Table of Contents
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT
COMPANY
COMPANY
Investment Company Act file number: 811-05734
Diamond Hill Financial Trends Fund, Inc.
(Exact name of registrant as specified in charter)
325 John H. McConnell Blvd., Suite 200, Columbus, Ohio 43215
(Address of principal executive offices) (Zip code)
James F. Laird, Jr., 325 John H. McConnell Blvd., Suite 200, Columbus, Ohio 43215
(Name and address of agent for service)
Registrant’s telephone number, including area code: (614) 255-3333
Date of fiscal year end: 12/31
Date of reporting period: 7/1/10 – 6/30/11
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant’s proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30bl-4 thereunder (17CFR 270.30bl-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, N.W., Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. §3507.
Table of Contents
DIAMOND HILL FINANCIAL TRENDS FUND, INC.
Matter | For / | |||||||||||||||||||||
Meeting | Proposed | Matter | Vote | Against | ||||||||||||||||||
Issuer | Ticker | CUSIP | Date | Description of Vote | by | Voted | Cast | Mgmt | ||||||||||||||
FIRST NIAGARA FINANCIAL GROUP, INC. | FNFG | 33582V108 | 20-Dec-2010 | THE ISSUANCE OF FIRST NIAGARA FINANCIAL GROUP, INC. COMMON STOCK TO NEWALLIANCE BANCSHARES, INC. STOCKHOLDERS PURSUANT TO THE AGREEMENT AND PLAN OF MERGER, DATED AS OF AUGUST 18, 2010, AND AS AMENDED AS OF SEPTEMBER 27, 2010, BY AND AMONG NEWALLIANCE BANCSHARES, INC., FIRST NIAGARA FINANCIAL GROUP, INC. AND FNFG MERGER SUB, INC. | Issuer | Yes | For | For | ||||||||||||||
FIRST NIAGARA FINANCIAL GROUP, INC. | FNFG | 33582V108 | 20-Dec-2010 | TO APPROVE ONE OR MORE ADJOURNMENTS OF THE SPECIAL MEETING, IF NECESSARY OR APPROPRIATE, INCLUDING ADJOURNMENTS TO PERMIT FURTHER SOLICITATION OF PROXIES IN FAVOR OF THE STOCK ISSUANCE. | Issuer | Yes | For | For | ||||||||||||||
FIRST FINANCIAL HOLDINGS, INC. | FFCH | 320239106 | 27-Jan-2011 | DIRECTOR THOMAS J. JOHNSON | Issuer | Yes | For | For | ||||||||||||||
FIRST FINANCIAL HOLDINGS, INC. | FFCH | 320239106 | 27-Jan-2011 | DIRECTOR D. KENT SHARPLES | Issuer | Yes | For | For | ||||||||||||||
FIRST FINANCIAL HOLDINGS, INC. | FFCH | 320239106 | 27-Jan-2011 | DIRECTOR B. ED SHELLEY, JR. | Issuer | Yes | For | For | ||||||||||||||
FIRST FINANCIAL HOLDINGS, INC. | FFCH | 320239106 | 27-Jan-2011 | DIRECTOR HUGH L. WILLCOX, JR. | Issuer | Yes | For | For | ||||||||||||||
FIRST FINANCIAL HOLDINGS, INC. | FFCH | 320239106 | 27-Jan-2011 | TO PROVIDE ADVISORY APPROVAL OF THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Issuer | Yes | For | For | ||||||||||||||
FIRST FINANCIAL HOLDINGS, INC. | FFCH | 320239106 | 27-Jan-2011 | TO AMEND OUR CERTIFICATE OF INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF COMMON STOCK FROM 24,000,000 SHARES TO 34,000,000 SHARES. | Issuer | Yes | For | For | ||||||||||||||
FIRST FINANCIAL HOLDINGS, INC. | FFCH | 320239106 | 27-Jan-2011 | TO RATIFY THE APPOINTMENT OF GRANT THORNTON LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2011. | Issuer | Yes | For | For | ||||||||||||||
MVC CAPITAL, INC. | MVC | 553829102 | 10-Mar-2011 | DIRECTOR: EMILIO DOMINIANNI | Issuer | Yes | For | For | ||||||||||||||
MVC CAPITAL, INC. | MVC | 553829102 | 10-Mar-2011 | DIRECTOR GERALD HELLERMAN | Issuer | Yes | For | For | ||||||||||||||
MVC CAPITAL, INC. | MVC | 553829102 | 10-Mar-2011 | DIRECTOR WARREN HOLTSBERG | Issuer | Yes | For | For | ||||||||||||||
MVC CAPITAL, INC. | MVC | 553829102 | 10-Mar-2011 | DIRECTOR ROBERT KNAPP | Issuer | Yes | For | For | ||||||||||||||
MVC CAPITAL, INC. | MVC | 553829102 | 10-Mar-2011 | DIRECTOR WILLIAM TAYLOR | Issuer | Yes | For | For | ||||||||||||||
MVC CAPITAL, INC. | MVC | 553829102 | 10-Mar-2011 | DIRECTOR MICHAEL TOKARZ | Issuer | Yes | For | For | ||||||||||||||
MVC CAPITAL, INC. | MVC | 553829102 | 10-Mar-2011 | TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS THE FUND’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Issuer | Yes | For | For | ||||||||||||||
DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 07-Apr-2011 | ELECTION OF DIRECTOR: JEFFREY S. ARONIN | Issuer | Yes | For | For | ||||||||||||||
DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 07-Apr-2011 | ELECTION OF DIRECTOR: MARY K. BUSH | Issuer | Yes | For | For | ||||||||||||||
DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 07-Apr-2011 | ELECTION OF DIRECTOR: GREGORY C. CASE | Issuer | Yes | For | For | ||||||||||||||
DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 07-Apr-2011 | ELECTION OF DIRECTOR: ROBERT M. DEVLIN | Issuer | Yes | For | For | ||||||||||||||
DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 07-Apr-2011 | ELECTION OF DIRECTOR: CYNTHIA A. GLASSMAN | Issuer | Yes | For | For | ||||||||||||||
DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 07-Apr-2011 | ELECTION OF DIRECTOR: RICHARD H. LENNY | Issuer | Yes | For | For | ||||||||||||||
DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 07-Apr-2011 | ELECTION OF DIRECTOR: THOMAS G. MAHERAS | Issuer | Yes | For | For | ||||||||||||||
DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 07-Apr-2011 | ELECTION OF DIRECTOR: MICHAEL H. MOSKOW | Issuer | Yes | For | For | ||||||||||||||
DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 07-Apr-2011 | ELECTION OF DIRECTOR: DAVID W. NELMS | Issuer | Yes | For | For | ||||||||||||||
DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 07-Apr-2011 | ELECTION OF DIRECTOR: E. FOLLIN SMITH | Issuer | Yes | For | For | ||||||||||||||
DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 07-Apr-2011 | ELECTION OF DIRECTOR: LAWRENCE A. WEINBACH | Issuer | Yes | For | For | ||||||||||||||
DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 07-Apr-2011 | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Issuer | Yes | For | For | ||||||||||||||
DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 07-Apr-2011 | ADVISORY VOTE ON FREQUENCY OF ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Issuer | Yes | 3 Years | For | ||||||||||||||
DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 07-Apr-2011 | APPROVAL OF AN AMENDMENT TO THE DISCOVER FINANCIAL SERVICES DIRECTORS’ COMPENSATION PLAN. | Issuer | Yes | For | For | ||||||||||||||
DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 07-Apr-2011 | TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Issuer | Yes | For | For | ||||||||||||||
THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 12-Apr-2011 | ELECTION OF DIRECTOR: RUTH E. BRUCH | Issuer | Yes | For | For | ||||||||||||||
THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 12-Apr-2011 | ELECTION OF DIRECTOR: NICHOLAS M. DONOFRIO | Issuer | Yes | For | For | ||||||||||||||
THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 12-Apr-2011 | ELECTION OF DIRECTOR: GERALD L. HASSELL | Issuer | Yes | For | For | ||||||||||||||
THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 12-Apr-2011 | ELECTION OF DIRECTOR: EDMUND F. KELLY | Issuer | Yes | For | For | ||||||||||||||
THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 12-Apr-2011 | ELECTION OF DIRECTOR: ROBERT P. KELLY | Issuer | Yes | For | For | ||||||||||||||
THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 12-Apr-2011 | ELECTION OF DIRECTOR: RICHARD J. KOGAN | Issuer | Yes | For | For | ||||||||||||||
THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 12-Apr-2011 | ELECTION OF DIRECTOR: MICHAEL J. KOWALSKI | Issuer | Yes | For | For | ||||||||||||||
THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 12-Apr-2011 | ELECTION OF DIRECTOR: JOHN A. LUKE, JR | Issuer | Yes | For | For | ||||||||||||||
THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 12-Apr-2011 | ELECTION OF DIRECTOR: MARK A. NORDENBERG | Issuer | Yes | For | For | ||||||||||||||
THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 12-Apr-2011 | ELECTION OF DIRECTOR: CATHERINE A. REIN | Issuer | Yes | For | For | ||||||||||||||
THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 12-Apr-2011 | ELECTION OF DIRECTOR: WILLIAM C. RICHARDSON | Issuer | Yes | For | For | ||||||||||||||
THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 12-Apr-2011 | ELECTION OF DIRECTOR: SAMUEL C. SCOTT III | Issuer | Yes | For | For | ||||||||||||||
THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 12-Apr-2011 | ELECTION OF DIRECTOR: JOHN P. SURMA | Issuer | Yes | For | For | ||||||||||||||
THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 12-Apr-2011 | ELECTION OF DIRECTOR: WESLEY W. VON SCHACK | Issuer | Yes | For | For | ||||||||||||||
THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 12-Apr-2011 | PROPOSAL TO APPROVE THE ADVISORY (NON-BINDING) RESOLUTION RELATING TO 2010 EXECUTIVE COMPENSATION. | Issuer | Yes | For | For | ||||||||||||||
THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 12-Apr-2011 | PROPOSAL TO RECOMMEND, BY NON-BINDING VOTE, THE FREQUENCY OF STOCKHOLDER ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Issuer | Yes | 3 Years | Against | ||||||||||||||
THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 12-Apr-2011 | PROPOSAL TO APPROVE AMENDED AND RESTATED LONG- TERM INCENTIVE PLAN. | Issuer | Yes | For | For | ||||||||||||||
THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 12-Apr-2011 | PROPOSAL TO APPROVE AMENDED AND RESTATED EXECUTIVE INCENTIVE COMPENSATION PLAN. | Issuer | Yes | For | For | ||||||||||||||
THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 12-Apr-2011 | RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Issuer | Yes | For | For | ||||||||||||||
THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 12-Apr-2011 | STOCKHOLDER PROPOSAL WITH RESPECT TO CUMULATIVE VOTING. | Shareholder | Yes | For | Against | ||||||||||||||
U.S. BANCORP | USB | 902973304 | 19-Apr-2011 | ELECTION OF DIRECTOR: DOUGLAS M. BAKER, JR. | Issuer | Yes | For | For | ||||||||||||||
U.S. BANCORP | USB | 902973304 | 19-Apr-2011 | ELECTION OF DIRECTOR: Y. MARC BELTON | Issuer | Yes | For | For | ||||||||||||||
U.S. BANCORP | USB | 902973304 | 19-Apr-2011 | ELECTION OF DIRECTOR: VICTORIA BUYNISKI GLUCKMAN | Issuer | Yes | For | For | ||||||||||||||
U.S. BANCORP | USB | 902973304 | 19-Apr-2011 | ELECTION OF DIRECTOR: ARTHUR D. COLLINS, JR. | Issuer | Yes | For | For | ||||||||||||||
U.S. BANCORP | USB | 902973304 | 19-Apr-2011 | ELECTION OF DIRECTOR: RICHARD K. DAVIS | Issuer | Yes | For | For | ||||||||||||||
U.S. BANCORP | USB | 902973304 | 19-Apr-2011 | ELECTION OF DIRECTOR: JOEL W. JOHNSON | Issuer | Yes | For | For | ||||||||||||||
U.S. BANCORP | USB | 902973304 | 19-Apr-2011 | ELECTION OF DIRECTOR: OLIVIA F. KIRTLEY | Issuer | Yes | For | For | ||||||||||||||
U.S. BANCORP | USB | 902973304 | 19-Apr-2011 | ELECTION OF DIRECTOR: JERRY W. LEVIN | Issuer | Yes | For | For | ||||||||||||||
U.S. BANCORP | USB | 902973304 | 19-Apr-2011 | ELECTION OF DIRECTOR: DAVID B. O’MALEY | Issuer | Yes | For | For | ||||||||||||||
U.S. BANCORP | USB | 902973304 | 19-Apr-2011 | ELECTION OF DIRECTOR: O’DELL M. OWENS, M.D., M.P.H. | Issuer | Yes | For | For | ||||||||||||||
U.S. BANCORP | USB | 902973304 | 19-Apr-2011 | ELECTION OF DIRECTOR: RICHARD G. REITEN | Issuer | Yes | For | For | ||||||||||||||
U.S. BANCORP | USB | 902973304 | 19-Apr-2011 | ELECTION OF DIRECTOR: CRAIG D. SCHNUCK | Issuer | Yes | For | For | ||||||||||||||
U.S. BANCORP | USB | 902973304 | 19-Apr-2011 | ELECTION OF DIRECTOR: PATRICK T. STOKES | Issuer | Yes | For | For |
Table of Contents
Matter | For / | |||||||||||||||||||||
Meeting | Proposed | Matter | Vote | Against | ||||||||||||||||||
Issuer | Ticker | CUSIP | Date | Description of Vote | by | Voted | Cast | Mgmt | ||||||||||||||
U.S. BANCORP | USB | 902973304 | 19-Apr-2011 | RATIFICATION OF SELECTION OF ERNST & YOUNG LLP AS OUR INDEPENDENT AUDITOR FOR THE 2011 FISCAL YEAR. | Issuer | Yes | For | For | ||||||||||||||
U.S. BANCORP | USB | 902973304 | 19-Apr-2011 | ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR EXECUTIVES DISCLOSED IN THE PROXY STATEMENT. | Issuer | Yes | For | For | ||||||||||||||
