| | |
| OMB APPROVAL |
| OMB Number: | 3235-0582 |
| Expires: | March 31, 2012 |
| Estimated average burden | |
| hours per response | 9.6 |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
| |
Investment Company Act file number | 811-00082 |
| |
| | | |
CGM TRUST |
(Exact name of registrant as specified in charter) |
|
One International Place, Boston, MA | 02110 |
(Address of principal executive offices) | (Zip code) |
|
Barry N. Hurwitz, Esq.
Bingham McCutchen LLP, One Federal St., Boston, MA 02110 |
(Name and address of agent for service) |
|
Registrant's telephone number, including area code: | 617-737-3225 |
|
Date of fiscal year end: | 12/31 |
|
Date of reporting period: | 7/1/08 -- 6/30/09 |
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 (Sections 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. Section 3507.
| |
SEC 2451 (4-03) | PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. |
CGM Trust - File No. 811-82
CGM Mutual Fund
| | | | | | | | | |
Issuer | Ticker | CUSIP | Meeting
Date | Matter
Voted On | Proposed
By Issuer or
Security Holder | Was
Vote
Cast | Actual
Vote | For or
Against
Mgt. |
| | | | | | | | |
Abbott Laboratories | ABT | 002824100 | 4/24/09 | 1. Elect 13 directors: 1. R.J. Alpern, 2. R.S. Austin, 3. W.M. Daley, 4. W.J. Farrell, 5. H.L. Fuller, 6. W.A. Osborn, 7. D.A.L. Owen, 8. W.A. Reynolds, 9. R.S. Roberts. 10. S.C. Scott III, 11. W.D. Smithburg, 12. G.F. Tilton and 13. M.D. White | Issuer | Yes | For | For |
| | | | 2. Approve the Abbott Laboratories 2009 Incentive Stock Program | Issuer | Yes | Against | Against |
| | | | 3. Approve the Abbott Laboratories 2009 Employee Stock Purchase Plan for non-U.S. Employees | Issuer | Yes | Against | Against |
| | | | 4. Ratify Deloitte & Touche LLP as auditors | Issuer | Yes | For | For |
| | | | 5. Approve shareholder proposal regarding animal testing | Security Holder | Yes | Against | For |
| | | | 6. Approve shareholder proposal regarding health care principles | Security Holder | Yes | Against | For |
| | | | 7. Approve shareholder proposal regarding advisory vote | Security Holder | Yes | Against | For |
| | | | | | | | |
Bank of America Corporation | BAC | 060505104 | 12/5/08 | 1. Approve the issuance of shares of Bank of America common stock as contemplated by the agreement and plan of merger, dated as of September 15, 2008, by and between Merrill Lynch & Co., Inc. and Bank of America Corporation, as such agreement may be amended from time to time | Issuer | Yes | For | For |
| | | | 2. Approve an amendment to the 2003 Key Associate Stock Plan, as amended and restated | Issuer | Yes | For | For |
| | | | 3. Adopt an amendment to the Bank of America amended and restated Certificate of Incorporation to increase the number of authorized shares of Bank of America common stock from 7.5 billion to 10 billion | Issuer | Yes | For | For |
| | | | 4. Approve the adjournment of the special meeting, if necessary or appropriate, to solicit additional proxies, in the event that there are not sufficient votes at the time of the special meeting to approve the foregoing proposals | Issuer | Yes | For | For |
| | | | | | | | |
C. R. Bard, Inc. | BCR | 067383109 | 4/15/09 | 1. Elect four directors: 1. Marc C. Breslawsky, 2. Herbert L. Henkel, 3. Tommy G. Thompson and 4. Timothy M. Ring | Issuer | Yes | For | For |
| | | | 2. Approve certain provisions of the Executive Bonus Plan of C. R. Bard, Inc., as amended and restated | Issuer | Yes | For | For |
| | | | 3. Approve the 2003 Long Term Incentive Plan of C. R. Bard, Inc. as amended and restated | Issuer | Yes | Against | Against |
| | | | 4. Ratify the appointment of KPMG LLP as independent registered public accounting firm for the year 2009 | Issuer | Yes | For | For |
| | | | | | | | |
Baxter International, Inc. | BAX | 071813109 | 5/5/09 | 1. Elect four directors: A. Walter E. Boomer, B. James R. Gavin III, M.D., PH.D., C. Peter S. Hellman and D. K.J. Storm | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for Baxter in 2009 | Issuer | Yes | For | For |
| | | | 3. Shareholder proposal relating to animal testing | Security Holder | Yes | Against | For |
| | | | | | | | |
Becton, Dickinson and Company | BDX | 075887109 | 2/3/09 | 1. Elect four directors: 1. C.M. Fraser-Liggett, 2. E.J. Ludwig, 3. W.J. Overlock, Jr., and 4. B.L. Scott | Issuer | Yes | For | For |
| | | | 2. Ratify the selection of the independent registered public accounting firm | Issuer | Yes | For | For |
| | | | 3. Approve amendment to BD's Restated Certificate of Incorporation | Issuer | Yes | For | For |
| | | | 4. Approve amendment to the 2004 Employee and Director Equity-based Compensation Plan | Issuer | Yes | For | For |
| | | | 5. Approve material terms of performance goals | Issuer | Yes | For | For |
| | | | 6. Approve shareholder proposal relating to special shareholder meetings | Security Holder | Yes | Against | For |
| | | | 7. Approve shareholder proposal relating to cumulative voting | Security Holder | Yes | Against | For |
| | | | | | | | |
Best Buy Co., Inc. | BBY | 086516101 | 6/24/09 | 1. Elect eight directors: 1. Ronald James, 2. Elliot S. Kaplan, 3. Sanjay Khosla, 4. George L. Mikan III, 5. Matthew H. Paull, 6. Richard M. Schulze, 7. Hatim A. Tyabji and 8. Gerard R. Vittecoq | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of Deloitte & Touche LLP as independent registered public accounting firm for the fiscal year that began on March 1, 2009 | Issuer | Yes | For | For |
| | | | 3. Approve an amendments to the 2004 Omnibus Stock and Incentive Plan | Issuer | Yes | Against | Against |
| | | | 4. Approve amendment to Article IX of Amended and Restated Articles of Incorporation to change approval required | Issuer | Yes | For | For |
| | | | 5. Approve amendment to Article IX of Articles to decrease the shareholder approval required to amend Article IX | Issuer | Yes | For | For |
