Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant’s proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30bl-4 there under (17 CFR 270.30bl-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. § 3507.
| | AAMA Equity Fund |
| | RED HAT, INC. | | | | | |
| | Security | 756577102 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | RHT | | | | | | | | | | Meeting Date | | 09-Aug-2018 | | | |
| | ISIN | US7565771026 | | | | | | | | | | Agenda | | 934851076 - Management | |
| | Record Date | 15-Jun-2018 | | | | | | | | | | Holding Recon Date | | 15-Jun-2018 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 08-Aug-2018 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1.1 | Election of Director: Sohaib Abbasi | Management | For | | For | For | | | | | | |
| | 1.2 | Election of Director: W. Steve Albrecht | Management | For | | For | For | | | | | | |
| | 1.3 | Election of Director: Charlene T. Begley | Management | For | | For | For | | | | | | |
| | 1.4 | Election of Director: Narendra K. Gupta | Management | For | | For | For | | | | | | |
| | 1.5 | Election of Director: Kimberly L. Hammonds | Management | For | | For | For | | | | | | |
| | 1.6 | Election of Director: William S. Kaiser | Management | For | | For | For | | | | | | |
| | 1.7 | Election of Director: James M. Whitehurst | Management | For | | For | For | | | | | | |
| | 1.8 | Election of Director: Alfred W. Zollar | Management | For | | For | For | | | | | | |
| | 2. | To approve, on an advisory basis, a
resolution relating to Red Hat’s executive
compensation | Management | For | | For | For | | | | | | |
| | 3. | To ratify the selection of
PricewaterhouseCoopers LLP as Red Hat’s
independent registered public accounting
firm for the fiscal year ending February 28,
2019 | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 7,000 | | | 0 | | 04-Aug-2018 | 10-Aug-2018 |
| | ZIONS BANCORPORATION | | | | | |
| | Security | 989701107 | | | | | | | | | | Meeting Type | | Special | | |
| | Ticker Symbol | ZION | | | | | | | | | | Meeting Date | | 14-Sep-2018 | | | |
| | ISIN | US9897011071 | | | | | | | | | | Agenda | | 934863324 - Management | |
| | Record Date | 19-Jul-2018 | | | | | | | | | | Holding Recon Date | | 19-Jul-2018 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 13-Sep-2018 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1. | RESTRUCTURING PROPOSAL. To
approve the Agreement and Plan of Merger,
dated as of April 5, 2018, by and between
the Company and its wholly-owned
subsidiary, ZB, N.A., as amended and
restated July 10, 2018 and as such plan of
merger may be amended from time to time. | Management | For | | For | For | | | | | | |
| | 2. | ADJOURNMENT PROPOSAL. To
authorize the Board of Directors to adjourn
or postpone the special meeting to a later
date, if necessary or appropriate, including
adjournments to permit further solicitation of
proxies in favor of the restructuring proposal
or to vote on other matters properly brought
before the special meeting. | Management | For | | For | For | | | | | | |
| | 3. | OTHER BUSINESS. On any other matter
properly presented for action by
shareholders at the special meeting, such
as any matters incident to the conduct of
the meeting, the proxies are authorized to
vote the shares represented by this
appointment of proxy according to their best
judgment. | Management | Abstain | | None | | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 37,400 | | | 0 | | 04-Aug-2018 | 17-Sep-2018 |
| | FEDEX CORPORATION | | | | | |
| | Security | 31428X106 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | FDX | | | | | | | | | | Meeting Date | | 24-Sep-2018 | | | |
| | ISIN | US31428X1063 | | | | | | | | | | Agenda | | 934865594 - Management | |
| | Record Date | 30-Jul-2018 | | | | | | | | | | Holding Recon Date | | 30-Jul-2018 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 21-Sep-2018 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: John A. Edwardson | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Marvin R. Ellison | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Susan Patricia Griffith | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: John C. (“Chris”) Inglis | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Kimberly A. Jabal | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Shirley Ann Jackson | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: R. Brad Martin | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Joshua Cooper Ramo | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Susan C. Schwab | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Frederick W. Smith | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: David P. Steiner | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: Paul S. Walsh | Management | For | | For | For | | | | | | |
| | 2. | Advisory vote to approve named executive
officer compensation. | Management | For | | For | For | | | | | | |
| | 3. | Ratification of independent registered public
accounting firm. | Management | For | | For | For | | | | | | |
| | 4. | Stockholder proposal regarding lobbying
activity and expenditure report. | Shareholder | Against | | Against | For | | | | | | |
| | 5. | Stockholder proposal regarding shareholder
right to act by written consent. | Shareholder | Against | | Against | For | | | | | | |
| | 6. | Stockholder proposal regarding shareholder
approval of bylaw changes. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 6,000 | | | 0 | | 16-Aug-2018 | 25-Sep-2018 |
| | GENERAL MILLS, INC. | | | | | |
| | Security | 370334104 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | GIS | | | | | | | | | | Meeting Date | | 25-Sep-2018 | | | |
| | ISIN | US3703341046 | | | | | | | | | | Agenda | | 934864960 - Management | |
| | Record Date | 27-Jul-2018 | | | | | | | | | | Holding Recon Date | | 27-Jul-2018 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 24-Sep-2018 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a) | Election of Director: Alicia Boler Davis | Management | For | | For | For | | | | | | |
| | 1b) | Election of Director: R. Kerry Clark | Management | For | | For | For | | | | | | |
| | 1c) | Election of Director: David M. Cordani | Management | For | | For | For | | | | | | |
| | 1d) | Election of Director: Roger W. Ferguson Jr. | Management | For | | For | For | | | | | | |
| | 1e) | Election of Director: Jeffrey L. Harmening | Management | For | | For | For | | | | | | |
| | 1f) | Election of Director: Maria G. Henry | Management | For | | For | For | | | | | | |
| | 1g) | Election of Director: Heidi G. Miller | Management | For | | For | For | | | | | | |
| | 1h) | Election of Director: Steve Odland | Management | For | | For | For | | | | | | |
| | 1i) | Election of Director: Maria A. Sastre | Management | For | | For | For | | | | | | |
| | 1j) | Election of Director: Eric D. Sprunk | Management | For | | For | For | | | | | | |
| | 1k) | Election of Director: Jorge A. Uribe | Management | For | | For | For | | | | | | |
| | 2. | Advisory Vote on Executive Compensation. | Management | For | | For | For | | | | | | |
| | 3. | Ratify Appointment of the Independent
Registered Public Accounting Firm. | Management | For | | For | For | | | | | | |
| | 4. | Shareholder Proposal for Report on
Pesticide Use in Our Supply Chain and its
Impacts on Pollinators. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 18,300 | | | 0 | | 14-Aug-2018 | 26-Sep-2018 |
| | THE PROCTER & GAMBLE COMPANY | | | | | |
| | Security | 742718109 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | PG | | | | | | | | | | Meeting Date | | 09-Oct-2018 | | | |
| | ISIN | US7427181091 | | | | | | | | | | Agenda | | 934870115 - Management | |
| | Record Date | 10-Aug-2018 | | | | | | | | | | Holding Recon Date | | 10-Aug-2018 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 08-Oct-2018 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Francis S. Blake | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Angela F. Braly | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Amy L. Chang | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Kenneth I. Chenault | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Scott D. Cook | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Joseph Jimenez | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Terry J. Lundgren | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: W. James McNerney,
Jr. | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Nelson Peltz | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: David S. Taylor | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Margaret C. Whitman | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: Patricia A. Woertz | Management | For | | For | For | | | | | | |
| | 1m. | Election of Director: Ernesto Zedillo | Management | For | | For | For | | | | | | |
| | 2. | Ratify Appointment of the Independent
Registered Public Accounting Firm | Management | For | | For | For | | | | | | |
| | 3. | Advisory Vote on the Company’s Executive
Compensation (the “Say on Pay” vote) | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 21,900 | | | 0 | | 27-Aug-2018 | 10-Oct-2018 |
| | DIAMONDBACK ENERGY, INC. | | | | | |
| | Security | 25278X109 | | | | | | | | | | Meeting Type | | Special | | |
| | Ticker Symbol | FANG | | | | | | | | | | Meeting Date | | 27-Nov-2018 | | | |
| | ISIN | US25278X1090 | | | | | | | | | | Agenda | | 934893997 - Management | |
| | Record Date | 19-Oct-2018 | | | | | | | | | | Holding Recon Date | | 19-Oct-2018 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 26-Nov-2018 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1. | Proposal to approve the issuance of
Diamondback Energy, Inc. (“Diamondback”)
common stock in connection with the
merger between a wholly owned subsidiary
of Diamondback and Energen Corporation,
as contemplated by the merger agreement,
dated August 14, 2018. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 7,000 | | | 0 | | 30-Oct-2018 | 28-Nov-2018 |
| | MICROSOFT CORPORATION | | | | | |
| | Security | 594918104 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | MSFT | | �� | | | | | | | | Meeting Date | | 28-Nov-2018 | | | |
| | ISIN | US5949181045 | | | | | | | | | | Agenda | | 934884544 - Management | |
| | Record Date | 26-Sep-2018 | | | | | | | | | | Holding Recon Date | | 26-Sep-2018 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 27-Nov-2018 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: William H. Gates lll | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Reid G. Hoffman | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Hugh F. Johnston | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Teri L. List-Stoll | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Satya Nadella | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Charles H. Noski | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Helmut Panke | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Sandra E. Peterson | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Penny S. Pritzker | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Charles W. Scharf | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Arne M. Sorenson | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: John W. Stanton | Management | For | | For | For | | | | | | |
| | 1m. | Election of Director: John W. Thompson | Management | For | | For | For | | | | | | |
| | 1n. | Election of Director: Padmasree Warrior | Management | For | | For | For | | | | | | |
| | 2. | Advisory vote to approve named executive
officer compensation | Management | For | | For | For | | | | | | |
| | 3. | Ratification of Deloitte & Touche LLP as our
independent auditor for fiscal year 2019 | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 32,500 | | | 0 | | 20-Oct-2018 | 29-Nov-2018 |
| | MEDTRONIC PLC | | | | | |
| | Security | G5960L103 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | MDT | | | | | | | | | | Meeting Date | | 07-Dec-2018 | | | |
| | ISIN | IE00BTN1Y115 | | | | | | | | | | Agenda | | 934889215 - Management | |
| | Record Date | 09-Oct-2018 | | | | | | | | | | Holding Recon Date | | 09-Oct-2018 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 06-Dec-2018 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Richard H. Anderson | Management | For | | For | For | | | | | | |
| | 1b.�� | Election of Director: Craig Arnold | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Scott C. Donnelly | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Randall J. Hogan III | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Omar Ishrak | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Michael O. Leavitt | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: James T. Lenehan | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Elizabeth Nabel, M.D. | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Denise M. O’Leary | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Kendall J. Powell | Management | For | | For | For | | | | | | |
| | 2. | To ratify, in a non-binding vote, the re-
appointment of PricewaterhouseCoopers
LLP as Medtronic’s independent auditor for
fiscal year 2019 and authorize the Board of
Directors, acting through the Audit
Committee, to set the auditor’s
remuneration. | Management | For | | For | For | | | | | | |
| | 3. | To approve in a non-binding advisory vote,
named executive officer compensation (a
“Say-on-Pay” vote). | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 15,100 | | | 0 | | 26-Oct-2018 | 10-Dec-2018 |
| | CISCO SYSTEMS, INC. | | | | | |
| | Security | 17275R102 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | CSCO | | | | | | | | | | Meeting Date | | 12-Dec-2018 | | | |
| | ISIN | US17275R1023 | | | | | | | | | | Agenda | | 934891614 - Management | |
| | Record Date | 15-Oct-2018 | | | | | | | | | | Holding Recon Date | | 15-Oct-2018 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 11-Dec-2018 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: M. Michele Burns | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Michael D. Capellas | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Mark Garrett | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Dr. Kristina M. Johnson | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Roderick C. McGeary | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Charles H. Robbins | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Arun Sarin | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Brenton L. Saunders | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Steven M. West | Management | For | | For | For | | | | | | |
| | 2. | Approval of amendment and restatement of
the Employee Stock Purchase Plan. | Management | For | | For | For | | | | | | |
| | 3. | Approval, on an advisory basis, of executive
compensation. | Management | For | | For | For | | | | | | |
| | 4. | Ratification of PricewaterhouseCoopers
LLP as Cisco’s independent registered
public accounting firm for fiscal 2019. | Management | For | | For | For | | | | | | |
| | 5. | Approval to have Cisco’s Board adopt a
policy to have an independent Board
chairman. | Shareholder | Against | | Against | For | | | | | | |
| | 6. | Approval to have Cisco’s Board adopt a
proposal relating to executive compensation
metrics. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 71,600 | | | 0 | | 26-Oct-2018 | 13-Dec-2018 |
| | RED HAT, INC. | | | | | |
| | Security | 756577102 | | | | | | | | | | Meeting Type | | Special | | |
| | Ticker Symbol | RHT | | | | | | | | | | Meeting Date | | 16-Jan-2019 | | | |
| | ISIN | US7565771026 | | | | | | | | | | Agenda | | 934914222 - Management | |
| | Record Date | 11-Dec-2018 | | | | | | | | | | Holding Recon Date | | 11-Dec-2018 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 15-Jan-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1. | To adopt the Agreement and Plan of
Merger (as it may be amended from time to
time), dated as of October 28, 2018, which
we refer to as the merger agreement, by
and among Red Hat, Inc., International
Business Machines Corporation and
Socrates Acquisition Corp. | Management | For | | For | For | | | | | | |
| | 2. | To approve, by means of a non-binding,
advisory vote, compensation that will or
may become payable to the named
executive officers of Red Hat, Inc. in
connection with the merger. | Management | For | | For | For | | | | | | |
| | 3. | To approve one or more adjournments of
the special meeting to a later date or dates,
if necessary or appropriate, to solicit
additional proxies if there are insufficient
votes to adopt the merger agreement at the
then-scheduled date and time of the special
meeting. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 7,000 | | | 0 | | 18-Dec-2018 | 17-Jan-2019 |
| | WALGREENS BOOTS ALLIANCE, INC. | | | | | |
| | Security | 931427108 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | WBA | | | | | | | | | | Meeting Date | | 25-Jan-2019 | | | |
| | ISIN | US9314271084 | | | | | | | | | | Agenda | | 934909827 - Management | |
| | Record Date | 26-Nov-2018 | | | | | | | | | | Holding Recon Date | | 26-Nov-2018 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 24-Jan-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Jose E. Almeida | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Janice M. Babiak | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: David J. Brailer | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: William C. Foote | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Ginger L. Graham | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: John A. Lederer | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Dominic P. Murphy | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Stefano Pessina | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Leonard D. Schaeffer | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Nancy M. Schlichting | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: James A. Skinner | Management | For | | For | For | | | | | | |
| | 2. | Ratification of the appointment of Deloitte &
Touche LLP as the independent registered
public accounting firm for fiscal year 2019. | Management | For | | For | For | | | | | | |
| | 3. | Advisory vote to approve named executive
officer compensation. | Management | For | | For | For | | | | | | |
| | 4. | Approval of the amendment and
restatement of the Walgreens Boots
Alliance, Inc. Employee Stock Purchase
Plan. | Management | For | | For | For | | | | | | |
| | 5. | Stockholder proposal requesting an
independent Board Chairman. | Shareholder | Against | | Against | For | | | | | | |
| | 6. | Stockholder proposal regarding the use of
GAAP financial metrics for purposes of
determining senior executive compensation. | Shareholder | Against | | Against | For | | | | | | |
| | 7. | Stockholder proposal requesting report on
governance measures related to opioids. | Shareholder | Against | | Against | For | | | | | | |
| | 8. | Stockholder proposal regarding the
ownership threshold for calling special
meetings of stockholders. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 19,700 | | | 0 | | 07-Dec-2018 | 28-Jan-2019 |
| | CENTENE CORPORATION | | | | | |
| | Security | 15135B101 | | | | | | | | | | Meeting Type | | Special | | |
| | Ticker Symbol | CNC | | | | | | | | | | Meeting Date | | 28-Jan-2019 | | | |
| | ISIN | US15135B1017 | | | | | | | | | | Agenda | | 934917723 - Management | |
