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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
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Investment Company Act file number | 811-00082 |
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| | | |
CGM TRUST |
(Exact name of registrant as specified in charter) |
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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) |
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Registrant's telephone number, including area code: | 617-737-3225 |
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Date of fiscal year end: | 12/31 |
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Date of reporting period: | 7/1/09 -- 6/30/10 |
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.
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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
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Issuer | Ticker | CUSIP | Meeting Date | Matter Voted On | Proposed By Issuer or Security Holder | Was Vote Cast | Actual Vote | For or Against Mgt. |
| | | | | | | | |
Bed Bath & Beyond Inc. | BBBY | 075896100 | 6/29/10 | 1. Elect nine directors: 1. Warren Eisenberg, 2. Leonard Feinstein, 3. Steven H. Temares, 4. Dean S. Adler, 5. Stanley F. Barshay, 6. Klaus Eppler, 7. Patrick R. Gaston, 8. Jordan Heller and 9. Victoria A. Morrison | Issuer | Yes | For | For |
| | | | 2. Ratification of the appointment of KPMG LLP | Issuer | Yes | For | For |
| | | | | | | | |
Ford Motor Company | F | 345370860 | 5/13/10 | 1. Elect 13 directors: 1. Stephen G. Butler, 2. Kimberly A. Casiano, 3. Anthony F. Earley, Jr. 4. Edsel B. Ford II, 5. William Clay Ford, Jr., 6. Richard A. Gephardt, 7. Irvine O. Hockaday, Jr., 8. Richard A. Manoogian, 9. Ellen R. Marram, 10. Alan Mulally, 11. Homer A. Neal, 12. Gerald L. Shaheen and 13. John L. Thornton | Issuer | Yes | For | For |
| | | | 2. Ratification of selection of independent registered public accounting firm. | Issuer | Yes | For | For |
| | | | 3. Approval of tax benefit preservation plan. | Issuer | Yes | For | For |
| | | | 4. Shareholder proposal relating to disclosing any prior government affiliation of directors, officers, and consultants. | Security Holder | Yes | Against | For |
| | | | 5. Shareholder proposal relating to consideration of a recapitalization plan to provide that all of company's outstanding stock have one vote per share. | Security Holder | Yes | Against | For |
| | | | 6. Shareholder proposal relating to the company issuing a report disclosing policies and procedures related to political contributions. | Security Holder | Yes | Against | For |
| | | | 7. Shareholder proposal relating to providing shareholders the opportunity to cast an advisory vote to ratify the compensation of the named executives. | Security Holder | Yes | Against | For |
| | | | 8. Shareholder proposal relating to the company not funding any energy savings projects that are solely concerned with CO2 reduction. | Security Holder | Yes | Against | For |
| | | | | | | | |
Freeport-McMoran Copper & Gold Inc. | FCX | 35671D857 | 6/9/10 | 1. Elect 12 directors: 1. Richard C. Adkerson, 2. Robert J. Allison, Jr., 3. Robert A. Day, 4. Gerald J. Ford, 5. H. Devon Graham, Jr., 6. Charles C. Krulak, 7. Bobby Lee Lackey, 8. Jon C. Madonna, 9. Dustan E. McCoy, 10. James R. Moffett, 11. B. M. Rankin, Jr. and 12. Stephen H. Siegele | Issuer | Yes | For | For |
| | | | 2. Ratification of the appointment of Ernst & Young LLP as independent registered public accounting firm. | Issuer | Yes | For | For |
| | | | 3. Adoption of the Amended and Restated 2006 Stock Incentive Plan | Issuer | Yes | For | For |
| | | | 4. Stockholder proposal regarding the selection of a candidate with environmental expertise to be recommended for election to the company's board of directors. | Security Holder | Yes | Against | For |
| | | | 5. Stockholder proposal regarding the adoption of a policy requiring senior executives to retain shares acquired through equity compensation programs until two years following termination of their employment. | Security Holder | Yes | Against | For |
| | | | | | | | | | |
Gilead Sciences, Inc. | GILD | 375558103 | 5/11/10 | 1. Elect 13 directors: 1. Paul Berg, 2. John F. Cogan, 3. Etienne F. Davignon, 4. James M. Denny, 5. Carla A. Hills, 6. Kevin E. Lofton, 7. John W. Madigan, 8. John C. Martin, 9. Gordon E. Moore, 10. Nicholas G. Moore, 11. Richard J. Whitley, 12. Gayle E. Wilson and 13. Per Wold-Olsen | 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, 2010. | Issuer | Yes | For | For |
| | | | 3. Stockholder proposal requesting that the board take steps to adopt majority voting standards in Gilead's Certificate of Incorporation and By-laws. | Security Holder | Yes | Against | For |
| | | | | | | | |
The Goldman Sachs Group, Inc. | GS | 38141G104 | 5/7/10 | 1. Elect 11 directors: 1. Lloyd C. Blankfein, 2. John H. Bryan, 3. Gary D. Cohn, 4. Claes Dahlback, 5. Stephen Friedman, 6. William W. George, 7. James A. Johnson, 8. Louis D. Juliber, 9. Lakshmi N. Mittal, 10. James J. Schiro and 11. H. Lee Scott, Jr. | Issuer | Yes | For | For |
| | | | 2. Ratification of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our 2010 fiscal year | Issuer | Yes | For | For |
| | | | 3. An advisory vote on executive compensation matters | Issuer | Yes | For | For |
| | | | 4. Approval of amendments to our Restated Certificate of Incorporation to eliminate supermajority voting | Issuer | Yes | For | For |
| | | | 5. Approval of an amendment to our Restated Certificate of Incorporation to permit holders of 25% of our outstanding shares of common stock to call special meetings | Issuer | Yes | For | For |
