UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT 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: 7/1/08 – 6/30/09
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant’s proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, N.W., Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. §3507.
Item 1. Proxy Voting Record
FINANCIAL TRENDS FUND
Issuer | Ticker | CUSIP | Meeting Date | Description of Vote | Matter Proposed by | Matter Voted | Vote Cast | For / Against Mgmt | ||||||||
SOUTH STREET FINANCIAL CORP. | SSFC | 840468102 | 7/21/2008 | Election of Directors | Issuer | Yes | For | For | ||||||||
SOUTH STREET FINANCIAL CORP. | SSFC | 840468102 | 7/21/2008 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
LEGG MASON, INC. | LM | 524901105 | 7/22/2008 | Election of Directors | Issuer | Yes | For | For | ||||||||
LEGG MASON, INC. | LM | 524901105 | 7/22/2008 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
LEGG MASON, INC. | LM | 524901105 | 7/22/2008 | Miscellaneous Shareholder Proposal | Shareholder | Yes | For | Against | ||||||||
LEGG MASON, INC. | LM | 524901105 | 7/22/2008 | S/H Proposal - Executive Compensation | Shareholder | Yes | For | Against | ||||||||
NYMEX HOLDINGS, INC. | NMX | 62948N104 | 8/18/2008 | Approve Merger Agreement | Issuer | Yes | For | For | ||||||||
NYMEX HOLDINGS, INC. | NMX | 62948N104 | 8/18/2008 | Approve Motion to Adjourn Meeting | Issuer | Yes | For | For | ||||||||
NATIONAL CITY CORPORATION | NCC | 635405103 | 9/15/2008 | Authorize Common Stock Increase | Issuer | Yes | For | For | ||||||||
NATIONAL CITY CORPORATION | NCC | 635405103 | 9/15/2008 | Stock Conversion | Issuer | Yes | For | For | ||||||||
BANCTRUST FINANCIAL GROUP, INC. | BTFG | 05978R107 | 9/30/2008 | Authorize Common Stock Increase | Issuer | Yes | Abstain | Against | ||||||||
MERRILL LYNCH & CO., INC. | MER | 590188108 | 12/5/2008 | Approve Merger Agreement | Issuer | Yes | For | For | ||||||||
MERRILL LYNCH & CO., INC. | MER | 590188108 | 12/5/2008 | Approve Charter Amendment | Issuer | Yes | For | For | ||||||||
MERRILL LYNCH & CO., INC. | MER | 590188108 | 12/5/2008 | Approve Motion to Adjourn Meeting | Issuer | Yes | For | For | ||||||||
BANK OF AMERICA CORP. | BAC | 064058100 | 12/5/2008 | Stock Issuance | Issuer | Yes | Against | Against | ||||||||
BANK OF AMERICA CORP. | BAC | 064058100 | 12/5/2008 | Amend Stock Option Plan | Issuer | Yes | Against | Against | ||||||||
BANK OF AMERICA CORP. | BAC | 064058100 | 12/5/2008 | Authorize Common Stock Increase | Issuer | Yes | Against | Against | ||||||||
BANK OF AMERICA CORP. | BAC | 064058100 | 12/5/2008 | Approve Motion to Adjourn Meeting | Issuer | Yes | Against | Against | ||||||||
SYNOVUS FINANCIAL CORP. | SNV | 87161C105 | 12/17/2008 | Approve Charter Amendment | Issuer | Yes | For | For | ||||||||
SYNOVUS FINANCIAL CORP. | SNV | 87161C105 | 12/17/2008 | Approve Charter Amendment | Issuer | Yes | For | For | ||||||||
FIRST BANCORP | FBNC | 318910106 | 12/19/2008 | Approve Charter Amendment | Issuer | Yes | For | For | ||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 12/23/2008 | Stock Issuance | Issuer | Yes | For | For | ||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 12/23/2008 | Approve Motion to Adjourn Meeting | Issuer | Yes | For | For | ||||||||
FIRST FINANCIAL HOLDINGS, INC. | FFCH | 320239106 | 1/29/2009 | Election of Directors | Issuer | Yes | For | For | ||||||||
FIRST FINANCIAL HOLDINGS, INC. | FFCH | 320239106 | 1/29/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
MORGAN STANLEY | MS | 617446448 | 2/9/2009 | Miscellaneous Corporate Actions | Issuer | Yes | For | For | ||||||||
MORGAN STANLEY | MS | 617446448 | 2/9/2009 | Approve Motion to Adjourn Meeting | Issuer | Yes | For | For | ||||||||
