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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
| |
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 |
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Date of fiscal year end: | 12/31 |
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Date of reporting period: | 7/1/13 -- 6/30/14 |
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. |
| | | | | | | | | | |
Actavis PLC. | ACT | G0083B108 | 5/9/14 | | 1. Elect twelve directors: A. Paul M. Bisaro, B. James H. Bloem, C. Christopher W. Bodine, D. Tamar D. Howson, E. John A. King, F. Catherine M. Klema, G. Jiri Michal, H. Sigurdur Oli Olafsson, I. Patrick J. O'Sullivan, J. Ronald R. Taylor, K. Andrew L. Turner, L. Fred G. Weiss. | | Issuer | Yes | For | For |
| | | | | 2. To approve, on an advisory basis, named executive officer compensation. | | Issuer | Yes | For | For |
| | | | | 3. To Ratify the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm. | | Issuer | Yes | For | For |
| | | | | 4. To vote on a shareholder proposal requesting the company to issue a sustainability report. | | Security Holder | Yes | Against | For |
| | | | | | | | | | |
Actavis PLC | ACT | G0083B108 | 6/17/14 | | 1. Approve the issuance of ordinary shares pursuant to the agreement and plan of merger, dated February 17, 2014, among Actavis PLC, Forest Laboratories, Inc., Tango US Holdings Inc., Tango merger sub 1 LLC and Tango merger sub 2 LLC. | | Issuer | Yes | For | For |
| | | | | 2. Approve any motion to adjourn the Actavis extradordinary general meeting or any other adjournments thereof, to another time or place if necessary or appropriate to, among other things, solicit additional proxies if there are insufficient votes at the time of the Actavis EGM to approve the Actavis share issuance proposal. | | Issuer | Yes | For | For |
| | | | | | | | | | |
American Airlines Group, Inc. | AAL | 02376R102 | 6/4/14 | | 1. Elect eleven directors: A. James F. Albaugh, B. Jeffrey D. Benjamin, C. John T. Cahill, D. Michael J. Embler, E. Matthew J. Hart, F. Alberto Ibarguen, G. Richard C. Kraemer, H. Denise M. O'Leary, I. W. Douglas Parker, J. Ray M. Robinson, K. Richard P. Schifter. | | Issuer | Yes | For | For |
| | | | | 2. A proposal to ratify the appointment of KPMG LLP as the independent registered public accounting firm. | | Issuer | Yes | For | For |
| | | | | 3. A proposal to consider and approve, on a non-binding advisory basis, the compensation of American Airlines Group, Inc.'s named executive officers. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Baker Hughes Incorporated | BHI | 57224107 | 4/24/14 | | 1. Elect eleven directors: A. Larry D. Brady, B. Clarence P. Cazalot, Jr., C. Martin S. Craighead, D. Ly nn L. Elsenhans, E. Anthony G. Fernandes, F. Claire W. Gargalli, G. Pierre H. Jungels, H. James A. Lash, I. J. Larry Nichols, J. James W. Stewart, K. Charles L. Watson. | | Issuer | Yes | For | For |
| | | | | 2. An advisory vote related to the Company's executive compensation program. | | Issuer | Yes | For | For |
| | | | | 3. Ratification of Deloitte & Touche LLP as Company's independent registered public accounting firm for fiscal year 2014. | | Issuer | Yes | For | For |
| | | | | | | | | | |
| | | | | 4. The approval of the amended and restated Baker Hughes Incorporated 2002 director & officer long-term incentive plan. | | Issuer | Yes | Against | Against |
| | | | | 5. The approval of the amended and restated Baker Hughes Incorporated 2002 employee long-term incentive plan. | | Issuer | Yes | Against | Against |
| | | | | | | | | | |
Borgwarner Inc. | BWA | 99724106 | 4/30/14 | | 1. Elect three directors: 1. Jan Carlson, 2. Dennis C. Cuneo, 3. Vicki L. Sato | | Issuer | Yes | For | For |
| | | | | 2. Ratify selection of PricewaterhouseCoopers LLP as independent registered public accounting firm for the company for 2014. | | Issuer | Yes | For | For |
| | | | | 3. Advisory approval of the Company's executive compensation. | | Issuer | Yes | For | For |
| | | | | 4. Approval of Borgwarner Inc. 2014 stock incentive plan. | | Issuer | Yes | For | For |
| | | | | 5. Amendment of the Company's restated certificate of incorporation. | | Issuer | Yes | For | For |
| | | | | 6. Stockholder proposal concerning simple majority voting. | | Security Holder | Yes | Against | For |
| | | | | | | | | | |
Citigroup Inc. | C | 172967424 | 4/22/14 | | 1. Elect fourteen directors: A. Michael L. Corbat, B. Duncan P. Hennes, C. Franz B. Humer, D. Eugene M. McQuade, E. Michael E. O'Neill, F. Gary M. Reiner, G. Judith Rodin, H. Robert L. Ryan, I. Anthony M. Santomero, J. Joan E. Spero, K. Diana L. Taylor, L. William S. Thompson, Jr., M. James S. Turley, N. Ernesto Zedillo Ponce de Leon. | | Issuer | Yes | For | For |
| | | | | 2. Ratify the selection of KPMG, LLP as Citi's independent registered public accounting firm for 2014. | | Issuer | Yes | For | For |
| | | | | 3. Advisory approval of Citi's 2013 executive compensation. | | Issuer | Yes | For | For |
| | | | | 4. Approval of the Citigroup 2014 stock incentive plan. | | Issuer | Yes | For | For |
| | | | | 5. Stockholder proposal requesting executives retain a significant portion of their stock until reaching normal retirement age. | | Security Holder | Yes | Against | For |
| | | | | 6. Stockholder proposal requesting a report on lobbying and grassroots lobbying contributions. | | Security Holder | Yes | Against | For |