| | | | 6. Shareholder proposal regarding cumulative voting | Security Holder | Yes | Against | For |
| | | | 7. Shareholder proposal regarding collateral in over-the-counter derivatives trading | Security Holder | Yes | Against | For |
| | | | 8. Shareholder proposal regarding separate chair & CEO | Security Holder | Yes | Against | For |
| | | | 9. Shareholder proposal regarding a report on political contributions | Security Holder | Yes | Against | For |
| | | | 10. Shareholder proposal regarding a report on global warming science | Security Holder | Yes | Against | For |
| | | | 11. Shareholder proposal regarding a report on pay disparity | Security Holder | Yes | Against | For |
| | | | 12. Shareholder proposal regarding executive compensation and long-term performance | Security Holder | Yes | Against | For |
| | | | | | | | |
Morgan Stanley | MS | 617446448 | 5/18/10 | 1. Elect 13 directors: 1. Roy J. Bostock, 2. Erskine B. Bowles, 3. Howard J. Davies, 4. James P. Gorman, 5. James H. Hance, Jr., 6. Nobuyuki Hirano, 7. C. Robert Kidder, 8. John J. Mack, 9. Donald T. Nicolaisen, 10. Charles H. Noski, 11. Hutham S. Olayan, 12. O. Griffith Sexton and 13. Laura D. Tyson | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of Deloitte & Touche LLP as independent Auditor | Issuer | Yes | For | For |
| | | | 3. Approve Compensation of Executives as disclosed in the proxy statement (non-binding advisory resolution) | Issuer | Yes | For | For |
| | | | 4. Amend the 2007 Equity Incentive Compensation Plan | Issuer | Yes | Against | Against |
| | | | 5. Shareholder proposal regarding special shareowner meetings | Security Holder | Yes | Against | For |
| | | | 6. Shareholder proposal regarding executive equity holdings requirement | Security Holder | Yes | Against | For |
| | | | | | | | |
| | | | 7. Shareholder proposal regarding independent chair | Security Holder | Yes | Against | For |
| | | | 8. Shareholder proposal regarding report on pay disparity | Security Holder | Yes | Against | For |
| | | | 9. Shareholder proposal regarding recoupment of management bonuses | Security Holder | Yes | Against | For |
| | | | | | | | &n bsp; |
Peabody Energy Corporation | BTU | 704549104 | 5/4/10 | 1. Elect ten directors: 1. Gregory H. Boyce, 2. William A. Coley, 3. William E. James, 4. Robert B. Karn III, 5. M. Frances Keeth, 6. Henry E. Lentz, 7. Robert A. Malone, 8. William C. Rusnack, 9. John F. Turner and 10. Alan H. Washkowitz | 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, 2010 | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
Research In Motion Limited | RIMM | 760975102 | 7/14/09 | 1. Elect seven directors: 1. Mike Lazaridis, 2. James Estill, 3. David Kerr, 4. Roger Martin, 5. John Richardson, 6. Barbara Stymiest and 7. John Wetmore | Issuer | Yes | For | For |
| | | | 2. Re-appoint Ernst & Young LLP as independent auditors of the company and authorize the directors to fix their remuneration | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
Rio Tinto PLC | RTP | 767204100 | 4/15/10 | 1. Receive the financial statements and the reports of the directors and auditors for the year ended 31 December 2009 | Issuer | Yes | For | For |
| | | | 2. Approve the remuneration report | Issuer | Yes | For | For |
| | | | 3. Elect Robert Brown as a director | Issuer | Yes | For | For |
| | | | 4. Elect Ann Godbehere as a director | Issuer | Yes | For | For |
| | | | 5. Elect Sam Walsh as a director | Issuer | Yes | For | For |
| | | | 6. Re-elect Guy Elliott as a director | Issuer | Yes | For | For |
| | | | 7. Re-elect Mike Fitzpatrick as a director | Issuer | Yes | For | For |
| | | | 8. Re-Elect Lord Kerr as a director | Issuer | Yes | For | For |
| | | | 9. Re-appoint PricewaterhouseCoopers LLP as auditors of Rio Tinto PLC | Issuer | Yes | For | For |
| | | | 10. Approve authority to allot relevant securities under Section 551 of the Companies Act 2006 | Issuer | Yes | For | For |
| | | | 11. Approve authority to allot relevant securities for cash as defined in the Companies Act 2006 | Issuer | Yes | For | For |
| | | | 12. Approve authority to purchase Rio Tinto PLC shares by the company or Rio Tinto Limited | Issuer | Yes | For | For |
| | | | 13. Approve notice period for general meetings other than annual general meetings | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
Seagate Technology | STX | G7945J104 | 4/14/10 | S1. Approve the Scheme of Arrangement | Issuer | Yes | For | For |
| | | | S2. Approve the motion to adjourn the special meeting to a later date to solicit additional proxies if there are insufficient proxies or shareholders present to conduct the vote on the Scheme of Arrangement proposal or to approve the Scheme of Arrangement proposal at the time of the meeting | Issuer | Yes | For | For |
| | | | E1. Approve the cancellation of Seagate-Cayman's share capital which is necessary in order to effect the Scheme of Arrangement and is a condition to proceeding with the Scheme of Arrangement (the "Capital Reduction Proposal") | Issuer | Yes | For | For |
| | | | | | | | |
| | | | E2. Approve the creation of "Distributable Reserves" of Seagate-Ireland which are required under Irish law in order to permit Seagate to pay dividends and repurchase or redeem shares following the transaction. Approval of the proposal to create distributable reserves is not a condition to proceeding with the Scheme of Arrangement | Issuer | Yes | For | For |
| | | | E3. Approve a motion to adjourn the meeting to a later date to solicit additional proxies if there are insufficient proxies or shareholders | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