RAYMOND JAMES FINANCIAL, INC. | RJF | 754730109 | 2/19/2009 | Election of Directors | Issuer | No | ||||||||||
RAYMOND JAMES FINANCIAL, INC. | RJF | 754730109 | 2/19/2009 | Ratify Appointment of Independent Auditors | Issuer | No | ||||||||||
RAYMOND JAMES FINANCIAL, INC. | RJF | 754730109 | 2/19/2009 | Amend Stock Option Plan | Issuer | No | ||||||||||
RAYMOND JAMES FINANCIAL, INC. | RJF | 754730109 | 2/19/2009 | Amend Employee Stock Purchase Plan | Issuer | No | ||||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 3/16/2009 | Stock Issuance | Issuer | Yes | For | For | ||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 3/16/2009 | Stock Issuance | Issuer | Yes | For | For | ||||||||
THE HARTFORD FINANCIAL SVCS GROUP, INC. | HIG | 416515104 | 3/26/2009 | Stock Conversion | Issuer | Yes | For | For | ||||||||
T. ROWE PRICE GROUP, INC. | TROW | 74144T108 | 4/8/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
T. ROWE PRICE GROUP, INC. | TROW | 74144T108 | 4/8/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
BANK OF NEW YORK MELLON CORP. | BK | 933014805 | 4/14/2009 | Election of Directors | Issuer | Yes | For | For | ||||||||
BANK OF NEW YORK MELLON CORP. | BK | 933014805 | 4/14/2009 | Election of Directors | Issuer | Yes | For | For | ||||||||
BANK OF NEW YORK MELLON CORP. | BK | 933014805 | 4/14/2009 | Miscellaneous Compensation Plans | Issuer | Yes | For | For | ||||||||
BANK OF NEW YORK MELLON CORP. | BK | 933014805 | 4/14/2009 | Ratify Appointment of Independent Auditors | Shareholder | Yes | For | Against | ||||||||
BANK OF NEW YORK MELLON CORP. | BK | 933014805 | 4/14/2009 | S/H Proposal - Adopt Cumulative Voting | Shareholder | Yes | Against | For | ||||||||
DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 4/21/2009 | Miscellaneous Shareholder Proposal | Issuer | Yes | For | For | ||||||||
DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 4/21/2009 | Approve Stock Compensation Plan | Issuer | Yes | For | For | ||||||||
DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 4/21/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
FIRST HORIZON NATIONAL CORPORATION | FHN | 320517105 | 4/21/2009 | Election of Directors | Issuer | No | ||||||||||
FIRST HORIZON NATIONAL CORPORATION | FHN | 320517106 | 4/21/2009 | Ratify Appointment of Independent Auditors | Issuer | No | ||||||||||
FIRST HORIZON NATIONAL CORPORATION | FHN | 320517107 | 4/21/2009 | Miscellaneous Compensation Plans | Issuer | No | ||||||||||
PINNACLE FINANCIAL PARTNERS, INC. | PNFP | 72346Q104 | 4/21/2009 | Election of Directors | Issuer | Yes | For | For | ||||||||
PINNACLE FINANCIAL PARTNERS, INC. | PNFP | 72346Q104 | 4/21/2009 | Amend Stock Compensation Plan | Issuer | Yes | For | For | ||||||||
PINNACLE FINANCIAL PARTNERS, INC. | PNFP | 72346Q104 | 4/21/2009 | Approve Stock Compensation Plan | Issuer | Yes | For | For | ||||||||
PINNACLE FINANCIAL PARTNERS, INC. | PNFP | 72346Q104 | 4/21/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
PINNACLE FINANCIAL PARTNERS, INC. | PNFP | 72346Q104 | 4/21/2009 | Miscellaneous Compensation Plans | Issuer | Yes | For | For | ||||||||
HUNTINGTON BANCSHARES INCORPORATED | HBAN | 446150104 | 4/22/2009 | Election of Directors | Issuer | No | ||||||||||
HUNTINGTON BANCSHARES INCORPORATED | HBAN | 446150104 | 4/22/2009 | Amend Stock Compensation Plan | Issuer | No | ||||||||||
HUNTINGTON BANCSHARES INCORPORATED | HBAN | 446150104 | 4/22/2009 | Ratify Appointment of Independent Auditors | Issuer | No | ||||||||||
HUNTINGTON BANCSHARES INCORPORATED | HBAN | 446150104 | 4/22/2009 | Miscellaneous Corporate Governance | Issuer | No | ||||||||||
