UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-PX
Annual Report of Proxy Voting Record of Registered Management Investment Company
Investment Company Act file number: 811-4338
HERITAGE CAPITAL APPRECIATION TRUST
(Exact name of Registrant as Specified in Charter)
880 Carillon Parkway
St. Petersburg, FL 33716
(Address of Principal Executive Office) (Zip Code)
Registrant’s Telephone Number, including Area Code: (727) 567-8143
STEPHEN G. HILL, PRESIDENT
880 Carillon Parkway
St. Petersburg, FL 33716
(Name and Address of Agent for Service)
Copy to:
FRANCINE J. ROSENBERGER, ESQ.
K&L Gates LLP
1601 K Street, NW
Washington, D.C. 20006
October 31
Date of Reporting Period:
July 1, 2007 to June 30, 2008
Item 1. Proxy Voting Record.
Heritage Capital Appreciation Trust
Heritage Fund Name | Issuer Name | Ticker Symbol | Cusip | Meeting Date | Issue | Shareholder (S), Management (M) or Issuer (I) Proposal? | Date Vote Cast by Registrant | Vote Cast | With or Against Management? |
Capital Appreciation | Research In Motion Ltd | RIM | 760975102 | 7/17/2007 | Elect Directors | M | 7/20/2007 | For | With |
Capital Appreciation | Research In Motion Ltd | RIM | 760975102 | 7/17/2007 | Approve Ernst & Young LLP as Auditors and Authorize Board to Fix Remuneration of Auditors | M | 7/20/2007 | For | With |
Capital Appreciation | Research In Motion Ltd | RIM | 760975102 | 7/17/2007 | Amend Stock Option Plan | M | 7/20/2007 | For | With |
Capital Appreciation | Activision Inc. | ATVI | 4930202 | 9/27/2007 | Elect Directors | M | 9/19/2007 | Split | Against |
Capital Appreciation | Activision Inc. | ATVI | 4930202 | 9/27/2007 | Approve Omnibus Stock Plan | M | 9/19/2007 | For | With |
Capital Appreciation | Activision Inc. | ATVI | 4930202 | 9/27/2007 | Ratify Auditors | M | 9/19/2007 | For | With |
Capital Appreciation | Activision Inc. | ATVI | 4930202 | 9/27/2007 | Increase Board Diversity | S | 9/19/2007 | Against | With |
Capital Appreciation | Activision Inc. | ATVI | 4930202 | 9/27/2007 | Advisory Vote to Ratify Named Executive Officer's Compensation | S | 9/19/2007 | For | Against |
Capital Appreciation | Microsoft Corp. | MSFT | 594918104 | 11/13/2007 | Elect Directors | M | 11/2/2007 | For | With |
Capital Appreciation | Microsoft Corp. | MSFT | 594918104 | 11/13/2007 | Ratify Auditors | M | 11/2/2007 | For | With |
Capital Appreciation | Microsoft Corp. | MSFT | 594918104 | 11/13/2007 | Adopt Policies to Protect Freedom of Access to the Internet | S | 11/2/2007 | Against | With |
Capital Appreciation | Microsoft Corp. | MSFT | 594918104 | 11/13/2007 | Amend Bylaws to Establish a Board Committee on Human Rights | S | 11/2/2007 | Against | With |
Capital Appreciation | Linear Technology Corp. | LLTC | 535678106 | 11/7/2007 | Elect Directors | M | 10/25/2007 | Split | Against |
Capital Appreciation | Linear Technology Corp. | LLTC | 535678106 | 11/7/2007 | Ratify Auditors | M | 10/25/2007 | For | With |
Capital Appreciation | QUALCOMM Inc. | QCOM | 747525103 | 3/11/2008 | Elect Directors | M | 2/20/2008 | Split | Split |
Capital Appreciation | QUALCOMM Inc. | QCOM | 747525103 | 3/11/2008 | Amend Omnibus Stock Plan | M | 2/20/2008 | For | With |
Capital Appreciation | QUALCOMM Inc. | QCOM | 747525103 | 3/11/2008 | Ratify Auditors | M | 2/20/2008 | For | With |