Southern Copper Corporation | SCCO | 84265V105 | 4/29/10 | 1. Elect 14 directors: 1. German Larrea Mota-V, 2. Oscar Gonzalez Rocha, 3. Emilio Carrillo Gamboa, 4. Alfredo Casar Perez, 5. A. De La Parra Zavala, 6. X. Garcia De Quevedo T., 7. Genaro Larrea Mota V, 8. D. Muniz Quintanilla, 9. Armando Ortega Gomez, 10. L.M. Palomino Bonilla, 11. G. Perezalonso Cifuentes, 12. Juan Rebolledo Gout, 13. Carlos Ruiz Sacristan and 14. Luis Tellez Kuenzler | Issuer | Yes | For | For |
| | | | 2. Ratify the Audit Committee's selection of Galaz, Yamazaki, Ruiz Urquiza, S.C., member firm of Deloitte Touche Tohmatsu as independent accountants for 2010 | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
Teck Resources Limited | TCK | 878742204 | 4/22/10 | 1. Elect 14 directors: 1. M.M. Ashar, 2. J.B. Aune, 3. J.H. Bennett, 4. H.J. Bolton, 5. F.P. Chee, 6. J.L. Cockwell, 7. N.B. Keevil, 8. N.B. Keevil III, 9. T. Kuriyama, 10. D.R. Lindsay, 11. T. Mochihara, 12. J.G. Rennie, 13. W.S.R. Seyffert and 14. C.M. Thompson | Issuer | Yes | For | For |
| | | | 2. Appoint PricewaterhouseCoopers LLP as auditors and to authorize the directors to fix the auditor's remuneration | Issuer | Yes | For | For |
| | | | 3. Approve the adoption of the 2010 Stock Option Plan of the corporation | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
The TJX Companies, Inc. | TJX | 872540109 | 6/2/10 | 1A - Election of Director: Jose B. Alvarez | Issuer | Yes | For | For |
| | | | 1B - Election of Director: Alan M. Bennett | Issuer | Yes | For | For |
| | | | 1C - Election of Director: David A. Brandon | Issuer | Yes | For | For |
| | | | 1D - Election of Director: Bernard Cammarata | Issuer | Yes | For | For |
| | | | 1E - Election of Director: David T. Ching | Issuer | Yes | For | For |
| | | | 1F - Election of Director: Michael F. Hines | Issuer | Yes | For | For |
| | | | 1G - Election of Director: Amy B. Lane | Issuer | Yes | For | For |
| | | | 1H - Election of Director: Carol Meyrowitz | Issuer | Yes | For | For |
| | | | 1I - Election of Director: John F. O'Brien | Issuer | Yes | For | For |
| | | | 1J - Election of Director: Willow B. Shire | Issuer | Yes | For | For |
| | | | 1K - Election of Director: Fletcher H. Wiley | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of PricewaterhouseCoopers LLP | Issuer | Yes | For | For |
| | | | 3. Advisory vote on executive compensation | Security Holder | Yes | Against | For |
| | | | | | | | | | |
Issuer | Ticker | CUSIP | Meeting Date | Matter Voted On | Proposed By Issuer or Security Holder | Was Vote Cast | Actual Vote | For or Against Mgt. |
| | | | | | | | |
Alexandria Real Estate Equities, Inc. | ARE | 015271109 | 5/27/10 | 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. Approval of the amendment and restatement of the company's Amended and Restated 1997 Stock Award and Incentive Plan. | Issuer | Yes | For | For |
| | | | 3. Ratification of the appointment of Ernst & Young LLP as the company's independent registered public accountants for the fiscal year ending December 31, 2010. | Issuer | Yes | For | For |
| | | | | | | | |
Alpha Natural Resources, Inc. | ANR | 02076X102 | 5/19/10 | 1. Elect 10 directors: 1. Michael J. Quillen, 2. William J. Crowley Jr., 3. Kevin S. Crutchfield, 4. E. Linn Draper, Jr., 5. Glenn A. Eisenberg, 6. John W. Fox, Jr., 7. P. Michael Giftos, 8. Joel Richards, III, 9. James F. Roberts and 10. Ted G. Wood | Issuer | Yes | For | For |
| | | | 2. Approve the adoption of the company's 2010 Long-Term Incentive Plan. | Issuer | Yes | For | For |
| | | | 3. Ratification of independent registered public accounting firm, KPMG LLP. | Issuer | Yes | For | For |
| | | | | | | | |
Brookfield Properties Corporation | BPO | 112900105 | 5/5/10 | A. The special resolution to decrease the number of directors from 12 to 10 | Issuer | No | | |
| | | | B. Elect ten directors: 1. Mr. Gordon E. Arnell, 2. Mr. William T. Cahill, 3. Mr. Richard B. Clark, 4. Mr. Jack L. Cockwell, 5. Mr. Roderick D. Fraser, 6. Mr. Paul D. McFarlane, 7. Mr. Allan S. Olson, 8. Mr. Robert L. Stelzl, 9. Ms. Diana L. Taylor and 10. Mr. John E. Zuccotti | Issuer | No | | |
| | | | C. The appointment of Deloitte & Touche as auditors and authorizing the directors to fix the auditors' remuneration. | Issuer | No | | |
| | | | | | | | |
Cliffs Natural Resources Inc. | CLF | 18683K101 | 5/11/10 | 1. Elect 11 directors: 1. R.C. Cambre, 2. J. A. Carrabba, 3. S. M. Cunningham, 4. B. J. Eldridge, 5. S. M. Green, 6. J. K. Henry, 7. J. F. Kirsch, 8. F. R. McAllister, 9. R. Phillips, 10. R. K. Riederer and 11. A. Schwartz | Issuer | Yes | For | For |
| | | | 2. Approve and adopt an amendment to our Amended Articles of Incorporation to change certain supermajority shareholder voting requirements contained in the Ohio Revised Code to majority shareholder voting requirements. | Issuer | Yes | For | For |
| | | | 3. Approve the Amendment and Restatement of the 2007 Incentive Equity Plan to (A) increase the authorized number of shares available for issuance under the plan by a total of 7,000,000 common shares and (B) provide an annual limitation on the number of shares available to grant to any one participant in any fiscal year of 500,000 common shares. | Issuer | Yes | For | For |
| | | | 4. Ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm to examine our consolidated financial statements for the 2010 fiscal year. | Issuer | Yes | For | For |
| | | | | | | | |
DiamondRock Hospitality Company | DRH | 252784301 | 4/28/10 | 1. Elect seven directors: 1. William W. McCarten, 2. Daniel J. Altobello, 3. W. Robert Grafton, 4. Maureen L. McAvey, 5. Gilbert T. Ray, 6. John L. Williams and 7. Mark W. Brugger | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of KPMG LLP as the independent auditors for DiamondRock Hospitality Company for the fiscal year ending December 31, 2010 | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