| | | | 6. Approve amendment to Article IX of Articles to decrease shareholder approval required to remove directors without cause | Issuer | Yes | For | For |
| | | | 7. Approve amendment to Article IX to decrease shareholder approval required to amend classified board provisions | Issuer | Yes | For | For |
| | | | 8. Approve amendment to Article X to decrease shareholder approval required for certain repurchases of stock | Issuer | Yes | For | For |
| | | | 9. Approve amendment to Article X of Articles to decrease the shareholder approval required to amend Article X | Issuer | Yes | For | For |
| | | | | | | | |
Cephalon, Inc. | CEPH | 156708109 | 5/12/09 | 1. Elect eight directors; 1. F. Baldino, Jr., PH.D., William P. Egan, 3. Martyn D. Greenacre, 4. Vaughn M. Kailian, 5. Kevin E. Moley, 6. C. A. Sanders, M.D., 7. Gail R. Wilensky, PH.D. and 8. Dennis L. Winger | Issuer | Yes | For | For |
| | | | 2. Approve Amendment to the 2004 Equity Compensation Plan increasing the number of shares authorized for issuance | Issuer | Yes | Against | Against |
| | | | 3. Ratify the appointment of PricewaterhouseCoopers LLP as independent registered public accountants for the year ending December 31, 2009 | Issuer | Yes | For | For |
| | | | | | | | |
Colgate-Palmolive Company | CL | 194162103 | 5/8/09 | 1. Elect nine directors: 1A. John T. Cahill, 1B. Jill K Conway, 1C. Ian Cook, 1D. Ellen M. Hancock, 1E. David W. Johnson, 1F. Richard J. Kogan, 1G. Delano E. Lewis, 1H. J. Pedro Reinhard and 1I. Stephen I. Sadove | Issuer | Yes | For | For |
| | | | 2. Ratify the selection of PricewaterhouseCoopers LLP as Colgates' independent registered public accounting firm | Issuer | Yes | For | For |
| | | | 3. Approve the Colgate-Palmolive Company 2009 Executive Incentive Compensation Plan | Issuer | Yes | For | For |
| | | | 4. Approve stockholder proposal on Executive compensation advisory vote | Security Holder | Yes | Against | For |
| | | | | | | | |
CVS Caremark Corporation | CVS | 126650100 | 5/6/09 | 1. Elect 12 directors: a. Edwin M. Banks, b. C. David Brown II, c. David W. Dorman, d. Kristen Gibney Williams, e. Marian L. Heard, f. William H. Joyce, g. Jean-Pierre Millon, h. Terrency Murray, i. C.A. Lance Piccolo, j. Sheli Z. Rosenberg, k. Thomas M. Ryan and l. Richard J. Swift | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the 2009 fiscal year | Issuer | Yes | For | For |
| | | | 3. Approve stockholder proposal regarding special stockholder meetings | Security Holder | Yes | Against | For |
| | | | 4. Approve stockholder proposal regarding independent chairman of the board | Security Holder | Yes | Against | For |
| | | | 5. Approve stockholder proposal regarding political contributions and expenditures | Security Holder | Yes | Against | For |
| | | | 6. Approve stockholder proposal regarding advisory stockholder vote on executive compensation | Security Holder | Yes | Against | For |
| | | | 7. Other matters. In their discretion, Mr. Ryan and Ms. Rosenbergy, as proxies, are authorized to vote in accordance with their judgment upon such other business as may properly come before the Meeting | Issuer | Yes | For | For |
| | | | | | | | |
Hess Corporation | HES | 42809H107 | 5/6/09 | 1. Elect five directors: 1. J.P. Hess, 2. S.W. Bodman, 3. R. Lavizzo-Mourey, 4. C.G. Matthews and 5. E.H. Von Metzsch | Issuer | Yes | For | For |
| | | | 2. Ratify the selection of Ernst & Young LLP as independent auditors for fiscal year ending December 31, 2009 | Issuer | Yes | For | For |
| | | | | | | | |
Hewlett-Packard Company | HPQ | 428236103 | 3/18/09 | 1. Elect ten directors: 1A. L.T. Babbio, Jr., 1B. S.M. Baldauf, 1C. R.L. Gupta, 1D. J.H. Hammergren, 1E. M.V. Hurd, 1F. J.Z.Hyatt, 1G. J.R. Joyce, 1H. R.L. Ryan, 1I. L.S. Salhany and 1J. G.K. Thompson | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of the independent registered public accounting firm for the fiscal year ending October 31, 2009 | Issuer | Yes | For | For |
| | | | | | | | |
Humana Inc. | HUM | 444859102 | 4/23/09 | 1. Elect 10 directors: 1A. David A. Jones, Jr., 1B. Frank A. D'Amelio, 1C. W. Roy Dunbar, 1D. Kurt J. Hilzinger, 1E. Michael B. McCallister, 1F. William J. McDonald, 1G. William E. Mitchell, 1H. James J. O'Brien, 1I. Marissa T. Peterson and 1J. W. Ann Reynolds, PH.D. | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of PricewaterhouseCoopers LLP as Humana's independent registered public accounting firm | Issuer | Yes | For | For |
| | | | | | | | |
Morgan Stanley | MS | 617446448 | 2/9/09 | 1. Approve the conversion terms of Morgan Stanley's Series B non-cumulative non-voting perpetual convertible preferred stock, the issuance of Morgan Stanley's Common Stock pursuant to such terms and potential equity issuance contemplated by investor agreement, dated as of October 13, 2008, as amended, by and between Morgan Stanley and Mitsubishi UFJ Financial Group, Inc. | Issuer | Yes | For | For |
| | | | 2. Approve the adjournment of the special meeting, if necessary or appropriate, to solicit additional proxies if (A) there are insufficient votes at the time of the special meeting to approve proposal 1 or (B) a quorum is not present at the time of the special meeting | Issuer | Yes | For | For |
| | | | | | | | |
Philip Morris International Inc. | PM | 718172109 | 5/5/09 | 1. Elect nine directors: 1A. Harold Brown, 1B. Mathis Cabiallevetta, 1C. Louis C. Camilleri, 1D. J. Dudley Fishburn, 1E. Graham Mackay, 1F. Sergio Marchionne, 1G. Lucio A. Noto, 1H. Carlos Slim Helu and 1I. Stephen M. Wolf | Issuer | Yes | For | For |
| | | | 2. Ratify the selection of PricewaterhouseCoopers SA as independent auditors for the Company for the fiscal year ending December 31, 2009 | Issuer | Yes | For | For |
| | | | 3. Approve eligibility, business criteria for awards and award limits under the Philip Morris International Inc. 2008 Performance Incentive Plan | Issuer | Yes | For | For |
| | | | | | | | |