U.S. BANCORP | USB | 902973304 | 19-Apr-2011 | ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION. | Issuer | Yes | 3 Years | For | ||||||||||||||
U.S. BANCORP | USB | 902973304 | 19-Apr-2011 | SHAREHOLDER PROPOSAL: ANNUAL ADVISORY VOTE ON DIRECTOR COMPENSATION. | Shareholder | Yes | Against | For | ||||||||||||||
CITY NATIONAL CORPORATION | CYN | 178566105 | 20-Apr-2011 | DIRECTOR RICHARD L. BLOCH | Issuer | Yes | For | For | ||||||||||||||
CITY NATIONAL CORPORATION | CYN | 178566105 | 20-Apr-2011 | DIRECTOR BRAM GOLDSMITH | Issuer | Yes | For | For | ||||||||||||||
CITY NATIONAL CORPORATION | CYN | 178566105 | 20-Apr-2011 | DIRECTOR ASHOK ISRANI | Issuer | Yes | For | For | ||||||||||||||
CITY NATIONAL CORPORATION | CYN | 178566105 | 20-Apr-2011 | DIRECTOR KENNETH ZIFFREN | Issuer | Yes | For | For | ||||||||||||||
CITY NATIONAL CORPORATION | CYN | 178566105 | 20-Apr-2011 | PROPOSAL TO RATIFY KPMG LLP AS INDEPENDENT PUBLIC ACCOUNTING FIRM FOR 2011. | Issuer | Yes | For | For | ||||||||||||||
CITY NATIONAL CORPORATION | CYN | 178566105 | 20-Apr-2011 | AMENDMENT OF THE 2008 OMNIBUS PLAN. | Issuer | Yes | For | For | ||||||||||||||
CITY NATIONAL CORPORATION | CYN | 178566105 | 20-Apr-2011 | AMENDMENT OF THE 2010 VARIABLE BONUS PLAN. | Issuer | Yes | For | For | ||||||||||||||
CITY NATIONAL CORPORATION | CYN | 178566105 | 20-Apr-2011 | SAY ON PAY — AN ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Issuer | Yes | For | For | ||||||||||||||
CITY NATIONAL CORPORATION | CYN | 178566105 | 20-Apr-2011 | SAY WHEN ON PAY — AN ADVISORY VOTE ON THE FREQUENCY OF FUTURE SHAREHOLDER VOTES ON EXECUTIVE COMPENSATION. | Issuer | Yes | 3 Years | Against | ||||||||||||||
CITY NATIONAL CORPORATION | CYN | 178566105 | 20-Apr-2011 | STOCKHOLDER PROPOSAL — DECLASSIFICATION OF BOARD. | Shareholder | Yes | For | Against | ||||||||||||||
THE FIRST OF LONG ISLAND CORPORATION | FLIC | 320734106 | 20-Apr-2011 | DIRECTOR HOWARD THOMAS HOGAN JR. | Issuer | Yes | For | For | ||||||||||||||
THE FIRST OF LONG ISLAND CORPORATION | FLIC | 320734106 | 20-Apr-2011 | DIRECTOR JOHN T. LANE | Issuer | Yes | For | For | ||||||||||||||
THE FIRST OF LONG ISLAND CORPORATION | FLIC | 320734106 | 20-Apr-2011 | DIRECTOR MILBREY RENNIE TAYLOR | Issuer | Yes | For | For | ||||||||||||||
THE FIRST OF LONG ISLAND CORPORATION | FLIC | 320734106 | 20-Apr-2011 | DIRECTOR WALTER C. TEAGLE III | Issuer | Yes | For | For | ||||||||||||||
THE FIRST OF LONG ISLAND CORPORATION | FLIC | 320734106 | 20-Apr-2011 | DIRECTOR MICHAEL N. VITTORIO | Issuer | Yes | For | For | ||||||||||||||
THE FIRST OF LONG ISLAND CORPORATION | FLIC | 320734106 | 20-Apr-2011 | NON-BINDING, ADVISORY VOTE TO APPROVE THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS DISCLOSED IN THE ACCOMPANYING PROXY STATEMENT. | Issuer | Yes | For | For | ||||||||||||||
THE FIRST OF LONG ISLAND CORPORATION | FLIC | 320734106 | 20-Apr-2011 | NON-BINDING, ADVISORY VOTE REGARDING THE FREQUENCY OF THE VOTING ON THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS. | Issuer | Yes | 3 Years | Against | ||||||||||||||
THE FIRST OF LONG ISLAND CORPORATION | FLIC | 320734106 | 20-Apr-2011 | TO RATIFY THE REAPPOINTMENT OF CROWE HORWATH LLP AS THE CORPORATION’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2011. | Issuer | Yes | For | For | ||||||||||||||
HUNTINGTON BANCSHARES INCORPORATED | HBAN | 446150104 | 21-Apr-2011 | DIRECTOR DON M. CASTO III | Issuer | Yes | For | For | ||||||||||||||
HUNTINGTON BANCSHARES INCORPORATED | HBAN | 446150104 | 21-Apr-2011 | DIRECTOR ANN B. CRANE | Issuer | Yes | For | For | ||||||||||||||
HUNTINGTON BANCSHARES INCORPORATED | HBAN | 446150104 | 21-Apr-2011 | DIRECTOR STEVEN G. ELLIOTT | Issuer | Yes | For | For | ||||||||||||||
HUNTINGTON BANCSHARES INCORPORATED | HBAN | 446150104 | 21-Apr-2011 | DIRECTOR MICHAEL J. ENDRES | Issuer | Yes | For | For | ||||||||||||||
HUNTINGTON BANCSHARES INCORPORATED | HBAN | 446150104 | 21-Apr-2011 | DIRECTOR JOHN B. GERLACH, JR. | Issuer | Yes | For | For | ||||||||||||||
HUNTINGTON BANCSHARES INCORPORATED | HBAN | 446150104 | 21-Apr-2011 | DIRECTOR D. JAMES HILLIKER | Issuer | Yes | For | For | ||||||||||||||
HUNTINGTON BANCSHARES INCORPORATED | HBAN | 446150104 | 21-Apr-2011 | DIRECTOR DAVID P. LAUER | Issuer | Yes | For | For | ||||||||||||||
HUNTINGTON BANCSHARES INCORPORATED | HBAN | 446150104 | 21-Apr-2011 | DIRECTOR JONATHAN A. LEVY | Issuer | Yes | For | For | ||||||||||||||
HUNTINGTON BANCSHARES INCORPORATED | HBAN | 446150104 | 21-Apr-2011 | DIRECTOR GERARD P. MASTROIANNI | Issuer | Yes | For | For | ||||||||||||||
HUNTINGTON BANCSHARES INCORPORATED | HBAN | 446150104 | 21-Apr-2011 | DIRECTOR RICHARD W. NEU | Issuer | Yes | For | For | ||||||||||||||
HUNTINGTON BANCSHARES INCORPORATED | HBAN | 446150104 | 21-Apr-2011 | DIRECTOR DAVID L. PORTEOUS | Issuer | Yes | For | For | ||||||||||||||
HUNTINGTON BANCSHARES INCORPORATED | HBAN | 446150104 | 21-Apr-2011 | DIRECTOR KATHLEEN H. RANSIER | Issuer | Yes | For | For | ||||||||||||||
HUNTINGTON BANCSHARES INCORPORATED | HBAN | 446150104 | 21-Apr-2011 | DIRECTOR WILLIAM R. ROBERTSON | Issuer | Yes | For | For | ||||||||||||||
HUNTINGTON BANCSHARES INCORPORATED | HBAN | 446150104 | 21-Apr-2011 | DIRECTOR STEPHEN D. STEINOUR | Issuer | Yes | For | For | ||||||||||||||
HUNTINGTON BANCSHARES INCORPORATED | HBAN | 446150104 | 21-Apr-2011 | APPROVAL OF THE MANAGEMENT INCENTIVE PLAN FOR COVERED OFFICERS. | Issuer | Yes | For | For | ||||||||||||||
HUNTINGTON BANCSHARES INCORPORATED | HBAN | 446150104 | 21-Apr-2011 | APPROVAL OF THE SUPPLEMENTAL STOCK PURCHASE AND TAX SAVINGS PLAN AND TRUST. | Issuer | Yes | For | For | ||||||||||||||
HUNTINGTON BANCSHARES INCORPORATED | HBAN | 446150104 | 21-Apr-2011 | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2011. | Issuer | Yes | For | For | ||||||||||||||
HUNTINGTON BANCSHARES INCORPORATED | HBAN | 446150104 | 21-Apr-2011 | A RESOLUTION TO APPROVE, ON AN ADVISORY, NON- BINDING BASIS, THE COMPENSATION OF EXECUTIVES AS DISCLOSED IN THE ACCOMPANYING PROXY STATEMENT. | Issuer | Yes | For | For | ||||||||||||||
HUNTINGTON BANCSHARES INCORPORATED | HBAN | 446150104 | 21-Apr-2011 | AN ADVISORY, NON-BINDING RECOMMENDATION ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION. | Issuer | Yes | 3 Years | For | ||||||||||||||
BB&T CORPORATION | BBT | 054937107 | 26-Apr-2011 | DIRECTOR JOHN A. ALLISON IV | Issuer | Yes | For | For | ||||||||||||||
BB&T CORPORATION | BBT | 054937107 | 26-Apr-2011 | DIRECTOR JENNIFER S. BANNER | Issuer | Yes | For | For | ||||||||||||||
BB&T CORPORATION | BBT | 054937107 | 26-Apr-2011 | DIRECTOR K. DAVID BOYER, JR. | Issuer | Yes | For | For | ||||||||||||||
BB&T CORPORATION | BBT | 054937107 | 26-Apr-2011 | DIRECTOR ANNA R. CABLIK | Issuer | Yes | For | For | ||||||||||||||
BB&T CORPORATION | BBT | 054937107 | 26-Apr-2011 | DIRECTOR RONALD E. DEAL | Issuer | Yes | For | For | ||||||||||||||
BB&T CORPORATION | BBT | 054937107 | 26-Apr-2011 | DIRECTOR J.L. GLOVER, JR. | Issuer | Yes | For | For | ||||||||||||||
BB&T CORPORATION | BBT | 054937107 | 26-Apr-2011 | DIRECTOR JANE P. HELM | Issuer | Yes | For | For | ||||||||||||||
BB&T CORPORATION | BBT | 054937107 | 26-Apr-2011 | DIRECTOR JOHN P. HOWE III, M.D. | Issuer | Yes | For | For | ||||||||||||||
BB&T CORPORATION | BBT | 054937107 | 26-Apr-2011 | DIRECTOR KELLY S. KING | Issuer | Yes | For | For | ||||||||||||||
BB&T CORPORATION | BBT | 054937107 | 26-Apr-2011 | DIRECTOR VALERIA LYNCH LEE | Issuer | Yes | For | For | ||||||||||||||
BB&T CORPORATION | BBT | 054937107 | 26-Apr-2011 | DIRECTOR J. HOLMES MORRISON | Issuer | Yes | For | For | ||||||||||||||
BB&T CORPORATION | BBT | 054937107 | 26-Apr-2011 | DIRECTOR NIDO R. QUBEIN | Issuer | Yes | For | For | ||||||||||||||
BB&T CORPORATION | BBT | 054937107 | 26-Apr-2011 | DIRECTOR THOMAS E. SKAINS | Issuer | Yes | For | For | ||||||||||||||
BB&T CORPORATION | BBT | 054937107 | 26-Apr-2011 | DIRECTOR THOMAS N. THOMPSON | Issuer | Yes | For | For | ||||||||||||||
BB&T CORPORATION | BBT | 054937107 | 26-Apr-2011 | DIRECTOR STEPHEN T. WILLIAMS | Issuer | Yes | For | For | ||||||||||||||
BB&T CORPORATION | BBT | 054937107 | 26-Apr-2011 | TO RE-APPROVE THE CORPORATION’S SHORT-TERM INCENTIVE PLAN FOR FEDERAL TAX PURPOSES. | Issuer | Yes | For | For | ||||||||||||||
BB&T CORPORATION | BBT | 054937107 | 26-Apr-2011 | TO RATIFY THE REAPPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS BB&T’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2011. | Issuer | Yes | For | For | ||||||||||||||
BB&T CORPORATION | BBT | 054937107 | 26-Apr-2011 | TO PROVIDE AN ADVISORY VOTE REGARDING BB&T’S OVERALL PAY-FOR-PERFORMANCE EXECUTIVE COMPENSATION PROGRAM COMMONLY REFERRED TO AS A “SAY ON PAY” VOTE. | Issuer | Yes | For | For | ||||||||||||||
BB&T CORPORATION | BBT | 054937107 | 26-Apr-2011 | TO PROVIDE AN ADVISORY VOTE ON THE FREQUENCY OF “SAY ON PAY” VOTES. | Issuer | Yes | 3 Years | Against | ||||||||||||||
BB&T CORPORATION | BBT | 054937107 | 26-Apr-2011 | TO VOTE ON A SHAREHOLDER PROPOSAL REQUESTING REPORTS WITH RESPECT TO BB&T’S POLITICAL CONTRIBUTIONS AND RELATED POLICIES AND PROCEDURES. | Shareholder | Yes | For | Against | ||||||||||||||
BB&T CORPORATION | BBT | 054937107 | 26-Apr-2011 | TO VOTE ON A SHAREHOLDER PROPOSAL REGARDING MAJORITY VOTING IN DIRECTOR ELECTIONS. | Shareholder | Yes | For | Against | ||||||||||||||
FIRST NIAGARA FINANCIAL GROUP, INC. | FNFG | 33582V108 | 26-Apr-2011 | DIRECTOR THOMAS E. BAKER | Issuer | Yes | For | For | ||||||||||||||
FIRST NIAGARA FINANCIAL GROUP, INC. | FNFG | 33582V108 | 26-Apr-2011 | DIRECTOR G. THOMAS BOWERS | Issuer | Yes | For | For | ||||||||||||||
FIRST NIAGARA FINANCIAL GROUP, INC. | FNFG | 33582V108 | 26-Apr-2011 | DIRECTOR WILLIAM H. (TONY) JONES | Issuer | Yes | For | For | ||||||||||||||
FIRST NIAGARA FINANCIAL GROUP, INC. | FNFG | 33582V108 | 26-Apr-2011 | DIRECTOR PETER B. ROBINSON | Issuer | Yes | For | For |
Table of Contents
Matter | For / | |||||||||||||||||||||
Meeting | Proposed | Matter | Vote | Against | ||||||||||||||||||
Issuer | Ticker | CUSIP | Date | Description of Vote | by | Voted | Cast | Mgmt | ||||||||||||||
FIRST NIAGARA FINANCIAL GROUP, INC. | FNFG | 33582V108 | 26-Apr-2011 | THE AMENDMENT OF OUR CERTIFICATE OF INCORPORATION TO IMPLEMENT THE PHASED IN DECLASSIFYING OF OUR BOARD OF DIRECTORS | Issuer | Yes | For | For | ||||||||||||||
FIRST NIAGARA FINANCIAL GROUP, INC. | FNFG | 33582V108 | 26-Apr-2011 | THE AMENDMENT TO OUR CERTIFICATE OF INCORPORATION TO ELIMINATE THE “FAIR PRICE” PROVISION BY DELETING THE CURRENT TEXT OF ARTICLE EIGHTH | Issuer | Yes | For | For | ||||||||||||||
FIRST NIAGARA FINANCIAL GROUP, INC. | FNFG | 33582V108 | 26-Apr-2011 | AN ADVISORY (NON-BINDING) VOTE TO APPROVE OUR EXECUTIVE COMPENSATION PROGRAMS AND POLICIES AS DESCRIBED IN THIS PROXY STATEMENT | Issuer | Yes | For | For | ||||||||||||||
FIRST NIAGARA FINANCIAL GROUP, INC. | FNFG | 33582V108 | 26-Apr-2011 | AN ADVISORY (NON-BINDING) VOTE ON THE FREQUENCY OF FUTURE VOTES ON EXECUTIVE COMPENSATION | Issuer | Yes | 3 Years | For | ||||||||||||||
FIRST NIAGARA FINANCIAL GROUP, INC. | FNFG | 33582V108 | 26-Apr-2011 | THE RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2011 | Issuer | Yes | For | For | ||||||||||||||
NATIONAL PENN BANCSHARES, INC. | NPBC | 637138108 | 26-Apr-2011 | DIRECTOR THOMAS A. BEAVER | Issuer | Yes | For | For | ||||||||||||||
NATIONAL PENN BANCSHARES, INC. | NPBC | 637138108 | 26-Apr-2011 | DIRECTOR JEFFREY P. FEATHER | Issuer | Yes | For | For | ||||||||||||||
NATIONAL PENN BANCSHARES, INC. | NPBC | 637138108 | 26-Apr-2011 | DIRECTOR PATRICA L. LANGIOTTI | Issuer | Yes | For | For | ||||||||||||||
NATIONAL PENN BANCSHARES, INC. | NPBC | 637138108 | 26-Apr-2011 | DIRECTOR NATALYE PAQUIN | Issuer | Yes | For | For | ||||||||||||||
NATIONAL PENN BANCSHARES, INC. | NPBC | 637138108 | 26-Apr-2011 | RATIFICATION OF NATIONAL PENN’S INDEPENDENT AUDITORS FOR 2011. | Issuer | Yes | For | For | ||||||||||||||