Digital Realty Trust, Inc. | DLR | 253868103 | 4/27/10 | 1. Elect seven directors: 1. Richard A. Magnuson, 2. Michael F. Foust, 3. Laurence A. Chapman, 4. Kathleen Earley, 5. Ruann F. Ernst, PH.D., 6. Dennis E. Singleton and 7. Robert H. Zerbst | 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, 2010 | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
Freeport-McMoran Copper & Gold Inc. | FCX | 35671D857 | 6/9/10 | 1. Elect 12 directors: 1. Richard C. Adkerson, 2. Robert J. Allison, Jr., 3. Robert A. Day, 4. Gerald J. Ford, 5. H. Devon Graham, Jr., 6. Charles C. Krulak, 7. Bobby Lee Lackey, 8. Jon C. Madonna, 9. Dustan E. McCoy, 10. James R. Moffett, 11. B. M. Rankin, Jr. and 12. Stephen H. Siegele | Issuer | Yes | For | For |
| | | | 2. Ratification of the appointment of Ernst & Young LLP as independent registered public accounting firm. | Issuer | Yes | For | For |
| | | | 3. Adoption of the Amended and Restated 2006 Stock Incentive Plan | Issuer | Yes | For | For |
| | | | 4. Stockholder proposal regarding the selection of a candidate with environmental expertise to be recommended for election to the company's board of directors. | Security Holder | Yes | Against | For |
| | | | 5. Stockholder proposal regarding the adoption of a policy requiring senior executives to retain shares acquired through equity compensation programs until two years following termination of their employment. | Security Holder | Yes | Against | For |
| | | | | | | | &n bsp; |
Host Hotels & Resorts, Inc. | HST | 44107P104 | 5/6/10 | 1. Elect eight directors: 1. Robert M. Baylis, 2. Willard W. Brittain, Jr., 3. Terence C. Golden, 4. Ann M. Korologos, 5. Richard E. Marriott, 6. John B. Morse, Jr., 7. Gordon H. Smith and 8. W. Edward Walter, | Issuer | Yes | For | For |
| | | | 2. Ratify appointment of KPMG LLP as independent registered public accountants for 2010 | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
LaSalle Hotel Properties | LHO | 517942108 | 4/22/10 | 1. Elect two directors: 1. Donald S. Perkins and 2. Stuart L. Scott | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of the company's independent registered public accountants for the year ending December 31, 2010 | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
Public Storage | PSA | 74460D109 | 5/6/10 | 1. Elect 13 directors: 1. Wayne Hughes, 2. Ronald L. Havner, Jr., 3. Dann V. Angeloff, 4. William C. Baker, 5. John T. Evans, 6. Tamara Hughes Gustavson, 7. Uri P. Harkham, 8. B. Wayne Hughes, Jr., 9. Harvey Lenkin, 10. Avedick B. Poladian, 11. Gary E. Pruitt, 12. Ronald P. Spogli and 13. Daniel C. Staton | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of Ernst & Young LLP as the company's independent registered public accounting firm for the fiscal year ending December 31, 2010 | Issuer | Yes | For | For |
| | | | | | | | |
Simon Property Group, Inc. | SPG | 828806109 | 5/6/10 | 1. Elect eight directors: 1. Melvyn E. Bergstein, 2. Linda Walker Bynoe, 3. Larry C. Glasscock, 4. Karen N. Horn, PH.D., 5. Allan Hubbard, 6. Reuben S. Leibowitz, 7. Daniel C. Smith, PH.D and 8. J. Albert Smith, Jr. | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of Ernst & Young LLP as independent registered public accounting firm for 2010 | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
SL Green Realty Corp. | SLG | 78440X101 | 6/15/10 | 1. Elect one director: Edwin T. Burton, III | Issuer | Yes | For | For |
| | | | 2. Approve our Second Amended and Restated 2005 Stock Option and Incentive Plan | Issuer | Yes | Against | Against |
| | | | 3. Ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2010 | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
Southern Copper Corporation | SCCO | 84265V105 | 4/29/10 | 1. Elect 14 directors: 1. German Larrea Mota-V, 2. Oscar Gonzalez Rocha, 3. Emilio Carrillo Gamboa, 4. Alfredo Casar Perez, 5. A. De La Parra Zavala, 6. X. Garcia De Quevedo T., 7. Genaro Larrea Mota V, 8. D. Muniz Quintanilla, 9. Armando Ortega Gomez, 10. L.M. Palomino Bonilla, 11. G. Perezalonso Cifuentes, 12. Juan Rebolledo Gout, 13. Carlos Ruiz Sacristan and 14. Luis Tellez Kuenzler | Issuer | Yes | For | For |
| | | | 2. Ratify the Audit Committee's selection of Galaz, Yamazaki, Ruiz Urquiza, S.C., member firm of Deloitte Touche Tohmatsu as independent accountants for 2010 | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
Starwood Hotels & Resorts Worldwide | HOT | 85590A401 | 5/13/10 | 1. Elect 11 directors: 1. Adam Aron, 2. Charlene Barshefsky, 3. Thomas Clarke, 4. Clayton Daley, Jr., 5. Bruce Duncan, 6. Lizanne Galbreath, 7. Eric Hippeau, 8. Stephen Quazzo, 9. Thomas Ryder, 10. Frits Van Paasschen and 11. Kneeland Youngblood | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of Ernst & Young LLP as the company's independent registered public accounting firm for the fiscal year ending December 31, 2010 | Issuer | Yes | For | For |
| | | | 3. Reapprove the Company's Annual Incentive Plan for certain executives | Issuer | Yes | Against | Against |
| | | | | | | | &n bsp; |
Sunstone Hotel Investors, Inc. | SHO | 867892101 | 5/5/10 | 1. Elect seven directors: 1. Robert A. Alter, 2. Arthur L. Buser, Jr., 3. Lewis N. Wolff, 4. Z. Jamie Behar, 5. Thomas A. Lewis, 6. Keith M. Locker and 7. Keith P. Russell | Issuer | Yes | For | For |
| | | | 2. Ratify the Audit Committee's appointment of Ernst & Young LLP to act as the independent registered public accounting firm for the fiscal year ending December 31, 2010 | Issuer | Yes | For | For |
| | | | 3. Approve amendments to the 2004 Long-term Incentive Plan (i) to provide for an increase in the number of authorized shares to be issued under the Long-term incentive plan by 2,200,000 shares and (ii) to prohibit repricing of stock options and stock appreciation rights without the approval of a majority of the company's stockholders | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
