| UNITED STATES | OMB APPROVAL |
| SECURITIES AND EXCHANGE COMMISSION | OMB Number: 3235-0582 |
| Expires: March 31, 2006 | |
| Estimated average burden hours per response......14.4 |
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811-4256
State Street Research Exchange Trust | |||
(Exact name of registrant as specified in charter) | |||
|
|
| |
One Financial Center, Boston, MA | 02111-2690 | ||
(address of principal executive offices) | (zip code) | ||
| |||
Richard S. Davis, President and Chief Executive Officer | |||
| |||
State Street Research & Management Company | |||
|
|
| |
One Financial Center, Boston MA 02111-2690 | |||
(name and address of agent for service) | |||
Registrant’s telephone number, including area code: | 617-357-1200 |
| ||
| ||||
Date of fiscal year end: | 12/31 |
| ||
| ||||
Date of reporting period: | 7/1/03 - 6/30/04 |
| ||
Item 1. Proxy Voting Record.
Vote Summary Report
Jul 01, 2003 - Jun 30, 2004
State Street Research Exchange Fund
Mtg |
| Company/ |
| Security |
| Mgmt |
| Vote |
| Record |
| Prpnent |
| Shares |
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |
03/02/04 - A |
| Agilent Technologies Inc. *A* |
| 00846U101 |
|
|
|
|
| 01/05/04 |
|
|
| 29,749 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
04/29/04 - A |
| Altria Group, Inc. *MO* |
| 02209S103 |
|
|
|
|
| 03/08/04 |
|
|
| 160,300 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Report on Product Warnings for Pregnant Women |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 4 | Report on Health Risks Associated with Cigarette Filters |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 5 | Political Contributions/Activities |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 6 | Cease Use of Light and Ultra Light in Cigarette Marketing |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 7 | Place Canadian Style Warnings on Cigarette Packaging |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 8 | Separate Chairman and CEO Positions |
|
|
| Against |
| For |
|
|
| ShrHoldr |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
04/26/04 - A |
| American Express Co. *AXP* |
| 025816109 |
|
|
|
|
| 02/27/04 |
|
|
| 339,531 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Establish Term Limits for Directors |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 4 | Report on Political Contributions/Activities |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
04/28/04 - A |
| Anheuser-Busch Companies, Inc. *BUD* |
| 035229103 |
|
|
|
|
| 03/01/04 |
|
|
| 225,200 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
10/16/03 - A |
| Applera Corp *ABI* |
| 038020103 |
|
|
|
|
| 08/27/03 |
|
|
| 126,880 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| Split |
|
|
| Mgmt |
|
|
|
|
| 1.1 | Elect Director Richard H. Ayers |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.2 | Elect Director Jean-Luc Belingard |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.3 | Elect Director Robert H. Hayes |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.4 | Elect Director Arnold J. Levine |
|
|
| Withhold |
|
|
|
|
|
|
|
|
|
|
| 1.5 | Elect Director William H. Longfield |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.6 | Elect Director Theodore E. Martin |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.7 | Elect Director Carolyn W. Slayman |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.8 | Elect Director Orin R. Smith |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.9 | Elect Director James R. Tobin |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.10 | Elect Director Tony L. White |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
Mgmt Rec - Company Management Recommended Vote
1
Mtg |
| Company/ |
| Security |
| Mgmt |
| Vote |
| Record |
| Prpnent |
| Shares |
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |
04/29/04 - A |
| Astrazeneca Plc (Formerly Zeneca Plc) |
| 046353108 |
|
|
|
|
| 03/08/04 |
|
|
| 76,000 |
| |
|
|
| Meeting for Holders of ADRs |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 1 | TO RECEIVE THE DIRECTORS REPORT AND ACCOUNTS FOR THE YEAR ENDED DECEMBER 31, 2003 |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | TO CONFIRM DIVIDENDS |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 4 | TO AUTHORIZE THE DIRECTORS TO AGREE THE REMUNERATION OF THE AUDITOR |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 5 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 6 | TO APPROVE THE DIRECTORS REMUNERATION REPORT FOR THE YEAR ENDED DECEMBER 31, 2003 |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 7 | TO ADOPT NEW ARTICLES OF ASSOCIATION |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 8 | TO AUTHORIZE LIMITED EU POLITICAL DONATIONS |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 9 | TO AUTHORIZE THE DIRECTORS TO ALLOT UNISSUED SHARES |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 10 | TO AUTHORIZE THE DIRECTORS TO DISAPPLY PRE-EMPTION RIGHTS |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 11 | TO AUTHORIZE THE COMPANY TO PURCHASE ITS OWN SHARES |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 12 | TO AUTHORIZE INCREASE OF CAP ON NON-EXECUTIVE DIRECTORS REMUNERATION |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