| | | | | 7. Stockholder proposal requesting that the Board institute a policy to make it more practical to deny indemnification for directors. | | Security Holder | Yes | Against | For |
| | | | | 8. Stockholder proposal requesting proxy access for shareholders. | | Security Holder | Yes | Against | For |
| | | | | | | | | | |
Delphi Automotive PLC | DLPH | G27823106 | 4/3/14 | | 1. Elect eleven directors: 1. Gary L. Cowger, 2. Nicholas M. Donofrio, 3. Mark P. Frissora, 4. Rajiv L. Gupta, 5. John A. Krol, 6. J. Randall Macdonald, 7. Sean O. Mahoney, 8. Rodney O'Neal, 9. Thomas W. Sidlik, 10. Bernd Wiedemann, 11. Lawrence A. Zimmerman. | | Issuer | Yes | For | For |
| | | | | 2. Ratify the re-appointment of Ernst & Young LLP as independent registered public accounting firm for Delphi Automotive and authorize the directors to determine the fees paid to the auditors. | | Issuer | Yes | For | For |
| | | | | 3. Approve advisory vote on executive compensation. | | Issuer | Yes | For | For |
| | | | | | | | | | |
| | | | | | | | | | |
D. R. Horton, Inc. | DHI | 23331A109 | 1/23/14 | | 1. Elect six directors: A. Donald R. Horton, B. Barbara K. Allen C. Bradley S. Anderson, D. Michael R. Buchanan, E. Michael W. Hewatt, and F. Donald J. Tomnitz. | | Issuer | Yes | For | For |
| | | | | 2. Approve advisory vote on executive compensation. | | Issuer | Yes | For | For |
| | | | | 3. Ratify the re-appointment of PricewaterhouseCoopers LLP as D.R. Hortons independent registered public accounting firm. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Google Inc. | GOOG | 38259P508 | 5/14/14 | | 1. Elect ten directors: 1. Larry Page, 2. Sergey Brin, 3. Eric E. Schmidt, 4. L. John Doerr, 5. Diane B. Greene, 6. John L. Hennessy, 7. Ann Mather, 8. Paul S. Otellini, 9. K. Ram Shriram, 10. Shirley M. Tilghman. | | Issuer | Yes | For | For |
| | | | | 2. Ratification of Ernst & Young LLP as Google's independent registered public accounting firm for the fiscal year ending December 31, 2014. | | Issuer | Yes | For | For |
| | | | | 3. Approval of 2013 compensation awarded to named executive officers. | | Issuer | Yes | For | For |
| | | | | 4. Stockholder proposal regarding equal shareholder voting. | | Security Holder | Yes | Against | For |
| | | | | 5. Stockholder proposal regarding a lobbying report. | | Security Holder | Yes | Against | For |
| | | | | 6. Stockholder proposal regarding the adoption of a majority vote standard for the election of directors. | | Security Holder | Yes | Against | For |
| | | | | 7. Stockholder proposal regarding tax policy principles. | | Security Holder | Yes | Against | For |
| | | | | 8. Stockholder proposal regarding an independent chairman of the board policy. | | Security Holder | Yes | Against | For |
| | | | | | | | | | |
Jones Lang Lasalle Incorporated | JLL | 48020Q107 | 5/30/14 | | 1. Elect ten directors: A. Hugo Bague, B. Colin Dyer, C. Dame Deanne Julius, D. Kate S. Lavelle, E. Ming Lu, F. Martin H. Nesbitt, G. Sheila A. Penrose, H. Shailesh Rao, I. David B. Rickard, J. Roger T. Staubach. | | Issuer | Yes | For | For |
| | | | | 2. Approve, by non-binding vote executive compensation. | | Issuer | Yes | For | For |
| | | | | 3. Ratify appointment of KPMG LLP as Company's independent registered public accounting firm for the year ending December 31, 2014. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Kohl's Corpration | KSS | 500255104 | 5/15/14 | | 1. Elect ten directors: A. Peter Boneparth, B. Steven A. Burd, C. Dale E. Jones, D. Kevin Mansell, E. John E. Schlifske, F. Frank V. Sica, G. Peter M. Sommerhauser, H. Stephanie A. Streeter, I. Nina G. Vaca, J. Stephen E. Watson. | | Issuer | Yes | For | For |
| | | | | 2. Ratify appointment of Ernst & Young LLP as independent registered public accounting firm. | | Issuer | Yes | For | For |
| | | | | 3. Advisory vote on approval of named executive officer compensation. | | Issuer | Yes | For | For |
| | | | | 4. Shareholder proposal regarding executives retaining significant stock. | | Security Holder | Yes | Against | For |
| | | | | 5. Shareholder proposal regarding annual report on the costs, benefits and scientific support for sustainability initiatives. | | Security Holder | Yes | Against | For |
| | | | | | | | | | |
| | | | | | | | | | |
Lennar Corporation | LEN | 526057104 | 4/9/14 | | 1. Elect nine directors to serve until next Annual Meeting: 1. Irving Bolotin, 2. Steven L. Gerard, 3. Theron I. (TIG) Gilliam, 4. Sherrill W. Hudson, 5. R. Kirk Landon, 6. Sidney Lapidus, 7. Stuart A. Miller, 8. Teri P. McClure and 9. Jeffrey Sonnenfeld. | | Issuer | Yes | For | For |
| | | | | 2. Ratify the appointment of Deloitte & Touche LLP as Company's independent registered public accounting firm for fiscal year ending November 30, 2014. | | Issuer | Yes | For | For |
| | | | | 3. Advisory, (non-binding "say on pay") vote to approve named executives compensation. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Magna International Inc. | MGA | 559222401 | 5/8/14 | | 1. Elect eleven directors: 1. Scott B. Bonham, 2. Peter G. Bowie, 3. Hon. J. Trevor Eyton, 4. V. Peter Harder, 5. Lady Barbara Judge, 6. Dr. Kurt J. Lauk, 7. Cynthia A. Niekamp, 8. Dr. I.V. Samarasekera, 9. Donald J. Walker, 10. Lawrence D. Worrall, 11. William L. Young. | | Issuer | Yes | For | For |