Research in Motion Limited | RIMM | 760975102 | 7/15/08 | 1. Elect directors referred to in the management information circular of the company dated May 28, 2008, namely, James Balsillie, Mike Lazaridis, James Estill, David Kerr, Roger Martin, John Richardson, Barbara Stymiest and John Wetmore | Issuer | Yes | For | For |
| | | | 2. Reappoint Ernst & Young LLP as independent auditors of the company and authorizing the directors to fix their remuneration | Issuer | Yes | For | For |
| | | | | | | | |
Wal-Mart Stores, Inc. | WMT | 931142103 | 6/5/09 | 1. Elect 15 directors: a. Aida M. Alvarez, b. James W. Breyer, c. M. Michele Burns, d. James I. Cash, Jr., e. Roger C. Corbett, f. Douglas N. Daft, g. Michael T. Duke, h. Gregory B. Penner, i. Allen I. Questrom, j. H. Lee Scott, Jr., k. Arne M. Sorenson, l. Jim C. Walton, m. S. Robson Walton, n. Christopher J. Williams and o. Linda S. Wolf | Issuer | Yes | For | For |
| | | | 2. Ratify Ernst & Young LLP as independent accountants | Issuer | Yes | For | For |
| | | | 3. Shareholder proposal on Gender Identity Non-Discrimination Policy | Security Holder | Yes | Against | Against |
| | | | 4. Shareholder proposal on Pay for Superior Performance | Security Holder | Yes | Against | Against |
| | | | 5. Shareholder proposal on Advisory Vote on Executive Compensation | Security Holder | Yes | Against | Against |
| | | | 6. Shareholder proposal on Political Contributions Report | Security Holder | Yes | Against | Against |
| | | | 7. Shareholder proposal on Special Shareowner Meetings | Security Holder | Yes | Against | Against |
| | | | 8. Shareholder proposal on Incentive Compensation to be Stock Options | Security Holder | Yes | Against | Against |
CGM Trust - File No. 811-82
CGM Realty Fund
| | | | | | | | |
Issuer | Ticker | CUSIP | Meeting
Date | Matter
Voted On | Proposed
By Issuer or
Security Holder | Was
Vote
Cast | Actual
Vote | For or
Against
Mgt. |
| | | | | | | | |
Agnico-Eagle Mines Limited | AEM | 008474108 | 4/30/09 | 1. Elect 11 directors: 1. Leanne M. Baker, 2. Douglas R. Beaumont, 3. Sean Boyd, 4. Clifford Davis, 5. David Garofalo, 6. Bernard Kraft, 7. Mel Leiderman, 8. James D. Nasso, 9. Merfyn Roberts, 10. Eberhard Scherkus and 11. Howard R. Stockford | Issuer | Yes | For | For |
| | | | 2. Appoint Ernst & Young LLP as auditors of the corporation and authorizing the directors to fix their remuneration | Issuer | Yes | For | For |
| | | | 3. Approve an amendment to Agnico-Eagle's Employee Share Purchase Plan | Issuer | Yes | For | For |
| | | | 4. Approve an amendment of Agnico-Eagle's Stock Option Plan | Issuer | Yes | For | For |
| | | | 5. Confirm the amendments to the Amended and Restated By-laws of the Company | Issuer | Yes | For | For |
| | | | | | | | |
Alexandria Real Estate Equities, Inc. | ARE | 015271109 | 5/20/09 | 1. Elect seven directors: 1. Joel S. Marcus, 2. Richard B. Jennings, 3. John L. Atkins, III, 4. Richard H. Klein, 5. James H. Richardson, 6. Martin A. Simonetti and 7. Alan G. Walton | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of Ernst & Young LLP as the company's independent registered public accountants for the fiscal year ending December 31, 2009 | Issuer | Yes | For | For |
| | | | | | | | |
American Capital Agency Corp. | AGNC | 02503X105 | 5/1/09 | 1. Elect five directors: 1. Malon Wilkus, 2. Alvin N. Puryear, 3. Morris A. Davis, 4. Randy E. Dobbs and 5. Larry K. Harvey | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of Ernst & Young LLP as independent auditors for the year ending December 31, 2009 | Issuer | Yes | For | For |
| | | | | | | | |
Annaly Capital Management, Inc. | NLY | 035710409 | 5/29/09 | Elect three directors: 1. W. Denahan-Norris, 2. Michael Haylon and 3. Donnell A. Segalas | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of Deloitte and Touche LLP as independent registered public accounting firm for the company for the 2009 fiscal year | Issuer | Yes | For | For |
| | | | | | | | |
Barrick Gold Corporation | ABX | 067901108 | 4/29/09 | 1. Elect 15 directors: 1. H.L. Beck, 2. C.W.D. Birchall, 3. D.J. Carty, 4. G. Cisneros, 5. M.A. Cohen, 6. P.A. Crossgrove, 7. R.M. Franklin, 8. P.C. Godsoe, 9. J.B. Harvey, 10. B. Mulroney, 11. A. Munk, 12. P. Munk, 13. A.W. Regent, 14. S.J. Shapiro and 15. G.C. Wilkins | Issuer | Yes | For | For |
| | | | 2. Resolution approving the appointment of PricewaterhouseCoopers LLP as the auditors of Barrick and authorize the Directors to fix their remuneration | Issuer | Yes | For | For |
| | | | 3. Approve shareholder resolution regarding a mandate for a third party to review the company's community engagement practices | Security Holder | Yes | Against | For |
| | | | | | | | |
Chimera Investment Corporation | CIM | 16934Q109 | 5/29/09 | 1. Elect two directors: Paul A. Keenan and Matthew Lambiase | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of Deloitte & Touche LLP as independent registered public accounting firm for the company for the 2009 fiscal year | Issuer | Yes | For | For |
| | | | | | | | |
Developers Diversified Realty Corp. | DDR | 251591103 | 4/9/09 | 1. Approve, for purposes of Section 312.02 of the New York Stock Exchange Listed Company Manual, the issuance of common shares and warrants (and the common shares issuable upon exercise of the warrants) pursuant to the terms and conditions of the stock purchase agreement, dated as of February 23, 2009, between Mr. Alexander Otto and the company | Issuer | Yes | For | For |
| | | | 2. Approve amendments to the company's Second Amended and Restated Articles of Incorporation required as conditions precedent to the completion of the transactions contemplated by the stock purchase agreement, dated as of February 23, 2009, between Mr. Alexander Otto and the company | Issuer | Yes | For | For |
| | | | 3. Approve amendments to the company's Second Amended and Restated Articles of Incorporation to update the transfer restriction and excess share provisions | Issuer | Yes | For | For |
