIBUS/NOMINEE ACCOUNT NEED TO BE RE-REGISTERED IN THE BENEFICIAL OWNERS NAME TO BE ALLOWED TO VOTE AT MEETINGS. SHARES WILL BE TEMPORARILY TRANSFERRED TO A SEPARATE ACCOUNT IN THE BENEFICIAL OWNER’S NAME ON THE PROXY DEADLINE AND TRANSFERRED BACK TO THE OMNIBUS/NOMINEE ACCOUNT THE DAY AFTER THE MEETING. | None | None | Non Voting | ||||||||||||||||
4 | BLOCKING SHOULD ALWAYS BE APPLIED, RECORD DATE OR NOT. | None | None | Non Voting | ||||||||||||||||
5 | OPENING OF MEETING AND ELECTION OF MEETING CHAIRMAN | For | None | 328074 | 0 | 0 | 0 | |||||||||||||
6 | ESTABLISHMENT OF LIST OF ATTENDING SHAREHOLDERS | For | None | 328074 | 0 | 0 | 0 | |||||||||||||
7 | APPROVAL OF NOTICE OF MEETING AND AGENDA | For | None | 328074 | 0 | 0 | 0 |
Page 26 of 47 |
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Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
8 | ELECTION OF TWO SHAREHOLDERS TO SIGN THE MINUTES TOGETHER WITH THE MEETING CHAIRMAN | For | None | 328074 | 0 | 0 | 0 | |||||||||||||
9 | REVIEW OF THE 2013 FINANCIAL STATEMENTS | For | None | 328074 | 0 | 0 | 0 | |||||||||||||
10 | ADOPTION OF THE ANNUAL FINANCIAL STATEMENTS AND THE BOARD OF DIRECTORS REPORT FOR HAFSLUND ASA AND THE HAFSLUND GROUP | For | None | 328074 | 0 | 0 | 0 | |||||||||||||
11 | APPROVAL OF ALLOCATION OF RESULT FOR THE YEAR FOR HAFSLUND ASA, INCLUDING THE DISTRIBUTION OF DIVIDENDS FOR HAFSLUND ASA | For | None | 328074 | 0 | 0 | 0 | |||||||||||||
12 | GRANT OF POWER OF ATTORNEY TO THE BOARD FOR ACQUISITION OF THE COMPANY’S OWN SHARES | For | None | 328074 | 0 | 0 | 0 | |||||||||||||
13 | THE BOARD’S STATEMENT ON THE ESTABLISHMENT OF SALARIES AND OTHER REMUNERATION FOR EXECUTIVE EMPLOYEES | For | None | 328074 | 0 | 0 | 0 | |||||||||||||
14 | REVIEW OF CORPORATE GOVERNANCE REPORT PURSUANT TO THE NORWEGIAN ACCOUNTING ACT PARA. 3-3 B | For | None | 328074 | 0 | 0 | 0 | |||||||||||||
15 | RE-ELECTION OF BIRGER MAGNUS AS CHAIRMAN OF THE BOARD | For | None | 328074 | 0 | 0 | 0 | |||||||||||||
16 | RE-ELECTION OF MARIA MORAEUS HANSSEN AS BOARD MEMBER | For | None | 328074 | 0 | 0 | 0 | |||||||||||||
17 | RE-ELECTION OF ELLEN CHRISTINE CHRISTIANSEN AS BOARD MEMBER | For | None | 328074 | 0 | 0 | 0 | |||||||||||||
18 | ESTABLISHMENT OF REMUNERATION OF THE BOARD MEMBERS AND DEPUTY MEMBERS | For | None | 328074 | 0 | 0 | 0 | |||||||||||||
19 | AMENDMENTS TO THE GUIDELINES FOR THE NOMINATION COMMITTEE | For | None | 328074 | 0 | 0 | 0 | |||||||||||||
20 | RE-ELECTION OF STIG L. BECH AS MEMBER OF THE NOMINATION COMMITTEE | For | None | 328074 | 0 | 0 | 0 | |||||||||||||
21 | RE-ELECTION OF TIMO KARTTINEN AS MEMBER OF THE NOMINATION COMMITTEE | For | None | 328074 | 0 | 0 | 0 |
Page 27 of 47 |
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Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
22 | ESTABLISHMENT OF REMUNERATION OF MEMBERS OF THE NOMINATION COMMITTEE | For | None | 328074 | 0 | 0 | 0 | |||||||||||||
23 | APPROVAL OF AUDITORS REMUNERATION | For | None | 328074 | 0 | 0 | 0 |
Page 28 of 47 |
Wednesday, July 02, 2014 |
Proxy Voting Record
ORMAT TECHNOLOGIES, INC.