| | | | | 2. Appointment of Deloitte LLP as independent auditor of the corporation and authorization of the audit committee to fix the independent auditor's remuneration. | | Issuer | Yes | For | For |
| | | | | 3. Resolved, on an advisory basis and not to diminish the roles and responsibilities of the board of directors, that the shareholders accept the approach to executive compensation disclosed in the accompanying management information circular/proxy statement. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Polaris Industries Inc. | PII | 731068102 | 4/24/14 | | 1. Elect four directors: 1. Kevin M. Farr, 2. Gary E. Hendrickson, 3. R.M. (Mark) Schreck, and 4. William G. Van Dyke. | | Issuer | Yes | For | For |
| | | | | 2. Approval of the amended and restated senior executive annual incentive compensation plan. | | Issuer | Yes | For | For |
| | | | | 3. Ratify the selection of Ernst & Young LLP to serve as the independent registered public accounting firm of Polaris Industries Inc. | | Issuer | Yes | For | For |
| | | | | 4. Advisory vote on executive compensation. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Southwest Airlines Co. | LUV | 844741108 | 5/14/14 | | 1. Elect ten directors: A. David W. Biegler, B. J. Veronica Biggins, C. Douglas H. Brooks, D. William H. Cunningham, E. John G. Denison, F. Gary C. Kelly, G. Nancy B. Loeffler, H. John T. Montford, I. Thomas M. Nealon, J. Daniel D. Villanueva. | | Issuer | Yes | For | For |
| | | | | 2. Advisory vote to approve named executive officer compensation. | | Issuer | Yes | For | For |
| | | | | 3. Ratify selection of Ernst & Young LLP as the Company's independent auditors for the fiscal year ending December 31, 2014. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Toll Brothers, Inc. | TOL | 889478103 | 3/12/14 | | 1. Elect ten directors: 1. Robert I. Toll, 2. Bruce E. Toll, 3. Douglas C. Yearley, JR. 4. Robert S. Blank, 5. Edward G. Boehne, 6. Richard J. Braemer, 7. Christine N. Garvey, 8. Carl B. Marbach, 9. Stephen A. Novick, and 10. Paul E. Shapiro. | | Issuer | Yes | For | For |
| | | | | 2. Ratify the re-appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the 2014 fiscal year. | | Issuer | Yes | For | For |
| | | | | | | | | | |
| | | | | 3. Approve, in an advisory and non-binding vote, the compensation of the Company's named executive officers. | | Issuer | Yes | For | For |
| | | | | 4. Approve the 2014 Toll Brothers, Inc. stock incentive plan for employees. | | Issuer | Yes | For | For |
| | | | | | | | | | |
United Continental Holdings, Inc. | UAL | 910047109 | 6/11/14 | | 1. Elect eleven directors: A. Carolyn Corvi, B. Jane C. Garvey, C. Walter Isaacson, D. Henry L. Meyer III, E. Oscar Munoz, F. William R. Nuti, G. Laurence E. Simmons, H. Jeffery A. Smisek, I. David J. Vitale, J. John H. Walker, K. Charles A. Yamarone. | | Issuer | Yes | For | For |
| | | | | 2. Ratification of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm. | | Issuer | Yes | For | For |
| | | | | 3. Advisory resolution approving the compensation of the Company's named executive officers. | | Issuer | Yes | For | For |
| | | | | 4. Approval of the amendment and restatement of the United Continental Holdings, Inc. 2006 director equity incentive plan. | | Issuer | Yes | For | For |
| | | | | | | | | | |
VF Corporation | VFC | 918204108 | 4/22/14 | | 1. Elect 8 directors: 1. Richard T. Carucci, 2. Juliana L. Chugg, 3. Juan Ernesto De Bedout, 4. Ursula O. Fairbairn, 5. George Fellows, 6. Clarence Otis, JR., 7. Matthew J. Shattock, 8. Eric C. Wiseman. | | Issuer | Yes | For | For |
| | | | | 2. Advisory vote to approve named executive compensation. | | Issuer | Yes | For | For |
| | | | | 3. Ratification of the selection of PricewaterhouseCoopers LLP as VF's independent registered public accounting firm for the 2014 fiscal year. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Weatherford International Ltd. | WFT | H27013103 | 06/16/14 | | 1. Adopt the merger agreement (Weatherford Switzerland into Weatherford Ireland). | | Issuer | Yes | For | For |
| | | | | 2. Approve the distibutable profits proposal. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Issuer | Ticker | CUSIP | Meeting
Date | | Matter
Voted On | | Proposed
By Issuer or
Security Holder | Was
Vote
Cast | Actual
Vote | For or
Against
Mgt. |
| | | | | | | | | | |
Bank of America Corporation | BAC | 60505104 | 5/7/14 | | 1. Elect fifteen directors: A. Sharon L. Allen, B. Susan S. Bies, C. Jack O. Bovender, Jr., D. Frank P. Bramble, Sr., E. Pierre J.P. De Weck, F. Arnold W. Donald, G. Charles K. Gifford, H. Charles O. Holliday, Jr., I. Linda P. Hudson, J. Monica C. Lozano, K. Thomas J. May, L. Brian T. Moynihan, M. Lionel L. Nowell, III, N. Clayton S. Rose, O. R. David Yost. | | Issuer | Yes | For | For |
| | | | | 2. Advisory non-binding resolution to approve executive compensation. | | Issuer | Yes | For | For |
| | | | | 3. Ratify appointment of PricewaterhouseCoopers LLP as Company's registered independent public accounting firm for 2014. | | Issuer | Yes | For | For |
| | | | | 4. Approval of amendment to the series T preferred stock. | | Issuer | Yes | For | For |
| | | | | 5. Stockholder proposal regarding cumulative voting in director elections. | | Security Holder | Yes | Against | For |
| | | | | 6. Stockholder proposal regarding proxy access. | | Security Holder | Yes | Against | For |