| | Record Date | 24-Dec-2018 | | | | | | | | | | Holding Recon Date | | 24-Dec-2018 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 25-Jan-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1. | Approval of an Amendment to the
Company’s Certificate of Incorporation to
Increase the Number of Authorized Shares
of Common Stock. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 10,800 | | | 0 | | 29-Dec-2018 | 29-Jan-2019 |
| | VISA INC. | | | | | |
| | Security | 92826C839 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | V | | | | | | | | | | Meeting Date | | 29-Jan-2019 | | | |
| | ISIN | US92826C8394 | | | | | | | | | | Agenda | | 934911074 - Management | |
| | Record Date | 30-Nov-2018 | | | | | | | | | | Holding Recon Date | | 30-Nov-2018 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 28-Jan-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Lloyd A. Carney | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Mary B. Cranston | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Francisco Javier
Fernandez-Carbajal | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Alfred F. Kelly, Jr. | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: John F. Lundgren | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Robert W. Matschullat | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Denise M. Morrison | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Suzanne Nora Johnson | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: John A. C. Swainson | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Maynard G. Webb, Jr. | Management | For | | For | For | | | | | | |
| | 2. | Advisory vote to approve executive
compensation. | Management | For | | For | For | | | | | | |
| | 3. | Ratification of the appointment of KPMG
LLP as our independent registered public
accounting firm for the 2019 fiscal year. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 9,400 | | | 0 | | 19-Dec-2018 | 30-Jan-2019 |
| | APPLE INC. | | | | | |
| | Security | 037833100 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | AAPL | | | | | | | | | | Meeting Date | | 01-Mar-2019 | | | |
| | ISIN | US0378331005 | | | | | | | | | | Agenda | | 934919359 - Management | |
| | Record Date | 02-Jan-2019 | | | | | | | | | | Holding Recon Date | | 02-Jan-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 28-Feb-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of director: James Bell | Management | For | | For | For | | | | | | |
| | 1b. | Election of director: Tim Cook | Management | For | | For | For | | | | | | |
| | 1c. | Election of director: Al Gore | Management | For | | For | For | | | | | | |
| | 1d. | Election of director: Bob Iger | Management | For | | For | For | | | | | | |
| | 1e. | Election of director: Andrea Jung | Management | For | | For | For | | | | | | |
| | 1f. | Election of director: Art Levinson | Management | For | | For | For | | | | | | |
| | 1g. | Election of director: Ron Sugar | Management | For | | For | For | | | | | | |
| | 1h. | Election of director: Sue Wagner | Management | For | | For | For | | | | | | |
| | 2. | Ratification of the appointment of Ernst &
Young LLP as Apple’s independent
registered public accounting firm for 2019 | Management | For | | For | For | | | | | | |
| | 3. | Advisory vote to approve executive
compensation | Management | For | | For | For | | | | | | |
| | 4. | A shareholder proposal entitled
“Shareholder Proxy Access Amendments” | Shareholder | Against | | Against | For | | | | | | |
| | 5. | A shareholder proposal entitled “True
Diversity Board Policy” | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 22,800 | | | 0 | | 13-Jan-2019 | 04-Mar-2019 |
| | JOHNSON CONTROLS INTERNATIONAL PLC | | | | | |
| | Security | G51502105 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | JCI | | | | | | | | | | Meeting Date | | 06-Mar-2019 | | | |
| | ISIN | IE00BY7QL619 | | | | | | | | | | Agenda | | 934919943 - Management | |
| | Record Date | 02-Jan-2019 | | | | | | | | | | Holding Recon Date | | 02-Jan-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 05-Mar-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Jean Blackwell | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Pierre Cohade | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Michael E. Daniels | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Juan Pablo del Valle
Perochena | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: W. Roy Dunbar | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Gretchen R. Haggerty | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Simone Menne | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: George R. Oliver | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Jurgen Tinggren | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Mark Vergnano | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: R. David Yost | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: John D. Young | Management | For | | For | For | | | | | | |
| | 2.a | To ratify the appointment of
PricewaterhouseCoopers LLP as the
independent auditors of the Company. | Management | For | | For | For | | | | | | |
| | 2.b | To authorize the Audit Committee of the
Board of Directors to set the auditors’
remuneration. | Management | For | | For | For | | | | | | |
| | 3. | To authorize the Company and/or any
subsidiary of the Company to make market
purchases of Company shares. | Management | For | | For | For | | | | | | |
| | 4. | To determine the price range at which the
Company can re-allot shares that it holds as
treasury shares (Special Resolution). | Management | For | | For | For | | | | | | |
| | 5. | To approve, in a non-binding advisory vote,
the compensation of the named executive
officers. | Management | For | | For | For | | | | | | |
| | 6. | To approve the Directors’ authority to allot
shares up to approximately 33% of issued
share capital. | Management | For | | For | For | | | | | | |
| | 7. | To approve the waiver of statutory pre-
emption rights with respect to up to 5% of
issued share capital (Special Resolution). | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 47,600 | | | 0 | | 19-Jan-2019 | 07-Mar-2019 |
| | APPLIED MATERIALS, INC. | | | | | |
| | Security | 038222105 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | AMAT | | | | | | | | | | Meeting Date | | 07-Mar-2019 | | | |
| | ISIN | US0382221051 | | | | | | | | | | Agenda | | 934921873 - Management | |
| | Record Date | 10-Jan-2019 | | | | | | | | | | Holding Recon Date | | 10-Jan-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 06-Mar-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Judy Bruner | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Xun (Eric) Chen | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Aart J. de Geus | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Gary E. Dickerson | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Stephen R. Forrest | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Thomas J. Iannotti | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Alexander A. Karsner | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Adrianna C. Ma | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Scott A. McGregor | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Dennis D. Powell | Management | For | | For | For | | | | | | |
| | 2. | Approval, on an advisory basis, of the
compensation of Applied Materials’ named
executive officers for fiscal year 2018. | Management | For | | For | For | | | | | | |
| | 3. | Ratification of the appointment of KPMG
LLP as Applied Materials’ independent
registered public accounting firm for fiscal
year 2019. | Management | For | | For | For | | | | | | |
| | 4. | Shareholder proposal to provide for right to
act by written consent. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 93,800 | | | 0 | | 25-Jan-2019 | 08-Mar-2019 |
| | QUALCOMM INCORPORATED | | | | | |
| | Security | 747525103 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | QCOM | | | | | | | | | | Meeting Date | | 12-Mar-2019 | | | |
| | ISIN | US7475251036 | | | | | | | | | | Agenda | | 934921568 - Management | |
| | Record Date | 14-Jan-2019 | | | | | | | | | | Holding Recon Date | | 14-Jan-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 11-Mar-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Barbara T. Alexander | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Mark Fields | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Jeffrey W. Henderson | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Ann M. Livermore | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Harish Manwani | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Mark D. McLaughlin | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Steve Mollenkopf | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Clark T. Randt, Jr. | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Francisco Ros | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Irene B. Rosenfeld | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Neil Smit | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: Anthony J. Vinciquerra | Management | For | | For | For | | | | | | |
| | 2. | To ratify the selection of
PricewaterhouseCoopers LLP as our
independent public accountants for our
fiscal year ending September 29, 2019. | Management | For | | For | For | | | | | | |
| | 3. | To approve, on an advisory basis, our
executive compensation. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 50,900 | | | 0 | | 25-Jan-2019 | 13-Mar-2019 |
| | F5 NETWORKS, INC. | | | | | |
| | Security | 315616102 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | FFIV | | | | | | | | | | Meeting Date | | 14-Mar-2019 | | | |
| | ISIN | US3156161024 | | | | | | | | | | Agenda | | 934923839 - Management | |
| | Record Date | 07-Jan-2019 | | | | | | | | | | Holding Recon Date | | 07-Jan-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 13-Mar-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: A. Gary Ames | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Sandra E. Bergeron | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Deborah L. Bevier | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Michel Combes | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Michael L. Dreyer | Management | For | | For | For | | | | | | |
| | 1f | Election of Director: Alan J. Higginson | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Peter S. Klein | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Francois Locoh-Donou | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: John McAdam | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Nikhil Mehta | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Marie E. Myers | Management | For | | For | For | | | | | | |
| | 2. | Approve the F5 Networks, Inc. 2014
Incentive Plan. | Management | For | | For | For | | | | | | |
| | 3. | Approve the F5 Networks, Inc. 2011
Employee Stock Purchase Plan. | Management | For | | For | For | | | | | | |
| | 4. | Ratify the selection of
PricewaterhouseCoopers LLP as the
Company’s independent registered public
accounting firm for fiscal year 2019. | Management | For | | For | For | | | | | | |
| | 5. | Advisory vote to approve the compensation
of our named executive officers. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 4,500 | | | 0 | | 29-Jan-2019 | 15-Mar-2019 |
| | ADOBE INC | | | | | |
| | Security | 00724F101 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | ADBE | | | | | | | | | | Meeting Date | | 11-Apr-2019 | | | |
| | ISIN | US00724F1012 | | | | | | | | | | Agenda | | 934931216 - Management | |
| | Record Date | 13-Feb-2019 | | | | | | | | | | Holding Recon Date | | 13-Feb-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 10-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Amy Banse | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Frank Calderoni | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: James Daley | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Laura Desmond | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Charles Geschke | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Shantanu Narayen | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Kathleen Oberg | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Dheeraj Pandey | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: David Ricks | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Daniel Rosensweig | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: John Warnock | Management | For | | For | For | | | | | | |
| | 2. | Approve the 2019 Equity Incentive Plan to
replace our 2003 Equity Incentive Plan. | Management | For | | For | For | | | | | | |
| | 3. | Ratify the appointment of KPMG LLP as our
independent registered public accounting
firm for our fiscal year ending on November
29, 2019. | Management | For | | For | For | | | | | | |
| | 4. | Approve, on an advisory basis, the
compensation of our named executive
officers. | Management | For | | For | For | | | | | | |
| | 5. | Consider and vote upon one stockholder
proposal. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 13,200 | | | 0 | | 02-Mar-2019 | 12-Apr-2019 |
| | BRISTOL-MYERS SQUIBB COMPANY | | | | | |
| | Security | 110122108 | | | | | | | | | | Meeting Type | | Contested-Special | | |
| | Ticker Symbol | BMY | | | | | | | | | | Meeting Date | | 12-Apr-2019 | | | |
| | ISIN | US1101221083 | | | | | | | | | | Agenda | | 934932751 - Management | |
| | Record Date | 08-Feb-2019 | | | | | | | | | | Holding Recon Date | | 08-Feb-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 11-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1. | Stock Issuance Proposal: To approve the
issuance of shares of Bristol-Myers Squibb
Company common stock to stockholders of
Celgene Corporation in the merger between
Celgene Corporation and Burgundy Merger
Sub, Inc., a wholly-owned subsidiary of
Bristol-Myers Squibb Company, pursuant to
the terms and conditions of the Agreement
and Plan of Merger, dated as of January 2,
2019, as it may be amended from time to
time, among Bristol-Myers Squibb
Company, Burgundy Merger Sub, Inc. and
Celgene Corporation. | Management | For | | For | For | | | | | | |
| | 2. | Adjournment Proposal: To approve the
adjournment from time to time of the special
meeting of the stockholders of Bristol-
Myers Squibb Company if necessary to
solicit additional proxies if there are not
sufficient votes at the time of the special
meeting, or any adjournment or
postponement thereof, to approve the Stock
Issuance Proposal. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 30,000 | | | 0 | | 26-Feb-2019 | 15-Apr-2019 |
| | BRISTOL-MYERS SQUIBB COMPANY | | | | | |
| | Security | 110122108 | | | | | | | | | | Meeting Type | | Contested-Special | | |
| | Ticker Symbol | BMY | | | | | | | | | | Meeting Date | | 12-Apr-2019 | | | |
| | ISIN | US1101221083 | | | | | | | | | | Agenda | | 934939654 - Management | |
| | Record Date | 01-Mar-2019 | | | | | | | | | | Holding Recon Date | | 01-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 11-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1. | Stock Issuance Proposal: To approve the
issuance of shares of Bristol-Myers Squibb
Company common stock to stockholders of
Celgene Corporation in the merger between
Celgene Corporation and Burgundy Merger
Sub, Inc., a wholly-owned subsidiary of
Bristol-Myers Squibb Company, pursuant to
the terms and conditions of the Agreement
and Plan of Merger, dated as of January 2,
2019, as it may be amended from time to
time, among Bristol-Myers Squibb
Company, Burgundy Merger Sub, Inc. and
Celgene Corporation. | Management | For | | For | For | | | | | | |
| | 2. | Adjournment Proposal: To approve the
adjournment from time to time of the special
meeting of the stockholders of Bristol-
Myers Squibb Company if necessary to
solicit additional proxies if there are not
sufficient votes at the time of the special
meeting, or any adjournment or
postponement thereof, to approve the Stock
Issuance Proposal. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 30,000 | | | 0 | | 25-Mar-2019 | 15-Apr-2019 |
| | BRISTOL-MYERS SQUIBB COMPANY | | | | | |
| | Security | 110122108 | | | | | | | | | | Meeting Type | | Contested-Special | | |
| | Ticker Symbol | BMY | | | | | | | | | | Meeting Date | | 12-Apr-2019 | | | |
| | ISIN | US1101221083 | | | | | | | | | | Agenda | | 934939654 - Management | |
| | Record Date | 01-Mar-2019 | | | | | | | | | | Holding Recon Date | | 01-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 11-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1. | Stock Issuance Proposal: To approve the
issuance of shares of Bristol-Myers Squibb
Company common stock to stockholders of
Celgene Corporation in the merger between
Celgene Corporation and Burgundy Merger
Sub, Inc., a wholly-owned subsidiary of
Bristol-Myers Squibb Company, pursuant to
the terms and conditions of the Agreement
and Plan of Merger, dated as of January 2,
2019, as it may be amended from time to
time, among Bristol-Myers Squibb
Company, Burgundy Merger Sub, Inc. and
Celgene Corporation. | Management | For | | For | For | | | | | | |
| | 2. | Adjournment Proposal: To approve the
adjournment from time to time of the special
meeting of the stockholders of Bristol-
Myers Squibb Company if necessary to
solicit additional proxies if there are not
sufficient votes at the time of the special
meeting, or any adjournment or
postponement thereof, to approve the Stock
Issuance Proposal. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 30,000 | | | 0 | | 15-Mar-2019 | 15-Mar-2019 |
| | U.S. BANCORP | | | | | |
| | Security | 902973304 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | USB | | | | | | | | | | Meeting Date | | 16-Apr-2019 | | | |
| | ISIN | US9029733048 | | | | | | | | | | Agenda | | 934932131 - Management | |
| | Record Date | 19-Feb-2019 | | | | | | | | | | Holding Recon Date | | 19-Feb-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 15-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Warner L. Baxter | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Dorothy J. Bridges | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Elizabeth L. Buse | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Marc N. Casper | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Andrew Cecere | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Arthur D. Collins, Jr. | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Kimberly J. Harris | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Roland A. Hernandez | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Doreen Woo Ho | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Olivia F. Kirtley | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Karen S. Lynch | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: Richard P. McKenney | Management | For | | For | For | | | | | | |
| | 1m. | Election of Director: Yusuf I. Mehdi | Management | For | | For | For | | | | | | |
| | 1n. | Election of Director: David B. O’Maley | Management | For | | For | For | | | | | | |
| | 1o. | Election of Director: O’dell M. Owens, M.D.,
M.P.H. | Management | For | | For | For | | | | | | |
| | 1p. | Election of Director: Craig D. Schnuck | Management | For | | For | For | | | | | | |
| | 1q. | Election of Director: Scott W. Wine | Management | For | | For | For | | | | | | |
| | 2. | The ratification of the selection of Ernst &
Young LLP as our independent auditor for