SYNOVUS FINANCIAL CORP. | SNV | 87161C105 | 4/23/2009 | Election of Directors (Majority Voting) | Issuer | Yes | Abstain | Against | ||||||||
SYNOVUS FINANCIAL CORP. | SNV | 87161C105 | 4/23/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
SYNOVUS FINANCIAL CORP. | SNV | 87161C105 | 4/23/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
SYNOVUS FINANCIAL CORP. | SNV | 87161C105 | 4/23/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
SYNOVUS FINANCIAL CORP. | SNV | 87161C105 | 4/23/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
SYNOVUS FINANCIAL CORP. | SNV | 87161C105 | 4/23/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
SYNOVUS FINANCIAL CORP. | SNV | 87161C105 | 4/23/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
SYNOVUS FINANCIAL CORP. | SNV | 87161C105 | 4/23/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
SYNOVUS FINANCIAL CORP. | SNV | 87161C105 | 4/23/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
SYNOVUS FINANCIAL CORP. | SNV | 87161C105 | 4/23/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
SYNOVUS FINANCIAL CORP. | SNV | 87161C105 | 4/23/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
SYNOVUS FINANCIAL CORP. | SNV | 87161C105 | 4/23/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
SYNOVUS FINANCIAL CORP. | SNV | 87161C105 | 4/23/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
SYNOVUS FINANCIAL CORP. | SNV | 87161C105 | 4/23/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
SYNOVUS FINANCIAL CORP. | SNV | 87161C105 | 4/23/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
SYNOVUS FINANCIAL CORP. | SNV | 87161C105 | 4/23/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
SYNOVUS FINANCIAL CORP. | SNV | 87161C105 | 4/23/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
SYNOVUS FINANCIAL CORP. | SNV | 87161C105 | 4/23/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
SYNOVUS FINANCIAL CORP. | SNV | 87161C105 | 4/23/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
SYNOVUS FINANCIAL CORP. | SNV | 87161C105 | 4/23/2009 | Approve Stock Compensation Plan | Issuer | Yes | For | For | ||||||||
XL CAPITAL LTD | XL | G98255105 | 4/24/2009 | Election of Directors | Issuer | Yes | For | For | ||||||||
XL CAPITAL LTD | XL | G98255105 | 4/24/2009 | Approve Stock Compensation Plan | Issuer | Yes | For | For | ||||||||
XL CAPITAL LTD | XL | G98255105 | 4/24/2009 | Amend Stock Option Plan | Issuer | Yes | For | For | ||||||||
XL CAPITAL LTD | XL | G98255105 | 4/24/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
AMERICAN EXPRESS COMPANY | AXP | 025816109 | 4/27/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
AMERICAN EXPRESS COMPANY | AXP | 025816109 | 4/27/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
AMERICAN EXPRESS COMPANY | AXP | 025816109 | 4/27/2009 | Miscellaneous Compensation Plans | Issuer | Yes | For | For | ||||||||
AMERICAN EXPRESS COMPANY | AXP | 025816109 | 4/27/2009 | S/H Proposal - Adopt Cumulative Voting | Shareholder | Yes | For | Against | ||||||||
AMERICAN EXPRESS COMPANY | AXP | 025816109 | 4/27/2009 | S/H Proposal - Proxy Process/Statement | Shareholder | Yes | For | Against | ||||||||
BB&T CORPORATION | BBT | 054937107 | 4/28/2009 | Amend Stock Compensation Plan | Issuer | Yes | For | For | ||||||||
BB&T CORPORATION | BBT | 054937107 | 4/28/2009 | Miscellaneous Compensation Plans | Issuer | Yes | For | For | ||||||||
BB&T CORPORATION | BBT | 054937107 | 4/28/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
BB&T CORPORATION | BBT | 054937107 | 4/28/2009 | S/H Proposal - Election of Directors By Majority Vote | Shareholder | Yes | For | Against | ||||||||
SUNTRUST BANKS, INC. | STI | 867914103 | 4/28/2009 | Election of Directors | Issuer | Yes | For | For | ||||||||
