UNITED STATES SECURITIES AND EXCHANGE COMMISSION |
Washington, DC 20549 |
FORM N-PX |
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY |
Investment Company Act file number: 811-3429 |
CAPITAL APPRECIATION FUND |
(Exact name of registrant as specified in charter) |
One Cityplace, Hartford, CT 06103-3415 |
(Address of principal executive offices) (Zip code) |
Elizabeth M. Forget President Capital Appreciation Fund 260 Madison Avenue, 10th Floor New York, NY 10016 |
(Name and Address of Agent for Service) |
Copy to: |
Robert N. Hickey, Esq. Sullivan & Worcester LLP 1666 K Street, N.W. Washington, D.C. 20006 |
Registrant’s telephone number, including area code: (800) 848-3854 |
Date of fiscal year end: December 31 |
Date of reporting period: July 1, 2004 through June 30, 2005 |
Item 1. Proxy Voting Record.
Vote Summary Report
July 01, 2004 - June 30, 2005
Capital Appreciation Fund
Mtg Date/Type | Company/ Ballot Issues | Security | Mgmt Rec | Vote Cast | Record Date | Prpnent | Shares Voted | |||||||
3M CO
Ticker: | MMM | Security ID: | 88579Y101 | |||
Meeting Date: | MAY 10, 2005 | Meeting Type: | Annual | |||
Record Date: | MAR 11, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Vance D. Coffman | For | Withhold | Management | ||||
1.2 | Elect Director Rozanne L. Ridgway | For | Withhold | Management | ||||
1.3 | Elect Director Louis W. Sullivan | For | Withhold | Management | ||||
2 | Ratify Auditors | For | Abstain | Management | ||||
3 | Approve Omnibus Stock Plan | For | Abstain | Management | ||||
4 | Eliminate Animal Testing | Against | Abstain | Shareholder | ||||
5 | Implement China Principles | Against | Abstain | Shareholder |
ADVANCE AUTO PARTS INC
Ticker: | AAP | Security ID: | 00751Y106 | |||
Meeting Date: | MAY 18, 2005 | Meeting Type: | Annual | |||
Record Date: | MAR 30, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director John C. Brouillard | For | For | Management | ||||
1.2 | Elect Director Lawrence P. Castellani | For | For | Management | ||||
1.3 | Elect Director Michael N. Coppola | For | For | Management | ||||
1.4 | Elect Director Darren R. Jackson | For | For | Management | ||||
1.5 | Elect Director William S. Oglesby | For | For | Management | ||||
1.6 | Elect Director Gilbert T. Ray | For | For | Management | ||||
1.7 | Elect Director Carlos A. Saladrigas | For | For | Management | ||||
1.8 | Elect Director William L. Salter | For | For | Management | ||||
1.9 | Elect Director Francesca Spinelli, Ph.D. | For | For | Management | ||||
1.10 | Elect Director Nicholas F. Taubman | For | For | Management | ||||
2 | Ratify Auditors | For | For | Management | ||||
3 | Adopt Policy to Prohibit Discrimination based on Sexual Orientation | Against | Abstain | Shareholder |
Page 1
AES CORP., THE
Ticker: | AES | Security ID: | 00130H105 | |||
Meeting Date: | APR 28, 2005 | Meeting Type: | Annual | |||
Record Date: | MAR 3, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Richard Darman | For | For | Management | ||||
1.2 | Elect Director Paul T. Hanrahan | For | For | Management | ||||
1.3 | Elect Director Kristina M. Johnson | For | For | Management | ||||
1.4 | Elect Director John A. Koskinen | For | For | Management | ||||
1.5 | Elect Director Philip Lader | For | For | Management | ||||
1.6 | Elect DirectorJohn H. McArthur | For | For | Management | ||||
1.7 | Elect Director Sandra O. Moose | For | For | Management | ||||
1.8 | Elect Director Philip A. Odeen | For | For | Management | ||||
1.9 | Elect Director Charles O. Rossotti | For | For | Management | ||||
1.10 | Elect Director Sven Sandstrom | For | For | Management | ||||
1.11 | Elect Director Roger W. Sant | For | For | Management | ||||
2 | Ratify Auditors | For | For | Management |
AMERICAN EXPRESS CO.
