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
(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
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, 2015 – June 30, 2016
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, 2015 TO JUNE 30, 2016
Vote Summary
TRUSTPOWER LTD, TAURANGA
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Security | Q9239W105 | Meeting Type | Annual General Meeting | |||||
Ticker Symbol | Meeting Date | 24-Jul-2015 | ||||||
ISIN | NZTPWE0001S7 | Agenda | 706290866 - Management | |||||
Record Date | 22-Jul-2015 | Holding Recon Date | 22-Jul-2015 | |||||
City / Country | MOUNT / New | Vote Deadline Date | 17-Jul-2015 | |||||
MAUNGANUI Zealand | ||||||||
SEDOL(s) | 6906287 - B01VN91 - B3KMWN3 | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
1 | THAT THE DIRECTORS BE AUTHORISED TO FIX THE FEES AND EXPENSES OF PRICEWATERHOUSECOOPERS AS AUDITORS OF THE COMPANY FOR THE ENSUING YEAR | Management | For | For | ||||||
2 | THAT MR BJ HARKER BE RE-ELECTED AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||
3 | THAT MR IS KNOWLES BE RE-ELECTED AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||
4 | THAT MR RH AITKEN BE RE-ELECTED AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||
5 | THAT MR AN BICKERS BE RE-ELECTED AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||
CMMT | 30 JUNE 2015: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF DIRECTOR’S NAME IN RESOLUTION 4. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting |
TRANSALTA RENEWABLES INC, CALGARY, AB
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Security | 893463109 | Meeting Type | Special General Meeting | |||||
Ticker Symbol | Meeting Date | 06-Jan-2016 | ||||||
ISIN | CA8934631091 | Agenda | 706587461 - Management | |||||
Record Date | 07-Dec-2015 | Holding Recon Date | 07-Dec-2015 | |||||
City / Country | ALBERTA / Canada | Vote Deadline Date | 31-Dec-2015 | |||||
SEDOL(s) | BCZLSL8 - BCZS9P0 - BCZXZ79 | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
CMMT | 07 DEC 2015: PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’ FOR ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING. | Non-Voting | ||||||||
1 | AN ORDINARY RESOLUTION (EXCLUDING THOSE VOTES CAST BY PERSONS WHO ARE TO BE EXCLUDED PURSUANT TO MULTILATERAL INSTRUMENT 61-101 - PROTECTION OF MINORITY SECURITY HOLDERS IN SPECIAL TRANSACTIONS) FOR THE APPROVAL OF THE TRANSACTION (AS DEFINED IN THE MANAGEMENT PROXY CIRCULAR DATED DECEMBER 4, 2015 (THE “CIRCULAR”)), AS MORE PARTICULARLY DESCRIBED IN THE CIRCULAR. PLEASE SEE THE FULL TEXT OF THE RESOLUTION (THE “TRANSACTION RESOLUTION”) SET OUT IN APPENDIX “A” TO THE CIRCULAR | Management | For | For | ||||||
2 | AN ORDINARY RESOLUTION (EXCLUDING THE VOTES OF CERTAIN INTERESTED PARTIES) FOR THE APPROVAL OF THE TRANSACTION AND CERTAIN ASPECTS OF THE TRANSACTION AS REQUIRED BY THE TSX COMPANY MANUAL, AS MORE PARTICULARLY DESCRIBED IN THE CIRCULAR. PLEASE SEE THE FULL TEXT OF THE RESOLUTION (THE “TSX RESOLUTION”) SET OUT IN APPENDIX “A” TO THE CIRCULAR | Management | For | For | ||||||
CMMT | 15 DEC 2015: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE TEXT OF COMMENT AND ADDITION OF THE COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting | ||||||||
CMMT | 15 DEC 2015: PLEASE NOTE THAT RESOLUTIONS 1 AND 2 ARE TO BE APPROVED BY DISINTERESTED SHAREHOLDERS. THANK YOU. | Non-Voting |
ENEL GREEN POWER S.P.A., ROME
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Security | T3679C106 | Meeting Type | MIX | |||||
Ticker Symbol | Meeting Date | 11-Jan-2016 | ||||||
ISIN | IT0004618465 | Agenda | 706574161 - Management | |||||
Record Date | 29-Dec-2015 | Holding Recon Date | 29-Dec-2015 | |||||
City / Country | ROMA / Italy | Vote Deadline Date | 30-Dec-2015 | |||||
SEDOL(s) | B4R6J01 - B4TWTW9 - B5LGQ03 - B5LPMM4 - BD00FD8 | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
CMMT | 27 NOV 2015: PLEASE NOTE THAT THIS IS A REVISION DUE TO REMOVAL OF QUORUM COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting |
CMMT | PLEASE NOTE THAT THE ITEM 1 OF THE EXTRAORDINARY AGENDA, IF APPROVED, FORESEES THE WITHDRAWAL RIGHT AND THE RIGHT OF SELL FOR SHAREHOLDERS ABSENT, ABSTAINING OR VOTING AGAINST. | Non-Voting | ||||||||
O.1 | TO APPOINT ONE DIRECTOR AS PER ART. 2386 OF THE ITALIAN CIVIL CODE. RESOLUTIONS RELATED THERETO | Management | For | For | ||||||
E.1 | TO APPROVE THE NON-PROPORTIONAL PARTIAL SPIN OFF PLAN OF ENEL GREEN POWER SPA IN FAVOR OF ENEL SPA AS PER ART. 2506-BIS, CLAUSE 4, OF THE ITALIAN CIVIL CODE, RELATED AMENDMENTS TO THE BY-LAWS. RESOLUTIONS RELATED THERETO | Management | Against | Against |
JOHNSON CONTROLS, INC.