| | | | 4. Approve an amendment to the company's Amended and Restated Code of Regulations to grant the board of directors the authority to fix the number of members on the board of directors | Issuer | Yes | For | For |
| | | | 5. Approve adjournment of the special meeting, if necessary, to solicit additional proxies if there are not sufficient votes at the time of the special meeting or any adjournment thereof to approve the proposals | Issuer | Yes | For | For |
| | | | | | | | |
Developers Diversified Realty Corp. | DDR | 251591103 | 6/25/09 | 1. Elect 11 directors: 1. Dean S. Adler, 2. Terrance R. Ahern, 3. Robert H. Gidel, 4. Daniel B. Hurwitz, 5. Volker Kraft, 6. Victor B. MacFarlane, 7. Craig MacNab, 8. Scott D. Routston, 9. Barry A. Sholem, 10. William B. Summers, Jr., and 11. Scott A. Wolstein | Issuer | Yes | For | For |
| | | | 2. Approve proposal to amend the Company's Second Amended and Restated Articles of Incorporation to increase the number of authorized common shares from 300,000,000 to 500,000,000, which results in an increase in the total number of authorized shares of the company from 311,000,000 to 511,000,000 | Issuer | Yes | For | For |
| | | | 3. Approve the Amended and Restated 2008 Developers Diversified Realty Corporation Equity-Based Award Plan | Issuer | Yes | For | For |
| | | | 4. Ratify the selection of PricewaterhouseCoopers LLP as the company's independent accountants for the company's fiscal year ending December 31, 2009 | Issuer | Yes | For | For |
| | | | | | | | |
Digital Realty Trust, Inc. | DLR | 253868103 | 4/28/09 | 1. Elect six directors: 1. Richard A. Magnuson, 2. Michael F. Foust, 3. Laurence A. Chapman, 4. Kathleen Earley, 5. Ruann F. Ernst, PH.D. and 6. Dennis E. Singleton | Issuer | Yes | For | For |
| | | | 2. Ratify the selection of KPMG LLP as the company's independent registered public accounting firm for the year ended December 31, 2009 | Issuer | Yes | For | For |
| | | | | | | | |
Douglas Emmett, Inc. | DEI | 25960P109 | 6/11/09 | 1. Elect nine directors: 1. Dan A. Emmett, 2. Jordan L. Kaplan, 3. Kenneth M. Panzer, 4. Leslie E. Bider, 5. Victor J. Coleman, 6. Ghebre S. Mehreteab, 7. Thomas E. O'Hern, 8. Dr. Andrea Rich and 9. William Wilson III | Issuer | Yes | For | For |
| | | | 2. Ratify the selection of Ernst & Young LLP as independent registered public accounting firm for the year ending December 31, 2009 | Issuer | Yes | For | For |
| | | | 3. Approve Amendments to the 2006 Omnibus Stock Incentive Plan | Issuer | Yes | Against | Against |
| | | | | | | | |
Entertainment Properties Trust | EPR | 29380T105 | 5/13/09 | 1. Elect two directors: Jack A. Newman and James A. Olson | Issuer | Yes | For | For |
| | | | 2. Approve an amendment to the Company's 2007 Equity Incentive Plan to increase the number of authorized shares of common shares of beneficial interest, $0.01 par value per share, issuable under the plan, from 950,000 shares to 1,950,000 shares | Issuer | Yes | For | For |
| | | | 3. Ratify the appointment of KPMG LLP as the company's independent registered public accounting firm for 2009 | Issuer | Yes | For | For |
| | | | | | | | |
Federal Realty Investment Trust | FRT | 313747206 | 5/6/09 | 1A. Elect trustee: Gail P Steinel | Issuer | Yes | For | For |
| | | | 1B. Elect trustee: Joseph S. Vassalluzzo | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of Grant Thornton LLP as independent registered public accounting firm for the fiscal year ending December 31, 2009 | Issuer | Yes | For | For |
| | | | 3. Approve a proposal to amend the Declaration of Trust to eliminate the classified board | Issuer | Yes | For | For |
| | | | 4. Approve a proposal to ratify an amendment to the shareholder rights plan to extend the term for three years and to add a qualified offer provision | Issuer | Yes | For | For |
| | | | | | | | |
Hatteras Financial Corp. | HTS | 41902R103 | 5/6/09 | 1. Elect six directors: 1. Michael R. Hough, 2. Benjamin M. Hough, 3. David W. Berson, 4. Ira G. Kawaller, 5. Jeffrey D. Miller and 6. Thomas D. Wren | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of Ernst & Young LLP as independent registered public accounting firm for the fiscal year ending December 31, 2009 | Issuer | Yes | For | For |
| | | | | | | | |
The Macerich Company | MAC | 554382101 | 6/8/09 | 1A - Election of Director: Arthur M. Coppola | Issuer | Yes | For | For |
| | | | 1B - Election of Director: James S. Cownie | Issuer | Yes | For | For |
| | | | 1C - Election of Director: Mason G. Ross | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of Deloitte & Touche LLP as independent accountants for the year ending December 31, 2009 | Issuer | Yes | For | For |
| | | | 3. Approve of Amended and Restated 2003 Equity Incentive Plan | Issuer | Yes | Against | Against |
| | | | 4. Approval of an amendment to charter to increase authorized shares of common stock to 250,000,000 and total number of authorized shares of stock to 325,000,000 | Issuer | Yes | For | For |
| | | | | | | | |
The Mosaic Company | MOS | 61945A107 | 10/9/08 | 1. Elect four directors: 1. David B. Mathis, 2. James L. Popowich, 3. James T. Prokopanko and 4. Steven M. Seibert | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of KPMG LLP as independent registered public accounting firm | Issuer | Yes | For | For |
| | | | | | | | |
Newmont Mining Corporation | NEM | 651639106 | 4/29/09 | 1. Elect 12 directors: 1. G.A. Barton, 2. V.A. Calarco, 3. J.A. Carrabba, 4. N. Doyle, 5. V.M. Hagen, 6. M.S. Hamson, 7. R.J. Miller, 8. R.T. O'Brien, 9. J.B. Prescott, 10. D.C. Roth, 11. J.V. Taranik and 12. S.Thompson | Issuer | Yes | For | For |
| | | | 2. Ratify the audit committee's appointment of PricewaterhouseCoopers LLP as Newmont's independent auditors for 2009 | Issuer | Yes | For | For |
| | | | 3. Consider and act upon a stockholder proposal regarding special meetings | Security Holder | Yes | Against | For |
