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 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
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Security | | Ticker | | CUSIP | | Meeting Date | | # of
Shares | | | Proposal Description | | Type of Proposal | | Proposed by | | Date
Voted | | How Voted | | Voted with / against Management |
AES Corporation | | AES | | 00130H105 | | 04/17/14 | | | 3,597,600 | | | 1. Election of Directors - 12 Nominees | | Routine | | Management | | 04/02/14 | | FOR | | WITH |
AES Corporation | | AES | | 00130H105 | | 04/17/14 | | | 3,597,600 | | | 2. Ratify the Appointment of Ernst & Young as Independent Registered Certified Public Accounting Firm | | Routine | | Management | | 04/02/14 | | FOR | | WITH |
AES Corporation | | AES | | 00130H105 | | 04/17/14 | | | 3,597,600 | | | 3. To Approve, On An Advisory Basis, the Company’s Executive Compensation | | Non-Routine | | Management | | 04/02/14 | | FOR | | WITH |
Agilent Technologies | | A | | 00846U101 | | 04/19/14 | | | 805,300 | | | 1. Election of Directors - 2 Nominees | | Routine | | Management | | 03/12/14 | | FOR | | WITH |
Agilent Technologies | | A | | 00846U101 | | 04/19/14 | | | 805,300 | | | 2. Ratify the Audit and Finance Committee’s Selection of PricewaterhouseCoopers LLP as Agilent’s Independent Registered Public Accounting Firm | | Routine | | Management | | 03/12/14 | | FOR | | WITH |
Agilent Technologies | | A | | 00846U101 | | 04/19/14 | | | 805,300 | | | 3. To Re-Approve the Performance Goals Under Agilent’s 2009 Stock Plan | | Non-Routine | | Management | | 03/12/14 | | FOR | | WITH |
Agilent Technologies | | A | | 00846U101 | | 04/19/14 | | | 805,300 | | | 4. To Approve the Compensation of Agilent’s Named Executive Officers | | Non-Routine | | Management | | 03/12/14 | | FOR | | WITH |
Alcoa Inc. | | AA | | 013817101 | | 05/02/14 | | | 3,985,800 | | | 1. Election of Directors - 4 Nominees | | Routine | | Management | | 04/23/14 | | FOR | | WITH |
Alcoa Inc. | | AA | | 013817101 | | 05/02/14 | | | 3,985,800 | | | 2. Ratify the Appointment of PricewaterhouseCoopers LLP as the Company’s Independent Registered Public Accounting Firm | | Routine | | Management | | 04/23/14 | | FOR | | WITH |
Alcoa Inc. | | AA | | 013817101 | | 05/02/14 | | | 3,985,800 | | | 3. Advisory Vote to Approve Executive Compensation | | Non-Routine | | Management | | 04/23/14 | | FOR | | WITH |
Alcoa Inc. | | AA | | 013817101 | | 05/02/14 | | | 3,985,800 | | | 4. Executives to Retain Significant Stock | | Non-Routine | | Shareholder | | 04/23/14 | | AGAINST | | WITH |
American Intl Group, Inc. | | AIG | | 026874784 | | 05/12/14 | | | 1,061,600 | | | 1. Election of Directors - 14 Nominees | | Routine | | Management | | 04/28/14 | | FOR | | WITH |
American Intl Group, Inc. | | AIG | | 026874784 | | 05/12/14 | | | 1,061,600 | | | 2. To Vote, On a Non-Binding Advisory Basis, to Approve Executive Compensation | | Non-Routine | | Management | | 04/28/14 | | FOR | | WITH |
American Intl Group, Inc. | | AIG | | 026874784 | | 05/12/14 | | | 1,061,600 | | | 3. To Amend and Restate AIG’s Restated Certificate of Incorporation to Continue to Restrict Certain Transfers of AIG Common Stock in Order to Protect AIG’s Tax Attributes | | Non-Routine | | Management | | 04/28/14 | | FOR | | WITH |
American Intl Group, Inc. | | AIG | | 026874784 | | 05/12/14 | | | 1,061,600 | | | 4. To Ratify the Amendment to Extend the Expiration of the American International Group, Inc. Tax Asset Protection Plan | | Non-Routine | | Management | | 04/28/14 | | FOR | | WITH |
American Intl Group, Inc. | | AIG | | 026874784 | | 05/12/14 | | | 1,061,600 | | | 5. To Ratify the Selection of PricewaterhouseCoopers LLP as AIG’s Independent Registered Public Accounting Firm | | Routine | | Management | | 04/28/14 | | FOR | | WITH |
Aon plc | | AON | | G0408V102 | | 06/24/14 | | | 694,700 | | | 1. Election of Directors - 12 Nominees | | Routine | | Management | | 06/17/14 | | FOR | | WITH |
Aon plc | | AON | | G0408V102 | | 06/24/14 | | | 694,700 | | | 10. Approval of Forms of Share Repurchase Contract and Repurchase Counterparties | | Non-Routine | | Management | | 06/17/14 | | FOR | | WITH |
Aon plc | | AON | | G0408V102 | | 06/24/14 | | | 694,700 | | | 2. Receipt of Aon’s Annual Report and Accounts, Together with the Reports of the Directors and Auditors for the Year Ended December 31, 2013 | | Non-Routine | | Management | | 06/17/14 | | FOR | | WITH |
Aon plc | | AON | | G0408V102 | | 06/24/14 | | | 694,700 | | | 3. Ratification of the Appointment of Ernst & Young LLP as the Independent Registered Public Accounting Firm | | Routine | | Management | | 06/17/14 | | FOR | | WITH |
Aon plc | | AON | | G0408V102 | | 06/24/14 | | | 694,700 | | | 4. Re-Appointment of Ernst & Yound LLP as Aon’s U.K. Statutory Auditor Under the Companies ACT 2006 | | Non-Routine | | Management | | 06/17/14 | | FOR | | WITH |
Aon plc | | AON | | G0408V102 | | 06/24/14 | | | 694,700 | | | 5. Authorization of the Board of Directors to Determine the Remuneration of Ernst & Young LLP | | Non-Routine | | Management | | 06/17/14 | | FOR | | WITH |
Aon plc | | AON | | G0408V102 | | 06/24/14 | | | 694,700 | | | 6. Advisory Vote to Approve Executive Compensation | | Non-Routine | | Management | | 06/17/14 | | FOR | | WITH |
Aon plc | | AON | | G0408V102 | | 06/24/14 | | | 694,700 | | | 7. Approval of Directors’ Remuneration Policy | | Non-Routine | | Management | | 06/17/14 | | FOR | | WITH |
Aon plc | | AON | | G0408V102 | | 06/24/14 | | | 694,700 | | | 8. Advisory Vote to Approve the Directors’ Remuneration Report (Other than the Directors’ Remuneration Policy) | | Non-Routine | | Management | | 06/17/14 | | FOR | | WITH |
Aon plc | | AON | | G0408V102 | | 06/24/14 | | | 694,700 | | | 9. Approval of the Aon plc 2011 Incentive Compensation Plan | | Non-Routine | | Management | | 06/17/14 | | FOR | | WITH |
Applied Materials Inc. | | AMAT | | 038222105 | | 03/04/14 | | | 2,506,300 | | | 1. Election of Directors - 12 Nominees | | Routine | | Management | | 02/26/14 | | FOR | | WITH |
Applied Materials Inc. | | AMAT | | 038222105 | | 03/04/14 | | | 2,506,300 | | | 2. To Approve, on an Advisory Basis, the Compensation of Applied Materials’ Named Executive Officers | | Non-Routine | | Management | | 02/26/14 | | FOR | | WITH |
Applied Materials Inc. | | AMAT | | 038222105 | | 03/04/14 | | | 2,506,300 | | | 3. To Ratify the Appointment of KPMG LLP as Independent Registered Public Accounting Firm | | Routine | | Management | | 02/26/14 | | FOR | | WITH |
Applied Materials Inc. | | AMAT | | 038222105 | | 03/04/14 | | | 2,506,300 | | | 4. Proposal Titled “Special Shareowner Meetings” | | Non-Routine | | Shareholder | | 02/26/14 | | FOR | | AGAINST |
Applied Materials Inc. | | AMAT | | 038222105 | | 06/23/14 | | | 2,506,300 | | | 1. Adoption of the Business Combination Agreement, Dated as of September 24, 2013, as Amended, by and Among Applied Materials Inc., Tokyo Electron Limited, and Tel-Applied Holdings B.V. | | Non-Routine | | Management | | 06/16/14 | | FOR | | WITH |
Applied Materials Inc. | | AMAT | | 038222105 | | 06/23/14 | | | 2,506,300 | | | 2. Approval, on an Advisory Basis, of Certain Compensatory Arrangements Between Applied Materials and Its Named Executive Officers Based on or Otherwise Relating to the Business Combination | | Non-Routine | | Management | | 06/16/14 | | FOR | | WITH |