the 2019 fiscal year. | Management | For | | For | For | | | | | | |
| | 3. | An advisory vote to approve the
compensation of our executives disclosed
in the proxy statement. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 42,900 | | | 0 | | 07-Mar-2019 | 17-Apr-2019 |
| | COMMERCE BANCSHARES, INC. | | | | | |
| | Security | 200525103 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | CBSH | | | | | | | | | | Meeting Date | | 17-Apr-2019 | | | |
| | ISIN | US2005251036 | | | | | | | | | | Agenda | | 934933878 - Management | |
| | Record Date | 15-Feb-2019 | | | | | | | | | | Holding Recon Date | | 15-Feb-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 16-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1. | DIRECTOR | Management | | | | | | | | | | |
| | | | 1 | Earl H. Devanny, III | For | | For | For | | | | | | |
| | | | 2 | Benjamin F Rassieur III | For | | For | For | | | | | | |
| | | | 3 | Todd R. Schnuck | For | | For | For | | | | | | |
| | | | 4 | Andrew C. Taylor | For | | For | For | | | | | | |
| | 2. | Ratification of the Selection of KPMG LLP
as the Company’s Independent Registered
Public Accounting Firm for 2019. | Management | For | | For | For | | | | | | |
| | 3. | Say on Pay - Advisory Approval of the
Company’s Executive Compensation. | Management | For | | For | For | | | | | | |
| | 4. | Approve the Amendment of the Company’s
Articles of Incorporation to increase the
number of shares of authorized common
stock. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 9,765 | | | 0 | | 09-Mar-2019 | 18-Apr-2019 |
| | HUMANA INC. | | | | | |
| | Security | 444859102 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | HUM | | | | | | | | | | Meeting Date | | 18-Apr-2019 | | | |
| | ISIN | US4448591028 | | | | | | | | | | Agenda | | 934935694 - Management | |
| | Record Date | 25-Feb-2019 | | | | | | | | | | Holding Recon Date | | 25-Feb-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 17-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a) | Election of Director: Kurt J. Hilzinger | Management | For | | For | For | | | | | | |
| | 1b) | Election of Director: Frank J. Bisignano | Management | For | | For | For | | | | | | |
| | 1c) | Election of Director: Bruce D. Broussard | Management | For | | For | For | | | | | | |
| | 1d) | Election of Director: Frank A. D’Amelio | Management | For | | For | For | | | | | | |
| | 1e) | Election of Director: Karen B. DeSalvo,
M.D. | Management | For | | For | For | | | | | | |
| | 1f) | Election of Director: W. Roy Dunbar | Management | For | | For | For | | | | | | |
| | 1g) | Election of Director: David A. Jones, Jr. | Management | For | | For | For | | | | | | |
| | 1h) | Election of Director: William J. McDonald | Management | For | | For | For | | | | | | |
| | 1i) | Election of Director: James J. O’Brien | Management | For | | For | For | | | | | | |
| | 1j) | Election of Director: Marissa T. Peterson | Management | For | | For | For | | | | | | |
| | 2. | The ratification of the appointment of
PricewaterhouseCoopers LLP as the
Company’s independent registered public
accounting firm. | Management | For | | For | For | | | | | | |
| | 3. | The approval of the compensation of the
named executive officers as disclosed in
the 2019 proxy statement. | Management | For | | For | For | | | | | | |
| | 4. | The approval of the Amended and Restated
Humana Inc. Stock Incentive Plan. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 4,700 | | | 0 | | 07-Mar-2019 | 19-Apr-2019 |
| | SUNTRUST BANKS, INC. | | | | | |
| | Security | 867914103 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | STI | | | | | | | | | | Meeting Date | | 23-Apr-2019 | | | |
| | ISIN | US8679141031 | | | | | | | | | | Agenda | | 934933638 - Management | |
| | Record Date | 13-Feb-2019 | | | | | | | | | | Holding Recon Date | | 13-Feb-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 22-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1A | Election of Director: Agnes Bundy Scanlan | Management | For | | For | For | | | | | | |
| | 1B | Election of Director: Dallas S. Clement | Management | For | | For | For | | | | | | |
| | 1C | Election of Director: Paul D. Donahue | Management | For | | For | For | | | | | | |
| | 1D | Election of Director: Paul R. Garcia | Management | For | | For | For | | | | | | |
| | 1E | Election of Director: Donna S. Morea | Management | For | | For | For | | | | | | |
| | 1F | Election of Director: David M. Ratcliffe | Management | For | | For | For | | | | | | |
| | 1G | Election of Director: William H. Rogers, Jr. | Management | For | | For | For | | | | | | |
| | 1H | Election of Director: Frank P. Scruggs, Jr. | Management | For | | For | For | | | | | | |
| | 1I | Election of Director: Bruce L. Tanner | Management | For | | For | For | | | | | | |
| | 1J | Election of Director: Steven C. Voorhees | Management | For | | For | For | | | | | | |
| | 2 | To approve, on an advisory basis, the
Company’s executive compensation. | Management | For | | For | For | | | | | | |
| | 3 | To ratify the appointment of Ernst & Young
LLP as our independent auditor for 2019. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 11,000 | | | 0 | | 09-Mar-2019 | 24-Apr-2019 |
| | FASTENAL COMPANY | | | | | |
| | Security | 311900104 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | FAST | | | | | | | | | | Meeting Date | | 23-Apr-2019 | | | |
| | ISIN | US3119001044 | | | | | | | | | | Agenda | | 934935606 - Management | |
| | Record Date | 22-Feb-2019 | | | | | | | | | | Holding Recon Date | | 22-Feb-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 22-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Willard D. Oberton | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Michael J. Ancius | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Michael J. Dolan | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Stephen L. Eastman | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Daniel L. Florness | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Rita J. Heise | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Darren R. Jackson | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Daniel L. Johnson | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Scott A. Satterlee | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Reyne K. Wisecup | Management | For | | For | For | | | | | | |
| | 2. | Ratification of the appointment of KPMG
LLP as independent registered public
accounting firm for the 2019 fiscal year. | Management | For | | For | For | | | | | | |
| | 3. | Approval, by non-binding vote, of executive
compensation. | Management | For | | For | For | | | | | | |
| | 4. | A shareholder proposal related to diversity
reporting. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 15,000 | | | 0 | | 16-Mar-2019 | 24-Apr-2019 |
| | CENTENE CORPORATION | | | | | |
| | Security | 15135B101 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | CNC | | | | | | | | | | Meeting Date | | 23-Apr-2019 | | | |
| | ISIN | US15135B1017 | | | | | | | | | | Agenda | | 934937927 - Management | |
| | Record Date | 22-Feb-2019 | | | | | | | | | | Holding Recon Date | | 22-Feb-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 22-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1A. | Election of Director: Orlando Ayala | Management | For | | For | For | | | | | | |
| | 1B. | Election of Director: John R. Roberts | Management | For | | For | For | | | | | | |
| | 1C. | Election of Director: Tommy G. Thompson | Management | For | | For | For | | | | | | |
| | 2. | ADVISORY RESOLUTION TO APPROVE
EXECUTIVE COMPENSATION. | Management | For | | For | For | | | | | | |
| | 3. | RATIFICATION OF APPOINTMENT OF
KPMG LLP AS OUR INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2019. | Management | For | | For | For | | | | | | |
| | 4. | THE STOCKHOLDER PROPOSAL
REQUESTING POLITICAL SPENDING
DISCLOSURES AS DESCRIBED IN THE
PROXY STATEMENT. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 21,600 | | | 0 | | 12-Mar-2019 | 24-Apr-2019 |
| | THE PNC FINANCIAL SERVICES GROUP, INC. | | | | | |
| | Security | 693475105 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | PNC | | | | | | | | | | Meeting Date | | 23-Apr-2019 | | | |
| | ISIN | US6934751057 | | | | | | | | | | Agenda | | 934940164 - Management | |
| | Record Date | 01-Feb-2019 | | | | | | | | | | Holding Recon Date | | 01-Feb-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 22-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Joseph Alvarado | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Charles E. Bunch | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Debra A. Cafaro | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Marjorie Rodgers
Cheshire | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: William S. Demchak | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Andrew T. Feldstein | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Richard J. Harshman | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Daniel R. Hesse | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Richard B. Kelson | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Linda R. Medler | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Martin Pfinsgraff | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: Toni Townes-Whitley | Management | For | | For | For | | | | | | |
| | 1m. | Election of Director: Michael J. Ward | Management | For | | For | For | | | | | | |
| | 2. | Ratification of the Audit Committee’s
selection of PricewaterhouseCoopers LLP
as PNC’s independent registered public
accounting firm for 2019. | Management | For | | For | For | | | | | | |
| | 3. | Advisory vote to approve named executive
officer compensation. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 8,100 | | | 0 | | 16-Mar-2019 | 24-Apr-2019 |
| | WELLS FARGO & COMPANY | | | | | |
| | Security | 949746101 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | WFC | | | | | | | | | | Meeting Date | | 23-Apr-2019 | | | |
| | ISIN | US9497461015 | | | | | | | | | | Agenda | | 934941584 - Management | |
| | Record Date | 26-Feb-2019 | | | | | | | | | | Holding Recon Date | | 26-Feb-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 22-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: John D. Baker II | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Celeste A. Clark | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Theodore F. Craver, Jr. | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Elizabeth A. Duke | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Wayne M. Hewett | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Donald M. James | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Maria R. Morris | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Juan A. Pujadas | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: James H. Quigley | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Ronald L. Sargent | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: C. Allen Parker | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: Suzanne M. Vautrinot | Management | For | | For | For | | | | | | |
| | 2. | Advisory resolution to approve executive
compensation. | Management | For | | For | For | | | | | | |
| | 3. | Approve the Company’s Amended and
Restated Long-Term Incentive
Compensation Plan. | Management | For | | For | For | | | | | | |
| | 4. | Ratify the appointment of KPMG LLP as the
Company’s independent registered public
accounting firm for 2019. | Management | For | | For | For | | | | | | |
| | 5. | Shareholder Proposal - Report on
Incentive-Based Compensation and Risks
of Material Losses. | Shareholder | Against | | Against | For | | | | | | |
| | 6. | Shareholder Proposal - Report on Global
Median Gender Pay Gap. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 59,800 | | | 0 | | 16-Mar-2019 | 24-Apr-2019 |
| | SPIRIT AEROSYSTEMS HOLDINGS INC | | | | | |
| | Security | 848574109 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | SPR | | | | | | | | | | Meeting Date | | 24-Apr-2019 | | | |
| | ISIN | US8485741099 | | | | | | | | | | Agenda | | 934940152 - Management | |
| | Record Date | 25-Feb-2019 | | | | | | | | | | Holding Recon Date | | 25-Feb-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 23-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Charles L. Chadwell | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Irene M. Esteves | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Paul E. Fulchino | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Thomas C. Gentile III | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Richard A. Gephardt | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Robert D. Johnson | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Ronald T. Kadish | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: John L. Plueger | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Laura H. Wright | Management | For | | For | For | | | | | | |
| | 2. | Advisory vote to approve the compensation
of the Company’s named executive officers. | Management | For | | For | For | | | | | | |
| | 3. | Ratification of the selection of Ernst &
Young LLP as the Company’s independent
registered public accounting firm for 2019. | Management | For | | For | For | | | | | | |
| | 4. | The stockholder proposal to amend the
Company’s proxy access bylaw provisions
and associated documents to eliminate
minimum level of support requirement for
proxy access director candidate re-
nomination. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 8,900 | | | 0 | | 16-Mar-2019 | 25-Apr-2019 |
| | W.W. GRAINGER, INC. | | | | | |
| | Security | 384802104 | �� | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | GWW | | | | | | | | | | Meeting Date | | 24-Apr-2019 | | | |
| | ISIN | US3848021040 | | | | | | | | | | Agenda | | 934941798 - Management | |
| | Record Date | 04-Mar-2019 | | | | | | | | | | Holding Recon Date | | 04-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 23-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1. | DIRECTOR | Management | | | | | | | | | | |
| | | | 1 | Rodney C. Adkins | For | | For | For | | | | | | |
| | | | 2 | Brian P. Anderson | For | | For | For | | | | | | |
| | | | 3 | V. Ann Hailey | For | | For | For | | | | | | |
| | | | 4 | Stuart L. Levenick | For | | For | For | | | | | | |
| | | | 5 | D.G. Macpherson | For | | For | For | | | | | | |
| | | | 6 | Neil S. Novich | For | | For | For | | | | | | |
| | | | 7 | Beatriz R. Perez | For | | For | For | | | | | | |
| | | | 8 | Michael J. Roberts | For | | For | For | | | | | | |
| | | | 9 | E. Scott Santi | For | | For | For | | | | | | |
| | | | 10 | James D. Slavik | For | | For | For | | | | | | |
| | | | 11 | Lucas E. Watson | For | | For | For | | | | | | |
| | 2. | Proposal to ratify the appointment of Ernst
& Young LLP as independent auditor for the
year ending December 31, 2019. | Management | For | | For | For | | | | | | |
| | 3. | Say on Pay: Advisory proposal to approve
compensation of the Company’s Named
Executive Officers. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 5,100 | | | 0 | | 16-Mar-2019 | 25-Apr-2019 |
| | BANK OF AMERICA CORPORATION | | | | | |
| | Security | 060505104 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | BAC | | | | | | | | | | Meeting Date | | 24-Apr-2019 | | | |
| | ISIN | US0605051046 | | | | | | | | | | Agenda | | 934942360 - Management | |
| | Record Date | 04-Mar-2019 | | | | | | | | | | Holding Recon Date | | 04-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 23-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Sharon L. Allen | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Susan S. Bies | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Jack O. Bovender, Jr. | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Frank P. Bramble, Sr. | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Pierre J.P. de Weck | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Arnold W. Donald | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Linda P. Hudson | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Monica C. Lozano | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Thomas J. May | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Brian T. Moynihan | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Lionel L. Nowell III | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: Clayton S. Rose | Management | For | | For | For | | | | | | |
| | 1m. | Election of Director: Michael D. White | Management | For | | For | For | | | | | | |
| | 1n. | Election of Director: Thomas D. Woods | Management | For | | For | For | | | | | | |
| | 1o. | Election of Director: R. David Yost | Management | For | | For | For | | | | | | |
| | 1p. | Election of Director: Maria T. Zuber | Management | For | | For | For | | | | | | |
| | 2. | Approving Our Executive Compensation (an
Advisory, Non- binding “Say on Pay”
Resolution) | Management | For | | For | For | | | | | | |
| | 3. | Ratifying the Appointment of Our
Independent Registered Public Accounting
Firm for 2019. | Management | For | | For | For | | | | | | |
| | 4. | Amending the Bank of America Corporation
Key Employee Equity Plan. | Management | For | | For | For | | | | | | |
| | 5. | Report Concerning Gender Pay Equity. | Shareholder | Against | | Against | For | | | | | | |
| | 6. | Right to Act by Written Consent. | Shareholder | Against | | Against | For | | | | | | |
| | 7. | Enhance Shareholder Proxy Access. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 103,800 | | | 0 | | 16-Mar-2019 | 25-Apr-2019 |
| | BALL CORPORATION | | | | | |
| | Security | 058498106 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | BLL | | | | | | | | | | Meeting Date | | 24-Apr-2019 | | | |
| | ISIN | US0584981064 | | | | | | | | | | Agenda | | 934942562 - Management | |
| | Record Date | 01-Mar-2019 | | | | | | | | | | Holding Recon Date | | 01-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 23-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1 | DIRECTOR | Management | | | | | | | | | | |
| | | | 1 | Daniel J. Heinrich | For | | For | For | | | | | | |
| | | | 2 | Georgia R. Nelson | For | | For | For | | | | | | |
| | | | 3 | Cynthia A. Niekamp | For | | For | For | | | | | | |
| | 2. | To ratify the appointment of
PricewaterhouseCoopers LLP as the
independent registered public accounting
firm for the Corporation for 2019. | Management | For | | For | For | | | | | | |
| | 3. | To approve, by non-binding vote, the
compensation paid to the named executive
officers. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 27,000 | | | 0 | | 16-Mar-2019 | 25-Apr-2019 |
| | JOHNSON & JOHNSON | | | | | |
| | Security | 478160104 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | JNJ | | | | | | | | | | Meeting Date | | 25-Apr-2019 | | | |
| | ISIN | US4781601046 | | | | | | | | | | Agenda | | 934938638 - Management | |
| | Record Date | 26-Feb-2019 | | | | | | | | | | Holding Recon Date | | 26-Feb-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 24-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Mary C. Beckerle | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: D. Scott Davis | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Ian E. L. Davis | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Jennifer A. Doudna | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Alex Gorsky | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Marillyn A. Hewson | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Mark B. McClellan | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Anne M. Mulcahy | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: William D. Perez | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Charles Prince | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: A. Eugene Washington | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: Ronald A. Williams | Management | For | | For | For | | | | | | |