05/01/04 - A |
| Berkshire Hathaway Inc. *BRK.A* |
| 084670207 |
|
|
|
|
| 03/03/04 |
|
|
| 3,687 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| Split |
|
|
| Mgmt |
|
|
|
|
| 1.1 | Elect Director Warren E. Buffett |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.2 | Elect Director Charles T. Munger |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.3 | Elect Director Susan T. Buffett |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.4 | Elect Director Howard G. Buffett |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.5 | Elect Director Malcolm G. Chace |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.6 | Elect Director David S. Gottesman |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.7 | Elect Director Charlotte Guyman |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.8 | Elect Director Donald R. Keough |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.9 | Elect Director Thomas S. Murphy |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.10 | Elect Director Ronald L. Olson |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.11 | Elect Director Walter Scott, Jr. |
|
|
| Withhold |
|
|
|
|
|
|
|
|
|
|
| 2 | Report on Political Contributions/Activities |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
2
Mtg |
| Company/ |
| Security |
| Mgmt |
| Vote |
| Record |
| Prpnent |
| Shares |
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
04/15/04 - A |
| BP PLC (Form. Bp Amoco Plc) |
| 055622104 |
|
|
|
|
| 02/23/04 |
|
|
| 179,496 |
| |
|
|
| Meeting for Holders of ADRs |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | TO ELECT MR A BURGMANS AS A DIRECTOR |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 4 | TO AMEND THE ARTICLES OF ASSOCIATION OF THE COMPANY |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 5 | TO GIVE AUTHORITY TO ALLOT SHARES UP TO A SPECIFIED AMOUNT |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 6 | SPECIAL RESOLUTION: TO GIVE AUTHORITY TO ALLOT A LIMITED NUMBER OF SHARES FOR CASH WITHOUT MAKING AN OFFER TO SHAREHOLDERS |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 7 | SPECIAL RESOLUTION: TO GIVE LIMITED AUTHORITY FOR THE PURCHASE OF ITS OWN SHARES BY THE COMPANY |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 8 | TO AUTHORISE THE USE OF TREASURY SHARES FOR EMPLOYEE SHARE SCHEMES |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 9 | TO APPROVE THE DIRECTORS REMUNERATION REPORT |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 10 | TO DETERMINE THE LIMIT FOR THE AGGREGATE REMUNERATION OF THE NON-EXECUTIVE DIRECTORS |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 11 | TO RECEIVE THE DIRECTORS ANNUAL REPORT AND THE ACCOUNTS |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 12 | SPECIAL SHAREHOLDER RESOLUTION: TO INSTRUCT THE COMPANY TO PREPARE A REPORT MAKING CERTAIN DISCLOSURES ON MATTERS OF CONTROL AND RISK IN PROTECTED AND SENSITIVE AREAS |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
04/14/04 - A |
| Caterpillar Inc. *CAT* |
| 149123101 |
|
|
|
|
| 02/17/04 |
|
|
| 116,800 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Amend Omnibus Stock Plan |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 4 | Submit Shareholder Rights Plan (Poison Pill) to Shareholder Vote |
|
|
| Against |
| For |
|
|
| ShrHoldr |
|
|
|
|
| 5 | Report on Equipment Sales to Israel |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 6 | Report on Operational Imact of HIV/AIDS, TB, and Malaria Pandemic |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
3
Mtg |
| Company/ |
| Security |
| Mgmt |
| Vote |
| Record |
| Prpnent |
| Shares |
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
05/26/04 - A |
| Exxon Mobil Corp. *XOM* |
| 30231G102 |
|
|
|
|
| 04/05/04 |
|
|
| 390,065 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Approve Non-Employee Director Restricted Stock Plan |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 4 | Affirm Political Nonpartisanship |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 5 | Report on Political Contributions/Activities |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 6 | Report on Equatorial Guinea |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 7 | Separate Chairman and CEO Positions |
|
|
| Against |
| For |
|
|
| ShrHoldr |
|
|
|
|
| 8 | Prohibit Awards to Executives |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 9 | Report on Stock Option Distribution by Race and Gender |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 10 | Amend EEO Statement to Include Reference to Sexual Orientation |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 11 | Report on Climate Change Research |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
05/25/04 - A |
| Fannie Mae *FNM* |
| 313586109 |
|
|
|
|
| 04/06/04 |
|
|
| 110,400 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Amend Employee Stock Purchase Plan |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 4 | Provide for Cumulative Voting |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
10/28/03 - S |
| First Data Corp. *FDC* |
| 319963104 |
|
|
|
|
| 09/08/03 |
|
|
| 266,480 |
| |
|