| | | | | 7. Stockholder proposal regarding climate change report. | | Security Holder | Yes | Against | For |
| | | | | 8. Stockholder proposal regarding lobbying report. | | Security Holder | Yes | Against | For |
| | | | | | | | | | |
CBRE Group, Inc. | CBG | 12504L109 | 5/16/14 | | 1. Elect ten directors: 1. Richard C. Blum, 2. Brandon B. Boze, 3. Curtis F. Feeny, 4. Bradford M. Freeman, 5. Michael Kantor, 6. Frederic V. Malek, 7. Robert E. Sulentic, 8. Laura D. Tyson, 9. Gary L. Wilson, 10. Ray Wirta. | | Issuer | Yes | For | For |
| | | | | 2. Ratification of KPMG LLP as Company's independent registered public accounting firm for 2014. | | Issuer | Yes | For | For |
| | | | | 3. Advisory vote to approve name executive officer compensation for 2013. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Chesapeake Lodging Trust | CHSP | 165240102 | 5/16/14 | | 1. Elect seven trustees: A. James L. Francis, B. Douglas W. Vicari, C. Thomas A. Natelli, D. Thomas D. Eckert, E. John W. Hill, F. George F. McKenzie, G. Jeffrey D. Nuechterlein. | | Issuer | Yes | For | For |
| | | | | 2. Consider and vote upon a proposal to ratify the appointment of Ernst & Young LLP as the Trust's independent registered public accounting firm for 2014. | | Issuer | Yes | For | For |
| | | | | 3. Consider and vote upon a non-binding advisory proposal to approve the Trust's executive compensation programs. | | Issuer | Yes | For | For |
| | | | | | | | | | |
DiamondRock Hospitality Co. | DRH | 252784301 | 5/6/14 | | 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. Bruce D. Wardinski, 7. Mark W. Brugger. | | Issuer | Yes | For | For |
| | | | | 2. Approve, on a non-binding, advisory basis, the compensation of the named executive officers. | | Issuer | Yes | For | For |
| | | | | | | | | | |
| | | | | 3. Ratify the appointment of KPMG LLP as the independent auditors for DiamondRock Hospitality Company for the fiscal year ending December 31, 2014. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Extra Space Storage Inc. | EXR | 30225T102 | 5/21/14 | | 1. Elect seven directors: 1. Kenneth M. Woolley, 2. Spencer F. Kirk, 3. Karl Hass, 4. Joseph D. Margolis, 5. Diane Olmstead, 6. Roger B. Porter, 7. K. Fred Skousen. | | Issuer | Yes | For | For |
| | | | | 2. Ratification of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm. | | Issuer | Yes | For | For |
| | | | | 3. Advisory vote on the compensation of the Company's named executive officers. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Host Hotels & Resorts, Inc. | HST | 44107P104 | 5/14/14 | | 1. Elect nine directors: 1. Mary L. Baglivo, 2. Sheila C. Bair, 3. Terence C. Golden, 4. Ann M. Korologos, 5. Richard E. Marriott, 6. John B. Morse, Jr., 7. Walter C. Rakowich, 8. Gordon H. Smith, 9. W. Edward Walter. | | Issuer | Yes | For | For |
| | | | | 2. Ratify appointment of KPMG LLP as independent registered public accountants for 2014. | | Issuer | Yes | For | For |
| | | | | 3. Advisory resolution to approve executive compensation. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Jones Lang Lasalle Incorporated | JLL | 48020Q107 | 5/30/14 | | 1. Elect ten directors: A. Hugo Bague, B. Colin Dyer, C. Dame Deanne Julius, D. Kate S. Lavelle, E. Ming Lu, F. Martin H. Nesbitt, G. Sheila A. Penrose, H. Shailesh Rao, I. David B. Rickard, J. Roger T. Staubach. | | Issuer | Yes | For | For |
| | | | | 2. Approve, by non-binding vote executive compensation. | | Issuer | Yes | For | For |
| | | | | 3. Ratify appointment of KPMG LLP as Company's independent registered public accounting firm for the year ending December 31, 2014. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Lennar Corporation | LEN | 526057104 | 4/9/14 | | 1. Elect nine directors to serve until next Annual Meeting: 1. Irving Bolotin, 2. Steven L. Gerard, 3. Theron I. (TIG) Gilliam, 4. Sherrill W. Hudson, 5. R. Kirk Landon, 6. Sidney Lapidus, 7. Stuart A. Miller, 8. Teri P. McClure and 9. Jeffrey Sonnenfeld. | | Issuer | Yes | For | For |
| | | | | 2. Ratify the appointment of Deloitte & Touche LLP as Company's independent registered public accounting firm for fiscal year ending November 30, 2014. | | Issuer | Yes | For | For |
| | | | | 3. Advisory, (non-binding "say on pay") vote to approve named executives compensation. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Morgan Stanley | MS | 617446448 | 5/13/14 | | 1. Elect fifteen directors: A. Erskine B. Bowles, B. Howard J. Davies, C. Thomas H. Glocer, D. James P. Gorman, E. Robert H. Herz, F. C. Robert Kidder, G. Klaus Kleinfeld, H. Donald T. Nicolaisen, I. Hutham S. Olayan, J. James W. Owens, K. O. Griffith Sexton, L. Ryosuke Tamakoshi, M. Masaaki Tanaka, N. Laura D. Tyson, O. Rayford Wilkins, Jr.. | | Issuer | Yes | For | For |
| | | | | 2. To ratify the appointment of Deloitte & Touche LLP as independent auditor. | | Issuer | Yes | For | For |
| | | | | 3. To approve the compensation of executives. | | Issuer | Yes | For | For |
| | | | | 4. Shareholder proposal regarding a report on lobbying. | | Security Holder | Yes | Against | For |
| | | | | | | | | | |
| | | | | | | | | | |
NVR, Inc. | NVR | 62944T105 | 5/6/14 | | 1. Elect thirteen directors: A. C.E. Andrews, B. Robert C. Butler, C. Timothy M. Donahue, D. Thomas D. Eckert, E. Alfred E. Festa, F. Ed Grier, G. Manuel H. Johnson, H. Mel Martinez, I. William A. Moran, J. David A. Preiser, K. W. Grady Rosier, L. Dwight C. Schar, M. Paul W. Whetsell. | | Issuer | Yes | For | For |