| | 2. | Advisory Vote to Approve Named Executive
Officer Compensation. | Management | For | | For | For | | | | | | |
| | 3. | Ratification of Appointment of
PricewaterhouseCoopers LLP as the
Independent Registered Public Accounting
Firm for 2019. | Management | For | | For | For | | | | | | |
| | 4. | Shareholder Proposal - Clawback
Disclosure | Shareholder | Against | | Against | For | | | | | | |
| | 5. | Shareholder Proposal - Executive
Compensation and Drug Pricing Risks. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 16,000 | | | 0 | | 16-Mar-2019 | 26-Apr-2019 |
| | TEXAS INSTRUMENTS INCORPORATED | | | | | |
| | Security | 882508104 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | TXN | | | | | | | | | | Meeting Date | | 25-Apr-2019 | | | |
| | ISIN | US8825081040 | | | | | | | | | | Agenda | | 934940328 - Management | |
| | Record Date | 25-Feb-2019 | | | | | | | | | | Holding Recon Date | | 25-Feb-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 24-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: M. A. Blinn | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: T. M. Bluedorn | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: J. F. Clark | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: C. S. Cox | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: M. S. Craighead | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: J. M. Hobby | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: R. Kirk | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: P. H. Patsley | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: R. E. Sanchez | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: R. K. Templeton | Management | For | | For | For | | | | | | |
| | 2. | Board proposal regarding advisory approval
of the Company’s executive compensation. | Management | For | | For | For | | | | | | |
| | 3. | Board proposal to ratify the appointment of
Ernst & Young LLP as the Company’s
independent registered public accounting
firm for 2019. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 31,700 | | | 0 | | 16-Mar-2019 | 26-Apr-2019 |
| | PFIZER INC. | | | | | |
| | Security | 717081103 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | PFE | | | | | | | | | | Meeting Date | | 25-Apr-2019 | | | |
| | ISIN | US7170811035 | | | | | | | | | | Agenda | | 934942043 - Management | |
| | Record Date | 26-Feb-2019 | | | | | | | | | | Holding Recon Date | | 26-Feb-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 24-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Ronald E. Blaylock | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Albert Bourla | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: W. Don Cornwell | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Joseph J. Echevarria | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Helen H. Hobbs | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: James M. Kilts | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Dan R. Littman | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Shantanu Narayen | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Suzanne Nora Johnson | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Ian C. Read | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: James C. Smith | Management | For | | For | For | | | | | | |
| | 2. | Ratify the selection of KPMG LLP as
independent registered public accounting
firm for 2019 | Management | For | | For | For | | | | | | |
| | 3. | 2019 Advisory approval of executive
compensation | Management | For | | For | For | | | | | | |
| | 4. | Approval of the Pfizer Inc. 2019 Stock Plan | Management | For | | For | For | | | | | | |
| | 5. | Shareholder proposal regarding right to act
by written consent | Shareholder | Against | | Against | For | | | | | | |
| | 6. | Shareholder proposal regarding report on
lobbying activities | Shareholder | Against | | Against | For | | | | | | |
| | 7. | Shareholder proposal regarding
independent chair policy | Shareholder | Against | | Against | For | | | | | | |
| | 8. | Shareholder proposal regarding integrating
drug pricing into executive compensation
policies and programs | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 61,500 | | | 0 | | 16-Mar-2019 | 26-Apr-2019 |
| | UNITED TECHNOLOGIES CORPORATION | | | | | |
| | Security | 913017109 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | UTX | | | | | | | | | | Meeting Date | | 29-Apr-2019 | | | |
| | ISIN | US9130171096 | | | | | | | | | | Agenda | | 934941724 - Management | |
| | Record Date | 28-Feb-2019 | | | | | | | | | | Holding Recon Date | | 28-Feb-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 26-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Lloyd J. Austin III | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Diane M. Bryant | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: John V. Faraci | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Jean-Pierre Garnier | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Gregory J. Hayes | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Christopher J. Kearney | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Ellen J. Kullman | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Marshall O. Larsen | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Harold W. McGraw III | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Margaret L. O’Sullivan | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Denise L. Ramos | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: Fredric G. Reynolds | Management | For | | For | For | | | | | | |
| | 1m. | Election of Director: Brian C. Rogers | Management | For | | For | For | | | | | | |
| | 2. | Advisory Vote to Approve Executive
Compensation. | Management | For | | For | For | | | | | | |
| | 3. | Appoint PricewaterhouseCoopers LLP to
Serve as Independent Auditor for 2019. | Management | For | | For | For | | | | | | |
| | 4. | Approve an Amendment to the Restated
Certificate of Incorporation to Eliminate
Supermajority Voting for Certain Business
Combinations. | Management | For | | For | For | | | | | | |
| | 5. | Ratify the 15% Special Meeting Ownership
Threshold in the Company’s Bylaws. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 13,438 | | | 0 | | 23-Mar-2019 | 30-Apr-2019 |
| | THE BOEING COMPANY | | | | | |
| | Security | 097023105 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | BA | | | | | | | | | | Meeting Date | | 29-Apr-2019 | | | |
| | ISIN | US0970231058 | | | | | | | | | | Agenda | | 934941750 - Management | |
| | Record Date | 28-Feb-2019 | | | | | | | | | | Holding Recon Date | | 28-Feb-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 26-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Robert A. Bradway | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: David L. Calhoun | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Arthur D. Collins Jr. | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Edmund P.
Giambastiani Jr. | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Lynn J. Good | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Nikki R. Haley | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Lawrence W. Kellner | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Caroline B. Kennedy | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Edward M. Liddy | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Dennis A. Muilenburg | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Susan C. Schwab | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: Ronald A. Williams | Management | For | | For | For | | | | | | |
| | 1m. | Election of Director: Mike S. Zafirovski | Management | For | | For | For | | | | | | |
| | 2. | Approve, on an Advisory Basis, Named
Executive Officer Compensation. | Management | For | | For | For | | | | | | |
| | 3. | Ratify the Appointment of Deloitte & Touche
LLP as Independent Auditor for 2019. | Management | For | | For | For | | | | | | |
| | 4. | Additional Report on Lobbying Activities. | Shareholder | Against | | Against | For | | | | | | |
| | 5. | Impact of Share Repurchases on
Performance Metrics. | Shareholder | Against | | Against | For | | | | | | |
| | 6. | Independent Board Chairman. | Shareholder | Against | | Against | For | | | | | | |
| | 7. | Remove Size Limit on Proxy Access Group. | Shareholder | Against | | Against | For | | | | | | |
| | 8. | Mandatory Retention of Significant Stock by
Executives | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 11,000 | | | 0 | | 16-Mar-2019 | 30-Apr-2019 |
| | EOG RESOURCES, INC. | | | | | |
| | Security | 26875P101 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | EOG | | | | | | | | | | Meeting Date | | 29-Apr-2019 | | | |
| | ISIN | US26875P1012 | | | | | | | | | | Agenda | | 934945683 - Management | |
| | Record Date | 01-Mar-2019 | | | | | | | | | | Holding Recon Date | | 01-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 26-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Janet F. Clark | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Charles R. Crisp | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Robert P. Daniels | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: James C. Day | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: C. Christopher Gaut | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Julie J. Robertson | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Donald F. Textor | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: William R. Thomas | Management | For | | For | For | | | | | | |
| | 2. | To ratify the appointment by the Audit
Committee of the Board of Directors of
Deloitte & Touche LLP, independent
registered public accounting firm, as
auditors for the Company for the year
ending December 31, 2019. | Management | For | | For | For | | | | | | |
| | 3. | To approve, by non-binding vote, the
compensation of the Company’s named
executive officers. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 6,300 | | | 0 | | 23-Mar-2019 | 30-Apr-2019 |
| | BB&T CORPORATION | | | | | |
| | Security | 054937107 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | BBT | | | | | | | | | | Meeting Date | | 30-Apr-2019 | | | |
| | ISIN | US0549371070 | | | | | | | | | | Agenda | | 934935769 - Management | |
| | Record Date | 20-Feb-2019 | | | | | | | | | | Holding Recon Date | | 20-Feb-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 29-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Jennifer S. Banner | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: K. David Boyer, Jr. | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Anna R. Cablik | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Patrick C. Graney III | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: I. Patricia Henry | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Kelly S. King | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Louis B. Lynn, Ph.D. | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Easter A. Maynard | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Charles A. Patton | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Nido R. Qubein | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: William J. Reuter | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: Tollie W. Rich, Jr. | Management | For | | For | For | | | | | | |
| | 1m. | Election of Director: Christine Sears | Management | For | | For | For | | | | | | |
| | 1n. | Election of Director: Thomas E. Skains | Management | For | | For | For | | | | | | |
| | 1o. | Election of Director: Thomas N. Thompson | Management | For | | For | For | | | | | | |
| | 2. | Ratification of the appointment of BB&T’s
independent registered public accounting
firm for 2019. | Management | For | | For | For | | | | | | |
| | 3. | An advisory vote to approve BB&T’s
executive compensation program. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 36,800 | | | 0 | | 23-Mar-2019 | 01-May-2019 |
| | PEPSICO, INC. | | | | | |
| | Security | 713448108 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | PEP | | | | | | | | | | Meeting Date | | 01-May-2019 | | | |
| | ISIN | US7134481081 | | | | | | | | | | Agenda | | 934949112 - Management | |
| | Record Date | 01-Mar-2019 | | | | | | | | | | Holding Recon Date | | 01-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 30-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Shona L. Brown | Management | For | | For | For | �� | | | | | |
| | 1b. | Election of Director: Cesar Conde | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Ian Cook | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Dina Dublon | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Richard W. Fisher | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Michelle Gass | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: William R. Johnson | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Ramon Laguarta | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: David C. Page | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Robert C. Pohlad | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Daniel Vasella | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: Darren Walker | Management | For | | For | For | | | | | | |
| | 1m. | Election of Director: Alberto Weisser | Management | For | | For | For | | | | | | |
| | 2. | Ratification of the appointment of KPMG
LLP as the Company’s independent
registered public accounting firm for fiscal
year 2019. | Management | For | | For | For | | | | | | |
| | 3. | Advisory approval of the Company’s
executive compensation. | Management | For | | For | For | | | | | | |
| | 4. | Approve amendments to the Company’s
Articles of Incorporation to eliminate
supermajority voting standards. | Management | For | | For | For | | | | | | |
| | 5. | Shareholder Proposal - Independent Board
Chairman. | Shareholder | Against | | Against | For | | | | | | |
| | 6. | Shareholder Proposal - Disclosure of
Pesticide Management Data. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 16,400 | | | 0 | | 23-Mar-2019 | 02-May-2019 |
| | ARCHER-DANIELS-MIDLAND COMPANY | | | | | |
| | Security | 039483102 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | ADM | | | | | | | | | | Meeting Date | | 01-May-2019 | | | |
| | ISIN | US0394831020 | | | | | | | | | | Agenda | | 934954252 - Management | |
| | Record Date | 11-Mar-2019 | | | | | | | | | | Holding Recon Date | | 11-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 30-Apr-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: A.L. Boeckmann | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: M.S. Burke | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: T.K. Crews | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: P. Dufour | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: D.E. Felsinger | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: S.F. Harrison | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: J.R. Luciano | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: P.J. Moore | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: F.J. Sanchez | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: D.A. Sandler | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: L.Z. Schlitz | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: K.R. Westbrook | Management | For | | For | For | | | | | | |
| | 2. | Ratify the appointment of Ernst & Young
LLP as independent auditors for the year
ending December 31, 2019. | Management | For | | For | For | | | | | | |
| | 3. | Advisory Vote on Executive Compensation. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 31,200 | | | 0 | | 23-Mar-2019 | 02-May-2019 |
| | CAPITAL ONE FINANCIAL CORPORATION | | | | | |
| | Security | 14040H105 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | COF | | | | | | | | | | Meeting Date | | 02-May-2019 | | | |
| | ISIN | US14040H1059 | | | | | | | | | | Agenda | | 934941596 - Management | |
| | Record Date | 05-Mar-2019 | | | | | | | | | | Holding Recon Date | | 05-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 01-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1A. | Election of Director: Richard D. Fairbank | Management | For | | For | For | | | | | | |
| | 1B. | Election of Director: Aparna
Chennapragada | Management | For | | For | For | | | | | | |
| | 1C. | Election of Director: Ann Fritz Hackett | Management | For | | For | For | | | | | | |
| | 1D. | Election of Director: Peter Thomas Killalea | Management | For | | For | For | | | | | | |
| | 1E. | Election of Director: Cornelis “Eli” Leenaars | Management | For | | For | For | | | | | | |
| | 1F. | Election of Director: Pierre E. Leroy | Management | For | | For | For | | | | | | |
| | 1G. | Election of Director: Francois Locoh-Donou | Management | For | | For | For | | | | | | |
| | 1H. | Election of Director: Peter E. Raskind | Management | For | | For | For | | | | | | |
| | 1I. | Election of Director: Mayo A. Shattuck III | Management | For | | For | For | | | | | | |
| | 1J. | Election of Director: Bradford H. Warner | Management | For | | For | For | | | | | | |
| | 1K. | Election of Director: Catherine G. West | Management | For | | For | For | | | | | | |
| | 2. | Ratification of the selection of Ernst &
Young LLP as independent registered
public accounting firm of Capital One for
2019. | Management | For | | For | For | | | | | | |
| | 3. | Advisory approval of Capital One’s 2018
Named Executive Officer compensation. | Management | For | | For | For | | | | | | |
| | 4. | Approval and adoption of the Capital One
Financial Corporation Fifth Amended and
Restated 2004 Stock Incentive Plan. | Management | For | | For | For | | | | | | |
| | 5. | Stockholder proposal requesting
stockholders’ right to act by written consent,
if properly presented at the meeting. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 26,500 | | | 0 | | 23-Mar-2019 | 03-May-2019 |
| | FLUOR CORPORATION | | | | | |
| | Security | 343412102 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | FLR | | | | | | | | | | Meeting Date | | 02-May-2019 | | | |
| | ISIN | US3434121022 | | | | | | | | | | Agenda | | 934943211 - Management | |
| | Record Date | 04-Mar-2019 | | | | | | | | | | Holding Recon Date | | 04-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 01-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1A. | Election of Director: Peter K. Barker | Management | For | | For | For | | | | | | |
| | 1B. | Election of Director: Alan M. Bennett | Management | For | | For | For | | | | | | |
| | 1C. | Election of Director: Rosemary T. Berkery | Management | For | | For | For | | | | | | |
| | 1D. | Election of Director: Alan L. Boeckmann | Management | For | | For | For | | | | | | |
| | 1E. | Election of Director: Peter J. Fluor | Management | For | | For | For | | | | | | |
| | 1F. | Election of Director: James T. Hackett | Management | For | | For | For | | | | | | |
| | 1G. | Election of Director: Samuel J. Locklear III | Management | For | | For | For | | | | | | |
| | 1H. | Election of Director: Deborah D.