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Security | 478366107 | Meeting Type | Annual | |||||
Ticker Symbol | JCI | Meeting Date | 27-Jan-2016 | |||||
ISIN | US4783661071 | Agenda | 934310703 - Management | |||||
Record Date | 19-Nov-2015 | Holding Recon Date | 19-Nov-2015 | |||||
City / Country | / United | Vote Deadline Date | 26-Jan-2016 | |||||
States | ||||||||
SEDOL(s) | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
1. | DIRECTOR | Management | ||||||||
1 DAVID P. ABNEY | For | For | ||||||||
2 NATALIE A. BLACK | For | For | ||||||||
3 JULIE L. BUSHMAN | For | For | ||||||||
4 RAYMOND L. CONNER | For | For | ||||||||
5 RICHARD GOODMAN | For | For | ||||||||
6 JEFFREY A. JOERRES | For | For | ||||||||
7 WILLIAM H. LACY | For | For | ||||||||
8 ALEX A. MOLINAROLI | For | For | ||||||||
9 J.P.DEL VALLE PEROCHENA | For | For | ||||||||
10 MARK P. VERGNANO | For | For | ||||||||
2. | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2016. | Management | For | For | ||||||
3. | TO APPROVE ON AN ADVISORY BASIS OUR NAMED EXECUTIVE OFFICER COMPENSATION. | Management | Against | Against | ||||||
4. | CONSIDERATION OF A SHAREHOLDER PROPOSAL REGARDING PROXY ACCESS, IF PROPERLY PRESENTED. | Shareholder | For | Against |
VESTAS WIND SYSTEMS A/S, AARHUS
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Security | K9773J128 | Meeting Type | Annual General Meeting | |||||
Ticker Symbol | Meeting Date | 30-Mar-2016 | ||||||
ISIN | DK0010268606 | Agenda | 706709598 - Management | |||||
Record Date | 23-Mar-2016 | Holding Recon Date | 23-Mar-2016 | |||||
City / Country | AARHUS / Denmark | Vote Deadline Date | 22-Mar-2016 | |||||
SEDOL(s) | 2723770 - 5964651 - 5966419 - B0XZ2T4 - BJ056X2 | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
CMMT | 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 | Non-Voting | ||||||||
CMMT | 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. | Non-Voting | ||||||||
CMMT | 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 | Non-Voting | ||||||||
CMMT | 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 | Non-Voting | ||||||||
1 | THE BOARD OF DIRECTORS REPORT | Non-Voting |
2 | PRESENTATION AND ADOPTION OF THE ANNUAL REPORT | Management | For | For | ||||||
3 | RESOLUTION FOR THE ALLOCATION OF THE RESULT OF THE YEAR: DKK 6.82 PER SHARE | Management | For | For | ||||||
4.A | ELECTION TO THE BOARD OF DIRECTOR: RE-ELECTION OF BERT NORDBERG | Management | For | For | ||||||
4.B | ELECTION TO THE BOARD OF DIRECTOR: RE-ELECTION OF CARSTEN BJERG | Management | For | For | ||||||
4.C | ELECTION TO THE BOARD OF DIRECTOR: RE-ELECTION OF EIJA PITKANEN | Management | For | For | ||||||
4.D | ELECTION TO THE BOARD OF DIRECTOR: RE-ELECTION OF HENRIK ANDERSEN | Management | For | For | ||||||
4.E | ELECTION TO THE BOARD OF DIRECTOR: RE-ELECTION OF HENRY STENSON | Management | For | For | ||||||
4.F | ELECTION TO THE BOARD OF DIRECTOR: RE-ELECTION OF LARS JOSEFSSON | Management | For | For | ||||||
4.G | ELECTION TO THE BOARD OF DIRECTOR: RE-ELECTION OF LYKKE FRIIS | Management | For | For | ||||||
4.H | ELECTION TO THE BOARD OF DIRECTOR: RE-ELECTION OF TORBEN BALLEGAARD SORENSEN | Management | For | For | ||||||
5.1 | FINAL APPROVAL OF THE REMUNERATION OF THE BOARD OF DIRECTORS FOR 2015 | Management | For | For | ||||||
5.2 | APPROVAL OF THE LEVEL OF REMUNERATION OF THE BOARD OF DIRECTORS FOR 2016 | Management | For | For | ||||||
6 | RE-APPOINTMENT OF PRICEWATERHOUSECOOPERS STATSAUTORISERET REVISIONSPARTNERSELSKAB AS AUDITOR | Management | For | For | ||||||
7.1 | PROPOSALS FROM THE BOARD OF DIRECTORS: REDUCTION OF THE COMPANY’S SHARE CAPITAL AMENDMENT OF ARTICLE 2(1) OF THE ARTICLES OF ASSOCIATION | Management | For | For | ||||||
7.2 | PROPOSALS FROM THE BOARD OF DIRECTORS: AUTHORISATION TO ACQUIRE TREASURY SHARES ON AN ONGOING BASIS UNTIL 31 DECEMBER 2017 | Management | For | For | ||||||
7.3 | PROPOSALS FROM THE BOARD OF DIRECTORS: DISCLOSURE OF COMPANY ANNOUNCEMENTS IN ENGLISH NEW ARTICLE 5(5) TO THE ARTICLES OF ASSOCIATION | Management | For | For | ||||||
7.4 | PROPOSALS FROM THE BOARD OF DIRECTORS: AMENDMENT OF THE REMUNERATION POLICY FOR THE BOARD OF DIRECTORS AND THE EXECUTIVE MANAGEMENT | Management | For | For | ||||||
8 | AUTHORISATION OF THE CHAIRMAN OF THE GENERAL MEETING | Management | For | For | ||||||
CMMT | 29 FEB 2016: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE TEXT OF RESOLUTION 3. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting |
FUELCELL ENERGY, INC.