| | | | | 2. Ratification of appointment of KPMG LLP as independent auditors for the year ending December 31, 2014. | | Issuer | Yes | For | For |
| | | | | 3. An advisory vote on the approval of executive compensation. | | Issuer | Yes | For | For |
| | | | | 4. Adoption of the NVR, Inc. 2014 equity incentive plan. | | Issuer | Yes | Against | Against |
| | | | | | | | | | |
PulteGroup, Inc. | PHM | 745867101 | 5/7/14 | | 1. Elect nine directors: 1. Brian P. Anderson, 2. Bryce Blair, 3. Richard J. Dugas, Jr., 4. Thomas J. Folliard, 5. Cheryl W. Grise, 6. Andre J. Hawaux, 7. Debra J. Kelly-Ennis, 8. Patrick J. O'Leary, 9. James J. Postl. | | Issuer | Yes | For | For |
| | | | | 2. The ratification of the appointment of Ernst & Young LLP as Company's independent registered public accounting firm. | | Issuer | Yes | For | For |
| | | | | 3. An advisory vote to approve executive compensation. | | Issuer | Yes | For | For |
| | | | | 4. Shareholder proposal requesting the election of directors by a majority, rather than plurality, vote. | | Security Holder | Yes | Against | For |
| | | | | 5. Shareholder proposal regarding the use of performance-based options. | | Security Holder | Yes | Against | For |
| | | | | | | | | | |
RLJ Lodging Trust | RLJ | 74965L101 | 5/2/14 | | 1. Elect seven trustees: 1. Robert L. Johnson, 2. Thomas J. Baltimore, Jr., 3. Evan Bayh, 4. Nathaniel A. Davis, 5. Robert M. La Forgia, 6. Glenda G. McNeal, 7. Joseph Ryan. | | Issuer | Yes | For | For |
| | | | | 2. Ratification of PricewaterhouseCoopers LLP as Company's independent registered public accounting firm for fiscal year ending December 31, 2014. | | Issuer | Yes | For | For |
| | | | | 3. Non-binding advisory vote to approve the compensation of named executive officers. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Sovran Self Storage, Inc. | SSS | 84610H108 | 5/22/14 | | 1. Elect six directors: 1. Robert J. Attea, 2. Kenneth F. Myszka, 3. Anthony P. Gammie, 4. Charles E. Lannon, 5. James R. Boldt, 6. Stephen R. Rusmisel. | | Issuer | Yes | For | For |
| | | | | 2. Ratification of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for fiscal year 2014. | | Issuer | Yes | For | For |
| | | | | 3. Proposal to approve the compensation of the Company's executive officers. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Strategic Hotels & Resorts, Inc. | BEE | 86272T106 | 5/22/14 | | 1. Elect nine directors: 1. Robert P. Bowen, 2. Raymond L. Gellein, Jr., 3. James A. Jeffs, 4. David W. Johnson, 5. Richard D. Kincaid, 6. Sir David M.C. Michels, 7. William A. Prezant, 8. Eugene F. Reilly, 9. Sheli Z. Rosenberg. | | Issuer | Yes | For | For |
| | | | | 2. Approval on an advisory basis of the compensation of Company's named executive officers. | | Issuer | Yes | For | For |
| | | | | 3. Ratification of Deloitte & Touche LLP as Company's independent registered public accounting firm for the fiscal year ending December 31, 2014. | | Issuer | Yes | For | For |
| | | | | | | | | | |
| | | | | | | | | | |
Sunstone Hotel Investors, Inc. | SHO | 867892101 | 5/1/14 | | 1. Elect nine directors: 1. John V. Arabia, 2. Andrew Batinovich, 3. Z. Jamie Behar, 4. Kenneth E. Cruse, 5. Thomas A. Lewis, 6. Keith M. Locker, 7. Douglas M. Pasquale, 8. Keith P. Russell, 9. Lewis N. Wolff. | | Issuer | Yes | For | For |
| | | | | 2. Ratification of 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, 2014. | | Issuer | Yes | For | For |
| | | | | 3. Advisory vote on the compensation of Sunstone's named executive officers. | | Issuer | Yes | For | For |
| | | | | 4. Approval of an amendment and restatement of the 2004 long-term incentive plan to provide for (I) an extension of the term of the 2004 long-term incentive plan through 2024, and (II) an increase in the number of authorized shares of common stock to be issued under the 2004 long-term incentive plan by 6,000,000 shares. | | Issuer | Yes | For | For |
| | | | | | | | | | |
| | | | | | | | | | |
Toll Brothers, Inc. | TOL | 889478103 | 3/12/14 | | 1. Elect ten directors: 1. Robert I. Toll, 2. Bruce E. Toll, 3. Douglas C. Yearley, JR. 4. Robert S. Blank, 5. Edward G. Boehne, 6. Richard J. Braemer, 7. Christine N. Garvey, 8. Carl B. Marbach, 9. Stephen A. Novick, and 10. Paul E. Shapiro. | | Issuer | Yes | For | For |
| | | | | 2. Ratify the re-appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the 2014 fiscal year. | | Issuer | Yes | For | For |
| | | | | 3. Approve, in an advisory and non-binding vote, the compensation of the Company's named executive officers. | | Issuer | Yes | For | For |
| | | | | 4. Approve the 2014 Toll Brothers, Inc. stock incentive plan for employees. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Wyndham Worldwide Corporation | WYN | 98310W108 | 5/15/2014 | | 1. Elect four directors: 1. James E. Buckman, 2. George Herrera, 3. Brian Mulroney, 4. Michael H. Wargotz. | | Issuer | Yes | For | For |
| | | | | 2. Advisory vote to approve the Wyndham Worldwide Corporation executive compensation program. | | Issuer | Yes | For | For |
| | | | | 3. Ratification of the appointment of Deloitte & Touche LLP to serve as Company's independent registered public accounting firm for fiscal year 2014. | | Issuer | Yes | For | For |