| 1 | Approve Merger Agreement |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
05/19/04 - A |
| First Data Corp. *FDC* |
| 319963104 |
|
|
|
|
| 03/22/04 |
|
|
| 266,480 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
04/28/04 - A |
| General Electric Co. *GE* |
| 369604103 |
|
|
|
|
| 03/01/04 |
|
|
| 344,970 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Amend Omnibus Stock Plan |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 4 | Provide for Cumulative Voting |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 5 | Eliminate Animal Testing |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 6 | Report on Nuclear Fuel Storage Risks |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 7 | Report on PCB Clean-up |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 8 | Report on Foreign Outsourcing |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 9 | Prepare Sustainability Report |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 10 | Limit Composition of Management Development and Compensation Committee to Independent Directors |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 11 | Report on Pay Disparity |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 12 | Limit Awards to Executives |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 13 | Limit Board Service for Other Companies |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 14 | Separate Chairman and CEO Positions |
|
|
| Against |
| For |
|
|
| ShrHoldr |
|
|
|
|
| 15 | Hire Advisor/Maximize Shareholder Value |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 16 | Adopt a Retention Ratio for Executives and Directors |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 17 | Require 70% to 80% Independent Board |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 18 | Report on Political Contributions/Activities |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
4
Mtg |
| Company/ |
| Security |
| Mgmt |
| Vote |
| Record |
| Prpnent |
| Shares |
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
09/22/03 - A |
| General Mills, Inc. *GIS* |
| 370334104 |
|
|
|
|
| 07/24/03 |
|
|
| 138,400 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Approve Omnibus Stock Plan |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
06/03/03 - A |
| General Motors Corp. *GM* |
| 370442105 |
|
|
|
|
| 04/04/03 |
|
|
| 112,800 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
|
| Shareholder Proposals |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 3 | Prohibit the Independent Accountant’s Spin-Off from Providing Consulting Services |
|
|
| Against |
| For |
|
|
| ShrHoldr |
|
|
|
|
| 4 | Report on Greenhouse Gas Emissions and Future Reductions |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 5 | Amend the Bylaws to Require that the Chairman be Independent |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 6 | Submit Shareholder Rights Plan (Poison Pill) to Shareholder Vote |
|
|
| Against |
| For |
|
|
| ShrHoldr |
|
|
|
|
| 7 | Restore or Provide for Cumulative Voting |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 8 | Limit Composition of Committee(s) to Independent Directors |
|
|
| Against |
| For |
|
|
| ShrHoldr |
|
|
|
|
| 9 | Performance- Based/Indexed Options |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 10 | Prohibit Auditor from Providing Non-Audit Services |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
10/03/03 - WC |
| General Motors Corp. *GM* |
| 370442105 |
|
|
|
|
| 08/01/03 |
|
|
| 112,800 |
| |
|
| 1 | Amend Articles |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Amend Articles |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Approve Hughes Split-Off |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 4 | Approve GM/News Stock Sale |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 5 | Approve News Stock Acquisition |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 6 | Amend Articles |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
5
Mtg |
| Company/ |
| Security |
| Mgmt |
| Vote |
| Record |
| Prpnent |
| Shares |
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
06/02/04 - A |
| General Motors Corp. *GM* |
| 370442105 |
|
|
|
|
| 04/05/04 |
|
|
| 112,800 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Prohibit Awards to Executives |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 4 | Prohibit Awards to Executives |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 5 | Separate Chairman and CEO Positions |
|
|
| Against |
| For |
|
|
| ShrHoldr |
|
|
|
|
| 6 | Limit Composition of Committees to Independent Directors |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 7 | Report on Greenhouse Gas Emissions |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 8 | Submit Severance Agreement (Change-in-Control) to Shareholder Vote |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 9 | Establish Executive and Director Stock Ownership Guidelines |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
03/17/04 - A |
| Hewlett-Packard Co. *HPQ* |
| 428236103 |
|
|
|
|
| 01/20/04 |
|
|
| 698,540 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| Split |
|
|
| Mgmt |
|
|
|
|
