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 : | 811-5989 | ||||||||
Name of Registrant: | Putnam Global Utilities Fund | ||||||||
Address of Principal Executive Offices: | One Post Office Square | ||||||||
Boston, Massachusetts 02109 | |||||||||
Name and address of agent of service: | James P. Pappas, Vice President | ||||||||
Putnam Global Utilities Fund | |||||||||
One Post Office Square | |||||||||
Boston, Massachusetts 02109 | |||||||||
CC: | Bryan Chegwidden, Esq. | ||||||||
Ropes & Gray LLP | |||||||||
1211 Avenue of the Americas | |||||||||
New York, New York 10036 | |||||||||
Registrant's telephone number including area code: | (617) 292-1000 | ||||||||
Date of fiscal year end: | 10/31/13 | ||||||||
Date of reporting period: | 07/01/2013 - 06/30/2014 |
Registrant : | Putnam Global Utilities Fund | |||||||
Fund Name : | Putnam Global Utilities Fund | |||||||
Date of fiscal year end: | 10/31/2013 | |||||||
AES Corporation | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
AES | CUSIP 00130H105 | 04/17/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Andres R. Gluski | Mgmt | For | For | For | |||
2 | Elect Guo Bao Zhang | Mgmt | For | For | For | |||
3 | Elect Charles Harrington | Mgmt | For | For | For | |||
4 | Elect Kristina M. Johnson | Mgmt | For | For | For | |||
5 | Elect Tarun Khanna | Mgmt | For | For | For | |||
6 | Elect Philip Lader | Mgmt | For | For | For | |||
7 | Elect James H. Miller | Mgmt | For | For | For | |||
8 | Elect Sandra O. Moose | Mgmt | For | For | For | |||
9 | Elect John B. Morse, Jr. | Mgmt | For | For | For | |||
10 | Elect Moises Naim | Mgmt | For | For | For | |||
11 | Elect Charles O. Rossotti | Mgmt | For | For | For | |||
12 | Elect Sven Sandstrom | Mgmt | For | For | For | |||
13 | Ratification of Auditor | Mgmt | For | For | For | |||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
Alliant Energy Corporation | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
LNT | CUSIP 018802108 | 05/13/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1.1 | Elect Patrick E. Allen | Mgmt | For | For | For | |||
1.2 | Elect Patricia L. Kampling | Mgmt | For | For | For | |||
1.3 | Elect Singleton B. McAllister | Mgmt | For | For | For | |||
1.4 | Elect Susan D. Whiting | Mgmt | For | For | For | |||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
3 | Ratification of Auditor | Mgmt | For | For | For | |||
Ameren Corporation | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
AEE | CUSIP 023608102 | 04/24/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1.1 | Elect Warner L. Baxter | Mgmt | For | For | For | |||
1.2 | Elect Catherine S. Brune | Mgmt | For | For | For | |||
1.3 | Elect Ellen M. Fitzsimmons | Mgmt | For | For | For | |||
1.4 | Elect Walter J. Galvin | Mgmt | For | For | For | |||
1.5 | Elect Richard J. Harshman | Mgmt | For | For | For | |||
1.6 | Elect Gayle P.W. Jackson | Mgmt | For | For | For | |||
1.7 | Elect James C. Johnson | Mgmt | For | For | For | |||
1.8 | Elect Steven H. Lipstein | Mgmt | For | For | For | |||
1.9 | Elect Patrick T. Stokes | Mgmt | For | For | For | |||
1.10 | Elect Thomas R. Voss | Mgmt | For | For | For | |||
1.11 | Elect Stephen R. Wilson | Mgmt | For | For | For | |||
1.12 | Elect Jack D. Woodard | Mgmt | For | For | For | |||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
3 | 2014 Omnibus Incentive Compensation Plan | Mgmt | For | For | For | |||
4 | Ratification of Auditor | Mgmt | For | For | For | |||
5 | Shareholder Proposal Regarding Independent Board Chairman | ShrHldr | Against | For | Against | |||
6 | Shareholder Proposal Regarding Lobbying Report | ShrHldr | Against | Against | For | |||
7 | Shareholder Proposal Regarding Reporting and Reducing Greenhouse Gas Emissions | ShrHldr | Against | Against | For | |||
American Electric Power Company, Inc. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
AEP | CUSIP 025537101 | 04/22/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Nicholas K. Akins | Mgmt | For | For | For | |||
2 | Elect David J. Anderson | Mgmt | For | For | For | |||
3 | Elect J. Barnie Beasley, Jr. | Mgmt | For | For | For | |||
4 | Elect Ralph D. Crosby, Jr. | Mgmt | For | For | For | |||
5 | Elect Linda A. Goodspeed | Mgmt | For | For | For | |||
6 | Elect Thomas E. Hoaglin | Mgmt | For | For | For | |||
7 | Elect Sandra Beach Lin | Mgmt | For | For | For | |||
8 | Elect Richard C. Notebaert | Mgmt | For | For | For | |||
9 | Elect Lionel L. Nowell, III | Mgmt | For | For | For | |||
10 | Elect Stephen S. Rasmussen | Mgmt | For | For | For | |||
11 | Elect Oliver G. Richard, III | Mgmt | For | For | For | |||
12 | Elect Sara M. Tucker | Mgmt | For | For | For | |||
13 | Ratification of Auditor | Mgmt | For | For | For | |||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
American Water Works Company, Inc. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
AWK | CUSIP 030420103 | 05/09/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Julie A. Dobson | Mgmt | For | For | For | |||
2 | Elect Paul J. Evanson | Mgmt | For | For | For | |||
3 | Elect Martha C. Goss | Mgmt | For | For | For | |||
4 | Elect Richard R. Grigg | Mgmt | For | For | For | |||
5 | Elect Julia L. Johnson | Mgmt | For | For | For | |||
6 | Elect George MacKenzie | Mgmt | For | For | For | |||
7 | Elect William J. Marrazzo | Mgmt | For | For | For | |||
8 | Elect Susan N. Story | Mgmt | For | For | For | |||
9 | Ratification of Auditor | Mgmt | For | For | For | |||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
Calpine Corporation | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
CPN | CUSIP 131347304 | 05/14/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1.1 | Elect Frank Cassidy | Mgmt | For | For | For | |||
1.2 | Elect Jack A. Fusco | Mgmt | For | For | For | |||
1.3 | Elect John B. (Thad) Hill | Mgmt | For | For | For | |||
1.4 | Elect Robert C. Hinckley | Mgmt | For | For | For | |||
1.5 | Elect Michael W. Hofmann | Mgmt | For | For | For | |||
1.6 | Elect David C. Merritt | Mgmt | For | For | For | |||
1.7 | Elect W. Benjamin Moreland | Mgmt | For | For | For | |||
1.8 | Elect Robert A. Mosbacher, Jr. | Mgmt | For | For | For | |||
1.9 | Elect Denise M. O'Leary | Mgmt | For | For | For | |||
2 | Ratification of Auditor | Mgmt | For | For | For | |||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
Centrica plc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
CNA | CINS G2018Z143 | 05/12/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United Kingdom | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Accounts and Reports | Mgmt | For | For | For | |||
2 | Remuneration Policy (Binding) | Mgmt | For | For | For | |||