NATIONAL PENN BANCSHARES, INC. | NPBC | 637138108 | 26-Apr-2011 | AN ADVISORY (NON-BINDING) PROPOSAL TO APPROVE THE COMPENSATION OF NATIONAL PENN’S EXECUTIVES. | Issuer | Yes | For | For | ||||||||||||||
NATIONAL PENN BANCSHARES, INC. | NPBC | 637138108 | 26-Apr-2011 | AN ADVISORY (NON-BINDING) PROPOSAL RELATING TO THE FREQUENCY OF AN ADVISORY VOTE ON EXECUTIVE OFFICER COMPENSATION. | Issuer | Yes | 3 Years | Against | ||||||||||||||
SUNTRUST BANKS, INC. | STI | 867914103 | 26-Apr-2011 | ELECTION OF DIRECTOR: ROBERT M. BEALL, II | Issuer | Yes | For | For | ||||||||||||||
SUNTRUST BANKS, INC. | STI | 867914103 | 26-Apr-2011 | ELECTION OF DIRECTOR: ALSTON D. CORRELL | Issuer | Yes | For | For | ||||||||||||||
SUNTRUST BANKS, INC. | STI | 867914103 | 26-Apr-2011 | ELECTION OF DIRECTOR: JEFFREY C. CROWE | Issuer | Yes | For | For | ||||||||||||||
SUNTRUST BANKS, INC. | STI | 867914103 | 26-Apr-2011 | ELECTION OF DIRECTOR: BLAKE P. GARRETT, JR. | Issuer | Yes | For | For | ||||||||||||||
SUNTRUST BANKS, INC. | STI | 867914103 | 26-Apr-2011 | ELECTION OF DIRECTOR: DAVID H. HUGHES | Issuer | Yes | For | For | ||||||||||||||
SUNTRUST BANKS, INC. | STI | 867914103 | 26-Apr-2011 | ELECTION OF DIRECTOR: M. DOUGLAS IVESTER | Issuer | Yes | For | For | ||||||||||||||
SUNTRUST BANKS, INC. | STI | 867914103 | 26-Apr-2011 | ELECTION OF DIRECTOR: J. HICKS LANIER | Issuer | Yes | For | For | ||||||||||||||
SUNTRUST BANKS, INC. | STI | 867914103 | 26-Apr-2011 | ELECTION OF DIRECTOR: KYLE PRECHTL LEGG | Issuer | Yes | For | For | ||||||||||||||
SUNTRUST BANKS, INC. | STI | 867914103 | 26-Apr-2011 | ELECTION OF DIRECTOR: WILLIAM A. LINNENBRINGER | Issuer | Yes | For | For | ||||||||||||||
SUNTRUST BANKS, INC. | STI | 867914103 | 26-Apr-2011 | ELECTION OF DIRECTOR: G. GILMER MINOR, III | Issuer | Yes | For | For | ||||||||||||||
SUNTRUST BANKS, INC. | STI | 867914103 | 26-Apr-2011 | ELECTION OF DIRECTOR: FRANK S. ROYAL, M.D. | Issuer | Yes | For | For | ||||||||||||||
SUNTRUST BANKS, INC. | STI | 867914103 | 26-Apr-2011 | ELECTION OF DIRECTOR: THOMAS R. WATJEN | Issuer | Yes | For | For | ||||||||||||||
SUNTRUST BANKS, INC. | STI | 867914103 | 26-Apr-2011 | ELECTION OF DIRECTOR: JAMES M. WELLS III | Issuer | Yes | For | For | ||||||||||||||
SUNTRUST BANKS, INC. | STI | 867914103 | 26-Apr-2011 | ELECTION OF DIRECTOR: DR. PHAIL WYNN, JR. | Issuer | Yes | For | For | ||||||||||||||
SUNTRUST BANKS, INC. | STI | 867914103 | 26-Apr-2011 | PROPOSAL TO APPROVE AN INCREASE IN THE NUMBER OF SHARES IN THE SUNTRUST BANKS, INC. 2009 STOCK PLAN. | Issuer | Yes | For | For | ||||||||||||||
SUNTRUST BANKS, INC. | STI | 867914103 | 26-Apr-2011 | PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS FOR 2011. | Issuer | Yes | For | For | ||||||||||||||
SUNTRUST BANKS, INC. | STI | 867914103 | 26-Apr-2011 | TO APPROVE THE FOLLOWING ADVISORY (NON-BINDING) PROPOSAL: “RESOLVED, THAT THE HOLDERS OF COMMON STOCK OF SUNTRUST BANKS, INC. APPROVE THE COMPENSATION OF THE COMPANY’S EXECUTIVES AS DESCRIBED IN THE COMPENSATION DISCUSSION AND ANALYSIS, THE SUMMARY COMPENSATION TABLE, AND IN THE OTHER EXECUTIVE COMPENSATION TABLES AND RELATED DISCUSSION.” | Issuer | Yes | For | For | ||||||||||||||
SUNTRUST BANKS, INC. | STI | 867914103 | 26-Apr-2011 | TO RECOMMEND THAT A NON-BINDING, ADVISORY VOTE TO APPROVE THE COMPENSATION OF SUNTRUST’S NAMED EXECUTIVE OFFICERS BE PUT TO SHAREHOLDERS FOR THEIR CONSIDERATION EVERY: ONE; TWO; OR THREE YEARS. | Issuer | Yes | 3 Years | Against | ||||||||||||||
SUNTRUST BANKS, INC. | STI | 867914103 | 26-Apr-2011 | SHAREHOLDER PROPOSAL REGARDING PREPARATION AND DISCLOSURE OF SUSTAINABILITY REPORT. | Shareholder | Yes | Against | For | ||||||||||||||
THE CHUBB CORPORATION | CB | 171232101 | 26-Apr-2011 | ELECTION OF DIRECTOR: ZOE BAIRD | Issuer | Yes | For | For | ||||||||||||||
THE CHUBB CORPORATION | CB | 171232101 | 26-Apr-2011 | ELECTION OF DIRECTOR: SHEILA P. BURKE | Issuer | Yes | For | For | ||||||||||||||
THE CHUBB CORPORATION | CB | 171232101 | 26-Apr-2011 | ELECTION OF DIRECTOR: JAMES I. CASH, JR. | Issuer | Yes | For | For | ||||||||||||||
THE CHUBB CORPORATION | CB | 171232101 | 26-Apr-2011 | ELECTION OF DIRECTOR: JOHN D. FINNEGAN | Issuer | Yes | For | For | ||||||||||||||
THE CHUBB CORPORATION | CB | 171232101 | 26-Apr-2011 | ELECTION OF DIRECTOR: LAWRENCE W. KELLNER | Issuer | Yes | For | For | ||||||||||||||
THE CHUBB CORPORATION | CB | 171232101 | 26-Apr-2011 | ELECTION OF DIRECTOR: MARTIN G. MCGUINN | Issuer | Yes | For | For | ||||||||||||||
THE CHUBB CORPORATION | CB | 171232101 | 26-Apr-2011 | ELECTION OF DIRECTOR: LAWRENCE M. SMALL | Issuer | Yes | For | For | ||||||||||||||
THE CHUBB CORPORATION | CB | 171232101 | 26-Apr-2011 | ELECTION OF DIRECTOR: JESS SODERBERG | Issuer | Yes | For | For | ||||||||||||||
THE CHUBB CORPORATION | CB | 171232101 | 26-Apr-2011 | ELECTION OF DIRECTOR: DANIEL E. SOMERS | Issuer | Yes | For | For | ||||||||||||||
THE CHUBB CORPORATION | CB | 171232101 | 26-Apr-2011 | ELECTION OF DIRECTOR: JAMES M. ZIMMERMAN | Issuer | Yes | For | For | ||||||||||||||
THE CHUBB CORPORATION | CB | 171232101 | 26-Apr-2011 | ELECTION OF DIRECTOR: ALFRED W. ZOLLAR | Issuer | Yes | For | For | ||||||||||||||
THE CHUBB CORPORATION | CB | 171232101 | 26-Apr-2011 | TO VOTE ON THE ADOPTION OF THE CHUBB CORPORATION ANNUAL INCENTIVE COMPENSATION PLAN (2011). | Issuer | Yes | For | For | ||||||||||||||
THE CHUBB CORPORATION | CB | 171232101 | 26-Apr-2011 | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITOR. | Issuer | Yes | For | For | ||||||||||||||
THE CHUBB CORPORATION | CB | 171232101 | 26-Apr-2011 | TO HOLD AN ADVISORY VOTE ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS AS DISCLOSED PURSUANT TO ITEM 402 OF REGULATION S-K IN THE ENCLOSED ANNUAL MEETING MATERIALS. | Issuer | Yes | For | For | ||||||||||||||
THE CHUBB CORPORATION | CB | 171232101 | 26-Apr-2011 | TO HOLD AN ADVISORY VOTE ON THE FREQUENCY OF THE SHAREHOLDER VOTE ON EXECUTIVE COMPENSATION. | Issuer | Yes | 3 Years | For | ||||||||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 26-Apr-2011 | ELECTION OF DIRECTOR: RICHARD O. BERNDT | Issuer | Yes | For | For | ||||||||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 26-Apr-2011 | ELECTION OF DIRECTOR: CHARLES E. BUNCH | Issuer | Yes | For | For | ||||||||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 26-Apr-2011 | ELECTION OF DIRECTOR: PAUL W. CHELLGREN | Issuer | Yes | For | For | ||||||||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 26-Apr-2011 | ELECTION OF DIRECTOR: KAY COLES JAMES | Issuer | Yes | For | For | ||||||||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 26-Apr-2011 | ELECTION OF DIRECTOR: RICHARD B. KELSON | Issuer | Yes | For | For | ||||||||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 26-Apr-2011 | ELECTION OF DIRECTOR: BRUCE C. LINDSAY | Issuer | Yes | For | For | ||||||||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 26-Apr-2011 | ELECTION OF DIRECTOR: ANTHONY A. MASSARO | Issuer | Yes | For | For | ||||||||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 26-Apr-2011 | ELECTION OF DIRECTOR: JANE G. PEPPER | Issuer | Yes | For | For | ||||||||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 26-Apr-2011 | ELECTION OF DIRECTOR: JAMES E. ROHR | Issuer | Yes | For | For | ||||||||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 26-Apr-2011 | ELECTION OF DIRECTOR: DONALD J. SHEPARD | Issuer | Yes | For | For | ||||||||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 26-Apr-2011 | ELECTION OF DIRECTOR: LORENE K. STEFFES | Issuer | Yes | For | For | ||||||||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 26-Apr-2011 | ELECTION OF DIRECTOR: DENNIS F. STRIGL | Issuer | Yes | For | For | ||||||||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 26-Apr-2011 | ELECTION OF DIRECTOR: THOMAS J. USHER | Issuer | Yes | For | For | ||||||||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 26-Apr-2011 | ELECTION OF DIRECTOR: GEORGE H. WALLS, JR. | Issuer | Yes | For | For | ||||||||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 26-Apr-2011 | ELECTION OF DIRECTOR: HELGE H. WEHMEIER | Issuer | Yes | For | For | ||||||||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 26-Apr-2011 | RATIFICATION OF THE AUDIT COMMITTEE’S SELECTION OF PRICEWATERHOUSECOOPERS LLP AS PNC’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2011. | Issuer | Yes | For | For | ||||||||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 26-Apr-2011 | APPROVAL OF 2006 INCENTIVE AWARD PLAN TERMS. | Issuer | Yes | For | For | ||||||||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 26-Apr-2011 | APPROVAL OF AN ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Issuer | Yes | For | For |
Table of Contents
Matter | For / | |||||||||||||||||||||
Meeting | Proposed | Matter | Vote | Against | ||||||||||||||||||
Issuer | Ticker | CUSIP | Date | Description of Vote | by | Voted | Cast | Mgmt | ||||||||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 26-Apr-2011 | RECOMMENDATION FOR THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION. | Issuer | Yes | 3 Years | Against | ||||||||||||||
POPULAR, INC. | BPOP | 733174106 | 28-Apr-2011 | ELECTION OF DIRECTOR: MARIA LUISA FERRE | Issuer | Yes | For | For | ||||||||||||||
POPULAR, INC. | BPOP | 733174106 | 28-Apr-2011 | ELECTION OF DIRECTOR: C. KIM GOODWIN | Issuer | Yes | For | For | ||||||||||||||
POPULAR, INC. | BPOP | 733174106 | 28-Apr-2011 | ELECTION OF DIRECTOR: WILLIAM J. TEUBER | Issuer | Yes | For | For | ||||||||||||||
POPULAR, INC. | BPOP | 733174106 | 28-Apr-2011 | ADVISORY VOTE REGARDING THE CORPORATION’S EXECUTIVE COMPENSATION PROGRAM. | Issuer | Yes | For | For | ||||||||||||||
POPULAR, INC. | BPOP | 733174106 | 28-Apr-2011 | TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF THE CORPORATION FOR 2011. | Issuer | Yes | For | For | ||||||||||||||
ALLEGHANY CORPORATION | Y | 017175100 | 29-Apr-2011 | ELECTION OF DIRECTOR: REX D. ADAMS | Issuer | Yes | For | For | ||||||||||||||
ALLEGHANY CORPORATION | Y | 017175100 | 29-Apr-2011 | ELECTION OF DIRECTOR: WESTON M. HICKS | Issuer | Yes | For | For | ||||||||||||||
ALLEGHANY CORPORATION | Y | 017175100 | 29-Apr-2011 | ELECTION OF DIRECTOR: JEFFERSON W. KIRBY | Issuer | Yes | For | For | ||||||||||||||
ALLEGHANY CORPORATION | Y | 017175100 | 29-Apr-2011 | RATIFICATION OF KPMG LLP AS ALLEGHANY CORPORATION’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR 2011. | Issuer | Yes | For | For | ||||||||||||||
ALLEGHANY CORPORATION | Y | 017175100 | 29-Apr-2011 | ADVISORY VOTE TO APPROVE THE EXECUTIVE COMPENSATION OF ALLEGHANY CORPORATION. | Issuer | Yes | For | For | ||||||||||||||
ALLEGHANY CORPORATION | Y | 017175100 | 29-Apr-2011 | ADVISORY VOTE ON THE FREQUENCY OF FUTURE STOCKHOLDER ADVISORY VOTES ON EXECUTIVE COMPENSATION. | Issuer | Yes | 3 Years | Against | ||||||||||||||
AMERICAN EXPRESS COMPANY | AXP | 025816109 | 02-May-2011 | DIRECTOR D.F. AKERSON | Issuer | Yes | For | For | ||||||||||||||
AMERICAN EXPRESS COMPANY | AXP | 025816109 | 02-May-2011 | DIRECTOR C. BARSHEFSKY | Issuer | Yes | For | For | ||||||||||||||
AMERICAN EXPRESS COMPANY | AXP | 025816109 | 02-May-2011 | DIRECTOR U.M. BURNS | Issuer | Yes | For | For | ||||||||||||||
AMERICAN EXPRESS COMPANY | AXP | 025816109 | 02-May-2011 | DIRECTOR K.I. CHENAULT | Issuer | Yes | For | For | ||||||||||||||
AMERICAN EXPRESS COMPANY | AXP | 025816109 | 02-May-2011 | DIRECTOR P. CHERNIN | Issuer | Yes | For | For | ||||||||||||||
AMERICAN EXPRESS COMPANY | AXP | 025816109 | 02-May-2011 | DIRECTOR T.J. LEONSIS | Issuer | Yes | For | For | ||||||||||||||
AMERICAN EXPRESS COMPANY | AXP | 025816109 | 02-May-2011 | DIRECTOR J. LESCHLY | Issuer | Yes | For | For | ||||||||||||||
AMERICAN EXPRESS COMPANY | AXP | 025816109 | 02-May-2011 | DIRECTOR R.C. LEVIN | Issuer | Yes | For | For | ||||||||||||||
AMERICAN EXPRESS COMPANY | AXP | 025816109 | 02-May-2011 | DIRECTOR R.A. MCGINN | Issuer | Yes | For | For | ||||||||||||||