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Security | 35952H502 | Meeting Type | Annual | |||||
Ticker Symbol | FCEL | Meeting Date | 07-Apr-2016 | |||||
ISIN | US35952H5028 | Agenda | 934330767 - Management | |||||
Record Date | 12-Feb-2016 | Holding Recon Date | 12-Feb-2016 | |||||
City / Country | / United | Vote Deadline Date | 06-Apr-2016 | |||||
States | ||||||||
SEDOL(s) | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
1. | DIRECTOR | Management | ||||||||
1 ARTHUR A. BOTTONE | For | For | ||||||||
2 PAUL F. BROWNING | For | For | ||||||||
3 J.H. ENGLAND | For | For | ||||||||
4 MATTHEW F. HILZINGER | For | For | ||||||||
5 JOHN A. ROLLS | For | For | ||||||||
6 CHRISTOPHER S. SOTOS | For | For | ||||||||
7 NATICA VON ALTHANN | For | For | ||||||||
8 TOGO DENNIS WEST, JR. | For | For | ||||||||
2. | TO RATIFY THE SELECTION OF THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL 2016. | Management | For | For | ||||||
3. | TO AMEND THE FUELCELL ENERGY, INC. AMENDED AND RESTATED ARTICLES OF INCORPORATION INCREASING ITS AUTHORIZED COMMON STOCK FROM 39,583,333 SHARES TO 75,000,000 SHARES. | Management | For | For | ||||||
4. | TO AMEND THE FUELCELL ENERGY, INC. AMENDED AND RESTATED 2010 EQUITY INCENTIVE PLAN, INCREASING THE NUMBER OF SHARES RESERVED FOR ISSUANCE FROM 1,291,667 SHARES TO 2,500,000 SHARES. | Management | Against | Against |
EDP RENOVAVEIS, SA, OVIEDO
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Security | E3847K101 | Meeting Type | Ordinary General Meeting | |||||
Ticker Symbol | Meeting Date | 14-Apr-2016 | ||||||
ISIN | ES0127797019 | Agenda | 706762879 - Management | |||||
Record Date | 07-Apr-2016 | Holding Recon Date | 07-Apr-2016 | |||||
City / Country | MADRID / Spain | Vote Deadline Date | 04-Apr-2016 | |||||
SEDOL(s) | B39GNW2 - B39NJN6 - B3FGTH3 - B3L0CZ8 - BHZLF90 | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
1 | REVIEW AND APPROVAL, WHERE APPROPRIATE, OF THE INDIVIDUAL ANNUAL ACCOUNTS OF EDP RENOVAVEIS, S.A., AS WELL AS THOSE CONSOLIDATED WITH ITS SUBSIDIARIES, FOR THE FISCAL YEAR ENDED ON 31/DEC/2015, | Management | For | For | ||||||
2 | REVIEW AND APPROVAL, WHERE APPROPRIATE, OF THE PROPOSED APPLICATION OF RESULTS FOR THE FISCAL YEAR ENDED ON 31/DEC/2015, AS WELL AS THE DISTRIBUTION OF DIVIDENDS, | Management | For | For | ||||||
3 | REVIEW AND APPROVAL, WHERE APPROPRIATE, OF THE INDIVIDUAL MANAGEMENT REPORT OF EDP RENOVAVEIS S.A., THE CONSOLIDATED MANAGEMENT REPORT WITH ITS SUBSIDIARIES, AND ITS CORPORATE GOVERNANCE REPORT, FOR THE FISCAL YEAR ENDED 31/DEC/2015, | Management | For | For | ||||||
4 | REVIEW AND APPROVAL, WHERE APPROPRIATE, OF THE MANAGEMENT AND PERFORMANCE BY THE BOARD OF DIRECTORS AND ITS EXECUTIVE COMMITTEE DURING THE FISCAL YEAR ENDED 31/DEC/2015, | Management | For | For | ||||||
5 | BOARD OF DIRECTORS: RATIFICATION OF THE APPOINTMENT BY CO-OPTION OF MR. MIGUEL DIAS AMARO, | Management | For | For | ||||||
6 | BOARD OF DIRECTORS: NOMINATION OF MR. D. FRANCISCO SEIXAS DA COSTA AS DIRECTOR FOR A THREE-YEAR (3) TERM, AS SET IN THE ARTICLES OF ASSOCIATION, | Management | For | For | ||||||
7 | APPROVAL OF THE REMUNERATION POLICY OF THE MEMBERS OF THE BOARD OF DIRECTORS OF THE COMPANY, | Management | For | For | ||||||
8 | REELECTION, AS EXTERNAL AUDITOR OF EDP RENOVAVEIS S.A., OF KPMG AUDITORES, S.L. REGISTERED AT THE OFFICIAL REGISTER OF AUDITORS UNDER NUMBER S0702 AND WITH TAX IDENTIFICATION NUMBER B-78510153, FOR THE YEAR 2016, | Management | For | For | ||||||
9 | DELEGATION OF POWERS FOR THE FORMALIZATION AND IMPLEMENTATION OF ALL RESOLUTIONS ADOPTED AT THE GENERAL SHAREHOLDERS MEETING, FOR THE EXECUTION OF ANY RELEVANT PUBLIC DEED AND FOR ITS INTERPRETATION, CORRECTION, ADDITION OR DEVELOPMENT IN ORDER TO OBTAIN THE APPROPRIATE REGISTRATIONS | Management | For | For | ||||||
CMMT | 15 MAR 2016: PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM, THERE WILL BE A SECOND CALL ON 21 APR 2016. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU. | Non-Voting | ||||||||
CMMT | 16 MAR 2016: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF THE COMMENT AND CHANGE IN MEETING TYPE TO OGM. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting |
OWENS CORNING
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Security | 690742101 | Meeting Type | Annual | |||||
Ticker Symbol | OC | Meeting Date | 21-Apr-2016 | |||||
ISIN | US6907421019 | Agenda | 934345249 - Management | |||||
Record Date | 22-Feb-2016 | Holding Recon Date | 22-Feb-2016 | |||||
City / Country | / United | Vote Deadline Date | 20-Apr-2016 | |||||
States | ||||||||
SEDOL(s) | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
1. | DIRECTOR | Management | ||||||||
1 J. BRIAN FERGUSON | For | For | ||||||||
2 RALPH F. HAKE | For | For | ||||||||
3 F. PHILIP HANDY | For | For | ||||||||
4 JAMES J. MCMONAGLE | For | For | ||||||||
5 W. HOWARD MORRIS | For | For | ||||||||
6 SUZANNE P. NIMOCKS | For | For | ||||||||
7 MICHAEL H. THAMAN | For | For | ||||||||
2. | TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2016. | Management | For | For | ||||||
3. | TO APPROVE, ON AN ADVISORY BASIS, 2015 NAMED EXECUTIVE OFFICER COMPENSATION | Management | For | For | ||||||
4. | TO APPROVE THE OWENS CORNING 2016 STOCK PLAN. | Management | Abstain | Against | ||||||
5. | TO APPROVE THE OWENS CORNING CORPORATE INCENTIVE PLAN TERMS APPLICABLE TO CERTAIN EXECUTIVE OFFICERS (AS AMENDED AND RESTATED AS OF JANUARY 1, 2016) | Management | Against | Against | ||||||
6. | TO AMEND THE COMPANY’S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO ELIMINATE ASBESTOS PERSONAL INJURY TRUST AND BANKRUPTCY RELATED LANGUAGE. | Management | For | For | ||||||
7. | TO AMEND THE COMPANY’S AMENDED AND RESTATED BYLAWS PRINCIPALLY TO ELIMINATE ASBESTOS PERSONAL INJURY TRUST AND BANKRUPTCY RELATED LANGUAGE. | Management | For | For | ||||||
8. | TO AMEND THE COMPANY’S AMENDED AND RESTATED BYLAWS TO IMPLEMENT MAJORITY VOTING IN UNCONTESTED DIRECTOR ELECTIONS. | Management | For | For |
NRG YIELD, INC.