| 1.1 | Elect Director L.T. Babbio, Jr. |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.2 | Elect Director P.C. Dunn |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.3 | Elect Director C.S. Fiorina |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.4 | Elect Director R.A. Hackborn |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.5 | Elect Director G.A. Keyworth II |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.6 | Elect Director R.E. Knowling, Jr. |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.7 | Elect Director S.M. Litvack |
|
|
| Withhold |
|
|
|
|
|
|
|
|
|
|
| 1.8 | Elect Director R.L. Ryan |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.9 | Elect Director L.S. Salhany |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Approve Omnibus Stock Plan |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 4 | Expense Stock Options |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
05/19/04 - A |
| Intel Corp. *INTC* |
| 458140100 |
|
|
|
|
| 03/22/04 |
|
|
| 200,000 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Approve Omnibus Stock Plan |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 4 | Expense Stock Options |
|
|
| Against |
| For |
|
|
| ShrHoldr |
|
|
|
|
| 5 | Limit/Prohibit Awards to Executives |
|
|
| Against |
| For |
|
|
| ShrHoldr |
|
|
|
|
| 6 | Performance- Based/Indexed Options |
|
|
| Against |
| For |
|
|
| ShrHoldr |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
04/27/04 - A |
| International Business Machines Corp. *IBM* |
| 459200101 |
|
|
|
|
| 02/27/04 |
|
|
| 92,371 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Ratify Auditors for the Company’s Business Consulting Services Unit |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 4 | Approve Executive Incentive Bonus Plan |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 5 | Provide for Cumulative Voting |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 6 | Amend Pension and Retirement Medical Insurance Plans |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 7 | Submit Executive Compensation to Vote |
|
|
| Against |
| For |
|
|
| ShrHoldr |
|
|
|
|
| 8 | Expense Stock Options |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 9 | Limit Awards to Executives |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 10 | China Principles |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 11 | Report on Political Contributions/Activities |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 12 | Report on Executive Compensation |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
6
Mtg |
| Company/ |
| Security |
| Mgmt |
| Vote |
| Record |
| Prpnent |
| Shares |
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
04/22/04 - A |
| Johnson & Johnson *JNJ* |
| 478160104 |
|
|
|
|
| 02/24/04 |
|
|
| 192,799 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Cease Charitable Contributions |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
05/25/04 - A |
| JP Morgan Chase & Co. *JPM* |
| 46625H100 |
|
|
|
|
| 04/02/04 |
|
|
| 124,728 |
| |
|
| 1 | Approve Merger Agreement |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 4 | Amend Executive Incentive Bonus Plan |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 5 | Adjourn Meeting |
|
|
| For |
| Against |
|
|
| Mgmt |
|
|
|
|
| 6 | Establish Term Limits for Directors |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 7 | Charitable Contributions |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 8 | Political Contributions |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 9 | Separate Chairman and CEO Positions |
|
|
| Against |
| For |
|
|
| ShrHoldr |
|
|
|
|
| 10 | Provide Adequate Disclosure for over the counter Derivatives |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 11 | Auditor Independence |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 12 | Submit Non-Employee Director Compensation to Vote |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 13 | Report on Pay Disparity |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
04/21/04 - A |
| MEDCO Health Solutions Inc *MHS* |
| 58405U102 |
|
|
|
|
| 03/10/04 |
|
|
| 11,124 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
08/28/03 - A |
| Medtronic, Inc. *MDT* |
| 585055106 |
|
|
|
|
| 07/03/03 |
|
|
| 60,000 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| Split |
|
|
| Mgmt |
|
|
|
|
| 1.1 | Elect Director Richard H. Anderson |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.2 | Elect Director Michael R. Bonsignore |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.3 | Elect Director Gordon M. Sprenger |
|
|
| Withhold |
|
|
|
|
|
|
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Approve Omnibus Stock Plan |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 4 | Approve Executive Incentive Bonus Plan |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
7
Mtg |
| Company/ |
| Security |
| Mgmt |
| Vote |
| Record |
| Prpnent |
| Shares |
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
04/27/04 - A |
| Merck & Co., Inc. *MRK* |
| 589331107 |
|
|
|
|
| 02/24/04 |
|
|