3 | Remuneration Report (Advisory) | Mgmt | For | For | For | |||
4 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||
5 | Elect Rick Haythornthwaite | Mgmt | For | For | For | |||
6 | Elect Sam H. Laidlaw | Mgmt | For | For | For | |||
7 | Elect Margherita Della Valle | Mgmt | For | For | For | |||
8 | Elect Mary Francis | Mgmt | For | For | For | |||
9 | Elect Mark Hanafin | Mgmt | For | For | For | |||
10 | Elect Lesley Knox | Mgmt | For | For | For | |||
11 | Elect Mike Linn | Mgmt | For | For | For | |||
12 | Elect Nick Luff | Mgmt | For | For | For | |||
13 | Elect Ian K. Meakins | Mgmt | For | For | For | |||
14 | Elect Paul A. Rayner | Mgmt | For | For | For | |||
15 | Elect Chris Weston | Mgmt | For | For | For | |||
16 | Appointment of Auditor | Mgmt | For | For | For | |||
17 | Authority to Set Auditor's Fees | Mgmt | For | For | For | |||
18 | Authorisation of Political Donations | Mgmt | For | For | For | |||
19 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||
20 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||
21 | Authority to Repurchase Shares | Mgmt | For | For | For | |||
22 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | Against | Against | |||
China Resources Gas Group Limited | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
1193 | CINS G2113B108 | 05/30/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | Bermuda | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
2 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
3 | Accounts and Reports | Mgmt | For | For | For | |||
4 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||
5 | Elect GE Bin | Mgmt | For | For | For | |||
6 | Elect SHI Shanbo | Mgmt | For | Against | Against | |||
7 | Elect WEI Bin | Mgmt | For | Against | Against | |||
8 | Elect WONG Tak Shing | Mgmt | For | Against | Against | |||
9 | Elect QIN Chaokui | Mgmt | For | For | For | |||
10 | Directors' Fees | Mgmt | For | For | For | |||
11 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||
12 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||
13 | Authority to Repurchase Shares | Mgmt | For | For | For | |||
14 | Authority to Issue Repurchased Shares | Mgmt | For | Against | Against | |||
Chubu Electric Power Company Incorporated | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
9502 | CINS J06510101 | 06/26/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | Japan | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
2 | Amendments to Articles | Mgmt | For | For | For | |||
3 | Elect Yoshifumi Iwata | Mgmt | For | For | For | |||
4 | Elect Tomohiko Ohno | Mgmt | For | For | For | |||
5 | Elect Satoru Katsuno | Mgmt | For | For | For | |||
6 | Elect Hideko Katsumata | Mgmt | For | For | For | |||
7 | Elect Chiyoji Kurata | Mgmt | For | For | For | |||
8 | Elect Masatoshi Sakaguchi | Mgmt | For | For | For | |||
9 | Elect Kohzoh Ban | Mgmt | For | For | For | |||
10 | Elect Masanori Matsuura | Mgmt | For | For | For | |||
11 | Elect Kazuhiro Matsubara | Mgmt | For | For | For | |||
12 | Elect Akihisa Mizuno | Mgmt | For | For | For | |||
13 | Elect Toshio Mita | Mgmt | For | For | For | |||
14 | Elect Yutaka Watanabe | Mgmt | For | For | For | |||
15 | Shareholder Proposal Regarding Electricity Rate Revisions | ShrHldr | Against | Against | For | |||
16 | Shareholder Proposal Regarding Decommissioning Nuclear Operations | ShrHldr | Against | Against | For | |||
17 | Shareholder Proposal Regarding Investment Priorities | ShrHldr | Against | Against | For | |||
18 | Shareholder Proposal Regarding Restrictions on Spending | ShrHldr | Against | Against | For | |||
19 | Shareholder Proposal Regarding Eliminating Radiation Exposure | ShrHldr | Against | Against | For | |||
20 | Shareholder Proposal Regarding Emergency Evacuation Measures | ShrHldr | Against | Against | For | |||
21 | Shareholder Proposal Regarding Sustainable Development | ShrHldr | Against | Against | For | |||
Comcast Corporation | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
CMCSA | CUSIP 20030N200 | 05/21/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1.1 | Elect Kenneth J. Bacon | Mgmt | For | For | For | |||
1.2 | Elect Sheldon M. Bonovitz | Mgmt | For | For | For | |||
1.3 | Elect Edward D. Breen | Mgmt | For | For | For | |||
1.4 | Elect Joseph J. Collins | Mgmt | For | For | For | |||
1.5 | Elect J. Michael Cook | Mgmt | For | For | For | |||
1.6 | Elect Gerald L. Hassell | Mgmt | For | For | For | |||
1.7 | Elect Jeffrey A. Honickman | Mgmt | For | For | For | |||
1.8 | Elect Eduardo G. Mestre | Mgmt | For | For | For | |||
1.9 | Elect Brian L. Roberts | Mgmt | For | For | For | |||
1.10 | Elect Ralph J. Roberts | Mgmt | For | For | For | |||
1.11 | Elect Johnathan A. Rodgers | Mgmt | For | For | For | |||
1.12 | Elect Judith Rodin | Mgmt | For | For | For | |||
2 | Ratification of Auditor | Mgmt | For | For | For | |||
3 | Advisory Vote on Executive Compensation | Mgmt | For | Against | Against | |||
4 | Shareholder Proposal Regarding Lobbying Report | ShrHldr | Against | Against | For | |||
5 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHldr | Against | Against | For | |||
Deutsche Post AG | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
DPW | CINS D19225107 | 05/27/2014 | Take No Action | |||||
Meeting Type | Country of Trade | |||||||
Annual | Germany | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Non-Voting Meeting Note | N/A | N/A | TNA | N/A | |||
2 | Non-Voting Meeting Note | N/A | N/A | TNA | N/A | |||
3 | Non-Voting Meeting Note | N/A | N/A | TNA | N/A | |||
4 | Non-Voting Meeting Note | N/A | N/A | TNA | N/A | |||
5 | Non-Voting Meeting Note | N/A | N/A | TNA | N/A | |||
6 | Non-Voting Meeting Note | N/A | N/A | TNA | N/A | |||
7 | Allocation of Profits/Dividends | Mgmt | For | TNA | N/A | |||
8 | Ratification of Management Board Acts | Mgmt | For | TNA | N/A | |||
9 | Ratification of Supervisory Board Acts | Mgmt | For | TNA | N/A | |||
10 | Appointment of Auditor | Mgmt | For | TNA | N/A | |||
11 | Authority to Repurchase Shares | Mgmt | For | TNA | N/A | |||
12 | Authority to Repurchase Shares Using Equity Derivatives | Mgmt | For | TNA | N/A | |||
13 | Performance Share Plan; Increase in Conditional Capital | Mgmt | For | TNA | N/A | |||
14 | Elect Henning Kagermann | Mgmt | For | TNA | N/A | |||
15 | Elect Simone Menne | Mgmt | For | TNA | N/A | |||
16 | Elect Ulrich Schroder | Mgmt | For | TNA | N/A | |||
17 | Elect Stefan Schulte | Mgmt | For | TNA | N/A | |||
18 | Amendments to Previously Approved Intra-company Contracts | Mgmt | For | TNA | N/A | |||
Dominion Resources, Inc. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