Ticker: | AXP | Security ID: | 025816109 | |||
Meeting Date: | APR 27, 2005 | Meeting Type: | Annual | |||
Record Date: | FEB 28, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Daniel F. Akerson | For | For | Management | ||||
1.2 | Elect Director Charlene Barshefsky | For | For | Management | ||||
1.3 | Elect Director William G. Bowen | For | For | Management | ||||
1.4 | Elect Director Ursula M. Burns | For | For | Management | ||||
1.5 | Elect Director Kenneth I. Chenault | For | For | Management | ||||
1.6 | Elect Director Peter R. Dolan | For | For | Management | ||||
1.7 | Elect Director Vernon E. Jordan, Jr. | For | For | Management | ||||
1.8 | Elect Director Jan Leschly | For | For | Management | ||||
1.9 | Elect Director Richard A. McGinn | For | For | Management | ||||
1.10 | Elect Director Edward D. Miller | For | For | Management | ||||
1.11 | Elect Director Frank P. Popoff | For | For | Management | ||||
1.12 | Elect Director Robert D. Walter | For | For | Management | ||||
2 | Ratify Auditors | For | For | Management | ||||
3 | Company-Specific—Compensation-Related | Against | Against | Shareholder | ||||
4 | Report on Political Contributions | Against | Abstain | Shareholder |
APPLE COMPUTER, INC.
Ticker: | AAPL | Security ID: | 037833100 | |||
Meeting Date: | APR 21, 2005 | Meeting Type: | Annual | |||
Record Date: | MAR 1, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Fred D. Anderson | For | For | Management | ||||
1.2 | Elect Director William V. Campbell | For | For | Management | ||||
1.3 | Elect Director Millard S. Drexler | For | For | Management | ||||
1.4 | Elect Director Albert A. Gore, Jr. | For | For | Management | ||||
1.5 | Elect Director Steven P. Jobs | For | For | Management | ||||
1.6 | Elect Director Arthur D. Levinson | For | For | Management | ||||
1.7 | Elect Director Jerome B. York | For | For | Management | ||||
2 | Approve Executive Incentive Bonus Plan | For | For | Management | ||||
3 | Amend Omnibus Stock Plan | For | For | Management | ||||
4 | Amend Qualified Employee Stock Purchase Plan | For | For | Management | ||||
5 | Ratify Auditors | For | For | Management | ||||
6 | Performance- Based/Indexed Options | Against | For | Shareholder |
Page 2
BANK OF AMERICA CORP.
Ticker: | BAC | Security ID: | 060505104 | |||
Meeting Date: | APR 27, 2005 | Meeting Type: | Annual | |||
Record Date: | MAR 4, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director William Barnet, III | For | For | Management | ||||
1.2 | Elect Director Charles W. Coker | For | For | Management | ||||
1.3 | Elect Director John T. Collins | For | For | Management | ||||
1.4 | Elect Director Gary L. Countryman | For | Withhold | Management | ||||
1.5 | Elect Director Paul Fulton | For | For | Management | ||||
1.6 | Elect Director Charles K. Gifford | For | For | Management | ||||
1.7 | Elect Director W. Steven Jones | For | For | Management | ||||
1.8 | Elect Director Kenneth D. Lewis | For | For | Management | ||||
1.9 | Elect Director Walter E. Massey | For | For | Management | ||||
1.10 | Elect Director Thomas J. May | For | For | Management | ||||
1.11 | Elect Director Patricia E. Mitchell | For | For | Management | ||||
1.12 | Elect Director Edward L. Romero | For | For | Management | ||||
1.13 | Elect Director Thomas M. Ryan | For | For | Management | ||||
1.14 | Elect Director O. Temple Sloan, Jr. | For | For | Management | ||||
1.15 | Elect Director Meredith R. Spangler | For | For | Management | ||||
1.16 | Elect Director Robert L. Tillman | For | For | Management | ||||
1.17 | Elect Director Jackie M. Ward | For | For | Management | ||||
2 | Ratify Auditors | For | For | Management | ||||
3 | Report on Political Contributions | Against | Against | Shareholder | ||||
4 | Director Nominee Amendment | Against | Against | Shareholder |
BERKSHIRE HATHAWAY INC.
Ticker: | BRK.A | Security ID: | 84670207 | |||
Meeting Date: | APR 30, 2005 | Meeting Type: | Annual | |||
Record Date: | MAR 2, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Warren E. Buffett | For | For | Management | ||||
1.2 | Elect Director Charles T. Munger | For | For | Management | ||||
1.3 | Elect Director Howard G. Buffett | For | For | Management | ||||
1.4 | Elect Director Malcolm G. Chace | For | For | Management | ||||
1.5 | Elect Director William H. Gates III | For | For | Management | ||||
1.6 | Elect Director David S. Gottesman | For | For | Management | ||||
1.7 | Elect Director Charlotte Guyman | For | For | Management | ||||
1.8 | Elect Director Donald R. Keough | For | For | Management | ||||
1.9 | Elect Director Thomas S. Murphy | For | For | Management | ||||
1.10 | Elect Director Ronald L. Olson | For | For | Management | ||||
1.11 | Elect Director Walter Scott, Jr. | For | For | Management | ||||
2 | Amend Articles | For | For | Management | ||||
3 | Amend Articles | For | For | Management |
Page 3
EBAY INC.