McWhinney | Management | For | | For | For | | | | | | |
| | 1I. | Election of Director: Armando J. Olivera | Management | For | | For | For | | | | | | |
| | 1J. | Election of Director: Matthew K. Rose | Management | For | | For | For | | | | | | |
| | 1K. | Election of Director: David T. Seaton | Management | For | | For | For | | | | | | |
| | 1L. | Election of Director: Nader H. Sultan | Management | For | | For | For | | | | | | |
| | 1M. | Election of Director: Lynn C. Swann | Management | For | | For | For | | | | | | |
| | 2. | An advisory vote to approve the company’s
executive compensation. | Management | For | | For | For | | | | | | |
| | 3. | The ratification of the appointment by our
Audit Committee of Ernst & Young LLP as
independent registered public accounting
firm for the fiscal year ending December 31,
2019. | Management | For | | For | For | | | | | | |
| | 4. | Stockholder proposal requesting adoption
of greenhouse gas emissions reduction
goals. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 18,000 | | | 0 | | 16-Mar-2019 | 03-May-2019 |
| | VERIZON COMMUNICATIONS INC. | | | | | |
| | Security | 92343V104 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | VZ | | | | | | | | | | Meeting Date | | 02-May-2019 | | | |
| | ISIN | US92343V1044 | | | | | | | | | | Agenda | | 934943261 - Management | |
| | Record Date | 04-Mar-2019 | | | | | | | | | | Holding Recon Date | | 04-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 01-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Shellye L. Archambeau | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Mark T. Bertolini | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Vittorio Colao | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Melanie L. Healey | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Clarence Otis, Jr. | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Daniel H. Schulman | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Rodney E. Slater | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Kathryn A. Tesija | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Hans E. Vestberg | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Gregory G. Weaver | Management | For | | For | For | | | | | | |
| | 2. | Ratification of Appointment of Independent
Registered Public Accounting Firm | Management | For | | For | For | | | | | | |
| | 3. | Advisory Vote to Approve Executive
Compensation | Management | For | | For | For | | | | | | |
| | 4. | Nonqualified Savings Plan Earnings | Shareholder | Against | | Against | For | | | | | | |
| | 5. | Independent Chair | Shareholder | Against | | Against | For | | | | | | |
| | 6. | Report on Online Child Exploitation | Shareholder | Against | | Against | For | | | | | | |
| | 7. | Cybersecurity and Data Privacy | Shareholder | Against | | Against | For | | | | | | |
| | 8. | Severance Approval Policy | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 73,100 | | | 0 | | 23-Mar-2019 | 03-May-2019 |
| | CORNING INCORPORATED | | | | | |
| | Security | 219350105 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | GLW | | | | | | | | | | Meeting Date | | 02-May-2019 | | | |
| | ISIN | US2193501051 | | | | | | | | | | Agenda | | 934945633 - Management | |
| | Record Date | 04-Mar-2019 | | | | | | | | | | Holding Recon Date | | 04-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 01-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Donald W. Blair | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Leslie A. Brun | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Stephanie A. Burns | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: John A. Canning, Jr. | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Richard T. Clark | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Robert F. Cummings,
Jr. | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Deborah A. Henretta | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Daniel P. Huttenlocher | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Kurt M. Landgraf | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Kevin J. Martin | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Deborah D. Rieman | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: Hansel E. Tookes II | Management | For | | For | For | | | | | | |
| | 1m. | Election of Director: Wendell P. Weeks | Management | For | | For | For | | | | | | |
| | 1n. | Election of Director: Mark S. Wrighton | Management | For | | For | For | | | | | | |
| | 2. | Advisory approval of the Company’s
executive compensation (Say on Pay). | Management | For | | For | For | | | | | | |
| | 3. | Ratification of the appointment of
PricewaterhouseCoopers LLP as our
independent registered public accounting
firm for the fiscal year ending December 31,
2019. | Management | For | | For | For | | | | | | |
| | 4. | Approval of the 2019 Equity Plan for Non-
Employee Directors. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 97,800 | | | 0 | | 23-Mar-2019 | 03-May-2019 |
| | NEWELL BRANDS INC. | | | | | |
| | Security | 651229106 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | NWL | | | | | | | | | | Meeting Date | | 07-May-2019 | | | |
| | ISIN | US6512291062 | | | | | | | | | | Agenda | | 934983126 - Management | |
| | Record Date | 15-Mar-2019 | | | | | | | | | | Holding Recon Date | | 15-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 06-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Bridget Ryan Berman | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Patrick D. Campbell | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: James R. Craigie | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Debra A. Crew | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Brett M. Icahn | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Gerardo I. Lopez | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Courtney R. Mather | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Michael B. Polk | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Judith A. Sprieser | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Robert A. Steele | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Steven J. Strobel | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: Michael A. Todman | Management | For | | 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, 2019. | Management | For | | For | For | | | | | | |
| | 3. | Advisory resolution to approve executive
compensation. | Management | For | | For | For | | | | | | |
| | 4. | Board proposal to amend the Company’s
Restated Certificate of Incorporation to
allow stockholder action by written consent. | Management | For | | For | For | | | | | | |
| | 5. | Shareholder proposal modifying proxy
access. | Shareholder | Against | | Against | For | | | | | | |
| | 6. | Shareholder proposal to prepare a diversity
report. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 23,000 | | | 0 | | 06-May-2019 | 08-May-2019 |
| | CIMAREX ENERGY CO. | | | | | |
| | Security | 171798101 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | XEC | | | | | | | | | | Meeting Date | | 08-May-2019 | | | |
| | ISIN | US1717981013 | | | | | | | | | | Agenda | | 934949186 - Management | |
| | Record Date | 12-Mar-2019 | | | | | | | | | | Holding Recon Date | | 12-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 07-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1A | Election of Class II director: Hans
Helmerich | Management | For | | For | For | | | | | | |
| | 1B | Election of Class II director: Harold R.
Logan, Jr. | Management | For | | For | For | | | | | | |
| | 1C | Election of Class II director: Monroe W.
Robertson | Management | For | | For | For | | | | | | |
| | 2. | Advisory vote to approve executive
compensation | Management | For | | For | For | | | | | | |
| | 3. | Approve 2019 Equity Incentive Plan | Management | For | | For | For | | | | | | |
| | 4. | Ratify the appointment of KPMG LLP as our
independent auditors for 2019 | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 10,000 | | | 0 | | 04-Apr-2019 | 09-May-2019 |
| | EDWARDS LIFESCIENCES CORPORATION | | | | | |
| | Security | 28176E108 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | EW | | | | | | | | | | Meeting Date | | 08-May-2019 | | | |
| | ISIN | US28176E1082 | | | | | | | | | | Agenda | | 934960394 - Management | |
| | Record Date | 13-Mar-2019 | | | | | | | | | | Holding Recon Date | | 13-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 07-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Michael A. Mussallem | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Kieran T. Gallahue | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Leslie S. Heisz | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: William J. Link, Ph.D. | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Steven R. Loranger | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Martha H. Marsh | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Wesley W. von Schack | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Nicholas J. Valeriani | Management | For | | For | For | | | | | | |
| | 2. | ADVISORY VOTE TO APPROVE
COMPENSATION OF NAMED
EXECUTIVE OFFICERS | Management | For | | For | For | | | | | | |
| | 3. | RATIFICATION OF APPOINTMENT OF
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM | Management | For | | For | For | | | | | | |
| | 4. | ADVISORY VOTE ON A STOCKHOLDER
PROPOSAL REGARDING AN
INDEPENDENT CHAIR POLICY | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 6,700 | | | 0 | | 04-Apr-2019 | 09-May-2019 |
| | NORFOLK SOUTHERN CORPORATION | | | | | |
| | Security | 655844108 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | NSC | | | | | | | | | | Meeting Date | | 09-May-2019 | | | |
| | ISIN | US6558441084 | | | | | | | | | | Agenda | | 934947409 - Management | |
| | Record Date | 01-Mar-2019 | | | | | | | | | | Holding Recon Date | | 01-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 08-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Thomas D. Bell, Jr. | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Daniel A. Carp | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Mitchell E. Daniels, Jr. | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Marcela E. Donadio | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Thomas C. Kelleher | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Steven F. Leer | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Michael D. Lockhart | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Amy E. Miles | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Jennifer F. Scanlon | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: James A. Squires | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: John R. Thompson | Management | For | | For | For | | | | | | |
| | 2. | Ratification of the appointment of KPMG
LLP, independent registered public
accounting firm, as Norfolk Southern’s
independent auditors for the year ending
December 31, 2019. | Management | For | | For | For | | | | | | |
| | 3. | Approval of advisory resolution on
executive compensation, as disclosed in the
proxy statement for the 2019 Annual
Meeting of Shareholders. | Management | For | | For | For | | | | | | |
| | 4. | If properly presented at the meeting, a
shareholder proposal regarding simple
majority vote. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 14,200 | | | 0 | | 04-Apr-2019 | 10-May-2019 |
| | OCCIDENTAL PETROLEUM CORPORATION | | | | | |
| | Security | 674599105 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | OXY | | | | | | | | | | Meeting Date | | 10-May-2019 | | | |
| | ISIN | US6745991058 | | | | | | | | | | Agenda | | 934959733 - Management | |
| | Record Date | 15-Mar-2019 | | | | | | | | | | Holding Recon Date | | 15-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 09-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Spencer Abraham | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Eugene L. Batchelder | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Margaret M. Foran | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Carlos M. Gutierrez | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Vicki Hollub | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: William R. Klesse | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Jack B. Moore | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Avedick B. Poladian | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Elisse B. Walter | Management | For | | For | For | | | | | | |
| | 2. | Advisory Vote to Approve Named Executive
Officer Compensation | Management | For | | For | For | | | | | | |
| | 3. | Ratification of Selection of KPMG as
Independent Auditor for the Fiscal Year
Ending December 31, 2019 | Management | For | | For | For | | | | | | |
| | 4. | Request to Lower Stock Ownership
Threshold to Call Special Stockholder
Meetings | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 23,700 | | | 0 | | 04-Apr-2019 | 13-May-2019 |
| | MASCO CORPORATION | | | | | |
| | Security | 574599106 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | MAS | | | | | | | | | | Meeting Date | | 10-May-2019 | | | |
| | ISIN | US5745991068 | | | | | | | | | | Agenda | | 934980497 - Management | |
| | Record Date | 15-Mar-2019 | | | | | | | | | | Holding Recon Date | | 15-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 09-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Marie A. Ffolkes | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Donald R. Parfet | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Lisa A. Payne | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Reginald M. Turner | Management | For | | For | For | | | | | | |
| | 2. | To approve, by non-binding advisory vote,
the compensation paid to the Company’s
named executive officers, as disclosed
pursuant to the compensation disclosure
rules of the SEC, including the
Compensation Discussion and Analysis, the
compensation tables and the related
materials disclosed in the Proxy Statement | Management | For | | For | For | | | | | | |
| | 3. | To ratify the selection of
PricewaterhouseCoopers LLP as
independent auditors for the Company for
2019. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 13,200 | | | 0 | | 06-May-2019 | 13-May-2019 |
| | CUMMINS INC. | | | | | |
| | Security | 231021106 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | CMI | | | | | | | | | | Meeting Date | | 14-May-2019 | | | |
| | ISIN | US2310211063 | | | | | | | | | | Agenda | | 934957082 - Management | |
| | Record Date | 12-Mar-2019 | | | | | | | | | | Holding Recon Date | | 12-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 13-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1) | Election of Director: N. Thomas Linebarger | Management | For | | For | For | | | | | | |
| | 2) | Election of Director: Richard J. Freeland | Management | For | | For | For | | | | | | |
| | 3) | Election of Director: Robert J. Bernhard | Management | For | | For | For | | | | | | |
| | 4) | Election of Director: Dr. Franklin R. Chang
Diaz | Management | For | | For | For | | | | | | |
| | 5) | Election of Director: Bruno V. Di Leo Allen | Management | For | | For | For | | | | | | |
| | 6) | Election of Director: Stephen B. Dobbs | Management | For | | For | For | | | | | | |
| | 7) | Election of Director: Robert K. Herdman | Management | For | | For | For | | | | | | |
| | 8) | Election of Director: Alexis M. Herman | Management | For | | For | For | | | | | | |
| | 9) | Election of Director: Thomas J. Lynch | Management | For | | For | For | | | | | | |
| | 10) | Election of Director: William I. Miller | Management | For | | For | For | | | | | | |
| | 11) | Election of Director: Georgia R. Nelson | Management | For | | For | For | | | | | | |
| | 12) | Election of Director: Karen H. Quintos | Management | For | | For | For | | | | | | |
| | 13) | Advisory vote to approve the compensation
of our named executive officers as
disclosed in the proxy statement. | Management | For | | For | For | | | | | | |
| | 14) | Proposal to ratify the appointment of
PricewaterhouseCoopers LLP as our
auditors for 2019. | Management | For | | For | For | | | | | | |
| | 15) | Proposal to approve the Cummins Inc.