Applied Materials Inc. | | AMAT | | 038222105 | | 06/23/14 | | | 2,506,300 | | | 3. Approval of Any Proposal That May be Made by the Executive Chairman of the Board of Directors to Adjourn the Special Meeting (1) | | Non-Routine | | Management | | 06/16/14 | | FOR | | WITH |
Baker Hughes Inc. | | BHI | | 057224107 | | 04/24/14 | | | 666,100 | | | 1. Election of Directors - 11 Nominees | | Routine | | Management | | 04/10/14 | | FOR | | WITH |
Baker Hughes Inc. | | BHI | | 057224107 | | 04/24/14 | | | 666,100 | | | 2. An Advisory Vote Related to the Company’s Executive Compensation Program | | Non-Routine | | Management | | 04/10/14 | | FOR | | WITH |
Baker Hughes Inc. | | BHI | | 057224107 | | 4/24/14 | | | 666,100 | | | 3. Ratification of Deloitte & Touche LLP as the Company���s Independent Registered Public Accounting Firm | | Routine | | Management | | 04/10/14 | | FOR | | WITH |
Baker Hughes Inc. | | BHI | | 057224107 | | 4/24/14 | | | 666,100 | | | 4. Approval of the Amended and Restated Baker Hughes Inc. 2002 Director and Officer Long-Term Incentive Plan | | Non-Routine | | Management | | 04/10/14 | | FOR | | WITH |
Baker Hughes Inc. | | BHI | | 057224107 | | 04/24/14 | | | 666,100 | | | 5. Approval of the Amended and Restated Baker Hughes Inc. 2002 Employee Long-Term Incentive Plan | | Non-Routine | | Management | | 04/10/14 | | FOR | | WITH |
Bank of America Corporation | | BAC | | 060505104 | | 05/07/14 | | | 3,632,800 | | | 1. Election of Directors - 15 Nominees | | Routine | | Management | | 04/21/14 | | FOR | | WITH |
Bank of America Corporation | | BAC | | 060505104 | | 05/07/14 | | | 3,632,800 | | | 2. An Advisory (Non-Binding) Resolution to Approve Executive Compensation (Say on Pay) | | Non-Routine | | Management | | 04/21/14 | | FOR | | WITH |
Bank of America Corporation | | BAC | | 060505104 | | 05/07/14 | | | 3,632,800 | | | 3. Ratify the Appointment of PricewaterhouseCoopers LLP as the Company’s Independent Registered Public Accounting Firm | | Routine | | Management | | 04/21/14 | | FOR | | WITH |
Bank of America Corporation | | BAC | | 060505104 | | 05/07/14 | | | 3,632,800 | | | 4. Approval of the Amendment to the Series T Preferred Stock | | Non-Routine | | Management | | 04/21/14 | | FOR | | WITH |
Bank of America Corporation | | BAC | | 060505104 | | 05/07/14 | | | 3,632,800 | | | 5. Cumulative Voting in Director Elections | | Non-Routine | | Shareholder | | 04/21/14 | | FOR | | AGAINST |
Bank of America Corporation | | BAC | | 060505104 | | 05/07/14 | | | 3,632,800 | | | 6. Proxy Access | | Non-Routine | | Shareholder | | 04/21/14 | | AGAINST | | WITH |
Bank of America Corporation | | BAC | | 060505104 | | 05/07/14 | | | 3,632,800 | | | 7. Climate Change Report | | Non-Routine | | Shareholder | | 04/21/14 | | FOR | | AGAINST |
Bank of America Corporation | | BAC | | 060505104 | | 05/07/14 | | | 3,632,800 | | | 8. Lobbying Report | | Non-Routine | | Shareholder | | 04/21/14 | | FOR | | AGAINST |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | 1. To Receive the Directors’ Annual Report and Accounts | | Non-Routine | | Management | | 04/02/14 | | FOR | | WITH |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | 10. To Re-Elect Mrs. C B Carroll as a Director | | Routine | | Management | | 04/02/14 | | FOR | | WITH |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | 11. To Re-Elect Mr. G David as a Director | | Routine | | Management | | 04/02/14 | | FOR | | WITH |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | 12. To Re-Elect Mr. I E L Davis as a Director | | Routine | | Management | | 04/02/14 | | FOR | | WITH |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | 13. To Re-Elect Professor Dame Ann Dowling as a Director | | Routine | | Management | | 04/02/14 | | FOR | | WITH |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | 14. To Re-Elect Mr. B R Nelson as a Director | | Routine | | Management | | 04/02/14 | | FOR | | WITH |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | 15. To Re-Elect Mr. F P Nhleko as a Director | | Routine | | Management | | 04/02/14 | | FOR | | WITH |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | 16. To Re-Elect Mr. A B Shilston as a Director | | Routine | | Management | | 04/02/14 | | FOR | | WITH |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | 17. To Re-Elect Mr. C-H Svanberg as a Director | | Routine | | Management | | 04/02/14 | | FOR | | WITH |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | 18. To Re-Appoint Ernst & Young LLP as Auditors | | Routine | | Management | | 04/02/14 | | FOR | | WITH |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | 19. To Approve the Renewal of the Executive Directors’ Incentive Plan | | Non-Routine | | Management | | 04/02/14 | | FOR | | WITH |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | 2. To Receive and Approve the Directors’ Remuneration Report | | Non-Routine | | Management | | 04/02/14 | | FOR | | WITH |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | 20. To Determine the Limit for the Aggregate Remuneration of the Non-Excutive Directors | | Non-Routine | | Management | | 04/02/14 | | FOR | | WITH |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | 21. To Give Limited Authority to Allot Shares up to a Specified Amount | | Non-Routine | | Management | | 04/02/14 | | FOR | | WITH |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | 3. To Receive and Approve the Directors’ Remuneration Policy | | Non-Routine | | Management | | 04/02/14 | | FOR | | WITH |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | 4. To Re-Elect Mr. R W Dudley as a Director | | Routine | | Management | | 04/02/14 | | FOR | | WITH |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | 5. To Re-Elect Mr. I C Conn as a Director | | Routine | | Management | | 04/02/14 | | FOR | | WITH |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | 6. To Re-Elect Dr. B Gilvary as a Director | | Routine | | Management | | 04/02/14 | | FOR | | WITH |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | 7. To Re-Elect Mr. P M Anderson as a Director | | Routine | | Management | | 04/02/14 | | FOR | | WITH |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | 8. To Re-Elect Admiral F L Bowman as a Director | | Routine | | Management | | 04/02/14 | | FOR | | WITH |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | 9. To Re-Elect Mr. A Burgmans as a Director | | Routine | | Management | | 04/02/14 | | FOR | | WITH |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | S22. Special Resolution: To Give Authority to Allot a Limited Number of Shares for Cash Free of Pre-Emption Rights | | Non-Routine | | Management | | 04/02/14 | | FOR | | WITH |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | S23. Special Resolution: To Give Limited Authority for the Purchase of Its Own Shares By the Company | | Non-Routine | | Management | | 04/02/14 | | FOR | | WITH |
BP P.L.C. | | BP | | 055622104 | | 04/10/14 | | | 1,138,200 | | | S24. Special Resolution: To Authorize the Calling of General Meetings (Excluding Annual General Meetings) By Notice of at Least 14 Clear Days | | Non-Routine | | Management | | 04/02/14 | | FOR | | WITH |
Capital One Financial Corp. | | COF | | 14040H105 | | 05/01/14 | | | 709,400 | | | 1. Election of Directors - 10 Nominees | | Routine | | Management | | 04/14/14 | | FOR | | WITH |