Tanger Factory Outlet Centers, Inc. | SKT | 875465106 | 5/14/10 | 1. Elect seven directors: 1. Jack Africk, 2. Steven B. Tanger, 3. William G. Benton, 4. Bridget Ryan Berman, 5. Thomas E. Robinson, 6. Allan L. Schuman and 7. Stanley K. Tanger | Issuer | Yes | For | For |
| | | | | | | | |
| | | | 2. Ratify the appointment of PricewaterhouseCoopers LLP as the company's independent registered public accounting firm for the fiscal year ending December 31, 2010 | Issuer | Yes | For | For |
| | | | 3. Amend the Amended and Restated Incentive Award Plan to increase the aggregate number of shares authorized for issuance under the plan from 6,000,000 shares to 7,700,000 shares and to increase the annual individual award limit from 120,000 shares to 360,000 shares for equity awards from $1,000,000 to $2,000,000 for cash performance awards | Issuer | Yes | Against | Against |
| | | | | | | | &n bsp; |
Teck Resources Limited | TCK | 878742204 | 4/22/10 | 1. Elect 14 directors: 1. M.M. Ashar, 2. J.B. Aune, 3. J.H. Bennett, 4. H.J. Bolton, 5. F.P. Chee, 6. J.L. Cockwell, 7. N.B. Keevil, 8. N.B. Keevil III, 9. T. Kuriyama, 10. D.R. Lindsay, 11. T. Mochihara, 12. J.G. Rennie, 13. W.S.R. Seyffert and 14. C.M. Thompson | Issuer | Yes | For | For |
| | | | 2. Appoint PricewaterhouseCoopers LLP as auditors and to authorize the directors to fix the auditor's remuneration | Issuer | Yes | For | For |
| | | | 3. Approve the adoption of the 2010 Stock Option Plan of the corporation | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
Ventas, Inc. | VTR | 92276F100 | 4/30/10 | 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 selection of Ernst & Young LLP as the independent registered public accounting firm for fiscal year 2010 | Issuer | Yes | For | For |
| | | | 3. Approve stockholder proposal regarding majority voting for directors | Security Holder | Yes | Against | For |
| | | | | | | | &n bsp; |
Wyndham Worldwide Corporation | WYN | 98310W108 | 5/13/10 | 1. Elect two directors: 1. Honourable B. Mulroney and 2. Michael H. Wargotz | Issuer | Yes | For | For |
| | | | 2. Vote on a proposal to ratify the appointment of Deloitte & Touche LLP to serve as our independent registered public accounting firm for fiscal year 2010 | Issuer | Yes | For | For |
| | | | 3. Vote on a proposal to approve the amendment of the Wyndham Worldwide Corporation 2006 Equity and Incentive Plan (as amended and restated as of May 12, 2009) | Issuer | Yes | Against | Against |
| | | | | | | | | | |
Issuer | Ticker | CUSIP | Meeting Date | Matter Voted On | Proposed By Issuer or Security Holder | Was Vote Cast | Actual Vote | For or Against Mgt. |
| | | | | | | | |
Alpha Natural Resources, Inc. | ANR | 02076X102 | 5/19/10 | 1. Elect 10 directors: 1. Michael J. Quillen, 2. William J. Crowley Jr., 3. Kevin S. Crutchfield, 4. E. Linn Draper, Jr., 5. Glenn A. Eisenberg, 6. John W. Fox, Jr., 7. P. Michael Giftos, 8. Joel Richards, III, 9. James F. Roberts and 10. Ted G. Wood | Issuer | Yes | For | For |
| | | | 2. Approve the adoption of the company's 2010 Long-Term Incentive Plan. | Issuer | Yes | For | For |
| | | | 3. Ratification of independent registered public accounting firm, KPMG LLP. | Issuer | Yes | For | For |
| | | | | | | | |
Apple Inc. | AAPL | 037833100 | 2/25/10 | 1. Elect seven directors: 1. William V. Campbell, 2. Millard S. Drexler, 3. Albert A. Gore, Jr., 4. Steven P. Jobs, 5. Andrea Jung, 6. A. D. Levinson, Ph.D. and 7. Jerome B. York | Issuer | Yes | For | For |
| | | | 2. Approve amendments to the Apple Inc. 2003 Employee Stock Plan | Issuer | Yes | Against | Against |
| | | | 3. Approve amendments to the Apple Inc. 1997 Director Stock Option Plan | Issuer | Yes | For | For |
| | | | 4. Hold an Advisory Vote on executive compensation | Issuer | Yes | For | For |
| | | | 5. Ratify the appointment or Ernst & Young LLP as the Company's independent registered public accounting firm for 2010 | Issuer | Yes | For | For |
| | | | 6. Consider a shareholder proposal entitled "Sustainability Report" | Security Holder | Yes | Against | For |
| | | | 7. Consider a shareholder proposal entitled "Amend Corporate bylaws establishing a board committee on sustainability" | Security Holder | Yes | Against | For |
| | | | | | | | &n bsp; |
ArcelorMittal | MT | 03938L104 | 5/11/10 | 1. Approval of the consolidated financial statements for the financial year 2009 | Issuer | Yes | For | For |
| | | | 2. Approval of the parent company annual accounts for the financial year 2009 | Issuer | Yes | For | For |
| | | | 3. Allocation of results (including determination of dividend) in relation to the financial year 2009 | Issuer | Yes | For | For |
| | | | 4. Determination of the compensation of the directors in relation to the financial year 2009 | Issuer | Yes | For | For |
| | | | 5. Discharge of the directors | Issuer | Yes | For | For |
| | | | 6. Acknowledgment of end of mandate of three directors and of co-optation of one director | Issuer | Yes | For | For |
| | | | 7. Election of Mrs. Vanisha Mittal Bhatia as director for a 3 year term | Issuer | Yes | For | For |
| | | | 8. Election of Mr. Jeannot Krecke as director for a 3 year term | Issuer | Yes | For | For |
| | | | 9. Renewal of authorization of the board and of corporate bodies within the ArecelorMittal Group to acquire shares in the company | Issuer | Yes | For | For |
| | | | 10. Appointment of an independent company auditor (Reviseur D'Enterprises) | Issuer | Yes | For | For |
| | | | 11. Authorise the board of directors to issue share options or other equity based awards under Long Term Incentive Plan 2009-2018 | Issuer | Yes | For | For |