| | | | 4. Consider and act upon a stockholder proposal to approve majority voting for the election of directors in a non-contested election. | Security Holder | Yes | Against | For |
| | | | | | | | |
Simon Property Group, Inc. | SPG | 828806109 | 5/8/09 | 1A. Approve proposal to amend the charter to: provide for the election of up to fifteen directors. (If this proposal is not approved by 80% of the votes entitled to be cast, the board will have only 9 directors, 5 of whom are elected by holders of common stock) | Issuer | Yes | For | For |
| | | | 1B. Approve proposal to amend the charter to: delete supermajority voting requirements | Issuer | Yes | For | For |
| | | | 1C. Approve proposal to amend the charter to: increase the number of authorized shares | Issuer | Yes | For | For |
| | | | 1D. Approve proposal to amend the charter to: delete or change obsolete or unnecessary provisions | Issuer | Yes | For | For |
| | | | 2. Elect eight directors: 1. Melvyn E. Bergstein, 2. Linda Walker Bynoe, 3. Karen N. Horn, PH.D., 4. Reuben S. Leibowitz, 5. J. Albert Smith, Jr., 6. Pieter S. Van Den Berg*, 7. Allan Hubbard* and 8. Daniel C. Smith* | Issuer | Yes | For | For |
| | | | 3. Authorize management to adjourn, postpone or continue the meeting, if necessary, to solicit additional proxies in the event that there are not sufficient votes at the time of the meeting to adopt proposal 1(A) or proposal 1(B) listed above | Issuer | Yes | For | For |
| | | | 4. Ratify the appointment of Ernst & Young LLP as independent registered public accounting firm for 2009 | Issuer | Yes | For | For |
| | | | *Additional nominees - the additional nominees will not be elected to the board unless proposal 1(A) is approve by 80% of the votes entitled to be cast | | | | |
| | | | | | | | |
Tanger Factory Outlet Centers, Inc. | SKT | 875465106 | 5/8/09 | 1. Elect seven directors: 1. Stanley K. Tanger, 2. Steven B. Tanger, 3. Jack Africk, 4. William G. Benton, 5. Bridget Ryan Berman, 6. Thomas E. Robinson and 7. Allan L. Schuman | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of PricewaterhouseCoopers, LLC as the company's independent registered public accounting firm for the fiscal year ending December 31, 2009 | Issuer | Yes | For | For |
| | | | 3. Reapprove the performance criteria under the amended and restated incentive award plan | Issuer | Yes | For | For |
| | | | | | | | |
Taubman Centers, Inc. | TCO | 876664103 | 5/29/09 | 1. Elect three directors: 1. Graham T. Allison, 2. Peter Karmanos, Jr., and 3. William S. Taubman | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of KPMG LLP as the independent registered public accounting firm for 2009 | Issuer | Yes | For | For |
| | | | | | | | |
Ventas, Inc. | VTR | 92276F100 | 5/7/09 | 1. Elect eight directors: 1. Debra A. Cafaro, 2. Douglas Crocker II, 3. Ronald G. Geary, 4. Jay M. Gellert, 5. Robert D. Reed, 6. Sheli Z. Rosenberg, 7. James D. Shelton and 8. Thomas C. Theobald | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm for fiscal year 2009 | Issuer | Yes | For | For |
| | | | | | | | |
Vornado Realty Trust | VNO | 929042109 | 5/14/09 | 1. Elect three directors: 1. Steven Roth, 2. Michael D. Fascitelli and 3. Russell B. Wight, Jr. | Issuer | Yes | For | For |
| | | | 2. Ratify the selection of independent registered public accounting firm | Issuer | Yes | For | For |
| | | | 3. Approve shareholder proposal regarding majority voting for trustees | Security Holder | Yes | Against | For |
| | | | 4. Approve shareholder proposal regarding the appointment of an independent chairman | Security Holder | Yes | Against | For |
CGM Trust - File No. 811-82
CGM Focus Fund
| | | | | | | | |
Issuer | Ticker | CUSIP | Meeting
Date | Matter
Voted On | Proposed
By Issuer or
Security Holder | Was
Vote
Cast | Actual
Vote | For or
Against
Mgt. |
| | | | | | | | |
Abbott Laboratories | ABT | 002824100 | 4/24/09 | 1. Elect 13 directors: 1. R.J. Alpern, 2. R.S. Austin, 3. W.M. Daley, 4. W.J. Farrell, 5. H.L. Fuller, 6. W.A. Osborn, 7. D.A.L. Owen, 8. W.A. Reynolds, 9. R.S. Roberts. 10. S.C. Scott III, 11. W.D. Smithburg, 12. G.F. Tilton and 13. M.D. White | Issuer | Yes | For | For |
| | | | 2. Approve the Abbott Laboratories 2009 Incentive Stock Program | Issuer | Yes | Against | Against |
| | | | 3. Approve the Abbott Laboratories 2009 Employee Stock Purchase Plan for non-U.S. Employees | Issuer | Yes | Against | Against |
| | | | 4. Ratify Deloitte & Touche LLP as auditors | Issuer | Yes | For | For |
| | | | 5. Approve shareholder proposal regarding animal testing | Security Holder | Yes | Against | For |
| | | | 6. Approve shareholder proposal regarding health care principles | Security Holder | Yes | Against | For |
| | | | 7. Approve shareholder proposal regarding advisory vote | Security Holder | Yes | Against | For |
| | | | | | | | |
Amazon.com, Inc. | AMZN | 023135106 | 5/28/09 | 1A - Election of Director: Jeffrey P. Bezos | Issuer | Yes | For | For |
| | | | 1B - Election of Director: Tom A. Alberg | Issuer | Yes | For | For |
| | | | 1C - Election of Director: John Seely Brown | Issuer | Yes | For | For |
| | | | 1D - Election of Director: L. John Doerr | Issuer | Yes | For | For |
| | | | 1E - Election of Director: William B. Gordon | Issuer | Yes | For | For |
| | | | 1F - Election of Director: Alain Monie | Issuer | Yes | For | For |
| | | | 1G - Election of Director: Thomas O. Ryder | Issuer | Yes | For | For |
| | | | 1H - Election of Director: Patricia Q. Stonesifer | Issuer | Yes | For | For |
| | | | 2 - Ratify the appointment of Ernst & Young LLP as the company's independent auditors for 2009 | Issuer | Yes | For | For |
| | | | | | | | |
Bank of America Corporation | BAC | 060505104 | 12/5/08 | 1. Approve the issuance of shares of Bank of America common stock as contemplated by the agreement and plan of merger, dated as of September 15, 2008, by and between Merrill Lynch & Co., Inc. and Bank of America Corporation, as such agreement may be amended from time to time | Issuer | Yes | For | For |