| ||||||||
Security: | 686688102 | Meeting Type: | Annual | |||||
Ticker: | ORA | Meeting Date: | 08-May-2014 | |||||
ISIN | US6866881021 | Vote Deadline Date: | 07-May-2014 | |||||
Agenda | 933946658 | Management | Total Ballot Shares: | 125000 | ||||
Last Vote Date: | 06-May-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | ELECTION OF DIRECTOR: YORAM BRONICKI | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
2 | ELECTION OF DIRECTOR: DAVID GRANOT | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
3 | ELECTION OF DIRECTOR: ROBERT E. JOYAL | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
4 | TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS. | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
5 | TO APPROVE THE AMENDMENT TO THE COMPANY’S 2012 INCENTIVE COMPENSATION PLAN TO INCREASE THE TOTAL NUMBER OF SHARES UNDERLYING OPTIONS, SARS OR OTHER AWARDS THAT MAY BE GRANTED TO NEWLY-HIRED EXECUTIVE OFFICERS. | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
6 | TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT AUDITORS OF THE COMPANY FOR ITS FISCAL YEAR ENDING DECEMBER 31, 2014. | For | None | 125000 | 0 | 0 | 0 |
Page 29 of 47 |
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Proxy Voting Record
WATERFURNACE RENEWABLE ENERGY INC
| ||||||||
Security: | 9415EQ108 | Meeting Type: | MIX | |||||
Ticker: | Meeting Date: | 08-May-2014 | ||||||
ISIN | CA9415EQ1089 | Vote Deadline Date: | 02-May-2014 | |||||
Agenda | 705063838 | Management | Total Ballot Shares: | 80000 | ||||
Last Vote Date: | 27-Mar-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’ ONLY FOR RESOLUTIONS “3” AND ‘IN FAVOR’ OR ‘WITHHOLD’ ONLY FOR RESOLUTION NUMBERS “1.1 TO 1.5 AND 2”. THANK YOU. | None | None | Non Voting | ||||||||||||||||
2 | Election of Director: Thomas F. Huntington | For | None | 80000 | 0 | 0 | 0 | |||||||||||||
3 | Election of Director: Timothy E. Shields | For | None | 80000 | 0 | 0 | 0 | |||||||||||||
4 | Election of Director: Thomas C. Dawson | For | None | 80000 | 0 | 0 | 0 | |||||||||||||
5 | Election of Director: Charles R. Diltz | For | None | 80000 | 0 | 0 | 0 | |||||||||||||
6 | Election of Director: Jeffrey C. Lozon | For | None | 80000 | 0 | 0 | 0 | |||||||||||||
7 | Appointment of Grant Thornton, LLP, Chartered Accountants, as Auditors of the Corporation for the ensuing year and authorizing the Directors to fix their remuneration | For | None | 80000 | 0 | 0 | 0 | |||||||||||||
8 | Ordinary resolution granting authorization to the Board of Directors to fund obligations under the current deferred compensation plan by the issuance from treasury of up to 100,000 Common Shares of the Company, as more fully described in the accompanying management proxy circular | For | None | 80000 | 0 | 0 | 0 | |||||||||||||
9 | 27 MAR 2014: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN NUMBERING OF RESOLUTIONS. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS PROXY FORM UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | None | None | Non Voting |
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AMERICAN WATER WORKS COMPANY, INC.