Ticker: | EBAY | Security ID: | 278642103 | |||
Meeting Date: | JUN 23, 2005 | Meeting Type: | Annual | |||
Record Date: | APR 25, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Fred D. Anderson | For | For | Management | ||||
1.2 | Elect Director Edward W. Barnholt | For | For | Management | ||||
1.3 | Elect Director Scott D. Cook | For | For | Management | ||||
1.4 | Elect Director Robert C. Kagle | For | For | Management | ||||
2 | Approve Executive Incentive Bonus Plan | For | For | Management | ||||
3 | Increase Authorized Common Stock | For | For | Management | ||||
4 | Ratify Auditors | For | For | Management | ||||
5 | Performance- Based/Indexed Options | Against | Against | Shareholder | ||||
6 | Require a Majority Vote for the Election of Directors | Against | Against | Shareholder |
ELECTRONIC ARTS INC.
Ticker: | ERTS | Security ID: | 285512109 | |||
Meeting Date: | JUL 29, 2004 | Meeting Type: | Annual | |||
Record Date: | JUN 8, 2004 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director M. Richard Asher | For | For | Management | ||||
1.2 | Elect Director William J. Byron | For | For | Management | ||||
1.3 | Elect Director Leonard S. Coleman | For | For | Management | ||||
1.4 | Elect Director Gary M. Kusin | For | For | Management | ||||
1.5 | Elect Director Gregory B. Maffei | For | For | Management | ||||
1.6 | Elect Director Timothy Mott | For | For | Management | ||||
1.7 | Elect Director Robert W. Pittman | For | For | Management | ||||
1.8 | Elect Director Lawrence F. Probst III | For | For | Management | ||||
1.9 | Elect Director Linda J. Srere | For | For | Management | ||||
2 | Amend Omnibus Stock Plan | For | For | Management | ||||
3 | Amend Employee Stock Purchase Plan | For | For | Management | ||||
4 | Amend Articles to Consolidate Common Stock | For | For | Management | ||||
5 | Increase Authorized Common Stock | For | For | Management | ||||
6 | Ratify Auditors | For | For | Management |
ENERGIZER HOLDINGS, INC.
Ticker: | ENR | Security ID: | 29266R108 | |||
Meeting Date: | JAN 25, 2005 | Meeting Type: | Annual | |||
Record Date: | NOV 19, 2004 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Ward M. Klein | For | For | Management | ||||
1.2 | Elect Director Richard A. Liddy | For | For | Management | ||||
1.3 | Elect Director Joe R. Micheletto | For | For | Management | ||||
1.4 | Elect Director W. Patrick McGinnis | For | For | Management | ||||
1.5 | Elect Director Bill G. Armstrong | For | For | Management | ||||
1.6 | Elect Director John C. Hunter | For | For | Management |
Page 4
FOREST LABORATORIES, INC.
Ticker: | FRX | Security ID: | 345838106 | |||
Meeting Date: | AUG 11, 2004 | Meeting Type: | Annual | |||
Record Date: | JUN 21, 2004 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Howard Solomon | For | For | Management | ||||
1.2 | Elect Director William J. Candee, III | For | For | Management | ||||
1.3 | Elect Director George S. Cohan | For | For | Management | ||||
1.4 | Elect Director Dan L. Goldwasser | For | For | Management | ||||
1.5 | Elect Director Lester B. Salans | For | For | Management | ||||
1.6 | Elect Director Kenneth E. Goodman | For | For | Management | ||||
1.7 | Elect Director Phillip M. Satow | For | Withhold | Management | ||||
2 | Increase Authorized Common Stock | For | For | Management | ||||
3 | Approve Stock Option Plan | For | For | Management | ||||
4 | Ratify Auditors | For | Against | Management |
GENENTECH, INC.
Ticker: | DNA | Security ID: | 368710406 | |||
Meeting Date: | APR 14, 2005 | Meeting Type: | Annual | |||
Record Date: | FEB 14, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Herbert W. Boyer | For | Withhold | Management | ||||
1.2 | Elect Director William M. Burns | For | Withhold | Management | ||||
1.3 | Elect Director Erich Hunziker | For | Withhold | Management | ||||
1.4 | Elect Director Jonathan K.C. Knowles | For | Withhold | Management | ||||
1.5 | Elect Director Arthur D. Levinson | For | Withhold | Management | ||||
1.6 | Elect Director Charles A. Sanders | For | Withhold | Management | ||||
2 | Ratify Auditors | For | For | Management |
GILEAD SCIENCES, INC.