Capital One Financial Corp. | | COF | | 14040H105 | | 05/01/14 | | | 709,400 | | | 2. Ratification of Selection of Ernst & Young LLP as Independent Auditors of Capital One | | Routine | | Management | | 04/14/14 | | FOR | | WITH |
Capital One Financial Corp. | | COF | | 14040H105 | | 05/01/14 | | | 709,400 | | | 3. Approval of Capital One’s Third Amended and Restated 2004 Stock Incentive Plan | | Non-Routine | | Management | | 04/14/14 | | FOR | | WITH |
Capital One Financial Corp. | | COF | | 14040H105 | | 05/01/14 | | | 709,400 | | | 4. Approval of Capital One’s 2013 Named Executive Officer Compensation | | Non-Routine | | Management | | 04/14/14 | | FOR | | WITH |
Capital One Financial Corp. | | COF | | 14040H105 | | 05/01/14 | | | 709,400 | | | 5a. Approval of Amendments to Capital One’s Restated Certificate of Incorporation to Remove Supermajority Voting Standards Applicable to the Following Action: Future Amendments to the Amended and Restated Bylaws and the Restated Certificate of Incorporation | | Non-Routine | | Management | | 04/14/14 | | FOR | | WITH |
Capital One Financial Corp. | | COF | | 14040H105 | | 05/01/14 | | | 709,400 | | | 5b. Removing Any Director from Office | | Non-Routine | | Management | | 04/14/14 | | FOR | | WITH |
Capital One Financial Corp. | | COF | | 14040H105 | | 05/01/14 | | | 709,400 | | | 5c. Certain Business Combinations | | Non-Routine | | Management | | 04/14/14 | | FOR | | WITH |
Capital One Financial Corp. | | COF | | 14040H105 | | 05/01/14 | | | 709,400 | | | 6. Proposal Regarding an Independent Board Chairman, if Presented at the Meeting | | Non-Routine | | Shareholder | | 04/14/14 | | AGAINST | | WITH |
Cardinal Health Inc. | | CAH | | 14149Y108 | | 11/06/13 | | | 935,500 | | | 1. Election of Directors - 12 Nominees | | Routine | | Management | | 10/18/13 | | FOR | | WITH |
Cardinal Health Inc. | | CAH | | 14149Y108 | | 11/06/13 | | | 935,500 | | | 2. Ratification of the Appointment of Ernst & Young LLP as Independent Registered Public Accounting Firm | | Routine | | Management | | 10/18/13 | | FOR | | WITH |
Cardinal Health Inc. | | CAH | | 14149Y108 | | 11/06/13 | | | 935,500 | | | 3. To Approve, on a Non-Binding Advisory Basis, the Compensation of Our Named Executive Officers | | Non-Routine | | Management | | 10/18/13 | | FOR | | WITH |
Cardinal Health Inc. | | CAH | | 14149Y108 | | 11/06/13 | | | 935,500 | | | 4. Proposal Regarding Political Contributions and Expenditures | | Non-Routine | | Shareholder | | 10/18/13 | | AGAINST | | WITH |
Charles Schwab Corporation | | SCHW | | 808513105 | | 05/15/14 | | | 1,600,700 | | | 1. Election of Directors - 4 Nominees | | Routine | | Management | | 05/06/14 | | FOR | | WITH |
Charles Schwab Corporation | | SCHW | | 808513105 | | 05/15/14 | | | 1,600,700 | | | 2. Ratification of Deloitte & Touche LLP as Independent Auditors | | Routine | | Management | | 05/06/14 | | FOR | | WITH |
Charles Schwab Corporation | | SCHW | | 808513105 | | 05/15/14 | | | 1,600,700 | | | 3. Advisory Approval of Named Executive Officer Compensation | | Non-Routine | | Management | | 05/06/14 | | FOR | | WITH |
Charles Schwab Corporation | | SCHW | | 808513105 | | 05/15/14 | | | 1,600,700 | | | 4. Proposal Regarding Political Contributions | | Non-Routine | | Shareholder | | 05/06/14 | | AGAINST | | WITH |
Charles Schwab Corporation | | SCHW | | 808513105 | | 05/15/14 | | | 1,600,700 | | | 5. Proposal Regarding Annual Disclosure of EEO-1 Data | | Non-Routine | | Shareholder | | 05/06/14 | | AGAINST | | WITH |
Charles Schwab Corporation | | SCHW | | 808513105 | | 05/15/14 | | | 1,600,700 | | | 6. Proposal Regarding Accelerated Vesting Upon Change in Control | | Non-Routine | | Shareholder | | 05/06/14 | | AGAINST | | WITH |
CIT Group Inc. | | CIT | | 125581801 | | 05/13/14 | | | 1,081,100 | | | 1. Election of Directors - 13 Nominees | | Routine | | Management | | 05/02/14 | | FOR | | WITH |
CIT Group Inc. | | CIT | | 125581801 | | 05/13/14 | | | 1,081,100 | | | 2. To Ratify the Appointment of PricewaterhouseCoopers LLP as CIT’s Independent Registered Public Accounting Firm | | Routine | | Management | | 05/02/14 | | FOR | | WITH |
CIT Group Inc. | | CIT | | 125581801 | | 05/13/14 | | | 1,081,100 | | | 3. To Recommend, By Non-Binding Vote, the Compensation of CIT’s Named Executive Officers | | Non-Routine | | Management | | 05/02/14 | | FOR | | WITH |
CitiGroup Inc. | | C | | 172967424 | | 04/22/14 | | | 949,800 | | | 1. Election of Directors - 14 Nominees | | Routine | | Management | | 04/07/14 | | FOR | | WITH |
CitiGroup Inc. | | C | | 172967424 | | 04/22/14 | | | 949,800 | | | 2. Ratify the Selection of KPMG LLP as Citi’s Independent Registered Public Accounting Firm | | Routine | | Management | | 04/07/14 | | FOR | | WITH |
CitiGroup Inc. | | C | | 172967424 | | 04/22/14 | | | 949,800 | | | 3. Advisory Approval of Citi’s 2013 Executive Compensation | | Non-Routine | | Management | | 04/07/14 | | FOR | | WITH |
CitiGroup Inc. | | C | | 172967424 | | 04/22/14 | | | 949,800 | | | 4. Approval of the CitiGroup 2014 Stock Incentive Plan | | Non-Routine | | Management | | 04/07/14 | | FOR | | WITH |
CitiGroup Inc. | | C | | 172967424 | | 04/22/14 | | | 949,800 | | | 5. Proposal Requesting that Executives Retain a Significant Portion of Their Stock Until Reaching Normal Retirement Age | | Non-Routine | | Shareholder | | 04/07/14 | | AGAINST | | WITH |
CitiGroup Inc. | | C | | 172967424 | | 04/22/14 | | | 949,800 | | | 6. Proposal Requesting a Report on Lobbying and Grassroots Lobbying Contributions | | Non-Routine | | Shareholder | | 04/07/14 | | AGAINST | | WITH |
CitiGroup Inc. | | C | | 172967424 | | 04/22/14 | | | 949,800 | | | 7. Proposal Requesting that the Board Institute a Policy to Make It More Practical to Deny Indemnification for Directors | | Non-Routine | | Shareholder | | 04/07/14 | | AGAINST | | WITH |
CitiGroup Inc. | | C | | 172967424 | | 04/22/14 | | | 949,800 | | | 8. Proposal Requesting Proxy Access for Shareholders | | Non-Routine | | Shareholder | | 04/07/14 | | AGAINST | | WITH |
Comcast Corporation | | CMCSA | | 20030N101 | | 05/21/14 | | | 1,079,700 | | | 1. Election of Directors - 12 Nominees | | Routine | | Management | | 05/13/14 | | FOR | | WITH |
Comcast Corporation | | CMCSA | | 20030N101 | | 05/21/14 | | | 1,079,700 | | | 2. Ratification of Deloitte & Touche LLP as Independent Auditors | | Routine | | Management | | 05/13/14 | | FOR | | WITH |
Comcast Corporation | | CMCSA | | 20030N101 | | 05/21/14 | | | 1,079,700 | | | 3. Approval, on an Advisory Basis, of Our Executive Compensation | | Non-Routine | | Management | | 05/13/14 | | FOR | | WITH |
Comcast Corporation | | CMCSA | | 20030N101 | | 05/21/14 | | | 1,079,700 | | | 4. Proposal to Prepare an Annual Report on Lobbying Activities | | Non-Routine | | Shareholder | | 05/13/14 | | FOR | | AGAINST |
Comcast Corporation | | CMCSA | | 20030N101 | | 05/21/14 | | | 1,079,700 | | | 5. Proposal to Prohibit Accelerated Vesting Upon a Change in Control | | Non-Routine | | Shareholder | | 05/13/14 | | FOR | | AGAINST |
CVS Caremark Corporation | | CVS | | 126650100 | | 05/08/14 | | | 752,700 | | | 1. Election of Directors - 9 Nominees | | Routine | | Management | | 04/17/14 | | FOR | | WITH |
CVS Caremark Corporation | | CVS | | 126650100 | | 05/08/14 | | | 752,700 | | | 2. Ratify the Appointment of Ernst & Young LLP as Independent Public Accounting Firm | | Routine | | Management | | 04/17/14 | | FOR | | WITH |