D | CUSIP 25746U109 | 05/07/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect William P. Barr | Mgmt | For | Against | Against | |||
2 | Elect Peter W. Brown | Mgmt | For | Against | Against | |||
3 | Elect Helen E. Dragas | Mgmt | For | Against | Against | |||
4 | Elect James O. Ellis, Jr. | Mgmt | For | Against | Against | |||
5 | Elect Thomas F. Farrell II | Mgmt | For | Against | Against | |||
6 | Elect John W. Harris | Mgmt | For | Against | Against | |||
7 | Elect Mark J. Kington | Mgmt | For | Against | Against | |||
8 | Elect Pamela L. Royal | Mgmt | For | Against | Against | |||
9 | Elect Robert H. Spilman, Jr. | Mgmt | For | Against | Against | |||
10 | Elect Michael E. Szymanczyk | Mgmt | For | Against | Against | |||
11 | Elect David A. Wollard | Mgmt | For | Against | Against | |||
12 | Ratification of Auditor | Mgmt | For | For | For | |||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
14 | 2014 Incentive Compensation Plan | Mgmt | For | For | For | |||
15 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHldr | Against | Against | For | |||
16 | Shareholder Proposal Regarding Financial Risks of Climate Change | ShrHldr | Against | Against | For | |||
17 | Shareholder Proposal Regarding Methane Emissions Reporting and Reduction Targets | ShrHldr | Against | Against | For | |||
18 | Shareholder Proposal Regarding Lobbying Report | ShrHldr | Against | Against | For | |||
19 | Shareholder Proposal Regarding Environmental Impacts and Risks of Biomass | ShrHldr | Against | Against | For | |||
20 | Shareholder Proposal Regarding Reporting and Reducing Greenhouse Gas Emissions | ShrHldr | Against | Against | For | |||
Duke Energy Corporation | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
DUK | CUSIP 26441C204 | 05/01/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1.1 | Elect G. Alex Bernhardt, Sr. | Mgmt | For | For | For | |||
1.2 | Elect Michael G. Browning | Mgmt | For | For | For | |||
1.3 | Elect Harris E. DeLoach, Jr. | Mgmt | For | For | For | |||
1.4 | Elect Daniel R. DiMicco | Mgmt | For | For | For | |||
1.5 | Elect John H. Forsgren | Mgmt | For | For | For | |||
1.6 | Elect Lynn J. Good | Mgmt | For | For | For | |||
1.7 | Elect Ann Maynard Gray | Mgmt | For | For | For | |||
1.8 | Elect James H. Hance, Jr. | Mgmt | For | For | For | |||
1.9 | Elect John T. Herron | Mgmt | For | For | For | |||
1.10 | Elect James B. Hyler, Jr. | Mgmt | For | For | For | |||
1.11 | Elect William E. Kennard | Mgmt | For | For | For | |||
1.12 | Elect E. Marie McKee | Mgmt | For | For | For | |||
1.13 | Elect E. James Reinsch | Mgmt | For | For | For | |||
1.14 | Elect James T. Rhodes | Mgmt | For | For | For | |||
1.15 | Elect Carlos A. Saladrigas | Mgmt | For | For | For | |||
2 | Ratification of Auditor | Mgmt | For | For | For | |||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
4 | Restoration of Written Consent | Mgmt | For | For | For | |||
5 | Shareholder Proposal Regarding Right to Call a Special Meeting | ShrHldr | Against | Against | For | |||
6 | Shareholder Proposal Regarding Political Contributions and Expenditures Report | ShrHldr | Against | Against | For | |||
Edison International | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
EIX | CUSIP 281020107 | 04/24/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Jagjeet S. Bindra | Mgmt | For | For | For | |||
2 | Elect Vanessa C.L. Chang | Mgmt | For | For | For | |||
3 | Elect France A. Cordova | Mgmt | For | For | For | |||
4 | Elect Theodore F. Craver, Jr. | Mgmt | For | For | For | |||
5 | Elect Bradford M. Freeman | Mgmt | For | For | For | |||
6 | Elect Luis G. Nogales | Mgmt | For | For | For | |||
7 | Elect Richard T. Schlosberg, III | Mgmt | For | For | For | |||
8 | Elect Linda G. Stuntz | Mgmt | For | Against | Against | |||
9 | Elect Thomas C. Sutton | Mgmt | For | For | For | |||
10 | Elect Ellen O. Tauscher | Mgmt | For | For | For | |||
11 | Elect Peter J. Taylor | Mgmt | For | For | For | |||
12 | Elect Brett White | Mgmt | For | For | For | |||
13 | Ratification of Auditor | Mgmt | For | For | For | |||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
15 | Shareholder Proposal Regarding Independent Board Chairman | ShrHldr | Against | For | Against | |||
Electric Power Development Co Ltd | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
9513 | CINS J12915104 | 06/26/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | Japan | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||
3 | Elect Yasuo Maeda | Mgmt | For | For | For | |||
4 | Elect Masayoshi Kitamura | Mgmt | For | For | For | |||
5 | Elect Yoshihiko Sakanashi | Mgmt | For | For | For | |||
6 | Elect Minoru Hino | Mgmt | For | For | For | |||
7 | Elect Toshifumi Watanabe | Mgmt | For | For | For | |||
8 | Elect Seigoh Mizunuma | Mgmt | For | For | For | |||
9 | Elect Kuniharu Takemata | Mgmt | For | For | For | |||
10 | Elect Junji Nagashima | Mgmt | For | For | For | |||
11 | Elect Hitoshi Murayama | Mgmt | For | For | For | |||
12 | Elect Masato Uchiyama | Mgmt | For | For | For | |||
13 | Elect Naori Fukuda | Mgmt | For | For | For | |||
14 | Elect Goh Kajitani | Mgmt | For | For | For | |||
15 | Elect Mariko Fujii | Mgmt | For | For | For | |||
16 | Elect Hiroshi Fujioka as Statutory Auditor | Mgmt | For | For | For | |||
Entergy Corporation | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
ETR | CUSIP 29364G103 | 05/02/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Election of Directors | Mgmt | For | For | For | |||
2 | Elect Maureen S. Bateman | Mgmt | For | For | For | |||
3 | Elect Leo P. Denault | Mgmt | For | For | For | |||
4 | Elect Kirkland H. Donald | Mgmt | For | For | For | |||
5 | Elect Gary W. Edwards | Mgmt | For | For | For | |||
6 | Elect Alexis M. Herman | Mgmt | For | For | For | |||
7 | Elect Donald C. Hintz | Mgmt | For | For | For | |||
8 | Elect Stuart L. Levenick | Mgmt | For | For | For | |||
9 | Elect Blanche L. Lincoln | Mgmt | For | For | For | |||
10 | Elect Stewart C. Myers | Mgmt | For | For | For | |||
11 | Elect Steven V. Wilkinson | Mgmt | For | For | For | |||
12 | Ratification of Auditor | Mgmt | For | For | For | |||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
14 | Shareholder Proposal Regarding Decommissioning of Indian Point Nuclear Reactors | ShrHldr | Against | Against | For | |||
15 | Shareholder Proposal Regarding Reporting on Nuclear Safety | ShrHldr | Against | Against | For | |||
Exelon Corporation | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
EXC | CUSIP 30161N101 | 05/06/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Anthony K. Anderson | Mgmt | For | For | For | |||
2 | Elect Ann C. Berzin | Mgmt | For | For | For | |||