| | | | 2. Approve an amendment to the 2003 Key Associate Stock Plan, as amended and restated | Issuer | Yes | For | For |
| | | | 3. Adopt an amendment to the Bank of America amended and restated Certificate of Incorporation to increase the number of authorized shares of Bank of America common stock from 7.5 billion to 10 billion | Issuer | Yes | For | For |
| | | | 4. Approve the adjournment of the special meeting, if necessary or appropriate, to solicit additional proxies, in the event that there are not sufficient votes at the time of the special meeting to approve the foregoing proposals | Issuer | Yes | For | For |
| | | | | | | | |
Barrick Gold Corporation | ABX | 067901108 | 4/29/09 | 1. Elect 15 directors: 1. H.L. Beck, 2. C.W.D. Birchall, 3. D.J. Carty, 4. G. Cisneros, 5. M.A. Cohen, 6. P.A. Crossgrove, 7. R.M. Franklin, 8. P.C. Godsoe, 9. J.B. Harvey, 10. B. Mulroney, 11. A. Munk, 12. P. Munk, 13. A.W. Regent, 14. S.J. Shapiro and 15. G.C. Wilkins | Issuer | Yes | For | For |
| | | | 2. Resolution approving the appointment of PricewaterhouseCoopers LLP as the auditors of Barrick and authorize the Directors to fix their remuneration | Issuer | Yes | For | For |
| | | | 3. Approve shareholder resolution regarding a mandate for a third party to review the company's community engagement practices | Security Holder | Yes | Against | For |
| | | | | | | | |
Baxter International, Inc. | BAX | 071813109 | 5/5/09 | 1. Elect four directors: A. Walter E. Boomer, B. James R. Gavin III, M.D., PH.D., C. Peter S. Hellman and D. K.J. Storm | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for Baxter in 2009 | Issuer | Yes | For | For |
| | | | 3. Shareholder proposal relating to animal testing | Security Holder | Yes | Against | For |
| | | | | | | | |
Best Buy Co., Inc. | BBY | 086516101 | 6/24/09 | 1. Elect eight directors: 1. Ronald James, 2. Elliot S. Kaplan, 3. Sanjay Khosla, 4. George L. Mikan III, 5. Matthew H. Paull, 6. Richard M. Schulze, 7. Hatim A. Tyabji and 8. Gerard R. Vittecoq | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of Deloitte & Touche LLP as independent registered public accounting firm for the fiscal year that began on March 1, 2009 | Issuer | Yes | For | For |
| | | | 3. Approve an amendments to the 2004 Omnibus Stock and Incentive Plan | Issuer | Yes | Against | Against |
| | | | 4. Approve amendment to Article IX of Amended and Restated Articles of Incorporation to change approval required | Issuer | Yes | For | For |
| | | | 5. Approve amendment to Article IX of Articles to decrease the shareholder approval required to amend Article IX | Issuer | Yes | For | For |
| | | | 6. Approve amendment to Article IX of Articles to decrease shareholder approval required to remove directors without cause | Issuer | Yes | For | For |
| | | | 7. Approve amendment to Article IX to decrease shareholder approval required to amend classified board provisions | Issuer | Yes | For | For |
| | | | 8. Approve amendment to Article X to decrease shareholder approval required for certain repurchases of stock | Issuer | Yes | For | For |
| | | | 9. Approve amendment to Article X of Articles to decrease the shareholder approval required to amend Article X | Issuer | Yes | For | For |
| | | | | | | | |
CNOOC Limited | CEO | 126132109 | 5/27/09 | A1 - Receive and consider audited statement of accounts together with the report of the directors and independent auditors' report | Issuer | Yes | For | For |
| | | | A2 - To declare a final dividend for the year ended 31 December 2008 | Issuer | Yes | For | For |
| | | | A3A - To re-elect Mr. Wu Guangqi as executive directors | Issuer | Yes | For | For |
| | | | A3B - To re-elect Mr. Cao Xinghe as non-executive director | Issuer | Yes | For | For |
| | | | A3C - To re-elect Mr. Wu Zhenfang as non-executive director | Issuer | Yes | For | For |
| | | | A3D - To re-elect Dr. Edgar W.K. Cheng as independent non-executive director | Issuer | Yes | For | For |
| | | | A3E - Authorize board of directors to fix remuneration of directors | Issuer | Yes | For | For |
| | | | A4 - To re-appoint the company's independent auditors and to authorize the board of directors to fix their remuneration | Issuer | Yes | For | For |
| | | | B1 - Grant general mandate to directors to repurchase shares in the capital of company not exceeding 10% of share capital | Issuer | Yes | For | For |
| | | | B2 - Grant general mandate to directors to allot, issue and deal with additional shares in capital of company not exceeding 20% | Issuer | Yes | For | For |
| | | | B3 - Extend general mandate granted to directors to allot, issue and deal with shares in capital of company | Issuer | Yes | For | For |
| | | | C1 - To approve resolution C.1 in relation to the proposed amendment to Article 85 of the Articles of Association of the company | Issuer | Yes | For | For |
| | | | | | | | |
CVS Caremark Corporation | CVS | 126650100 | 5/6/09 | 1. Elect 12 directors: a. Edwin M. Banks, b. C. David Brown II, c. David W. Dorman, d. Kristen Gibney Williams, e. Marian L. Heard, f. William H. Joyce, g. Jean-Pierre Millon, h. Terrency Murray, i. C.A. Lance Piccolo, j. Sheli Z. Rosenberg, k. Thomas M. Ryan and l. Richard J. Swift | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the 2009 fiscal year | Issuer | Yes | For | For |
| | | | 3. Approve stockholder proposal regarding special stockholder meetings | Security Holder | Yes | Against | For |
| | | | 4. Approve stockholder proposal regarding independent chairman of the board | Security Holder | Yes | Against | For |
| | | | 5. Approve stockholder proposal regarding political contributions and expenditures | Security Holder | Yes | Against | For |
| | | | 6. Approve stockholder proposal regarding advisory stockholder vote on executive compensation | Security Holder | Yes | Against | For |