CVS Caremark Corporation | | CVS | | 126650100 | | 05/08/14 | | | 752,700 | | | 3. Say on Pay - An Advisory Vote on the Approval of Executive Compensation | | Non-Routine | | Management | | 04/17/14 | | AGAINST | | AGAINST |
DirecTV Group | | DTV | | 25490A309 | | 04/29/14 | | | 748,300 | | | 1. Election of Directors - 12 Nominees | | Routine | | Management | | 04/11/14 | | FOR | | WITH |
DirecTV Group | | DTV | | 25490A309 | | 04/29/14 | | | 748,300 | | | 2. To Ratify the Appointment of Deloitte & Touche LLP as Independent Registered Public Accounting Firm for DirecTV | | Routine | | Management | | 04/11/14 | | FOR | | WITH |
DirecTV Group | | DTV | | 25490A309 | | 04/29/14 | | | 748,300 | | | 3. An Advisory Vote to Approve Compensation of Our Named Executives | | Non-Routine | | Management | | 04/11/14 | | FOR | | WITH |
DirecTV Group | | DTV | | 25490A309 | | 04/29/14 | | | 748,300 | | | 4. Proposal to Adopt a Policy That There Would Be No Accelerated Vesting of Performance-Based Equity Awards Upon a Change in Control | | Non-Routine | | Shareholder | | 04/11/14 | | AGAINST | | WITH |
DirecTV Group | | DTV | | 25490A309 | | 04/29/14 | | | 748,300 | | | 5. Proposal to Require Senior Executives to Retain 50% of Net After-Tax Shares Acquired Through Pay Programs Until Reaching Normal Retirement Age | | Non-Routine | | Shareholder | | 04/11/14 | | AGAINST | | WITH |
E.I. DuPont De Nemours and Company | | DD | | 263534109 | | 04/23/14 | | | 815,400 | | | 1. Election of Directors - 12 Nominees | | Routine | | Management | | 04/07/14 | | FOR | | WITH |
E.I. DuPont De Nemours and Company | | DD | | 263534109 | | 04/23/14 | | | 815,400 | | | 2. Ratification of PricewaterhouseCoopers LLP as Independent Registered Public Accounting Firm | | Routine | | Management | | 04/07/14 | | FOR | | WITH |
E.I. DuPont De Nemours and Company | | DD | | 263534109 | | 04/23/14 | | | 815,400 | | | 3. To Approve, By Advisory Vote, the Company’s Executive Compensation | | Non-Routine | | Management | | 04/07/14 | | FOR | | WITH |
E.I. DuPont De Nemours and Company | | DD | | 263534109 | | 04/23/14 | | | 815,400 | | | 4. Proposal on Political Spending | | Non-Routine | | Shareholder | | 04/07/14 | | AGAINST | | WITH |
E.I. DuPont De Nemours and Company | | DD | | 263534109 | | 04/23/14 | | | 815,400 | | | 5. Proposal on Herbicide Use | | Non-Routine | | Shareholder | | 04/07/14 | | AGAINST | | WITH |
E.I. DuPont De Nemours and Company | | DD | | 263534109 | | 04/23/14 | | | 815,400 | | | 6. Proposal on Plant Closure | | Non-Routine | | Shareholder | | 04/07/14 | | AGAINST | | WITH |
E.I. DuPont De Nemours and Company | | DD | | 263534109 | | 04/23/14 | | | 815,400 | | | 7. Proposal on Acceleration of Equity Awards | | Non-Routine | | Shareholder | | 04/07/14 | | AGAINST | | WITH |
Flextronics International | | FLEX | | Y2573F102 | | 07/29/13 | | | 5,629,900 | | | 1A. Re-Election of Mr. H. Raymond Bingham as a Director | | Routine | | Management | | 07/17/13 | | FOR | | WITH |
Flextronics International | | FLEX | | Y2573F102 | | 07/29/13 | | | 5,629,900 | | | 1B. Re-Election of Dr. Willi C. Shih as a Director | | Routine | | Management | | 07/17/13 | | FOR | | WITH |
Flextronics International | | FLEX | | Y2573F102 | | 07/29/13 | | | 5,629,900 | | | 2. Re-Appointment of Mr. Lawrence A. Zimmerman as a Director | | Routine | | Management | | 07/17/13 | | FOR | | WITH |
Flextronics International | | FLEX | | Y2573F102 | | 07/29/13 | | | 5,629,900 | | | 3. To Approve the Re-Appointment of Deloitte & Touche LLP as Independent Auditors and to Authorize the Board of Directors to Fix Its Remuneration | | Routine | | Management | | 07/17/13 | | FOR | | WITH |
Flextronics International | | FLEX | | Y2573F102 | | 07/29/13 | | | 5,629,900 | | | 4. To Approve a General Authorization for the Directors to Allot and Issue Ordinary Shares | | Non-Routine | | Management | | 07/17/13 | | FOR | | WITH |
Flextronics International | | FLEX | | Y2573F102 | | 07/29/13 | | | 5,629,900 | | | 5. Non-Binding, Advisory Resolution. To Approve the Compensation of Named Executive Officers | | Non-Routine | | Management | | 07/17/13 | | FOR | | WITH |
Flextronics International | | FLEX | | Y2573F102 | | 07/29/13 | | | 5,629,900 | | | 6. To Approve a Resolution Permitting Our Non-Employee Directors to Receive Compensation in Cash or Shares of Flextronics’s Stock, at Each Director’s Discretion | | Non-Routine | | Management | | 07/17/13 | | FOR | | WITH |
Flextronics International | | FLEX | | Y2573F102 | | 07/29/13 | | | 5,629,900 | | | S1. Extraordinary General Meeting Proposal: To Approve the Renewal of the Share Purchase Mandate Relating to Acquisitions By Flextronics of Its Own Issued Ordinary Shares | | Non-Routine | | Management | | 07/17/13 | | FOR | | WITH |
General Electric Company | | GE | | 369604103 | | 04/23/14 | | | 2,070,200 | | | A1-17. Election of Directors - 17 Nominees | | Routine | | Management | | 04/02/14 | | FOR | | WITH |
General Electric Company | | GE | | 369604103 | | 04/23/14 | | | 2,070,200 | | | B1. Advisory Approval of Our Named Executives’ Compensation | | Non-Routine | | Management | | 04/02/14 | | FOR | �� | WITH |
General Electric Company | | GE | | 369604103 | | 04/23/14 | | | 2,070,200 | | | B2. Ratification of KPMG LLP as Independent Auditor | | Routine | | Management | | 04/02/14 | | FOR | | WITH |
General Electric Company | | GE | | 369604103 | | 04/23/14 | | | 2,070,200 | | | C1. Proposal Regarding Cumulative Voting | | Non-Routine | | Shareholder | | 04/02/14 | | AGAINST | | WITH |
General Electric Company | | GE | | 369604103 | | 04/23/14 | | | 2,070,200 | | | C2. Proposal Regarding Senior Executives Hold Option Shares for Life | | Non-Routine | | Shareholder | | 04/02/14 | | AGAINST | | WITH |
General Electric Company | | GE | | 369604103 | | 04/23/14 | | | 2,070,200 | | | C3. Proposal Regarding Multiple Candidate Elections | | Non-Routine | | Shareholder | | 04/02/14 | | AGAINST | | WITH |
General Electric Company | | GE | | 369604103 | | 04/23/14 | | | 2,070,200 | | | C4. Proposal Regarding Right to Act By Written Consent | | Non-Routine | | Shareholder | | 04/02/14 | | AGAINST | | WITH |
General Electric Company | | GE | | 369604103 | | 04/23/14 | | | 2,070,200 | | | C5. Proposal Regarding Cessation of All Stock Options and Bonuses | | Non-Routine | | Shareholder | | 04/02/14 | | AGAINST | | WITH |
General Electric Company | | GE | | 369604103 | | 04/23/14 | | | 2,070,200 | | | C6. Proposal Regarding Sale of the Company | | Non-Routine | | Shareholder | | 04/02/14 | | AGAINST | | WITH |
Google Inc. | | GOOG | | 38259P706 | | 05/14/14 | | | 41,000 | | | 1. Election of Directors - 10 Nominees | | Routine | | Management | | 05/02/14 | | FOR | | WITH |
Google Inc. | | GOOG | | 38259P706 | | 05/14/14 | | | 41,000 | | | 2. Ratification of Ernst & Young LLP as Google’s Independent Registered Public Accounting Firm | | Routine | | Management | | 05/02/14 | | FOR | | WITH |
Google Inc. | | GOOG | | 38259P706 | | 05/14/14 | | | 41,000 | | | 3. Approval of 2013 Compensation Awarded to Named Executive Officers | | Non-Routine | | Management | | 05/02/14 | | FOR | | WITH |
Google Inc. | | GOOG | | 38259P706 | | 05/14/14 | | | 41,000 | | | 4. Proposal Regarding Equal Shareholder Voting | | Non-Routine | | Shareholder | | 05/02/14 | | FOR | | AGAINST |
Google Inc. | | GOOG | | 38259P706 | | 05/14/14 | | | 41,000 | | | 5. Proposal Regarding a Lobbying Report | | Non-Routine | | Shareholder | | 05/02/14 | | AGAINST | | WITH |