| ||||||||
Security: | 030420103 | Meeting Type: | Annual | |||||
Ticker: | AWK | Meeting Date: | 09-May-2014 | |||||
ISIN | US0304201033 | Vote Deadline Date: | 08-May-2014 | |||||
Agenda | 933945909 | Management | Total Ballot Shares: | 195000 | ||||
Last Vote Date: | 26-Mar-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | ELECTION OF DIRECTOR: JULIE A. DOBSON | For | None | 195000 | 0 | 0 | 0 | |||||||||||||
2 | ELECTION OF DIRECTOR: PAUL J. EVANSON | For | None | 195000 | 0 | 0 | 0 | |||||||||||||
3 | ELECTION OF DIRECTOR: MARTHA CLARK GOSS | For | None | 195000 | 0 | 0 | 0 | |||||||||||||
4 | ELECTION OF DIRECTOR: RICHARD R. GRIGG | For | None | 195000 | 0 | 0 | 0 | |||||||||||||
5 | ELECTION OF DIRECTOR: JULIA L. JOHNSON | For | None | 195000 | 0 | 0 | 0 | |||||||||||||
6 | ELECTION OF DIRECTOR: GEORGE MACKENZIE | For | None | 195000 | 0 | 0 | 0 | |||||||||||||
7 | ELECTION OF DIRECTOR: WILLIAM J. MARRAZZO | For | None | 195000 | 0 | 0 | 0 | |||||||||||||
8 | ELECTION OF DIRECTOR: SUSAN N. STORY | For | None | 195000 | 0 | 0 | 0 | |||||||||||||
9 | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR ENDED DECEMBER 31, 2014. | For | None | 195000 | 0 | 0 | 0 | |||||||||||||
10 | AN ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | For | None | 195000 | 0 | 0 | 0 |
Page 31 of 47 |
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INNERGEX RENEWABLE ENERGY INC, LONGUEUIL QC
| ||||||||
Security: | 45790B104 | Meeting Type: | Annual General Meeting | |||||
Ticker: | Meeting Date: | 13-May-2014 | ||||||
ISIN | CA45790B1040 | Vote Deadline Date: | 07-May-2014 | |||||
Agenda | 705171584 | Management | Total Ballot Shares: | 400000 | ||||
Last Vote Date: | 21-Apr-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE IN FAVOR OR ABSTAIN ONLY FOR RESOLUTION NUMBERS “1.01 TO 1.07 AND 2”. THANK YOU. | None | None | Non Voting | ||||||||||||||||
2 | ELECTION OF DIRECTOR: WILLIAM A. LAMBERT | For | None | 400000 | 0 | 0 | 0 | |||||||||||||
3 | ELECTION OF DIRECTOR: JOHN A. HANNA | For | None | 400000 | 0 | 0 | 0 | |||||||||||||
4 | ELECTION OF DIRECTOR: JEAN LA COUTURE | For | None | 400000 | 0 | 0 | 0 | |||||||||||||
5 | ELECTION OF DIRECTOR: MICHEL LETELLIER | For | None | 400000 | 0 | 0 | 0 | |||||||||||||
6 | ELECTION OF DIRECTOR: DANIEL L. LAFRANCE | For | None | 400000 | 0 | 0 | 0 | |||||||||||||
7 | ELECTION OF DIRECTOR: LISE LACHAPELLE | For | None | 400000 | 0 | 0 | 0 | |||||||||||||
8 | ELECTION OF DIRECTOR: RICHARD LAFLAMME | For | None | 400000 | 0 | 0 | 0 | |||||||||||||
9 | THE APPOINTMENT OF DELOITTE LLP, AS AUDITOR OF THE CORPORATION AND AUTHORIZING THE DIRECTORS OF THE CORPORATION TO FIX ITS REMUNERATION | For | None | 400000 | 0 | 0 | 0 |
Page 32 of 47 |
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ELECNOR SA, MADRID
| ||||||||
Security: | E39152181 | Meeting Type: | Annual General Meeting | |||||
Ticker: | Meeting Date: | 20-May-2014 | ||||||
ISIN | ES0129743318 | Vote Deadline Date: | 15-May-2014 | |||||
Agenda | 705161785 | Management | Total Ballot Shares: | 125000 | ||||
Last Vote Date: | 16-Apr-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM, THERE WILL BE A SECOND CALL ON 21 MAY 2014. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU. | None | None | Non Voting | ||||||||||||||||