AMERICAN EXPRESS COMPANY | AXP | 025816109 | 02-May-2011 | DIRECTOR E.D. MILLER | Issuer | Yes | For | For | ||||||||||||||
AMERICAN EXPRESS COMPANY | AXP | 025816109 | 02-May-2011 | DIRECTOR S.S REINEMUND | Issuer | Yes | For | For | ||||||||||||||
AMERICAN EXPRESS COMPANY | AXP | 025816109 | 02-May-2011 | DIRECTOR R.D. WALTER | Issuer | Yes | For | For | ||||||||||||||
AMERICAN EXPRESS COMPANY | AXP | 025816109 | 02-May-2011 | DIRECTOR R.A. WILLIAMS | Issuer | Yes | For | For | ||||||||||||||
AMERICAN EXPRESS COMPANY | AXP | 025816109 | 02-May-2011 | RATIFICATION OF APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2011. | Issuer | Yes | For | For | ||||||||||||||
AMERICAN EXPRESS COMPANY | AXP | 025816109 | 02-May-2011 | ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Issuer | Yes | For | For | ||||||||||||||
AMERICAN EXPRESS COMPANY | AXP | 025816109 | 02-May-2011 | ADVISORY VOTE ON FREQUENCY OF ADVISORY EXECUTIVE COMPENSATION VOTE. | Issuer | Yes | 3 Years | Against | ||||||||||||||
AMERICAN EXPRESS COMPANY | AXP | 025816109 | 02-May-2011 | SHAREHOLDER PROPOSAL RELATING TO CUMULATIVE VOTING FOR DIRECTORS. | Shareholder | Yes | For | Against | ||||||||||||||
AMERICAN EXPRESS COMPANY | AXP | 025816109 | 02-May-2011 | SHAREHOLDER PROPOSAL RELATING TO THE CALLING OF SPECIAL SHAREHOLDER MEETINGS. | Shareholder | Yes | Against | For | ||||||||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 03-May-2011 | ELECTION OF DIRECTOR: JOHN D. BAKER II | Issuer | Yes | For | For | ||||||||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 03-May-2011 | ELECTION OF DIRECTOR: JOHN S. CHEN | Issuer | Yes | For | For | ||||||||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 03-May-2011 | ELECTION OF DIRECTOR: LLOYD H. DEAN | Issuer | Yes | For | For | ||||||||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 03-May-2011 | ELECTION OF DIRECTOR: SUSAN E. ENGEL | Issuer | Yes | For | For | ||||||||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 03-May-2011 | ELECTION OF DIRECTOR: ENRIQUE HERNANDEZ, JR. | Issuer | Yes | For | For | ||||||||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 03-May-2011 | ELECTION OF DIRECTOR: DONALD M. JAMES | Issuer | Yes | For | For | ||||||||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 03-May-2011 | ELECTION OF DIRECTOR: MACKEY J. MCDONALD | Issuer | Yes | For | For | ||||||||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 03-May-2011 | ELECTION OF DIRECTOR: CYNTHIA H. MILLIGAN | Issuer | Yes | For | For | ||||||||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 03-May-2011 | ELECTION OF DIRECTOR: NICHOLAS G. MOORE | Issuer | Yes | For | For | ||||||||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 03-May-2011 | ELECTION OF DIRECTOR: PHILIP J. QUIGLEY | Issuer | Yes | For | For | ||||||||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 03-May-2011 | ELECTION OF DIRECTOR: JUDITH M. RUNSTAD | Issuer | Yes | For | For | ||||||||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 03-May-2011 | ELECTION OF DIRECTOR: STEPHEN W. SANGER | Issuer | Yes | For | For | ||||||||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 03-May-2011 | ELECTION OF DIRECTOR: JOHN G. STUMPF | Issuer | Yes | For | For | ||||||||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 03-May-2011 | ELECTION OF DIRECTOR: SUSAN G. SWENSON | Issuer | Yes | For | For | ||||||||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 03-May-2011 | PROPOSAL TO APPROVE AN ADVISORY RESOLUTION TO APPROVE THE NAMED EXECUTIVES’ COMPENSATION. | Issuer | Yes | For | For | ||||||||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 03-May-2011 | ADVISORY PROPOSAL ON THE FREQUENCY OF FUTURE ADVISORY VOTES REGARDING NAMED EXECUTIVES’ COMPENSATION. | Issuer | Yes | 3 Years | Against | ||||||||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 03-May-2011 | PROPOSAL TO RATIFY THE APPOINTMENT OF KPMG LLP AS INDEPENDENT AUDITORS FOR 2011. | Issuer | Yes | For | For | ||||||||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 03-May-2011 | STOCKHOLDER PROPOSAL REGARDING AN AMENDMENT TO THE COMPANY’S BY-LAWS TO ALLOW HOLDERS OF 10% OF THE COMPANY’S COMMON STOCK TO CALL SPECIAL MEETINGS OF STOCKHOLDERS. | Shareholder | Yes | Against | For | ||||||||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 03-May-2011 | STOCKHOLDER PROPOSAL TO PROVIDE FOR CUMULATIVE VOTING IN CONTESTED DIRECTOR ELECTIONS. | Shareholder | Yes | For | Against | ||||||||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 03-May-2011 | STOCKHOLDER PROPOSAL REGARDING THE ADOPTION OF A POLICY TO REQUIRE AN INDEPENDENT CHAIRMAN. | Shareholder | Yes | For | Against | ||||||||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 03-May-2011 | STOCKHOLDER PROPOSAL REGARDING AN ADVISORY VOTE ON DIRECTOR COMPENSATION. | Shareholder | Yes | Against | For | ||||||||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 03-May-2011 | STOCKHOLDER PROPOSAL REGARDING AN INVESTIGATION AND REPORT ON INTERNAL CONTROLS FOR MORTGAGE SERVICING OPERATIONS. | Shareholder | Yes | Against | For | ||||||||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 04-May-2011 | DIRECTOR FRANCISCO L. BORGES | Issuer | Yes | For | For | ||||||||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 04-May-2011 | DIRECTOR PATRICK W. KENNY | Issuer | Yes | For | For | ||||||||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 04-May-2011 | DIRECTOR ROBIN MONRO-DAVIES | Issuer | Yes | For | For | ||||||||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 04-May-2011 | DIRECTOR MICHAEL T. O’KANE | Issuer | Yes | For | For | ||||||||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 04-May-2011 | DIRECTOR HOWARD ALBERT* | Issuer | Yes | For | For | ||||||||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 04-May-2011 | DIRECTOR ROBERT A. BAILENSON* | Issuer | Yes | For | For | ||||||||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 04-May-2011 | DIRECTOR RUSSELL B. BREWER II* | Issuer | Yes | For | For | ||||||||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 04-May-2011 | DIRECTOR GARY BURNET* | Issuer | Yes | For | For | ||||||||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 04-May-2011 | DIRECTOR DOMINIC J. FREDERICO* | Issuer | Yes | For | For | ||||||||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 04-May-2011 | DIRECTOR JAMES M. MICHENER* | Issuer | Yes | For | For | ||||||||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 04-May-2011 | DIRECTOR ROBERT B. MILLS* | Issuer | Yes | For | For | ||||||||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 04-May-2011 | DIRECTOR KEVIN PEARSON* | Issuer | Yes | For | For | ||||||||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 04-May-2011 | TO APPROVE AN AMENDMENT TO THE COMPANY’S BYE- LAWS TO PROVIDE FOR THE ANNUAL ELECTION OF DIRECTORS. | Issuer | Yes | For | For | ||||||||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 04-May-2011 | TO APPROVE, ON A NON-BINDING, ADVISORY BASIS, EXECUTIVE COMPENSATION. | Issuer | Yes | For | For | ||||||||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 04-May-2011 | FOR FREQUENCY OF FUTURE NON-BINDING VOTES ON EXECUTIVE COMPENSATION. | Issuer | Yes | 3 Years | Against | ||||||||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 04-May-2011 | RATIFICATION OF PRICEWATERHOUSECOOPERS LLP (“PWC”) AS THE COMPANY’S INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2011. | Issuer | Yes | For | For |
Table of Contents
Matter | For / | |||||||||||||||||||||
Meeting | Proposed | Matter | Vote | Against | ||||||||||||||||||
Issuer | Ticker | CUSIP | Date | Description of Vote | by | Voted | Cast | Mgmt | ||||||||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 04-May-2011 | AUTHORIZING THE COMPANY TO VOTE FOR THE APPOINTMENT OF PWC AS AG RE’S INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2011. | Issuer | Yes | For | For | ||||||||||||||
STERLING BANCORP | STL | 859158107 | 05-May-2011 | DIRECTOR ROBERT ABRAMS | Issuer | Yes | For | For | ||||||||||||||
STERLING BANCORP | STL | 859158107 | 05-May-2011 | DIRECTOR JOSEPH M. ADAMKO | Issuer | Yes | For | For | ||||||||||||||
STERLING BANCORP | STL | 859158107 | 05-May-2011 | DIRECTOR LOUIS J. CAPPELLI | Issuer | Yes | For | For | ||||||||||||||
STERLING BANCORP | STL | 859158107 | 05-May-2011 | DIRECTOR FERNANDO FERRER | Issuer | Yes | For | For | ||||||||||||||
STERLING BANCORP | STL | 859158107 | 05-May-2011 | DIRECTOR ALLAN F. HERSHFIELD | Issuer | Yes | For | For | ||||||||||||||
STERLING BANCORP | STL | 859158107 | 05-May-2011 | DIRECTOR HENRY J. HUMPHREYS | Issuer | Yes | For | For | ||||||||||||||
STERLING BANCORP | STL | 859158107 | 05-May-2011 | DIRECTOR ROBERT W. LAZAR | Issuer | Yes | For | For | ||||||||||||||
STERLING BANCORP | STL | 859158107 | 05-May-2011 | DIRECTOR CAROLYN JOY LEE | Issuer | Yes | For | For | ||||||||||||||
STERLING BANCORP | STL | 859158107 | 05-May-2011 | DIRECTOR JOHN C. MILLMAN | Issuer | Yes | For | For | ||||||||||||||
STERLING BANCORP | STL | 859158107 | 05-May-2011 | DIRECTOR EUGENE ROSSIDES | Issuer | Yes | For | For | ||||||||||||||
STERLING BANCORP | STL | 859158107 | 05-May-2011 | PROPOSAL TO RATIFY THE APPOINTMENT BY THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS OF CROWE HORWATH LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR 2011. | Issuer | Yes | For | For | ||||||||||||||
STERLING BANCORP | STL | 859158107 | 05-May-2011 | ADVISORY APPROVAL OF THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS. | Issuer | Yes | For | For | ||||||||||||||
STERLING BANCORP | STL | 859158107 | 05-May-2011 | PROPOSAL TO REAPPROVE THE STERLING BANCORP KEY EXECUTIVE INCENTIVE BONUS PLAN, WHICH WAS ORIGINALLY APPROVED BY THE COMPANY’S SHAREHOLDERS IN 2001 AND REAPPROVED IN 2006, THE MATERIAL TERMS OF WHICH ARE DESCRIBED IN THE ACCOMPANYING PROXY STATEMENT. | Issuer | Yes | For | For | ||||||||||||||
STERLING BANCORP | STL | 859158107 | 05-May-2011 | PROPOSAL TO AMEND THE CERTIFICATE OF INCORPORATION OF STERLING BANCORP TO INCREASE THE NUMBER OF AUTHORIZED COMMON SHARES OF STERLING BANCORP FROM 50,000,000 TO 100,000,000 SHARES. | Issuer | Yes | Against | Against | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR KEWSONG LEE | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR BRIAN S. POSNER | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR JOHN D. VOLLARO | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR ROBERT F. WORKS | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR WILLIAM E. BEVERIDGE | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR DENNIS R. BRAND | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR KNUD CHRISTENSEN | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR GRAHAM B.R. COLLIS | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR WILLIAM J. COONEY | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR STEPHEN FOGARTY | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR E. FULLERTON-ROME | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR RUTGER H.W. FUNNEKOTTER | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR MARC GRANDISSON | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR MICHAEL A. GREENE | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR JOHN C.R. HELE | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR DAVID W. HIPKIN | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR W. PRESTON HUTCHINGS | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR CONSTANTINE IORDANOU | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR WOLBERT H. KAMPHUIJS | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR MICHAEL H. KIER | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR MARK D. LYONS | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR ADAM MATTESON | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR DAVID MCELROY | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR MARTIN J. NILSEN | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR NICOLAS PAPADOPOULO | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR MICHAEL QUINN | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR MAAMOUN RAJEH | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR PAUL S. ROBOTHAM | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR SOREN SCHEUER | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR BUDHI SINGH | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR HELMUT SOHLER | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR JULIAN STROUD | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR ANGUS WATSON | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | DIRECTOR JAMES R. WEATHERSTONE | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | TO APPROVE AN AMENDMENT TO THE MEMORANDUM OF ASSOCIATION TO EFFECT A THREE-FOR-ONE COMMON SHARE SPLIT. | Issuer | Yes | Abstain | Against | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | TO APPOINT PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2011. | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | ADVISORY VOTE ON EXECUTIVE COMPENSATION (SAY-ON- PAY). | Issuer | Yes | For | For | ||||||||||||||