Google Inc. | | GOOG | | 38259P706 | | 05/14/14 | | | 41,000 | | | 6. Proposal Regarding the Adoption of a Majority Vote Standard for the Election of Directors | | Non-Routine | | Shareholder | | 05/02/14 | | FOR | | AGAINST |
Google Inc. | | GOOG | | 38259P706 | | 05/14/14 | | | 41,000 | | | 7. Proposal Regarding Tax Policy Principles | | Non-Routine | | Shareholder | | 05/02/14 | | AGAINST | | WITH |
Google Inc. | | GOOG | | 38259P706 | | 05/14/14 | | | 41,000 | | | 8. Proposal Regarding an Independent Chairman of the Board Policy | | Non-Routine | | Shareholder | | 05/02/14 | | AGAINST | | WITH |
Hess Corporation | | HES | | 42809H107 | | 05/07/14 | | | 691,000 | | | 1. Election of Directors - 5 Nominees | | Routine | | Management | | 05/02/14 | | FOR | | WITH |
Hess Corporation | | HES | | 42809H107 | | 05/07/14 | | | 691,000 | | | 2. Advisory Approval of the Compensation of Our Named Executive Officers | | Non-Routine | | Management | | 05/02/14 | | FOR | | WITH |
Hess Corporation | | HES | | 42809H107 | | 05/07/14 | | | 691,000 | | | 3. Ratification of the Selection of Ernst & Young LLP as Independent Auditors | | Routine | | Management | | 05/02/14 | | FOR | | WITH |
Hess Corporation | | HES | | 42809H107 | | 05/07/14 | | | 691,000 | | | 4A. Elimination of 80% Supermajority Voting Requirement in the Company’s Restated Certificate of Incorporation and By-Laws | | Non-Routine | | Management | | 05/02/14 | | FOR | | WITH |
Hess Corporation | | HES | | 42809H107 | | 05/07/14 | | | 691,000 | | | 4B. Elimination of Two-Thirds Supermajority Voting Requirement in the Company’s Restated Certificate of Incorporation | | Non-Routine | | Management | | 05/02/14 | | FOR | | WITH |
Hess Corporation | | HES | | 42809H107 | | 05/07/14 | | | 691,000 | | | 5. Elimination of Provisions in the Company’s Restated Certificate of Incorporation Concerning $3.50 Cumulative Convertible Preferred Stock | | Non-Routine | | Management | | 05/02/14 | | FOR | | WITH |
Hess Corporation | | HES | | 42809H107 | | 05/07/14 | | | 691,000 | | | 6. Proposal Recommending a Report Regarding Carbon Asset Risk | | Non-Routine | | Shareholder | | 05/02/14 | | AGAINST | | WITH |
Hospira Inc. | | HSP | | 441060100 | | 05/07/14 | | | 965,300 | | | 1. Election of Directors - 8 Nominees | | Routine | | Management | | 05/05/14 | | FOR | | WITH |
Hospira Inc. | | HSP | | 441060100 | | 05/07/14 | | | 965,300 | | | 2. Advisory Resolution to Approve Executive Compensation | | Non-Routine | | Management | | 05/05/14 | | FOR | | WITH |
Hospira Inc. | | HSP | | 441060100 | | 05/07/14 | | | 965,300 | | | 3. To Ratify the Appointment of Deloitte & Touche LLP as the Company’s Auditors | | Routine | | Management | | 05/05/14 | | FOR | | WITH |
Hospira Inc. | | HSP | | 441060100 | | 05/07/14 | | | 965,300 | | | 4. To Approve the Amendments to the 2004 Long-Term Stock Incentive Plan | | Non-Routine | | Management | | 05/05/14 | | FOR | | WITH |
Hospira Inc. | | HSP | | 441060100 | | 05/07/14 | | | 965,300 | | | 5. Proposal for Written Consent | | Non-Routine | | Shareholder | | 05/05/14 | | AGAINST | | WITH |
Invesco Ltd | | IVZ | | G491BT108 | | 05/15/14 | | | 1,390,700 | | | 1. Amendment of Amended and Restated Bye-Laws to Declassify Our Board of Directors | | Non-Routine | | Management | | 04/29/14 | | FOR | | WITH |
Invesco Ltd | | IVZ | | G491BT108 | | 05/15/14 | | | 1,390,700 | | | 2.1 Election of Director: Dennis Kessler | | Routine | | Management | | 04/29/14 | | FOR | | WITH |
Invesco Ltd | | IVZ | | G491BT108 | | 05/15/14 | | | 1,390,700 | | | 2.2 Election of Director: G. Richard Wagoner, Jr. | | Routine | | Management | | 04/29/14 | | FOR | | WITH |
Invesco Ltd | | IVZ | | G491BT108 | | 05/15/14 | | | 1,390,700 | | | 3. Advisory Vote to Approve 2013 Executive Compensation | | Non-Routine | | Management | | 04/29/14 | | FOR | | WITH |
Invesco Ltd | | IVZ | | G491BT108 | | 05/15/14 | | | 1,390,700 | | | 4. Appointment of PricewaterhouseCoopers LLP as the Company’s Independent Registered Public Accounting Firm | | Routine | | Management | | 04/29/14 | | FOR | | WITH |
Kohl’s Corporation | | KSS | | 500255104 | | 05/15/14 | | | 749,700 | | | 1. Election of Directors - 10 Nominees | | Routine | | Management | | 05/06/14 | | FOR | | WITH |
Kohl’s Corporation | | KSS | | 500255104 | | 05/15/14 | | | 749,700 | | | 2. Ratify the Appointment of Ernst & Young LLP as Independent Registered Public Accounting Firm | | Routine | | Management | | 05/06/14 | | FOR | | WITH |
Kohl’s Corporation | | KSS | | 500255104 | | 05/15/14 | | | 749,700 | | | 3. Advisory Vote on Approval of Named Executive Officer Compensation | | Non-Routine | | Management | | 05/06/14 | | FOR | | WITH |
Kohl’s Corporation | | KSS | | 500255104 | | 05/15/14 | | | 749,700 | | | 4. Executives to Retain Significant Stock | | Non-Routine | | Shareholder | | 05/06/14 | | AGAINST | | WITH |
Kohl’s Corporation | | KSS | | 500255104 | | 05/15/14 | | | 749,700 | | | 5. Annual Report on the Costs, Benefits and Scientific Support for Sustainability Initiatives | | Non-Routine | | Shareholder | | 05/06/14 | | AGAINST | | WITH |
Lowe’s Companies, Inc. | | LOW | | 548661107 | | 05/30/14 | | | 1,019,600 | | | 1. Election of Directors - 11 Nominees | | Routine | | Management | | 05/15/14 | | FOR | | WITH |
Lowe’s Companies, Inc. | | LOW | | 548661107 | | 05/30/14 | | | 1,019,600 | | | 2. Approval of the Company’s Amended and Restated 2006 Long Term Incentive Plan | | Non-Routine | | Management | | 05/15/14 | | FOR | | WITH |
Lowe’s Companies, Inc. | | LOW | | 548661107 | | 05/30/14 | | | 1,019,600 | | | 3. Advisory Approval of the Company’s Executive Compensation | | Non-Routine | | Management | | 05/15/14 | | FOR | | WITH |
Lowe’s Companies, Inc. | | LOW | | 548661107 | | 05/30/14 | | | 1,019,600 | | | 4. Ratification of the Appointment of Deloitte & Touche LLP as the Independent Registered Public Accounting Firm | | Routine | | Management | | 05/15/14 | | FOR | | WITH |
Lowe’s Companies, Inc. | | LOW | | 548661107 | | 05/30/14 | | | 1,019,600 | | | 5. Proposal Regarding Report on Impact of Sustainability Policy | | Non-Routine | | Shareholder | | 05/15/14 | | AGAINST | | WITH |
Marsh & McLennan Companies Inc. | | MMC | | 571748102 | | 05/15/14 | | | 980,400 | | | 1. Election of Directors - 12 Nominees | | Routine | | Management | | 04/28/14 | | FOR | | WITH |
Marsh & McLennan Companies Inc. | | MMC | | 571748102 | | 05/15/14 | | | 980,400 | | | 2. Advisory (Nonbinding) Vote to Approve Named Executive Officer Compensation | | Non-Routine | | Management | | 04/28/14 | | FOR | | WITH |
Marsh & McLennan Companies Inc. | | MMC | | 571748102 | | 05/15/14 | | | 980,400 | | | 3. Ratification of the Selection of Deloitte & Touche LLP as the Company’s Independent Registered Public Accounting Firm | | Routine | | Management | | 04/28/14 | | FOR | | WITH |
Microsoft Corporation | | MSFT | | 594918104 | | 11/19/13 | | | 1,281,800 | | | 1. Election of Director: Steven A. Ballmer | | Routine | | Management | | 11/01/13 | | FOR | | WITH |
Microsoft Corporation | | MSFT | | 594918104 | | 11/19/13 | | | 1,281,800 | | | 10. Approve Material Terms of the Performance Criteria Under the Executive Officer Incentive Plan | | Non-Routine | | Management | | 11/01/13 | �� | FOR | | WITH |
Microsoft Corporation | | MSFT | | 594918104 | | 11/19/13 | | | 1,281,800 | | | 11. Advisory Vote on Executive Compensation | | Non-Routine | | Management | | 11/01/13 | | FOR | | WITH |