3 | Elect John A. Canning Jr. | Mgmt | For | For | For | |||
4 | Elect Christopher M. Crane | Mgmt | For | For | For | |||
5 | Elect Yves C. de Balmann | Mgmt | For | For | For | |||
6 | Elect Nicholas DeBenedictis | Mgmt | For | For | For | |||
7 | Elect Nelson A. Diaz | Mgmt | For | For | For | |||
8 | Elect Sue Ling Gin | Mgmt | For | For | For | |||
9 | Elect Paul L. Joskow | Mgmt | For | For | For | |||
10 | Elect Robert J. Lawless | Mgmt | For | For | For | |||
11 | Elect Richard W. Mies | Mgmt | For | For | For | |||
12 | Elect William C. Richardson | Mgmt | For | For | For | |||
13 | Elect John W. Rogers, Jr. | Mgmt | For | For | For | |||
14 | Elect Mayo A. Shattuck III | Mgmt | For | For | For | |||
15 | Elect Stephen D. Steinour | Mgmt | For | For | For | |||
16 | Ratification of Auditor | Mgmt | For | For | For | |||
17 | Advisory Vote on Executive Compensation | Mgmt | For | Against | Against | |||
18 | Renewal of the Annual Incentive Plan for Senior Executives | Mgmt | For | For | For | |||
19 | Shareholder Proposal Regarding Pay Ratio | ShrHldr | Against | Against | For | |||
Firstenergy Corp. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
FE | CUSIP 337932107 | 05/20/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1.1 | Elect Paul T. Addison | Mgmt | For | For | For | |||
1.2 | Elect Anthony J. Alexander | Mgmt | For | For | For | |||
1.3 | Elect Michael J. Anderson | Mgmt | For | For | For | |||
1.4 | Elect William T. Cottle | Mgmt | For | For | For | |||
1.5 | Elect Robert B. Heisler, Jr. | Mgmt | For | For | For | |||
1.6 | Elect Julia L. Johnson | Mgmt | For | For | For | |||
1.7 | Elect Ted J. Kleisner | Mgmt | For | For | For | |||
1.8 | Elect Donald T. Misheff | Mgmt | For | For | For | |||
1.9 | Elect Ernest J. Novak, Jr. | Mgmt | For | For | For | |||
1.10 | Elect Christopher D. Pappas | Mgmt | For | For | For | |||
1.11 | Elect Catherine A. Rein | Mgmt | For | For | For | |||
1.12 | Elect Luis A. Reyes | Mgmt | For | For | For | |||
1.13 | Elect George M. Smart | Mgmt | For | For | For | |||
1.14 | Elect Wesley M. Taylor | Mgmt | For | For | For | |||
2 | Ratification of Auditor | Mgmt | For | For | For | |||
3 | Advisory Vote on Executive Compensation | Mgmt | For | Against | Against | |||
4 | Shareholder Proposal Regarding Shareholder Approval of Specific Performance Metrics in Equity Compensation Plans | ShrHldr | Against | Against | For | |||
5 | Shareholder Proposal Regarding Supplemental Executive Retirement Benefits | ShrHldr | Against | Against | For | |||
6 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHldr | Against | Against | For | |||
7 | Shareholder Proposal Regarding Majority Vote for Election of Directors | ShrHldr | Against | For | Against | |||
GDF Suez | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
GSZ | CINS F42768105 | 04/28/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Mix | France | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
2 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
3 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
4 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
5 | Accounts and Reports; Approval of Non-Tax Deductible Expenses | Mgmt | For | For | For | |||
6 | Consolidated Accounts and Reports | Mgmt | For | For | For | |||
7 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||
8 | Related Party Transactions | Mgmt | For | For | For | |||
9 | Authority to Repurchase Shares | Mgmt | For | For | For | |||
10 | Appointment of Auditor (Ernst & Young et Autres) | Mgmt | For | For | For | |||
11 | Appointment of Auditor (Deloitte & Associes) | Mgmt | For | For | For | |||
12 | Appointment of Alternate Auditor (AUDITEX) | Mgmt | For | For | For | |||
13 | Appointment of Alternate Auditor (BEAS) | Mgmt | For | For | For | |||
14 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||
15 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||
16 | Authority to Issue Shares and Convertible Securities Through Private Placement | Mgmt | For | For | For | |||
17 | Greenshoe | Mgmt | For | For | For | |||
18 | Authority to Increase Capital in Consideration for Contributions in Kind | Mgmt | For | For | For | |||
19 | Employee Stock Purchase Plan | Mgmt | For | For | For | |||
20 | Employee Stock Purchase Plan for Overseas Employees | Mgmt | For | For | For | |||
21 | Global Ceiling on Capital Increases | Mgmt | For | For | For | |||
22 | Authority to Increase Capital Through Capitalizations | Mgmt | For | For | For | |||
23 | Authority to Cancel Shares and Reduce Share Capital | Mgmt | For | For | For | |||
24 | Authority to Issue Bonus Shares to Employees, Including Overseas Employees | Mgmt | For | For | For | |||
25 | Authority to Issue Bonus Shares to Employees | Mgmt | For | For | For | |||
26 | Amendment to Article Regarding Loyalty Dividends | Mgmt | For | For | For | |||
27 | Authorization of Legal Formalities | Mgmt | For | For | For | |||
28 | Remuneration of Gerard Mestrallet, Chairman and CEO | Mgmt | For | For | For | |||
29 | Remuneration of Jean-Francois Cirelli, Vice Chairman and President | Mgmt | For | For | For | |||
30 | Shareholder Proposal Regarding Allocation of Profits (Resolution A) | ShrHldr | Against | Against | For | |||
Iberdrola S.A. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
IBE | CINS E6165F166 | 03/28/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Ordinary | Spain | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
2 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
3 | Accounts | Mgmt | For | For | For | |||
4 | Management Reports | Mgmt | For | For | For | |||
5 | Ratification of Board Acts | Mgmt | For | For | For | |||
6 | Appointment of Auditor | Mgmt | For | For | For | |||
7 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||
8 | Bonus Share Issuance | Mgmt | For | For | For | |||
9 | Bonus Share Issuance | Mgmt | For | For | For | |||
10 | Deferred Share Bonus Plan | Mgmt | For | For | For | |||
11 | Elect Georgina Yamilet Kessel Martinez | Mgmt | For | For | For | |||
12 | Authority to Repurchase Shares | Mgmt | For | For | For | |||
13 | Amendment to Article 34.5 | Mgmt | For | For | For | |||
14 | Amendments to Article 44.3 | Mgmt | For | For | For | |||
15 | Authority to Cancel Treasury Shares and Reduce Share Capital | Mgmt | For | For | For | |||
16 | Authority to Carry Out Formalities | Mgmt | For | For | For | |||
17 | Remuneration Report | Mgmt | For | For | For | |||
Iliad SA | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
ILD | CINS F4958P102 | 05/20/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Mix | France | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