Employee Stock Purchase Plan, as
amended. | Management | For | | For | For | | | | | | |
| | 16) | The shareholder proposal regarding an
independent chairman of the board. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 10,000 | | | 0 | | 04-Apr-2019 | 15-May-2019 |
| | 3M COMPANY | | | | | |
| | Security | 88579Y101 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | MMM | | | | | | | | | | Meeting Date | | 14-May-2019 | | | |
| | ISIN | US88579Y1010 | | | | | | | | | | Agenda | | 934958856 - Management | |
| | Record Date | 19-Mar-2019 | | | | | | | | | | Holding Recon Date | | 19-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 13-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Thomas “Tony” K.
Brown | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Pamela J. Craig | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: David B. Dillon | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Michael L. Eskew | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Herbert L. Henkel | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Amy E. Hood | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Muhtar Kent | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Edward M. Liddy | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Dambisa F. Moyo | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Gregory R. Page | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Michael F. Roman | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: Patricia A. Woertz | Management | For | | For | For | | | | | | |
| | 2. | To ratify the appointment of
PricewaterhouseCoopers LLP as 3M’s
independent registered public accounting
firm. | Management | For | | For | For | | | | | | |
| | 3. | Advisory approval of executive
compensation. | Management | For | | For | For | | | | | | |
| | 4. | Stockholder proposal on setting target
amounts for CEO compensation. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 12,100 | | | 0 | | 28-Mar-2019 | 15-May-2019 |
| | UNIVERSAL HEALTH SERVICES, INC. | | | | | |
| | Security | 913903100 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | UHS | | | | | | | | | | Meeting Date | | 15-May-2019 | | | |
| | ISIN | US9139031002 | | | | | | | | | | Agenda | | 934973858 - Management | |
| | Record Date | 19-Mar-2019 | | | | | | | | | | Holding Recon Date | | 19-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 14-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1. | DIRECTOR | Management | | | | | | | | | | |
| | | | 1 | Robert H. Hotz | For | | For | For | | | | | | |
| | 2. | Proposal to ratify the selection of
PricewaterhouseCoopers LLP as the
Company’s independent registered public
accounting firm for the fiscal year ending
December 31, 2019. | Management | For | | For | For | | | | | | |
| | 3. | Stockholder proposal regarding proxy
access if properly presented at the meeting. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 12,100 | | | 0 | | 09-May-2019 | 16-May-2019 |
| | SOUTHWEST AIRLINES CO. | | | | | |
| | Security | 844741108 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | LUV | | | | | | | | | | Meeting Date | | 15-May-2019 | | | |
| | ISIN | US8447411088 | | | | | | | | | | Agenda | | 934980663 - Management | |
| | Record Date | 19-Mar-2019 | | | | | | | | | | Holding Recon Date | | 19-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 14-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: David W. Biegler | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: J. Veronica Biggins | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Douglas H. Brooks | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: William H. Cunningham | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: John G. Denison | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Thomas W. Gilligan | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Gary C. Kelly | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Grace D. Lieblein | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Nancy B. Loeffler | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: John T. Montford | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Ron Ricks | Management | For | | For | For | | | | | | |
| | 2. | Advisory vote to approve named executive
officer compensation. | Management | For | | For | For | | | | | | |
| | 3. | Ratification of the selection of Ernst &
Young LLP as the Company’s independent
auditors for the fiscal year ending
December 31, 2019. | Management | For | | For | For | | | | | | |
| | 4. | Advisory vote on shareholder proposal to
require an independent board chairman. | Shareholder | Against | | Against | For | | | | | | |
| | 5. | Advisory vote on shareholder proposal to
amend proxy access bylaw provision. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 15,200 | | | 0 | | 09-May-2019 | 16-May-2019 |
| | INTEL CORPORATION | | | | | |
| | Security | 458140100 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | INTC | | | | | | | | | | Meeting Date | | 16-May-2019 | | | |
| | ISIN | US4581401001 | | | | | | | | | | Agenda | | 934963679 - Management | |
| | Record Date | 18-Mar-2019 | | | | | | | | | | Holding Recon Date | | 18-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 15-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Aneel Bhusri | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Andy D. Bryant | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Reed E. Hundt | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Omar Ishrak | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Risa Lavizzo-Mourey | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Tsu-Jae King Liu | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Gregory D. Smith | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Robert (“Bob”) H. Swan | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Andrew Wilson | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Frank D. Yeary | Management | For | | For | For | | | | | | |
| | 2. | Ratification of selection of Ernst & Young
LLP as our independent registered public
accounting firm for 2019 | Management | For | | For | For | | | | | | |
| | 3. | Advisory vote to approve executive
compensation of our listed officers | Management | For | | For | For | | | | | | |
| | 4. | Approval of amendment and restatement of
the 2006 Equity Incentive Plan | Management | For | | For | For | | | | | | |
| | 5. | Stockholder proposal on whether to allow
stockholders to act by written consent, if
properly presented | Shareholder | Against | | Against | For | | | | | | |
| | 6. | Stockholder proposal requesting a report on
the risks associated with emerging public
policies addressing the gender pay gap, if
properly presented | Shareholder | Against | | Against | For | | | | | | |
| | 7. | Stockholder proposal requesting an annual
advisory vote on political contributions, if
properly presented | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 64,300 | | | 0 | | 04-Apr-2019 | 17-May-2019 |
| | CVS HEALTH CORPORATION | | | | | |
| | Security | 126650100 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | CVS | | | | | | | | | | Meeting Date | | 16-May-2019 | | | |
| | ISIN | US1266501006 | | | | | | | | | | Agenda | | 934964203 - Management | |
| | Record Date | 21-Mar-2019 | | | | | | | | | | Holding Recon Date | | 21-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 15-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Fernando Aguirre | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Mark T. Bertolini | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Richard M. Bracken | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: C. David Brown II | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Alecia A. DeCoudreaux | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Nancy-Ann M. DeParle | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: David W. Dorman | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Roger N. Farah | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Anne M. Finucane | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Edward J. Ludwig | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Larry J. Merlo | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: Jean-Pierre Millon | Management | For | | For | For | | | | | | |
| | 1m. | Election of Director: Mary L. Schapiro | Management | For | | For | For | | | | | | |
| | 1n. | Election of Director: Richard J. Swift | Management | For | | For | For | | | | | | |
| | 1o. | Election of Director: William C. Weldon | Management | For | | For | For | | | | | | |
| | 1p. | Election of Director: Tony L. White | Management | For | | For | For | | | | | | |
| | 2. | Proposal to ratify appointment of
independent registered public accounting
firm for 2019. | Management | For | | For | For | | | | | | |
| | 3. | Say on Pay, a proposal to approve, on an
advisory basis, the Company’s executive
compensation. | Management | For | | For | For | | | | | | |
| | 4. | Stockholder proposal regarding exclusion of
legal or compliance costs from financial
performance adjustments for executive
compensation. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 15,300 | | | 0 | | 06-May-2019 | 17-May-2019 |
| | UNION PACIFIC CORPORATION | | | | | |
| | Security | 907818108 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | UNP | | | | | | | | | | Meeting Date | | 16-May-2019 | | | |
| | ISIN | US9078181081 | | | | | | | | | | Agenda | | 934970383 - Management | |
| | Record Date | 22-Mar-2019 | | | | | | | | | | Holding Recon Date | | 22-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 15-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Andrew H. Card Jr. | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Erroll B. Davis Jr. | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: William J. DeLaney | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: David B. Dillon | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Lance M. Fritz | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Deborah C. Hopkins | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Jane H. Lute | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Michael R. McCarthy | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Thomas F. McLarty III | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Bhavesh V. Patel | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Jose H. Villarreal | Management | For | | For | For | | | | | | |
| | 2. | Ratification of the appointment of Deloitte &
Touche LLP as the independent registered
public accounting firm of the Company for
2019. | Management | For | | For | For | | | | | | |
| | 3. | An advisory vote to approve executive
compensation (“Say on Pay”). | Management | For | | For | For | | | | | | |
| | 4. | Shareholder proposal regarding
Independent Chairman if properly
presented at the Annual Meeting. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 19,800 | | | 0 | | 09-May-2019 | 17-May-2019 |
| | PIONEER NATURAL RESOURCES COMPANY | | | | | |
| | Security | 723787107 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | PXD | | | | | | | | | | Meeting Date | | 16-May-2019 | | | |
| | ISIN | US7237871071 | | | | | | | | | | Agenda | | 934976652 - Management | |
| | Record Date | 21-Mar-2019 | | | | | | | | | | Holding Recon Date | | 21-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 15-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Edison C. Buchanan | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Andrew F. Cates | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Phillip A. Gobe | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Larry R. Grillot | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Stacy P. Methvin | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Royce W. Mitchell | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Frank A. Risch | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Scott D. Sheffield | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Mona K. Sutphen | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: J. Kenneth Thompson | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Phoebe A. Wood | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: Michael D. Wortley | Management | For | | For | For | | | | | | |
| | 2. | RATIFICATION OF SELECTION OF
ERNST & YOUNG LLP AS THE
COMPANY’S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM FOR 2019 | Management | For | | For | For | | | | | | |
| | 3. | ADVISORY VOTE TO APPROVE NAMED
EXECUTIVE OFFICER COMPENSATION | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 8,000 | | | 0 | | 09-May-2019 | 17-May-2019 |
| | JPMORGAN CHASE & CO. | | | | | |
| | Security | 46625H100 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | JPM | | | | | | | | | | Meeting Date | | 21-May-2019 | | | |
| | ISIN | US46625H1005 | | | | | | | | | | Agenda | | 934979088 - Management | |
| | Record Date | 22-Mar-2019 | | | | | | | | | | Holding Recon Date | | 22-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 20-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Linda B. Bammann | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: James A. Bell | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Stephen B. Burke | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Todd A. Combs | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: James S. Crown | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: James Dimon | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Timothy P. Flynn | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Mellody Hobson | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Laban P. Jackson, Jr. | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Michael A. Neal | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Lee R. Raymond | Management | For | | For | For | | | | | | |
| | 2. | Advisory resolution to approve executive
compensation | Management | For | | For | For | | | | | | |
| | 3. | Ratification of independent registered public
accounting firm | Management | For | | For | For | | | | | | |
| | 4. | Gender pay equity report | Shareholder | Against | | Against | For | | | | | | |
| | 5. | Enhance shareholder proxy access | Shareholder | Against | | Against | For | | | | | | |
| | 6. | Cumulative voting | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 37,400 | | | 0 | | 06-May-2019 | 22-May-2019 |
| | AMGEN INC. | | | | | |
| | Security | 031162100 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | AMGN | | | | | | | | | | Meeting Date | | 21-May-2019 | | | |
| | ISIN | US0311621009 | | | | | | | | | | Agenda | | 934979266 - Management | |
| | Record Date | 22-Mar-2019 | | | | | | | | | | Holding Recon Date | | 22-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 20-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Dr. Wanda M. Austin | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Mr. Robert A. Bradway | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Dr. Brian J. Druker | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Mr. Robert A. Eckert | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Mr. Greg C. Garland | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Mr. Fred Hassan | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Dr. Rebecca M.
Henderson | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Mr. Charles M. Holley,
Jr. | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Dr. Tyler Jacks | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Ms. Ellen J. Kullman | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Dr. Ronald D. Sugar | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: Dr. R. Sanders
Williams | Management | For | | For | For | | | | | | |
| | 2. | Advisory vote to approve our executive
compensation. | Management | For | | For | For | | | | | | |
| | 3. | To ratify the selection of Ernst & Young LLP
as our independent registered public
accountants for the fiscal year ending
December 31, 2019. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 8,400 | | | 0 | | 09-May-2019 | 22-May-2019 |
| | ITT INC | | | | | |
| | Security | 45073V108 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | ITT | | | | | | | | | | Meeting Date | | 22-May-2019 | | | |
| | ISIN | US45073V1089 | | | | | | | | | | Agenda | | 934982427 - Management | |
| | Record Date | 25-Mar-2019 | | | | | | | | | | Holding Recon Date | | 25-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 21-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Orlando D. Ashford | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Geraud Darnis | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Donald DeFosset, Jr. | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Nicholas C.