Microsoft Corporation | | MSFT | | 594918104 | | 11/19/13 | | | 1,281,800 | | | 12. Ratification of Deloitte & Touche LLP as Independent Auditor | | Routine | | Management | | 11/01/13 | | FOR | | WITH |
Microsoft Corporation | | MSFT | | 594918104 | | 11/19/13 | | | 1,281,800 | | | 2. Election of Director: Dina Dublon | | Routine | | Management | | 11/01/13 | | FOR | | WITH |
Microsoft Corporation | | MSFT | | 594918104 | | 11/19/13 | | | 1,281,800 | | | 3. Election of Director: William H. Gates III | | Routine | | Management | | 11/01/13 | | FOR | | WITH |
Microsoft Corporation | | MSFT | | 594918104 | | 11/19/13 | | | 1,281,800 | | | 4. Election of Director: Maria M. Klawe | | Routine | | Management | | 11/01/13 | | FOR | | WITH |
Microsoft Corporation | | MSFT | | 594918104 | | 11/19/13 | | | 1,281,800 | | | 5. Election of Director: Stephen J. Luczo | | Routine | | Management | | 11/01/13 | | FOR | | WITH |
Microsoft Corporation | | MSFT | | 594918104 | | 11/19/13 | | | 1,281,800 | | | 6. Election of Director: David F. Marquardt | | Routine | | Management | | 11/01/13 | | FOR | | WITH |
Microsoft Corporation | | MSFT | | 594918104 | | 11/19/13 | | | 1,281,800 | | | 7. Election of Director: Charles H. Noski | | Routine | | Management | | 11/01/13 | | FOR | | WITH |
Microsoft Corporation | | MSFT | | 594918104 | | 11/19/13 | | | 1,281,800 | | | 8. Election of Director: Helmut Panke | | Routine | | Management | | 11/01/13 | | FOR | | WITH |
Microsoft Corporation | | MSFT | | 594918104 | | 11/19/13 | | | 1,281,800 | | | 9. Election of Director: John W. Thompson | | Routine | | Management | | 11/01/13 | | FOR | | WITH |
Novartis AG | | NVS | | 66987V109 | | 02/25/14 | | | 606,600 | | | 1. Approval of the Annual Report, the Financial Statements of Novartis AG and the Group Consolidated Financial Statements for the Business Year 2013 | | Non-Routine | | Management | | 02/18/14 | | FOR | | WITH |
Novartis AG | | NVS | | 66987V109 | | 02/25/14 | | | 606,600 | | | 2. Discharge from Liability of the Members of the Board of Directors and the Executive Committee | | Non-Routine | | Management | | 02/18/14 | | AGAINST | | AGAINST |
Novartis AG | | NVS | | 66987V109 | | 02/25/14 | | | 606,600 | | | 3. Appropriation of Available Earnings of Novartis AG and Declaration of Dividend | | Non-Routine | | Management | | 02/18/14 | | FOR | | WITH |
Novartis AG | | NVS | | 66987V109 | | 02/25/14 | | | 606,600 | | | 4.a Advisory Vote on Total Compensation for Members of the Board of Directors from the Annual General Meeting 2014 to the Annual General Meeting 2015 | | Non-Routine | | Management | | 02/18/14 | | AGAINST | | AGAINST |
Novartis AG | | NVS | | 66987V109 | | 02/25/14 | | | 606,600 | | | 4.b Advisory Vote on Total Compensation for Members of the Executive Committee for the Performance Cycle Ended in 2013 | | Non-Routine | | Management | | 02/18/14 | | FOR | | WITH |
Novartis AG | | NVS | | 66987V109 | | 02/25/14 | | | 606,600 | | | 5.a Re-election of Joerg Reinhardt, Ph.D., and election as Chairman of Directors (in a single vote) | | Routine | | Management | | 02/18/14 | | FOR | | WITH |
Novartis AG | | NVS | | 66987V109 | | 02/25/14 | | | 606,600 | | | 5.b Re-election of Dimitri Azar, M.D., MBA | | Routine | | Management | | 02/18/14 | | FOR | | WITH |
Novartis AG | | NVS | | 66987V109 | | 02/25/14 | | | 606,600 | | | 5.c Re-election of Verena A. Briner, M.D. | | Routine | | Management | | 02/18/14 | | FOR | | WITH |
Novartis AG | | NVS | | 66987V109 | | 02/25/14 | | | 606,600 | | | 5.d Re-election of Srikant Datar, Ph.D. | | Routine | | Management | | 02/18/14 | | FOR | | WITH |
Novartis AG | | NVS | | 66987V109 | | 02/25/14 | | | 606,600 | | | 5.e. Re-election of Ann Fudge | | Routine | | Management | | 02/18/14 | | FOR | | WITH |
Novartis AG | | NVS | | 66987V109 | | 02/25/14 | | | 606,600 | | | 5.f Re-election of Pierre Landolt, Ph.D. | | Routine | | Management | | 02/18/14 | | FOR | | WITH |
Novartis AG | | NVS | | 66987V109 | | 02/25/14 | | | 606,600 | | | 5.g Re-election of Ulrich Lehner, Ph.D. | | Routine | | Management | | 02/18/14 | | FOR | | WITH |
Novartis AG | | NVS | | 66987V109 | | 02/25/14 | | | 606,600 | | | 5.h Re-election of Andreas von Planta, Ph.D. | | Routine | | Management | | 02/18/14 | | FOR | | WITH |
Novartis AG | | NVS | | 66987V109 | | 02/25/14 | | | 606,600 | | | 5.i Re-election of Charles L. Sawyers, M.D. | | Routine | | Management | | 02/18/14 | | FOR | | WITH |
Novartis AG | | NVS | | 66987V109 | | 02/25/14 | | | 606,600 | | | 5.j Re-election of Enrico Vanni, Ph.D. | | Routine | | Management | | 02/18/14 | | FOR | | WITH |
Novartis AG | | NVS | | 66987V109 | | 02/25/14 | | | 606,600 | | | 5.k Re-election of William T. Winters | | Routine | | Management | | 02/18/14 | | FOR | | WITH |
Novartis AG | | NVS | | 66987V109 | | 02/25/14 | | | 606,600 | | | 6.a Election of Srikant Datar, Ph.D., as Member of the Compensation Committee | | Non-Routine | | Management | | 02/18/14 | | AGAINST | | AGAINST |
Novartis AG | | NVS | | 66987V109 | | 02/25/14 | | | 606,600 | | | 6.b Election of Ann Fudge, as a Member of the Compensation Committee | | Non-Routine | | Management | | 02/18/14 | | FOR | | WITH |
Novartis AG | | NVS | | 66987V109 | | 02/25/14 | | | 606,600 | | | 6.c Election of Ulrich Lehner, Ph.D., as a Member of the Compensation Committee | | Non-Routine | | Management | | 02/18/14 | | AGAINST | | AGAINST |
Novartis AG | | NVS | | 66987V109 | | 02/25/14 | | | 606,600 | | | 6.d Election of Enrico Vanni, Ph.D., as a Member of the Compensation Committee | | Non-Routine | | Management | | 02/18/14 | | AGAINST | | AGAINST |
Novartis AG | | NVS | | 66987V109 | | 02/25/14 | | | 606,600 | | | 7. Re-election of PricewaterhouseCoopers AG as Auditors for One Year | | Routine | | Management | | 02/18/14 | | FOR | | WITH |
Novartis AG | | NVS | | 66987V109 | | 02/25/14 | | | 606,600 | | | 8. Election of the Independent Proxy | | Non-Routine | | Management | | 02/18/14 | | FOR | | WITH |
Novartis AG | | NVS | | 66987V109 | | 02/25/14 | | | 606,600 | | | 9. Additional and/or Counter-proposals Presented at the Meeting | | Non-Routine | | Management | | 02/18/14 | | AGAINST | | AGAINST |
Owens-Illinois, Inc. | | OI | | 690768403 | | 05/15/14 | | | 1,154,400 | | | 1. Election of Directors - 10 Nominees | | Routine | | Management | | 04/30/14 | | FOR | | WITH |
Owens-Illinois, Inc. | | OI | | 690768403 | | 05/15/14 | | | 1,154,400 | | | 2. To Ratify the Selection of Ernst & Young LLP as the Company’s Independent Registered Public Accounting Firm | | Routine | | Management | | 04/30/14 | | FOR | | WITH |
Owens-Illinois, Inc. | | OI | | 690768403 | | 05/15/14 | | | 1,154,400 | | | 3. To Approve, by Advisory Vote, the Company’s Named Executive Officer Compensation | | Non-Routine | | Management | | 04/30/14 | | FOR | | WITH |
Owens-Illinois, Inc. | | OI | | 690768403 | | 05/15/14 | | | 1,154,400 | | | 4. To Approve the Second Amendment and Restatement of the Company’s 2005 Incentive Award Plan, that Among Other Things, Increases the Number of Shares Available Under the Plan by 6,000,000, Extends the Term of the Plan Until March 2024 and Continues to Allow Grants Under the Plan to Qualify as Performance Based for Purposes of Section 162(M) of the Internal Revenue Code | | Non-Routine | | Management | | 04/30/14 | | FOR | | WITH |