| | | | 12. Decision to authorise the board of directors to implement the Employee Share Plan 2010 | Issuer | Yes | For | For |
| | | | 13. Decision to waive the public officer requirement referred to in Article 7.3 of the Articles of Association | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
Cliffs Natural Resources Inc. | CLF | 18683K101 | 5/11/10 | 1. Elect 11 directors: 1. R.C. Cambre, 2. J. A. Carrabba, 3. S. M. Cunningham, 4. B. J. Eldridge, 5. S. M. Green, 6. J. K. Henry, 7. J. F. Kirsch, 8. F. R. McAllister, 9. R. Phillips, 10. R. K. Riederer and 11. A. Schwartz | Issuer | Yes | For | For |
| | | | 2. Approve and adopt an amendment to our Amended Articles of Incorporation to change certain supermajority shareholder voting requirements contained in the Ohio Revised Code to majority shareholder voting requirements. | Issuer | Yes | For | For |
| | | | | | | | |
| | | | 3. Approve the Amendment and Restatement of the 2007 Incentive Equity Plan to (A) increase the authorized number of shares available for issuance under the plan by a total of 7,000,000 common shares and (B) provide an annual limitation on the number of shares available to grant to any one participant in any fiscal year of 500,000 common shares. | Issuer | Yes | For | For |
| | | | 4. Ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm to examine our consolidated financial statements for the 2010 fiscal year. | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
Cummins Inc. | CMI | 231021106 | 5/11/10 | Elect nine directors: 1. Robert J. Bernhard, 2. Franklin R. Chang-Diaz , 3. Robert K Herdman, 4. Alexis M. Herman, 5. N. Thomas Linebarger, 6. William I. Miller, 7. Georgia R. Nelson, 8. Theodore M. Solso, 9. Carl Ware and 10. Proposal to ratify the appointment of PricewaterhouseCoopers LLP as auditors for the year 2010 | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
FedEx Corporation | FDX | 31428X106 | 9/28/09 | 1. Elect 12 directors: 1. James L. Barksdale, 2. John A. Edwardson, 3. Judith L. Estrin, 4. J.R. Hyde, III, 5. Shirley A. Jackson, 6. Steven R. Loranger, 7. Gary W. Loveman, 8. Susan C. Schwab, 9. Frederick W. Smith, 10. Joshua I. Smith, 11. David P. Steiner and 12. Paul S. Walsh | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of Ernst & Young LLP as FedEx's independent registered public accounting firm for fiscal year 2010 | Issuer | Yes | For | For |
| | | | 3. Approve stockholder proposal regarding independent board chairman | Security Holder | Yes | Against | For |
| | | | 4. Approve stockholder proposal regarding special shareowner meetings | Security Holder | Yes | Against | For |
| | | | 5. Approve stockholder proposal regarding shareholder vote on executive pay | Security Holder | Yes | Against | For |
| | | | 6. Approve stockholder proposal regarding health care reform principles | Security Holder | Yes | Against | For |
| | | | | | | | &n bsp; |
Ford Motor Company | F | 345370860 | 5/13/10 | 1. Elect 13 directors: 1. Stephen G. Butler, 2. Kimberly A. Casiano, 3. Anthony F. Earley, Jr., 4. Edsel B. Ford II, 5. William Clay Ford, Jr., 6. Richard A. Gephardt, 7. Irvine O. Hockaday, Jr., 8. Richard A. Manoogian, 9. Ellen R. Marram, 10. Alan Mulally, 11. Homer A. Neal, 12. Gerald L. Shaheen and 13. John L. Thornton | Issuer | Yes | For | For |
| | | | 2. Ratification of selection of independent registered public accounting firm. | Issuer | Yes | For | For |
| | | | 3. Approval of tax benefit preservation plan. | Issuer | Yes | For | For |
| | | | 4. Shareholder proposal relating to disclosing any prior government affiliation of directors, officers, and consultants. | Security Holder | Yes | Against | For |
| | | | 5. Shareholder proposal relating to consideration of a recapitalization plan to provide that all of company's outstanding stock have one vote per share. | Security Holder | Yes | Against | For |
| | | | 6. Shareholder proposal relating to the company issuing a report disclosing policies and procedures related to political contributions. | Security Holder | Yes | Against | For |
| | | | 7. Shareholder proposal relating to providing shareholders the opportunity to cast an advisory vote to ratify the compensation of the named executives. | Security Holder | Yes | Against | For |
| | | | | | | | |
| | | | 8. Shareholder proposal relating to the company not funding any energy savings projects that are solely concerned with CO2 reduction. | Security Holder | Yes | Against | For |
| | | | | | | | &n bsp; |
Freeport-McMoran Copper & Gold Inc. | FCX | 35671D857 | 6/9/10 | 1. Elect 12 directors: 1. Richard C. Adkerson, 2. Robert J. Allison, Jr., 3. Robert A. Day, 4. Gerald J. Ford, 5. H. Devon Graham, Jr., 6. Charles C. Krulak, 7. Bobby Lee Lackey, 8. Jon C. Madonna, 9. Dustan E. McCoy, 10. James R. Moffett, 11. B. M. Rankin, Jr. and 12. Stephen H. Siegele | Issuer | Yes | For | For |
| | | | 2. Ratification of the appointment of Ernst & Young LLP as independent registered public accounting firm. | Issuer | Yes | For | For |
| | | | 3. Adoption of the Amended and Restated 2006 Stock Incentive Plan | Issuer | Yes | For | For |
| | | | 4. Stockholder proposal regarding the selection of a candidate with environmental expertise to be recommended for election to the company's board of directors. | Security Holder | Yes | Against | For |
| | | | 5. Stockholder proposal regarding the adoption of a policy requiring senior executives to retain shares acquired through equity compensation programs until two years following termination of their employment. | Security Holder | Yes | Against | For |
| | | | | | | | &n bsp; |
Gilead Sciences, Inc. | GILD | 375558103 | 5/11/10 | 1. Elect 13 directors: 1. Paul Berg, 2. John F. Cogan, 3. Etienne F. Davignon, 4. James M. Denny, 5. Carla A. Hills, 6. Kevin E. Lofton, 7. John W. Madigan, 8. John C. Martin, 9. Gordon E. Moore, 10. Nicholas G. Moore, 11. Richard J. Whitley, 12. Gayle E. Wilson and 13. Per Wold-Olsen | 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, 2010. | Issuer | Yes | For | For |