Fanandakis | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Christina A. Gold | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Richard P. Lavin | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Mario Longhi | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Frank T. MacInnis | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Rebecca A. McDonald | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Timothy H. Powers | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Luca Savi | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: Cheryl L. Shavers | Management | For | | For | For | | | | | | |
| | 1m. | Election of Director: Sabrina Soussan | Management | For | | For | For | | | | | | |
| | 2. | Ratification of the appointment of Deloitte &
Touche LLP as the independent registered
public accounting firm of the Company for
the 2019 fiscal year. | Management | For | | For | For | | | | | | |
| | 3. | Approval of an advisory vote on executive
compensation. | Management | For | | For | For | | | | | | |
| | 4. | A shareholder proposal requiring a policy
that the chair of the Board be independent. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 12,900 | | | 0 | | 09-May-2019 | 23-May-2019 |
| | AMAZON.COM, INC. | | | | | |
| | Security | 023135106 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | AMZN | | | | | | | | | | Meeting Date | | 22-May-2019 | | | |
| | ISIN | US0231351067 | | | | | | | | | | Agenda | | 934985954 - Management | |
| | Record Date | 28-Mar-2019 | | | | | | | | | | Holding Recon Date | | 28-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 21-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Jeffrey P. Bezos | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Rosalind G. Brewer | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Jamie S. Gorelick | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Daniel P. Huttenlocher | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Judith A. McGrath | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Indra K. Nooyi | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Jonathan J. Rubinstein | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Thomas O. Ryder | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Patricia Q. Stonesifer | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Wendell P. Weeks | Management | For | | For | For | | | | | | |
| | 2. | RATIFICATION OF THE APPOINTMENT
OF ERNST & YOUNG LLP AS
INDEPENDENT AUDITORS. | Management | For | | For | For | | | | | | |
| | 3. | ADVISORY VOTE TO APPROVE
EXECUTIVE COMPENSATION. | Management | For | | For | For | | | | | | |
| | 4. | SHAREHOLDER PROPOSAL
REQUESTING AN ANNUAL REPORT ON
MANAGEMENT OF FOOD WASTE. | Shareholder | Against | | Against | For | | | | | | |
| | 5. | SHAREHOLDER PROPOSAL
REQUESTING A REDUCTION IN THE
OWNERSHIP THRESHOLD FOR
CALLING SPECIAL SHAREHOLDER
MEETINGS. | Shareholder | Against | | Against | For | | | | | | |
| | 6. | SHAREHOLDER PROPOSAL
REQUESTING A BAN ON GOVERNMENT
USE OF CERTAIN TECHNOLOGIES. | Shareholder | Against | | Against | For | | | | | | |
| | 7. | SHAREHOLDER PROPOSAL
REQUESTING A REPORT ON THE
IMPACT OF GOVERNMENT USE OF
CERTAIN TECHNOLOGIES. | Shareholder | Against | | Against | For | | | | | | |
| | 8. | SHAREHOLDER PROPOSAL
REQUESTING A REPORT ON CERTAIN
PRODUCTS. | Shareholder | Against | | Against | For | | | | | | |
| | 9. | SHAREHOLDER PROPOSAL
REQUESTING AN INDEPENDENT
BOARD CHAIR POLICY. | Shareholder | Against | | Against | For | | | | | | |
| | 10. | SHAREHOLDER PROPOSAL
REQUESTING A REPORT ON CERTAIN
EMPLOYMENT POLICIES. | Shareholder | Against | | Against | For | | | | | | |
| | 11. | SHAREHOLDER PROPOSAL
REQUESTING A REPORT ON CLIMATE
CHANGE TOPICS. | Shareholder | Against | | Against | For | | | | | | |
| | 12. | SHAREHOLDER PROPOSAL
REQUESTING A BOARD IDEOLOGY
DISCLOSURE POLICY. | Shareholder | Against | | Against | For | | | | | | |
| | 13. | SHAREHOLDER PROPOSAL
REQUESTING CHANGES TO THE
COMPANY’S GENDER PAY REPORTING. | Shareholder | Against | | Against | For | | | | | | |
| | 14. | SHAREHOLDER PROPOSAL
REQUESTING A REPORT ON
INTEGRATING CERTAIN METRICS INTO
EXECUTIVE COMPENSATION. | Shareholder | Against | | Against | For | | | | | | |
| | 15. | SHAREHOLDER PROPOSAL
REGARDING VOTE-COUNTING
PRACTICES FOR SHAREHOLDER
PROPOSALS. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 2,400 | | | 0 | | 06-May-2019 | 23-May-2019 |
| | THE HOME DEPOT, INC. | | | | | |
| | Security | 437076102 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | HD | | | | | | | | | | Meeting Date | | 23-May-2019 | | | |
| | ISIN | US4370761029 | | | | | | | | | | Agenda | | 934976157 - Management | |
| | Record Date | 25-Mar-2019 | | | | | | | | | | Holding Recon Date | | 25-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 22-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Gerard J. Arpey | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Ari Bousbib | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Jeffery H. Boyd | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Gregory D. Brenneman | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: J. Frank Brown | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Albert P. Carey | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Helena B. Foulkes | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Linda R. Gooden | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Wayne M. Hewett | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Manuel Kadre | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Stephanie C. Linnartz | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: Craig A. Menear | Management | For | | For | For | | | | | | |
| | 2. | Ratification of the Appointment of KPMG
LLP | Management | For | | For | For | | | | | | |
| | 3. | Advisory Vote to Approve Executive
Compensation (“Say-on-Pay”) | Management | For | | For | For | | | | | | |
| | 4. | Shareholder Proposal Regarding EEO-1
Disclosure | Shareholder | Against | | Against | For | | | | | | |
| | 5. | Shareholder Proposal to Reduce the
Threshold to Call Special Shareholder
Meetings to 10% of Outstanding Shares | Shareholder | Against | | Against | For | | | | | | |
| | 6. | Shareholder Proposal Regarding Report on
Prison Labor in the Supply Chain | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 17,000 | | | 0 | | 09-May-2019 | 24-May-2019 |
| | KEYCORP | | | | | |
| | Security | 493267108 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | KEY | | | | | | | | | | Meeting Date | | 23-May-2019 | | | |
| | ISIN | US4932671088 | | | | | | | | | | Agenda | | 934982605 - Management | |
| | Record Date | 29-Mar-2019 | | | | | | �� | | | | Holding Recon Date | | 29-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 22-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Bruce D. Broussard | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Charles P. Cooley | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Gary M. Crosby | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Alexander M. Cutler | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: H. James Dallas | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Elizabeth R. Gile | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Ruth Ann M. Gillis | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: William G. Gisel, Jr. | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Carlton L. Highsmith | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Richard J. Hipple | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Kristen L. Manos | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: Beth E. Mooney | Management | For | | For | For | | | | | | |
| | 1m. | Election of Director: Barbara R. Snyder | Management | For | | For | For | | | | | | |
| | 1n. | Election of Director: David K. Wilson | Management | For | | For | For | | | | | | |
| | 2. | Ratification of the appointment of
independent auditor. | Management | For | | For | For | | | | | | |
| | 3. | Advisory approval of executive
compensation. | Management | For | | For | For | | | | | | |
| | 4. | Approval of KeyCorp’s 2019 Equity
Compensation Plan. | Management | For | | For | For | | | | | | |
| | 5. | Approval of an increase in authorized
common shares. | Management | For | | For | For | | | | | | |
| | 6. | Approval of an amendment to Regulations
to allow the Board to make future
amendments. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 59,400 | | | 0 | | 09-May-2019 | 24-May-2019 |
| | QUANTA SERVICES, INC. | | | | | |
| | Security | 74762E102 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | PWR | | | | | | | | | | Meeting Date | | 23-May-2019 | | | |
| | ISIN | US74762E1029 | | | | | | | | | | Agenda | | 934982756 - Management | |
| | Record Date | 25-Mar-2019 | | | | | | | | | | Holding Recon Date | | 25-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 22-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Earl C. (Duke) Austin,
Jr. | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Doyle N. Beneby | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: J. Michal Conaway | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Vincent D. Foster | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Bernard Fried | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Worthing F. Jackman | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: David M. McClanahan | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Margaret B. Shannon | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Pat Wood, III | Management | For | | For | For | | | | | | |
| | 2. | Approval, by non-binding advisory vote, of
Quanta’s executive compensation | Management | For | | For | For | | | | | | |
| | 3. | Ratification of the appointment of
PricewaterhouseCoopers LLP as Quanta’s
independent registered public accounting
firm for fiscal year 2019 | Management | For | | For | For | | | | | | |
| | 4. | Approval of the Quanta Services, Inc. 2019
Omnibus Equity Incentive Plan | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 16,100 | | | 0 | | 09-May-2019 | 24-May-2019 |
| | EXXON MOBIL CORPORATION | | | | | |
| | Security | 30231G102 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | XOM | | | | | | | | | | Meeting Date | | 29-May-2019 | | | |
| | ISIN | US30231G1022 | | | | | | | | | | Agenda | | 934991488 - Management | |
| | Record Date | 03-Apr-2019 | | | | | | | | | | Holding Recon Date | | 03-Apr-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 28-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Susan K. Avery | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Angela F. Braly | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Ursula M. Burns | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Kenneth C. Frazier | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Steven A. Kandarian | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Douglas R.
Oberhelman | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Samuel J. Palmisano | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Steven S Reinemund | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: William C. Weldon | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Darren W. Woods | Management | For | | For | For | | | | | | |
| | 2. | Ratification of Independent Auditors (page
28) | Management | For | | For | For | | | | | | |
| | 3. | Advisory Vote to Approve Executive
Compensation (page 30) | Management | For | | For | For | | | | | | |
| | 4. | Independent Chairman (page 58) | Shareholder | Against | | Against | For | | | | | | |
| | 5. | Special Shareholder Meetings (page 59) | Shareholder | Against | | Against | For | | | | | | |
| | 6. | Board Matrix (page 61) | Shareholder | Against | | Against | For | | | | | | |
| | 7. | Climate Change Board Committee (page
62) | Shareholder | Against | | Against | For | | | | | | |
| | 8. | Report on Risks of Gulf Coast
Petrochemical Investments (page 64) | Shareholder | Against | | Against | For | | | | | | |
| | 9. | Report on Political Contributions (page 66) | Shareholder | Against | | Against | For | | | | | | |
| | 10. | Report on Lobbying (page 67) | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 41,600 | | | 0 | | 06-May-2019 | 30-May-2019 |
| | BRISTOL-MYERS SQUIBB COMPANY | | | | | |
| | Security | 110122108 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | BMY | | | | | | | | | | Meeting Date | | 29-May-2019 | | | |
| | ISIN | US1101221083 | | | | | | | | | | Agenda | | 935021458 - Management | |
| | Record Date | 30-Apr-2019 | | | | | | | | | | Holding Recon Date | | 30-Apr-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 28-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1A. | Election of Director: Peter J. Arduini | Management | For | | For | For | | | | | | |
| | 1B. | Election of Director: Robert Bertolini | Management | For | | For | For | | | | | | |
| | 1C. | Election of Director: Giovanni Caforio, M.D. | Management | For | | For | For | | | | | | |
| | 1D. | Election of Director: Matthew W. Emmens | Management | For | | For | For | | | | | | |
| | 1E. | Election of Director: Michael Grobstein | Management | For | | For | For | | | | | | |
| | 1F. | Election of Director: Alan J. Lacy | Management | For | | For | For | | | | | | |
| | 1G. | Election of Director: Dinesh C. Paliwal | Management | For | | For | For | | | | | | |
| | 1H. | Election of Director: Theodore R. Samuels | Management | For | | For | For | | | | | | |
| | 1I. | Election of Director: Vicki L. Sato, Ph.D. | Management | For | | For | For | | | | | | |
| | 1J. | Election of Director: Gerald L. Storch | Management | For | | For | For | | | | | | |
| | 1K. | Election of Director: Karen H. Vousden,
Ph.D. | Management | For | | For | For | | | | | | |
| | 2. | Advisory vote to approve the compensation
of our Named Executive Officers | Management | For | | For | For | | | | | | |
| | 3. | Ratification of the appointment of an
independent registered public accounting
firm | Management | For | | For | For | | | | | | |
| | 4. | Shareholder Proposal on Right to Act by
Written Consent | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 30,000 | | | 0 | | 06-May-2019 | 30-May-2019 |
| | LOWE’S COMPANIES, INC. | | | | | |
| | Security | 548661107 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | LOW | | | | | | | | | | Meeting Date | | 31-May-2019 | | | |
| | ISIN | US5486611073 | | | | | | | | | | Agenda | | 934988493 - Management | |
| | Record Date | 22-Mar-2019 | | | | | | | | | | Holding Recon Date | | 22-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 30-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1. | DIRECTOR | Management | | | | | | | | | | |
| | | | 1 | Raul Alvarez | For | | For | For | | | | | | |
| | | | 2 | David H. Batchelder | For | | For | For | | | | | | |
| | | | 3 | Angela F. Braly | For | | For | For | | | | | | |
| | | | 4 | Sandra B. Cochran | For | | For | For | | | | | | |
| | | | 5 | Laurie Z. Douglas | For | | For | For | | | | | | |
| | | | 6 | Richard W. Dreiling | For | | For | For | | | | | | |
| | | | 7 | Marvin R. Ellison | For | | For | For | | | | | | |
| | | | 8 | James H. Morgan | For | | For | For | | | | | | |
| | | | 9 | Brian C. Rogers | For | | For | For | | | | | | |
| | | | 10 | Bertram L. Scott | For | | For | For | | | | | | |
| | | | 11 | Lisa W. Wardell | For | | For | For | | | | | | |
| | | | 12 | Eric C. Wiseman | For | | For | For | | | | | | |
| | 2. | Advisory vote to approve Lowe’s named
executive officer compensation in fiscal
2018. | Management | For | | For | For | | | | | | |
| | 3. | Ratification of the appointment of Deloitte &
Touche LLP as Lowe’s independent
registered public accounting firm for fiscal
2019. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 9,000 | | | 0 | | 09-May-2019 | 03-Jun-2019 |
| | ZIONS BANCORPORATION | | | | | |
| | Security | 989701107 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | ZION | | | | | | | | | | Meeting Date | | 31-May-2019 | | | |
| | ISIN | US9897011071 | | | | | | | | | | Agenda | | 934993230 - Management | |
| | Record Date | 28-Mar-2019 | | | | | | | | | | Holding Recon Date | | 28-Mar-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 30-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1A. | Election of Director: Jerry C. Atkin | Management | For | | For | For | | | | | | |
| | 1B. | Election of Director: Gary L. Crittenden | Management | For | | For | For | | | | | | |
| | 1C. | Election of Director: Suren K. Gupta | Management | For | | For | For | | | | | | |
| | 1D. | Election of Director: J. David Heaney | Management | For | | For | For | | | | | | |
| | 1E. | Election of Director: Vivian S. Lee | Management | For | | For | For | | | | | | |
| | 1F. | Election of Director: Scott J. McLean | Management | For | | For | For | | | | | | |
| | 1G. | Election of Director: Edward F. Murphy | Management | For | | For | For | | | | | | |
| | 1H. | Election of Director: Stephen D. Quinn | Management | For | | For | For | | | | | | |
| | 1I. | Election of Director: Harris H. Simmons | Management | For | | For | For | | | | | | |
| | 1J. | Election of Director: Aaron B. Skonnard | Management | For | | For | For | | | | | | |
| | 1K. | Election of Director: Barbara A. Yastine | Management | For | | For | For | | | | | | |
| | 2. | Ratification of the appointment of Ernst &
Young LLP as the Independent Registered
Public Accounting Firm to audit the
Company’s financial statements for the
current fiscal year. | Management | For | | For | For | | | | | | |
| | 3. | Approval, on a nonbinding advisory basis,
of the compensation paid to the Company’s
named executive officers with respect to
fiscal year ended December 31, 2018. | Management | For | | For | For | | | | | | |
| | 4. | To recommend, by non-binding vote, the
frequency of the shareholder non-binding
vote to approve executive compensation
votes. | Management | 2 Years | | 1 Year | Against | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 37,400 | | | 0 | | 09-May-2019 | 03-Jun-2019 |
| | UNITEDHEALTH GROUP INCORPORATED | | | | | |
| | Security | 91324P102 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | UNH | | | | | | | | | | Meeting Date | | 03-Jun-2019 | | | |
| | ISIN | US91324P1021 | | | | | | | | | | Agenda | | 934998963 - Management | |
| | Record Date | 09-Apr-2019 | | | | | | | | | | Holding Recon Date | | 09-Apr-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 31-May-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: William C. Ballard, Jr. | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Richard T. Burke | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Timothy P. Flynn | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Stephen J. Hemsley | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Michele J. Hooper | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: F. William McNabb III | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Valerie C. Montgomery
Rice, M.D. | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: John H. Noseworthy,
M.D. | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Glenn M. Renwick | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: David S. Wichmann | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Gail R. Wilensky, Ph.D. | Management | For | | For | For | | | | | | |
| | 2. | Advisory approval of the Company’s
executive compensation. | Management | For | | For | For | | | | | | |
| | 3. | Ratification of the appointment of Deloitte &
Touche LLP as the independent registered
public accounting firm for the Company for
the year ending December 31, 2019. | Management | For | | For | For | | | | | | |
| | 4. | The shareholder proposal set forth in the
proxy statement requesting an amendment
to the proxy access bylaw, if properly
presented at the 2019 Annual Meeting of
Shareholders. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 7,400 | | | 0 | | 09-May-2019 | 04-Jun-2019 |
| | WALMART INC. | | | | | |
| | Security | 931142103 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | WMT | | | | | | | | | | Meeting Date | | 05-Jun-2019 | | | |
| | ISIN | US9311421039 | | | | | | | | | | Agenda | | 935000872 - Management | |
| | Record Date | 12-Apr-2019 | | | | | | | | | | Holding Recon Date | | 12-Apr-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 04-Jun-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Cesar Conde | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Stephen J. Easterbrook | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Timothy P. Flynn | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: Sarah J. Friar | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Carla A. Harris | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Thomas W. Horton | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Marissa A. Mayer | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: C. Douglas McMillon | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Gregory B. Penner | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Steven S Reinemund | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: S. Robson Walton | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: Steuart L. Walton | Management | For | | For | For | | | | | | |
| | 2. | Advisory Vote to Approve Named Executive
Officer Compensation | Management | For | | For | For | | | | | | |
| | 3. | Ratification of Ernst & Young LLP as
Independent Accountants | Management | For | | For | For | | | | | | |
| | 4. | Request to Strengthen Prevention of
Workplace Sexual Harassment | Shareholder | Against | | Against | For | | | | | | |
| | 5. | Request to Adopt Cumulative Voting | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 29,100 | | | 0 | | 09-May-2019 | 06-Jun-2019 |
| | DIAMONDBACK ENERGY, INC. | | | | | |
| | Security | 25278X109 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | FANG | | | | | | | | | | Meeting Date | | 06-Jun-2019 | | | |
| | ISIN | US25278X1090 | | | | | | | | | | Agenda | | 935010847 - Management | |
| | Record Date | 12-Apr-2019 | | | | | | | | | | Holding Recon Date | | 12-Apr-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 05-Jun-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1A | Election of Director: Steven E. West | Management | For | | For | For | | | | | | |
| | 1B | Election of Director: Travis D. Stice | Management | For | | For | For | | | | | | |
| | 1C | Election of Director: Michael L. Hollis | Management | For | | For | For | | | | | | |
| | 1D | Election of Director: Michael P. Cross | Management | For | | For | For | | | | | | |
| | 1E | Election of Director: David L. Houston | Management | For | | For | For | | | | | | |
| | 1F | Election of Director: Mark L. Plaumann | Management | For | | For | For | | | | | | |
| | 1G | Election of Director: Melanie M. Trent | Management | For | | For | For | | | | | | |
| | 2. | Proposal to approve the Company’s 2019
Amended and Restated Equity Incentive
Plan | Management | For | | For | For | | | | | | |
| | 3. | Proposal to approve, on an advisory basis,
the compensation paid to the Company’s
named executive officers | Management | For | | For | For | | | | | | |
| | 4. | Proposal to ratify the appointment of Grant
Thornton LLP as the Company’s
independent auditors for the fiscal year
ending December 31, 2019 | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 7,000 | | | 0 | | 09-May-2019 | 07-Jun-2019 |
| | T-MOBILE US, INC. | | | | | |
| | Security | 872590104 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | TMUS | | | | | | | | | | Meeting Date | | 13-Jun-2019 | | | |
| | ISIN | US8725901040 | | | | | | | | | | Agenda | | 935011130 - Management | |
| | Record Date | 18-Apr-2019 | | | | | | | | | | Holding Recon Date | | 18-Apr-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 12-Jun-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1. | DIRECTOR | Management | | | | | | | | | | |
| | | | 1 | Srikant M. Datar | For | | For | For | | | | | | |
| | | | 2 | Srini Gopalan | For | | For | For | | | | | | |
| | | | 3 | Lawrence H. Guffey | For | | For | For | | | | | | |
| | | | 4 | Timotheus Höttges | For | | For | For | | | | | | |
| | | | 5 | Christian P. Illek | For | | For | For | | | | | | |
| | | | 6 | Bruno Jacobfeuerborn | For | | For | For | | | | | | |
| | | | 7 | Raphael Kübler | For | | For | For | | | | | | |
| | | | 8 | Thorsten Langheim | For | | For | For | | | | | | |
| | | | 9 | John J. Legere | For | | For | For | | | | | | |
| | | | 10 | G. Michael Sievert | For | | For | For | | | | | | |
| | | | 11 | Teresa A. Taylor | For | | For | For | | | | | | |
| | | | 12 | Kelvin R. Westbrook | For | | For | For | | | | | | |
| | 2. | Ratification of the Appointment of
PricewaterhouseCoopers LLP as the
Company’s Independent Registered Public
Accounting Firm for Fiscal Year 2019. | Management | For | | For | For | | | | | | |
| | 3. | Stockholder Proposal for Limitations on
Accelerated Vesting of Equity Awards in the
Event of a Change of Control. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 12,300 | | | 0 | | 09-May-2019 | 14-Jun-2019 |
| | REGENERON PHARMACEUTICALS, INC. | | | | | |
| | Security | 75886F107 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | REGN | | | | | | | | | | Meeting Date | | 14-Jun-2019 | | | |
| | ISIN | US75886F1075 | | | | | | | | | | Agenda | | 935006432 - Management | |
| | Record Date | 17-Apr-2019 | | | | | | | | | | Holding Recon Date | | 17-Apr-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 13-Jun-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Bonnie L. Bassler,
Ph.D. | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Michael S. Brown, M.D. | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Leonard S. Schleifer,
M.D., Ph.D. | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: George D.