ARCH CAPITAL GROUP LTD. | ACGL | G0450A105 | 06-May-2011 | ADVISORY VOTE ON FREQUENCY OF SAY-ON-PAY VOTE. | Issuer | Yes | 3 Years | Against | ||||||||||||||
XL GROUP PLC | XL | G98290102 | 06-May-2011 | ELECTION OF DIRECTOR: HERBERT N. HAAG | Issuer | Yes | For | For | ||||||||||||||
XL GROUP PLC | XL | G98290102 | 06-May-2011 | ELECTION OF DIRECTOR: MICHAEL S. MCGAVICK | Issuer | Yes | For | For | ||||||||||||||
XL GROUP PLC | XL | G98290102 | 06-May-2011 | ELECTION OF DIRECTOR: ELLEN E. THROWER | Issuer | Yes | For | For | ||||||||||||||
XL GROUP PLC | XL | G98290102 | 06-May-2011 | ELECTION OF DIRECTOR: JOHN M. VEREKER | Issuer | Yes | For | For | ||||||||||||||
XL GROUP PLC | XL | G98290102 | 06-May-2011 | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP, NEW YORK, NEW YORK TO ACT AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF THE COMPANY FOR THE YEAR ENDING DECEMBER 31, 2011. | Issuer | Yes | For | For | ||||||||||||||
XL GROUP PLC | XL | G98290102 | 06-May-2011 | TO PROVIDE A NON-BINDING, ADVISORY VOTE APPROVING THE COMPANY’S EXECUTIVE COMPENSATION. | Issuer | Yes | For | For | ||||||||||||||
XL GROUP PLC | XL | G98290102 | 06-May-2011 | TO PROVIDE A NON-BINDING, ADVISORY VOTE ON THE FREQUENCY OF FUTURE EXECUTIVE COMPENSATION VOTES. | Issuer | Yes | 3 Years | Against | ||||||||||||||
XL GROUP PLC | XL | G98290102 | 06-May-2011 | TO APPROVE THE INCREASE IN THE NUMBER OF SHARES AVAILABLE FOR ISSUANCE UNDER THE COMPANY’S 1991 PERFORMANCE INCENTIVE PROGRAM. | Issuer | Yes | For | For | ||||||||||||||
PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 10-May-2011 | ELECTION OF DIRECTOR: THOMAS J. BALTIMORE, JR. | Issuer | Yes | For | For | ||||||||||||||
PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 10-May-2011 | ELECTION OF DIRECTOR: GORDON M. BETHUNE | Issuer | Yes | For | For | ||||||||||||||
PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 10-May-2011 | ELECTION OF DIRECTOR: GASTON CAPERTON | Issuer | Yes | For | For | ||||||||||||||
PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 10-May-2011 | ELECTION OF DIRECTOR: GILBERT F. CASELLAS | Issuer | Yes | For | For | ||||||||||||||
PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 10-May-2011 | ELECTION OF DIRECTOR: JAMES G. CULLEN | Issuer | Yes | For | For | ||||||||||||||
PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 10-May-2011 | ELECTION OF DIRECTOR: WILLIAM H. GRAY III | Issuer | Yes | For | For | ||||||||||||||
PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 10-May-2011 | ELECTION OF DIRECTOR: MARK B. GRIER | Issuer | Yes | For | For | ||||||||||||||
PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 10-May-2011 | ELECTION OF DIRECTOR: CONSTANCE J. HORNER | Issuer | Yes | For | For |
Table of Contents
Matter | For / | |||||||||||||||||||||
Meeting | Proposed | Matter | Vote | Against | ||||||||||||||||||
Issuer | Ticker | CUSIP | Date | Description of Vote | by | Voted | Cast | Mgmt | ||||||||||||||
PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 10-May-2011 | ELECTION OF DIRECTOR: MARTINA HUND-MEJEAN | Issuer | Yes | For | For | ||||||||||||||
PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 10-May-2011 | ELECTION OF DIRECTOR: KARL J. KRAPEK | Issuer | Yes | For | For | ||||||||||||||
PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 10-May-2011 | ELECTION OF DIRECTOR: CHRISTINE A. POON | Issuer | Yes | For | For | ||||||||||||||
PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 10-May-2011 | ELECTION OF DIRECTOR: JOHN R. STRANGFELD | Issuer | Yes | For | For | ||||||||||||||
PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 10-May-2011 | ELECTION OF DIRECTOR: JAMES A. UNRUH | Issuer | Yes | For | For | ||||||||||||||
PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 10-May-2011 | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2011. | Issuer | Yes | For | For | ||||||||||||||
PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 10-May-2011 | ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Issuer | Yes | For | For | ||||||||||||||
PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 10-May-2011 | ADVISORY VOTE ON FREQUENCY. | Issuer | Yes | 3 Years | Against | ||||||||||||||
PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 10-May-2011 | SHAREHOLDER PROPOSAL REGARDING SUPERMAJORITY VOTING. | Shareholder | Yes | For | For | ||||||||||||||
PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 10-May-2011 | SHAREHOLDER PROPOSAL REGARDING LOBBYING CONTRIBUTIONS & EXPENDITURES. | Shareholder | Yes | Against | For | ||||||||||||||
WINTHROP REALTY TRUST | FUR | 976391300 | 10-May-2011 | DIRECTOR MICHAEL L. ASHNER | Issuer | Yes | For | For | ||||||||||||||
WINTHROP REALTY TRUST | FUR | 976391300 | 10-May-2011 | DIRECTOR ARTHUR BLASBERG, JR. | Issuer | Yes | For | For | ||||||||||||||
WINTHROP REALTY TRUST | FUR | 976391300 | 10-May-2011 | DIRECTOR HOWARD GOLDBERG | Issuer | Yes | For | For | ||||||||||||||
WINTHROP REALTY TRUST | FUR | 976391300 | 10-May-2011 | DIRECTOR THOMAS F. MCWILLIAMS | Issuer | Yes | For | For | ||||||||||||||
WINTHROP REALTY TRUST | FUR | 976391300 | 10-May-2011 | DIRECTOR LEE SEIDLER | Issuer | Yes | For | For | ||||||||||||||
WINTHROP REALTY TRUST | FUR | 976391300 | 10-May-2011 | DIRECTOR CAROLYN TIFFANY | Issuer | Yes | For | For | ||||||||||||||
WINTHROP REALTY TRUST | FUR | 976391300 | 10-May-2011 | DIRECTOR STEVEN ZALKIND | Issuer | Yes | For | For | ||||||||||||||
WINTHROP REALTY TRUST | FUR | 976391300 | 10-May-2011 | PROPOSAL TO RATIFY PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2011. | Issuer | Yes | For | For | ||||||||||||||
WINTHROP REALTY TRUST | FUR | 976391300 | 10-May-2011 | SAY ON PAY — AN ADVISORY VOTE ON THE NARRATIVE UNDER “COMPENSATION DISCUSSION AND ANALYSIS” IN THE PROXY STATEMENT. | Issuer | Yes | For | For | ||||||||||||||
WINTHROP REALTY TRUST | FUR | 976391300 | 10-May-2011 | SAY WHEN ON PAY — AN ADVISORY VOTE ON THE APPROVAL OF THE FREQUENCY OF SHAREHOLDER VOTES ON THE NARRATIVE UNDER “COMPENSATION DISCUSSION AND ANALYSIS” IN THE PROXY STATEMENT. | Issuer | Yes | 3 Years | For | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | ELECTION OF DIRECTOR: MUKESH D. AMBANI | Issuer | Yes | For | For | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | ELECTION OF DIRECTOR: SUSAN S. BIES | Issuer | Yes | For | For | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | ELECTION OF DIRECTOR: FRANK P. BRAMBLE, SR. | Issuer | Yes | For | For | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | ELECTION OF DIRECTOR: VIRGIS W. COLBERT | Issuer | Yes | For | For | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | ELECTION OF DIRECTOR: CHARLES K. GIFFORD | Issuer | Yes | For | For | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | ELECTION OF DIRECTOR: CHARLES O. HOLLIDAY, JR. | Issuer | Yes | For | For | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | ELECTION OF DIRECTOR: D. PAUL JONES, JR. | Issuer | Yes | For | For | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | ELECTION OF DIRECTOR: MONICA C. LOZANO | Issuer | Yes | For | For | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | ELECTION OF DIRECTOR: THOMAS J. MAY | Issuer | Yes | For | For | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | ELECTION OF DIRECTOR: BRIAN T. MOYNIHAN | Issuer | Yes | For | For | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | ELECTION OF DIRECTOR: DONALD E. POWELL | Issuer | Yes | For | For | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | ELECTION OF DIRECTOR: CHARLES O. ROSSOTTI | Issuer | Yes | For | For | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | ELECTION OF DIRECTOR: ROBERT W. SCULLY | Issuer | Yes | For | For | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | AN ADVISORY (NON-BINDING) “SAY ON PAY” VOTE TO APPROVE EXECUTIVE COMPENSATION. | Issuer | Yes | For | For | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | AN ADVISORY (NON-BINDING) VOTE ON THE FREQUENCY OF FUTURE ADVISORY “SAY ON PAY” VOTES. | Issuer | Yes | 3 Years | Against | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | RATIFICATION OF THE REGISTERED INDEPENDENT PUBLIC ACCOUNTING FIRM FOR 2011. | Issuer | Yes | For | For | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | STOCKHOLDER PROPOSAL — DISCLOSURE OF GOVERNMENT EMPLOYMENT. | Shareholder | Yes | Against | For | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | STOCKHOLDER PROPOSAL — STOCKHOLDER ACTION BY WRITTEN CONSENT. | Shareholder | Yes | Against | For | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | STOCKHOLDER PROPOSAL — MORTGAGE SERVICING OPERATIONS. | Shareholder | Yes | Against | For | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | STOCKHOLDER PROPOSAL — GRASSROOTS LOBBYING. | Shareholder | Yes | Against | For | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | STOCKHOLDER PROPOSAL — OTC DERIVATIVES TRADING. | Shareholder | Yes | Against | For | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | STOCKHOLDER PROPOSAL — CUMULATIVE VOTING IN CONTESTED ELECTIONS. | Shareholder | Yes | For | Against | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | STOCKHOLDER PROPOSAL — RECOUPMENT OF INCENTIVE COMPENSATION. | Shareholder | Yes | Against | For | ||||||||||||||
BANK OF AMERICA CORPORATION | BAC | 060505104 | 11-May-2011 | STOCKHOLDER PROPOSAL — PROHIBITION OF CERTAIN RELOCATION BENEFITS. | Shareholder | Yes | For | Against | ||||||||||||||
NEWBRIDGE BANCORP | NBBC | 65080T102 | 11-May-2011 | ELECTION OF DIRECTOR: MICHAEL S. ALBERT | Issuer | Yes | For | For | ||||||||||||||
NEWBRIDGE BANCORP | NBBC | 65080T102 | 11-May-2011 | ELECTION OF DIRECTOR: J. DAVID BRANCH | Issuer | Yes | For | For | ||||||||||||||
NEWBRIDGE BANCORP | NBBC | 65080T102 | 11-May-2011 | ELECTION OF DIRECTOR: C. ARNOLD BRITT | Issuer | Yes | For | For | ||||||||||||||
NEWBRIDGE BANCORP | NBBC | 65080T102 | 11-May-2011 | ELECTION OF DIRECTOR: ROBERT C. CLARK | Issuer | Yes | For | For | ||||||||||||||
NEWBRIDGE BANCORP | NBBC | 65080T102 | 11-May-2011 | ELECTION OF DIRECTOR: ALEX A. DIFFEY, JR. | Issuer | Yes | For | For | ||||||||||||||
NEWBRIDGE BANCORP | NBBC | 65080T102 | 11-May-2011 | ELECTION OF DIRECTOR: BARRY Z. DODSON | Issuer | Yes | For | For | ||||||||||||||
NEWBRIDGE BANCORP | NBBC | 65080T102 | 11-May-2011 | ELECTION OF DIRECTOR: JOSEPH H. KINNARNEY | Issuer | Yes | For | For | ||||||||||||||
NEWBRIDGE BANCORP | NBBC | 65080T102 | 11-May-2011 | ELECTION OF DIRECTOR: ROBERT F. LOWE | Issuer | Yes | For | For | ||||||||||||||
NEWBRIDGE BANCORP | NBBC | 65080T102 | 11-May-2011 | ELECTION OF DIRECTOR: ROBERT V. PERKINS | Issuer | Yes | For | For | ||||||||||||||
NEWBRIDGE BANCORP | NBBC | 65080T102 | 11-May-2011 | ELECTION OF DIRECTOR: PRESSLEY A. RIDGILL | Issuer | Yes | For | For | ||||||||||||||
NEWBRIDGE BANCORP | NBBC | 65080T102 | 11-May-2011 | ELECTION OF DIRECTOR: MARY E. RITTLING | Issuer | Yes | For | For | ||||||||||||||