| | | | 3. Stockholder proposal requesting that the board take steps to adopt majority voting standards in Gilead's Certificate of Incorporation and By-laws. | Security Holder | Yes | Against | For |
| | | | | | | | &n bsp; |
The Goldman Sachs Group, Inc. | GS | 38141G104 | 5/7/10 | 1. Elect 11 directors: 1. Lloyd C. Blankfein, 2. John H. Bryan, 3. Gary D. Cohn, 4. Claes Dahlback, 5. Stephen Friedman, 6. William W. George, 7. James A. Johnson, 8. Louis D. Juliber, 9. Lakshmi N. Mittal, 10. James J. Schiro and 11. H. Lee Scott, Jr. | Issuer | Yes | For | For |
| | | | 2. Ratification of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our 2010 fiscal year | Issuer | Yes | For | For |
| | | | 3. An advisory vote on executive compensation matters | Issuer | Yes | For | For |
| | | | 4. Approval of amendments to our Restated Certificate of Incorporation to eliminate supermajority voting | Issuer | Yes | For | For |
| | | | 5. Approval of an amendment to our Restated Certificate of Incorporation to permit holders of 25% of our outstanding shares of common stock to call special meetings | Issuer | Yes | For | For |
| | | | 6. Shareholder proposal regarding cumulative voting | Security Holder | Yes | Against | For |
| | | | 7. Shareholder proposal regarding collateral in over-the-counter derivatives trading | Security Holder | Yes | Against | For |
| | | | 8. Shareholder proposal regarding separate chair & CEO | Security Holder | Yes | Against | For |
| | | | | | | | |
| | | | 9. Shareholder proposal regarding a report on political contributions | Security Holder | Yes | Against | For |
| | | | 10. Shareholder proposal regarding a report on global warming science | Security Holder | Yes | Against | For |
| | | | 11. Shareholder proposal regarding a report on pay disparity | Security Holder | Yes | Against | For |
| | | | 12. Shareholder proposal regarding executive compensation and long-term performance | Security Holder | Yes | Against | For |
| | | | | | | | &n bsp; |
Google Inc. | GOOG | 38259P508 | 5/13/10 | 1. Elect 9 directors: 1. Eric Schmidt, 2. Sergey Brin, 3. Larry Page, 4. L. John Doerr, 5. John L. Hennessy, 6. Ann Mather, 7. Paul S. Otellini, 8. K. Ram Shriram and 9. Shirley M. Tilghman | Issuer | Yes | For | For |
| | | | 2. The ratification of Ernst & Young LLP as Google's independent registered public accounting firm for the fiscal year ending December 31, 2010. | Issuer | Yes | For | For |
| | | | 3. The approval of an amendment to Google's 2004 Stock Plan to increase the number of authorized shares of Class A common stock issuable under the plan by 6,500,000. | Issuer | Yes | Against | Against |
| | | | 4. A stockholder proposal regarding a sustainability report. | Security Holder | Yes | Against | For |
| | | | 5. A stockholder proposal regarding online advertising, privacy and sensitive information. | Security Holder | Yes | Against | For |
| | | | 6. A stockholder proposal regarding the adoption of human rights principles with respect to business in China. | Security Holder | Yes | Against | For |
| | | | | | | | &n bsp; |
Magna International Inc. | MGA | 559222401 | 6/28/10 | 1. The Special Resolution approving the Plan of Arrangement (the "Arrangement") under Section 182 of the Business Corporations Act (Ontario) involving Magna International Inc. ("Magna"), Magna E-Car Systems L.P., The Stronach Trust and certain other parties, as more particularly described in the management information circular/proxy statement dated May 31, 2010 (the "circular") (as the arrangement may be or has been modified or amended), and the transactions contemplated by the transaction agreement dated May 6, 2010 among Magna, 446 Holdings Inc. and The Stronach Trust, the full text of which special resolution is set forth in Appendix A to the circular. | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
Morgan Stanley | MS | 617446448 | 5/18/10 | 1. Elect 13 directors: 1. Roy J. Bostock, 2. Erskine B. Bowles, 3. Howard J. Davies, 4. James P. Gorman, 5. James H. Hance, Jr., 6. Nobuyuki Hirano 7. C. Robert Kidder, 8. John J. Mack, 9. Donald T. Nicolaisen, 10. Charles H. Noski, 11. Hutham S. Olayan, 12. O. Griffith Sexton and 13. Laura D. Tyson | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of Deloitte & Touche LLP as independent Auditor | Issuer | Yes | For | For |
| | | | 3. Approve Compensation of Executives as disclosed in the proxy statement (non-binding advisory resolution) | Issuer | Yes | For | For |
| | | | 4. Amend the 2007 Equity Incentive Compensation Plan | Issuer | Yes | Against | Against |
| | | | 5. Shareholder proposal regarding special shareowner meetings | Security Holder | Yes | Against | For |
| | | | 6. Shareholder proposal regarding executive equity holdings requirement | Security Holder | Yes | Against | For |
| | | | 7. Shareholder proposal regarding independent chair | Security Holder | Yes | Against | For |
| | | | | | | | |
| | | | 8. Shareholder proposal regarding report on pay disparity | Security Holder | Yes | Against | For |
| | | | 9. Shareholder proposal regarding recoupment of management bonuses | Security Holder | Yes | Against | For |
| | | | | | | | &n bsp; |
Nike, Inc. | NKE | 654106103 | 9/21/09 | 1. Elect three directors: 1. Jill K. Conway, 2. Alan B. Graf, Jr. and 3. John C. Lechleiter | Issuer | Yes | For | For |
| | | | 2. Approve an amendment to the Nike, Inc. Employee Stock Purchase Plan | Issuer | Yes | For | For |
| | | | 3. Ratify the appointment of PricewaterhouseCoopers LLP as independent registered public accounting firm | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