2 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
3 | Accounts and Reports | Mgmt | For | For | For | |||
4 | Consolidated Accounts and Reports | Mgmt | For | For | For | |||
5 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||
6 | Related Party Transactions | Mgmt | For | For | For | |||
7 | Directors' Fees | Mgmt | For | For | For | |||
8 | Remuneration of Cyril Poidatz, Chairman | Mgmt | For | For | For | |||
9 | Remuneration of Maxime Lombardini, CEO | Mgmt | For | For | For | |||
10 | Remuneration of Rani Assaf, Antoine Levavasseur, Xavier Niel, Thomas Reynaud, Deputy CEO | Mgmt | For | For | For | |||
11 | Authority to Repurchase Shares | Mgmt | For | Against | Against | |||
12 | Authority to Increase Capital in Consideration for Contributions in Kind | Mgmt | For | For | For | |||
13 | Authority to Grant Stock Options | Mgmt | For | For | For | |||
14 | Authority to Issue Restricted Shares | Mgmt | For | For | For | |||
15 | Employee Stock Purchase Plan | Mgmt | Against | For | Against | |||
16 | Authority to Cancel Shares and Reduce Capital | Mgmt | For | For | For | |||
17 | Amendment Regarding Share Ownership Disclosure Requirements | Mgmt | For | Against | Against | |||
18 | Amendments Regarding Shareholder Meetings | Mgmt | For | Against | Against | |||
19 | Authorization of Legal Formalities | Mgmt | For | For | For | |||
20 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
National Grid Plc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
NG | CUSIP 636274300 | 07/29/2013 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Accounts and Reports | Mgmt | For | For | For | |||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||
3 | Elect Sir Peter Gershon | Mgmt | For | For | For | |||
4 | Elect Steven Holliday | Mgmt | For | For | For | |||
5 | Elect Andrew Bonfield | Mgmt | For | For | For | |||
6 | Elect Thomas B. King | Mgmt | For | For | For | |||
7 | Elect Nick Winser | Mgmt | For | For | For | |||
8 | Elect Philip Aiken | Mgmt | For | Against | Against | |||
9 | Elect Nora Brownell | Mgmt | For | For | For | |||
10 | Elect Jonathan Dawson | Mgmt | For | For | For | |||
11 | Elect Paul Golby | Mgmt | For | For | For | |||
12 | Elect Ruth Kelly | Mgmt | For | For | For | |||
13 | Elect Maria Richter | Mgmt | For | For | For | |||
14 | Elect Mark Williamson | Mgmt | For | For | For | |||
15 | Appointment of Auditor | Mgmt | For | For | For | |||
16 | Authority to Set Auditor's Fees | Mgmt | For | For | For | |||
17 | Directors' Remuneration Report | Mgmt | For | For | For | |||
18 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||
19 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||
20 | Authority to Repurchase Shares | Mgmt | For | For | For | |||
21 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | Against | Against | |||
National Grid Plc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
NG | CINS G6375K151 | 07/29/2013 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United Kingdom | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Accounts and Reports | Mgmt | For | For | For | |||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||
3 | Elect Sir Peter Gershon | Mgmt | For | For | For | |||
4 | Elect Steven Holliday | Mgmt | For | For | For | |||
5 | Elect Andrew Bonfield | Mgmt | For | For | For | |||
6 | Elect Thomas B. King | Mgmt | For | For | For | |||
7 | Elect Nick Winser | Mgmt | For | For | For | |||
8 | Elect Philip Aiken | Mgmt | For | Against | Against | |||
9 | Elect Nora Brownell | Mgmt | For | For | For | |||
10 | Elect Jonathan Dawson | Mgmt | For | For | For | |||
11 | Elect Paul Golby | Mgmt | For | For | For | |||
12 | Elect Ruth Kelly | Mgmt | For | For | For | |||
13 | Elect Maria Richter | Mgmt | For | For | For | |||
14 | Elect Mark Williamson | Mgmt | For | For | For | |||
15 | Appointment of Auditor | Mgmt | For | For | For | |||
16 | Authority to Set Auditor's Fees | Mgmt | For | For | For | |||
17 | Directors' Remuneration Report | Mgmt | For | For | For | |||
18 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||
19 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||
20 | Authority to Repurchase Shares | Mgmt | For | For | For | |||
21 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | Against | Against | |||
NextEra Energy, Inc. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
NEE | CUSIP 65339F101 | 05/22/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Sherry S. Barrat | Mgmt | For | For | For | |||
2 | Elect Robert M. Beall II | Mgmt | For | For | For | |||
3 | Elect James L. Camaren | Mgmt | For | For | For | |||
4 | Elect Kenneth B. Dunn | Mgmt | For | For | For | |||
5 | Elect Kirk S. Hachigian | Mgmt | For | For | For | |||
6 | Elect Toni Jennings | Mgmt | For | For | For | |||
7 | Elect James L. Robo | Mgmt | For | For | For | |||
8 | Elect Rudy E. Schupp | Mgmt | For | For | For | |||
9 | Elect John L. Skolds | Mgmt | For | For | For | |||
10 | Elect William H. Swanson | Mgmt | For | For | For | |||
11 | Elect Hansel E. Tookes II | Mgmt | For | For | For | |||
12 | Ratification of Auditor | Mgmt | For | For | For | |||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
14 | Shareholder Proposal Regarding Simple Majority Vote | ShrHldr | Against | For | Against | |||
Northeast Utilities | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
NU | CUSIP 664397106 | 05/01/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1.1 | Elect Richard H. Booth | Mgmt | For | For | For | |||
1.2 | Elect John S. Clarkeson | Mgmt | For | For | For | |||
1.3 | Elect Cotton M. Cleveland | Mgmt | For | For | For | |||
1.4 | Elect Sanford Cloud, Jr. | Mgmt | For | For | For | |||
1.5 | Elect James S. DiStasio | Mgmt | For | For | For | |||
1.6 | Elect Francis A. Doyle | Mgmt | For | For | For | |||
1.7 | Elect Charles K. Gifford | Mgmt | For | For | For | |||
1.8 | Elect Paul A. La Camera | Mgmt | For | For | For | |||
1.9 | Elect Kenneth R. Leibler | Mgmt | For | For | For | |||
1.10 | Elect Thomas J. May | Mgmt | For | For | For | |||
1.11 | Elect William C. Van Faasen | Mgmt | For | For | For | |||
1.12 | Elect Frederica M. Williams | Mgmt | For | For | For | |||
1.13 | Elect Dennis R. Wraase | Mgmt | For | For | For | |||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
3 | Ratification of Auditor | Mgmt | For | For | For | |||
NRG Energy, Inc. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
NRG | CUSIP 629377508 | 05/08/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Kirbyjon H. Caldwell | Mgmt | For | For | For | |||
2 | Elect Lawrence S. Coben | Mgmt | For | For | For | |||
3 | Elect David W. Crane | Mgmt | For | For | For | |||