SUNTRUST BANKS, INC. | STI | 867914103 | 4/28/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
SUNTRUST BANKS, INC. | STI | 867914103 | 4/28/2009 | Approve Stock Compensation Plan | Issuer | Yes | For | For | ||||||||
SUNTRUST BANKS, INC. | STI | 867914103 | 4/28/2009 | Miscellaneous Compensation Plans | Issuer | Yes | For | For | ||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 4/28/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 4/28/2009 | Amend Employee Stock Purchase Plan | Issuer | Yes | For | For | ||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 4/28/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 4/28/2009 | Miscellaneous Compensation Plans | Issuer | Yes | For | For | ||||||||
THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 4/28/2009 | S/H Proposal - Executive Compensation | Shareholder | Yes | Against | For | ||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 4/28/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 4/28/2009 | Miscellaneous Compensation Plans | Issuer | Yes | For | For | ||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 4/28/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 4/28/2009 | Amend Stock Compensation Plan | Issuer | Yes | For | For | ||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 4/28/2009 | S/H Proposal - Establish Independent Chairman | Shareholder | Yes | For | Against | ||||||||
WELLS FARGO & COMPANY | WFC | 949746101 | 4/28/2009 | S/H Proposal - Political/Government | Shareholder | Yes | Against | For | ||||||||
MORGAN STANLEY | MS | 617446448 | 4/29/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
MORGAN STANLEY | MS | 617446448 | 4/29/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
MORGAN STANLEY | MS | 617446448 | 4/29/2009 | Miscellaneous Corporate Governance | Issuer | Yes | For | For | ||||||||
MORGAN STANLEY | MS | 617446448 | 4/29/2009 | Approve Stock Compensation Plan | Issuer | Yes | For | For | ||||||||
MORGAN STANLEY | MS | 617446448 | 4/29/2009 | S/H Proposal - Proxy Process/Statement | Shareholder | Yes | For | Against | ||||||||
MORGAN STANLEY | MS | 617446448 | 4/29/2009 | S/H Proposal - Establish Independent Chairman | Shareholder | Yes | For | Against | ||||||||
TCF FINANCIAL CORPORATION | TCB | 872275102 | 4/29/2009 | Election of Directors | Issuer | Yes | For | For | ||||||||
TCF FINANCIAL CORPORATION | TCB | 872275102 | 4/29/2009 | Amend Stock Compensation Plan | Issuer | Yes | For | For | ||||||||
TCF FINANCIAL CORPORATION | TCB | 872275102 | 4/29/2009 | Amend Stock Compensation Plan | Issuer | Yes | For | For | ||||||||
TCF FINANCIAL CORPORATION | TCB | 872275102 | 4/29/2009 | Approve Stock Compensation Plan | Issuer | Yes | For | For | ||||||||
TCF FINANCIAL CORPORATION | TCB | 872275102 | 4/29/2009 | Miscellaneous Compensation Plans | Issuer | Yes | For | For | ||||||||
TCF FINANCIAL CORPORATION | TCB | 872275102 | 4/29/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
AFLAC INCORPORATED | AFL | 001055102 | 5/4/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
AFLAC INCORPORATED | AFL | 001055102 | 5/4/2009 | Miscellaneous Compensation Plans | Issuer | Yes | For | For | ||||||||
AFLAC INCORPORATED | AFL | 001055102 | 5/4/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 5/5/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 5/5/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 5/5/2009 | Amend Stock Compensation Plan | Issuer | Yes | For | For | ||||||||
THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 5/5/2009 | S/H Proposal - Political/Government | Shareholder | Yes | Against | For | ||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 5/7/2009 | Election of Directors: STEPHEN A. COZEN* | Issuer | Yes | For | For | ||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 5/7/2009 | Election of Directors: DONALD H. LAYTON* | Issuer | Yes | Withheld | Against | ||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 5/7/2009 | Election of Directors: WILBUR L. ROSS, JR.* | Issuer | Yes | Withheld | Against | ||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 5/7/2009 | Election of Directors: WALTER A. SCOTT* | Issuer | Yes | For | For | ||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 5/7/2009 | Election of Directors: HOWARD ALBERT** | Issuer | Yes | For | For | ||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 5/7/2009 | Election of Directors: ROBERT A. BAILENSON** | Issuer | Yes | For | For | ||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 5/7/2009 | Election of Directors: GARY BURNET** | Issuer | Yes | For | For | ||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 5/7/2009 | Election of Directors: DOMINIC J. FREDERICO** | Issuer | Yes | For | For | ||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 5/7/2009 | Election of Directors: JAMES M. MICHENER** | Issuer | Yes | For | For | ||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 5/7/2009 | Election of Directors: ROBERT B. MILLS** | Issuer | Yes | For | For | ||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 5/7/2009 | Election of Directors: DAVID PENCHOFF** | Issuer | Yes | For | For | ||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 5/7/2009 | Election of Directors: ANDREW PICKERING** | Issuer | Yes | For | For | ||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 5/7/2009 | Amend Stock Compensation Plan | Issuer | Yes | For | For | ||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 5/7/2009 | Amend Employee Stock Purchase Plan | Issuer | Yes | For | For | ||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 5/7/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
ASSURED GUARANTY LTD. | AGO | G0585R106 | 5/7/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
FIRST BANCORP | FBNC | 318910106 | 5/7/2009 | Election of Directors: JACK D. BRIGGS | Issuer | Yes | For | For | ||||||||
FIRST BANCORP | FBNC | 318910106 | 5/7/2009 | Election of Directors: R. WALTON BROWN | Issuer | Yes | For | For | ||||||||
FIRST BANCORP | FBNC | 318910106 | 5/7/2009 | Election of Directors: DAVID L. BURNS | Issuer | Yes | For | For | ||||||||
FIRST BANCORP | FBNC | 318910106 | 5/7/2009 | Election of Directors: JOHN F. BURNS | Issuer | Yes | For | For | ||||||||
FIRST BANCORP | FBNC | 318910106 | 5/7/2009 | Election of Directors: MARY CLARA CAPEL | Issuer | Yes | For | For | ||||||||
FIRST BANCORP | FBNC | 318910106 | 5/7/2009 | Election of Directors: JAMES C. CRAWFORD, III | Issuer | Yes | For | For | ||||||||
FIRST BANCORP | FBNC | 318910106 | 5/7/2009 | Election of Directors: JAMES G. HUDSON, JR. | Issuer | Yes | For | For | ||||||||
FIRST BANCORP | FBNC | 318910106 | 5/7/2009 | Election of Directors: JERRY L. OCHELTREE | Issuer | Yes | For | For | ||||||||
FIRST BANCORP | FBNC | 318910106 | 5/7/2009 | Election of Directors: GEORGE R. PERKINS, JR. | Issuer | Yes | For | For | ||||||||
FIRST BANCORP | FBNC | 318910106 | 5/7/2009 | Election of Directors: THOMAS F. PHILLIPS | Issuer | Yes | For | For | ||||||||
FIRST BANCORP | FBNC | 318910106 | 5/7/2009 | Election of Directors: FREDERICK L. TAYLOR II | Issuer | Yes | For | For | ||||||||
FIRST BANCORP | FBNC | 318910106 | 5/7/2009 | Election of Directors: VIRGINIA C. THOMASSON | Issuer | Yes | For | For | ||||||||
FIRST BANCORP | FBNC | 318910106 | 5/7/2009 | Election of Directors: GOLDIE H. WALLACE | Issuer | Yes | Withheld | Against | ||||||||