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Security | 62942X306 | Meeting Type | Annual | |||||
Ticker Symbol | NYLDA | Meeting Date | 26-Apr-2016 | |||||
ISIN | US62942X3061 | Agenda | 934339727 - Management | |||||
Record Date | 07-Mar-2016 | Holding Recon Date | 07-Mar-2016 | |||||
City / Country | / United | Vote Deadline Date | 25-Apr-2016 | |||||
States | ||||||||
SEDOL(s) | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
1. | DIRECTOR | Management | ||||||||
1 JOHN F. CHLEBOWSKI | For | For | ||||||||
2 MAURICIO GUTIERREZ | For | For | ||||||||
3 KIRKLAND B. ANDREWS | For | For | ||||||||
4 BRIAN R. FORD | For | For | ||||||||
5 FERRELL P. MCCLEAN | For | For | ||||||||
6 CHRISTOPHER S. SOTOS | For | For | ||||||||
2. | TO APPROVE AN AMENDMENT TO THE COMPANY’S SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION. | Management | For | For | ||||||
3. | TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE 2016 FISCAL YEAR. | Management | For | For |
NRG YIELD, INC.
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Security | 62942X405 | Meeting Type | Annual | |||||
Ticker Symbol | NYLD | Meeting Date | 26-Apr-2016 | |||||
ISIN | US62942X4051 | Agenda | 934339727 - Management | |||||
Record Date | 07-Mar-2016 | Holding Recon Date | 07-Mar-2016 | |||||
City / Country | / United | Vote Deadline Date | 25-Apr-2016 | |||||
States | ||||||||
SEDOL(s) | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
1. | DIRECTOR | Management | ||||||||
1 JOHN F. CHLEBOWSKI | For | For | ||||||||
2 MAURICIO GUTIERREZ | For | For | ||||||||
3 KIRKLAND B. ANDREWS | For | For | ||||||||
4 BRIAN R. FORD | For | For | ||||||||
5 FERRELL P. MCCLEAN | For | For | ||||||||
6 CHRISTOPHER S. SOTOS | For | For | ||||||||
2. | TO APPROVE AN AMENDMENT TO THE COMPANY’S SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION. | Management | For | For | ||||||
3. | TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE 2016 FISCAL YEAR. | Management | For | For |
TRANSALTA RENEWABLES INC, CALGARY, AB
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Security | 893463109 | Meeting Type | Annual General Meeting | |||||
Ticker Symbol | Meeting Date | 28-Apr-2016 | ||||||
ISIN | CA8934631091 | Agenda | 706671105 - Management | |||||
Record Date | 04-Mar-2016 | Holding Recon Date | 04-Mar-2016 | |||||
City / Country | CALGARY / Canada | Vote Deadline Date | 22-Apr-2016 | |||||
SEDOL(s) | BCZLSL8 - BCZS9P0 - BCZXZ79 | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
CMMT | 22 MAR 2016: PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘ABSTAIN’ FOR ALL RESOLUTIONS. | Non-Voting | ||||||||
1.1 | ELECTION OF DIRECTOR: DAVID W. DRINKWATER | Management | Against | Against | ||||||
1.2 | ELECTION OF DIRECTOR: BRETT M. GELLNER | Management | Abstain | Against | ||||||
1.3 | ELECTION OF DIRECTOR: ALLEN R. HAGERMAN | Management | Against | Against | ||||||
1.4 | ELECTION OF DIRECTOR: CYNTHIA JOHNSTON | Management | For | For | ||||||
1.5 | ELECTION OF DIRECTOR: KATHRYN B. MCQUADE | Management | For | For | ||||||
1.6 | ELECTION OF DIRECTOR: PAUL H.E. TAYLOR | Management | Against | Against | ||||||
2 | APPOINTMENT OF ERNST & YOUNG LLP AS AUDITORS AT A REMUNERATION TO BE FIXED BY THE BOARD OF DIRECTORS | Management | For | For | ||||||
CMMT | 22 MAR 2016: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF RESOLUTION 1.5 AND MODIFICATION COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting |
SUNPOWER CORPORATION
| ||||||||
Security | 867652406 | Meeting Type | Annual | |||||
Ticker Symbol | SPWR | Meeting Date | 28-Apr-2016 | |||||
ISIN | US8676524064 | Agenda | 934342596 - Management | |||||
Record Date | 29-Feb-2016 | Holding Recon Date | 29-Feb-2016 | |||||
City / Country | / United | Vote Deadline Date | 27-Apr-2016 | |||||
States | ||||||||
SEDOL(s) | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
1. | DIRECTOR | Management | ||||||||
1 BERNARD CLEMENT | For | For | ||||||||
2 DENIS GIORNO | For | For | ||||||||
3 CATHERINE LESJAK | For | For | ||||||||
2. | APPROVAL, BY AN ADVISORY VOTE, OF OUR NAMED EXECUTIVE OFFICER COMPENSATION | Management | For | For | ||||||
3. | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2016 | Management | For | For |
HAFSLUND ASA, OSLO
| ||||||||
Security | R28315126 | Meeting Type | Annual General Meeting | |||||
Ticker Symbol | Meeting Date | 03-May-2016 | ||||||
ISIN | NO0004306408 | Agenda | 706945310 - Management | |||||
Record Date | 02-May-2016 | Holding Recon Date | 02-May-2016 | |||||
City / Country | OSLO / Norway | Blocking | Vote Deadline Date | 25-Apr-2016 | ||||
SEDOL(s) | 0401692 - 0418614 - 4401751 - 4401773 - 4402011 - 5067550 - 5072480 - B11PYS6 - B1GXS61 - B8PNNR7 | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
CMMT | 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. | Non-Voting | ||||||||
CMMT | 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 | Non-Voting | ||||||||
CMMT | 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 | Non-Voting | ||||||||
3 | APPROVAL OF NOTICE OF MEETING AND AGENDA | Management | For | For | ||||||
5 | THE BOARD RECOMMENDS THAT THE PROPOSAL BE REJECTED | Management | Abstain | Against | ||||||
7 | RESOLUTION ON THE 2015 ANNUAL FINANCIAL STATEMENTS | Management | For | For | ||||||
8 | GRANT OF POWER OF ATTORNEY TO THE BOARD FOR THE ACQUISITION OF THE COMPANY’S OWN SHARES | Management | For | For | ||||||
9.A | THE BOARD’S STATEMENT ON THE ESTABLISHMENT OF SALARIES AND OTHER REMUNERATION FOR EXECUTIVE EMPLOYEES: SUGGESTED GUIDELINES (CONSULTATIVE VOTE) | Management | For | For | ||||||