Ticker: | GILD | Security ID: | 375558103 | |||
Meeting Date: | MAY 10, 2005 | Meeting Type: | Annual | |||
Record Date: | MAR 22, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Paul Berg | For | For | Management | ||||
1.2 | Elect Director Etienne F. Davignon | For | For | Management | ||||
1.3 | Elect Director James M. Denny | For | For | Management | ||||
1.4 | Elect Director John C. Martin | For | For | Management | ||||
1.5 | Elect Director Gordon E. Moore | For | For | Management | ||||
1.6 | Elect Director Nicholas G. Moore | For | For | Management | ||||
1.7 | Elect Director George P. Shultz | For | For | Management | ||||
1.8 | Elect Director Gayle E. Wilson | For | For | Management | ||||
2 | Ratify Auditors | For | For | Management | ||||
3 | Amend Omnibus Stock Plan | For | For | Management | ||||
4 | Report on Impact of HIV/AIDS, TB, and Malaria Pandemics | Against | Abstain | Shareholder |
Page 5
GOLDMAN SACHS GROUP, INC., THE
Ticker: | GS | Security ID: | 38141G104 | |||
Meeting Date: | APR 6, 2005 | Meeting Type: | Annual | |||
Record Date: | FEB 7, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director John H. Bryan | For | For | Management | ||||
1.2 | Elect Director Stephen Friedman | For | For | Management | ||||
1.3 | Elect Director William W. George | For | For | Management | ||||
1.4 | Elect Director Henry M. Paulson, Jr. | For | For | Management | ||||
2 | Declassify the Board of Directors | For | For | Management | ||||
3 | Ratify Auditors | For | For | Management |
INVITROGEN CORP.
Ticker: | IVGN | Security ID: | 46185R100 | |||
Meeting Date: | APR 20, 2005 | Meeting Type: | Annual | |||
Record Date: | FEB 22, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Balakrishnan S. Iyer | For | For | Management | ||||
1.2 | Elect Director Ronald A. Matricaria | For | For | Management | ||||
1.3 | Elect Director W. Ann Reynolds, Ph.D. | For | For | Management | ||||
1.4 | Elect Director Jay M. Short, Ph.D. | For | For | Management | ||||
2 | Ratify Auditors | For | For | Management |
J. C. PENNEY CO., INC (HLDG CO)
Ticker: | JCP | Security ID: | 708160106 | |||
Meeting Date: | MAY 20, 2005 | Meeting Type: | Annual | |||
Record Date: | MAR 21, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Thomas J. Engibous | For | For | Management | ||||
1.2 | Elect Director Kent B. Foster | For | For | Management | ||||
1.3 | Elect Director Leonard H. Roberts | For | For | Management | ||||
1.4 | Elect Director Myron E. Ullman, III | For | For | Management | ||||
2 | Ratify Auditors | For | For | Management | ||||
3 | Approve Omnibus Stock Plan | For | For | Management | ||||
4 | Declassify the Board of Directors | Against | Against | Shareholder |
KOHL’S CORP.
Ticker: | KSS | Security ID: | 500255104 | |||
Meeting Date: | APR 27, 2005 | Meeting Type: | Annual | |||
Record Date: | MAR 2, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director James D. Ericson | For | For | Management | ||||
1.2 | Elect Director William S. Kellogg | For | For | Management | ||||
1.3 | Elect Director Arlene Meier | For | For | Management | ||||
1.4 | Elect Director R. Elton White | For | For | Management | ||||
2 | Ratify Auditors | For | For | Management | ||||
3 | Declassify the Board of Directors | Against | Against | Shareholder | ||||
4 | Submit Severance Agreement (Change-in-Control) to Shareholder Vote | Against | For | Shareholder |
Page 6
LOCKHEED MARTIN CORP.