Capital Appreciation | Starbucks Corp. | SBUX | 855244109 | 3/19/2008 | Elect Directors | M | 2/15/2008 | For | With |
Capital Appreciation | Starbucks Corp. | SBUX | 855244109 | 3/19/2008 | Ratify Auditors | M | 2/15/2008 | For | With |
Capital Appreciation | Suncor Energy Inc | SU | 867229106 | 4/24/2008 | Elect Directors | M | 4/8/2008 | For | With |
Capital Appreciation | Suncor Energy Inc | SU | 867229106 | 4/24/2008 | Ratify PricewaterhouseCoopers LLP as Auditors | M | 4/8/2008 | For | With |
Capital Appreciation | Suncor Energy Inc | SU | 867229106 | 4/24/2008 | Approve Shareholder Rights Plan | M | 4/8/2008 | For | With |
Capital Appreciation | Suncor Energy Inc | SU | 867229106 | 4/24/2008 | Approve 1:2 Stock Split | M | 4/8/2008 | For | With |
Capital Appreciation | Schlumberger Ltd. | SLB | 806857108 | 4/9/2008 | Elect Directors | M | 3/24/2008 | For | With |
Capital Appreciation | Schlumberger Ltd. | SLB | 806857108 | 4/9/2008 | ADOPTION AND APPROVAL OF FINANCIALS AND DIVIDENDS | M | 3/24/2008 | For | With |
Capital Appreciation | Schlumberger Ltd. | SLB | 806857108 | 4/9/2008 | APPROVAL OF ADOPTION OF THE SCHLUMBERGER 2008 STOCK INCENTIVE PLAN | M | 3/24/2008 | For | With |
Capital Appreciation | Schlumberger Ltd. | SLB | 806857108 | 4/9/2008 | APPROVAL OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | M | 3/24/2008 | For | With |
Capital Appreciation | Baker Hughes Incorporated | BHI | 57224107 | 4/24/2008 | Elect Directors | M | 3/25/2008 | For | With |
Capital Appreciation | Baker Hughes Incorporated | BHI | 57224107 | 4/24/2008 | Ratify Auditors | M | 3/25/2008 | For | With |
Capital Appreciation | Baker Hughes Incorporated | BHI | 57224107 | 4/24/2008 | Amend Executive Incentive Bonus Plan | M | 3/25/2008 | For | With |
Capital Appreciation | Baker Hughes Incorporated | BHI | 57224107 | 4/24/2008 | Other Business | M | 3/25/2008 | Against | Against |
Capital Appreciation | Merck & Co. Inc. | MRK | 589331107 | 4/22/2008 | Elect Directors | M | 4/4/2008 | For | With |
Capital Appreciation | Merck & Co. Inc. | MRK | 589331107 | 4/22/2008 | Ratify Auditors | M | 4/4/2008 | For | With |
Capital Appreciation | Merck & Co. Inc. | MRK | 589331107 | 4/22/2008 | Limit Executive Compensation | S | 4/4/2008 | Against | With |
Capital Appreciation | Merck & Co. Inc. | MRK | 589331107 | 4/22/2008 | Advisory Vote to Ratify Named Executive Officers' Compensation | S | 4/4/2008 | For | Against |
Capital Appreciation | Merck & Co. Inc. | MRK | 589331107 | 4/22/2008 | Amend Articles/Bylaws/Charter -- Call Special Meetings | S | 4/4/2008 | For | Against |
Capital Appreciation | Merck & Co. Inc. | MRK | 589331107 | 4/22/2008 | Adopt a bylaw to Require an Independent Lead Director | S | 4/4/2008 | For | Against |
Capital Appreciation | Fortune Brands Inc. | FO | 349631101 | 4/29/2008 | Elect Directors | M | 3/24/2008 | Withhold | Against |
Capital Appreciation | Fortune Brands Inc. | FO | 349631101 | 4/29/2008 | Ratify Auditors | M | 3/24/2008 | For | With |
Capital Appreciation | Fortune Brands Inc. | FO | 349631101 | 4/29/2008 | Declassify the Board of Directors | S | 3/24/2008 | For | Against |
Capital Appreciation | Genentech Inc. | DNA | 368710406 | 4/15/2008 | Elect Directors | M | 3/21/2008 | Split | Against |