4 | Elect Terry G. Dallas | Mgmt | For | For | For | |||
5 | Elect Paul W. Hobby | Mgmt | For | For | For | |||
6 | Elect Edward R. Muller | Mgmt | For | For | For | |||
7 | Elect Evan J. Silverstein | Mgmt | For | For | For | |||
8 | Elect Thomas H. Weidemeyer | Mgmt | For | For | For | |||
9 | Elect Walter R. Young | Mgmt | For | For | For | |||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
11 | Approval of Amended and Restated Employee Stock Purchase Plan | Mgmt | For | For | For | |||
12 | Ratification of Auditor | Mgmt | For | For | For | |||
Numericable Group | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
NUM | CINS F6627W103 | 05/20/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Mix | France | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
2 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
3 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
4 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
5 | Accounts and Reports | Mgmt | For | For | For | |||
6 | Consolidated Accounts and Reports | Mgmt | For | For | For | |||
7 | Allocation of Losses | Mgmt | For | For | For | |||
8 | Related Party Transactions | Mgmt | For | For | For | |||
9 | Severance Agreement of Eric Denoyer, Chairman of the Board and CEO | Mgmt | For | For | For | |||
10 | Remuneration of Eric Denoyer, Chairman of the Board and CEO | Mgmt | For | For | For | |||
11 | Ratification of the Co-option of Jean-Michel Hegesippe | Mgmt | For | For | For | |||
12 | Elect Jean-Michel Hegesippe | Mgmt | For | Against | Against | |||
13 | Elect Bernard Attali | Mgmt | For | Against | Against | |||
14 | Elect Max Aaron | Mgmt | For | Against | Against | |||
15 | Authority to Repurchase Shares | Mgmt | For | For | For | |||
16 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||
17 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | Against | Against | |||
18 | Authority to Issue Shares Through Private Placement w/o Preemptive Rights | Mgmt | For | Against | Against | |||
19 | Increase in Authorized Capital in Consideration for Contributions in Kind | Mgmt | For | Against | Against | |||
20 | Increase in Authorized Capital Through Capitalizations | Mgmt | For | For | For | |||
21 | Greenshoe | Mgmt | For | Against | Against | |||
22 | Employee Stock Purchase Plan | Mgmt | For | For | For | |||
23 | Authority to Cancel Shares and Reduce Share Capital | Mgmt | For | For | For | |||
24 | Authorization of Legal Formalities | Mgmt | For | For | For | |||
Oge Energy Corp. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
OGE | CUSIP 670837103 | 05/15/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1.1 | Elect James H. Brandi | Mgmt | For | For | For | |||
1.2 | Elect Wayne H. Brunetti | Mgmt | For | For | For | |||
1.3 | Elect Luke R. Corbett | Mgmt | For | For | For | |||
1.4 | Elect Peter B. Delaney | Mgmt | For | For | For | |||
1.5 | Elect John D. Groendyke | Mgmt | For | For | For | |||
1.6 | Elect Kirk Humphreys | Mgmt | For | For | For | |||
1.7 | Elect Robert Kelley | Mgmt | For | For | For | |||
1.8 | Elect Robert O. Lorenz | Mgmt | For | For | For | |||
1.9 | Elect Judy R. McReynolds | Mgmt | For | For | For | |||
1.10 | Elect Sheila G. Talton | Mgmt | For | For | For | |||
2 | Ratification of Auditor | Mgmt | For | For | For | |||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
4 | Shareholder Proposal Regarding Independent Board Chairman | ShrHldr | Against | For | Against | |||
Origin Energy Limited | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
ORG | CINS Q71610101 | 10/23/2013 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | Australia | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
2 | Elect Bruce W D Morgan | Mgmt | For | Against | Against | |||
3 | Re-elect Gordon Cairns | Mgmt | For | Against | Against | |||
4 | Remuneration Report | Mgmt | For | For | For | |||
5 | Renew Proportional Takeover Provisions | Mgmt | For | For | For | |||
PG&E Corporation | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
PCG | CUSIP 69331C108 | 05/12/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Lewis Chew | Mgmt | For | Against | Against | |||
2 | Elect Anthony F. Earley, Jr. | Mgmt | For | Against | Against | |||
3 | Elect Fred J. Fowler | Mgmt | For | Against | Against | |||
4 | Elect Maryellen C. Herringer | Mgmt | For | Against | Against | |||
5 | Elect Richard C. Kelly | Mgmt | For | Against | Against | |||
6 | Elect Roger H. Kimmel | Mgmt | For | Against | Against | |||
7 | Elect Richard A. Meserve | Mgmt | For | Against | Against | |||
8 | Elect Forrest E. Miller | Mgmt | For | Against | Against | |||
9 | Elect Rosendo G. Parra | Mgmt | For | Against | Against | |||
10 | Elect Barbara L. Rambo | Mgmt | For | Against | Against | |||
11 | Elect Barry Lawson Williams | Mgmt | For | Against | Against | |||
12 | Ratification of Auditor | Mgmt | For | For | For | |||
13 | Advisory Vote on Executive Compensation | Mgmt | For | Against | Against | |||
14 | 2014 Long-Term Incentive Plan | Mgmt | For | For | For | |||
PPL Corporation | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
PPL | CUSIP 69351T106 | 05/21/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Frederick M. Bernthal | Mgmt | For | For | For | |||
2 | Elect John W. Conway | Mgmt | For | For | For | |||
3 | Elect Philip G. Cox | Mgmt | For | For | For | |||
4 | Elect Steven G. Elliott | Mgmt | For | For | For | |||
5 | Elect Louise K. Goeser | Mgmt | For | For | For | |||
6 | Elect Stuart E. Graham | Mgmt | For | For | For | |||
7 | Elect Stuart Heydt | Mgmt | For | For | For | |||
8 | Elect Raja Rajamannar | Mgmt | For | For | For | |||
9 | Elect Craig A. Rogerson | Mgmt | For | For | For | |||
10 | Elect William H. Spence | Mgmt | For | For | For | |||
11 | Elect Natica von Althann | Mgmt | For | For | For | |||
12 | Elect Keith H. Williamson | Mgmt | For | For | For | |||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
14 | Ratification of Auditor | Mgmt | For | For | For | |||
15 | Shareholder Proposal Regarding Report on Political Spending | ShrHldr | Against | Against | For | |||
16 | Shareholder Proposal Regarding Right to Call a Special Meeting | ShrHldr | Against | Against | For | |||
Putnam Short Term Investment Fund | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
CUSIP 74676P664 | 02/27/2014 | Voted | ||||||
Meeting Type | Country of Trade | |||||||
Special | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Approving a new management contract for your fund | Mgmt | For | For | For | |||
2 | Elect Liaquat Ahamed | Mgmt | For | For | For | |||
3 | Elect Ravi Akhoury | Mgmt | For | For | For | |||
4 | Elect Barbara M. Baumann | Mgmt | For | For | For | |||