Yancopoulos, M.D., Ph.D. | Management | For | | For | For | | | | | | |
| | 2. | Ratification of the appointment of
PricewaterhouseCoopers LLP as the
Company’s independent registered public
accounting firm for the fiscal year ending
December 31, 2019. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 3,400 | | | 0 | | 09-May-2019 | 17-Jun-2019 |
| | BIOGEN INC. | | | | | |
| | Security | 09062X103 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | BIIB | | | | | | | | | | Meeting Date | | 19-Jun-2019 | | | |
| | ISIN | US09062X1037 | | | | | | | | | | Agenda | | 935015556 - Management | |
| | Record Date | 22-Apr-2019 | | | | | | | | | | Holding Recon Date | | 22-Apr-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 18-Jun-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: John R. Chiminski | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Alexander J. Denner | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Caroline D. Dorsa | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: William A. Hawkins | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Nancy L. Leaming | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Jesus B. Mantas | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: Richard C. Mulligan | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Robert W. Pangia | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Stelios Papadopoulos | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Brian S. Posner | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Eric K. Rowinsky | Management | For | | For | For | | | | | | |
| | 1l. | Election of Director: Lynn Schenk | Management | For | | For | For | | | | | | |
| | 1m. | Election of Director: Stephen A. Sherwin | Management | For | | For | For | | | | | | |
| | 1n. | Election of Director: Michel Vounatsos | Management | For | | For | For | | | | | | |
| | 2. | To ratify the selection of
PricewaterhouseCoopers LLP as Biogen
Inc.’s independent registered public
accounting firm for the fiscal year ending
December 31, 2019. | Management | For | | For | For | | | | | | |
| | 3. | Say on Pay - To approve an advisory vote
on executive compensation. | Management | For | | For | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 6,700 | | | 0 | | 09-May-2019 | 20-Jun-2019 |
| | ALPHABET INC. | | | | | |
| | Security | 02079K305 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | GOOGL | | | | | | | | | | Meeting Date | | 19-Jun-2019 | | | |
| | ISIN | US02079K3059 | | | | | | | | | | Agenda | | 935018956 - Management | |
| | Record Date | 22-Apr-2019 | | | | | | | | | | Holding Recon Date | | 22-Apr-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 18-Jun-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1. | DIRECTOR | Management | | | | | | | | | | |
| | | | 1 | Larry Page | For | | For | For | | | | | | |
| | | | 2 | Sergey Brin | For | | For | For | | | | | | |
| | | | 3 | John L. Hennessy | For | | For | For | | | | | | |
| | | | 4 | L. John Doerr | For | | For | For | | | | | | |
| | | | 5 | Roger W. Ferguson, Jr. | For | | For | For | | | | | | |
| | | | 6 | Ann Mather | For | | For | For | | | | | | |
| | | | 7 | Alan R. Mulally | For | | For | For | | | | | | |
| | | | 8 | Sundar Pichai | For | | For | For | | | | | | |
| | | | 9 | K. Ram Shriram | For | | For | For | | | | | | |
| | | | 10 | Robin L. Washington | For | | For | For | | | | | | |
| | 2. | Ratification of the appointment of Ernst &
Young LLP as Alphabet’s independent
registered public accounting firm for the
fiscal year ending December 31, 2019. | Management | For | | For | For | | | | | | |
| | 3. | The amendment and restatement of
Alphabet’s 2012 Stock Plan to increase the
share reserve by 3,000,000 shares of Class
C capital stock. | Management | For | | For | For | | | | | | |
| | 4. | A stockholder proposal regarding equal
shareholder voting, if properly presented at
the meeting. | Shareholder | Against | | Against | For | | | | | | |
| | 5. | A stockholder proposal regarding
inequitable employment practices, if
properly presented at the meeting. | Shareholder | Against | | Against | For | | | | | | |
| | 6. | A stockholder proposal regarding the
establishment of a societal risk oversight
committee, if properly presented at the
meeting. | Shareholder | Against | | Against | For | | | | | | |
| | 7. | A stockholder proposal regarding a report
on sexual harassment risk management, if
properly presented at the meeting. | Shareholder | Against | | Against | For | | | | | | |
| | 8. | A stockholder proposal regarding majority
vote for the election of directors, if properly
presented at the meeting. | Shareholder | Against | | Against | For | | | | | | |
| | 9. | A stockholder proposal regarding a report
on gender pay, if properly presented at the
meeting. | Shareholder | Against | | Against | For | | | | | | |
| | 10. | A stockholder proposal regarding strategic
alternatives, if properly presented at the
meeting. | Shareholder | Against | | Against | For | | | | | | |
| | 11. | A stockholder proposal regarding the
nomination of an employee representative
director, if properly presented at the
meeting. | Shareholder | Against | | Against | For | | | | | | |
| | 12. | A stockholder proposal regarding simple
majority vote, if properly presented at the
meeting. | Shareholder | Against | | Against | For | | | | | | |
| | 13. | A stockholder proposal regarding a
sustainability metrics report, if properly
presented at the meeting. | Shareholder | Against | | Against | For | | | | | | |
| | 14. | A stockholder proposal regarding Google
Search in China, if properly presented at
the meeting. | Shareholder | Against | | Against | For | | | | | | |
| | 15. | A stockholder proposal regarding a
clawback policy, if properly presented at the
meeting. | Shareholder | Against | | Against | For | | | | | | |
| | 16. | A stockholder proposal regarding a report
on content governance, if properly
presented at the meeting. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 3,400 | | | 0 | | 09-May-2019 | 20-Jun-2019 |
| | MASTERCARD INCORPORATED | | | | | |
| | Security | 57636Q104 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | MA | | | | | | | | | | Meeting Date | | 25-Jun-2019 | | | |
| | ISIN | US57636Q1040 | | | | | | | | | | Agenda | | 935017233 - Management | |
| | Record Date | 26-Apr-2019 | | | | | | | | | | Holding Recon Date | | 26-Apr-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 24-Jun-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of director: Richard
Haythornthwaite | Management | For | | For | For | | | | | | |
| | 1b. | Election of director: Ajay Banga | Management | For | | For | For | | | | | | |
| | 1c. | Election of director: David R. Carlucci | Management | For | | For | For | | | | | | |
| | 1d. | Election of director: Richard K. Davis | Management | For | | For | For | | | | | | |
| | 1e. | Election of director: Steven J. Freiberg | Management | For | | For | For | | | | | | |
| | 1f. | Election of director: Julius Genachowski | Management | For | | For | For | | | | | | |
| | 1g. | Election of director: Choon Phong Goh | Management | For | | For | For | | | | | | |
| | 1h. | Election of director: Merit E. Janow | Management | For | | For | For | | | | | | |
| | 1i. | Election of director: Oki Matsumoto | Management | For | | For | For | | | | | | |
| | 1j. | Election of director: Youngme Moon | Management | For | | For | For | | | | | | |
| | 1k. | Election of director: Rima Qureshi | Management | For | | For | For | | | | | | |
| | 1l. | Election of director: José Octavio Reyes
Lagunes | Management | For | | For | For | | | | | | |
| | 1m. | Election of director: Gabrielle Sulzberger | Management | For | | For | For | | | | | | |
| | 1n. | Election of director: Jackson Tai | Management | For | | For | For | | | | | | |
| | 1o. | Election of director: Lance Uggla | Management | For | | For | For | | | | | | |
| | 2. | Advisory approval of Mastercard’s executive
compensation | Management | For | | For | For | | | | | | |
| | 3. | Ratification of the appointment of
PricewaterhouseCoopers LLP as the
independent registered public accounting
firm for Mastercard for 2019 | Management | For | | For | For | | | | | | |
| | 4. | Consideration of a stockholder proposal on
gender pay gap | Shareholder | Against | | Against | For | | | | | | |
| | 5. | Consideration of a stockholder proposal on
creation of a human rights committee | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 11,100 | | | 0 | | 09-May-2019 | 26-Jun-2019 |
| | THE KROGER CO. | | | | | |
| | Security | 501044101 | | | | | | | | | | Meeting Type | | Annual | | |
| | Ticker Symbol | KR | | | | | | | | | | Meeting Date | | 27-Jun-2019 | | | |
| | ISIN | US5010441013 | | | | | | | | | | Agenda | | 935024101 - Management | |
| | Record Date | 01-May-2019 | | | | | | | | | | Holding Recon Date | | 01-May-2019 | | | |
| | City / | Country | | | / | United States | | | | | | Vote Deadline Date | | 26-Jun-2019 | | | |
| | SEDOL(s) | | | | | | | Quick Code | | | | | |
| | Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | | | | | |
| | 1a. | Election of Director: Nora A. Aufreiter | Management | For | | For | For | | | | | | |
| | 1b. | Election of Director: Anne Gates | Management | For | | For | For | | | | | | |
| | 1c. | Election of Director: Susan J. Kropf | Management | For | | For | For | | | | | | |
| | 1d. | Election of Director: W. Rodney McMullen | Management | For | | For | For | | | | | | |
| | 1e. | Election of Director: Jorge P. Montoya | Management | For | | For | For | | | | | | |
| | 1f. | Election of Director: Clyde R. Moore | Management | For | | For | For | | | | | | |
| | 1g. | Election of Director: James A. Runde | Management | For | | For | For | | | | | | |
| | 1h. | Election of Director: Ronald L. Sargent | Management | For | | For | For | | | | | | |
| | 1i. | Election of Director: Bobby S. Shackouls | Management | For | | For | For | | | | | | |
| | 1j. | Election of Director: Mark S. Sutton | Management | For | | For | For | | | | | | |
| | 1k. | Election of Director: Ashok Vemuri | Management | For | | For | For | | | | | | |
| | 2. | Approval, on an advisory basis, of Kroger’s
executive compensation. | Management | For | | For | For | | | | | | |
| | 3. | Approval of Kroger’s 2019 Long-Term
Incentive Plan. | Management | For | | For | For | | | | | | |
| | 4. | Approval of an amendment to Kroger’s
Regulations to permit Board amendments in
accordance with Ohio law. | Management | For | | For | For | | | | | | |
| | 5. | Ratification of PricewaterhouseCoopers
LLP, as auditors. | Management | For | | For | For | | | | | | |
| | 6. | A shareholder proposal, if properly
presented, to issue a report assessing the
environmental impacts of using
unrecyclable packaging for private label
brands. | Shareholder | Against | | Against | For | | | | | | |
| | 7. | A shareholder proposal, if properly
presented, to adopt a policy and amend the
bylaws as necessary to require the Chair of
the Board to be independent. | Shareholder | Against | | Against | For | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote
Date | Date
Confirmed |
| | 6734308330 | | AAMA EQUITY FUND | 6734308330 | | UNION BANK | 37,500 | | | 0 | | 21-Jun-2019 | 28-Jun-2019 |
There is no proxy voting activity for the Fund as the Fund did not hold any votable positions during the reporting period.
There is no proxy voting activity for the Fund as the Fund did not hold any votable positions during the reporting period.
There is no proxy voting activity for the Fund as the Fund did not hold any votable positions during the reporting period.
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.