9.B | THE BOARD’S STATEMENT ON THE ESTABLISHMENT OF SALARIES AND OTHER REMUNERATION FOR EXECUTIVE EMPLOYEES: BINDING GUIDELINES (PRESENTED FOR APPROVAL) | Management | Abstain | Against | ||||||
11.A | ELECTION OF BOARD MEMBERS: RE-ELECTION OF BIRGER MAGNUS | Management | For | For | ||||||
11.B | ELECTION OF BOARD MEMBERS: RE-ELECTION OF ELLEN C. CHRISTIANSEN | Management | For | For | ||||||
11.C | ELECTION OF BOARD MEMBERS: ELECTION OF KATRINE MOURUD KLAVENESS | Management | For | For | ||||||
12 | ESTABLISHMENT OF REMUNERATION OF THE BOARD MEMBERS AND DEPUTY MEMBERS | Management | For | For | ||||||
13.A | ELECTION OF MEMBERS TO THE NOMINATION COMMITTEE: RE-ELECTION OF KJELL STIG L. BECH | Management | For | For | ||||||
13.B | ELECTION OF MEMBERS TO THE NOMINATION COMMITTEE: RE-ELECTION OF TIMO KARTTINEN | Management | For | For | ||||||
13.C | ELECTION OF MEMBERS TO THE NOMINATION COMMITTEE: ELECTION OF ANDERS BERG | Management | For | For | ||||||
14 | ESTABLISHMENT OF REMUNERATION OF MEMBERS OF THE NOMINATION COMMITTEE | Management | For | For | ||||||
15 | APPROVAL OF AUDITOR’S REMUNERATION | Management | For | For | ||||||
CMMT | BLOCKING SHOULD ALWAYS BE APPLIED, RECORD DATE OR NOT | Non-Voting | ||||||||
CMMT | 19 APR 2016: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF NUMBERING OF RESOLUTION. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting |
ACCIONA SA, MADRID
| ||||||||
Security | E0008Z109 | Meeting Type | Annual General Meeting | |||||
Ticker Symbol | Meeting Date | 09-May-2016 | ||||||
ISIN | ES0125220311 | Agenda | 706911066 - Management | |||||
Record Date | 02-May-2016 | Holding Recon Date | 02-May-2016 | |||||
City / Country | MADRID / Spain | Vote Deadline Date | 04-May-2016 | |||||
SEDOL(s) | 5579107 - 5846436 - B02T9S5 - B0YBKT7 - BHZL8L3 | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
1 | APPROVE CONSOLIDATED AND STANDALONE FINANCIAL STATEMENTS | Management | For | For | ||||||
2 | APPROVE DISCHARGE OF BOARD | Management | Against | Against | ||||||
3 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS | Management | For | For | ||||||
4 | RENEW APPOINTMENT OF DELOITTE AS AUDITOR | Management | For | For | ||||||
5.1 | RE-ELECT JUAN CARLOS GARAY IBARGARAY AS DIRECTOR | Management | For | For | ||||||
5.2 | RE-ELECT BELN VILLALONGA MORENS AS DIRECTOR | Management | For | For | ||||||
6.1 | AMEND ARTICLE 5 RE: REGISTERED OFFICE AND BRANCHES | Management | Abstain | Against | ||||||
6.2 | AMEND ARTICLE 13 RE: POWER TO CALL GENERAL MEETINGS | Management | For | For | ||||||
6.3 | AMEND ARTICLE 40 RE: BOARD COMMITTEES | Management | For | For | ||||||
6.4 | AMEND ARTICLE 40 BIS RE: FUNCTIONS OF THE AUDIT COMMITTEE | Management | For | For | ||||||
6.5 | AMEND ARTICLE 7 OF GENERAL MEETING REGULATIONS RE: NOTICE OF MEETING | Management | For | For | ||||||
7 | AUTHORIZE INCREASE IN CAPITAL UP TO 50 PERCENT VIA ISSUANCE OF EQUITY OR EQUITY LINKED SECURITIES, EXCLUDING PREEMPTIVE RIGHTS OF UP TO 20 PERCENT | Management | For | For | ||||||
8 | AUTHORIZE ISSUANCE OF NON CONVERTIBLE AND/OR CONVERTIBLE BONDS, DEBENTURES, WARRANTS, AND OTHER DEBT SECURITIES UP TO EUR 3 BILLION WITH EXCLUSION OF PREEMPTIVE RIGHTS UP TO 20 PERCENT OF CAPITAL | Management | For | For | ||||||
9.1 | RECEIVE REPORT ON SHARE PLAN GRANT AND PERFORMANCE SHARES FOR 2014-2019 | Management | For | For | ||||||
9.2 | FIX NUMBER OF SHARES AVAILABLE FOR GRANTS | Management | For | For | ||||||
10 | RECEIVE AMENDMENTS TO BOARD OF DIRECTORS REGULATIONS | Management | For | For | ||||||
11 | ADVISORY VOTE ON REMUNERATION REPORT | Management | Abstain | Against | ||||||
12 | APPROVE CORPORATE SOCIAL RESPONSIBILITY REPORT | Management | For | For | ||||||
13 | AUTHORIZE COMPANY TO CALL EGM WITH 15 DAYS’ NOTICE | Management | For | For | ||||||
14 | AUTHORIZE BOARD TO RATIFY AND EXECUTE APPROVED RESOLUTIONS | Management | For | For | ||||||
CMMT | 11 APR 2016: PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM, THERE WILL BE A SECOND CALL ON 10 MAY 2016. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU. | Non-Voting | ||||||||
CMMT | 11 APR 2016: PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF QUORUM COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting |
INNERGEX RENEWABLE ENERGY INC, LONGUEUIL, QC
| ||||||||
Security | 45790B104 | Meeting Type | Annual General Meeting | |||||
Ticker Symbol | Meeting Date | 10-May-2016 | ||||||
ISIN | CA45790B1040 | Agenda | 706779381 - Management | |||||
Record Date | 05-Apr-2016 | Holding Recon Date | 05-Apr-2016 | |||||
City / Country | MONTREAL / Canada | Vote Deadline Date | 04-May-2016 | |||||
SEDOL(s) | B29TNV3 - B29V0Z2 - B3CMKB5 | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’ ONLY FOR RESOLUTION 3 AND ‘IN FAVOR’ OR ‘ABSTAIN’ ONLY FOR RESOLUTION NUMBERS 1.1 TO 1.7 AND 2. THANK YOU | Non-Voting | ||||||||
1.1 | ELECTION OF DIRECTOR: WILLIAM A. LAMBERT | Management | For | For | ||||||
1.2 | ELECTION OF DIRECTOR: JEAN LA COUTURE | Management | For | For | ||||||
1.3 | ELECTION OF DIRECTOR: MICHEL LETELLIER | Management | For | For | ||||||
1.4 | ELECTION OF DIRECTOR: DANIEL LAFRANCE | Management | For | For | ||||||
1.5 | ELECTION OF DIRECTOR: RICHARD LAFLAMME | Management | For | For | ||||||
1.6 | ELECTION OF DIRECTOR: DALTON MCGUINTY | Management | For | For |
1.7 | ELECTION OF DIRECTOR: MONIQUE MERCIER | Management | For | For | ||||||
2 | THE APPOINTMENT OF DELOITTE LLP, AS AUDITOR OF THE CORPORATION AND AUTHORIZING THE DIRECTORS OF THE CORPORATION TO FIX ITS REMUNERATION | Management | For | For | ||||||
3 | TO ADOPT AN ADVISORY RESOLUTION ON THE CORPORATION’S APPROACH TO EXECUTIVE COMPENSATION | Management | For | For |
XYLEM INC.