| 83,999 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Declassify the Board of Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 4 | Prohibit Awards to Executives |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 5 | Develop Ethical Criteria for Patent Extension |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 6 | Link Executive Compensation to Social Issues |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 7 | Report on Political Contributions |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 8 | Report on Operational Impact of HIV/AIDS, TB, and Malaria Pandemic |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
11/11/03 - A |
| Microsoft Corp. *MSFT* |
| 594918104 |
|
|
|
|
| 09/12/03 |
|
|
| 399,890 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| Split |
|
|
| Mgmt |
|
|
|
|
| 1.1 | Elect Director William H. Gates, III |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.2 | Elect Director Steven A. Ballmer |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.3 | Elect Director James I. Cash, Jr., Ph.D. |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.4 | Elect Director Raymond V. Gilmartin |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.5 | Elect Director Ann McLaughlin Korologos |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.6 | Elect Director David F. Marquardt |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.7 | Elect Director Charles H. Noski |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.8 | Elect Director Dr. Helmut Panke |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.9 | Elect Director Wm. G. Reed, Jr. |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.10 | Elect Director Jon A. Shirley |
|
|
| Withhold |
|
|
|
|
|
|
|
|
|
|
| 2 | Amend Omnibus Stock Plan |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Amend Non-Employee Director Stock Option Plan |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
|
| Shareholder Proposal |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 4 | Refrain from Giving Charitable Contributions |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
04/28/04 - A |
| Millipore Corp. *MIL* |
| 601073109 |
|
|
|
|
| 03/05/04 |
|
|
| 150,000 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
8
Mtg |
| Company/ |
| Security |
| Mgmt |
| Vote |
| Record |
| Prpnent |
| Shares |
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
02/24/04 - A |
| Novartis AG |
| 66987V109 |
|
|
|
|
| 01/30/04 |
|
|
| 185,384 |
| |
|
|
| Meeting for Holders of ADRs |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 1 | APPROVAL OF THE ANNUAL REPORT, THE FINANCIAL STATEMENTS OF NOVARTIS AG AND THE GROUP CONSOLIDATED FINANCIAL STATEMENTS FOR THE YEAR 2003. |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | APPROVAL OF THE ACTIVITIES OF THE BOARD OF DIRECTORS. |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | APPROPRIATION OF AVAILABLE EARNINGS OF NOVARTIS AG AS PER BALANCE SHEET AND DECLARATION OF DIVIDEND. |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 4 | CONVERSION OF GENERAL RESERVES INTO FREE RESERVES. |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 5 | REDUCTION OF SHARE CAPITAL. |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 6 | FURTHER SHARE REPURCHASE PROGRAM. |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 7 | AMENDMENT TO THE ARTICLES OF INCORPORATION. |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 8 | ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION OF PROF. DR. HELMUT SIHLER FOR A THREE-YEAR TERM. |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 9 | ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION OF MR. HANS-JORG RUDLOFF FOR A THREE-YEAR TERM. |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 10 | ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION OF DR. DANIEL VASELLA FOR A THREE-YEAR TERM. |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 11 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
04/22/04 - A |
| Pfizer Inc. *PFE* |
| 717081103 |
|
|
|
|
| 02/27/04 |
|
|
| 476,342 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Approve Omnibus Stock Plan |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 4 | Report on Operational Impact of HIV/AIDS, TB, and Malaria Pandemic |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 5 | Cease Political Contributions/Activities |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 6 | Report on Political Contributions/Activities |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 7 | Establish Term Limits for Directors |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 8 | Report on Drug Pricing |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 9 | Limit Awards to Executives |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 10 | Amend Animal Testing Policy |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
9
Mtg |
| Company/ |
| Security |
| Mgmt |
| Vote |
| Record |
| Prpnent |
| Shares |
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
04/14/04 - A |
| Schlumberger Ltd. *SLB* |
| 806857108 |
|
|
|
|
| 02/25/04 |
|
|
| 109,238 |
| |
|
|
| Meeting for Holders of ADRs |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | ADOPTION AND APPROVAL OF FINANCIALS AND DIVIDENDS |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | APPROVAL OF ADOPTION OF THE 2004 STOCK AND DEFERRAL PLAN FOR NON-EMPLOYEE DIRECTORS |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 4 | APPROVAL OF AUDITORS |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