2 | APPROVAL OF INDIVIDUAL AND CONSOLIDATED ANNUAL ACCOUNTS AND MANAGEMENT REPORT | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
3 | ALLOCATION OF RESULTS | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
4 | APPROVAL OF MANAGEMENT OF THE BOARD OF DIRECTORS | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
5 | RATIFICATION OF APPOINTMENT OF Mr JUAN PRADO REY-BALTAR | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
6 | AUTHORIZATION TO THE BOARD OF DIRECTORS TO ISSUE FIXED INCOME DURING 2 YEARS | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
7 | CONSULTIVE VOTE REGARDING THE ANNUAL REMUNERATION REPORT | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
8 | DELEGATION OF AUTHORITY TO IMPLEMENT RESOLUTIONS ADOPTED BY THE SHAREHOLDERS AT THE GENERAL MEETING | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
9 | REQUESTS AND QUESTIONS | Abstain | None | 0 | 0 | 125000 | 0 | |||||||||||||
10 | APPROVAL OF THE MINUTES | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
11 | 22 APR 2014: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF COMMENT AND CHANGE IN RECORD DATE FROM 15 MAY 2014 TO 13 MAY 2014. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | None | None | Non Voting |
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Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||
12 | 22 APR 2014: SHAREHOLDERS HOLDING LESS THAN 10 SHARES (MINIMUM AMOUNT TO ATTEND THE MEETING) MAY GRANT A PROXY TO ANOTHER SHAREHOLDER ENTITLED TO LEGAL ASSISTANCE OR GROUP THEM TO REACH AT LEAST THAT NUMBER, GIVING REPRESENTATION TO A SHAREHOLDER OF THE GROUPED OR OTHER PERSONAL SHAREHOLDER ENTITLED TO ATTEND THE MEETING. | None | None | Non Voting |
Page 34 of 47 |
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HANNON ARMSTRONG SUSTAINABLE INFRA CAPTL
| ||||||||
Security: | 41068X100 | Meeting Type: | Annual | |||||
Ticker: | HASI | Meeting Date: | 20-May-2014 | |||||
ISIN | US41068X1000 | Vote Deadline Date: | 19-May-2014 | |||||
Agenda | 933992984 | Management | Total Ballot Shares: | 225000 | ||||
Last Vote Date: | 21-Apr-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | DIRECTOR | For | None | |||||||||||||||||
1 JEFFREY W. ECKEL | 225000 | 0 | 0 | 0 | ||||||||||||||||
2 MARK J. CIRILLI | 225000 | 0 | 0 | 0 | ||||||||||||||||
3 CHARLES M. O’NEIL | 225000 | 0 | 0 | 0 | ||||||||||||||||
4 RICHARD J. OSBORNE | 225000 | 0 | 0 | 0 | ||||||||||||||||
5 JACKALYNE PFANNENSTIEL | 225000 | 0 | 0 | 0 | ||||||||||||||||
2 | THE RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2014. | For | None | 225000 | 0 | 0 | 0 |
Page 35 of 47 |
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NORTHLAND POWER INC, TORONTO ON
| ||||||||
Security: | 666511100 | Meeting Type: | Annual General Meeting | |||||
Ticker: | Meeting Date: | 21-May-2014 | ||||||
ISIN | CA6665111002 | Vote Deadline Date: | 15-May-2014 | |||||
Agenda | 705220185 | Management | Total Ballot Shares: | 225000 | ||||
Last Vote Date: | 26-Apr-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘ABSTAIN’ ONLY FOR RESOLUTION NUMBERS “1 TO 8”. THANK YOU. | None | None | Non Voting | ||||||||||||||||