Capital Appreciation | Genentech Inc. | DNA | 368710406 | 4/15/2008 | Amend Qualified Employee Stock Purchase Plan | M | 3/21/2008 | For | With |
Capital Appreciation | Genentech Inc. | DNA | 368710406 | 4/15/2008 | Ratify Auditors | M | 3/21/2008 | For | With |
Capital Appreciation | CME Group Inc. | CME | 12572Q105 | 5/7/2008 | Elect Directors | M | 4/25/2008 | For | With |
Capital Appreciation | CME Group Inc. | CME | 12572Q105 | 5/7/2008 | Ratify Auditors | M | 4/25/2008 | For | With |
Capital Appreciation | Baxter International Inc. | BAX | 71813109 | 5/6/2008 | Elect Directors | M | 4/22/2008 | For | With |
Capital Appreciation | Baxter International Inc. | BAX | 71813109 | 5/6/2008 | Ratify Auditors | M | 4/22/2008 | For | With |
Capital Appreciation | Moody's Corporation | MCO | 615369105 | 4/22/2008 | Elect Directors | M | 4/7/2008 | For | With |
Capital Appreciation | Moody's Corporation | MCO | 615369105 | 4/22/2008 | Ratify Auditors | M | 4/7/2008 | For | With |
Capital Appreciation | Moody's Corporation | MCO | 615369105 | 4/22/2008 | Reduce Supermajority Vote Requirement | S | 4/7/2008 | For | Against |
Capital Appreciation | The McGraw-Hill Companies Inc. | MHP | 580645109 | 4/30/2008 | Elect Directors | M | 4/29/2008 | For | With |
Capital Appreciation | The McGraw-Hill Companies Inc. | MHP | 580645109 | 4/30/2008 | Ratify Auditors | M | 4/29/2008 | For | With |
Capital Appreciation | The McGraw-Hill Companies Inc. | MHP | 580645109 | 4/30/2008 | Declassify the Board of Directors | S | 4/29/2008 | For | Against |
Capital Appreciation | The McGraw-Hill Companies Inc. | MHP | 580645109 | 4/30/2008 | Reduce Supermajority Vote Requirement | S | 4/29/2008 | For | Against |
Capital Appreciation | PepsiCo Inc. | PEP | 713448108 | 5/7/2008 | Elect Directors | M | 4/21/2008 | For | With |
Capital Appreciation | PepsiCo Inc. | PEP | 713448108 | 5/7/2008 | Ratify Auditors | M | 4/21/2008 | For | With |
Capital Appreciation | PepsiCo Inc. | PEP | 713448108 | 5/7/2008 | Report on Recycling | S | 4/21/2008 | Against | With |
Capital Appreciation | PepsiCo Inc. | PEP | 713448108 | 5/7/2008 | Report on Genetically Engineered Products | S | 4/21/2008 | Against | With |
Capital Appreciation | PepsiCo Inc. | PEP | 713448108 | 5/7/2008 | Report on Human Rights Policies Relating to Water Use | S | 4/21/2008 | Against | With |
Capital Appreciation | PepsiCo Inc. | PEP | 713448108 | 5/7/2008 | Report on Global Warming | S | 4/21/2008 | Against | With |
Capital Appreciation | PepsiCo Inc. | PEP | 713448108 | 5/7/2008 | Advisory Vote to Ratify Named Executive Officers' Compensation | S | 4/21/2008 | For | Against |
Capital Appreciation | St. Jude Medical Inc. | STJ | 790849103 | 5/9/2008 | Elect Directors | M | 4/28/2008 | For | With |
Capital Appreciation | St. Jude Medical Inc. | STJ | 790849103 | 5/9/2008 | Amend Omnibus Stock Plan | M | 4/28/2008 | For | With |
Capital Appreciation | St. Jude Medical Inc. | STJ | 790849103 | 5/9/2008 | Adopt Majority Voting for Uncontested Elect Directors | M | 4/28/2008 | For | With |
Capital Appreciation | St. Jude Medical Inc. | STJ | 790849103 | 5/9/2008 | Ratify Auditors | M | 4/28/2008 | For | With |
Capital Appreciation | Google Inc | GOOG | 38259P508 | 5/8/2008 | Elect Directors | M | 4/14/2008 | For | With |