FIRST BANCORP | FBNC | 318910106 | 5/7/2009 | Election of Directors: DENNIS A. WICKER | Issuer | Yes | For | For | ||||||||
FIRST BANCORP | FBNC | 318910106 | 5/7/2009 | Election of Directors: JOHN C. WILLIS | Issuer | Yes | For | For | ||||||||
FIRST BANCORP | FBNC | 318910106 | 5/7/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
FIRST BANCORP | FBNC | 318910106 | 5/7/2009 | Miscellaneous Corporate Governance | Issuer | Yes | For | For | ||||||||
LEUCADIA NATIONAL CORPORATION | LUK | 527288104 | 5/11/2009 | Election of Directors | Issuer | Yes | For | For | ||||||||
LEUCADIA NATIONAL CORPORATION | LUK | 527288104 | 5/11/2009 | Amend Stock Option Plan | Issuer | Yes | For | For | ||||||||
LEUCADIA NATIONAL CORPORATION | LUK | 527288104 | 5/11/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
WACHOVIA PREFERRED FUNDING CORP. | WNAPR | 92977V206 | 5/11/2009 | Election of Directors | Issuer | Yes | For | For | ||||||||
PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 5/12/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 5/12/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 5/12/2009 | S/H Proposal - Advisory Vote Executive Pay | Shareholder | Yes | For | Against | ||||||||
PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 5/12/2009 | S/H Proposal - Establish Independent Chairman | Shareholder | Yes | For | Against | ||||||||
THE HANOVER INSURANCE GROUP, INC. | THG | 410867105 | 5/12/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
THE HANOVER INSURANCE GROUP, INC. | THG | 410867105 | 5/12/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
THE HANOVER INSURANCE GROUP, INC. | THG | 410867105 | 5/12/2009 | Approve Stock Compensation Plan | Issuer | Yes | For | For | ||||||||
NEWBRIDGE BANCORP | NBBC | 65080T102 | 5/13/2009 | Election of Directors | Issuer | Yes | For | For | ||||||||
NEWBRIDGE BANCORP | NBBC | 65080T102 | 5/13/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
NEWBRIDGE BANCORP | NBBC | 65080T102 | 5/13/2009 | Miscellaneous Corporate Governance | Issuer | Yes | For | For | ||||||||
ASSURANT, INC. | AIZ | 04621X108 | 5/14/2009 | Election of Directors | Issuer | Yes | For | For | ||||||||
ASSURANT, INC. | AIZ | 04621X108 | 5/14/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
ASSURANT, INC. | AIZ | 04621X108 | 5/14/2009 | Adopt Supermajority Requirements | Issuer | Yes | For | For | ||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 5/19/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 5/19/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 5/19/2009 | Miscellaneous Compensation Plans | Issuer | Yes | For | For | ||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 5/19/2009 | S/H Proposal - Political/Government | Shareholder | Yes | Against | For | ||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 5/19/2009 | S/H Proposal - Adopt Cumulative Voting | Shareholder | Yes | For | Against | ||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 5/19/2009 | S/H Proposal - Proxy Process/Statement | Shareholder | Yes | Against | For | ||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 5/19/2009 | Miscellaneous Shareholder Proposal | Shareholder | Yes | Against | For | ||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 5/19/2009 | Miscellaneous Shareholder Proposal | Shareholder | Yes | Against | For | ||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 5/19/2009 | S/H Proposal - Executive Compensation | Shareholder | Yes | Against | For | ||||||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 5/19/2009 | S/H Proposal - Environmental | Shareholder | Yes | Against | For | ||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 5/19/2009 | Election of Directors (Majority Voting) | Issuer | Yes | For | For | ||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 5/19/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 5/19/2009 | Amend Cash/Stock Bonus Plan | Issuer | Yes | For | For | ||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 5/19/2009 | Approve Stock Compensation Plan | Issuer | Yes | For | For | ||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 5/19/2009 | S/H Proposal - Proxy Process/Statement | Shareholder | Yes | Against | For | ||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 5/19/2009 | S/H Proposal - Advisory Vote Executive Pay | Shareholder | Yes | For | Against | ||||||||
THE ALLSTATE CORPORATION | ALL | 020002101 | 5/19/2009 | S/H Proposal - Political/Government | Shareholder | Yes | Against | For | ||||||||
STATE STREET CORPORATION | STT | 857477103 | 5/20/2009 | Election of Directors | Issuer | Yes | For | For | ||||||||
STATE STREET CORPORATION | STT | 857477103 | 5/20/2009 | Approve Charter Amendment | Issuer | Yes | For | For | ||||||||
STATE STREET CORPORATION | STT | 857477103 | 5/20/2009 | Amend Stock Compensation Plan | Issuer | Yes | For | For | ||||||||
STATE STREET CORPORATION | STT | 857477103 | 5/20/2009 | S/H Proposal - Advisory Vote Executive Pay | Shareholder | Yes | For | For | ||||||||
STATE STREET CORPORATION | STT | 857477103 | 5/20/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
STATE STREET CORPORATION | STT | 857477103 | 5/20/2009 | Miscellaneous Shareholder Proposal | Shareholder | Yes | Against | For | ||||||||
UCBH HOLDINGS, INC. | UCBH | 90262T308 | 5/21/2009 | Miscellaneous Corporate Governance | Issuer | Yes | For | For | ||||||||
UCBH HOLDINGS, INC. | UCBH | 90262T308 | 5/21/2009 | Miscellaneous Corporate Governance | Issuer | Yes | For | For | ||||||||
UCBH HOLDINGS, INC. | UCBH | 90262T308 | 5/21/2009 | Miscellaneous Corporate Governance | Issuer | Yes | For | For | ||||||||
UCBH HOLDINGS, INC. | UCBH | 90262T308 | 5/21/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
OLD REPUBLIC INTERNATIONAL CORPORATION | ORI | 680223104 | 5/22/2009 | Election of Directors | Issuer | Yes | For | For | ||||||||
OLD REPUBLIC INTERNATIONAL CORPORATION | ORI | 680223104 | 5/22/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
CITY NATIONAL CORPORATION | CYN | 178566105 | 5/27/2009 | Election of Directors | Issuer | Yes | For | For | ||||||||
CITY NATIONAL CORPORATION | CYN | 178566105 | 5/27/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For | ||||||||
CITY NATIONAL CORPORATION | CYN | 178566105 | 5/27/2009 | Miscellaneous Corporate Governance | Issuer | Yes | For | For | ||||||||
CITY NATIONAL CORPORATION | CYN | 178566105 | 5/27/2009 | S/H Proposal - Declassify Board | Shareholder | Yes | For | Against | ||||||||
THE HARTFORD FINANCIAL SVCS GROUP, INC. | HIG | 416515104 | 5/27/2009 | Election of Directors (Majority Voting) | Issuer | No | ||||||||||
THE HARTFORD FINANCIAL SVCS GROUP, INC. | HIG | 416515104 | 5/27/2009 | Ratify Appointment of Independent Auditors | Issuer | No | ||||||||||
THE HARTFORD FINANCIAL SVCS GROUP, INC. | HIG | 416515104 | 5/27/2009 | Authorize Common Stock Increase | Issuer | No | ||||||||||
THE HARTFORD FINANCIAL SVCS GROUP, INC. | HIG | 416515104 | 5/27/2009 | Amend Employee Stock Purchase Plan | Issuer | No | ||||||||||
AFFILIATED MANAGERS GROUP, INC. | AMG | 008252108 | 6/9/2009 | Election of Directors | Issuer | Yes | For | For | ||||||||
AFFILIATED MANAGERS GROUP, INC. | AMG | 008252108 | 6/9/2009 | Ratify Appointment of Independent Auditors | Issuer | Yes | For | For |
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
James F. Laird, Jr., President
Date: August 17, 2009
*Print the name and title of each signing officer under his or her signature.