2 | ELECTING JAMES C. TEMERTY AS A DIRECTOR OF THE CORPORATION | For | None | 225000 | 0 | 0 | 0 | |||||||||||||
3 | ELECTING RT. HON. JOHN N. TURNER, Q.C. AS A DIRECTOR OF THE CORPORATION | For | None | 225000 | 0 | 0 | 0 | |||||||||||||
4 | ELECTING MARIE BOUNTROGIANNI AS A DIRECTOR OF THE CORPORATION | For | None | 225000 | 0 | 0 | 0 | |||||||||||||
5 | ELECTING V. PETER HARDER AS A DIRECTOR OF THE CORPORATION | For | None | 225000 | 0 | 0 | 0 | |||||||||||||
6 | ELECTING LINDA L. BERTOLDI AS A DIRECTOR OF THE CORPORATION | For | None | 225000 | 0 | 0 | 0 | |||||||||||||
7 | ELECTING BARRY GILMOUR AS A DIRECTOR OF THE CORPORATION | For | None | 225000 | 0 | 0 | 0 | |||||||||||||
8 | ELECTING RUSSELL GOODMAN AS A DIRECTOR OF THE CORPORATION | For | None | 225000 | 0 | 0 | 0 | |||||||||||||
9 | RE-APPOINTMENT OF ERNST & YOUNG LLP AS AUDITORS OF THE CORPORATION | For | None | 225000 | 0 | 0 | 0 |
Page 36 of 47 |
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GAMESA CORPORACION TECNOLOGICA SA, ZAMUDIO
| ||||||||
Security: | E54667113 | Meeting Type: | Ordinary General Meeting | |||||
Ticker: | Meeting Date: | 27-May-2014 | ||||||
ISIN | ES0143416115 | Vote Deadline Date: | 21-May-2014 | |||||
Agenda | 705225717 | Management | Total Ballot Shares: | 775000 | ||||
Last Vote Date: | 26-Apr-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | APPROVAL OF INDIVIDUAL AND CONSOLIDATED ANNUAL ACCOUNTS | For | None | 775000 | 0 | 0 | 0 | |||||||||||||
2 | APPROVAL OF INDIVIDUAL AND CONSOLIDATED MANAGEMENT REPORT | For | None | 775000 | 0 | 0 | 0 | |||||||||||||
3 | APPROVAL OF MANAGEMENT OF THE BOARD OF DIRECTORS | For | None | 775000 | 0 | 0 | 0 | |||||||||||||
4 | APPOINTMENT OF AUDITORS: ERNST YOUNG | For | None | 775000 | 0 | 0 | 0 | |||||||||||||
5 | ALLOCATION OF RESULTS | For | None | 775000 | 0 | 0 | 0 | |||||||||||||
6 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO IMPLEMENT AGREEMENTS ADOPTED BY SHAREHOLDERS AT THE GM | For | None | 775000 | 0 | 0 | 0 | |||||||||||||
7 | CONSULTIVE VOTE REGARDING ANNUAL REMUNERATION REPORT | For | None | 775000 | 0 | 0 | 0 | |||||||||||||
8 | PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM, THERE WILL BE A SECOND CALL ON 28 MAY 2014. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU. | None | None | Non Voting | ||||||||||||||||
9 | 23 MAY 2014: PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF NAME FOR RESOLUTION NO. 4. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | None | None | Non Voting |
Page 37 of 47 |
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PATTERN ENERGY GROUP INC.
| ||||||||
Security: | 70338P100 | Meeting Type: | Annual | |||||
Ticker: | PEGI | Meeting Date: | 05-Jun-2014 | |||||
ISIN | US70338P1003 | Vote Deadline Date: | 04-Jun-2014 | |||||
Agenda | 933992946 | Management | Total Ballot Shares: | 200000 | ||||
Last Vote Date: | 24-Apr-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | DIRECTOR | For | None | |||||||||||||||||
1 ALAN BATKIN | 200000 | 0 | 0 | 0 | ||||||||||||||||
2 PATRICIA BELLINGER | 200000 | 0 | 0 | 0 | ||||||||||||||||