| | | | | 4. Re-approval of the material terms of the performance goals under the Wyndham Worldwide Corporation 2006 Equity and Incentive plan. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Issuer | Ticker | CUSIP | Meeting
Date | | Matter
Voted On | | Proposed
By Issuer or
Security Holder | Was
Vote
Cast | Actual
Vote | For or
Against
Mgt. |
| | | | | | | | | | |
Actavis PLC. | ACT | G0083B108 | 5/9/14 | | 1. Elect twelve directors: A. Paul M. Bisaro, B. James H. Bloem, C. Christopher W. Bodine, D. Tamar D. Howson, E. John A. King, F. Catherine M. Klema, G. Jiri Michal, H. Sigurdur Oli Olafsson, I. Patrick J. O'Sullivan, J. Ronald R. Taylor, K. Andrew L. Turner, L. Fred G. Weiss. | | Issuer | Yes | For | For |
| | | | | 2. To approve, on an advisory basis, named executive officer compensation. | | Issuer | Yes | For | For |
| | | | | 3. To Ratify the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm. | | Issuer | Yes | For | For |
| | | | | 4. To vote on a shareholder proposal requesting the company to issue a sustainability report. | | Security Holder | Yes | Against | For |
| | | | | | | | | | |
Actavis PLC | ACT | G0083B108 | 6/17/14 | | 1. Approve the issuance of ordinary shares pursuant to the agreement and plan of merger, dated February 17, 2014, among Actavis PLC, Forest Laboratories, Inc., Tango US Holdings Inc., Tango merger sub 1 LLC and Tango merger sub 2 LLC. | | Issuer | Yes | For | For |
| | | | | 2. Approve any motion to adjourn the Actavis extradordinary general meeting or any other adjournments thereof, to another time or place if necessary or appropriate to, among other things, solicit additional proxies if there are insufficient votes at the time of the Actavis EGM to approve the Actavis share issuance proposal. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Aercap Holdings N.V. | AER | N00985106 | 2/13/14 | | 2. Approval pursuant to article 2:107A Dutch civil code and article 16.7 of the Company's articles of association in relation to the anticipated acquisition of international lease finance corporation | | Issuer | No | | |
| | | | | 3A. Conditional appointment of Mr. Robert H. Benmosche as non-executive director for a period of four years. | | Issuer | No | | |
| | | | | 3B. Conditional appointment of Mr. David L. Herzog as non-executive director for a period of four years. | | Issuer | No | | |
| | | | | 4A. Re-appointment of Mr. Robert G. Warden as non-executive director for a period of four years. | | Issuer | No | | |
| | | | | 4B. Re-appointment of Mr. Richard M. Gradon as non-executive director for a period of four years. | | Issuer | No | | |
| | | | | 4C. Re-appointment of Mr. Paul T. Dacier as non-executive director for a period of four years. | | Issuer | No | | |
| | | | | 4D. Re-appointment of the Company’s Chief Executive Officer, Mr. Aengus Kelly, as executive director for a period of four years. | | Issuer | No | | |
| | | | | 5. Conditional approval of new equity incentive plan board of directors. | | Issuer | No | | |
| | | | | 6A. Amendment to the company’s articles of association. | | Issuer | No | | |
| | | | | | | | | | |
| | | | | 6B. Designation of each of the company’s directors and each civil law notary and lawyer at Nautadutilh N.V. to implement the amendment to the company’s articles of association. | | Issuer | No | | |
| | | | | | | | | | |
American Airlines Group, Inc. | AAL | 02376R102 | 6/4/14 | | 1. Elect eleven directors: A. James F. Albaugh, B. Jeffrey D. Benjamin, C. John T. Cahill, D. Michael J. Embler, E. Matthew J. Hart, F. Alberto Ibarguen, G. Richard C. Kraemer, H. Denise M. O'Leary, I. W. Douglas Parker, J. Ray M. Robinson, K. Richard P. Schifter. | | Issuer | Yes | For | For |
| | | | | 2. A proposal to ratify the appointment of KPMG LLP as the independent registered public accounting firm. | | Issuer | Yes | For | For |
| | | | | 3. A proposal to consider and approve, on a non-binding advisory basis, the compensation of American Airlines Group, Inc.'s named executive officers. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Citigroup Inc. | C | 172967424 | 4/22/14 | | 1. Elect fourteen directors: A. Michael L. Corbat, B. Duncan P. Hennes, C. Franz B. Humer, D. Eugene M. McQuade, E. Michael E. O'Neill, F. Gary M. Reiner, G. Judith Rodin, H. Robert L. Ryan, I. Anthony M. Santomero, J. Joan E. Spero, K. Diana L. Taylor, L. William S. Thompson, Jr., M. James S. Turley, N. Ernesto Zedillo Ponce de Leon. | | Issuer | Yes | For | For |
| | | | | 2. Ratify the selection of KPMG, LLP as Citi's independent registered public accounting firm for 2014. | | Issuer | Yes | For | For |
| | | | | 3. Advisory approval of Citi's 2013 executive compensation. | | Issuer | Yes | For | For |
| | | | | 4. Approval of the Citigroup 2014 stock incentive plan. | | Issuer | Yes | For | For |
| | | | | 5. Stockholder proposal requesting executives retain a significant portion of their stock until reaching normal retirement age. | | Security Holder | Yes | Against | For |
| | | | | 6. Stockholder proposal requesting a report on lobbying and grassroots lobbying contributions. | | Security Holder | Yes | Against | For |
| | | | | 7. Stockholder proposal requesting that the Board institute a policy to make it more practical to deny indemnification for directors. | | Security Holder | Yes | Against | For |