5 | Elect Jameson A. Baxter | Mgmt | For | For | For | |||
6 | Elect Charles B. Curtis | Mgmt | For | For | For | |||
7 | Elect Robert J. Darretta | Mgmt | For | For | For | |||
8 | Elect Katinka Domotorffy | Mgmt | For | For | For | |||
9 | Elect John A. Hill | Mgmt | For | For | For | |||
10 | Elect Paul L. Joskow | Mgmt | For | For | For | |||
11 | Elect Kenneth R. Leibler | Mgmt | For | For | For | |||
12 | Elect Robert E. Patterson | Mgmt | For | For | For | |||
13 | Elect George Putnam, III | Mgmt | For | For | For | |||
14 | Elect Robert L. Reynolds | Mgmt | For | For | For | |||
15 | Elect W. Thomas Stephens | Mgmt | For | For | For | |||
16 | Approving an Amended and Restated Declaration of Trust for your fund | Mgmt | For | For | For | |||
Sempra Energy | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
SRE | CUSIP 816851109 | 05/09/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Alan L. Boeckmann | Mgmt | For | For | For | |||
2 | Elect James G. Brocksmith, Jr. | Mgmt | For | For | For | |||
3 | Elect Kathleen L. Brown | Mgmt | For | For | For | |||
4 | Elect Pablo A. Ferrero | Mgmt | For | For | For | |||
5 | Elect William D. Jones | Mgmt | For | For | For | |||
6 | Elect William G. Ouchi | Mgmt | For | For | For | |||
7 | Elect Debra L. Reed | Mgmt | For | For | For | |||
8 | Elect William C. Rusnack | Mgmt | For | For | For | |||
9 | Elect William P. Rutledge | Mgmt | For | For | For | |||
10 | Elect Lynn Schenk | Mgmt | For | For | For | |||
11 | Elect Jack T. Taylor | Mgmt | For | For | For | |||
12 | Elect Luis M. Tellez | Mgmt | For | For | For | |||
13 | Elect James C. Yardley | Mgmt | For | For | For | |||
14 | Ratification of Auditor | Mgmt | For | For | For | |||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
Severn Trent plc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
SVT | CINS G8056D159 | 07/17/2013 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United Kingdom | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Accounts and Reports | Mgmt | For | For | For | |||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||
3 | Directors' Remuneration Report | Mgmt | For | For | For | |||
4 | Elect Tony Ballance | Mgmt | For | Against | Against | |||
5 | Elect Bernard Bulkin | Mgmt | For | Against | Against | |||
6 | Elect Richard Davey | Mgmt | For | Against | Against | |||
7 | Elect Andrew J. Duff | Mgmt | For | Against | Against | |||
8 | Elect Gordon Fryett | Mgmt | For | Against | Against | |||
9 | Elect Martin Kane | Mgmt | For | Against | Against | |||
10 | Elect Martin Lamb | Mgmt | For | Against | Against | |||
11 | Elect Michael J.E. McKeon | Mgmt | For | Against | Against | |||
12 | Elect Baroness Sheila Noakes | Mgmt | For | Against | Against | |||
13 | Elect Andy Smith | Mgmt | For | Against | Against | |||
14 | Elect Tony Wray | Mgmt | For | Against | Against | |||
15 | Appointment of Auditor | Mgmt | For | For | For | |||
16 | Authority to Set Auditor's Fees | Mgmt | For | For | For | |||
17 | Authorisation of Political Donations | Mgmt | For | For | For | |||
18 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||
19 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||
20 | Authority to Repurchase Shares | Mgmt | For | For | For | |||
21 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | Against | Against | |||
Snam S.p.A. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
SRG | CINS T8578L107 | 04/15/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Ordinary | Italy | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Accounts and Reports | Mgmt | For | For | For | |||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||
3 | Remuneration Report | Mgmt | For | For | For | |||
4 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
5 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
SSE plc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
SSE | CINS G8842P102 | 07/25/2013 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United Kingdom | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Accounts and Reports | Mgmt | For | For | For | |||
2 | Directors' Remuneration Report | Mgmt | For | For | For | |||
3 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||
4 | Elect Katie Bickerstaffe | Mgmt | For | For | For | |||
5 | Elect Jeremy Beeton | Mgmt | For | For | For | |||
6 | Elect Lord Robert Smith of Kelvin | Mgmt | For | For | For | |||
7 | Elect Gregor Alexander | Mgmt | For | For | For | |||
8 | Elect Alistair Phillips-Davies | Mgmt | For | For | For | |||
9 | Elect Lady Susan Rice | Mgmt | For | For | For | |||
10 | Elect Richard Gillingwater | Mgmt | For | For | For | |||
11 | Elect Thomas Thune Andersen | Mgmt | For | For | For | |||
12 | Appointment of Auditor | Mgmt | For | For | For | |||
13 | Authority to Set Auditor's Fees | Mgmt | For | For | For | |||
14 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||
15 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||
16 | Authority to Repurchase Shares | Mgmt | For | For | For | |||
17 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | Against | Against | |||
Tokyo Gas Co Limited | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
9531 | CINS J87000105 | 06/27/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | Japan | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||
3 | Elect Tsuyoshi Okamoto | Mgmt | For | For | For | |||
4 | Elect Shigeru Muraki | Mgmt | For | For | For | |||
5 | Elect Michiaki Hirose | Mgmt | For | For | For | |||
6 | Elect Matsuhiko Hataba | Mgmt | For | For | For | |||
7 | Elect Yutaka Kunigoh | Mgmt | For | For | For | |||
8 | Elect Kazuo Yoshino | Mgmt | For | For | For | |||
9 | Elect Masahiro Mikami | Mgmt | For | For | For | |||
10 | Elect Hiroaki Kobayashi | Mgmt | For | For | For | |||
11 | Elect Yukio Satoh | Mgmt | For | For | For | |||
12 | Elect Ryuichi Tomizawa | Mgmt | For | For | For | |||
13 | Elect Yoshihiko Nakagaki | Mgmt | For | For | For | |||
14 | Elect Wako Tohjima as Statutory Auditor | Mgmt | For | For | For | |||
United Utilities Group PLC | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
UU | CINS G92755100 | 07/26/2013 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United Kingdom | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Accounts and Reports | Mgmt | For | For | For | |||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||
3 | Directors' Remuneration Report | Mgmt | For | For | For | |||
4 | Elect John McAdam | Mgmt | For | Against | Against | |||
5 | Elect Steven L. Mogford | Mgmt | For | Against | Against | |||
6 | Elect Russ Houlden | Mgmt | For | Against | Against | |||