05/13/04 - A |
| SLM Corp. *SLM* |
| 78442P106 |
|
|
|
|
| 03/15/04 |
|
|
| 233,200 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Approve Omnibus Stock Plan |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
05/19/04 - A |
| Target Corporation *TGT* |
| 87612E106 |
|
|
|
|
| 03/22/04 |
|
|
| 273,222 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Amend Omnibus Stock Plan |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
05/03/04 - A |
| The Boeing Co. *BA* |
| 097023105 |
|
|
|
|
| 03/05/04 |
|
|
| 131,800 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Reduce Supermajority Vote Requirement |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 4 | Develop Ethical Criteria for Military Contracts |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 5 | Adopt Amended Workplace Code of Conduct |
|
|
| Against |
| For |
|
|
| ShrHoldr |
|
|
|
|
| 6 | Declassify the Board of Directors |
|
|
| Against |
| For |
|
|
| ShrHoldr |
|
|
|
|
| 7 | Amend Vote Requirements to Amend Articles/Bylaws/Charter |
|
|
| Against |
| For |
|
|
| ShrHoldr |
|
|
|
|
| 8 | Submit Severance Agreement (Change-in-Control) to Shareholder Vote |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 9 | Adopt a Policy that will Commit Executive & Directors to Hold at least 75% of their Shares |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 10 | Provide Employees Choice of Pension Plans at Retirement or Termination |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
10
Mtg |
| Company/ |
| Security |
| Mgmt |
| Vote |
| Record |
| Prpnent |
| Shares |
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
04/21/04 - A |
| The Coca-Cola Company *KO* |
| 191216100 |
|
|
|
|
| 02/23/04 |
|
|
| 87,735 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| Split |
|
|
| Mgmt |
|
|
|
|
| 1.1 | Elect Director Herbert A. Allen |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.2 | Elect Director Ronald W. Allen |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.3 | Elect Director Cathleen P. Black |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.4 | Elect Director Warren E. Buffett |
|
|
| Withhold |
|
|
|
|
|
|
|
|
|
|
| 1.5 | Elect Director Douglas N. Daft |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.6 | Elect Director Barry Diller |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.7 | Elect Director Donald R. Keough |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.8 | Elect Director Susan Bennett King |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.9 | Elect Director Maria Elena Lagomasino |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.10 | Elect Director Donald F. Mchenry |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.11 | Elect Director Robert L. Nardelli |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.12 | Elect Director Sam Nunn |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.13 | Elect Director J. Pedro Reinhard |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.14 | Elect Director James D. Robinson III |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.15 | Elect Director Peter V. Ueberroth |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 1.16 | Elect Director James B. Williams |
|
|
| For |
|
|
|
|
|
|
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Report on Operational Impact of HIV/AIDS Pandemic |
|
|
| For |
| For |
|
|
| ShrHoldr |
|
|
|
|
| 4 | Report on Stock Option Distribution by Race and Gender |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 5 | Prohibit Awards to Executives |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 6 | Submit Executive Compensation to Vote |
|
|
| Against |
| For |
|
|
| ShrHoldr |
|
|
|
|
| 7 | Submit Executive Compensation to Vote |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 8 | Implement China Principles |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 9 | Separate Chairman and CEO Positions |
|
|
| Against |
| For |
|
|
| ShrHoldr |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
10/14/03 - A |
| The Procter & Gamble Company *PG* |
| 742718109 |
|
|
|
|
| 08/01/03 |
|
|
| 123,200 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Approve Non-Employee Director Omnibus Stock Plan |
|
|
| For |
| Against |
|
|
| Mgmt |
|
|
|
|
|
| Shareholder Proposals |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 4 | Declassify the Board of Directors |
|
|
| Against |
| For |
|
|
| ShrHoldr |
|
|
|
|
| 5 | Label Genetically Engineered Foods |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
03/19/04 - S |
| The St. Paul Travelers Companies, Inc. *STA* |
| 792860108 |
|
|
|
|
| 02/06/04 |
|
|
| 154,500 |
| |
|
| 1 | Issue Shares in Connection with a Merger Agreement |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Amend Bylaws |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Amend Articles |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 4 | Reduce Supermajority Vote Requirement |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
11
Mtg |
| Company/ |
| Security |