Ticker: | LMT | Security ID: | 539830109 | |||
Meeting Date: | APR 28, 2005 | Meeting Type: | Annual | |||
Record Date: | MAR 1, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director E.C. ‘Pete’ Aldridge, Jr. | For | For | Management | ||||
1.2 | Elect Director Nolan D. Archibald | For | For | Management | ||||
1.3 | Elect Director Marcus C. Bennett | For | For | Management | ||||
1.4 | Elect Director James O. Ellis, Jr. | For | For | Management | ||||
1.5 | Elect Director Gwendolyn S. King | For | For | Management | ||||
1.6 | Elect Director Douglas H. McCorkindale | For | For | Management | ||||
1.7 | Elect Director Eugene F. Murphy | For | For | Management | ||||
1.8 | Elect Director Joseph W. Ralston | For | Withhold | Management | ||||
1.9 | Elect Director Frank Savage | For | Withhold | Management | ||||
1.10 | Elect Director Anne Stevens | For | For | Management | ||||
1.11 | Elect Director Robert J. Stevens | For | For | Management | ||||
1.12 | Elect Director James R. Ukropina | For | For | Management | ||||
1.13 | Elect Director Douglas C. Yearley | For | For | Management | ||||
2 | Ratify Auditors | For | For | Management | ||||
3 | Amend Omnibus Stock Plan | For | For | Management | ||||
4 | Performance-Based/Indexed Options | Against | Against | Shareholder | ||||
5 | Adopt Simple Majority Vote Requirement for All Issues | Against | For | Shareholder | ||||
6 | Report on Pay Disparity | Against | Abstain | Shareholder | ||||
7 | and amend its code of conduct and policies related to bidding Review Code of Conduct on Military Contracts | Against | Abstain | Shareholder |
MURPHY OIL CORP.
Ticker: | MUR | Security ID: | 626717102 | |||
Meeting Date: | MAY 11, 2005 | Meeting Type: | Annual | |||
Record Date: | MAR 15, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Frank W. Blue | For | For | Management | ||||
1.2 | Elect Director George S. Dembroski | For | For | Management | ||||
1.3 | Elect Director Claiborne P. Deming | For | For | Management | ||||
1.4 | Elect Director Robert A. Hermes | For | For | Management | ||||
1.5 | Elect Director R. Madison Murphy | For | For | Management | ||||
1.6 | Elect Director William C. Nolan, Jr. | For | For | Management | ||||
1.7 | Elect Director Ivar B. Ramberg | For | For | Management | ||||
1.8 | Elect Director Neal E. Schmale | For | For | Management | ||||
1.9 | Elect Director David J.H. Smith | For | For | Management | ||||
1.10 | Elect Director Caroline G. Theus | For | For | Management | ||||
2 | Increase Authorized Common Stock | For | For | Management | ||||
3 | Ratify Auditors | For | For | Management |
Page 7
NIKE, INC.
Ticker: | NKE | Security ID: | 654106103 | |||
Meeting Date: | SEP 20, 2004 | Meeting Type: | Annual | |||
Record Date: | JUL 26, 2004 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Jill K. Conway | For | For | Management | ||||
1.2 | Elect Director Alan B. Graf, Jr. | For | For | Management | ||||
1.3 | Elect Director Jeanne P. Jackson | For | For | Management | ||||
2 | Ratify Auditors | For | For | Management |
NVIDIA CORPORATION
Ticker: | NVDA | Security ID: | 67066G104 | |||
Meeting Date: | AUG 19, 2004 | Meeting Type: | Annual | |||
Record Date: | JUN 30, 2004 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director James C. Gaither | For | Withhold | Management | ||||
1.2 | Elect Director Jen-Hsun Huang | For | Withhold | Management | ||||
1.3 | Elect Director A. Brooke Seawell | For | Withhold | Management | ||||
2 | Ratify Auditors | For | Abstain | Management |
OUTBACK STEAKHOUSE, INC.
Ticker: | OSI | Security ID: | 689899102 | |||
Meeting Date: | APR 27, 2005 | Meeting Type: | Annual | |||
Record Date: | MAR 4, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Robert D. Basham | For | For | Management | ||||
1.2 | Elect Director W. R. Carey, Jr | For | For | Management | ||||
1.3 | Elect Director General (Ret) Tommy Franks | For | For | Management | ||||
1.4 | Elect Director Toby S.Wilt | For | For | Management | ||||
2 | Amend Stock Option Plan | For | Against | Management | ||||
3 | Other Business | For | Against | Management |
QUALCOMM INC.