Peabody Energy Corporation | BTU | 704549104 | 5/4/10 | 1. Elect ten directors: 1. Gregory H. Boyce, 2. William A. Coley, 3. William E. James, 4. Robert B. Karn III, 5. M. Frances Keeth, 6. Henry E. Lentz, 7. Robert A. Malone, 8. William C. Rusnack, 9. John F. Turner and 10. Alan H. Washkowitz | 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, 2010 | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
The PNC Financial Services Group, Inc. | PNC | 693475105 | 4/27/10 | 1. Elect 17 directors: 1. Richard O. Berndt, 2. Charles E. Bunch, 3. Paul W. Chellgren, 4. Robert N. Clay, 5. Kay Coles James, 6. Richard B. Kelson, 7. Bruce C. Lindsay, 8. Anthony A. Massaro, 9. Jane G. Pepper, 10. James E. Rohr, 11. Donald J. Shepard, 12. Lorene K. Steffes, 13. Dennis F. Strigl, 14. Stephen G. Thieke, 15. Thomas J. Usher, 16. George H. Walls, Jr. and 17. Helge H. Wehmeier | Issuer | Yes | For | For |
| | | | 2. Ratify the Audit Committee's selection of PricewaterhouseCoopers LLP as PNC's independent registered public accounting firm for 2010 | Issuer | Yes | For | For |
| | | | 3. Approve an advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | 4. Approve shareholder proposal regarding approval of severance agreements | Security Holder | Yes | Against | For |
| | | | 5. Approve shareholder proposal regarding a report of executive compensation that is not tax deductible | Security Holder | Yes | Against | For |
| | | | | | | | &n bsp; |
Research In Motion Limited | RIMM | 760975102 | 7/14/09 | 1. Elect seven directors: 1. Mike Lazaridis, 2. James Estill, 3. David Kerr, 4. Roger Martin, 5. John Richardson, 6. Barbara Stymiest and 7. John Wetmore | Issuer | Yes | For | For |
| | | | 2. Re-appoint Ernst & Young LLP as independent auditors of the company and authorize the directors to fix their remuneration | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
Seagate Technology | STX | G7945J104 | 4/14/10 | S1. Approve the Scheme of Arrangement | Issuer | Yes | For | For |
| | | | S2. Approve the motion to adjourn the special meeting to a later date to solicit additional proxies if there are insufficient proxies or shareholders present to conduct the vote on the Scheme of Arrangement proposal or to approve the Scheme of Arrangement proposal at the time of the meeting | Issuer | Yes | For | For |
| | | | E1. Approve the cancellation of Seagate-Cayman's share capital which is necessary in order to effect the Scheme of Arrangement and is a condition to proceeding with the Scheme of Arrangement (the "Capital Reduction Proposal") | Issuer | Yes | For | For |
| | | | | | | | |
| | | | E2. Approve the creation of "Distributable Reserves" of Seagate-Ireland which are required under Irish law in order to permit Seagate to pay dividends and repurchase or redeem shares following the transaction. Approval of the proposal to create distributable reserves is not a condition to proceeding with the Scheme of Arrangement | Issuer | Yes | For | For |
| | | | E3. Approve a motion to adjourn the meeting to a later date to solicit additional proxies if there are insufficient proxies or shareholders | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
Southern Copper Corporation | SCCO | 84265V105 | 4/29/10 | 1. Elect 14 directors: 1. German Larrea Mota-V, 2. Oscar Gonzalez Rocha, 3. Emilio Carrillo Gamboa, 4. Alfredo Casar Perez, 5. A. De La Parra Zavala, 6. X. Garcia De Quevedo T., 7. Genaro Larrea Mota V, 8. D. Muniz Quintanilla, 9. Armando Ortega Gomez, 10. L.M. Palomino Bonilla, 11. G. Perezalonso Cifuentes, 12. Juan Rebolledo Gout, 13. Carlos Ruiz Sacristan and 14. Luis Tellez Kuenzler | Issuer | Yes | For | For |
| | | | 2. Ratify the Audit Committee's selection of Galaz, Yamazaki, Ruiz Urquiza, S.C., member firm of Deloitte Touche Tohmatsu as independent accountants for 2010 | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
Teck Resources Limited | TCK | 878742204 | 4/22/10 | 1. Elect 14 directors: 1. M.M. Ashar, 2. J.B. Aune, 3. J.H. Bennett, 4. H.J. Bolton, 5. F.P. Chee, 6. J.L. Cockwell, 7. N.B. Keevil, 8. N.B. Keevil III, 9. T. Kuriyama, 10. D.R. Lindsay, 11. T. Mochihara, 12. J.G. Rennie, 13. W.S.R. Seyffert and 14. C.M. Thompson | Issuer | Yes | For | For |
| | | | 2. Appoint PricewaterhouseCoopers LLP as auditors and to authorize the directors to fix the auditor's remuneration | Issuer | Yes | For | For |
| | | | 3. Approve the adoption of the 2010 Stock Option Plan of the corporation | Issuer | Yes | For | For |
| | | | | | | | &n bsp; |
The TJX Companies, Inc. | TJX | 872540109 | 6/2/10 | 1A - Election of Director: Jose B. Alvarez | Issuer | Yes | For | For |
| | | | 1B - Election of Director: Alan M. Bennett | Issuer | Yes | For | For |
| | | | 1C - Election of Director: David A. Brandon | Issuer | Yes | For | For |
| | | | 1D - Election of Director: Bernard Cammarata | Issuer | Yes | For | For |
| | | | 1E - Election of Director: David T. Ching | Issuer | Yes | For | For |
| | | | 1F - Election of Director: Michael F. Hines | Issuer | Yes | For | For |
| | | | 1G - Election of Director: Amy B. Lane | Issuer | Yes | For | For |
| | | | 1H - Election of Director: Carol Meyrowitz | Issuer | Yes | For | For |
| | | | 1I - Election of Director: John F. O'Brien | Issuer | Yes | For | For |
| | | | 1J - Election of Director: Willow B. Shire | Issuer | Yes | For | For |
| | | | 1K - Election of Director: Fletcher H. Wiley | Issuer | Yes | For | For |
| | | | 2. Ratify the appointment of PricewaterhouseCoopers LLP | Issuer | Yes | For | For |
| | | | 3. Advisory vote on executive compensation | Security Holder | Yes | Against | For |
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 27, 2010 |
* Print the name and title of each signing officer under his or her signature.