| ||||||||
Security | 98419M100 | Meeting Type | Annual | |||||
Ticker Symbol | XYL | Meeting Date | 11-May-2016 | |||||
ISIN | US98419M1009 | Agenda | 934358094 - Management | |||||
Record Date | 14-Mar-2016 | Holding Recon Date | 14-Mar-2016 | |||||
City / Country | / United | Vote Deadline Date | 10-May-2016 | |||||
States | ||||||||
SEDOL(s) | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
1A. | ELECTION OF DIRECTOR: CURTIS J. CRAWFORD, PH.D. | Management | For | For | ||||||
1B. | ELECTION OF DIRECTOR: ROBERT F. FRIEL | Management | For | For | ||||||
1C. | ELECTION OF DIRECTOR: SURYA N. MOHAPATRA, PH.D. | Management | For | For | ||||||
2. | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2016. | Management | For | For | ||||||
3. | ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For |
ABENGOA YIELD PLC
| ||||||||
Security | G00349103 | Meeting Type | Annual | |||||
Ticker Symbol | ABY | Meeting Date | 11-May-2016 | |||||
ISIN | GB00BLP5YB54 | Agenda | 934390472 - Management | |||||
Record Date | 28-Mar-2016 | Holding Recon Date | 28-Mar-2016 | |||||
City / Country | / United | Vote Deadline Date | 06-May-2016 | |||||
Kingdom | ||||||||
SEDOL(s) | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
1. | TO RECEIVE THE COMPANY’S ACCOUNTS AND THE REPORTS OF THE DIRECTORS AND AUDITORS FOR THE YEAR ENDED 31 DECEMBER 2015 | Management | For | For | ||||||
2. | TO APPROVE THE DIRECTORS’ REMUNERATION REPORT, OTHER THAN THE DIRECTORS’ REMUNERATION POLICY, FOR THE YEAR ENDED 31 DECEMBER 2015 | Management | For | For | ||||||
3. | TO APPROVE THE DIRECTORS’ REMUNERATION POLICY | Management | Abstain | Against | ||||||
4. | TO REAPPOINT DELOITTE LLP AND DELOITTE S.L. AS AUDITORS OF THE COMPANY | Management | For | For | ||||||
5. | TO AUTHORISE THE AUDIT COMMITTEE TO DETERMINE THE AUDITORS’ REMUNERATION | Management | For | For | ||||||
6. | TO APPROVE THE APPOINTMENT OF MR SANTIAGO SEAGE AS CHIEF EXECUTIVE OFFICER OF THE COMPANY | Management | Abstain | Against | ||||||
7. | TO APPROVE THE CHANGE OF THE COMPANY’S REGISTERED NAME FROM ABENGOA YIELD PLC TO ATLANTICA YIELD PLC | Management | For | For | ||||||
8. | TO ADOPT NEW ARTICLES OF ASSOCIATION | Management | For | For |
AMERICAN WATER WORKS COMPANY, INC.
| ||||||||
Security | 030420103 | Meeting Type | Annual | |||||
Ticker Symbol | AWK | Meeting Date | 13-May-2016 | |||||
ISIN | US0304201033 | Agenda | 934359375 - Management | |||||
Record Date | 21-Mar-2016 | Holding Recon Date | 21-Mar-2016 | |||||
City / Country | / United | Vote Deadline Date | 12-May-2016 | |||||
States | ||||||||
SEDOL(s) | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
1A. | ELECTION OF DIRECTOR: JULIE A. DOBSON | Management | For | For | ||||||
1B. | ELECTION OF DIRECTOR: PAUL J. EVANSON | Management | For | For | ||||||
1C. | ELECTION OF DIRECTOR: MARTHA CLARK GOSS | Management | For | For | ||||||
1D. | ELECTION OF DIRECTOR: RICHARD R. GRIGG | Management | For | For | ||||||
1E. | ELECTION OF DIRECTOR: VERONICA M. HAGEN | Management | Against | Against | ||||||
1F. | ELECTION OF DIRECTOR: JULIA L. JOHNSON | Management | For | For | ||||||
1G. | ELECTION OF DIRECTOR: KARL F. KURZ | Management | Against | Against | ||||||
1H. | ELECTION OF DIRECTOR: GEORGE MACKENZIE | Management | For | For | ||||||
1I. | ELECTION OF DIRECTOR: SUSAN N. STORY | Management | For | For | ||||||
2. | APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | Abstain | Against | ||||||
3. | RATIFICATION OF THE APPOINTMENT, BY THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS, OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2016. | Management | For | For |
ELECNOR SA, MADRID
| ||||||||
Security | E39152181 | Meeting Type | Ordinary General Meeting | |||||
Ticker Symbol | Meeting Date | 17-May-2016 | ||||||
ISIN | ES0129743318 | Agenda | 706926459 - Management | |||||
Record Date | 10-May-2016 | Holding Recon Date | 10-May-2016 | |||||
City / Country | MADRID / Spain | Vote Deadline Date | 12-May-2016 | |||||
SEDOL(s) | B3CTJS6 - B3D5MT5 - BH4DMZ2 | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
CMMT | PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM, THERE WILL BE A SECOND CALL ON 18 MAY 2016 AT. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU. | Non-Voting | ||||||||
1 | APPROVAL OF INDIVIDUAL AND CONSOLIDATED ANNUAL ACCOUNTS AND MANAGEMENT REPORTS | Management | For | For | ||||||
2 | ALLOCATION OF RESULTS | Management | For | For | ||||||
3 | APPROVAL OF THE MANAGEMENT OF THE BOARD OF DIRECTORS | Management | For | For | ||||||
4 | REELECTION TO MR JOAQUIN GOMEZ DE OLEA Y MENDARO AS DOMINICAL DIRECTOR | Management | For | For | ||||||
5 | AUTHORIZATION TO THE BOARD OF DIRECTORS TO ISSUE FIXED INCOME | Management | For | For | ||||||
6 | REELECTION OF AUDITORS FOR ONE YEAR | Management | For | For | ||||||
7 | CONSULTIVE VOTE REGARDING THE ANNUAL REMUNERATION REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||||||
8 | DELEGATION OF POWERS TO THE BOARD OF DIRECTORS TO IMPLEMENT AGREEMENTS ADOPTED BY SHAREHOLDERS AT THE GENERAL MEETING | Management | For | For | ||||||
9 | REQUESTS AND QUESTIONS | Management | For | Against | ||||||
10 | APPROVAL OF THE MINUTES | Management | For | For | ||||||
CMMT | 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 | Non-Voting | ||||||||
CMMT | 14 APR 2016: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN RECORD DATE. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting |
FIRST SOLAR, INC.