3 LORD BROWNE MADINGLEY | 200000 | 0 | 0 | 0 | ||||||||||||||||
4 MICHAEL GARLAND | 200000 | 0 | 0 | 0 | ||||||||||||||||
5 DOUGLAS HALL | 200000 | 0 | 0 | 0 | ||||||||||||||||
6 MICHAEL HOFFMAN | 200000 | 0 | 0 | 0 | ||||||||||||||||
7 PATRICIA NEWSON | 200000 | 0 | 0 | 0 | ||||||||||||||||
2 | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED ACCOUNTING FIRM FOR FISCAL YEAR 2014. | For | None | 200000 | 0 | 0 | 0 |
Page 38 of 47 |
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ALGONQUIN POWER & UTILITIES CORP
| ||||||||
Security: | 015857105 | Meeting Type: | Annual General Meeting | |||||
Ticker: | Meeting Date: | 18-Jun-2014 | ||||||
ISIN | CA0158571053 | Vote Deadline Date: | 12-Jun-2014 | |||||
Agenda | 705324818 | Management | Total Ballot Shares: | 125000 | ||||
Last Vote Date: | 27-May-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’ ONLY FOR RESOLUTIONS “3 AND 4” AND ‘IN FAVOR’ OR ‘ABSTAIN’ ONLY FOR RESOLUTION NUMBERS “1 AND 2.1 TO 2.7”. THANK YOU. | None | None | Non Voting | ||||||||||||||||
2 | THE APPOINTMENT OF ERNST & YOUNG LLP, CHARTERED ACCOUNTANTS, AS AUDITORS OF THE CORPORATION AND AUTHORIZE THE DIRECTORS OF THE CORPORATION TO FIX THE REMUNERATION OF THE AUDITORS | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
3 | ELECTION OF THE DIRECTOR: CHRISTOPHER BALL | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
4 | ELECTION OF THE DIRECTOR: CHRISTOPHER HUSKILSON | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
5 | ELECTION OF THE DIRECTOR: CHRISTOPHER JARRATT | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
6 | ELECTION OF THE DIRECTOR: KENNETH MOORE | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
7 | ELECTION OF THE DIRECTOR: IAN ROBERTSON | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
8 | ELECTION OF THE DIRECTOR: MASHEED SAIDI | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
9 | ELECTION OF THE DIRECTOR: GEORGE STEEVES | For | None | 125000 | 0 | 0 | 0 | |||||||||||||
10 | THE ADVISORY RESOLUTION SET FORTH IN SCHEDULE “A” OF THE CIRCULAR TO ACCEPT THE APPROACH TO EXECUTIVE COMPENSATION AS DISCLOSED IN THE CIRCULAR | For | None | 125000 | 0 | 0 | 0 |
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Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
11 | THE RESOLUTION SET FORTH IN SCHEDULE “B” OF THE CIRCULAR TO APPROVE THE ADOPTION OF THE CORPORATION’S PERFORMANCE AND RESTRICTED SHARE UNIT PLAN, AS FURTHER DESCRIBED IN THE CIRCULAR | For | None | 0 | 125000 | 0 | 0 | |||||||||||||
12 | AMENDMENTS OR VARIATIONS TO THE MATTERS IDENTIFIED IN THE NOTICE OF MEETING AND SUCH OTHER BUSINESS AS MAY PROPERLY COME BEFORE THE MEETING OR ANY ADJOURNMENT THEREOF AT THE DISCRETION OF THE PROXYHOLDER | Abstain | None | 125000 | 0 | 0 | 0 |
Page 40 of 47 |
Wednesday, July 02, 2014 |
Proxy Voting Record
ALGONQUIN POWER & UTILITIES CORP.
| ||||||||
Security: | 015857105 | Meeting Type: | Annual | |||||
Ticker: | AQUNF | Meeting Date: | 18-Jun-2014 | |||||
ISIN | CA0158571053 | Vote Deadline Date: | 16-Jun-2014 | |||||
Agenda | 934030090 | Management | Total Ballot Shares: | 375000 | ||||