| | | | 7. Other matters. In their discretion, Mr. Ryan and Ms. Rosenbergy, as proxies, are authorized to vote in accordance with their judgment upon such other business as may properly come before the Meeting | Issuer | Yes | For | For |
| | | | | | | | |
Express Scripts, Inc. | ESRX | 302182100 | 5/27/09 | 1. Elect 12 directors: 1. Gary G. Benanav, 2. Frank J. Borelli, 3. Maura C. Breen, 4. Nicholas J.Lahowchic, 5. Thomas P. Mac Mahon, 6. Frank Mergenthaler, 7. Woodrow A. Myers, Jr., 8. John O. Parker, Jr., 9. George Paz, 10. Samuel K. Skinner, 11. Seymour Sternberg and 12. Barrett A. Toan | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of PricewaterhouseCoopers LLP as the company's independent registered public accountants for 2009 | Issuer | Yes | For | For |
| | | | | | | | |
Gilead Sciences, Inc. | GILD | 375558103 | 5/6/09 | 1. Elect 11 directors: 1. Paul Berg, 2. John F. Cogan, 3. Etienne F. Davignon, 4. James M. Denny, 5. Carla A. Hills, 6. John W. Madigan, 7. John C. Martin, 8. Gordon E. Moore, 9. Nicholas G. Moore, 10. Richard J. Whitley and 11. Gayle E. Wilson | Issuer | Yes | For | For |
| | | | 2. Ratify the selection of Ernst & Young LLP by the audit committee of the Board of Directors as the independent registered public accounting firm of Gilead for the fiscal year ending December 31, 2009 | Issuer | Yes | For | For |
| | | | 3. Approve an amendment to Gilead's 2004 Equity Incentive Plan | Issuer | Yes | Against | Against |
| | | | | | | | |
The Goldman Sachs Group, Inc. | GS | 38141G104 | 5/8/09 | 1. Elect 12 directors: 1a. Lloyd C. Blankfein, 1b. John H. Bryan, 1c. Gary D. Cohn, 1d. Claes Dahlback, 1e. Stephen Friedman, 1f. William W. George ,1g. Rajat K. Gupta, 1h. James A. Johnson, 1i. Lois D. Juliber, 1j. Lakshmi N. Mittal, 1k. James J. Schiro and 1l. Ruth J. Simmons | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of PricewaterhouseCoopers LLP as the company's independent registered public accounting firm for the 2009 fiscal year | Issuer | Yes | For | For |
| | | | 3. Approve advisory vote to approve executive compensation | Issuer | Yes | For | For |
| | | | 4. Approve shareholder proposal regarding cumulative voting | Security Holder | Yes | Against | For |
| | | | 5. Approve shareholder proposal regarding simple majority vote | Security Holder | Yes | Against | For |
| | | | 6. Approve shareholder proposal to amend by-laws to provide for a board committee on U.S. economic security | Security Holder | Yes | Against | For |
| | | | 7. Approve shareholder proposal regarding political contributions | Security Holder | Yes | Against | For |
| | | | | | | | |
The Hartford Financial Services Group, Inc. | HIG | 416515104 | 3/26/09 | 1. Approve the conversion of any issued and outstanding Series C non-voting contingent convertible preferred stock of the company into common stock of the company and the exercise of the Series C warrant to purchase common stock of the company, as well as other potential issuance of common stock for anti-dilution | Issuer | Yes | For | For |
| | | | | | | | |
International Business Machines Corporation | IBM | 459200101 | 4/28/09 | 1. Elect 12 directors: 1A. A.J.P. Belda, 1B. C.Black, 1C. W.R. Brody, 1D. K.I. Chenault, 1E. M.L. Eskew, 1F. S.A. Jackson, 1G. T. Nishimuro, 1H. J.W.Owens, 1I. S. J. Palmisano, 1J. J.E. Spero, 1K. S. Taurel and 1L. L.H. Zambrano | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of PricewaterhouseCoopers as IBM's independent registered public accounting firm | Issuer | Yes | For | For |
| | | | 3. Approve the Long-Term Incentive Performance Terms for certain executive pursuant to Section 162(m) of the Internal Revenue Code | Issuer | Yes | For | For |
| | | | 4. Approve stockholder proposal on Cumulative Voting | Security Holder | Yes | Against | For |
| | | | 5. Approve stockholder proposal on Executive Compensation and Pension Income | Security Holder | Yes | Against | For |
| | | | 6. Approve stockholder proposal on Advisory Vote on Executive Compensation | Security Holder | Yes | Against | For |
| | | | | | | | |
JPMorgan Chase & Co. | JPM | 46625H100 | 5/19/09 | 1. Elect 11 directors: 1a. Crandall C. Bowles, 1b. Stephen B. Burke, 1c. David M. Cote, 1d. James S. Crown, 1e. James Dimon, 1f. Ellen V. Futter, 1g. William H. Gray, III, 1h. Laban P. Jackson, Jr., 1i. David C. Novak, 1j. Lee R. Raymond and 1k. William C. Weldon | Issuer | Yes | For | For |
| | | | 2. Appoint independent registered pubic accounting firm | Issuer | Yes | For | For |
| | | | 3. Approve advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | 4. Approve shareholder proposal regarding governmental service report | Security Holder | Yes | Against | For |
| | | | 5. Approve shareholder proposal regarding cumulative voting | Security Holder | Yes | Against | For |
| | | | 6. Approve shareholder proposal regarding special shareowner meetings | Security Holder | Yes | Against | For |
| | | | 7. Approve shareholder proposal regarding credit card lending practices | Security Holder | Yes | Against | For |
| | | | 8. Approve shareholder proposal regarding changes to KEPP | Security Holder | Yes | Against | For |
| | | | 9. Approve shareholder proposal regarding share retention | Security Holder | Yes | Against | For |
| | | | 10. Approve shareholder proposal regarding carbon principles report | Security Holder | Yes | Against | For |
| | | | | | | | |
Medco Health Solutions, Inc. | MHS | 58405U102 | 5/21/09 | 1. Elect three directors: A. Charles M. Lillis, B. William L. Roper and C. David D. Stevens | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm of the company for the 2009 fiscal year | Issuer | Yes | For | For |
| | | | 3. Approve the executive annual incentive plan | Issuer | Yes | For | For |
| | | | | | | | |
| | | | | | | | |
MetLife, Inc. | MET | 59156R108 | 4/28/09 | 1. Elect five directors: 1. C. Robert Henrikson, 2. John M. Keane, 3. Catherine R. Kinney, 4. Hugh B. Price and 5. Kenton J. Sicchitano | Issuer | Yes | For | For |