7 | Elect Catherine Bell | Mgmt | For | Against | Against | |||
8 | Elect Brian May | Mgmt | For | Against | Against | |||
9 | Elect Nick Salmon | Mgmt | For | Against | Against | |||
10 | Elect Sara Weller | Mgmt | For | Against | Against | |||
11 | Appointment of Auditor | Mgmt | For | For | For | |||
12 | Authority to Set Auditor's Fees | Mgmt | For | For | For | |||
13 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||
14 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||
15 | Authority to Repurchase Shares | Mgmt | For | For | For | |||
16 | Approval of Long-Term Plan 2013 | Mgmt | For | For | For | |||
17 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | Against | Against | |||
18 | Authorisation of Political Donations | Mgmt | For | For | For | |||
Veolia Environnement | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
VIE | CINS F9686M107 | 04/24/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Mix | France | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
2 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
3 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
4 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
5 | Accounts and Reports | Mgmt | For | For | For | |||
6 | Consolidated Accounts and Reports | Mgmt | For | For | For | |||
7 | Approval of Non Tax-Deductible Expenses | Mgmt | For | For | For | |||
8 | Allocation of Dividends | Mgmt | For | For | For | |||
9 | Scrip Dividend | Mgmt | For | For | For | |||
10 | Related Party Transactions | Mgmt | For | Against | Against | |||
11 | Supplementary Retirement Benefits (Antoine Frerot) | Mgmt | For | For | For | |||
12 | Severance Agreement (Antoine Frerot) | Mgmt | For | Against | Against | |||
13 | Elect Antoine Frerot | Mgmt | For | For | For | |||
14 | Elect Daniel Bouton | Mgmt | For | For | For | |||
15 | Elect Olivier Costa de Beauregard (WITHDRAWN) | Mgmt | For | For | For | |||
16 | Elect Khaled Al Sayed | Mgmt | For | For | For | |||
17 | Remuneration of Antoine Frerot, CEO | Mgmt | For | For | For | |||
18 | Directors' Fees | Mgmt | For | For | For | |||
19 | Authority to Repurchase Shares | Mgmt | For | For | For | |||
20 | Authority to Issue Shares and Convertible Securities w/ Preemptive Rights | Mgmt | For | Abstain | Against | |||
21 | Authority to Issue Shares and Convertible Securities w/o Preemptive Rights but w/ Priority Subscription Rights | Mgmt | For | Abstain | Against | |||
22 | Authority to Issue Shares and/or Convertible Securities Through Private Placement | Mgmt | For | Abstain | Against | |||
23 | Increase in Authorized Capital in Consideration for Contributions in Kind | Mgmt | For | Abstain | Against | |||
24 | Greenshoe | Mgmt | For | Abstain | Against | |||
25 | Increase in Authorized Capital Through Capitalization | Mgmt | For | For | For | |||
26 | Employee Stock Purchase Plan | Mgmt | For | For | For | |||
27 | Employee Stock Purchase Plan for Overseas Employees | Mgmt | For | For | For | |||
28 | Authority to Cancel Shares and Reduce Share Capital | Mgmt | For | For | For | |||
29 | Amendments to Articles Regarding Employee Representatives | Mgmt | For | For | For | |||
30 | Authorization of Legal Formalities | Mgmt | For | For | For | |||
Vodafone Group plc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
VOD | CINS G93882135 | 01/28/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Court | United Kingdom | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
2 | Scheme: Verizon Wireless Transaction, Return of Value and Share Consolidation | Mgmt | For | For | For | |||
Vodafone Group plc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
VOD | CINS G93882135 | 01/28/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Ordinary | United Kingdom | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Ordinary: Disposal of Verizon Wireless and Acquisition of Vodafone Italy | Mgmt | For | For | For | |||
2 | Special: Return of Value and Share Consolidation | Mgmt | For | For | For | |||
3 | Special: Authority to Repurchase Shares | Mgmt | For | For | For | |||
4 | Special: Authority to Ratify and Execute Approved Resolutions | Mgmt | For | For | For | |||
Wisconsin Energy Corporation | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
WEC | CUSIP 976657106 | 05/02/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect John F. Bergstrom | Mgmt | For | For | For | |||
2 | Elect Barbara L. Bowles | Mgmt | For | For | For | |||
3 | Elect Patricia W. Chadwick | Mgmt | For | For | For | |||
4 | Elect Curt S. Culver | Mgmt | For | For | For | |||
5 | Elect Thomas J. Fischer | Mgmt | For | For | For | |||
6 | Elect Gale E. Klappa | Mgmt | For | For | For | |||
7 | Elect Henry W. Knueppel | Mgmt | For | For | For | |||
8 | Elect Ulice Payne, Jr. | Mgmt | For | For | For | |||
9 | Elect Mary Ellen Stanek | Mgmt | For | Against | Against | |||
10 | Ratification of Auditor | Mgmt | For | For | For | |||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
Ziggo NV | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
ZIGGO | CINS N9837R105 | 04/17/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | Netherlands | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Accounts and Reports | Mgmt | For | For | For | |||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||
3 | Ratification of Management Board Acts | Mgmt | For | For | For | |||
4 | Ratification of Supervisory Board Acts | Mgmt | For | For | For | |||
5 | Appointment of Auditor | Mgmt | For | For | For | |||
6 | Authority to Repurchase Shares | Mgmt | For | For | For | |||
7 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||
8 | Authority to Suppress Preemptive Rights | Mgmt | For | For | For | |||
9 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||
Any ballot marked 'Abstain' is considered to have been voted. Ballots marked 'Abstain' are considered to have been voted against management's recommendation if management's recommendation is 'For' or 'Against,' and for management’s recommendation if management’s recommendation is ‘Abstain.’ Where management has recommended that shareholders 'Abstain' from voting on a ballot item, a ballot marked 'For' or 'Against' is considered to have been voted against management's recommendation to 'Abstain.' | ||
Where management has made no recommendation on a ballot item, 'N/A' is used to indicate that there is no management recommendation that a shareholder may vote 'For' or 'Against.' | ||
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: | Putnam Global Utilities Fund | |
By: | /s/ Jonathan S. Horwitz | |
Name: | Jonathan S. Horwitz | |
Title: | Executive Vice President, Principal Executive Officer and Compliance Liaison | |
Date: | August 8, 2014 | |