Ticker: | QCOM | Security ID: | 747525103 | |||
Meeting Date: | MAR 8, 2005 | Meeting Type: | Annual | |||
Record Date: | JAN 7, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Robert E. Kahn | For | For | Management | ||||
1.2 | Elect Director Duane A. Nelles | For | Withhold | Management | ||||
1.3 | Elect Director Brent Scowcroft | For | For | Management | ||||
2 | Declassify the Board of Directors and Eliminate Cumulative Voting | For | For | Management | ||||
3 | Increase Authorized Common Stock | For | For | Management | ||||
4 | Amend Articles | For | For | Management | ||||
5 | Ratify Auditors | For | For | Management |
Page 8
ROCHE HOLDING AG
Ticker: | RHHBY | Security ID: | H69293217 | |||
Meeting Date: | FEB 28, 2005 | Meeting Type: | Annual | |||
Record Date: |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1 | Accept Financial Statements and Statutory Reports | For | Did Not Vote | Management | ||||
2 | Approve Discharge of Board and Senior Management | For | Did Not Vote | Management | ||||
3 | Approve Allocation of Income and Dividends of CHF 2.00 per Share | For | Did Not Vote | Management | ||||
4.1 | Reelect John Bell as Director | For | Did Not Vote | Management | ||||
4.2 | Reelect Andre Hoffmann as Director | For | Did Not Vote | Management | ||||
4.3 | Reelect Franz Humer as Director | For | Did Not Vote | Management | ||||
5 | Ratify KPMG Klynveld Peat Marwick Goerdeler SA as Auditors | For | Did Not Vote | Management |
SLM CORP.
Ticker: | SLM | Security ID: | 78442P106 | |||
Meeting Date: | MAY 19, 2005 | Meeting Type: | Annual | |||
Record Date: | MAR 21, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Charles L. Daley | For | For | Management | ||||
1.2 | Elect Director William M. Diefenderfer, III | For | For | Management | ||||
1.3 | Elect Director Thomas J. Fitzpatrick | For | For | Management | ||||
1.4 | Elect Director Diane Suitt Gilleland | For | For | Management | ||||
1.5 | Elect Director Earl A. Goode | For | For | Management | ||||
1.6 | Elect Director Ann Torre Grant | For | For | Management | ||||
1.7 | Elect Director Ronald F. Hunt | For | For | Management | ||||
1.8 | Elect Director Benjamin J. Lambert, III | For | For | Management | ||||
1.9 | Elect Director Albert L. Lord | For | For | Management | ||||
1.10 | Elect Director Barry A. Munitz | For | For | Management | ||||
1.11 | Elect Director A. Alexander Porter, Jr. | For | For | Management | ||||
1.12 | Elect Director Wolfgang Schoellkopf | For | For | Management | ||||
1.13 | Elect Director Steven L. Shapiro | For | For | Management | ||||
1.14 | Elect Director Barry L. Williams | For | For | Management | ||||
2 | Amend Omnibus Stock Plan | For | For | Management | ||||
3 | Ratify Auditors | For | For | Management |
Page 9
STAPLES, INC.
Ticker: | SPLS | Security ID: | 855030102 | |||
Meeting Date: | JUN 13, 2005 | Meeting Type: | Annual | |||
Record Date: | APR 19, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Brenda C. Barnes | For | For | Management | ||||
1.2 | Elect Director Mary Elizabeth Burton | For | For | Management | ||||
1.3 | Elect Director Richard J. Currie | For | For | Management | ||||
1.4 | Elect Director Rowland T. Moriarty | For | For | Management | ||||
2 | Amend Omnibus Stock Plan | For | For | Management | ||||
3 | Ratify Auditors | For | For | Management | ||||
4 | Submit Shareholder Rights Plan (Poison Pill) to Shareholder Vote | Against | Against | Shareholder |
SUNCOR ENERGY INC
Ticker: | SU. | Security ID: | 867229106 | |||
Meeting Date: | APR 28, 2005 | Meeting Type: | Annual/Special | |||
Record Date: | FEB 28, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Mel E. Benson | For | For | Management | ||||
1.2 | Elect Director Brian A. Canfield | For | For | Management | ||||
1.3 | Elect Director Bryan P. Davies | For | For | Management | ||||
1.4 | Elect Director Brian A. Felesky | For | For | Management | ||||
1.5 | Elect Director John T. Ferguson | For | For | Management | ||||
1.6 | Elect Director W. Douglas Ford | For | For | Management | ||||
1.7 | Elect Director Richard L. George | For | For | Management | ||||
1.8 | Elect Director John R. Huff | For | For | Management | ||||
1.9 | Elect Director Robert W. Korthals | For | For | Management | ||||
1.10 | Elect Director M. Ann McCaig | For | For | Management | ||||
1.11 | Elect Director Michael W. O’Brien | For | For | Management | ||||
1.12 | Elect Director JR Shaw | For | For | Management | ||||
2 | Ratify PricewaterhouseCoopers LLP as Auditors | For | For | Management | ||||
3 | Amend Shareholder Rights Plan (Poison Pill) | For | For | Management |
TEXAS INSTRUMENTS INC.