| | | | | 8. Stockholder proposal requesting proxy access for shareholders. | | Security Holder | Yes | Against | For |
| | | | | | | | | | |
Delphi Automotive PLC | DLPH | G27823106 | 4/3/14 | | 1. Elect eleven directors: 1. Gary L. Cowger, 2. Nicholas M. Donofrio, 3. Mark P. Frissora, 4. Rajiv L. Gupta, 5. John A. Krol, 6. J. Randall Macdonald, 7. Sean O. Mahoney, 8. Rodney O'Neal, 9. Thomas W. Sidlik, 10. Bernd Wiedemann, 11. Lawrence A. Zimmerman. | | Issuer | Yes | For | For |
| | | | | 2. Ratify the re-appointment of Ernst & Young LLP as independent registered public accounting firm for Delphi Automotive and authorize the directors to determine the fees paid to the auditors. | | Issuer | Yes | For | For |
| | | | | 3. Approve advisory vote on executive compensation | | Issuer | Yes | For | For |
| | | | | | | | | | |
| | | | | | | | | | |
D. R. Horton, Inc. | DHI | 23331A109 | 1/23/14 | | 1. Elect six directors: A. Donald R. Horton, B. Barbara K. Allen C. Bradley S. Anderson, D. Michael R. Buchanan, E. Michael W. Hewatt, and F. Donald J. Tomnitz. | | Issuer | Yes | For | For |
| | | | | 2. Approve advisory vote on executive compensation. | | Issuer | Yes | For | For |
| | | | | 3. Ratify the re-appointment of PricewaterhouseCoopers LLP as D.R. Hortons independent registered public accounting firm. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Google Inc. | GOOG | 38259P508 | 5/14/14 | | 1. Elect ten directors: 1. Larry Page, 2. Sergey Brin, 3. Eric E. Schmidt, 4. L. John Doerr, 5. Diane B. Greene, 6. John L. Hennessy, 7. Ann Mather, 8. Paul S. Otellini, 9. K. Ram Shriram, 10. Shirley M. Tilghman. | | Issuer | Yes | For | For |
| | | | | 2. Ratification of Ernst & Young LLP as Google's independent registered public accounting firm for the fiscal year ending December 31, 2014. | | Issuer | Yes | For | For |
| | | | | 3. Approval of 2013 compensation awarded to named executive officers. | | Issuer | Yes | For | For |
| | | | | 4. Stockholder proposal regarding equal shareholder voting. | | Security Holder | Yes | Against | For |
| | | | | 5. Stockholder proposal regarding a lobbying report. | | Security Holder | Yes | Against | For |
| | | | | 6. Stockholder proposal regarding the adoption of a majority vote standard for the election of directors. | | Security Holder | Yes | Against | For |
| | | | | 7. Stockholder proposal regarding tax policy principles. | | Security Holder | Yes | Against | For |
| | | | | 8. Stockholder proposal regarding an independent chairman of the board policy. | | Security Holder | Yes | Against | For |
| | | | | | | | | | |
Kohl's Corpration | KSS | 500255104 | 5/15/14 | | 1. Elect ten directors: A. Peter Boneparth, B. Steven A. Burd, C. Dale E. Jones, D. Kevin Mansell, E. John E. Schlifske, F. Frank V. Sica, G. Peter M. Sommerhauser, H. Stephanie A. Streeter, I. Nina G. Vaca, J. Stephen E. Watson. | | Issuer | Yes | For | For |
| | | | | 2. Ratify appointment of Ernst & Young LLP as independent registered public accounting firm. | | Issuer | Yes | For | For |
| | | | | 3. Advisory vote on approval of named executive officer compensation. | | Issuer | Yes | For | For |
| | | | | 4. Shareholder proposal regarding executives retaining significant stock. | | Security Holder | Yes | Against | For |
| | | | | 5. Shareholder proposal regarding annual report on the costs, benefits and scientific support for sustainability initiatives. | | Security Holder | Yes | Against | For |
| | | | | | | | | | |
Lennar Corporation | LEN | 526057104 | 4/9/14 | | 1. Elect nine directors to serve until next Annual Meeting: 1. Irving Bolotin, 2. Steven L. Gerard, 3. Theron I. (TIG) Gilliam, 4. Sherrill W. Hudson, 5. R. Kirk Landon, 6. Sidney Lapidus, 7. Stuart A. Miller, 8. Teri P. McClure and 9. Jeffrey Sonnenfeld. | | Issuer | Yes | For | For |
| | | | | 2. Ratify the appointment of Deloitte & Touche LLP as Company's independent registered public accounting firm for fiscal year ending November 30, 2014. | | Issuer | Yes | For | For |
| | | | | 3. Advisory, (non-binding "say on pay") vote to approve named executives compensation. | | Issuer | Yes | For | For |
| | | | | | | | | | |
| | | | | | | | | | |
Magna International Inc. | MGA | 559222401 | 5/8/14 | | 1. Elect eleven directors: 1. Scott B. Bonham, 2. Peter G. Bowie, 3. Hon. J. Trevor Eyton, 4. V. Peter Harder, 5. Lady Barbara Judge, 6. Dr. Kurt J. Lauk, 7. Cynthia A. Niekamp, 8. Dr. I.V. Samarasekera, 9. Donald J. Walker, 10. Lawrence D. Worrall, 11. William L. Young. | | Issuer | Yes | For | For |
| | | | | 2. Appointment of Deloitte LLP as independent auditor of the corporation and authorization of the audit committee to fix the independent auditor's remuneration. | | Issuer | Yes | For | For |
| | | | | 3. Resolved, on an advisory basis and not to diminish the roles and responsibilities of the board of directors, that the shareholders accept the approach to executive compensation disclosed in the accompanying management information circular/proxy statement. | | Issuer | Yes | For | For |
| | | | | | | | | | |
NVR, Inc. | NVR | 62944T105 | 5/6/14 | | 1. Elect thirteen directors: A. C.E. Andrews, B. Robert C. Butler, C. Timothy M. Donahue, D. Thomas D. Eckert, E. Alfred E. Festa, F. Ed Grier, G. Manuel H. Johnson, H. Mel Martinez, I. William A. Moran, J. David A. Preiser, K. W. Grady Rosier, L. Dwight C. Schar, M. Paul W. Whetsell. | | Issuer | Yes | For | For |