| ||||||||
Security | 336433107 | Meeting Type | Annual | |||||
Ticker Symbol | FSLR | Meeting Date | 18-May-2016 | |||||
ISIN | US3364331070 | Agenda | 934369441 - Management | |||||
Record Date | 29-Mar-2016 | Holding Recon Date | 29-Mar-2016 | |||||
City / Country | / United | Vote Deadline Date | 17-May-2016 | |||||
States | ||||||||
SEDOL(s) | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
1A. | ELECTION OF DIRECTOR: MICHAEL J. AHEARN | Management | For | For | ||||||
1B. | ELECTION OF DIRECTOR: SHARON L. ALLEN | Management | For | For | ||||||
1C. | ELECTION OF DIRECTOR: RICHARD D. CHAPMAN | Management | For | For | ||||||
1D. | ELECTION OF DIRECTOR: GEORGE A. HAMBRO | Management | For | For | ||||||
1E. | ELECTION OF DIRECTOR: JAMES A. HUGHES | Management | Against | Against | ||||||
1F. | ELECTION OF DIRECTOR: CRAIG KENNEDY | Management | For | For | ||||||
1G. | ELECTION OF DIRECTOR: JAMES F. NOLAN | Management | For | For | ||||||
1H. | ELECTION OF DIRECTOR: WILLIAM J. POST | Management | For | For | ||||||
1I. | ELECTION OF DIRECTOR: J. THOMAS PRESBY | Management | For | For | ||||||
1J. | ELECTION OF DIRECTOR: PAUL H. STEBBINS | Management | For | For | ||||||
1K. | ELECTION OF DIRECTOR: MICHAEL SWEENEY | Management | For | For | ||||||
2. | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2016. | Management | For | For |
NORTHLAND POWER INC, TORONTO ON
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Security | 666511100 | Meeting Type | Annual General Meeting | |||||
Ticker Symbol | Meeting Date | 25-May-2016 | ||||||
ISIN | CA6665111002 | Agenda | 706975642 - Management | |||||
Record Date | 18-Apr-2016 | Holding Recon Date | 18-Apr-2016 | |||||
City / Country | TORONTO / Canada | Vote Deadline Date | 19-May-2016 | |||||
SEDOL(s) | B66C799 - B66J109 - B68XHC3 | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
1 | ELECTING JAMES C. TEMERTY AS A DIRECTOR OF THE CORPORATION | Management | For | For | ||||||
2 | ELECTING RT. HON. JOHN N. TURNER, Q.C. AS A DIRECTOR OF THE CORPORATION | Management | For | For | ||||||
3 | ELECTING MARIE BOUNTROGIANNI AS A DIRECTOR OF THE CORPORATION | Management | For | For | ||||||
4 | ELECTING LINDA L. BERTOLDI AS A DIRECTOR OF THE CORPORATION | Management | For | For | ||||||
5 | ELECTING BARRY GILMOUR AS A DIRECTOR OF THE CORPORATION | Management | For | For | ||||||
6 | ELECTING RUSSELL GOODMAN AS A DIRECTOR OF THE CORPORATION | Management | For | For | ||||||
7 | REAPPOINTMENT OF ERNST & YOUNG LLP AS AUDITORS OF THE CORPORATION | Management | For | For | ||||||
CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘ABSTAIN’ FOR ALL RESOLUTIONS. THANK YOU | Non-Voting |
HANNON ARMSTRONG SUSTAINABLE INFRA CAPTL
| ||||||||
Security | 41068X100 | Meeting Type | Annual | |||||
Ticker Symbol | HASI | Meeting Date | 07-Jun-2016 | |||||
ISIN | US41068X1000 | Agenda | 934404334 - Management | |||||
Record Date | 13-Apr-2016 | Holding Recon Date | 13-Apr-2016 | |||||
City / Country | / United | Vote Deadline Date | 06-Jun-2016 | |||||
States | ||||||||
SEDOL(s) | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
1. | DIRECTOR | Management | ||||||||
1 JEFFREY W. ECKEL | For | For | ||||||||
2 TERESA M. BRENNER | For | For | ||||||||
3 MARK J. CIRILLI | For | For | ||||||||
4 CHARLES M. O’NEIL | For | For | ||||||||
5 RICHARD J. OSBORNE | For | For | ||||||||
6 STEVEN G. OSGOOD | For | For | ||||||||
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, 2016 | Management | For | For |
PATTERN ENERGY GROUP INC.
| ||||||||
Security | 70338P100 | Meeting Type | Annual | |||||
Ticker Symbol | PEGI | Meeting Date | 15-Jun-2016 | |||||
ISIN | US70338P1003 | Agenda | 934412153 - Management | |||||
Record Date | 21-Apr-2016 | Holding Recon Date | 21-Apr-2016 | |||||
City / Country | / United | Vote Deadline Date | 14-Jun-2016 | |||||
States | ||||||||
SEDOL(s) | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
1.1 | ELECTION OF DIRECTOR: ALAN BATKIN | Management | For | For | ||||||
1.2 | ELECTION OF DIRECTOR: PATRICIA BELLINGER | Management | For | For | ||||||
1.3 | ELECTION OF DIRECTOR: THE LORD BROWNE OF MADINGLEY | Management | For | For | ||||||
1.4 | ELECTION OF DIRECTOR: MICHAEL GARLAND | Management | For | For | ||||||
1.5 | ELECTION OF DIRECTOR: DOUGLAS HALL | Management | For | For | ||||||
1.6 | ELECTION OF DIRECTOR: MICHAEL HOFFMAN | Management | For | For | ||||||
1.7 | ELECTION OF DIRECTOR: PATRICIA NEWSON | Management | For | For | ||||||
2. | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2016. | Management | For | For | ||||||
3. | AN ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Management | For | For | ||||||
4. | AN ADVISORY VOTE ON THE FREQUENCY OF HOLDING FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION. | Management | 1 Year | For |
AVANGRID, INC.