Ticker: | TXN | Security ID: | 882508104 | |||
Meeting Date: | APR 21, 2005 | Meeting Type: | Annual | |||
Record Date: | FEB 22, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director James R. Adams | For | For | Management | ||||
1.2 | Elect Director David L. Boren | For | For | Management | ||||
1.3 | Elect Director Daniel A. Carp | For | For | Management | ||||
1.4 | Elect Director Carrie S. Cox | For | For | Management | ||||
1.5 | Elect Director Thomas J. Engibous | For | For | Management | ||||
1.6 | Elect Director Gerald W. Fronterhouse | For | For | Management | ||||
1.7 | Elect Director David R. Goode | For | For | Management | ||||
1.8 | Elect Director Pamela H. Patsley | For | For | Management | ||||
1.9 | Elect Director Wayne R. Sanders | For | For | Management | ||||
1.10 | Elect Director Ruth J. Simmons | For | For | Management | ||||
1.11 | Elect Director Richard K. Templeton | For | For | Management | ||||
1.12 | Elect Director Christine T. Whitman | For | For | Management | ||||
2 | Ratify Auditors | For | For | Management | ||||
3 | Approve Qualified Employee Stock Purchase Plan | For | For | Management | ||||
4 | Amend Stock Option Plan | For | For | Management |
Page 10
UNITEDHEALTH GROUP INCORPORATED
Ticker: | UNH | Security ID: | 91324P102 | |||
Meeting Date: | MAY 3, 2005 | Meeting Type: | Annual | |||
Record Date: | MAR 7, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Thomas H. Kean | For | For | Management | ||||
1.2 | Elect Director Robert L. Ryan | For | For | Management | ||||
1.3 | Elect Director William G. Spears | For | For | Management | ||||
1.4 | Elect Director Gail R. Wilensky, Ph.D. | For | For | Management | ||||
2 | Ratify Auditors | For | For | Management | ||||
3 | Performance- Based/Indexed Options | Against | For | Shareholder | ||||
4 | Performance- Based/Indexed Options | Against | For | Shareholder |
VODAFONE GROUP PLC
Ticker: | VOD | Security ID: | 92857W100 | |||
Meeting Date: | JUL 27, 2004 | Meeting Type: | Annual | |||
Record Date: | JUN 11, 2004 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1 | TO RECEIVE THE REPORT OF THE DIRECTORS AND FINANCIAL STATEMENTS | For | Abstain | Management | ||||
2 | TO APPROVE THE REMUNERATION REPORT | For | Abstain | Management | ||||
3 | TO RE-ELECT PETER BAMFORD AS A DIRECTOR | For | Abstain | Management | ||||
4 | TO RE-ELECT JULIAN HORN-SMITH AS A DIRECTOR | For | Abstain | Management | ||||
5 | TO RE-ELECT SIR DAVID SCHOLEY AS A DIRECTOR (MEMBER OF THE NOMINATIONS AND GOVERNANCE AND AUDIT COMMITTEE) | For | Abstain | Management | ||||
6 | TO ELECT LUC VANDEVELDE AS A DIRECTOR (MEMBER OF THE REMUNERATION COMMITTEE) | For | Abstain | Management | ||||
7 | TO APPROVE A FINAL DIVIDEND OF 1.07800 PENCE PER ORDINARY SHARE | For | Abstain | Management | ||||
8 | Ratify Auditors | For | Abstain | Management | ||||
9 | TO AUTHORIZE THE AUDIT COMMITTEE TO DETERMINE THE AUDITORS REMUNERATION | For | Abstain | Management | ||||
10 | TO AUTHORIZE DONATIONS UNDER THE POLITICAL PARTIES, ELECTIONS AND REFERENDUMS ACT 2000 | For | Abstain | Management | ||||
11 | TO RENEW AUTHORITY TO ALLOT SHARES UNDER ARTICLE 16.2 OF THE COMPANY S ARTICLES OF ASSOCIATION | For | Abstain | Management | ||||
12 | TO RENEW AUTHORITY TO DISAPPLY PRE-EMPTION RIGHTS UNDER ARTICLE 16.3 OF THE COMPANY S ARTICLES OF ASSOCIATION+ | For | Abstain | Management | ||||
13 | TO AUTHORIZE THE COMPANY S PURCHASE OF ITS OWN SHARES+ | For | Abstain | Management | ||||
14 | TO AUTHORIZE THE COMPANY S PURCHASE OF ITS OWN SHARES PURSUANT TO CONTINGENT PURCHASE CONTRACTS AND OFF-MARKET PURCHASES+ | For | Abstain | Management |
Page 11
WELLS FARGO & COMPANY
Ticker: | WFC | Security ID: | 949746101 | |||
Meeting Date: | APR 26, 2005 | Meeting Type: | Annual | |||