Procter and Gamble Company | | PG | | 742718109 | | 10/08/13 | | | 473,000 | | | 1. Election of Directors - 11 Nominees | | Routine | | Management | | 09/19/13 | | FOR | | WITH |
Procter and Gamble Company | | PG | | 742718109 | | 10/08/13 | | | 473,000 | | | 2. Ratify the Appointment of Deloitte & Touche as Independent Registered Public Accounting Firm | | Routine | | Management | | 09/19/13 | | FOR | | WITH |
Procter and Gamble Company | | PG | | 742718109 | | 10/08/13 | | | 473,000 | | | 3. Amend the Company’s Code of Regulations to Reduce Certain Supermajority Voting Requirements | | Non-Routine | | Management | | 09/19/13 | | FOR | | WITH |
Procter and Gamble Company | | PG | | 742718109 | | 10/08/13 | | | 473,000 | | | 4. Approve the 2013 Non-Employee Directors’ Stock Plan | | Non-Routine | | Management | | 09/19/13 | | FOR | | WITH |
Procter and Gamble Company | | PG | | 742718109 | | 10/08/13 | | | 473,000 | | | 5. Advisory Vote on Executive Compensation (the Say On Pay Vote) | | Non-Routine | | Management | | 09/19/13 | | FOR | | WITH |
Qualcomm Inc | | QCOM | | 747525103 | | 03/04/14 | | | 846,500 | | | 1. Election of Directors - 14 Nominees | | Routine | | Management | | 02/19/14 | | FOR | | WITH |
Qualcomm Inc | | QCOM | | 747525103 | | 03/04/14 | | | 846,500 | | | 2. Ratify the Selection of PricewaterhouseCoopers LLP as Independent Public Accountants | | Routine | | Management | | 02/19/14 | | FOR | | WITH |
Qualcomm Inc | | QCOM | | 747525103 | | 03/04/14 | | | 846,500 | | | 3. Advisory Vote to Approve Our Executive Compensation | | Non-Routine | | Management | | 02/19/14 | | FOR | | WITH |
Qualcomm Inc | | QCOM | | 747525103 | | 03/04/14 | | | 846,500 | | | 4. Advisory Vote on the Frequency of Future Advisory Votes on Executive Compensation | | Non-Routine | | Management | | 02/19/14 | | 1 Year | | WITH |
Sanofi ADR | | SNY | | 80105N105 | | 05/05/14 | | | 1,173,300 | | | 1. Approval of the Individual Company Financial Statements for the Year Ended 12/31/13 | | Non-Routine | | Management | | 04/14/14 | | FOR | | WITH |
Sanofi ADR | | SNY | | 80105N105 | | 05/05/14 | | | 1,173,300 | | | 10. Advisory Vote on the Elements of Compensation Due or Granted to Christopher Viehbacher, Chief Executive Officer | | Non-Routine | | Management | | 04/14/14 | | FOR | | WITH |
Sanofi ADR | | SNY | | 80105N105 | | 05/05/14 | | | 1,173,300 | | | 11. Authorization to the Board of Directors to Carry Out Transactions in Shares Issued by the Company | | Non-Routine | | Management | | 04/14/14 | | FOR | | WITH |
Sanofi ADR | | SNY | | 80105N105 | | 05/05/14 | | | 1,173,300 | | | 12. Powers for Formalities | | Non-Routine | | Management | | 04/14/14 | | FOR | | WITH |
Sanofi ADR | | SNY | | 80105N105 | | 05/05/14 | | | 1,173,300 | | | 2. Approval of the Consolidated Company Financial Statements for the Year Ended 12/31/13 | | Non-Routine | | Management | | 04/14/14 | | FOR | | WITH |
Sanofi ADR | | SNY | | 80105N105 | | 05/05/14 | | | 1,173,300 | | | 3. Appropriation of Profits: Declaration of Dividend | | Non-Routine | | Management | | 04/14/14 | | FOR | | WITH |
Sanofi ADR | | SNY | | 80105N105 | | 05/05/14 | | | 1,173,300 | | | 4. Approval of the Agreements and Undertakings Referred to in Articles L. 225-38 Et Seq. of the French Commercial Code | | Non-Routine | | Management | | 04/14/14 | | FOR | | WITH |
Sanofi ADR | | SNY | | 80105N105 | | 05/05/14 | | | 1,173,300 | | | 5. Renewal of a Director (Christopher Viehbacher) | | Routine | | Management | | 04/14/14 | | FOR | | WITH |
Sanofi ADR | | SNY | | 80105N105 | | 05/05/14 | | | 1,173,300 | | | 6. Renewal of a Director (Robert Castaigne) | | Routine | | Management | | 04/14/14 | | FOR | | WITH |
Sanofi ADR | | SNY | | 80105N105 | | 05/05/14 | | | 1,173,300 | | | 7. Renewal of a Director (Christian Mulliez) | | Routine | | Management | | 04/14/14 | | FOR | | WITH |
Sanofi ADR | | SNY | | 80105N105 | | 05/05/14 | | | 1,173,300 | | | 8. Appointment of a Director (Patrick Kron) | | Routine | | Management | | 04/14/14 | | FOR | | WITH |
Sanofi ADR | | SNY | | 80105N105 | | 05/05/14 | | | 1,173,300 | | | 9. Advisory Vote on the Elements of Compensation Due or Granted to Mr. Serge Weinberg, Chairman of the Board of Directors | | Non-Routine | | Management | | 04/14/14 | | FOR | | WITH |
Schlumberger Ltd | | SLB | | 806857108 | | 04/09/14 | | | 535,500 | | | 1. Election of Directors - 11 Nominees | | Routine | | Management | | 03/18/14 | | FOR | | WITH |
Schlumberger Ltd | | SLB | | 806857108 | | 04/09/14 | | | 535,500 | | | 2. To Approve, on an Advisory Basis, the Company’s Executive Compensation | | Non-Routine | | Management | | 03/18/14 | | FOR | | WITH |
Schlumberger Ltd | | SLB | | 806857108 | | 04/09/14 | | | 535,500 | | | 3. To Approve the Company’s 2013 Financial Statements and Declarations of Dividends | | Non-Routine | | Management | | 03/18/14 | | FOR | | WITH |
Schlumberger Ltd | | SLB | | 806857108 | | 04/09/14 | | | 535,500 | | | 4. To Approve the Appointment of PricewaterhouseCoopers LLP as Independent Registered Public Accounting Firm | | Routine | | Management | | 03/18/14 | | FOR | | WITH |
Southwest Airlines Company | | LUV | | 844741108 | | 05/14/14 | | | 1,857,700 | | | 1. Election of Directors - 10 Nominees | | Routine | | Management | | 05/06/14 | | FOR | | WITH |
Southwest Airlines Company | | LUV | | 844741108 | | 05/14/14 | | | 1,857,700 | | | 2. Advisory Vote to Approve Named Executive Officer Compensation | | Non-Routine | | Management | | 05/06/14 | | FOR | | WITH |
Southwest Airlines Company | | LUV | | 844741108 | | 05/14/14 | | | 1,857,700 | | | 3. Ratification of the Selection of Ernst & Young LLP as the Company’s Independent Auditors | | Routine | | Management | | 05/06/14 | | FOR | | WITH |
Teradata Corporation | | TDC | | 88076W103 | | 04/29/14 | | | 1,137,700 | | | 1. Election of Directors - 3 Nominees | | Routine | | Management | | 04/08/14 | | FOR | | WITH |
Teradata Corporation | | TDC | | 88076W103 | | 04/29/14 | | | 1,137,700 | | | 2. An Advisory (Non-Binding) Vote to Approve Executive Compensation | | Non-Routine | | Management | | 04/08/14 | | FOR | | WITH |
Teradata Corporation | | TDC | | 88076W103 | | 04/29/14 | | | 1,137,700 | | | 3. Approval of an Amendment of the Company’s Certificate of Incorporation to Provide for the Declassification of Our Board of Directors | | Non-Routine | | Management | | 04/08/14 | | FOR | | WITH |
Teradata Corporation | | TDC | | 88076W103 | | 04/29/14 | | | 1,137,700 | | | 4. To Ratify the Appointment of PricewaterhouseCoopers LLP as Independent Registered Public Accounting Firm | | Routine | | Management | | 04/08/14 | | FOR | | WITH |
Texas Instruments Inc. | | TXN | | 882508104 | | 04/17/14 | | | 1,213,300 | | | 1. Election of Directors - 11 Nominees | | Routine | | Management | | 03/19/14 | | FOR | | WITH |
Texas Instruments Inc. | | TXN | | 882508104 | | 04/17/14 | | | 1,213,300 | | | 2. Advisory Approval of the Company’s Executive Compensation | | Non-Routine | | Management | | 03/19/14 | | FOR | | WITH |
Texas Instruments Inc. | | TXN | | 882508104 | | 04/17/14 | | | 1,213,300 | | | 3. To Ratify the Appointment of Ernst & Young LLP as the Company’s Independent Registered Public Accounting Firm | | Routine | | Management | | 03/19/14 | | FOR | | WITH |
Texas Instruments Inc. | | TXN | | 882508104 | | 04/17/14 | | | 1,213,300 | | | 4. To Approve the Texas Instruments Employees 2014 Stock Purchase Plan | | Non-Routine | | Management | | 03/19/14 | | FOR | | WITH |