| | | | | 2. Ratification of appointment of KPMG LLP as independent auditors for the year ending December 31, 2014. | | Issuer | Yes | For | For |
| | | | | 3. An advisory vote on the approval of executive compensation. | | Issuer | Yes | For | For |
| | | | | 4. Adoption of the NVR, Inc. 2014 equity incentive plan. | | Issuer | Yes | Against | Against |
| | | | | | | | | | |
Polaris Industries Inc. | PII | 731068102 | 4/24/14 | | 1. Elect four directors: 1. Kevin M. Farr, 2. Gary E. Hendrickson, 3. R.M. (Mark) Schreck, and 4. William G. Van Dyke. | | Issuer | Yes | For | For |
| | | | | 2. Approval of the amended and restated senior executive annual incentive compensation plan. | | Issuer | Yes | For | For |
| | | | | 3. Ratify the selection of Ernst & Young LLP to serve as the independent registered public accounting firm of Polaris Industries Inc. | | Issuer | Yes | For | For |
| | | | | 4. Advisory vote on executive compensation. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Sandisk Corporation | SNDK | 80004C101 | 6/19/14 | | 1. Elect eight directors: A. Michael E. Marks, B. Irwin Federman, C. Steven J. Gomo, D. Eddy W. Hartenstein, E. Dr. Chenming Hu, F. Catherine P. Lego, G. Sanjay Mehrotra, H. D. Scott Mercer. | | Issuer | Yes | For | For |
| | | | | 2. Approve an amendment to the Sandisk Corporation 2005 employee stock purchase plans. | | Issuer | Yes | For | For |
| | | | | 3. Ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 28, 2014. | | Issuer | Yes | For | For |
| | | | | 4. Pass an advisory resolution to approve the compensation of the Company's named executive officers. | | Issuer | Yes | For | For |
| | | | | | | | | | |
Signet Jewelers Limited | SIG | G81276100 | 6/13/14 | | 1. Elect ten directors: A. H. Todd Stitzer, B. Virginia Drosos, C. Dale W. Hilpert, D. Marianne Miller Parrs, E. Thomas G. Plaskett, F. Russell Walls, G. Helen McCluskey, H. Robert Stack, I. Eugenia Ulasewicz, J. Michael W. Barnes. | | Issuer | Yes | For | For |
| | | | | | | | | | |
| | | | | 2. Appointment of KPMG LLP as independent auditor of the Company. | | Issuer | Yes | For | For |
| | | | | 3. Approval, on a non-binding basis, of the compensation of our named executive officers. | | Issuer | Yes | For | For |
| | | | | 4. Re-approval of the material terms of the performance goals under the Signet Jewelers Limited omnibus incentive plan 2009. | | Issuer | Yes | For | For |
| | | | | 5. Approval of the amendments to the Signet Jewelers Limited by-laws. | | Issuer | Yes | For | For |
| | | | | | | | | | |
TATA Motors Limited | TTM | 876568502 | 6/30/14 | | 1. Approve payment of minimum remuneration to Mr. Ravindra Pisharody, Executive Director in case of inadequacy of profits and ratification of the excess remuneration paid for the financial year ended March 31, 2014. | | Issuer | No | | |
| | | | | 2. Approve payment of minimum remuneration to Mr. Satish Borwankar, Executive Director in case of inadequacy of profits and ratification of the excess remuneration paid for the financial year ended March 31, 2014. | | Issuer | No | | |
| | | | | 3. Approval and ratification of the excess remuneration paid to (late) Mr. Karl Slym, Managing Director / his legal heir in view of inadequacy of profits for the financial year ended March 31, 2014. | | Issuer | No | | |
| | | | | 4. Borrowing powers of the Board. | | Issuer | No | | |
| | | | | 5. Creation of charge on Company’s properties. | | Issuer | No | | |
| | | | | 6. To offer or invite for subscription of Non-Convertible Debentures on private placement basis. | | Issuer | No | | |
| | | | | | | | | | |
Toll Brothers, Inc. | TOL | 889478103 | 3/12/14 | | 1. Elect ten directors: 1. Robert I. Toll, 2. Bruce E. Toll, 3. Douglas C. Yearley, JR. 4. Robert S. Blank, 5. Edward G. Boehne, 6. Richard J. Braemer, 7. Christine N. Garvey, 8. Carl B. Marbach, 9. Stephen A. Novick, and 10. Paul E. Shapiro. | | Issuer | Yes | For | For |
| | | | | 2. Ratify the re-appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the 2014 fiscal year. | | Issuer | Yes | For | For |
| | | | | 3. Approve, in an advisory and non-binding vote, the compensation of the Company's named executive officers. | | Issuer | Yes | For | For |
| | | | | 4. Approve the 2014 Toll Brothers, Inc. stock incentive plan for employees. | | Issuer | Yes | For | For |
| | | | | | | | | | |
TRW Automotive Holdings Corp | TRW | 87264S106 | 5/13/2014 | | 1. Elect three directors: 1. Francois J. Castaing, 2. Michael R. Gambrell, 3. David W. Meline. | | Issuer | Yes | For | For |
| | | | | 2. The ratification of Ernst & Young LLP, an indendent registered public accounting firm, to audit the consolidated financial statements of TRW Automotive Holdings Corp. for 2014. | | Issuer | Yes | For | For |
| | | | | 3. Advisory approval of the compensation of the named executive officers. | | Issuer | Yes | For | For |
| | | | | | | | | | |
United Continental Holdings, Inc. | UAL | 910047109 | 6/11/14 | | 1. Elect eleven directors: A. Carolyn Corvi, B. Jane C. Garvey, C. Walter Isaacson, D. Henry L. Meyer III, E. Oscar Munoz, F. William R. Nuti, G. Laurence E. Simmons, H. Jeffery A. Smisek, I. David J. Vitale, J. John H. Walker, K. Charles A. Yamarone. | | Issuer | Yes | For | 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 29, 2014 |
* Print the name and title of each signing officer under his or her signature.