Record Date: | MAR 8, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director J.A. Blanchard III | For | For | Management | ||||
1.2 | Elect Director Susan E. Engel | For | For | Management | ||||
1.3 | Elect Director Enrique Hernandez, Jr. | For | For | Management | ||||
1.4 | Elect Director Robert L. Joss | For | For | Management | ||||
1.5 | Elect Director Reatha Clark King | For | For | Management | ||||
1.6 | Elect Director Richard M. Kovacevich | For | For | Management | ||||
1.7 | Elect Director Richard D. McCormick | For | For | Management | ||||
1.8 | Elect Director Cynthia H. Milligan | For | Withhold | Management | ||||
1.9 | Elect Director Philip J. Quigley | For | For | Management | ||||
1.10 | Elect Director Donald B. Rice | For | Withhold | Management | ||||
1.11 | Elect Director Judith M. Runstad | For | Withhold | Management | ||||
1.12 | Elect Director Stephen W. Sanger | For | For | Management | ||||
1.13 | Elect Director Susan G. Swenson | For | For | Management | ||||
1.14 | Elect Director Michael W. Wright | For | Withhold | Management | ||||
2 | Amend Omnibus Stock Plan | For | For | Management | ||||
3 | Ratify Auditors | For | For | Management | ||||
4 | Adopt Policy on Payday Lenders | Against | Abstain | Shareholder | ||||
5 | Link Executive Compensation to Predatory Lending | Against | Abstain | Shareholder | ||||
6 | Performance- Based/Indexed Options | Against | For | Shareholder | ||||
7 | Limit Executive Compensation | Against | Against | Shareholder | ||||
8 | Separate Chairman and CEO Positions | Against | For | Shareholder |
XM SATELLITE RADIO HOLDINGS INC.
Ticker: | XMSR | Security ID: | 983759101 | |||
Meeting Date: | MAY 26, 2005 | Meeting Type: | Annual | |||
Record Date: | APR 8, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Gary M. Parsons | For | For | Management | ||||
1.2 | Elect Director Hugh Panero | For | For | Management | ||||
1.3 | Elect Director Nathaniel A. Davis | For | For | Management | ||||
1.4 | Elect Director Thomas J. Donohue | For | For | Management | ||||
1.5 | Elect Director Eddy W. Hartenstein | For | For | Management | ||||
1.6 | Elect Director George W. Haywood | For | For | Management | ||||
1.7 | Elect Director Chester A. Huber, Jr. | For | For | Management | ||||
1.8 | Elect Director John Mendel | For | For | Management | ||||
1.9 | Elect Director Jarl Mohn | For | For | Management | ||||
1.10 | Elect Director Pierce J. Roberts, Jr. | For | For | Management | ||||
1.11 | Elect Director Jack Shaw | For | For | Management | ||||
2 | Ratify Auditors | For | For | Management |
Page 12
YAHOO!, INC.
Ticker: | YHOO | Security ID: | 984332106 | |||
Meeting Date: | MAY 19, 2005 | Meeting Type: | Annual | |||
Record Date: | MAR 23, 2005 |
# | Proposal | Mgt Rec | Vote Cast | Sponsor | ||||
1.1 | Elect Director Terry S. Semel | For | For | Management | ||||
1.2 | Elect Director Jerry Yang | For | For | Management | ||||
1.3 | Elect Director Roy J. Bostock | For | For | Management | ||||
1.4 | Elect Director Ronald W. Burkle | For | For | Management | ||||
1.5 | Elect Director Eric Hippeau | For | For | Management | ||||
1.6 | Elect Director Arthur H. Kern | For | For | Management | ||||
1.7 | Elect Director Robert A. Kotick | For | For | Management | ||||
1.8 | Elect Director Edward R. Kozel | For | For | Management | ||||
1.9 | Elect Director Gary L. Wilson | For | For | Management | ||||
2 | Amend Omnibus Stock Plan | For | For | Management | ||||
3 | Amend Non-Employee Director Stock Option Plan | For | For | Management | ||||
4 | Ratify Auditors | For | For | Management |
Page 13
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
CAPITAL APPRECIATION FUND | ||
By: | /s/ Elizabeth M. Forget | |
Elizabeth M. Forget | ||
President |
Date: August 26, 2005