Texas Instruments Inc. | | TXN | | 882508104 | | 04/17/14 | | | 1,213,300 | | | 5. To Re-Approve the Material Terms of the Performance Goals Under the Texas Instruments 2009 Long-Term Incentive Plan | | Non-Routine | | Management | | 03/19/14 | | FOR | | WITH |
Thermo Fisher Scientific Inc. | | TMO | | 883556102 | | 05/20/14 | | | 420,400 | | | 1. Election of Directors - 11 Nominees | | Routine | | Management | | 05/08/14 | | FOR | | WITH |
Thermo Fisher Scientific Inc. | | TMO | | 883556102 | | 05/20/14 | | | 420,400 | | | 2. An Advisory Vote to Approve Named Executive Officer Compensation | | Non-Routine | | Management | | 05/08/14 | | FOR | | WITH |
Thermo Fisher Scientific Inc. | | TMO | | 883556102 | | 05/20/14 | | | 420,400 | | | 3. Ratification of PricewaterhouseCoopers LLP as Independent Auditors | | Routine | | Management | | 05/08/14 | | FOR | | WITH |
Time Warner Inc. | | TWX | | 887317303 | | 06/13/14 | | | 603,900 | | | 1. Election of Directors - 12 Nominees | | Routine | | Management | | 06/04/14 | | FOR | | WITH |
Time Warner Inc. | | TWX | | 887317303 | | 06/13/14 | | | 603,900 | | | 2. Ratification of Ernst & Young LLP as Appointment of Independent Auditor | | Routine | | Management | | 06/04/14 | | FOR | | WITH |
Time Warner Inc. | | TWX | | 887317303 | | 06/13/14 | | | 603,900 | | | 3. Advisory Vote to Approve Named Executive Compensation | | Non-Routine | | Management | | 06/04/14 | | FOR | | WITH |
Time Warner Inc. | | TWX | | 887317303 | | 06/13/14 | | | 603,900 | | | 4. Proposal on Independent Chairman of the Board | | Non-Routine | | Shareholder | | 06/04/14 | | AGAINST | | WITH |
UnitedHealth Group Inc. | | UNH | | 91324P102 | | 06/02/14 | | | 573,800 | | | 1. Election of Directors - 11 Nominees | | Routine | | Management | | 05/20/14 | | FOR | | WITH |
UnitedHealth Group Inc. | | UNH | | 91324P102 | | 06/02/14 | | | 573,800 | | | 2. Advisory Approval of the Company’s Executive Compensation | | Non-Routine | | Management | | 05/20/14 | | FOR | | WITH |
UnitedHealth Group Inc. | | UNH | | 91324P102 | | 06/02/14 | | | 573,800 | | | 3. Ratification of the Appointment of Deloitte & Touche LLP as the Independent Registered Public Accounting Firm | | Routine | | Management | | 05/20/14 | | FOR | | WITH |
UnitedHealth Group Inc. | | UNH | | 91324P102 | | 06/02/14 | | | 573,800 | | | 4. Proposal Requesting Cumulative Voting | | Non-Routine | | Shareholder | | 05/20/14 | | AGAINST | | WITH |
UnitedHealth Group Inc. | | UNH | | 91324P102 | | 06/02/14 | | | 573,800 | | | 5. Proposal Requesting Additional Lobbying Disclosure | | Non-Routine | | Shareholder | | 05/20/14 | | AGAINST | | WITH |
Verizon Communications Inc. | | VZ | | 92343V104 | | 05/01/14 | | | 327,581 | | | 1. Election of Directors - 11 Nominees | | Routine | | Management | | 04/10/14 | | FOR | | WITH |
Verizon Communications Inc. | | VZ | | 92343V104 | | 05/01/14 | | | 327,581 | | | 10. Proxy Voting Authority | | Non-Routine | | Shareholder | | 04/10/14 | | AGAINST | | WITH |
Verizon Communications Inc. | | VZ | | 92343V104 | | 05/01/14 | | | 327,581 | | | 2. Ratification of Appointment of Ernst & Young LLP as Independent Registered Public Accounting Firm | | Routine | | Management | | 04/10/14 | | FOR | | WITH |
Verizon Communications Inc. | | VZ | | 92343V104 | | 05/01/14 | | | 327,581 | | | 3. Advisory Vote to Approve Executive Compensation | | Non-Routine | | Management | | 04/10/14 | | FOR | | WITH |
Verizon Communications Inc. | | VZ | | 92343V104 | | 05/01/14 | | | 327,581 | | | 4. Proposal to Implement Proxy Access | | Non-Routine | | Management | | 04/10/14 | | FOR | | WITH |
Verizon Communications Inc. | | VZ | | 92343V104 | | 05/01/14 | | | 327,581 | | | 5. Network Neutrality | | Non-Routine | | Shareholder | | 04/10/14 | | AGAINST | | WITH |
Verizon Communications Inc. | | VZ | | 92343V104 | | 05/01/14 | | | 327,581 | | | 6. Lobbying Activities | | Non-Routine | | Shareholder | | 04/10/14 | | AGAINST | | WITH |
Verizon Communications Inc. | | VZ | | 92343V104 | | 05/01/14 | | | 327,581 | | | 7. Severance Approval Policy | | Non-Routine | | Shareholder | | 04/10/14 | | AGAINST | | WITH |
Verizon Communications Inc. | | VZ | | 92343V104 | | 05/01/14 | | | 327,581 | | | 8. Shareholder Right to Call a Special Meeting | | Non-Routine | | Shareholder | | 04/10/14 | | FOR | | AGAINST |
Verizon Communications Inc. | | VZ | | 92343V104 | | 05/01/14 | | | 327,581 | | | 9. Shareholder Right to Act By Written Consent | | Non-Routine | | Shareholder | | 04/10/14 | | FOR | | AGAINST |
Vodafone Group PLC | | VOD | | 92857W209 | | 01/28/14 | | | 1,362,000 | | | C1. For the Court Meeting Scheme | | Non-Routine | | Management | | 01/14/14 | | FOR | | WITH |
Vodafone Group PLC | | VOD | | 92857W209 | | 01/28/14 | | | 1,362,000 | | | G1. To Approve the Verizon Wireless Transaction and the Vodafone Italy Transaction | | Non-Routine | | Management | | 01/14/14 | | FOR | | WITH |
Vodafone Group PLC | | VOD | | 92857W209 | | 01/28/14 | | | 1,362,000 | | | G2. To Approve the New Articles of Association, the Capital Reductions, the Return of Value and the Share Consolidation and Certain Related Matters Pursuant to the Scheme | | Non-Routine | | Management | | 01/14/14 | | FOR | | WITH |
Vodafone Group PLC | | VOD | | 92857W209 | | 01/28/14 | | | 1,362,000 | | | G3. To Authorise the Company to Purchase Its Own Shares | | Non-Routine | | Management | | 01/14/14 | | FOR | | WITH |
Vodafone Group PLC | | VOD | | 92857W209 | | 01/28/14 | | | 1,362,000 | | | G4. To Authorise the Directors to Take All Necessary and Appropriate Actions in Relation to
Resolutions 1-3 | | Non-Routine | | Management | | 01/14/14 | | FOR | | WITH |
Weatherford International | | WFT | | H27013103 | | 06/16/14 | | | 3,218,200 | | | 1. Adopt the Merger Agreement (Weatherford Switzerland into Weatherford Ireland) | | Non-Routine | | Management | | 06/05/14 | | FOR | | WITH |
Weatherford International | | WFT | | H27013103 | | 06/16/14 | | | 3,218,200 | | | 2. Approve the Distributable Profits Proposal | | Non-Routine | | Management | | 06/05/14 | | FOR | | WITH |
Weatherford International | | WFT | | H27013103 | | 06/16/14 | | | 3,218,200 | | | 3. If Alternative Motions Under the Agenda Items Published in the Notice of Extraordinary General Meeting and/or Motions Relating to Additional Agenda Items are Proposed at the Extraordinary General Meeting | | Non-Routine | | Management | | 06/05/14 | | AGAINST | | NONE |
WellPoint Inc. | | WLP | | 94973V107 | | 05/14/14 | | | 487,400 | | | 1. Election of Directors - 4 Nominees | | Routine | | Management | | 04/25/14 | | FOR | | WITH |
WellPoint Inc. | | WLP | | 94973V107 | | 05/14/14 | | | 487,400 | | | 2. Ratify the Appointment of Ernst & Young LLP as the Independent Registered Public Accounting Firm | | Routine | | Management | | 04/25/14 | | FOR | | WITH |
WellPoint Inc. | | WLP | | 94973V107 | | 05/14/14 | | | 487,400 | | | 3. Advisory Vote to Approve the Compensation of the Company’s Named Executive Officers | | Non-Routine | | Management | | 04/25/14 | | FOR | | WITH |
WellPoint Inc. | | WLP | | 94973V107 | | 05/14/14 | | | 487,400 | | | 4. Proposal to Request the Board of Directors to Amend the By-Laws of WellPoint, Inc. to Prohibit Political Contributions | | Non-Routine | | Shareholder | | 04/25/14 | | AGAINST | | WITH |
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.