NEWBRIDGE BANCORP | NBBC | 65080T102 | 11-May-2011 | ELECTION OF DIRECTOR: E. REID TEAGUE | Issuer | Yes | For | For | ||||||||||||||
NEWBRIDGE BANCORP | NBBC | 65080T102 | 11-May-2011 | ELECTION OF DIRECTOR: JOHN F. WATTS | Issuer | Yes | For | For | ||||||||||||||
NEWBRIDGE BANCORP | NBBC | 65080T102 | 11-May-2011 | ELECTION OF DIRECTOR: G. ALFRED WEBSTER | Issuer | Yes | For | For | ||||||||||||||
NEWBRIDGE BANCORP | NBBC | 65080T102 | 11-May-2011 | ELECTION OF DIRECTOR: KENAN C. WRIGHT | Issuer | Yes | For | For | ||||||||||||||
NEWBRIDGE BANCORP | NBBC | 65080T102 | 11-May-2011 | ELECTION OF DIRECTOR: JULIUS S. YOUNG, JR. | Issuer | Yes | For | For | ||||||||||||||
NEWBRIDGE BANCORP | NBBC | 65080T102 | 11-May-2011 | PROPOSAL TO RATIFY THE SELECTION OF GRANT THORNTON LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2011. | Issuer | Yes | For | For | ||||||||||||||
NEWBRIDGE BANCORP | NBBC | 65080T102 | 11-May-2011 | TO CONSIDER AND APPROVE AN ADVISORY (NON-BINDING) PROPOSAL ON EXECUTIVE COMPENSATION (AS MORE FULLY DESCRIBED IN THE ACCOMPANYING PROXY STATEMENT). | Issuer | Yes | For | For | ||||||||||||||
ASSURANT, INC. | AIZ | 04621X108 | 12-May-2011 | ELECTION OF DIRECTOR: ELAINE D. ROSEN | Issuer | Yes | For | For | ||||||||||||||
ASSURANT, INC. | AIZ | 04621X108 | 12-May-2011 | ELECTION OF DIRECTOR: HOWARD L. CARVER | Issuer | Yes | For | For | ||||||||||||||
ASSURANT, INC. | AIZ | 04621X108 | 12-May-2011 | ELECTION OF DIRECTOR: JUAN N. CENTO | Issuer | Yes | For | For | ||||||||||||||
ASSURANT, INC. | AIZ | 04621X108 | 12-May-2011 | ELECTION OF DIRECTOR: LAWRENCE V. JACKSON | Issuer | Yes | For | For | ||||||||||||||
ASSURANT, INC. | AIZ | 04621X108 | 12-May-2011 | ELECTION OF DIRECTOR: DAVID B. KELSO | Issuer | Yes | For | For | ||||||||||||||
ASSURANT, INC. | AIZ | 04621X108 | 12-May-2011 | ELECTION OF DIRECTOR: CHARLES J. KOCH | Issuer | Yes | For | For | ||||||||||||||
ASSURANT, INC. | AIZ | 04621X108 | 12-May-2011 | ELECTION OF DIRECTOR: H. CARROLL MACKIN | Issuer | Yes | For | For | ||||||||||||||
ASSURANT, INC. | AIZ | 04621X108 | 12-May-2011 | ELECTION OF DIRECTOR: ROBERT B. POLLOCK | Issuer | Yes | For | For | ||||||||||||||
ASSURANT, INC. | AIZ | 04621X108 | 12-May-2011 | ELECTION OF DIRECTOR: JOHN A.C. SWAINSON | Issuer | Yes | For | For | ||||||||||||||
ASSURANT, INC. | AIZ | 04621X108 | 12-May-2011 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Issuer | Yes | For | For | ||||||||||||||
ASSURANT, INC. | AIZ | 04621X108 | 12-May-2011 | TO APPROVE, BY NON-BINDING VOTE, THE 2010 COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS. | Issuer | Yes | For | For |
Table of Contents
Matter | For / | |||||||||||||||||||||
Meeting | Proposed | Matter | Vote | Against | ||||||||||||||||||
Issuer | Ticker | CUSIP | Date | Description of Vote | by | Voted | Cast | Mgmt | ||||||||||||||
ASSURANT, INC. | AIZ | 04621X108 | 12-May-2011 | TO RECOMMEND, BY NON-BINDING VOTE, THE FREQUENCY OF EXECUTIVE COMPENSATION VOTES. | Issuer | Yes | 3 Years | Against | ||||||||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 17-May-2011 | ELECTION OF DIRECTOR: CRANDALL C. BOWLES | Issuer | Yes | For | For | ||||||||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 17-May-2011 | ELECTION OF DIRECTOR: STEPHEN B. BURKE | Issuer | Yes | For | For | ||||||||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 17-May-2011 | ELECTION OF DIRECTOR: DAVID M. COTE | Issuer | Yes | For | For | ||||||||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 17-May-2011 | ELECTION OF DIRECTOR: JAMES S. CROWN | Issuer | Yes | For | For | ||||||||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 17-May-2011 | ELECTION OF DIRECTOR: JAMES DIMON | Issuer | Yes | For | For | ||||||||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 17-May-2011 | ELECTION OF DIRECTOR: ELLEN V. FUTTER | Issuer | Yes | For | For | ||||||||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 17-May-2011 | ELECTION OF DIRECTOR: WILLIAM H. GRAY, III | Issuer | Yes | For | For | ||||||||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 17-May-2011 | ELECTION OF DIRECTOR: LABAN P. JACKSON, JR. | Issuer | Yes | For | For | ||||||||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 17-May-2011 | ELECTION OF DIRECTOR: DAVID C. NOVAK | Issuer | Yes | For | For | ||||||||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 17-May-2011 | ELECTION OF DIRECTOR: LEE R. RAYMOND | Issuer | Yes | For | For | ||||||||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 17-May-2011 | ELECTION OF DIRECTOR: WILLIAM C. WELDON | Issuer | Yes | For | For | ||||||||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 17-May-2011 | APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Issuer | Yes | For | For | ||||||||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 17-May-2011 | ADVISORY VOTE ON EXECUTIVE COMPENSATION | Issuer | Yes | For | For | ||||||||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 17-May-2011 | ADVISORY VOTE ON FREQUENCY OF ADVISORY VOTE ON EXECUTIVE COMPENSATION | Issuer | Yes | 3 Years | Against | ||||||||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 17-May-2011 | APPROVAL OF AMENDMENT TO LONG-TERM INCENTIVE PLAN | Issuer | Yes | For | For | ||||||||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 17-May-2011 | POLITICAL NON-PARTISANSHIP | Shareholder | Yes | Against | For | ||||||||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 17-May-2011 | SHAREHOLDER ACTION BY WRITTEN CONSENT | Shareholder | Yes | Against | For | ||||||||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 17-May-2011 | MORTGAGE LOAN SERVICING | Shareholder | Yes | Against | For | ||||||||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 17-May-2011 | POLITICAL CONTRIBUTIONS | Shareholder | Yes | Against | For | ||||||||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 17-May-2011 | GENOCIDE-FREE INVESTING | Shareholder | Yes | Against | For | ||||||||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 17-May-2011 | INDEPENDENT LEAD DIRECTOR | Shareholder | Yes | Against | For | ||||||||||||||
REDWOOD TRUST, INC. | RWT | 758075402 | 17-May-2011 | DIRECTOR DOUGLAS B. HANSEN | Issuer | No | 0 | 0 | ||||||||||||||
REDWOOD TRUST, INC. | RWT | 758075402 | 17-May-2011 | DIRECTOR MARTIN S. HUGHES | Issuer | No | 0 | 0 | ||||||||||||||
REDWOOD TRUST, INC. | RWT | 758075402 | 17-May-2011 | DIRECTOR GREG H. KUBICEK | Issuer | No | 0 | 0 | ||||||||||||||
REDWOOD TRUST, INC. | RWT | 758075402 | 17-May-2011 | DIRECTOR C.J. TOENISKOETTER | Issuer | No | 0 | 0 | ||||||||||||||
REDWOOD TRUST, INC. | RWT | 758075402 | 17-May-2011 | RATIFICATION OF THE APPOINTMENT OF GRANT THORNTON LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2011. | Issuer | No | 0 | 0 | ||||||||||||||
REDWOOD TRUST, INC. | RWT | 758075402 | 17-May-2011 | ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Issuer | No | 0 | 0 | ||||||||||||||
REDWOOD TRUST, INC. | RWT | 758075402 | 17-May-2011 | ADVISORY VOTE ON THE FREQUENCY OF HOLDING AN ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Issuer | No | 0 | 0 | ||||||||||||||
REDWOOD TRUST, INC. | RWT | 758075402 | 17-May-2011 | AMENDMENT TO THE COMPANY’S CHARTER TO INCREASE THE NUMBER OF SHARES OF CAPITAL STOCK AUTHORIZED FOR ISSUANCE FROM 100 MILLION SHARES TO 125 MILLION SHARES. | Issuer | No | 0 | 0 | ||||||||||||||
REDWOOD TRUST, INC. | RWT | 758075402 | 17-May-2011 | STOCKHOLDER-SUBMITTED PROPOSAL THAT STOCKHOLDERS REQUEST THE BOARD OF DIRECTORS TO TAKE STEPS TO ELIMINATE THE CLASSIFICATION OF TERMS OF DIRECTORS. | Shareholder | No | 0 | 0 | ||||||||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 17-May-2011 | ELECTION OF DIRECTOR: F. DUANE ACKERMAN | Issuer | Yes | For | For | ||||||||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 17-May-2011 | ELECTION OF DIRECTOR: ROBERT D. BEYER | Issuer | Yes | For | For | ||||||||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 17-May-2011 | ELECTION OF DIRECTOR: W. JAMES FARRELL | Issuer | Yes | For | For | ||||||||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 17-May-2011 | ELECTION OF DIRECTOR: JACK M. GREENBERG | Issuer | Yes | For | For | ||||||||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 17-May-2011 | ELECTION OF DIRECTOR: RONALD T. LEMAY | Issuer | Yes | For | For | ||||||||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 17-May-2011 | ELECTION OF DIRECTOR: ANDREA REDMOND | Issuer | Yes | For | For | ||||||||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 17-May-2011 | ELECTION OF DIRECTOR: H. JOHN RILEY, JR. | Issuer | Yes | For | For | ||||||||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 17-May-2011 | ELECTION OF DIRECTOR: JOSHUA I. SMITH | Issuer | Yes | For | For | ||||||||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 17-May-2011 | ELECTION OF DIRECTOR: JUDITH A. SPRIESER | Issuer | Yes | For | For | ||||||||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 17-May-2011 | ELECTION OF DIRECTOR: MARY ALICE TAYLOR | Issuer | Yes | For | For | ||||||||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 17-May-2011 | ELECTION OF DIRECTOR: THOMAS J. WILSON | Issuer | Yes | For | For | ||||||||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 17-May-2011 | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS ALLSTATE’S INDEPENDENT REGISTERED PUBLIC ACCOUNTANT FOR 2011. | Issuer | Yes | For | For | ||||||||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 17-May-2011 | APPROVE THE PROPOSED AMENDMENT TO THE CERTIFICATE OF INCORPORATION GRANTING TO HOLDERS OF NOT LESS THAN 20% OF THE CORPORATION’S SHARES THE RIGHT TO CALL A SPECIAL MEETING OF STOCKHOLDERS. | Issuer | Yes | For | For | ||||||||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 17-May-2011 | APPROVE THE PROPOSED AMENDMENT TO THE CERTIFICATE OF INCORPORATION DESIGNATING A FORUM FOR CERTAIN LEGAL ACTIONS. | Issuer | Yes | For | For | ||||||||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 17-May-2011 | ADVISORY VOTE ON THE EXECUTIVE COMPENSATION OF THE NAMED EXECUTIVE OFFICERS. | Issuer | Yes | For | For | ||||||||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 17-May-2011 | ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION. | Issuer | Yes | 3 Years | For | ||||||||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 17-May-2011 | STOCKHOLDER PROPOSAL SEEKING THE RIGHT FOR STOCKHOLDERS TO ACT BY WRITTEN CONSENT. | Shareholder | Yes | Against | For | ||||||||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 17-May-2011 | STOCKHOLDER PROPOSAL SEEKING A REPORT ON POLITICAL CONTRIBUTIONS AND PAYMENTS TO TRADE ASSOCIATIONS AND OTHER TAX EXEMPT ORGANIZATIONS. | Shareholder | Yes | Against | For | ||||||||||||||
ACE LIMITED | ACE | H0023R105 | 18-May-2011 | ELECTION OF EVAN G. GREENBERG | Issuer | Yes | For | For | ||||||||||||||
ACE LIMITED | ACE | H0023R105 | 18-May-2011 | ELECTION OF LEO F. MULLIN | Issuer | Yes | For | For | ||||||||||||||
ACE LIMITED | ACE | H0023R105 | 18-May-2011 | ELECTION OF OLIVIER STEIMER | Issuer | Yes | For | For | ||||||||||||||
ACE LIMITED | ACE | H0023R105 | 18-May-2011 | ELECTION OF MICHAEL P. CONNORS | Issuer | Yes | For | For | ||||||||||||||
ACE LIMITED | ACE | H0023R105 | 18-May-2011 | ELECTION OF EUGENE B. SHANKS, JR. | Issuer | Yes | For | For | ||||||||||||||
ACE LIMITED | ACE | H0023R105 | 18-May-2011 | ELECTION OF JOHN A. KROL | Issuer | Yes | For | For | ||||||||||||||
ACE LIMITED | ACE | H0023R105 | 18-May-2011 | APPROVAL OF THE ANNUAL REPORT | Issuer | Yes | For | For | ||||||||||||||
ACE LIMITED | ACE | H0023R105 | 18-May-2011 | APPROVAL OF THE STATUTORY FINANCIAL STATEMENTS OF ACE LIMITED | Issuer | Yes | For | For | ||||||||||||||
ACE LIMITED | ACE | H0023R105 | 18-May-2011 | APPROVAL OF THE CONSOLIDATED FINANCIAL STATEMENTS | Issuer | Yes | For | For | ||||||||||||||
ACE LIMITED | ACE | H0023R105 | 18-May-2011 | ALLOCATION OF DISPOSABLE PROFIT | Issuer | Yes | For | For | ||||||||||||||