| ||||||||
Security | 05351W103 | Meeting Type | Annual | |||||
Ticker Symbol | AGR | Meeting Date | 16-Jun-2016 | |||||
ISIN | US05351W1036 | Agenda | 934412266 - Management | |||||
Record Date | 21-Apr-2016 | Holding Recon Date | 21-Apr-2016 | |||||
City / Country | / United | Vote Deadline Date | 15-Jun-2016 | |||||
States | ||||||||
SEDOL(s) | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
1. | DIRECTOR | Management | ||||||||
1 IGNACIO SANCHEZ GALAN | For | For | ||||||||
2 JOHN E. BALDACCI | For | For | ||||||||
3 PEDRO AZAGRA BLAZQUEZ | For | For | ||||||||
4 ARNOLD L. CHASE | For | For | ||||||||
5 ALFREDO ELIAS AYUB | For | For | ||||||||
6 CAROL L. FOLT | For | For |
7 JOHN L. LAHEY | For | For | ||||||||
8 SANTIAGO M. GARRIDO | For | For | ||||||||
9 JUAN CARLOS R. LICEAGA | For | For | ||||||||
10 JOSE SAINZ ARMADA | For | For | ||||||||
11 ALAN D. SOLOMONT | For | For | ||||||||
12 JAMES P. TORGERSON | For | For | ||||||||
2. | RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS AVANGRID, INC.’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2016. | Management | For | For | ||||||
3. | NON-BINDING ADVISORY VOTE TO APPROVE THE COMPENSATION OF THE NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||
4. | ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON NAMED EXECUTIVE OFFICER COMPENSATION. | Management | 1 Year | For | ||||||
5. | APPROVAL OF THE AVANGRID, INC. OMNIBUS INCENTIVE PLAN. | Management | Abstain | Against |
GAMESA CORPORACION TECNOLOGICA SA, ZAMUDIO
| ||||||||
Security | E54667113 | Meeting Type | Ordinary General Meeting | |||||
Ticker Symbol | Meeting Date | 21-Jun-2016 | ||||||
ISIN | ES0143416115 | Agenda | 707071849 - Management | |||||
Record Date | 14-Jun-2016 | Holding Recon Date | 14-Jun-2016 | |||||
City / Country | ZAMUDIO / Spain | Vote Deadline Date | 15-Jun-2016 | |||||
SEDOL(s) | B01CP21 - B01D7H3 - B01QLN6 - B0ZYQK8 - BQSVKV7 | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
CMMT | PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM, THERE WILL BE A SECOND CALL ON 22 JUN 2016 AT 12:00. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU | Non-Voting | ||||||||
1 | APPROVAL OF INDIVIDUAL AND CONSOLIDATED ANNUAL ACCOUNTS | Management | For | For | ||||||
2 | APPROVAL OF INDIVIDUAL AND CONSOLIDATED MANAGEMENT REPORTS | Management | For | For | ||||||
3 | APPROVAL OF THE MANAGEMENT OF THE BOARD OF DIRECTORS | Management | For | For | ||||||
4 | ALLOCATION OF RESULTS | Management | For | For | ||||||
5 | RE-ELECTION OF MS GEMA GONGORA BACHILLER AS DIRECTOR | Management | For | For | ||||||
6 | RE-ELECTION OF MR. IGNACIO MARTIN SAN VICENTE AS EXECUTIVE DIRECTOR | Management | For | For | ||||||
7 | RE-ELECTION OF MS SONSOLES RUBIO REINOSO AS DOMINICAL DIRECTOR | Management | For | For | ||||||
8 | DELEGATION OF POWERS TO IMPLEMENT AGREEMENTS ADOPTED BY SHAREHOLDERS AT THE GENERAL MEETING | Management | For | For | ||||||
9 | CONSULTIVE VOTE REGARDING THE ANNUAL REMUNERATION REPORT OF THE BOARD OF DIRECTORS | Management | For | For |
PANASONIC CORPORATION
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Security | 69832A205 | Meeting Type | Annual | |||||
Ticker Symbol | PCRFY | Meeting Date | 24-Jun-2016 | |||||
ISIN | US69832A2050 | Agenda | 934443362 - Management | |||||
Record Date | 30-Mar-2016 | Holding Recon Date | 30-Mar-2016 | |||||
City / Country | / United | Vote Deadline Date | 17-Jun-2016 | |||||
States | ||||||||
SEDOL(s) | Quick Code |
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||
1 | DIRECTOR | Management | ||||||||
1 SHUSAKU NAGAE | For | For | ||||||||
2 MASAYUKI MATSUSHITA | For | For | ||||||||
3 KAZUHIRO TSUGA | For | For | ||||||||
4 KAZUNORI TAKAMI | For | For | ||||||||
5 HIDEAKI KAWAI* | For | For | ||||||||
6 YOSHIYUKI MIYABE* | For | For | ||||||||
7 YOSHIO ITO* | For | For | ||||||||
8 TAMIO YOSHIOKA* | For | For | ||||||||
9 YASUJI ENOKIDO* | For | For | ||||||||
10 MOTOTSUGU SATO* | For | For | ||||||||
11 TETSURO HOMMA* | For | For | ||||||||
12 TAKASHI TOYAMA* | For | For | ||||||||
13 JUN ISHII* | For | For | ||||||||
14 MASAYUKI OKU | For | For | ||||||||
15 YOSHINOBU TSUTSUI | For | For | ||||||||
16 HIROKO OTA | For | For | ||||||||
17 KAZUHIKO TOYAMA# | For | For | ||||||||
2.1 | TO ELECT AUDIT & SUPERVISORY BOARD MEMBER: MAMORU YOSHIDA (NEW CANDIDATE) | Management | For | For | ||||||
2.2 | TO ELECT AUDIT & SUPERVISORY BOARD MEMBER: MITSUKO MIYAGAWA (NEW CANDIDATE) | Management | For | For | ||||||
3 | TO APPROVE CHANGES TO REMUNERATION FOR DIRECTORS | Management | For | For |
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 |
By (Signature and Title)* | /s/ David J. Schoenwald | |
David J. Schoenwald, President and Treasurer | ||
(Principal Executive Officer and Principal Financial Officer) |
Date | August 22, 2016 |
*Print the name and title of each signing officer under his or her signature.