| Mgmt |
| Vote |
| Record |
| Prpnent |
| Shares |
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
05/13/04 - A |
| Transocean Inc. *RIG* |
| G90078109 |
|
|
|
|
| 03/18/04 |
|
|
| 21,148 |
| |
|
|
| Meeting for Holders of ADRs |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | APPROVAL OF THE AMENDMENT OF OUR LONG-TERM INCENTIVE PLAN AS DESCRIBED IN THE PROXY STATEMENT. |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
07/30/03 - A |
| Vodafone Group PLC |
| 92857W100 |
|
|
|
|
| None |
|
|
| 309,500 |
| |
|
| 1 | Accept Financial Statements and Statutory Reports |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Approve Remuneration Report |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Reelect Lord MacLaurin of Knebworth as Director |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 4 | Reelect Kenneth Hydon as Director |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 5 | Reelect Thomas Geitner as Director |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 6 | Reelect Alec Broers as Director |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 7 | Reelect Juergen Schrempp as Director |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 8 | Elect John Buchanan as Director |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 9 | Approve Final Dividend of 0.8983 Pence Per Share |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 10 | Ratify Deloitte and Touche as Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 11 | Authorize Board to Fix Remuneration of Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 12 | Authorize EU Political Donations up to GBP 100,000 |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 13 | Authorize Issuance of Equity or Equity-Linked Securities with Preemptive Rights up to Aggregate Nominal Amount of USD 900,000,000 |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 14 | Authorize Issuance of Equity or Equity-Linked Securities without Preemptive Rights up to Aggregate Nominal Amount of USD 340,000,000 |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 15 | Authorize 6,800,000,000 Shares for Share Repurchase Program |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
06/06/03 - A |
| Wal-Mart Stores, Inc. *WMT* |
| 931142103 |
|
|
|
|
| 04/08/03 |
|
|
| 223,200 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Amend Executive Incentive Bonus Plan |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
|
| Shareholder Proposals |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 4 | Require Majority of Independent Directors on Board |
|
|
| Against |
| For |
|
|
| ShrHoldr |
|
|
|
|
| 5 | Prohibit Auditor from Providing Non-Audit Services |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 6 | Performance-Based/Indexed Options |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 7 | Report on Impact of Genetically Engineered Foods |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 8 | Report on EEOC-Related Activities |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 9 | Implement and Monitor Code of Corporate Conduct - ILO Standards |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 10 | Submit Executive Compensation to Vote |
|
|
| Against |
| For |
|
|
| ShrHoldr |
|
|
|
12
Mtg |
| Company/ |
| Security |
| Mgmt |
| Vote |
| Record |
| Prpnent |
| Shares |
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
06/04/04 - A |
| Wal-Mart Stores, Inc. *WMT* |
| 931142103 |
|
|
|
|
| 04/05/04 |
|
|
| 223,200 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Approve Stock Option Plan |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Approve Stock Option Plan |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 4 | Amend Employee Stock Purchase Plan |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 5 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 6 | Separate Chairman and CEO Positions |
|
|
| Against |
| For |
|
|
| ShrHoldr |
|
|
|
|
| 7 | Prepare Sustainability Report |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 8 | Report on Stock Option Distribution by Race and Gender |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 9 | Report on Genetically Modified Organisms (GMO) |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 10 | Prepare Diversity Report |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 11 | Submit Executive Compensation to Vote |
|
|
| Against |
| For |
|
|
| ShrHoldr |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
04/22/04 - A |
| Wyeth *WYE* |
| 983024100 |
|
|
|
|
| 03/12/04 |
|
|
| 145,544 |
| |
|
| 1 | Elect Directors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 2 | Ratify Auditors |
|
|
| For |
| For |
|
|
| Mgmt |
|
|
|
|
| 3 | Report on Drug Pricing |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
|
| 4 | Amend Animal Testing Policy |
|
|
| Against |
| Against |
|
|
| ShrHoldr |
|
|
|
13
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
(Registrant) | State Street Research Exchange Trust | ||
| |||
By (signature and title)* | /s/ Richard S. Davis | ||
|
| ||
| Richard S. Davis, Principal Executive Officer | ||
| |||
Date | August 31, 2004 | ||
*Print the name and title of each signing officer under his or her signature.
14