Last Vote Date: | 27-May-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | THE APPOINTMENT OF ERNST & YOUNG LLP, CHARTERED ACCOUNTANTS, AS AUDITORS OF THE CORPORATION AND AUTHORIZE THE DIRECTORS OF THE CORPORATION TO FIX THE REMUNERATION OF THE AUDITORS; | For | None | 375000 | 0 | 0 | 0 | |||||||||||||
2 | DIRECTOR | For | None | |||||||||||||||||
1 CHRISTOPHER BALL | 375000 | 0 | 0 | 0 | ||||||||||||||||
2 CHRISTOPHER HUSKILSON | 375000 | 0 | 0 | 0 | ||||||||||||||||
3 CHRISTOPHER JARRATT | 375000 | 0 | 0 | 0 | ||||||||||||||||
4 KENNETH MOORE | 375000 | 0 | 0 | 0 | ||||||||||||||||
5 IAN ROBERTSON | 375000 | 0 | 0 | 0 | ||||||||||||||||
6 MASHEED SAIDI | 375000 | 0 | 0 | 0 | ||||||||||||||||
7 GEORGE STEEVES | 375000 | 0 | 0 | 0 | ||||||||||||||||
3 | THE ADVISORY RESOLUTION SET FORTH IN SCHEDULE “A” OF THE CIRCULAR TO ACCEPT THE APPROACH TO EXECUTIVE COMPENSATION AS DISCLOSED IN THE CIRCULAR; | For | None | 375000 | 0 | 0 | 0 | |||||||||||||
4 | THE RESOLUTION SET FORTH IN SCHEDULE “B” OF THE CIRCULAR TO APPROVE THE ADOPTION OF THE CORPORATION’S PERFORMANCE AND RESTRICTED SHARE UNIT PLAN, AS FURTHER DESCRIBED IN THE CIRCULAR. | For | None | 0 | 375000 | 0 | 0 |
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ACCIONA SA, MADRID
| ||||||||
Security: | E0008Z109 | Meeting Type: | Annual General Meeting | |||||
Ticker: | Meeting Date: | 23-Jun-2014 | ||||||
ISIN | ES0125220311 | Vote Deadline Date: | 18-Jun-2014 | |||||
Agenda | 705305349 | Management | Total Ballot Shares: | 100000 | ||||
Last Vote Date: | 21-May-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM, THERE WILL BE A SECOND CALL ON 24 JUNE 2014. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU. | None | None | Non Voting | ||||||||||||||||
2 | ANNUAL ACCOUNTS APPROVAL | For | None | 100000 | 0 | 0 | 0 | |||||||||||||
3 | CONSOLIDATED ANNUAL ACCOUNTS APPROVAL | For | None | 100000 | 0 | 0 | 0 | |||||||||||||
4 | APPLICATION OF RESULTS 2013 | For | None | 100000 | 0 | 0 | 0 | |||||||||||||
5 | REELECTION OF AUDITORS | For | None | 100000 | 0 | 0 | 0 | |||||||||||||
6 | APPOINTMENT OF DIRECTOR: JERONIMO MARCOS GERARD RIVERO | For | None | 100000 | 0 | 0 | 0 | |||||||||||||
7 | APPOINTMENT OF DIRECTOR: CARMEN BECERRIL MARTINEZ | For | None | 100000 | 0 | 0 | 0 | |||||||||||||
8 | DELIVERY PLAN SHARES: PURCHASE OPTION FOR DIRECTORS | For | None | 0 | 0 | 100000 | 0 | |||||||||||||
9 | DELIVERY PLAN SHARES UNTIL 2020 | For | None | 0 | 0 | 100000 | 0 | |||||||||||||
10 | DELEGATION TO DIRECTORS TO INCREASE CAPITAL | For | None | 100000 | 0 | 0 | 0 | |||||||||||||
11 | DELEGATION TO DIRECTORS TO ISSUE FIXED RATE SECURITIES | For | None | 100000 | 0 | 0 | 0 | |||||||||||||
12 | SUSTAINABILITY REPORTS | For | None | 100000 | 0 | 0 | 0 | |||||||||||||
13 | CONSULTATIVE VOTE ON REMUNERATION FOR DIRECTORS | For | None | 100000 | 0 | 0 | 0 | |||||||||||||
14 | RELEASE CONCERNING CONVERTIBLE BONDS INTO SHARES | For | None | 0 | 0 | 100000 | 0 |
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Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
15 | DELEGATION OF FACULTIES TO EXECUTE ADOPTED AGREEMENTS | For | None | 100000 | 0 | 0 | 0 |
Page 43 of 47 |
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CANADIAN SOLAR INC.