| | | | 2. Reapprove the MetLife, Inc. 2005 Stock and Incentive Compensation Plan | Issuer | Yes | For | For |
| | | | 3. Ratify the appointment of Deloitte & Touche LLP as independent auditor for 2009 | Issuer | Yes | For | For |
| | | | | | | | |
Morgan Stanley | MS | 617446448 | 4/29/09 | 1. Elect 12 directors: a. Roy J. Bostock, b. Erskine B. Bowles, c. Howard J. Davies, d. Nobuyuki Hirano, e. C. Robert Kidder, f. John J. Mack, g. Donald T. Nicolaisen, h. Charles H. Noski, i. Hutham S. Olayan, j. Charles E. Phillips, Jr., k. O. Griffith Sexton and 12. Laura D. Tyson | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of Deloitte & Touche LLP as independent auditor | Issuer | Yes | For | For |
| | | | 3. Approve the compensation of executives as disclosed in the proxy statement | Issuer | Yes | Against | Against |
| | | | 4. Amend the 2007 Equity Incentive Compensation Plan | Issuer | Yes | Against | Against |
| | | | 5. Approve shareholder proposal regarding special shareowner meetings | Security Holder | Yes | Against | For |
| | | | 6. Approve shareholder proposal regarding independent chair | Security Holder | Yes | Against | For |
| | | | | | | | |
Petroleo Brasileiro S.A. - Petrobras | PBR | 71654V408 | 4/8/09 | I. Approve management report, financial statements and audit committee's opinion for the fiscal year 2008 | Issuer | Yes | For | For |
| | | | II. Approve capital expenditure budget for the fiscal year 2009 | Issuer | Yes | For | For |
| | | | III. Approve distribution of results for the fiscal year 2008 | Issuer | Yes | For | For |
| | | | IV. Approve election of members of the Board of Directors | Issuer | Yes | For | For |
| | | | V. Approve election of Chairman of the Board of Directors | Issuer | Yes | For | For |
| | | | VI. Approve election of members of the audit board and their respective substitutes | Issuer | Yes | For | For |
| | | | VII. Approve establishment of the compensation of management and effective members of the audit committee, as well as their participation in the profits pursuant to Articles 41 and 56 of the company's bylaws | Issuer | Yes | For | For |
| | | | | | | | |
The PNC Financial Services Group, Inc. | PNC | 693475105 | 12/23/08 | 1. Approve the issuance of shares of PNC common stock as contemplated by the agreement and plan of merger, dated as of October 24, 2008, by and between The PNC Financial Services Group, Inc. and National City Corporation, as such agreement may be amended from time to time | Issuer | Yes | For | For |
| | | | 2. Approve the adjournment of the special meeting of shareholders, if necessary or appropriate, to solicit additional proxies, in the event that there are not sufficient votes at the time of the special meeting of shareholders to approve the foregoing proposal | Issuer | Yes | For | For |
| | | | | | | | |
Research in Motion Limited | RIMM | 760975102 | 7/15/08 | 1. Elect directors referred to in the management information circular of the company dated May 28, 2008, namely, James Balsillie, Mike Lazaridis, James Estill, David Kerr, Roger Martin, John Richardson, Barbara Stymiest and John Wetmore | Issuer | Yes | For | For |
| | | | 2. Reappoint Ernst & Young LLP as independent auditors of the company and authorizing the directors to fix their remuneration | Issuer | Yes | For | For |
| | | | | | | | |
Syngenta AG | SYT | 87160A100 | 4/21/09 | 1. Approve the annual report, including the annual financial statement, the compensation report and the group consolidated financial statements for the year 2008 | Issuer | Yes | For | For |
| | | | 2. Discharge of the members of the Board of Directors and the Executive Committee | Issuer | Yes | For | For |
| | | | 3. Reduction of share capital by cancellation of repurchased shares | Issuer | Yes | For | For |
| | | | 4. Appropriation of balance sheet profit 2008 and dividend decision | Issuer | Yes | For | For |
| | | | 5A. Re-election of Peggy Bruzelius | Issuer | Yes | For | For |
| | | | 5B. Re-election of Pierre Landolt | Issuer | Yes | For | For |
| | | | 5C. Re-election of Jurg Witmer | Issuer | Yes | For | For |
| | | | 5D. Re-election of Stefan Borgas | Issuer | Yes | For | For |
| | | | 5E. Election of David Lawrence | Issuer | Yes | For | For |
| | | | 6. Election of the auditors | Issuer | Yes | For | For |
| | | | | | | | |
Wal-Mart Stores, Inc. | WMT | 931142103 | 6/5/09 | 1. Elect 15 directors: a. Aida M. Alvarez, b. James W. Breyer, c. M. Michele Burns, d. James I. Cash, Jr., e. Roger C. Corbett, f. Douglas N. Daft, g. Michael T. Duke, h. Gregory B. Penner, i. Allen I. Questrom, j. H. Lee Scott, Jr., k. Arne M. Sorenson, l. Jim C. Walton, m. S. Robson Walton, n. Christopher J. Williams and o. Linda S. Wolf | Issuer | Yes | For | For |
| | | | 2. Ratify Ernst & Young LLP as independent accountants | Issuer | Yes | For | For |
| | | | 3. Shareholder proposal on Gender Identity Non-Discrimination Policy | Security Holder | Yes | Against | Against |
| | | | 4. Shareholder proposal on Pay for Superior Performance | Security Holder | Yes | Against | Against |
| | | | 5. Shareholder proposal on Advisory Vote on Executive Compensation | Security Holder | Yes | Against | Against |
| | | | 6. Shareholder proposal on Political Contributions Report | Security Holder | Yes | Against | Against |
| | | | 7. Shareholder proposal on Special Shareowner Meetings | Security Holder | Yes | Against | Against |
| | | | 8. Shareholder proposal on Incentive Compensation to be Stock Options | Security Holder | Yes | Against | Against |
SIGNATURES
[See General Instruction F]
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) | CGM TRUST |
| |
By (Signature and Title)* | /s/ Robert L. Kemp |
| Robert L. Kemp, President |
| |
Date | August 21, 2009 |
* Print the name and title of each signing officer under his or her signature.