Capital Appreciation | Google Inc | GOOG | 38259P508 | 5/8/2008 | Ratify Auditors | M | 4/14/2008 | For | With |
Capital Appreciation | Google Inc | GOOG | 38259P508 | 5/8/2008 | Amend Omnibus Stock Plan | M | 4/14/2008 | Against | Against |
Capital Appreciation | Google Inc | GOOG | 38259P508 | 5/8/2008 | Adopt Internet Censorship Policies | S | 4/14/2008 | For | Against |
Capital Appreciation | Google Inc | GOOG | 38259P508 | 5/8/2008 | Amend Bylaws to Establish a Board Committee on Human Rights | S | 4/14/2008 | Against | With |
Capital Appreciation | Hess Corporation | HES | 42809H107 | 5/7/2008 | Elect Directors | M | 4/10/2008 | For | With |
Capital Appreciation | Hess Corporation | HES | 42809H107 | 5/7/2008 | Ratify Auditors | M | 4/10/2008 | For | With |
Capital Appreciation | Hess Corporation | HES | 42809H107 | 5/7/2008 | Declassify the Board of Directors | M | 4/10/2008 | For | With |
Capital Appreciation | Hess Corporation | HES | 42809H107 | 5/7/2008 | Approve Omnibus Stock Plan | M | 4/10/2008 | For | With |
Capital Appreciation | The Charles Schwab Corp. | SCHW | 808513105 | 5/15/2008 | Elect Directors | M | 5/2/2008 | For | With |
Capital Appreciation | The Charles Schwab Corp. | SCHW | 808513105 | 5/15/2008 | Report on Political Contributions | S | 5/2/2008 | For | Against |
Capital Appreciation | The Charles Schwab Corp. | SCHW | 808513105 | 5/15/2008 | Amend Bylaws to Prohibit Precatory Proposals | S | 5/2/2008 | Against | With |
Capital Appreciation | American Tower Corp. | AMT | 29912201 | 5/15/2008 | Elect Directors | M | 4/25/2008 | For | With |
Capital Appreciation | American Tower Corp. | AMT | 29912201 | 5/15/2008 | Ratify Auditors | M | 4/25/2008 | For | With |
Capital Appreciation | Western Union Co | WU | 959802109 | 5/23/2008 | Elect Directors | M | 4/22/2008 | For | With |
Capital Appreciation | Western Union Co | WU | 959802109 | 5/23/2008 | Ratify Auditors | M | 4/22/2008 | For | With |
Capital Appreciation | Target Corporation | TGT | 8.76E+110 | 5/22/2008 | Elect Directors | M | 5/5/2008 | For | With |
Capital Appreciation | Target Corporation | TGT | 8.76E+110 | 5/22/2008 | Ratify Auditors | M | 5/5/2008 | For | With |
Capital Appreciation | Nymex Holdings Inc. | NMX | 62948N104 | 5/20/2008 | Elect Directors | M | 5/5/2008 | For | With |
Capital Appreciation | Nymex Holdings Inc. | NMX | 62948N104 | 5/20/2008 | Ratify Auditors | M | 5/5/2008 | For | With |
Capital Appreciation | Thermo Fisher Scientific Inc. | TMO | 883556102 | 5/20/2008 | Elect Directors | M | 5/5/2008 | For | With |
Capital Appreciation | Thermo Fisher Scientific Inc. | TMO | 883556102 | 5/20/2008 | Approve Omnibus Stock Plan | M | 5/5/2008 | For | With |
Capital Appreciation | Thermo Fisher Scientific Inc. | TMO | 883556102 | 5/20/2008 | Approve Executive Incentive Bonus Plan | M | 5/5/2008 | For | With |
Capital Appreciation | Thermo Fisher Scientific Inc. | TMO | 883556102 | 5/20/2008 | Ratify Auditors | M | 5/5/2008 | For | With |
Capital Appreciation | Crown Castle International Corp. | CCI | 228227104 | 5/23/2008 | Elect Directors | M | 4/24/2008 | For | With |
Capital Appreciation | Crown Castle International Corp. | CCI | 228227104 | 5/23/2008 | Ratify Auditors | M | 4/24/2008 | For | With |