ACE LIMITED | ACE | H0023R105 | 18-May-2011 | DISCHARGE OF THE BOARD OF DIRECTORS | Issuer | Yes | Against | Against | ||||||||||||||
ACE LIMITED | ACE | H0023R105 | 18-May-2011 | ELECTION OF PRICEWATERHOUSECOOPERS AG (ZURICH) AS OUR STATUTORY AUDITOR UNTIL OUR NEXT ANNUAL ORDINARY GENERAL MEETING | Issuer | Yes | For | For | ||||||||||||||
ACE LIMITED | ACE | H0023R105 | 18-May-2011 | RATIFICATION OF APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM PRICEWATERHOUSECOOPERS LLP (UNITED STATES) FOR PURPOSES OF UNITED STATES SECURITIES LAW REPORTING FOR THE YEAR ENDING DECEMBER 31, 2011 | Issuer | Yes | For | For | ||||||||||||||
ACE LIMITED | ACE | H0023R105 | 18-May-2011 | ELECTION OF BDO AG (ZURICH) AS SPECIAL AUDITING FIRM UNTIL OUR NEXT ANNUAL ORDINARY GENERAL MEETING | Issuer | Yes | For | For | ||||||||||||||
ACE LIMITED | ACE | H0023R105 | 18-May-2011 | APPROVAL OF DIVIDENDS FROM LEGAL RESERVES | Issuer | Yes | For | For | ||||||||||||||
ACE LIMITED | ACE | H0023R105 | 18-May-2011 | ADVISORY VOTE ON EXECUTIVE COMPENSATION | Issuer | Yes | For | For | ||||||||||||||
ACE LIMITED | ACE | H0023R105 | 18-May-2011 | ADVISORY VOTE ON FREQUENCY OF EXECUTIVE COMPENSATION ADVISORY VOTE | Issuer | Yes | 3 Years | 0 |
Table of Contents
Matter | For / | |||||||||||||||||||||
Meeting | Proposed | Matter | Vote | Against | ||||||||||||||||||
Issuer | Ticker | CUSIP | Date | Description of Vote | by | Voted | Cast | Mgmt | ||||||||||||||
MORGAN STANLEY | MS | 617446448 | 18-May-2011 | ELECTION OF DIRECTOR: ROY J. BOSTOCK | Issuer | Yes | For | For | ||||||||||||||
MORGAN STANLEY | MS | 617446448 | 18-May-2011 | ELECTION OF DIRECTOR: ERSKINE B. BOWLES | Issuer | Yes | For | For | ||||||||||||||
MORGAN STANLEY | MS | 617446448 | 18-May-2011 | ELECTION OF DIRECTOR: HOWARD J. DAVIES | Issuer | Yes | For | For | ||||||||||||||
MORGAN STANLEY | MS | 617446448 | 18-May-2011 | ELECTION OF DIRECTOR: JAMES P. GORMAN | Issuer | Yes | For | For | ||||||||||||||
MORGAN STANLEY | MS | 617446448 | 18-May-2011 | ELECTION OF DIRECTOR: JAMES H. HANCE, JR. | Issuer | Yes | For | For | ||||||||||||||
MORGAN STANLEY | MS | 617446448 | 18-May-2011 | ELECTION OF DIRECTOR: C. ROBERT KIDDER | Issuer | Yes | For | For | ||||||||||||||
MORGAN STANLEY | MS | 617446448 | 18-May-2011 | ELECTION OF DIRECTOR: JOHN J. MACK | Issuer | Yes | For | For | ||||||||||||||
MORGAN STANLEY | MS | 617446448 | 18-May-2011 | ELECTION OF DIRECTOR: DONALD T. NICOLAISEN | Issuer | Yes | For | For | ||||||||||||||
MORGAN STANLEY | MS | 617446448 | 18-May-2011 | ELECTION OF DIRECTOR: HUTHAM S. OLAYAN | Issuer | Yes | For | For | ||||||||||||||
MORGAN STANLEY | MS | 617446448 | 18-May-2011 | ELECTION OF DIRECTOR: JAMES W. OWENS | Issuer | Yes | For | For | ||||||||||||||
MORGAN STANLEY | MS | 617446448 | 18-May-2011 | ELECTION OF DIRECTOR: O. GRIFFITH SEXTON | Issuer | Yes | For | For | ||||||||||||||
MORGAN STANLEY | MS | 617446448 | 18-May-2011 | ELECTION OF DIRECTOR: MASAAKI TANAKA | Issuer | Yes | For | For | ||||||||||||||
MORGAN STANLEY | MS | 617446448 | 18-May-2011 | ELECTION OF DIRECTOR: LAURA D. TYSON | Issuer | Yes | For | For | ||||||||||||||
MORGAN STANLEY | MS | 617446448 | 18-May-2011 | TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS INDEPENDENT AUDITOR | Issuer | Yes | For | For | ||||||||||||||
MORGAN STANLEY | MS | 617446448 | 18-May-2011 | TO AMEND THE 2007 EQUITY INCENTIVE COMPENSATION PLAN | Issuer | Yes | For | For | ||||||||||||||
MORGAN STANLEY | MS | 617446448 | 18-May-2011 | TO APPROVE THE COMPENSATION OF EXECUTIVES AS DISCLOSED IN THE PROXY STATEMENT (NON-BINDING ADVISORY RESOLUTION) | Issuer | Yes | For | For | ||||||||||||||
MORGAN STANLEY | MS | 617446448 | 18-May-2011 | TO VOTE ON THE FREQUENCY OF HOLDING A NON- BINDING ADVISORY VOTE ON THE COMPENSATION OF EXECUTIVES AS DISCLOSED IN THE PROXY STATEMENT (NON-BINDING ADVISORY VOTE) | Issuer | Yes | 3 Years | Against | ||||||||||||||
STATE STREET CORPORATION | STT | 857477103 | 18-May-2011 | ELECTION OF DIRECTOR: K. BURNES | Issuer | Yes | For | For | ||||||||||||||
STATE STREET CORPORATION | STT | 857477103 | 18-May-2011 | ELECTION OF DIRECTOR: P. COYM | Issuer | Yes | For | For | ||||||||||||||
STATE STREET CORPORATION | STT | 857477103 | 18-May-2011 | ELECTION OF DIRECTOR: P. DE SAINT-AIGNAN | Issuer | Yes | For | For | ||||||||||||||
STATE STREET CORPORATION | STT | 857477103 | 18-May-2011 | ELECTION OF DIRECTOR: A. FAWCETT | Issuer | Yes | For | For | ||||||||||||||
STATE STREET CORPORATION | STT | 857477103 | 18-May-2011 | ELECTION OF DIRECTOR: D. GRUBER | Issuer | Yes | For | For | ||||||||||||||
STATE STREET CORPORATION | STT | 857477103 | 18-May-2011 | ELECTION OF DIRECTOR: L. HILL | Issuer | Yes | For | For | ||||||||||||||
STATE STREET CORPORATION | STT | 857477103 | 18-May-2011 | ELECTION OF DIRECTOR: J. HOOLEY | Issuer | Yes | For | For | ||||||||||||||
STATE STREET CORPORATION | STT | 857477103 | 18-May-2011 | ELECTION OF DIRECTOR: R. KAPLAN | Issuer | Yes | For | For | ||||||||||||||
STATE STREET CORPORATION | STT | 857477103 | 18-May-2011 | ELECTION OF DIRECTOR: C. LAMANTIA | Issuer | Yes | For | For | ||||||||||||||
STATE STREET CORPORATION | STT | 857477103 | 18-May-2011 | ELECTION OF DIRECTOR: R. SERGEL | Issuer | Yes | For | For | ||||||||||||||
STATE STREET CORPORATION | STT | 857477103 | 18-May-2011 | ELECTION OF DIRECTOR: R. SKATES | Issuer | Yes | For | For | ||||||||||||||
STATE STREET CORPORATION | STT | 857477103 | 18-May-2011 | ELECTION OF DIRECTOR: G. SUMME | Issuer | Yes | For | For | ||||||||||||||
STATE STREET CORPORATION | STT | 857477103 | 18-May-2011 | ELECTION OF DIRECTOR: R. WEISSMAN | Issuer | Yes | For | For | ||||||||||||||
STATE STREET CORPORATION | STT | 857477103 | 18-May-2011 | TO APPROVE AN ADVISORY PROPOSAL ON EXECUTIVE COMPENSATION | Issuer | Yes | For | For | ||||||||||||||
STATE STREET CORPORATION | STT | 857477103 | 18-May-2011 | TO APPROVE AN ADVISORY PROPOSAL ON THE FREQUENCY OF FUTURE ADVISORY PROPOSALS ON EXECUTIVE COMPENSATION | Issuer | Yes | 3 Years | Against | ||||||||||||||
STATE STREET CORPORATION | STT | 857477103 | 18-May-2011 | TO APPROVE THE 2011 SENIOR EXECUTIVE ANNUAL INCENTIVE PLAN | Issuer | Yes | For | For | ||||||||||||||
STATE STREET CORPORATION | STT | 857477103 | 18-May-2011 | TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS STATE STREET’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2011 | Issuer | Yes | For | For | ||||||||||||||
STATE STREET CORPORATION | STT | 857477103 | 18-May-2011 | TO ACT ON A SHAREHOLDER PROPOSAL RELATING TO DISCLOSURE OF CERTAIN POLITICAL CONTRIBUTIONS | Shareholder | Yes | Against | For | ||||||||||||||
THE HARTFORD FINANCIAL SVCS GROUP, INC. | HIG | 416515104 | 18-May-2011 | ELECTION OF DIRECTOR: ROBERT B. ALLARDICE, III | Issuer | Yes | For | For | ||||||||||||||
THE HARTFORD FINANCIAL SVCS GROUP, INC. | HIG | 416515104 | 18-May-2011 | ELECTION OF DIRECTOR: TREVOR FETTER | Issuer | Yes | For | For | ||||||||||||||
THE HARTFORD FINANCIAL SVCS GROUP, INC. | HIG | 416515104 | 18-May-2011 | ELECTION OF DIRECTOR: PAUL G. KIRK, JR. | Issuer | Yes | For | For | ||||||||||||||
THE HARTFORD FINANCIAL SVCS GROUP, INC. | HIG | 416515104 | 18-May-2011 | ELECTION OF DIRECTOR: LIAM E. MCGEE | Issuer | Yes | For | For | ||||||||||||||
THE HARTFORD FINANCIAL SVCS GROUP, INC. | HIG | 416515104 | 18-May-2011 | ELECTION OF DIRECTOR: KATHRYN A. MIKELLS | Issuer | Yes | For | For | ||||||||||||||
THE HARTFORD FINANCIAL SVCS GROUP, INC. | HIG | 416515104 | 18-May-2011 | ELECTION OF DIRECTOR: MICHAEL G. MORRIS | Issuer | Yes | For | For | ||||||||||||||
THE HARTFORD FINANCIAL SVCS GROUP, INC. | HIG | 416515104 | 18-May-2011 | ELECTION OF DIRECTOR: THOMAS A. RENYI | Issuer | Yes | For | For | ||||||||||||||
THE HARTFORD FINANCIAL SVCS GROUP, INC. | HIG | 416515104 | 18-May-2011 | ELECTION OF DIRECTOR: CHARLES B. STRAUSS | Issuer | Yes | For | For | ||||||||||||||
THE HARTFORD FINANCIAL SVCS GROUP, INC. | HIG | 416515104 | 18-May-2011 | ELECTION OF DIRECTOR: H. PATRICK SWYGERT | Issuer | Yes | For | For | ||||||||||||||
THE HARTFORD FINANCIAL SVCS GROUP, INC. | HIG | 416515104 | 18-May-2011 | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF THE COMPANY FOR THE FISCAL YEAR ENDING DECEMBER 31, 2011. | Issuer | Yes | For | For | ||||||||||||||
THE HARTFORD FINANCIAL SVCS GROUP, INC. | HIG | 416515104 | 18-May-2011 | MANAGEMENT PROPOSAL TO APPROVE ON A NON- BINDING, ADVISORY BASIS, THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS | Issuer | Yes | For | For | ||||||||||||||
THE HARTFORD FINANCIAL SVCS GROUP, INC. | HIG | 416515104 | 18-May-2011 | MANAGEMENT PROPOSAL TO SELECT, ON A NON-BINDING ADVISORY BASIS, THE PREFERRED FREQUENCY FOR THE ADVISORY VOTE ON NAMED EXECUTIVE OFFICER COMPENSATION. | Issuer | Yes | 3 Years | Against | ||||||||||||||
CORELOGIC | CLGX | 21871D103 | 19-May-2011 | ELECTION OF DIRECTOR: J. DAVID CHATHAM | Issuer | Yes | For | For | ||||||||||||||
CORELOGIC | CLGX | 21871D103 | 19-May-2011 | ELECTION OF DIRECTOR: ANAND K. NALLATHAMBI | Issuer | Yes | For | For | ||||||||||||||
CORELOGIC | CLGX | 21871D103 | 19-May-2011 | ELECTION OF DIRECTOR: THOMAS C. O’BRIEN | Issuer | Yes | For | For | ||||||||||||||
CORELOGIC | CLGX | 21871D103 | 19-May-2011 | ELECTION OF DIRECTOR: D. VAN SKILLING | Issuer | Yes | For | For | ||||||||||||||
CORELOGIC | CLGX | 21871D103 | 19-May-2011 | ELECTION OF DIRECTOR: DAVID F. WALKER | Issuer | Yes | For | For | ||||||||||||||
CORELOGIC | CLGX | 21871D103 | 19-May-2011 | ELECTION OF DIRECTOR: MARY LEE WIDENER | Issuer | Yes | For | For | ||||||||||||||
CORELOGIC | CLGX | 21871D103 | 19-May-2011 | APPROVAL OF THE CORELOGIC, INC. 2011 PERFORMANCE INCENTIVE PLAN. | Issuer | Yes | For | For | ||||||||||||||
CORELOGIC | CLGX | 21871D103 | 19-May-2011 | APPROVAL OF AN ADVISORY VOTE ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Issuer | Yes | For | For | ||||||||||||||
CORELOGIC | CLGX | 21871D103 | 19-May-2011 | APPROVAL OF AN ADVISORY VOTE ON THE FREQUENCY OF AN ADVISORY VOTE ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Issuer | Yes | 3 Years | Against | ||||||||||||||
CORELOGIC | CLGX | 21871D103 | 19-May-2011 | RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2011. | Issuer | Yes | For | For | ||||||||||||||
MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 19-May-2011 | ELECTION OF DIRECTOR: ZACHARY W. CARTER | Issuer | Yes | For | For | ||||||||||||||
MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 19-May-2011 | ELECTION OF DIRECTOR: BRIAN DUPERREAULT | Issuer | Yes | For | For | ||||||||||||||
MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 19-May-2011 | ELECTION OF DIRECTOR: OSCAR FANJUL | Issuer | Yes | For | For | ||||||||||||||
MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 19-May-2011 | ELECTION OF DIRECTOR: H. EDWARD HANWAY | Issuer | Yes | For | For | ||||||||||||||
MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 19-May-2011 | ELECTION OF DIRECTOR: LORD LANG OF MONKTON | Issuer | Yes | For | For | ||||||||||||||
MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 19-May-2011 | ELECTION OF DIRECTOR: STEVEN A. MILLS | Issuer | Yes | For | For | ||||||||||||||
MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 19-May-2011 | ELECTION OF DIRECTOR: BRUCE P. NOLOP | Issuer | Yes | For | For | ||||||||||||||
MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 19-May-2011 | ELECTION OF DIRECTOR: MARC D. OKEN | Issuer | Yes | For | For | ||||||||||||||
MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 19-May-2011 | ELECTION OF DIRECTOR: MORTON O. SCHAPIRO | Issuer | Yes | For | For | ||||||||||||||
MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 19-May-2011 | ELECTION OF DIRECTOR: ADELE SIMMONS | Issuer | Yes | For | For | ||||||||||||||
MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 19-May-2011 | ELECTION OF DIRECTOR: LLOYD M. YATES | Issuer | Yes | For | For | ||||||||||||||
MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 19-May-2011 | RATIFICATION OF SELECTION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Issuer | Yes | For | For | ||||||||||||||
MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 19-May-2011 | APPROVAL OF THE MARSH & MCLENNAN COMPANIES, INC. 2011 INCENTIVE AND STOCK AWARD PLAN | Issuer | Yes | For | For |
Table of Contents
Matter | For / | |||||||||||||||||||||
Meeting | Proposed | Matter | Vote | Against | ||||||||||||||||||
Issuer | Ticker | CUSIP | Date | Description of Vote | by | Voted | Cast | Mgmt | ||||||||||||||
MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 19-May-2011 | APPROVAL, BY NONBINDING VOTE, OF THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS | Issuer | Yes | For | For | ||||||||||||||
MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 19-May-2011 | RECOMMENDATION, BY NONBINDING VOTE, OF THE FREQUENCY OF EXECUTIVE COMPENSATION VOTES | Issuer | Yes | 3 Years | Against | ||||||||||||||
MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 19-May-2011 | STOCKHOLDER PROPOSAL: ACTION BY WRITTEN CONSENT | Shareholder | Yes | Against | For | ||||||||||||||
HORACE MANN EDUCATORS CORPORATION | HMN | 440327104 | 25-May-2011 | ELECTION OF DIRECTOR: MARY H. FUTRELL | Issuer | Yes | For | For | ||||||||||||||
HORACE MANN EDUCATORS CORPORATION | HMN | 440327104 | 25-May-2011 | ELECTION OF DIRECTOR: STEPHEN J. HASENMILLER | Issuer | Yes | For | For | ||||||||||||||
HORACE MANN EDUCATORS CORPORATION | HMN | 440327104 | 25-May-2011 | ELECTION OF DIRECTOR: PETER H. HECKMAN | Issuer | Yes | For | For | ||||||||||||||
HORACE MANN EDUCATORS CORPORATION | HMN | 440327104 | 25-May-2011 | ELECTION OF DIRECTOR: RONALD J. HELOW | Issuer | Yes | For | For | ||||||||||||||
HORACE MANN EDUCATORS CORPORATION | HMN | 440327104 | 25-May-2011 | ELECTION OF DIRECTOR: GABRIEL L. SHAHEEN | Issuer | Yes | For | For | ||||||||||||||
HORACE MANN EDUCATORS CORPORATION | HMN | 440327104 | 25-May-2011 | ELECTION OF DIRECTOR: ROGER J. STEINBECKER | Issuer | Yes | For | For | ||||||||||||||
HORACE MANN EDUCATORS CORPORATION | HMN | 440327104 | 25-May-2011 | ELECTION OF DIRECTOR: ROBERT STRICKER | Issuer | Yes | For | For | ||||||||||||||
HORACE MANN EDUCATORS CORPORATION | HMN | 440327104 | 25-May-2011 | ELECTION OF DIRECTOR: CHARLES R. WRIGHT | Issuer | Yes | For | For | ||||||||||||||
HORACE MANN EDUCATORS CORPORATION | HMN | 440327104 | 25-May-2011 | RATIFICATION OF THE APPOINTMENT OF KPMG LLP, AN INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM, AS THE COMPANY’S AUDITORS FOR THE YEAR ENDING DECEMBER 31, 2011 | Issuer | Yes | For | For | ||||||||||||||
HORACE MANN EDUCATORS CORPORATION | HMN | 440327104 | 25-May-2011 | APPROVAL OF THE ADVISORY RESOLUTION ON NAMED EXECUTIVE OFFICERS’ COMPENSATION. | Issuer | Yes | For | For | ||||||||||||||
HORACE MANN EDUCATORS CORPORATION | HMN | 440327104 | 25-May-2011 | ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON NAMED EXECUTIVE OFFICERS’ COMPENSATION. | Issuer | Yes | 3 Years | Against | ||||||||||||||
FIRST CALIFORNIA FINANCIAL GROUP, INC. | FCAL | 319395109 | 26-May-2011 | DIRECTOR RICHARD D. ALDRIDGE | Issuer | Yes | For | For | ||||||||||||||
FIRST CALIFORNIA FINANCIAL GROUP, INC. | FCAL | 319395109 | 26-May-2011 | DIRECTOR DONALD E. BENSON | Issuer | Yes | For | For | ||||||||||||||
FIRST CALIFORNIA FINANCIAL GROUP, INC. | FCAL | 319395109 | 26-May-2011 | DIRECTOR JOHN W. BIRCHFIELD | Issuer | Yes | For | For | ||||||||||||||
FIRST CALIFORNIA FINANCIAL GROUP, INC. | FCAL | 319395109 | 26-May-2011 | DIRECTOR JOSEPH N. COHEN | Issuer | Yes | For | For | ||||||||||||||
FIRST CALIFORNIA FINANCIAL GROUP, INC. | FCAL | 319395109 | 26-May-2011 | DIRECTOR ROBERT E. GIPSON | Issuer | Yes | For | For | ||||||||||||||
FIRST CALIFORNIA FINANCIAL GROUP, INC. | FCAL | 319395109 | 26-May-2011 | DIRECTOR ANTOINETTE T. HUBENETTE | Issuer | Yes | For | For | ||||||||||||||
FIRST CALIFORNIA FINANCIAL GROUP, INC. | FCAL | 319395109 | 26-May-2011 | DIRECTOR C.G. KUM | Issuer | Yes | For | For | ||||||||||||||
FIRST CALIFORNIA FINANCIAL GROUP, INC. | FCAL | 319395109 | 26-May-2011 | DIRECTOR THOMAS TIGNINO | Issuer | Yes | For | For | ||||||||||||||
FIRST CALIFORNIA FINANCIAL GROUP, INC. | FCAL | 319395109 | 26-May-2011 | TO APPROVE AMENDMENTS TO THE FIRST CALIFORNIA 2007 OMNIBUS EQUITY INCENTIVE PLAN. | Issuer | Yes | For | For | ||||||||||||||
FIRST CALIFORNIA FINANCIAL GROUP, INC. | FCAL | 319395109 | 26-May-2011 | TO RATIFY THE APPOINTMENT OF MOSS ADAMS LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2011. | Issuer | Yes | For | For | ||||||||||||||
FIRST CALIFORNIA FINANCIAL GROUP, INC. | FCAL | 319395109 | 26-May-2011 | TO APPROVE A NON-BINDING ADVISORY PROPOSAL ON THE COMPANY’S EXECUTIVE COMPENSATION. | Issuer | Yes | For | For | ||||||||||||||
HCC INSURANCE HOLDINGS, INC. | HCC | 404132102 | 26-May-2011 | DIRECTOR JUDY C. BOZEMAN | Issuer | Yes | For | For | ||||||||||||||
HCC INSURANCE HOLDINGS, INC. | HCC | 404132102 | 26-May-2011 | DIRECTOR FRANK J. BRAMANTI | Issuer | Yes | For | For | ||||||||||||||
HCC INSURANCE HOLDINGS, INC. | HCC | 404132102 | 26-May-2011 | DIRECTOR WALTER M. DUER | Issuer | Yes | For | For | ||||||||||||||
HCC INSURANCE HOLDINGS, INC. | HCC | 404132102 | 26-May-2011 | DIRECTOR JAMES C. FLAGG, PH.D. | Issuer | Yes | For | For | ||||||||||||||
HCC INSURANCE HOLDINGS, INC. | HCC | 404132102 | 26-May-2011 | DIRECTOR THOMAS M. HAMILTON | Issuer | Yes | For | For | ||||||||||||||
HCC INSURANCE HOLDINGS, INC. | HCC | 404132102 | 26-May-2011 | DIRECTOR LESLIE S. HEISZ | Issuer | Yes | For | For | ||||||||||||||
HCC INSURANCE HOLDINGS, INC. | HCC | 404132102 | 26-May-2011 | DIRECTOR DEBORAH H. MIDANEK | Issuer | Yes | For | For | ||||||||||||||
HCC INSURANCE HOLDINGS, INC. | HCC | 404132102 | 26-May-2011 | DIRECTOR JOHN N. MOLBECK JR. | Issuer | Yes | For | For | ||||||||||||||
HCC INSURANCE HOLDINGS, INC. | HCC | 404132102 | 26-May-2011 | DIRECTOR JAMES E. OESTERREICHER | Issuer | Yes | For | For | ||||||||||||||
HCC INSURANCE HOLDINGS, INC. | HCC | 404132102 | 26-May-2011 | DIRECTOR ROBERT A. ROSHOLT | Issuer | Yes | For | For | ||||||||||||||
HCC INSURANCE HOLDINGS, INC. | HCC | 404132102 | 26-May-2011 | DIRECTOR CHRISTOPHER JB WILLIAMS | Issuer | Yes | For | For | ||||||||||||||
HCC INSURANCE HOLDINGS, INC. | HCC | 404132102 | 26-May-2011 | ADVISORY VOTE ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Issuer | Yes | For | For | ||||||||||||||
HCC INSURANCE HOLDINGS, INC. | HCC | 404132102 | 26-May-2011 | ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Issuer | Yes | 3 Years | Against | ||||||||||||||
HCC INSURANCE HOLDINGS, INC. | HCC | 404132102 | 26-May-2011 | RATIFICATION OF APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS AUDITORS FOR 2011. | Issuer | Yes | For | For | ||||||||||||||
THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 26-May-2011 | ELECTION OF DIRECTOR: ALAN L. BELLER | Issuer | Yes | For | For | ||||||||||||||
THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 26-May-2011 | ELECTION OF DIRECTOR: JOHN H. DASBURG | Issuer | Yes | For | For | ||||||||||||||
THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 26-May-2011 | ELECTION OF DIRECTOR: JANET M. DOLAN | Issuer | Yes | For | For | ||||||||||||||
THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 26-May-2011 | ELECTION OF DIRECTOR: KENNETH M. DUBERSTEIN | Issuer | Yes | For | For | ||||||||||||||
THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 26-May-2011 | ELECTION OF DIRECTOR: JAY S. FISHMAN | Issuer | Yes | For | For | ||||||||||||||
THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 26-May-2011 | ELECTION OF DIRECTOR: LAWRENCE G. GRAEV | Issuer | Yes | For | For | ||||||||||||||
THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 26-May-2011 | ELECTION OF DIRECTOR: PATRICIA L. HIGGINS | Issuer | Yes | For | For | ||||||||||||||
THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 26-May-2011 | ELECTION OF DIRECTOR: THOMAS R. HODGSON | Issuer | Yes | For | For | ||||||||||||||
THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 26-May-2011 | ELECTION OF DIRECTOR: CLEVE L. KILLINGSWORTH, JR. | Issuer | Yes | For | For | ||||||||||||||
THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 26-May-2011 | ELECTION OF DIRECTOR: DONALD J. SHEPARD | Issuer | Yes | For | For | ||||||||||||||
THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 26-May-2011 | ELECTION OF DIRECTOR:LAURIE J. THOMSEN | Issuer | Yes | For | For | ||||||||||||||
THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 26-May-2011 | RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS TRAVELERS’ INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2011. | Issuer | Yes | For | For | ||||||||||||||
THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 26-May-2011 | NON-BINDING VOTE ON EXECUTIVE COMPENSATION. | Issuer | Yes | For | For | ||||||||||||||
THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 26-May-2011 | NON-BINDING VOTE ON THE FREQUENCY OF FUTURE VOTES ON EXECUTIVE COMPENSATION. | Issuer | Yes | 3 Years | For | ||||||||||||||
OLD REPUBLIC INTERNATIONAL CORPORATION | ORI | 680223104 | 27-May-2011 | DIRECTOR JAMES C. HELLAUER | Issuer | Yes | For | For | ||||||||||||||
OLD REPUBLIC INTERNATIONAL CORPORATION | ORI | 680223104 | 27-May-2011 | DIRECTOR ARNOLD L. STEINER | Issuer | Yes | For | For | ||||||||||||||
OLD REPUBLIC INTERNATIONAL CORPORATION | ORI | 680223104 | 27-May-2011 | DIRECTOR FREDRICKA TAUBITZ | Issuer | Yes | For | For | ||||||||||||||
OLD REPUBLIC INTERNATIONAL CORPORATION | ORI | 680223104 | 27-May-2011 | DIRECTOR ALDO C. ZUCARO | Issuer | Yes | For | For | ||||||||||||||
OLD REPUBLIC INTERNATIONAL CORPORATION | ORI | 680223104 | 27-May-2011 | TO RATIFY THE SELECTION OF KPMG LLP AS THE COMPANY’S AUDITORS FOR 2011 | Issuer | Yes | For | For | ||||||||||||||
OLD REPUBLIC INTERNATIONAL CORPORATION | ORI | 680223104 | 27-May-2011 | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION | Issuer | Yes | For | For | ||||||||||||||
OLD REPUBLIC INTERNATIONAL CORPORATION | ORI | 680223104 | 27-May-2011 | ADVISORY VOTE ON THE FREQUENCY OF VOTING ON EXECUTIVE COMPENSATION | Issuer | Yes | 3 Years | For | ||||||||||||||
ISTAR FINANCIAL INC. | SFIPRF | 45031U606 | 01-Jun-2011 | DIRECTOR JAY SUGARMAN | Issuer | Yes | For | For | ||||||||||||||
ISTAR FINANCIAL INC. | SFIPRF | 45031U606 | 01-Jun-2011 | DIRECTOR GLENN R. AUGUST | Issuer | Yes | For | For | ||||||||||||||
ISTAR FINANCIAL INC. | SFIPRF | 45031U606 | 01-Jun-2011 | DIRECTOR ROBERT W. HOLMAN, JR. | Issuer | Yes | For | For | ||||||||||||||
ISTAR FINANCIAL INC. | SFIPRF | 45031U606 | 01-Jun-2011 | DIRECTOR ROBIN JOSEPHS | Issuer | Yes | For | For | ||||||||||||||
ISTAR FINANCIAL INC. | SFIPRF | 45031U606 | 01-Jun-2011 | DIRECTOR JOHN G. MCDONALD | Issuer | Yes | For | For | ||||||||||||||
ISTAR FINANCIAL INC. | SFIPRF | 45031U606 | 01-Jun-2011 | DIRECTOR GEORGE R. PUSKAR | Issuer | Yes | For | For | ||||||||||||||
ISTAR FINANCIAL INC. | SFIPRF | 45031U606 | 01-Jun-2011 | DIRECTOR DALE ANNE REISS | Issuer | Yes | For | For | ||||||||||||||
ISTAR FINANCIAL INC. | SFIPRF | 45031U606 | 01-Jun-2011 | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2011. | Issuer | Yes | For | For | ||||||||||||||
ISTAR FINANCIAL INC. | SFIPRF | 45031U606 | 01-Jun-2011 | SAY ON PAY — A NON-BINDING ADVISORY VOTE ON APPROVAL OF EXECUTIVE COMPENSATION. | Issuer | Yes | For | For | ||||||||||||||
ISTAR FINANCIAL INC. | SFIPRF | 45031U606 | 01-Jun-2011 | SAY WHEN ON PAY — A NON-BINDING ADVISORY VOTE ON FREQUENCY OF SHAREHOLDER ADVISORY VOTES ON EXECUTIVE COMPENSATION. | Issuer | Yes | 3 Years | For |
TABLE OF CONTENTS
SIGNATURES |
Table of Contents
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): Diamond Hill Financial Trends Fund, Inc.
By (Signatures and Title):
/s/James F. Laird, Jr.
James F. Laird, Jr., President
James F. Laird, Jr., President
Date: August 19, 2011
* | Print the name and title of each signing officer under his or her signature. |