| ||||||||
Security: | 136635109 | Meeting Type: | Annual | |||||
Ticker: | CSIQ | Meeting Date: | 23-Jun-2014 | |||||
ISIN | CA1366351098 | Vote Deadline Date: | 18-Jun-2014 | |||||
Agenda | 934042033 | Management | Total Ballot Shares: | 175000 | ||||
Last Vote Date: | 10-Jun-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | DIRECTOR | For | None | |||||||||||||||||
1 SHAWN (XIAOHUA) QU | 175000 | 0 | 0 | 0 | ||||||||||||||||
2 ROBERT MCDERMOTT | 175000 | 0 | 0 | 0 | ||||||||||||||||
3 LARS-ERIC JOHANSSON | 175000 | 0 | 0 | 0 | ||||||||||||||||
4 HARRY E. RUDA | 175000 | 0 | 0 | 0 | ||||||||||||||||
2 | TO REAPPOINT DELOITTE TOUCHE TOHMATSU CERTIFIED PUBLIC ACCOUNTANTS LLP AS AUDITORS OF THE CORPORATION AND TO AUTHORIZE THE DIRECTORS OF THE CORPORATION TO FIX THEIR REMUNERATION. | For | None | 175000 | 0 | 0 | 0 |
Page 44 of 47 |
Wednesday, July 02, 2014 |
Proxy Voting Record
KYOCERA CORPORATION
| ||||||||
Security: | 501556203 | Meeting Type: | Annual | |||||
Ticker: | KYO | Meeting Date: | 26-Jun-2014 | |||||
ISIN | US5015562037 | Vote Deadline Date: | 17-Jun-2014 | |||||
Agenda | 934042970 | Management | Total Ballot Shares: | 75000 | ||||
Last Vote Date: | 06-Jun-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | APPROPRIATION OF SURPLUS | None | For | 75000 | 0 | 0 | 0 |
Page 45 of 47 |
Wednesday, July 02, 2014 |
Proxy Voting Record
PANASONIC CORPORATION
| ||||||||
Security: | 69832A205 | Meeting Type: | Annual | |||||
Ticker: | PCRFY | Meeting Date: | 26-Jun-2014 | |||||
ISIN | US69832A2050 | Vote Deadline Date: | 19-Jun-2014 | |||||
Agenda | 934040471 | Management | Total Ballot Shares: | 275000 | ||||
Last Vote Date: | 04-Jun-2014 |
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
1 | DIRECTOR | For | For | |||||||||||||||||
1 SHUSAKU NAGAE | 275000 | 0 | 0 | 0 | ||||||||||||||||
2 MASAYUKI MATSUSHITA | 275000 | 0 | 0 | 0 | ||||||||||||||||
3 KAZUHIRO TSUGA | 275000 | 0 | 0 | 0 | ||||||||||||||||
4 YOSHIHIKO YAMADA | 275000 | 0 | 0 | 0 | ||||||||||||||||
5 KAZUNORI TAKAMI | 275000 | 0 | 0 | 0 | ||||||||||||||||
6 HIDEAKI KAWAI | 275000 | 0 | 0 | 0 | ||||||||||||||||
7 YOSHIYUKI MIYABE | 275000 | 0 | 0 | 0 | ||||||||||||||||
8 TAMIO YOSHIOKA | 275000 | 0 | 0 | 0 | ||||||||||||||||
9 TAKASHI TOYAMA | 275000 | 0 | 0 | 0 | ||||||||||||||||
10 MAMORU YOSHIDA | 275000 | 0 | 0 | 0 | ||||||||||||||||
11 TSUYOSHI NOMURA | 275000 | 0 | 0 | 0 | ||||||||||||||||
12 IKUO UNO | 275000 | 0 | 0 | 0 | ||||||||||||||||
13 MASAYUKI OKU | 275000 | 0 | 0 | 0 | ||||||||||||||||
14 HIROKO OTA | 275000 | 0 | 0 | 0 | ||||||||||||||||
15 YOSHIO ITO* | 275000 | 0 | 0 | 0 | ||||||||||||||||
16 JUN ISHII* | 275000 | 0 | 0 | 0 | ||||||||||||||||
17 MOTOTSUGU SATO* | 275000 | 0 | 0 | 0 | ||||||||||||||||
2 | TO ELECT AUDIT & SUPERVISORY BOARD MEMBER: YOSHIO SATO | For | Abstain | 275000 | 0 | 0 | 0 |
Page 46 of 47 |
Wednesday, July 02, 2014 |
Proxy Voting Record
Item
| Proposal
| Recommendation
| Default Vote
| For
| Against
| Abstain
| Take No Action
| |||||||||||||
3 | TO ELECT AUDIT & SUPERVISORY BOARD MEMBER: TOSHIO KINOSHITA | For | Abstain | 275000 | 0 | 0 | 0 | |||||||||||||
4 | TO APPROVE CHANGES TO REMUNERATION FOR DIRECTORS | For | Abstain | 275000 | 0 | 0 | 0 |
Page 47 of 47 |
Wednesday, July 02, 2014 |
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Registrant New Alternatives Fund, Inc.
By (Signature and Title)* /s/ David J. Schoenwald
David J. Schoenwald, President and Treasurer
(Principal Executive Officer and Principal Financial Officer)
Date August 20, 2014
*Print the name and title of each signing officer under his or her signature.