Capital Appreciation | Lamar Advertising Company | LAMR | 512815101 | 5/22/2008 | Elect Directors | M | 5/5/2008 | For | With |
Capital Appreciation | Lamar Advertising Company | LAMR | 512815101 | 5/22/2008 | Ratify Auditors | M | 5/5/2008 | For | With |
Capital Appreciation | Schering-Plough Corp. | SGP | 806605101 | 5/16/2008 | Elect Directors | M | 5/2/2008 | For | With |
Capital Appreciation | Schering-Plough Corp. | SGP | 806605101 | 5/16/2008 | Ratify Auditors | M | 5/2/2008 | For | With |
Capital Appreciation | Chesapeake Energy Corp. | CHK | 165167107 | 6/6/2008 | Elect Directors | M | 6/4/2008 | For | With |
Capital Appreciation | Chesapeake Energy Corp. | CHK | 165167107 | 6/6/2008 | Amend Omnibus Stock Plan | M | 6/4/2008 | For | With |
Capital Appreciation | Chesapeake Energy Corp. | CHK | 165167107 | 6/6/2008 | Ratify Auditors | M | 6/4/2008 | For | With |
Capital Appreciation | Chesapeake Energy Corp. | CHK | 165167107 | 6/6/2008 | Declassify the Board of Directors | S | 6/4/2008 | Against | With |
Capital Appreciation | Amylin Pharmaceuticals Inc. | AMLN | 32346108 | 5/30/2008 | Elect Directors | M | 5/13/2008 | For | With |
Capital Appreciation | Amylin Pharmaceuticals Inc. | AMLN | 32346108 | 5/30/2008 | Amend Omnibus Stock Plan | M | 5/13/2008 | For | With |
Capital Appreciation | Amylin Pharmaceuticals Inc. | AMLN | 32346108 | 5/30/2008 | Ratify Auditors | M | 5/13/2008 | For | With |
Capital Appreciation | Entravision Communications Corporation | EVC | 29382R107 | 5/29/2008 | Elect Directors | M | 5/12/2008 | Split | Against |
Capital Appreciation | Entravision Communications Corporation | EVC | 29382R107 | 5/29/2008 | Ratify Auditors | M | 5/12/2008 | For | With |
Capital Appreciation | Weatherford International Ltd | WFT | G95089101 | 6/2/2008 | Elect Directors | M | 5/19/2008 | For | With |
Capital Appreciation | Weatherford International Ltd | WFT | G95089101 | 6/2/2008 | Ratify Auditors | M | 5/19/2008 | For | With |
Capital Appreciation | Teva Pharmaceutical Industries Ltd. | TEVA | 881624209 | 6/29/2008 | Accept Financial Statements and Statutory Reports | M | 6/13/2008 | For | With |
Capital Appreciation | Teva Pharmaceutical Industries Ltd. | TEVA | 881624209 | 6/29/2008 | Approve Final Dividend of NIS 1.60 Per Share | M | 6/13/2008 | For | With |
Capital Appreciation | Teva Pharmaceutical Industries Ltd. | TEVA | 881624209 | 6/29/2008 | Elect Directors | M | 6/13/2008 | For | With |
Capital Appreciation | Teva Pharmaceutical Industries Ltd. | TEVA | 881624209 | 6/29/2008 | Approve Director/Officer Liability and Indemnification Insurance | M | 6/13/2008 | For | With |
Capital Appreciation | Teva Pharmaceutical Industries Ltd. | TEVA | 881624209 | 6/29/2008 | Approve Remuneration of Directors | M | 6/13/2008 | For | With |
Capital Appreciation | Teva Pharmaceutical Industries Ltd. | TEVA | 881624209 | 6/29/2008 | Approve Employee Stock Purchase Plan | M | 6/13/2008 | For | With |
Capital Appreciation | Teva Pharmaceutical Industries Ltd. | TEVA | 881624209 | 6/29/2008 | Approve Kesselman & Kesselman as Auditors and Authorize Board to Fix Their Remuneration | M | 6/13/2008 | For | With |
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.
Heritage Capital Appreciation Trust
By: /s/ Mathew J. Calabro
Mathew J. Calabro
Principal Executive Officer
Date: August 26, 2008